Probate: SRA expects evidence of reflection on training
The Solicitors Regulation Authority (SRA) is to question probate solicitors who “simply listed” in their training records what they had done, rather than providing “evidence of reflection”.
The SRA said it would also contact the lawyers’ firms to understand how they maintained competence.
“We will contact the 66 solicitors who simply listed training activity and did not provide us with sufficient assurance they are maintaining their competence.
“We will explain what we expect in a training record and understand the steps they are taking to maintain their competence.”
The SRA went on: “We are considering the need for further action, for example, whether we need to introduce guidance to contextualise what competence looks like for solicitors practising in this area.”
The regulator’s 2023 assessment of solicitors’ continuing competence found that probate and estate administration generated the third highest volume of reports to the SRA and complaints to the Legal Ombudsman.
This led to a review of the training records of a sample of probate solicitors. The SRA contacted 100 law firms to request training records for solicitors who provided probate services in 2023 and reviewed 140 records.
All but four had completed learning and development, with three providing “appropriate reasons” why they had not. The SRA is contacting the other.
Forty solicitors recorded one to five activities, 52 solicitors six to 10, and 44 solicitors more than 10.
Only two solicitors reported that none of their learning and development related to probate, with 30 solicitors carrying out more than 10 probate-related activities.
SRA guidance, warning notices and resources were used by 17 solicitors to help address their learning needs.
Some training records “showed good practice”, for example by “demonstrating that reflection was ongoing”, “thoroughly evidencing how the individual had reflected” or “clearly explaining the activity carried out and how it addressed the identified need”.
However, 66 solicitors “simply listed the learning and development carried out”, naming the course and when it was completed but providing “no evidence of how or why the learning and development was required or whether the activity had addressed the original need”.
The SRA said: “We do not require solicitors to keep a training record or document reflection. However, doing so enables you to demonstrate to us that you have taken the necessary steps to keep your knowledge and skills up to date.
“A failure to record reflection raises concerns that not all needs are being identified and addressed. We therefore expect to see evidence of reflection in training records or evidence of learning and development, not just a list of activities carried out.”
The report was published last month alongside a thematic review of probate and estate administration.
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