USING THE SRA'S COMPETENCY-BASED APPROACH TO DESIGN AND

IMPLEMENT PERFORMANCE REVIEWS

Mac Mackay - DAWLAW

David Richter – Octopus/HR

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What are competency frameworks?

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Performance reviews

Running reviews successfully

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SRA Competency Framework- From April 2015 but - before 1st November 2016

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“We expect solicitors will discuss their training needs with their employer to talk about how they can continue to deliver a proper standard of service…”

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Competency?

• 'Competency' – The ability to perform the roles and tasks required by one’s job to the expected standard

• A ‘competency framework’ sets out and defines each individual competency (such as problem-solving or people management) required by individuals working in the firm.

• The SRA is moving to a competency-based approach to CPD

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SRA New Approach to CPD

• If the new approach is adopted before 31 October 2015:– ‘a declaration is required from solicitors that they have

considered their learning and development needs and taken measures to maintain their competence for the 2014/15 and 2015/16 practising year’

• If the new approach is adopted after 31 October 2015:– ‘a declaration is required from solicitors that current CPD

requirements have been met for the 2014/15 practising year. – ‘a declaration is also required from solicitors that they have

considered their learning and development needs and taken measures to maintain their competence for the 2015/16 practising year’

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SRA Competence Statement (draft)

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A. Ethics, professional

judgement

B. Legal knowledge

C. Manage yourself and work

D. Working with other people

Competency – breadthD1. Communicate clearly and effectively

Ensures that communication achieves its intended objective

Responds to and addresses individual characteristics effectively and sensitively

Uses the most appropriate method and style of communication for the situation and the recipient(s)

Uses clear, succinct and accurate language avoiding unnecessary technical terms

Uses formalities appropriate to the context and purpose of the communication

Maintains the confidentiality and security of communications

Imparts any difficult or unwelcome news clearly and sensitively

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Competency – depth (career path)D3 Working relationships• As a trainee, building constructive working relationships with other

members of the firm at all levels.• As a junior associate, becoming an integral part of the firm, establishing

and maintaining good communication throughout the firm.• As a senior associate, building constructive relationships with other staff,

and showing increasing potential for developing effective team leadership qualities.

• As a salaried partner, actively assisting with the leadership and motivation of the department and client teams, actively promoting the firm’s ethos and values, and developing “cabinet” responsibility and supporting decisions for the good of the firm.

• As an equity partner, adopting “cabinet” responsibility for, contributing to, and actively supporting, the partnership’s decisions.

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PERFORMANCE

REVIEWS

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Why Bother to Appraise?

• Improved Performance

• High Performance Cultures

• Goals Orientated Approach

Key Objectives

• Improve individual performance

• Personal development

• Deeper understanding of job

• Focus on firms needs

• Improved communications

• Partnership commitment

Key stages

• Clarity about Job

• Setting Goals

• Reviewing Performance in the Job

• Preparing for Discussion

• Conduction of Discussion

Clarity about Job

• Objective of job

• Key Result Areas

Setting Goals

• Why is job done?

• Who does goal setting?

• Qualities of goals– specific & measurable

– achievable

– challenging and stretching

– jointly agreed

– time-bound

Structure of Goals

• Beginning - active verb

• Middle - what is to be achieved

• End - measure

e.g. Increase fee income from our domestic conveyancing by 5% over the next three months.

Bureaucratic Nightmare?

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Performance Review

Name: Job Title: Date:

Job Objective / Purpose: Develop the Commercial Department of Duncan Alexander & Wilmshurst

Key

Result

Areas

Goals Achievement

Beginning

(Active Verb)

Middle

(Whatever it is you

want to achieve)

End

(Measure)

Progress / Non-Progress

Attainment / Non-Attainment

Debtors Reduce debtors by 7.5% over previous year

Delegation Delegate all analyses of time reports before end of 1st quarter

Staff Define development needs of direct reports prior to end of next quarter

Business development Increase private client income by 15% over previous year

Business development Broaden commercial base of the service by adding 10 new clients by year end

Agreed Development / Training Needs

Additional Comments

Signature: Signature Date

(Reviewee) (Reveiwer)Figure 6.4 Example of simple appraisal form

Skills Assessments- Training Needs Analysis

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SRA Competence Statement (draft)

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7. Manage work activities and projects

8. Apply good business practice

9. Professional relations

Clients / people

10. Communicate effectively

4. Managing technical knowledge

5. Spoken and written advocacy

6. Negotiating with clients

1. Integrity

2. Managing learning & development

3. Critical thinking & analysis A. Ethics,

professional

judgement

B. Legal knowledge

C. Manage yourself and work

D. Working with other people

Training Needs AnalysisA2. Maintain my level of competence and legal knowledge

Name:

Date: / /

Managing own learning & development

Neve

r

Som

etime

s

Ofte

n

Ne

arly always

Alw

ays

• I actively seek feedback from colleagues to enhance self-awareness

• I admit mistakes and take corrective action• I explore options for my professional learning• I help others in my workgroup develop to

promote organisational learning• I recognise my preferred learning style and

actively develop different approaches• I manage my own CPD opportunities

appropriately as legislation developsTotal – sum the number of your responses in each column

Rating – multiply your column total above by this rating 0 1 2 3 4Score – write down your score for each column

Sum your five scores – your total across all five columns

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Critical thinking, analysis

Workload

Management

Applying good

business practice

Negotiating skills

Professional client /

people relationship

Spoken and written

advocacy

Effective communications

Ethics, professional

sound judgment

Peter Sample Appraisal

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Ten Core Modules (draft 1-3) (Covering non-technical competencies)

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• A. Ethics, Professional Judgement1. Ethics, professionalism, sound judgment (A1)

– Ethical principles, SRA conduct, Respecting diversity and acting fairly…

2. Managing own learning and development (A2 + A3)

– Understanding own learning styles, options for learning / CPD, training needs analysis…

3. Apply understanding, critical thinking and analysis to solve problems (A5)

– Decision making and risks, assessing information, problem solving …

A4. Draw on a sufficient detailed knowledge and understanding of their field(s) of work and role in order to practise effectively, including:

a. Identifying relevant legal principles

b. Applying legal principles to factual issues,

c. Spotting relevant issues that are outside their expertise

Ten Core Modules (draft 4-6) (Covering non-technical competencies)

• B. Technical Legal Knowledge4. Managing technical information (B1 + B2)

Research methods, effective use of questioning and active listening…5. Spoken and written advocacy (B5)

Preparing, presenting a reasoned argument, countering …6. Negotiating skills – clients and the other side (B6)

Planning, style, cooperation, conflict, judgment…

B3. Develop and advise on relevant options, strategies and solutions, including:a. Understanding and assessing a client's commercial and personal circumstances, their needs, objectives, priorities and constraintsb. Ensuring that advice is informed by appropriate legal and factual analysis and identifies the consequences of different options

B7. Plan, manage and progress legal cases and transactions, including:

a. Applying relevant processes and procedures to progress the matter effectively

b. Assessing, communicating and managing risk

c. Bringing the transaction or case to a conclusion 27

Ten Core Modules (draft 7-8) (Covering non-technical competencies)

• C. Manage Yourself and Your Work7. Workload management and projects (C1)

Initiate, plan, prioritise and manage work, records, confidentiality, security, data protection…

8. Applying good business practice (C3)Organisation, finance context, calculate and manage costs, billing, conduct issues…

C2. Keep, use and maintain accurate, complete and clear records, including:

a. Making effective use of information management systems (whether electronic or hard copy), including storing and retrieving information

b. Complying with confidentiality, security, data protection and file retention and destruction requirements

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Ten Core Modules (draft 9-10) (Covering non-technical competencies)

• D. Working with other People9. Professional relations – clients and people in the firm (D2 + D3)

Dealing with client vulnerability, professionalism, delegating, supervising people…

10. Communicate effectively (D1, B4)Clear, concise legal writing, zero tolerance in punctuation, presenting orally…

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DAW Modular Support

• Discussion template for line manager – fully supported through delegate attendance pack

• Pre-work – getting the learner to evaluate existing practices and know-how

• Three-hour workshop including a comprehensive workbook and presentation materials

• Post-event discussion template for line manager –fully supported through delegate attendance pack

• On-line ‘multiple choice’ assessment• Articles, mailings, taster material on YouTube, pre-

recorded on-line webinar to boost internal publicity

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Managing own learning & development- half-day workshop

Section Objective

Review of SRA Competency

Framework

To place this Module in context of the whole framework and

how the learning outcomes can be applied in the firm

Understand my learning style Honey & Mumford assessment / Kolb Learning Style

Opportunities for

development

Capitalising on my preferred style; expanding my learning

opportunities

A Model for Development Exploring how to develop others in the workgroup

Managing CPD To explore how to develop CPD initiatives in the firm;

engaging my manager in file reviews

Managing Feedback How to give it, ask for it, and take it…

Emotional Intelligence What it is, now to develop it…

Module Evaluation Planning to embed learning in the firm

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Our Vision

• The end point is an opportunity for all lawyers post qualification to demonstrate their continued learning and development by achieving an accredited award (the PCC), and for their employers to promote their people’s attainment to clients as a competitive differential.

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• Match your firm’s competency framework to SRA1

• What improvements can you suggest – for your own CPD?2

• Explore your TNA to manage needs-based CPD3

Today’s Actions for you…

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Resources

• http://www.sra.org.uk/sra/consultations/competence-statement.page#annexa

• http://www.sra.org.uk/sra/consultations/competence-statement.page#annexb

• http://www.octopus-hr.co.uk

• mac@daw.co.uk

• http://www.dawlaw.co.uk/uploads/6/4/6/3/6463186/know-how.pdf

• Additional reading material…

• david.r@octopus-hr.co.uk

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QUESTIONS?

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USING THE SRA'S COMPETENCY-BASED APPROACH TO DESIGN AND

IMPLEMENT PERFORMANCE REVIEWS

Mac Mackay - DAWLAW

David Richter – Octopus/HR