In a bid to enhance the efficiency and quality of its investigative processes, the Solicitors Regulation Authority (SRA) has significantly reduced the backlog of aged cases.
The SRA has successfully decreased the number of cases older than two years by implementing a series of strategic changes. Despite these achievements, it continues to grapple with the ambitious goal of resolving 70% of cases within a 10-month timeframe. This initiative, introduced last year, aimed to expedite the resolution of complaints against solicitors. Chief Executive Paul Philip had acknowledged that the protracted duration of serious cases required urgent attention.
To address these inefficiencies, the SRA adopted the ‘lean six sigma’ methodology, which led to substantial process improvements in July 2023. A recent paper presented to the SRA board highlighted that these methods had cultivated a markedly different working environment. Work activities and delivery expectations were clarified, consistently enforced, and closely monitored. This clarity was supported by enhanced knowledge sharing, improved management information, and performance management tools.
The enlarged investigation team, which grew from 195 to 236 members over two years, ensures that investigators handle a more manageable caseload, averaging 25 cases instead of 40. Consequently, the SRA met all four primary timeliness targets, such as conducting 80% of initial assessments within two months and resolving the majority of investigations within a 24-month period.
As of July 2023, there were only 162 cases exceeding two years in duration, a significant decrease from over 200 cases the previous year. By the end of June 2024, this number had dropped to 60, marking a 63% reduction. Likewise, investigations over 18 months old fell by 40%, and those over 12 months old decreased by 21%. This progress has resulted in a significant increase in referrals to the Solicitors Disciplinary Tribunal, which has more than doubled, and the speed of these referrals has improved.
Despite failing to meet the 70% target for resolving investigations within 10 months—achieving only 52%—the ongoing reforms have fostered an environment conducive to continuous improvement. A variety of checks have bolstered confidence in the quality of decision-making and file management. On average, the SRA upheld only 1.6 complaints per month regarding delays, compared to 3.7 last year.
Paul Philip noted that many delays stemmed from the COVID-19 pandemic, which affected numerous organisations. However, he expressed confidence that the strides made thus far will facilitate further developments in the SRA’s investigative and enforcement work, ensuring sustained progress.
Overall, the SRA’s recent efforts have led to a considerable reduction in delays, establishing a foundation for ongoing improvements in handling solicitor investigations.
