Law Society of Scotland Professional Education and Training (PEAT) PEAT 2: Traineeship, Outcomes and Continuing Competence Syllabus

What is file management and why is it important in practice?

File management is the systematic organising, recording and maintaining of client matter files (correspondence, documents, attendance notes, key dates). It is important for continuity, accountability, compliance, evidencing advice given, and protecting both client and firm.

What is risk management in a law firm and give examples of risk controls.

Risk management is the identification, assessment and mitigation of risks that could harm clients or the firm. Controls include conflict-of-interest checks, anti-money-laundering checks, diarising key dates/limitation periods, file reviews, supervision, and professional indemnity insurance.

What are common categories of risk a trainee should manage on a file?

Conflicts of interest, missed deadlines/limitation (time-bar) dates, anti-money-laundering/client identification failures, inadequate client care, confidentiality breaches, and undertakings given without authority. Each should have a control or check.

What does it mean to work effectively within a team in a legal practice setting?

Communicating clearly, meeting deadlines reliably, delegating and accepting delegation appropriately, sharing information, respecting roles (partners, solicitors, paralegals, support staff), seeking supervision when needed, and contributing to shared client and firm objectives.

What are the main steps for admission as a solicitor in Scotland after PEAT 2?

Complete the two-year traineeship and achieve the PEAT 2 outcomes (confirmed by the training principal), pass/complete the PCC, satisfy the Law Society's fit-and-proper/character requirements, then apply to the Law Society of Scotland for admission and have one's name entered on the Roll of Solicitors.

Who confirms to the Law Society that a trainee has met the PEAT 2 outcomes?

The training principal (the supervising qualified solicitor responsible for the training contract) confirms and signs off that the trainee has achieved the required outcomes to the standard of a competent newly qualified solicitor.

What is a practising certificate and why is it needed?

A practising certificate is the annual authorisation issued by the Law Society of Scotland that permits an admitted solicitor to practise law. A solicitor must hold a current practising certificate (and appropriate insurance) to act as a solicitor and to be 'in practice'.

What is the relationship between admission to the Roll and obtaining a practising certificate?

Admission enters a person on the Roll of Solicitors (making them a solicitor), but they cannot lawfully practise until they also obtain a practising certificate. One can be on the Roll without holding a current practising certificate (e.g. non-practising solicitors).

What are the post-qualification continuing CPD obligations for Scottish solicitors?

Qualified solicitors must undertake continuing professional development each practice year. Under the Law Society's CPD scheme this is a minimum of 20 hours of CPD per year, of which at least a defined portion must be verifiable, with records kept and self-certified.

Under the Law Society of Scotland CPD scheme, how many CPD hours must a practising solicitor complete annually, and what additional requirement applies?

A minimum of 20 hours of CPD per practice year, and solicitors must also have/maintain a CPD plan and keep records; an element of the CPD should be verifiable and relevant to the individual's role and development needs.

If a solicitor must complete 20 CPD hours per year, how many hours is that across a three-year period assuming no carry-over?

$3 \times 20 = 60$ hours over three years.

A solicitor has completed 14 of their required 20 annual CPD hours. How many remain, and what fraction of the requirement is outstanding?

$20 - 14 = 6$ hours remain, which is $\frac{6}{20} = \frac{3}{10}$ (30%) of the annual requirement.

What are the typical routes to specialisation for a qualified Scottish solicitor?

Gaining concentrated experience in a practice area, undertaking advanced/specialist CPD and qualifications, and applying for the Law Society's Accredited Specialist scheme or accreditation as a paralegal/solicitor specialist, or qualifying as a solicitor advocate for rights of audience in higher courts.

What is the Law Society of Scotland's Accredited Specialist scheme?

A scheme under which experienced solicitors can apply to be formally recognised as accredited specialists in a defined area of law (e.g. family law, employment law). Accreditation requires demonstrated expertise, experience and ongoing CPD, and is subject to periodic renewal.

Compare PEAT 1 and PEAT 2.

PEAT 1 is the academic/vocational Diploma in Professional Legal Practice (classroom-based, before the traineeship). PEAT 2 is the two-year work-based traineeship of supervised practice in which competences are applied and the practical outcomes achieved before admission.

Compare a trainee solicitor and a newly qualified (NQ) solicitor in terms of supervision and certification.

A trainee works under supervised practice, cannot hold a practising certificate in their own right, and is still demonstrating outcomes. An NQ solicitor has been admitted to the Roll, holds (or is eligible for) a practising certificate, and can practise (though often still supervised in practice).

What is the role of feedback within the appraisal/performance review process?

Feedback identifies strengths and areas for improvement against the outcomes, validates evidence of competence, and informs the next development goals. Constructive, regular feedback is what converts work experience into demonstrable, recorded progress toward the outcomes.

What is a personal development plan (PDP) in PEAT 2 and what cycle does it follow?

A PDP is a documented plan of a trainee's development goals, actions and review dates. It follows a cycle: identify development needs → plan actions/CPD → undertake work and learning → reflect and review at appraisal → set new goals.

What is the function of attendance notes in file management?

Attendance notes are contemporaneous written records of meetings, calls and advice given on a matter. They evidence what was discussed and advised, support continuity if the file passes between fee-earners, and are critical for defending against complaints or claims.

Why are conflict-of-interest and AML (client identification) checks completed at the start of a matter?

To comply with professional conduct rules and anti-money-laundering regulations before acting: conflict checks ensure the firm can properly act for the client; AML/ID checks verify client identity and source of funds, protecting the firm from facilitating financial crime.

What is meant by 'evidence of achieving outcomes' being progressive across the traineeship?

It means competence is demonstrated and recorded incrementally over the two years rather than at a single point: early outcomes are met under close supervision, and the trainee accumulates evidence (work, reflections, appraisals) showing growing independence and competence.

What general professional ethics standard underpins all PEAT 2 outcomes?

Acting with integrity, independence, and in the client's best interests while upholding the rule of law and professional standards. Ethics and professionalism are treated as overarching competences that apply to every task a trainee performs.

What is the difference between verifiable and non-verifiable CPD?

Verifiable CPD has a defined learning outcome and can be evidenced/objectively confirmed (e.g. an accredited course, recorded training). Non-verifiable CPD is general professional learning (e.g. private reading) that develops competence but is harder to independently confirm.

What is a training contract (deed of service) in PEAT 2?

It is the formal contract between the trainee and the authorised training employer registered with the Law Society of Scotland, setting out the two-year traineeship terms, the obligations of the training principal to supervise and train, and the trainee's commitments.

Why must trainees gain experience of practical legal processes such as court procedure or conveyancing transactions?

Because the PEAT 2 outcomes require demonstrated competence in handling real legal processes end-to-end, exposing trainees to procedure, deadlines, drafting and client management so they can practise competently and independently after qualification.

What is the significance of the 'standard of a competent newly qualified solicitor' as the PEAT 2 benchmark?

It is the threshold the trainee must reach: not perfection or specialist mastery, but the level of competence reasonably expected of a solicitor at the point of admission. All outcome sign-off is measured against this benchmark.

How does time recording link to file and risk management?

Accurate time records document the work done on a file (supporting the narrative of advice and steps taken), help detect under- or over-servicing, support fair billing, and provide an audit trail that mitigates fee disputes and negligence risk.

What steps follow once a trainee has completed PEAT 2, to begin practising as a solicitor?

(1) Training principal confirms outcomes achieved and PCC completed; (2) apply to the Law Society for admission and entry on the Roll; (3) apply for a practising certificate; (4) ensure professional indemnity insurance is in place; then the solicitor may practise.

What ongoing obligations replace the PEAT 2 framework once a solicitor is qualified?

Post-qualification, the trainee-specific PEAT outcomes are replaced by ongoing professional obligations: annual CPD (minimum 20 hours), holding a current practising certificate, compliance with the Practice Rules and Standards of Conduct, and maintaining indemnity insurance.

Compare the appraisal/review function with the reflective learning log as evidence tools.

The appraisal is a supervisor-led, periodic external assessment of progress against outcomes; the learning log is the trainee's own continuous, self-directed record of work and reflection. Together they provide both independent verification and self-evaluation evidence that outcomes are met.