lexcelv5 self assessment checklist

8/10/2019 Lexcelv5 Self Assessment Checklist

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Lexcel v5 - self-assessment checklistDate issued: January 2012

Main office details

Name of organisation

Postal address

Lexcel contact name

Job title

Telephone

!mail

Checklist headings

There are three headings contained in the "hec#list form:

Mandatory requirement! This summarises$ %ery succinctly$ &hat the 'tandard re(uires)

How complied with! This should be completed &ith a brief description of the rele%ant procedures

and supporting documentation that exists &ithin the practice)

Document reference! The practice should use this column to indicate &here to find rele%ant

documentation in your practice) *f indi%idual documents are referred to$ the practice should index themse(uentially) +or example$ document ,$ document -$ etc)


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!tructures and policies

Mandatory requirement How complied with Documentreference

1)1 Practices &ill ha%e documentation setting out the:

a: legal frame&or# under &hich theyoperate

b: management structure &hich

designates the responsibilities ofindi%iduals and their accountability)

1)2 Practices &ill ha%e a ris# management policy$ &hichmust include:

a: strategic ris#

b: operational ris#

c: regulatory ris#

d: the person responsible for thepolicy

e: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice

1). Practices &ill ha%e a policy in relation to outsourcedacti%ities$ &hich must include:

a: details of all outsourced acti%ities

b: procedures to chec# the (ualityof outsourced &or#

c: steps to ensure pro%iders ha%eta#en appropriate precautions toensure information &ill beprotected)

c: a list of all pro%iders of ser%ices

d: the person responsible for thepolicy

e: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across the

practice


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1)/ Practices &ill ha%e a policy on the a%oidance ofdiscrimination and the promotion of e(uality anddi%ersity$ &hich must include:

a: employment and partnership$recruitment and selection$ trainingand conditions of ser%ice andpromotions &ithin the practice

b: the deli%ery of ser%ice

c: the instruction of counsel and experts in allprofessional dealings

d: a procedure to deal &ith complaints anddisciplinary issues in breach of the policy

e: a procedure to monitor di%ersity

f: training of all personnel on compliance &ith e(ualityand di%ersity re(uirements

g: the person responsible for the policy

h: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

1) Practices &ill ha%e a policy in relation to the health

and safety of all personnel and %isitors to the practice$&hich must include:

a:the person responsible for thepolicy

b: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice

1) Practices should ha%e a policy in relation tocommunity and social responsibility$ &hich mustinclude:

a: the person responsible for thepolicy

b: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice


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" !trategic plans


2)1 Practices &ill de%elop and maintain a business plan&hich must include:

a: measurable obecti%es for the next 12 months

b: a recruitment plan

c: the person responsible for the plan

d: a procedure for a re%ie& of the plan to beconducted e%ery six months to %erify the plan is ineffecti%e operation across the practice

2)2 Practices &ill de%elop and maintain a mar#eting plan&hich must include:

a: measurable obecti%es for the next 12 months

b: the person responsible for the plan

c: a procedure for a re%ie& of the plan to be conductede%ery six months to %erify the plan is in effecti%e

operation across the practice

2). Practices &ill document the ser%ices they &ish to offer$including:

a: the client groups to be ser%ed

b: ho& ser%ices are to be pro%ided

c: a procedure for a re%ie& of ser%ices to beconducted e%ery six months)

2)/ Practices &ill ha%e a business continuity plan$ &hichmust include:

a: an e%aluation of potential ris#s and the li#elihood oftheir impact

b: &ays to reduce$ a%oid and transfer the ris#s

c: #ey people rele%ant to theimplementation of the plan

d: the person responsible for the plan

e: a procedure to test the plan annually$ to %erify thatit &ould be effecti%e in the e%ent of a businessinterruption)


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2) Practices &ill ha%e an information communicationtechnology 3*T4 plan$ &hich must include:

a: the application of all *T facilities&ithin the practice

b: the role of *T in facilitating ser%icesfor clients

c: the person responsible for the plan

d: a procedure for an annual re%ie& of the plan$ to%erify it is in effecti%e operation across the practice)

# $inancial management


.)1 Practices &ill document responsibility for o%erallfinancial management)

.)2 Practices &ill be able to pro%ide documentarye%idence of their financial management procedure $

including:

a: annual budget including$ income and expenditure

b: annual income and expenditureaccounts

c: annual balance sheet

d:annual income and expenditureforecast to be re%ie&ed (uarterly

e: %ariance analysis conducted at least (uarterly ofincome and expenditure against budgets

f: (uarterly %ariance analysis &hichincludes at least their cash flo&

.). Practices &ill ha%e a time recording procedure &hichenables:

a: the accurate measurement of time spent onmatters for billing purposes

b: the monitoring of &or# in progress

.)/ Practices &ill ha%e a procedure in

relation to billing clients$ including:a: the fre(uency and terms for billing


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clients

b: credit limits for ne& and existing clients

c: a procedure to manage debts

d: the person responsible for the procedures

e: a documented re%ie& of theprocedures at least annually$ to %erify they are ineffecti%e operation across the practice)

.) Practices &ill ha%e a procedure for the handling offinancial transactions including:

a: the person responsible for theprocedures

b: a documented re%ie& of the procedures at leastannually$ to %erify they are in effecti%e operationacross the practice)

% &nformation management


/)1 Practices &ill ha%e an information management policy$&hich must include:

a: the identification of rele%ant information assets ofboth the practice and clients

b: the ris# to these assets$ their li#elihood and theirimpact

c: procedures for the protection andsecurity of the information assets

d: a procedure for training personnel

e: the person responsible for the policy

f: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

/)2 Practices &ill ha%e an e!mail policy$ &hich mustinclude:

a: the scope of permitted and prohibited use

b: procedures for monitoring personnel using e!mail


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c: procedures for the management and security of e!mails

d: procedures for the storage anddestruction of e!mails

e: the person responsible for the policy

f: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

/). *f the practice has a &ebsite$ the practice must ha%e a&ebsite management policy$ &hich must include:

a: a procedure for content appro%al$publishing and remo%al

b: the scope of permitted and prohibited content

c: procedures for the management of its security

d: the person responsible for the policy

e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

/)/ *f personnel in the practice ha%e *nternet access thepractice must ha%e an *nternet access policy$ &hich

must include:

a: the scope of permitted and prohibited use

b: procedures for monitoring personnel accessing theinternet

c: the person responsible for the policy

d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

/) Practices &ill ha%e a social media policy$ &hich mustinclude:

a: a procedure for participating in social media onbehalf of the practice

b: the scope of permitted and prohibited content


d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

/) Practices &ill ha%e a procedure for legal research$including the updating and sharing of legal andprofessional information)


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/)5 Practices &ill maintain an office manual or e(ui%alent*ntranet documentation collating information on officepractice$ &hich must be a%ailable to all personnel ofthe practice) This &ill include:

a: a procedure to control the office manual or intranetto ensure that only the current %ersion is in use

b:a procedure to update the manual or *ntranet andrecord the date of amendments

c: a central register of all policies and plans and theperson responsible for them

5 'eople management


)1 Practices &ill ha%e a plan for the training andde%elopment of personnel$ &hich must include:

a: the person responsible for the plan

b: a procedure for an annual re%ie& of the plan$ to%erify it is in effecti%e operation across the practice)


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)2 Practices &ill list the tas#s to be underta#en by allpersonnel &ithin the practice and document the s#ills$#no&ledge and experience re(uired for indi%iduals tofulfil their role satisfactorily$ usually in the form of aperson specification)

). Practices &ill ha%e procedures to deal effecti%ely &ith

recruitment and selection$ &hich must include:

a: the identification of %acancies

b: the drafting of the ob documentation

c: methods of attracting candidates and applicants

d: selection methods used

e: storage$ retention and destruction of records

f: references and *D chec#ing

g: chec#ing fee earners6 disciplinary record)

)/ Practices &ill conduct an appropriate induction for allpersonnel$ including those transferring roles &ithin thepractice and must co%er:

a: management structure and theindi%idual6s ob responsibilities

b: terms and conditions of employment

c: immediate training re(uirements

d: #ey policies)

) Practices &ill ha%e a procedure &hich details the stepsto be follo&ed &hen a member of staff ceases to be anemployee$ &hich must include:

a: the hando%er of &or#

b: exit inter%ie&s

c: the return of company property)

) Practices must ha%e a training and de%elopment policyincluding:

a: ensuring that appropriate training is pro%ided to

personnel &ithin the practice in accordance &ith itspolicy

b: ensuring that all super%isors and managers recei%eappropriate training

c: a procedure to e%aluate training


e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice

)5 Practices &ill ha%e a performance management policy

&hich includes:

a: the practices approach to performance management

b: performance re%ie& periods and timescales


d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice


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( )isk management


)1 Practices must designate one o%erall ris# manager tobe able to identify and deal &ith all ris# issues &hichmay arise)

)2 There &ill be a named super%isor for each area of&or# underta#en by the practice)

). Practices must ha%e procedures to manageinstructions &hich may be underta#en e%en thoughthey ha%e a higher ris# profile$ including unusualsuper%isory and reporting re(uirements orcontingency planning)

)/ Practices must maintain lists of &or# that the practice&ill and &ill not underta#e) This information must becommunicated to all rele%ant staff and must beupdated &hen changes occur)

) Practices must maintain details of the generic ris#sand causes of claims associated &ith the area3s4 of&or# that is7are underta#en by the practice) Thisinformation must be communicated to all rele%antstaff)

) Practices must document #ey dates$ including:

a: the definition of #ey dates by&or# type

b: #ey dates recorded on the fileand in a bac#!up system)

)5 Practices must ha%e a procedure to monitor #eydates to reduce the ris# of #ey dates being missed)


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)8 Practices &ill ha%e a policy on the handling ofconflicts$ &hich must include:

a: the definition of conflicts by &or# type

b: training for all rele%ant personnel to identify conflicts

c: steps to be follo&ed &hen a conflict is identified


e:a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

)9 Practices &ill ha%e procedures es to ensure that allpersonnel$ both permanent and temporary$ areacti%ely super%ised) 'uch procedures es &ill include:

a: chec#s on incoming and outgoing correspondence&here appropriate

b: departmental$ team and office meetings andcommunication structures

c: re%ie&s of matter details in order to ensure goodfinancial controls and the appropriate allocation of&or#loads

d: the exercise of de%ol%ed po&ers in publicly funded&or#

e: the a%ailability of a super%isor

f: allocation of ne& &or# and reallocation of existing&or#$ if necessary

)10 Practices &ill ha%e procedures es to ensure that allthose doing legal &or# chec# their files regularly forinacti%ity)


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)11 Practices &ill ha%e a procedure for regular$independent file re%ie&s$ of either the management ofthe file or its substanti%e legal content$ or both) *nrelation to file re%ie&s$ practices &ill:

a: define file selection criteria

b: define the number and fre(uencyof re%ie&s

c: retain a record of the file re%ie&on the matter file and centrally

d: ensure any correcti%e action &hich is identified in a

file re%ie& is acted upon &ithin 28 days and %erifiedby the re%ie&er

e: ensure that the designated super%isor re%ie&s andmonitors the data generated by file re%ie&s

f: conduct a re%ie& at least annually of the datagenerated by file re%ie&s)

)12 perational ris# &ill be considered and recorded in allmatters before$ during and after the processing ofinstructions) -efore the matter is underta#en thead%iser must:

a: consider if a ne& client and7or matter should beaccepted by the practice$ in accordance &ithsection 8)1 belo&

b: assess the ris# profile of all ne& instructions andnotify the ris# manager in accordance &ithprocedures under ). of any unusual or high ris#considerations in order that appropriate action maybe ta#en)

During the retainer the fee!earner must:

c: "onsider any change to the ris# profile of the matterand report and ad%ise on such circumstances&ithout delay$ informing the ris# manager ifappropriate

d: *nform the client in all cases &here an ad%ersecosts order is made against the practice in relationto the matter in (uestion)

,t the end of the matter the fee!earner must:

e: ;nderta#e a concluding ris# assessment byconsidering if the client6s obecti%es ha%e beenachie%ed

f: Notify the ris# manager of all such circumstances in


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accordance &ith documented procedures)

)1. Practices &ill analyse at least annually all ris#assessment data generated &ithin the practice) Thismust include:

a: any indemnity insurance claims 3&here applicable4

b: an analysis of client complaints trends

c: data generated by file re%ie&s

d: the identification of remedial action)

)1/ Practices &ill ha%e procedures for the pre%ention offinancial crime$ including:

a: the person responsible for the procedure

b: a documented re%ie& of the procedure at leastannually$ to %erify they are in effecti%e operationacross the practice)

* Client care


5)1 Practices &ill ha%e a policy for client care$ including:

a: ho& en(uiries from potential clients &ill be dealt&ith

b: ensure that before ta#ing on a client$ the practicehas sufficient resources and competence to deal&ith the matter

c: protecting client confidentiality


e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)

5)2 Practices &ill communicate the follo&ing to clients in&riting$ unless an alternati%e form of communication isdeemed more appropriate:

a: establish the client6sre(uirements and obecti%es

b: pro%ide a clear explanation of the issues in%ol%ed

and the options a%ailable to the client


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c: explain &hat the fee!earner &ill and &ill not do

d: agree &ith the client the next steps to be ta#en

e: #eep the client informed of progress$ as agreed

f: establish in &hat timescale that matter &ill be dealt&ith

g: establish the method of funding

h: consider &hether the intended action &ould bemerited on a cost benefit analysis

i: agree an appropriate le%el of ser%ice

: explain your responsibilities and the client6s

#: the client is gi%en the name and status of theperson dealing &ith their matter

l: the client is gi%en the name of person responsible forthe o%erall super%ision of their matter

5). Practices must ha%e a record of any standing terms ofbusiness &ith regular clients) The practice must beable to produce such terms in relation to issuesco%ered by this section)

5)/


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including:

a: the definition of &hat the practiceregards as a complaint

b: informing the client at the outset of the matter$ thatin the e%ent of a problem they are entitled tocomplain

c: to &hom the client can complain

d: pro%iding the client &ith a copy of your complaintsprocedure$ if re(uested

e: once a complaint has been made$ the personcomplaining is told in &riting:

3i4 ho& the complaint &ill be handled= and:

3ii4 in &hat time hey &ill be gi%en an initial and7orsubstanti%e response

f: record and report centrally all complaints recei%edfrom clients

g: identify the cause of any problems of &hich theclient has complained offering any appropriateredress$ and correcting any unsatisfactory

proceduresh: the person responsible for the procedure

i: a documented re%ie& of the procedures at leastannually$ to %erify that they are in effecti%eoperation across the practice)

5) Practice &ill ha%e a procedure to monitor clientsatisfaction across all areas of the practice)

5)5 Practices &ill ha%e a procedure for referring clients to thirdparties

+ $ile and case management


8)1 Practices &ill ha%e a procedure to accept or declineinstructions$ &hich must include:

a: ho& decisions are made to accept instructions from

ne& and existing clientsb: ho& decisions are made to stop acting for an


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existing client

c: ho& decisions are made to decline instructions

d: a person responsible for the procedure

e: a documented re%ie& of the procedures at leastannually$ to %erify that they are in effecti%eoperation across the practice)

8)2 Practices &ill ensure that the strategy for a matter isal&ays apparent on the matter file and that in complexcases a proect plan is de%eloped)

8). Practices &ill ha%e documented procedures to ensurethat matters are progressed in an appropriate manner)*n particular:

a: #ey information must be recorded on the file

b: a timely response is made to telephone calls andcorrespondence from the client and others

c: continuing cost information is pro%ided

d: clients are informed in &riting if the person &ithconduct of their matter changes$ or there is a

change of person to &hom any problem &ithser%ice should be addressed)

8)/ Practices &ill document procedures for the gi%ing$monitoring and discharge of underta#ings)

8) Practices &ill ha%e a procedure to:

a: list open and closed matters$ identify all matters fora single client and lin#ed files &here rele%ant andall files for a particular funder

b: ensure that they are able to identify and trace any

documents$ files$ deeds$ &ills or any other itemsrelating to the matter)

c: safeguard the confidentiality of matter files and allother client information

d: ensure that the status of the matter and the actionta#en can be easily chec#ed by other members ofthe practice

e: ensure that documents are stored on the matterfile3s4 in an orderly &ay)

8) Practices &ill ha%e a documented procedure for usingbarristers$ expert &itnesses and other externalad%isers &ho are in%ol%ed in the deli%ery of legal


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ser%ices$ &hich &ill include pro%ision for the follo&ing:

a: use of clear selection criteria

b: &here appropriate$ consult &ith the client in relationto selection of ad%ocate or other professional

c: clients to be ad%ised of the name and status of theperson being instructed$ ho& long she7he mightta#e to respond and$ &here disbursements are tobe paid by the client$ the cost in%ol%ed

d: maintenance of records 3centrally$ by department oroffice4 on barristers and experts used$ including

e%idence of assessment against the criteria

e: e%aluation of performance$ for the information ofother members of the practice

f: gi%ing clear instructions

g: chec#ing of opinions and reports recei%ed toensure they ade(uately pro%ide the informationsought 3and$ in litigation matters$ comply &ith therules of court and any court orders4

h: payment of fees)

8)5 Practices &ill ha%e documented procedures to ensurethat$ at the end of the matter$ the practice:

a: reports to the client on the outcome and explainsany further action that the client is re(uired to ta#ein the matter and &hat 3if anything4 the practice &illdo

b: accounts to the client for any outstanding money

c: returns to the client any original documents or otherproperty belonging to the client if re(uired 3sa%e foritems &hich are by agreement to be stored by the

practice4

d: if appropriate$ ad%ises the client aboutarrangements for storage and retrie%al of papersand other items retained 3in so far as this has notalready been dealt &ith$ for example in terms ofbusiness4 and any charges to be made in thisregard

e: ad%ises the client &hether they should re%ie& thematter in future and$ if so$ &hen and &hy

f: archi%es and destroys files in an appropriate manner


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lexcelv5 self assessment checklist

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