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Page 1: Sole solicitor   qaq electronic version[sra]

This questionnaire contains the following sections: -

INTRODUCTION

FREQUENTLY ASKED QUESTIONS

Q.

We recommend that you print the 'Instructions for Completion' section for ease of reference as you complete the questionnaire.

Effective risk management is an essential feature of all successful legal practices and is one of QBE’s key considerations when making underwriting decisions. Our analysis tells us that firms which do not engage in our risk assessment process experience more turbulent claims histories than those firms that do. The primary purpose of our questionnaire is, therefore, to raise awareness of risk management issues and to encourage the adoption of quality assurance principles to manage risk. It is not solely about results achieved, and we do not expect all firms to score 100%. Rather, QBE aims to work with our insured clients to improve their management processes so that the likelihood and value of claims is reduced. We recognise that this process takes time, but this initiative is wholly consistent with our approach of continuity, stability, and our long-term commitment to the professional indemnity market.

Your response to this questionnaire will be analysed to prepare a report on your business with reference to the industry standard Lexcel, including prioritised action points for your consideration. The process of completing the questionnaire might highlight issues that you would wish to address prior to returning the questionnaire to us. To assist you in updating key practice documents, we have prepared a Core Management System document pack that is available on our website at:www.qbeeurope.com/professional-financial/broker-resources/quality_assurance.asp

The report, which is free of charge, will be delivered to you in hard copy. Removed hyperlink and ref to other documents). By participating, you will benefit from an impartial review of your business and administrative practices. Furthermore, the Partner / Solicitor completing the questionnaire process will earn valuable CPD points as this process is recognised by the SRA as a distance learning tool. Full details of CPD points awards are included in the following Frequently Asked Questions (FAQ) section.

Developed from the Lexcel Quality Assurance framework, the questionnaire is designed to provide you with a tool to review your management structure and processes – an exercise that will assist both insurers and insureds to assess risks and act accordingly. To make the questionnaire as holistic as possible, we have incorporated within the Lexcel framework, overlapping requirements of the latest versions of the Solicitors' Code of Conduct, Specialist Quality Mark, ISO 9001, Investors in People and also legislative and regulatory requirements.

QBE is committed to the continued development of both service and market understanding to assist clients through today’s challenges in business. This initiative underlines our long-term commitment to the Solicitor Professional Indemnity market and to high standards of Quality Assurance.

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Copyright © 2010 QBE Insurance (Europe) Limited

We trust the above answers all of your queries, but please call your broker or contact us at: [email protected] should you have any further questions. Thank you for your participation in our risk management initiative.

QBE Insurance (Europe) Limited is part of QBE European Operations, a division of the QBE Insurance Group. QBE Insurance (Europe) Limited is authorised and regulated by the Financial Services Authority. Authorisation No. 202842. Registered office Plantation Place, 30 Fenchurch Street, London, EC3M 3BD. Registered in England and Wales No. 1761561

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This questionnaire contains the following sections: -

INTRODUCTION

FREQUENTLY ASKED QUESTIONS

What is Lexcel and why does QBE use it as a performance benchmark?

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

• Introduction & Frequently Asked Questions• Instructions for Completion• Your Details• Standard Form - estimated completion time 1.5 hours• Optional Comprehensive Form - estimated completion time an additional 2 hours

We recommend that you print the 'Instructions for Completion' section for ease of reference as you complete the questionnaire.

Effective risk management is an essential feature of all successful legal practices and is one of QBE’s key considerations when making underwriting decisions. Our analysis tells us that firms which do not engage in our risk assessment process experience more turbulent claims histories than those firms that do. The primary purpose of our questionnaire is, therefore, to raise awareness of risk management issues and to encourage the adoption of quality assurance principles to manage risk. It is not solely about results achieved, and we do not expect all firms to score 100%. Rather, QBE aims to work with our insured clients to improve their management processes so that the likelihood and value of claims is reduced. We recognise that this process takes time, but this initiative is wholly consistent with our approach of continuity, stability, and our long-term commitment to the professional indemnity market.

Your response to this questionnaire will be analysed to prepare a report on your business with reference to the industry standard Lexcel, including prioritised action points for your consideration. The process of completing the questionnaire might highlight issues that you would wish to address prior to returning the questionnaire to us. To assist you in updating key practice documents, we have prepared a Core Management System document pack that is available on our website at:www.qbeeurope.com/professional-financial/broker-resources/quality_assurance.asp

The report, which is free of charge, will be delivered to you in hard copy. Removed hyperlink and ref to other documents). By participating, you will benefit from an impartial review of your business and administrative practices. Furthermore, the Partner / Solicitor completing the questionnaire process will earn valuable CPD points as this process is recognised by the SRA as a distance learning tool. Full details of CPD points awards are included in the following Frequently Asked Questions (FAQ) section.

Developed from the Lexcel Quality Assurance framework, the questionnaire is designed to provide you with a tool to review your management structure and processes – an exercise that will assist both insurers and insureds to assess risks and act accordingly. To make the questionnaire as holistic as possible, we have incorporated within the Lexcel framework, overlapping requirements of the latest versions of the Solicitors' Code of Conduct, Specialist Quality Mark, ISO 9001, Investors in People and also legislative and regulatory requirements.

QBE is committed to the continued development of both service and market understanding to assist clients through today’s challenges in business. This initiative underlines our long-term commitment to the Solicitor Professional Indemnity market and to high standards of Quality Assurance.

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Is Lexcel relevant to smaller firms?

Do the requirements of QBE's Questionnaire conflict with any of our other obligations?

Why has QBE asked me to complete a questionnaire?

How long will it take to complete?

Lexcel is the Law Society’s practice management quality mark. Written specifically for the legal profession, it is accepted as the most appropriate standard for Solicitors. Lexcel is used as the platform on which to develop a risk management tool because the main causes of claims against Solicitors are covered by Lexcel. In addition, the standard covers specific procedures for assessing and managing risk within your Practice. The Standard is regularly reviewed to take account of developments in the profession and to ensure that it remains relevant to the current business environment.

The Lexcel review process involves consultation with a cross-section of stakeholders to ensure that the standard is of equal value to organisations of all sizes. A broad section of the legal profession, including sole practitioners, public sector legal departments, and qualifying insurers are therefore consulted as part of the revisions process. Suggestions are incorporated where appropriate, and in turn, these filter through to the QA questionnaire.

Additionally, a good deal of QA processes, especially in relation to high PI risk factors, concentrate on a firm’s case management and client care. These areas of practice management are of vital importance in terms of mitigating losses and so the requirements are homogenous regardless of Practice size.

The Questionnaire has been designed to be holistic and to support related obligations your practice might have. This latest version of the questionnaire identifies specifically which aspect of the following codes, standards and statutory requirements are addressed by each question, (the shortened term used in the questionnaire is shown in brackets):

• Solicitors' Code of Conduct ('Sols' Code')• Lexcel Practice Management Standard ('Lexcel')• Specialist Quality Mark ('SQM')• International Standard BS EN ISO 9001 ('ISO 9001')• Investors in People ('IiP')• Legislation and Regulations ('Legal')

There should be no conflicts between these requirements, however should you have any concerns in this regard, your legal obligations should of course come first before non-mandatory standards.

As some of the Acts and Regulations have lengthy titles and/or are repeated numerous times, we have used abbreviations for these in the questionnaire and these are as follows:

DDA: Disability Discrimination ActDPA: Data Protection ActEPA: Equal Pay ActERA: Employment Relations ActFRRO: Fire Risk Reform OrderFSMA: Financial Services and Markets ActHRA: Human Rights ActH&SaWA: Health & Safety at Work ActMLR: Money Laundering RegulationsPOCA: Proceeds of Crime ActRRA: Race Relations ActSDA: Sex Discrimination Act

QBE’s approach to underwriting is based on knowledge and understanding. By completing the questionnaire, you will help us to both better understand your organisation and make more informed underwriting decisions when we’re servicing your business. However, please be assured that your completed questionnaire does not form a part of the contract of insurance.

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What will I receive?

How many CPD points do I achieve?

How do I collect my CPD points?

What will happen if my firm is seen to have poor practice management standards?

What if our Practice already has the Lexcel Standard?

You are invited to complete the standard form first. This is an extract from the comprehensive form containing questions relating to key business management issues that influence your exposure to negligence claims. We estimate a completion time of 1 to 1½ hours for this part of the questionnaire. Please note that as the standard form represents a series of questions extracted from the comprehensive form, the question numbers are not always sequential.

You can then elect to complete the comprehensive form which provides an evaluation of your overall practice management standards against the Lexcel standard. We estimate a completion time of an additional 1½ to 2 hours for this part of the questionnaire.

Respondents receive a written report showing their responses to the questionnaire and QBE’s findings based on the criteria contained in the Lexcel standard. A detailed checklist will assist you in addressing issues that might require attention – a feedback process enables you to submit changes that you implement as a result of this process. The process and reports are free of charge whilst a health check against the Lexcel standard could cost several thousand pounds from an independent consultant.

For the standard form and feedback process – 3 hours.For the comprehensive form and feedback process – 6 hours.

The written report you will receive after completing the feedback process will incorporate a course reference number for inclusion in your CPD log. We will also keep records of those completing both the questionnaire and feedback process in case of query by the SRA.

If my firm demonstrates that it has good practice management standards, what can I expect from QBE?

QBE rewards good management practices. Our underwriters take the results of the quality assurance process fully into consideration when setting premiums. We seek to provide our preferred clients with discounts from the standard rating model developed for this insurance portfolio.

If we feel that specific assistance is required to improve your practice management standards, we will ask you to adopt our Core Management Systems and/or in some circumstances, provide you with the services of an experienced consultant to develop your risk management controls further. Consultancy assistance is tailored to suit your needs taking into account the size of your firm, the systems you already have in place, and any progress you may have already made towards a recognised Quality Standard. Whilst consultancy assistance is at the discretion of the underwriter, hundreds of firms have benefitted from QBE's quality assurance and risk management expertise over the years and seen positive results.

What would happen if I do not complete a questionnaire or do not agree to accept consultancy assistance?

At best, QBE would only offer you model premium rates at the next renewal, but there is a distinct possibility that they may not offer renewal terms to you. We are sure that you will appreciate the benefits of improving your risk, if necessary, and would wish to work with us to achieve an improvement in respect of your practice management standards.

If your practice has the Lexcel quality award, then it will already comply with the vast majority of the requirements in the questionnaire. A few of the requirements, however, are taken from outside the Lexcel Standard as they relate to other business risks or aspects of quality assurance 'best practice' that are not currently included in Lexcel.

Will completing the questionnaire process help with a visit from the Practice Standards Unit (PSU)?

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What about the Code of Conduct and Practice Rule 5 on Business Management?

Practice standards monitoring now comes within the role of the SRA and the scope of a monitoring visit mainly addresses:

1.       The Solicitors’ Code of Conduct;2.       Complaints handling and management;3.       The Solicitors’ Accounts Rules;4.       The Solicitors’ Financial Services Rules.

There are major overlaps with the requirements of the questionnaire in respect of items 1 and 2 and to a lesser extent with items 3 and 4. Addressing our recommendations will therefore help to demonstrate to the SRA/PSU that you have adequate controls in place and that you are taking your business and risk management responsibilities seriously (see also the following FAQ).

We understand that there are times when you might benefit from further reassurance of the effectiveness of your quality assurance systems, such as prior to a Practice Standards Unit (PSU) visit. For this, we have developed our Practice Healthcheck. If you have completed our comprehensive questionnaire and are faced with a PSU visit, you may be entitled to a Practice Healthcheck consultation with one of QBE’s quality assurance consultants. You should contact your broker in the first instance regarding this service.

The Solicitors' Code of Conduct was updated on 01 July 2007 and included a new rule - Practice Rule 5, placing greater emphasis on business operations including supervision, management and risk management arrangements. This means that these issues are now to be dealt with as a matter of professional practice and could result in disciplinary proceedings if found to be lacking. Using the comprehensive version of the questionnaire will help in the following ways:

Risk AssessmentGuidance Note 39 to 5.01(1)l states that "Firms should have arrangements in place for assessing the risks attaching to each area of their operation."

Guidance Note 40 goes on to say that "Ideally the scope of the arrangements should not be confined to risks arising from professional negligence, but should extend to client-related and business-related risks of all sorts. A non-exhaustive list might include complaints (including a complaints log); client-related credit risks and exposure; claims under legislation relating to such matters as data protection; IT failures and abuses; and damage to offices".

The QA Questionnaire is a Risk Assessment Tool that can be used for this purpose. Questions are rated as High, Medium, Low, or non-PI risk so that resultant action points can be prioritised. The comprehensive version of the Questionnaire addresses both operational and business risks, and includes questions on all issues included in this practice rule guidance note and more.

Risk ManagementGuidance Note 5 to Practice Rule 5.01(1) states that "Firms will be expected to be able to produce evidence of a systematic and effective approach to management, and this may include the implementation by the firm of one or more of the following:(a) guidance issued …. by the SRA or the Law Society on the supervision and execution of particular types of work …….,(b) the firm's own properly documented standards and procedures;(c) practice management standards ... by the Law Society;(d) accounting standards and procedures … by the SRA;(e) external quality standards such as BS EN ISO 9000, Investors in People, or quality standards required by the Legal Services Commission in connection with undertaking publicly funded work, or the Lexcel standard, ….."

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What's the difference between a plan, a policy, a process, and a procedure?

Copyright © 2010 QBE Insurance (Europe) Limited

Continue to the next section

Our Core Management System ('CMS') document pack is available at:www.qbeeurope.com/professional-financial/broker-resources/quality_assurance.aspand can be used as a starting point to fulfil this requirement through route (b). It includes a Practice Manual and supporting precedents for risk management. The documents must be adapted to suit each individual practice (and further documents added to address lower and non-PI risks if the Lexcel Standard is the ultimate goal).

Risk MonitoringGuidance Note 39 to Practice Rule 5.01(1) states that "Risk management arrangements are unlikely to be considered adequate unless they include periodic reviews of the firm's risk profile". The Feedback Report produced in response to completed questionnaires could be revisited annually to fulfil this requirement. The QBE QA Team is happy to re-process updated feedback and make further recommendations based on your new profile. There is no charge for this service.

A plan is a route map to achieving certain objectives. It might be a high level plan setting out overall business objectives or a more detailed project management document relating to specific areas of the business such as IT development or business continuity. In all cases, the desired goals should be supported by 'SMART' objectives so that effective monitoring can be employed. Defining such plans ensures that each person in the practice can share the vision and understand their role in achieving it.

A policy is the overarching approach that a practice adopts on a particular issue such as quality, client care, health & safety, and equality & diversity. Policies describe general aims and objectives, the principles underpinning them, and the practice's commitment to achieving these. As such, policies are generally signed by one or more partners to demonstrate this commitment. For a policy to be 'in place', it must have been publicised effectively so that all personnel understand the policy and their role in fulfilling it.

A process is the methodology by which your policies are implemented. It is a more detailed sequence of events addressing the inputs, activities, responsibilities and outcomes necessary to ensure effective implementation. For a process to be in place and working effectively, the agreed methodology should be followed by all personnel in a consistent manner. A procedure is a written description of a process.

Whilst it is not mandatory to have all plans, policies and processes documented, we believe that that having such documents ensures consistency, reduces misunderstandings, wasted time and errors, and is beneficial for people trying to understand your practice, for instance new personnel or clients looking to do business with you. For these reasons we advocate a central Manual or Intranet space for all documented plans, policies and processes in your practice. It is possible to define something other than in a document of the same name, for instance via a briefing session, via a memo or e-mail, training notes etc, however, for the reasons stated above, it would be better to have any such directives included in the central Manual or Intranet space.

We trust the above answers all of your queries, but please call your broker or contact us at: [email protected] should you have any further questions. Thank you for your participation in our risk management initiative.

QBE Insurance (Europe) Limited is part of QBE European Operations, a division of the QBE Insurance Group. QBE Insurance (Europe) Limited is authorised and regulated by the Financial Services Authority. Authorisation No. 202842. Registered office Plantation Place, 30 Fenchurch Street, London, EC3M 3BD. Registered in England and Wales No. 1761561

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INSTRUCTIONS FOR COMPLETION

This questionnaire contains three types of questions;

1) short closed questions: where a just a simple 'Yes or 'No' is required;

** PLEASE PRINT A COPY OF THIS PAGE FOR YOUR FUTURE REFERENCE BEFORE PROCEEDING WITH THE COMPLETION OF THE QUESTIONNAIRE.**

Please answer the questions in the order they appear in the form. Please note that the questions in the standard form are not necessarily sequentially numbered. Your responses to the questions contained in this form should be placed into the yellow input cells. These input cells change colour to white when data is recorded.

2) longer closed questions: which include a bullet-point list of requirements and where it is possible to comply with all, some or none of the requirements listed;

3) open questions: which have room for free text entries, however these are restricted to the section entitled 'Your Details' only.

In appropriate cases, there is also an option to select 'not applicable'. Restrictions on selecting the 'N/A' option are shown as 'NB' and may apply due to the size or structure of your practice or the work that you conduct. The majority of questions also have additional guidance indicated by a 'G'.

At the end of each question there is a list of 'originating requirements'. These are the standards, codes and statutory obligations from which the questionnaire has been developed, and are as follows. these are listed below - the shortened term used in the questionnaire is shown in brackets:

• Solicitors' Code of Conduct ('Sols' Code')• Lexcel Practice Management Standard ('Lexcel')• Specialist Quality Mark ('SQM')• International Standard BS EN ISO 9001 ('ISO 9001')• Investors in People ('IiP')• Legislation and Regulations ('Legal')

Please refer to the sample questions below for examples of guidance, N/A restrictions and originating requirements.

The following is an example of a short 'Yes or No' type question. By clicking on the yellow input cell a drop-down arrow will appear to the right of the cell. Click on the arrow to reveal the drop-down menu and select the appropriate answer.

The following is an example of a longer closed question which includes a bullet-point list of requirements. You can indicate compliance with all, some or none of the requirements listed. By clicking on the yellow input cell a drop-down arrow will appear to the right. Click on the arrow to reveal the drop-down menu and select the appropriate answer.

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The following is an example of an open question. Click on the yellow input cell to input your response. This input cell will not accept paragraph breaks. Please keep your answers as brief as possible but cover all salient points.

To edit responses within an open question, click on the input cell and edit the text using the formula bar (indicated below).

The questionnaire can be saved any time during the completion process. Having completed the questionnaire click on the save button. The completed questionnaire should be returned to your broker in the first instance. If you have any questions please call your broker or contact us at [email protected].

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INSTRUCTIONS FOR COMPLETION

This questionnaire contains three types of questions;

1) short closed questions: where a just a simple 'Yes or 'No' is required;

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

** PLEASE PRINT A COPY OF THIS PAGE FOR YOUR FUTURE REFERENCE BEFORE PROCEEDING WITH THE COMPLETION OF THE QUESTIONNAIRE.**

Please answer the questions in the order they appear in the form. Please note that the questions in the standard form are not necessarily sequentially numbered. Your responses to the questions contained in this form should be placed into the yellow input cells. These input cells change colour to white when data is recorded.

2) longer closed questions: which include a bullet-point list of requirements and where it is possible to comply with all, some or none of the requirements listed;

3) open questions: which have room for free text entries, however these are restricted to the section entitled 'Your Details' only.

In appropriate cases, there is also an option to select 'not applicable'. Restrictions on selecting the 'N/A' option are shown as 'NB' and may apply due to the size or structure of your practice or the work that you conduct. The majority of questions also have additional guidance indicated by a 'G'.

At the end of each question there is a list of 'originating requirements'. These are the standards, codes and statutory obligations from which the questionnaire has been developed, and are as follows. these are listed below - the shortened term used in the questionnaire is shown in brackets:

Solicitors' Code of Conduct ('Sols' Code')Lexcel Practice Management Standard ('Lexcel')Specialist Quality Mark ('SQM')International Standard BS EN ISO 9001 ('ISO 9001')Investors in People ('IiP')Legislation and Regulations ('Legal')

Please refer to the sample questions below for examples of guidance, N/A restrictions and originating requirements.

The following is an example of a short 'Yes or No' type question. By clicking on the yellow input cell a drop-down arrow will appear to the right of the cell. Click on the arrow to reveal the drop-down menu and select the appropriate answer.

The following is an example of a longer closed question which includes a bullet-point list of requirements. You can indicate compliance with all, some or none of the requirements listed. By clicking on the yellow input cell a drop-down arrow will appear to the right. Click on the arrow to reveal the drop-down menu and select the appropriate answer.

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Continue to the next section

Return to the previous section

The following is an example of an open question. Click on the yellow input cell to input your response. This input cell will not accept paragraph breaks. Please keep your answers as brief as possible but cover all salient points.

To edit responses within an open question, click on the input cell and edit the text using the formula bar (indicated below).

The questionnaire can be saved any time during the completion process. Having completed the questionnaire click on the save button. The completed questionnaire should be returned to your broker in the first instance. If you have any questions please call your broker or contact us at [email protected].

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Your details:

Who is your PI Insurance Broker:

Your Name:

Date:

Practice Ref:

Practice Name:

Address Line 1:

Address Line 2:

Address Line 3:

Town:

County:

Post Code:

Tel Number:

Fax Number:

E-Mail Address:

Website Address:

Number of Offices / Branches:

Total number of personnel (full and part time, all managers and staff)?

Full Time Part Time

Partners:

Solicitors & Consultants:

Other Fee Earners:

Other Staff (excluding cleaning,maintenance & other manualemployees):

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

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What is the extent of your computerisation?

Yes / No Software / Service used

Time Recording Individually:

Time Recording Centrally:

Accounts:

Client Database:

Case Management System:

Conflict Searches:

Central Diary:

Diary Reminders:

Record of Undertakings:

E-Conveyancing:

Website:

E-mail:

Verifying Client Identity:

What is the scope and limitation of services provided by your Practice via e-mail / internet?

What quality standards do you have in place?

Yes / No

Lexcel (Law Society's Quality Management Standard for Solicitors):

Specialist Quality Mark (LSC's Quality Management Standard forpublicly funded work):

ISO 9001 (International Model for Quality Management Systems):

Investors In People (Training & Development Standard):

ISO 14001 (Environmental Management Standard):

BS 25999 (Business Continuity Standard):

ISO 27001 (Formerly BS 7799 Information Security Standard):

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BS 8800 / ISO 18001 (Occupational Health & Safety Standard):

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Other or none (please state):

Do you provide financial services subject to the Solicitors' Financial Services(Scope) Rules and the Solicitors' Financial Services (Conduct of Business) Rules?

If "No", continue to the next section.

Have you allocated specific responsibility for reviewing updates and guidanceto these Rules and for advising relevant personnel accordingly?

Are the Firm's policies and procedures related to financial servicesup to date, readily available, and followed consistently?

Other comments regarding the risk management of supplementary financial services provided:

May we contact you in case of query?

Continue to the next section

Return to the previous section

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PREVENTION OF FINANCIAL CRIME (PFC)

PFC2:

PFC3:

PFC6:

PFC8:

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PFC10:

Percentage of questionnaire complete

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PREVENTION OF FINANCIAL CRIME (PFC)

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1; 8.2.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

[Code of Conduct: 5.01(b)] [Lexcel: 1.5a-e] [SQM: ~] [Legal: MLR 2007] [ISO 9001: 7.1] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are financial transactions subject to inspection at intervals not exceeding six months? G: This should be by someone who is independent of those who process the transactions and who is sufficiently knowledgeable about the accounting function. This may be conducted in-house or by your Accountants during a quarterly review for instance.

NB: N/A may only be selected if there is only one person in the Practice able to conduct and/or understand financial transactions to perform this role effectively.

Have you (or any relevant personnel) received the latest training in respect of the Solicitors’ Accounts Rules?G: This includes yourself and any staff or sub/contract personnel involved in the book-keeping and accounting function.

Have you appointed yourself or another senior person as the Nominated Officer responsible for the practice's arrangements to prevent financial crime?G: Previously this person most probably would have been referred to as the Money Laundering Reporting Officer (MLRO).

NB: N/A may only be selected if you do not operate a client account and have assessed your work as being both exempt from money laundering regulations and unlikely to reveal information that may need to be disclosed under the Proceeds of Crime or Terrorism Acts.

[Code of Conduct: 5.01(b)] [Lexcel: 1.5a] [SQM: ~] [Legal: MLR 2007, POCA 2002, Anti-Terrorism Act 2001] [ISO 9001: 5.5.1] [IiP: ~]

Has the Practice reviewed the latest requirements and/or professional guidelines on money laundering and mortgage fraud and developed its policies and procedures accordingly?G: Adoption of such guidance may provide some defence against prosecution. Policies and procedures should include responsibilities and authority within the Practice, processes for making disclosures within the Practice and to the relevant authorities, client due diligence, training, and record keeping. The latest guidance notes produced by the Law Society (notably regarding the new Money Laundering Regulations due to come into force on 15 December 2007) should be referred to.

NB: N/A may only be selected if you do not conduct conveyancing work and have assessed all other work-types as being exempt from Money Laundering Regulation.

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Percentage of questionnaire complete

Continue to the next section

Return to the previous section

Do training arrangements include:

• provision of induction training for new personnel on financial crime risks and preventative measures employed within the Practice;• monitoring of updates to legislation, regulations and professional guidance and provision of further training when necessary;• regular review of financial crime risks and provision of regular refresher training for all personnel? G: Training should include the specific risk areas where financial crime might be perpetrated, methodologies, warning signs, associated offences, channels for reporting, procedures (including client due diligence) to be followed, and the records to be made and kept. There is no N/A allowed on this question on the same basis as PFC9.

[Code of Conduct: 5.01(b)] [Lexcel: 1.5b-d] [SQM: ~] [Legal: MLR 2007, POCA 2002, Anti-Terrorism Act 2001] [ISO 9001: 6.6.2] [IiP: 5.1; 5.3]

0% 5000%

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WORKING ENVIRONMENT (WE)

WE5:

WE8:

Percentage of questionnaire complete

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WORKING ENVIRONMENT (WE)

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.4] [Legal: ~] [ISO 9001: 4.2.3; 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.4] [Legal: ~] [ISO 9001:4.2.3; 6.4; 7.5.1b] [IiP: ~]

Percentage of questionnaire complete

Continue to the next section

Return to the previous section

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Does the Practice have access to the necessary research information (reference texts, encyclopaedias, web-based research tools, periodicals and journals as appropriate)?G: This may be within the Practice and/or externally via a law library.

Are effective procedures in place for the identification, upkeep, availability, and use of legal precedents?G: At the very least, there ought to be a list of the precedents available, location and latest version status, that can be referred to by other fee-earners, support staff or a locum.

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FILE MANAGEMENT (FM)

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FM12:

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FM13:

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FILE MANAGEMENT (FM)

[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: E1.2f] [ISO 9001: 4.2.4; 7.5.3] [Other ~] [Legal: ~]

[Code of Conduct: 5.01(1)g] [Lexcel: (8.8b)] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.3f; 7.5.4] [IiP: ~]

[Code of Conduct: 4.01; 5.01(1)g; 11.08] [Lexcel: ~] [SQM: ~] [ISO 9001: 4.2.3f; 4.2.4; 7.5.5] [Other: ~] [Legal: ~]

[Code of Conduct: 4.01; 5.01(1)g] [Lexcel: 8.8c] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 7.5.5] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are all related case files identified as such? G: This applies to the same matter with more then one file (i.e. the same file number but separate documents and correspondence files) and related matters (with different file numbers, such as separate sale and purchase files for linked transactions).

Are procedures defined for the identification, handling and storage of client property?G: This should cover at least: deeds, wills, client money, investments or other documents. Systems should be capable of identifying to whom documents and assets belong, which matter they relate to, whether there are any particular undertakings attached, and any special storage/retention instructions.

NB: N/A may only be selected if you do not receive, hold, or handle in any way, client documents, information, assets or other property in either hard or soft media.

Have you a written policy that addresses the treatment of files to maintain confidentiality?G: This should address for instance, reviewing files on trains, taking files home, leaving files in cars and leaving files on display in areas where other clients are being attended. Consideration in respect of shared business premises, outsourced services, release of files or client details to third parties and contractual confidentiality clauses for any employees. If your Practice is subject to any third party audit (e.g. by Lexcel or LSC assessors), then client consent processes will need to be part of this policy.

[Code of Conduct: 4; 5.01(1)g] [Lexcel: 8.8c; (8.1b)] [SQM: F4.1; F4.2; F4.3] [Legal: ~] [ISO 9001: 4.2.4; 7.5.4] [IiP: ~]

Are procedures in place for handling, storage, protection, and return of sensitive materials?G: This might include for instance child witness statements, sensitive photographic material, Treasury / Home Office documents etc. Such materials should be kept under secure storage, not disclosed, kept confidential, returned by hand (or recorded delivery) and generally cared for in accordance with any undertaking given.

NB: N/A may only be selected if your Practice does not and is never likely to handle materials that would be classified as sensitive.

Have you defined procedures for keeping files secure whilst on the premises?G: Such procedures should extend to storage of current (active or inactive) and closed matters.

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[Code of Conduct: ~] [Lexcel: 8.8d] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.3e] [IiP: ~]

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Is key information about the matter and its current status kept up to date so that someone else handling the file has ready access to the details?G: This might include the use of a file summary sheet, operation of a case management system (or other centrally accessible notes), or colour coding of key information on the file.

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CLIENT CARE (CC)

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CLIENT CARE (CC)

[Code of Conduct: 2.02(2)d; 2.05(1)b] [Lexcel: 7.2] [SQM: F1.1c; F1.2a] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 7.3] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: 2.03(4); 2.06; 8.01-8.02] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: 2.05(1)a&c] [Lexcel: 7.4] [SQM: G1.1; G1.2] [Legal: ~] [ISO 9001: 7.1; 7.2.3c; 8.2.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 7.4b] [SQM: G1.2; G1.3] [Legal: ~] [ISO 9001: 4.2.4; 8.5.2] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are clients provided with written client care information that includes (as appropriate):

• the name and status of the person responsible for their case;• the name any Supervisor and the person responsible for overall supervision;• the name/s of the person/s to complain to in the event that they are dissatisfied with the service provided?

G: If there is more then one person likely to be working on the case, all names and statuses should be advised. Complaint contacts may be a stepped approach whereby the person dealing with the case is notified of the problem first, then a Supervisor, then the Principal.

Where standing terms of business for clients with business of a repeat nature, is there a record of these and are they subject to regular review to ensure they are kept up to date and updated terms issued where necessary?

NB: N/A may only be selected if terms of business are issued afresh each time a new instruction is received.

Do you provide clear information to clients regarding any intended fee-sharing or referral incentives that you operate?G: Guidance on this can be found in Practice Rules 8 and 9. Commissions received over £20 must be paid to the client unless agreed otherwise.

NB: N/A may only be selected if you do not operate any fee-sharing or referral incentive schemes.

Does the Practice have a documented complaint handling procedure that can be made available to clients on request or should it become apparent that they may need to use it?G: It is not necessary to advise of the full complaints process at the outset of a case. It is preferable to just advise of the existence of the procedure and a contact name in case of concern.

Are all complaints (whether considered justified or not at the outset) recorded in writing and logged so that they can be centrally monitored, reviewed, and analysed?G: A complaints register or book should be established for this purpose. All related correspondence should also be filed centrally in support.

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[Code of Conduct: 2.05(1)a; 20.05-20.06] [Lexcel: ~] [SQM: G1.2] [Legal: ~] [ISO 9001: 5.5.1; 8.5.2] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 7.4b] [SQM: ~] [Legal: ~] [ISO 9001: 8.5.2] [IiP: ~]

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As the Principal, do you have overall responsibility for ensuring that complaints are handled promptly, fairly and effectively?G: Where a larger number of staff are employed, it is acceptable to have another senior person to deal with complaints in the first instance, providing they report (and escalate matters as appropriate), to the Principal. Arrangements should include ensuring full co-operation with the SRA should it become involved.

Are time scales set for completion of complaint handling activities and are these monitored centrally to ensure they are followed and that responses are appropriate?G: Complaints monitoring should form part of any management / team meeting core agenda. The central records referred to in CC12 should be used for this purpose.

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CASE MANAGEMENT (CM)

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CASE MANAGEMENT (CM)

[Code of Conduct: Core Duties] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: 3; 4.03; 5.01(1)d] [Lexcel: 8.3] [SQM: E1.2a] [Legal: ~] [ISO 9001: 7.2.1; 7.2.2] [IiP: ~]

[Code of Conduct: 3; 4.04-4.05; 18.03] [Lexcel: 8.3] [SQM: E1.2a] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.4] [SQM: F1.1] [ISO 9001: 7.2.1; 7.2.2] [Other: ~] [Legal: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are the criteria for accepting new clients and accepting new instructions from existing clients defined?G: Criteria might include: making clear who the client is, financial viability, potential profitability, the Practice’s previous experience or current impression of the client, attempts at instructing other Solicitors, reasons for disengaging with any previous Solicitor, client expectations, the work-type, 'core duty' issues, capacity and skills available and perceived risk including that under MLR 2007. The criteria must not however include anything that might be construed as unlawful discrimination. General categories of clients / work types might be described in promotional literature, client care / policy statements, business / marketing plans and/or in a procedures manual.

[Code of Conduct: 2.01(1)] [Lexcel: 6.8a; 8.2] [SQM: A3.1; C1.5] [Legal: EO Code of Practice 1985; DDA 1995] [ISO 9001: 7.1; 7.3; 7.5.1] [IiP: ~]

Is client authority verified as part of the initial acceptance checks and recorded on the file? G: This may apply to corporate clients, one of a couple, family members, or third party instructions.

Are conflicts of interest checked systematically as part of the initial acceptance procedure both:• in relation to conflicts between clients;• and between clients and the Practice, its Partners and staff?G: This might be a combination of systematic checking the client database for key words on opponents, other parties and assets / liabilities involved, a register of interests of yourself and your staff, existing knowledge and consultation with other fee-earners and offices. Database checks will only be as reliable as the data held so it is essential that these details are kept up to date.

Is a procedure defined for handling any conflicts that do arise?G: Referral to yourself or a Supervisor may be necessary to resolve conflicts and written agreement obtained from clients in situations where continuation is possible in accordance with professional conduct rules. Extensive guidance is given in Practice Rules 3 and 4.

Is a legible attendance note of initial discussions or a copy of the client’s instructions shown on the file? G: If handwriting is not sufficiently legible, notes should be word-processed.

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[Code of Conduct: 2.03(1)a-c&e; 2.03(4)] [Lexcel: 7.2] [SQM: F1.2c&d] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

Does the attendance note (or instructions with any supplemental notes) include, as appropriate:

• client requirements, objectives, and/or nature of the problem;• specific objectives;• issues raised and advice given;• options discussed and any associated risks;• action to be taken by the Practice;• approximate time scale to complete the agreed actions;• any actions that the client is required to complete?

G: Confirmation of the above in writing (in accordance with CM17) may be used as the detailed record instead of an equally detailed attendance note but a short attendance note showing date, time and cross-references to the more detailed documents should be completed. Information that cannot be ascertained initially should be obtained and supplemented later.

[Code of Conduct: 2.02(1)a-c; 2.02(2)b-c] [Lexcel: 8.4a-c] [SQM: F1.1a&b] [Legal: ~] [ISO 9001: 7.2.1; 7.2.2; 7.3] [IiP: ~]

Does cost information include:

• the basis of the fees to be charged;• advance warning if fee rates changes are to be applied to existing work;• a best estimate of total likely costs on every matter, (to include fees, disbursements, and VAT), either at the outset or as soon as issues become clearer;• payment terms, including circumstances when a lien might be exercised for unpaid costs;• any fee-sharing arrangements to be applied;• arrangements for updating costs information?

G: A cost range or an estimate for a first stage may be given but it is not adequate to advise clients that ‘it is not possible to give a costs estimate’. Expected costs should be supported by hourly rates for all personnel involved in the matter, and estimated time to complete the matter, but not an hourly rate on its own. Repeat work can be advised once only and then updated occasionally. Terms and conditions relating to public funding (such as the Statutory Charge) should be made clear in relevant cases.

Are alternative means of funding (for the client's or their opponent's costs) discussed and recorded or confirmed as appropriate?G: Other sources apart from client funds may be relevant, including public funding, legal expenses insurance, trade union benefits, conditional or contingency fee arrangements. Alternative funding sources should be considered both at the outset and if there is any significant change in the clients means as the case progresses

NB: N/A may only be selected if the client groups you serve would never be able to use such alternative fund sources.

[Code of Conduct: 2.03(1)d; 2.03(3)] [Lexcel: 8.4d] [SQM: F1.1d; F2.4] [Legal: ~] [ISO 9001: 7.2.1-7.2.3; 7.3] [IiP: ~]

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[Code of Conduct: 2.03(6)] [Lexcel: 8.4e] [SQM: F1.2c] [Legal: ~] [ISO 9001: 7.2.1-7.2.3; 7.3] [IiP: ~]

[Code of Conduct: 2.02(2)e] [Lexcel: ~] [SQM: ~] [ISO 9001: 7.2.1-7.2.3; 7.3] [Other: ~] [Legal: ~]

[Code of Conduct: ~] [Lexcel: 8.6f] [SQM: F2.5] [Legal: ~] [ISO 9001: 7.2.2; 7.2.3] [IiP: ~]

[Code of Conduct: 2.03(5)&(7)] [Lexcel: 8.4] [SQM: F1.1] [Legal: ~] [ISO 9001: 7.2.2; 7.2.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6a] [SQM: E1.3] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6b] [SQM: E1.2c] [Legal: ~] [ISO 9001: 7.2.1; 7.5.1] [IiP: ~]

In appropriate circumstances, is a cost-benefit analysis conducted to assess whether the matter is worth pursuing and whether the likely outcome will justify the expenditure, effort and possibly stress to the client?G: Risks to the client must be considered in such matters, and in publicly funded cases, the ability to meet the funding code criteria must be satisfied. Cost-benefit considerations may apply on both contentious and non-contentious matters so ensure full consideration is given to all work types.

NB: N/A may only be selected if the Practice deals only with matters where cost-benefit considerations are not relevant.

If any limitations are to be placed on the service provided, is this confirmed in writing with the client? G: Limitations might be set by an external funder or by the client themselves by setting an upper fee limit.

If after initial discussions, it is considered more appropriate for another person in the Practice to deal with the case, is client consent obtained and the matter referred to someone with more appropriate expertise and/or time?G: A subsequent client care letter should confirm that consent was obtained and explain the reason for the handover. Changes in client care responsibilities (as defined in CC7) also need to be made clear.

Are the details in CM8 to CM16 confirmed in writing and a copy of the correspondence kept on the file?G: If it is not possible to confirm some details right at the outset, further correspondence should be sent as and when details become clearer. If e-mail is used, the client’s consent for this mode of communication should be obtained. If it has been agreed or it is inappropriate to provide all/some of this information, there should be a file note in support of this decision.

Has the Practice defined the format and content for recording key information on the file?G: Structured case management notes (on computer or the file) or a case summary sheet might be used for this.

Are key dates researched and identified as early as possible in the case and shown clearly on the file?G: So that they are obvious to anyone who needs to refer to the file.

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[Code of Conduct: ~] [Lexcel: 8.6b] [SQM: E1.2c] [Legal: ~] [ISO 9001: 7.1; 7.2.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6b] [SQM: E1.2c] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6c] [SQM: E1.2c] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6f] [SQM: F2.1; F2.2] [Legal: ~] [ISO 9001: 7.2.2; 7.2.3b; 7.3.7] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.3] [SQM: E1.2a] [Legal: ~] [ISO 9001: 7.2.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 6.4; 8.6] [SQM: E1.2e] [Legal: ~] [ISO 9001: 7.5.1e; 8.2.3] [IiP: ~]

Have you defined all the key dates that apply to individual types of work?G: This will generally be done whilst defining the generic risk profile for that type of work (see RM5) and should define the specific types of dates for instance in landlord & tenant matters, probate, company/commercial, litigation, judicial review, conveyancing etc.

Are key dates noted clearly on the file and entered into back-up system(s) showing the client, file number and what needs to be done?G: A central diary should be used for this. An electronic version is generally easier to add to and review, but a desk dairy will serve the purpose providing it is not taken out of the office. Details should be adequate - what must be done and not just a name/file reference, and must be legible.

Is a key date reminder system operated?G: A systematic review and/or notification system is necessary to ensure key dates and reminders are reacted to in adequate time. Responsibilities and frequencies for this should be established.

Are plans reviewed at predetermined frequencies and any proposed changes to the planned course of action agreed with the client and confirmed in writing?G: If it is not appropriate to consult with the client, it may be appropriate to consult with their guardian or litigation friend if they have one.

Where case changes or progress involve the introduction of other parties, is a further conflict of interest check conducted?G: A record of any such changes and checks should be made on the file.

NB: N/A may only be selected if the work-type/s undertaken by the Practice do not, and are never likely to, involve such changes.

Do fee-earners review all their files at regular intervals to check for inactivity and react accordingly?G: This may be a full cabinet trawl or review of complete matter lists on a monthly, bimonthly or quarterly basis. Monitoring less frequently than every quarter is likely to be ineffective. Reports showing the date of last activity and/or time recorded on each matter are useful in this respect.

Are hand over / holiday notes detailed in a prescribed format that outlines key issues, progress to date, any immediate actions required, future plan, key dates, undertakings or specific risk issues to be aware of.G: If a key details / file summary sheet or Case Management System is used, this could be referred to instead of repeating information.

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[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: 2.03(1)] [Lexcel: 8.6e] [SQM: F1.2c; F2.3] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: 2.03(1)f-g] [Lexcel: 6.8d; 8.6e] [SQM: F2.3d] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [ISO 9001: 5.5.1] [Other: ~] [Legal: ~]

[Code of Conduct: 5.0191)f; 10.05 & GN24-41] [Lexcel: 8.7] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

[Code of Conduct: 5.0191)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 4.2.4; 7.5.1] [IiP: ~]

Where time spent on the case is the basis for the fee, unless agreed otherwise, is the client provided with cost updates in accordance with agreed frequencies that are defined in the client care information and/or terms of business?G: As an absolute minimum, this should be six-monthly but in faster moving matters where costs accumulate more rapidly, more frequent updates should be given.

NB: N/A may only be selected if the Practice always quotes a fixed fee for the matter.

Where relevant, do cost update letters remind clients of any relevant financial risks associated with the case?G: This might include for instance, reference to the statutory charge in publicly funded matters and/or the possibility of adverse costs orders in litigation matters. Advice on existing or specially purchased insurance should be given in respect of potential liability for other parties costs where appropriate. Financial Services Rules may therefore come into consideration.

NB: N/A may only be selected where such issues do not apply to the type of work undertaken.

Is the authority required for giving undertakings stated clearly in the Practice’s procedures?G: Authority levels may vary according to the type of work and the routine or non-routine nature of the undertakings given in that type of work.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Have all personnel been trained on the Practice’s position in relation to undertakings?G: It should be noted that an undertaking is defined as ‘any unequivocal declaration of intention made by a Solicitor or a member of Solicitor’s staff in the course of practice, addressed to someone who reasonably places reliance on it’. The term undertaking does not necessarily need to be used and it is not limited to qualified personnel. Training is therefore necessary to ensure that unintentional undertakings are not given. This requirement therefore applies whether or not you normally give undertakings in the course of your work.

Are undertakings recorded clearly on the file?G: So that it is immediately apparent to someone else who may need to refer to the file. This may be in the Case Management Notes, on a File Summary Sheet, on a specifically coloured memo and/or by way of a sticker on the file.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

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[Code of Conduct: 5.01910f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 4.2.4; 7.5.1] [IiP: ~]

[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.10a&e] [SQM: F3.1] [Legal: ~] [ISO 9001: 4.2.4; 7.2.3; 7.5.1; 7.5.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.10b] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 7.2.3; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: F3.1b] [Legal: ~] [ISO 9001: 4.2.3f; 7.5.1] [IiP: ~]

Are oral undertakings always confirmed in writing promptly following verbal agreement?G: Similarly, documents received should be checked to ensure that you concur with what has been agreed and if necessary, disputed at the earliest opportunity.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Are procedures for monitoring undertakings defined and operated systematically?G: Some Practices find it useful to record undertakings centrally – either with accounts for financial undertakings or in a separate log for non-routine / litigation undertakings. A means of monitoring, either throughout the case and/or on conclusion is required in any case.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Is written confirmation of completion of the case provided to the client, including as appropriate:

• provision of final documents / advising on the outcome of the matter;• any implications that the client should be aware of;• any further action to be taken (by the client or the Practice) and responsibility for this;• whether future review is appropriate, and if so, when, why, and who should initiate this?

G: It is important to make clear responsibilities for anything outstanding or future review in case the client assumes that the Practice will automatically take responsibility for this.

Is a full account of costs incurred (showing the Practice’s fees, any disbursements and VAT, monies paid to date and owed (or owing)), provided on conclusion of the matter?G: This may be sent with the concluding letter or separately if final account details are yet to be concluded. A full account of the whole case should be provided, whether monies have been paid on account or not. This requirement is not necessary for any pro-bono work undertaken.

Is evidence of return and/or receipt of any client or third party property kept on the file?G: This may also include sensitive materials to be returned to the client or issuing authority.

NB: N/A may only be selected if the Practice does not hold client property or sensitive material that would need to be returned.

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[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.3.5; 7.5.1f] [IiP: ~]

[Code of Conduct: 2.01(2)] [Lexcel: ~] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 7.2.3] [IiP: ~]

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Is the file checked to ensure that any undertaking(s) given have been met or otherwise discharged prior to closure of the file?

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Is a concluding checklist, appropriate to the individual work-type or work-types undertaken, used to ensure that all final verification activities and loose ends are completed on conclusion of a matter.G: For example, claims may arise in conveyancing matters due to failure to finish off loose ends and file deeds at the end of a conveyancing transaction. Concluding checks should include a final inspection of any documents in accordance with any relevant supervision processes.

If the firm decides that it must cease to act, is this course of action approved by you as Principal, adequate notice provided, and details confirmed with the client in writing as follows:

• the reasons for ceasing to act;• the date on which cessation comes into effect;• the scope of any remaining work/responsibility that will be completed;• any implications and further advice to the client;• what will happen with the paperwork generated to date?G: A pre-warning letter should be sent to warn that this course of action is imminent unless circumstances change. Ceasing to act must be for good reason and on adequate notice. If cessation is related to concerns about financial crime, care should be taken against 'tipping off'.

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USE OF THIRD PARTIES (TP)

TP5:

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USE OF THIRD PARTIES (TP)

[Code of Conduct: ~] [Lexcel: 8.9f] [SQM: F5.5] [Legal: ~] [ISO 9001: 7.4.2] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9b] [SQM: F5.4] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9c] [SQM: F5.4] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9g] [SQM: F5.3] [Legal: ~] [ISO 9001: 7.4.3; 8.2.4; 8.3] [IiP: ~]

Percentage of questionnaire complete

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are instructions to third parties always given in writing setting out:

• the background;• clear instructions and objectives;• any specific issues or questions to be addressed?

G: Precedent documents might be used for this to ensure consistency and compliance with rules of court and any court orders. Urgent instructions may be sent by fax or e-mail provided the content includes all the above aspects.

Do you consult with and advise your client regarding the use of a third party and reasons for this, and where appropriate, involve your client in the selection process?

Once a decision has been made, do you confirm with your client, in writing:

• the selection decision in TP7;• the name and status of the third party chosen;• the service to be provided;• likely time scales involved;• if appropriate, the cost of using the third party and payment details for this?

Do you advise the client on the outcome and implications of advice received?G: This might be by providing a copy or the opinion / report with a summary interpretation, and/or having a meeting with the client to discuss the findings, implications, and proposed actions.

If you are dissatisfied with the advice and/or performance of the third party used, is this advised immediately, explaining what further steps are expected to remedy the situation?G: Review should ensure that advice/reports adequately address the information sought and in litigation matters, comply with the Rules of Court and any related Court Order.

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CASEWORK SUPERVISION (CS)

CS6:

CS7:

CS8:

CS12:

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CS13:

CS15:

CS16:

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CASEWORK SUPERVISION (CS)

[Code of Conduct: 5.01(3)] [Lexcel: 6.3e&f] [SQM: D4.1] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 4.3; 5.1-5.4]

[Code of Conduct: 5.01(3)] [Lexcel: 6.3a-d] [SQM: D4.2] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 4.3; 5.1-5.4]

[Code of Conduct: 5.01(3)] [Lexcel: ~] [SQM: E1.2e] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 5.1-5.4]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are Supervisors proactive in their responsibility for the allocation of new work and/or for review of new work soon after receipt?G: As a means of ensuring that cases are only accepted, allocated and continued with where there is adequate knowledge, qualifications, expertise, time, support (from the advisor, a supervisor and any third parties if needed) to conduct the work effectively.

Do supervision procedures include as appropriate:

• checking of incoming/outgoing correspondence (letters, faxes, e-mails);• team, departmental or whole office meetings;• one-to-one review meetings;• review of matter lists (to consider workload, progress, variety and financial control);• ensuring that alternative funding criteria/arrangements are fulfilled.G: Supervision methods and frequencies should be risk-based according to the competency of those supervised. The latter requirement might involve limitations related to the use of devolved powers, CFAs, Trade Union or Insurance funding.

Do Supervisors systematically check for inactivity on cases being dealt with in their area of responsibility?G: Matter lists for each fee-earner supervised, showing the date that time or other activity was last recorded might be used for this purpose.

Is a process in place for the regular and independent review of files which includes controls for the following:

• inclusion of all personnel and work-types in the review process;• the selection independence, criteria and methodology to be applied;• a risk-based approach to the number and frequency of files reviewed which should then be defined and updated as necessary for each individual;• use of review checklists / criteria to ensure thoroughness and consistency?G: Review criteria should cover both file management and the substantive legal issues although these two aspects may be undertaken by different people, at different frequencies and via different means (such as face-to-face review). All personnel - yourself, staff, locums (when employed) and consultants must be included in this process.

[Code of Conduct: ~] [Lexcel: 6.5; 6.5a&b;] [SQM: E2.1a&b] [Legal: ~] [ISO 9001: 7.1; 8.1; 8.2.3; 8.2.4] [IiP: 4.3; 5.1-5.4]

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[Code of Conduct: ~] [Lexcel: 6.5e] [SQM: E2.2; E2.3] [Legal: ~] [ISO 9001: 5.5.1; 8.2.3; 8.2.4] [IiP: 4.3; 5.1-5.4]

[Code of Conduct: ~] [Lexcel: 6.5d] [SQM: E2.1d] [Legal: ~] [ISO 9001: 8.5.2; 8.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 6.5d] [SQM: E2.1d] [Legal: ~] [ISO 9001: 8.5.2; 8.3] [IiP: 4.3; 5.1-5.4]

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Are file reviews conducted under the control of a Supervisor?G: It is not necessary for Supervisors to conduct all reviews personally providing that reviews are conducted by a suitably competent individual and that Supervisors are aware of the findings, actions agreed and any trends associated with reviews in their area of responsibility. Procedural checks may be delegated to any competent member of staff. Legal advice/strategy reviews should be conducted by the Principal or another Supervisor only.

If any actions are required following a file review, are they completed within agreed time frames?G: Completion targets may range from the same day to up to 28 days. It may also be appropriate to monitor application of improvement actions over a period of several months.

Are actions arising from a file review verified by the reviewer once the target date for completion has been reached?

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RISK MANAGEMENT (RM)

RM5:

RM11:

RM12:

RM13:

RM14:

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RM15:

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RISK MANAGEMENT (RM)

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6d] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.3; 8.5.3] [IiP: 5.1-5.4]

[Code of Conduct: 5.01(1)l; 6.01] [Lexcel: 6.8b] [SQM: ~] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6e; 6.8b] [SQM: D4.3] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: 5.1-5.4]

[Code of Conduct: 5.01(1)l] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.8c] [SQM: D4.3] [Legal: ~] [ISO 9001: 7.3.4; 8.2.3] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Has the Practice defined the generic risks associated with its work and communicated these to relevant personnel alongside the systems in place to manage those risks?G: These are the inherent risks associated with the various types of work, but manageable and acceptable if risk management procedures are followed. Risks should include causes of claims and be work-type specific such as: typical conflicts that might arise, undertakings that might be given, types of key dates, precedents subject to regular change, and any specific case types within each work category which might be considered higher risk than others.

When new matters are considered, does the acceptance procedure include a review of risk against specific criteria to assess whether the matter is unusual or higher than normal risk?G: Practices should define what criteria constitute higher than normal risk for each type of work they conduct. Factors might include the matter being: higher than usual value, transferred from another firm, close to a critical time limit, in evidential difficulty, complex / having a higher than usual number of parties involved etc. Care should be taken if refusing instruction, not to breach Equality and Diversity legislation.

If the matter is considered unusual or higher than normal risk, is the Supervisor and/or Risk Manager advised and appropriate control measures agreed to manage the additional risk?G: This may just mean closer supervision and/or contingency planning.

Are the risk issues and the additional control measures noted clearly on the file?G: So that these are apparent to someone else who might need to work on the file. This should include any monitoring considered necessary under client due diligence requirements.

Is the case monitored during its progress to check that its risk profile has not changed?G: Monitoring should consider changes in risk to both the Practice and the client. Monitoring should be part of the case management process but may be supported by a review as part of the Practice's day-to-day supervision and/or file review processes. Advisors should know their own limits and advise their Supervisor or the Principal if a case develops beyond their capabilities.

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[Code of Conduct: 5.01(1)l] [Lexcel: 6.8c] [SQM: ~] [Legal: ~] [ISO 9001: 7.3.7] [IiP: ~]

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If an event occurs which potentially increases risk, are control measures agreed with the Supervisor and/or Risk Manager and noted clearly on the file?G: If it is necessary for someone to take over handling of the case, they will also need to know what the additional risks are and the extra controls which need to be followed in order to manage this additional risk. The potential for adverse costs orders being made against the Practice (see CM35) should be included in this consideration.

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YOUR OPTIONS

Percentage of comprehensive questionnaire complete

Thank you for taking the time to complete our standard Quality Assurance questionnaire. You now have two options: -

Please save the changes you have made to the questionnaire and return it to [email protected] for our analysis. We will provide you with a report on your business with reference to the industry standard Lexcel, including prioritised action points fo

Alternatively, you can continue on to complete our comprehensive questionnaire which provides an evaluation of your overall practice management standards against the Lexcel standard. We estimate a completion time of 1½ to 2 hours for this part of the questionnaire. The questions that you have already responded to will appear answered in the comprehensive questionnaire.

For your guidance, the following dashboard indicates the percentage completed for each section of the comprehensive questionnaire.

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TOTAL

CONTINUOUS IMPROVEMENT

RISK MANAGEMENT

CASEWORK SUPERVISION

USE OF THIRD PARTIES

CASE MANAGEMENT

CLIENT CARE

FILE MANAGEMENT

INFORMATION TECHNOLOGY

WORKING ENVIRONMENT

PEOPLE MANAGEMENT

PREVENTION OF FINANCIAL CRIME

FINANCIAL CONTROLS

BUSINESS PLANNING

ORGANISATION & STRUCTURE

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YOUR OPTIONS

Percentage of comprehensive questionnaire complete

Continue to the next section

Return to the previous section

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Thank you for taking the time to complete our standard Quality Assurance questionnaire. You now have two options: -

Please save the changes you have made to the questionnaire and return it to [email protected] for our analysis. We will provide you with a report on your business with reference to the industry standard Lexcel, including prioritised action points fo

Alternatively, you can continue on to complete our comprehensive questionnaire which provides an evaluation of your overall practice management standards against the Lexcel standard. We estimate a completion time of 1½ to 2 hours for this part of the questionnaire. The questions that you have already responded to will appear answered in the comprehensive questionnaire.

For your guidance, the following dashboard indicates the percentage completed for each section of the comprehensive questionnaire.

TOTAL

CONTINUOUS IMPROVEMENT

RISK MANAGEMENT

CASEWORK SUPERVISION

USE OF THIRD PARTIES

CASE MANAGEMENT

CLIENT CARE

FILE MANAGEMENT

INFORMATION TECHNOLOGY

WORKING ENVIRONMENT

PEOPLE MANAGEMENT

PREVENTION OF FINANCIAL CRIME

FINANCIAL CONTROLS

BUSINESS PLANNING

ORGANISATION & STRUCTURE

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ORGANISATION & STRUCTURE (OS)

OS1:

OS2:

OS3:

OS4:

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OS5:

OS6:

OS7:

OS8:

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ORGANISATION & STRUCTURE (OS)

[Sols' Code: 5.01(1)k] [Lexcel: 1.1a] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Sols' Code: 5.01(1)k] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Sols' Code: 5.01(1)l; 12.04; 14] [Lexcel: 1.1b] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Sols' Code: ~] [Lexcel: 6.1] [SQM: C1.1] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 5.1-5.4]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Have you documented arrangements in place for the succession of your Practice and ensured that your legal structure is that most appropriate to future plans?G: This should take in to account both planned and unplanned events such as retirement and unexpected death 'in service'. The type of business entity you have adopted may influence any succession plans and should be taken into account when thinking of future goals, business continuity and legal transfer. Succession planning should be considered well in advance of any planned retirement date. Guidance Notes 35-38 to Practice Rule 5.01(1)k provide further information.

Do you also have documented arrangements in place to address other circumstances that might impact upon your personal ability to provide continuity of service for your clients?G: Other events might include accidents, emergencies, long-term illness or other incapacity. Problems with regulatory supervision requirements, obtaining PI cover, Accountant's Reports and Practicing Certificates, and management of your firm's accounts are likely to arise if arrangements for cover with another Solicitor have not been agreed. 'Buddy' arrangements could be established which include the assignment of LPA where appropriate. The guidance notes referred to in OS1 apply.

Do you review your business structure and legal status at least annually to assess whether it remains that most appropriate to your operations and your attitude to financial risk? G: For example, as part of the annual planning process or should other events such as mergers dictate. The proposals for the new Practice Code of Conduct (Rules 12 and 14) provide guidance on business frameworks.

Is your management structure clearly defined and up to date showing all key roles and their lines of accountability?G: For example, a family tree or organisation chart, departmental / team structures or branch reporting line etc. Changes should be incorporated as soon as practical, (and no later than 3 months following the change), but it is recommended that personnel are briefed about the organisational change in advance or as soon as it takes place.

NB: The N/A option may only be selected if no other personnel are employed (staff, associates, consultants etc).

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[Sols' Code: 5.02] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Solicitors' Code: ~] [Lexcel: ~] [SQM: C1.2] [Legal: ~] [ISO 9001: 5.5.3] [IiP: 7.1-7.3]

[Sols' Code: ~] [Lexcel: 5.2] [SQM: C1.2] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 4.1-4.3; 8.1-8.2]

Percentage of questionnaire complete

Do you meet the SRA's supervision qualification requirements?G: To be "qualified to supervise", a person must have been entitled to Practice as a lawyer for 36 months within the last 10 years and must have completed the training specified by the SRA (currently 12 hours of management training).

Do you have regular meetings or reviews for which an agenda is produced and minutes/notes recorded and circulated to any others attending?G: For example, monthly, bimonthly or quarterly meetings of the Principal and any other personnel involved with management issues such as finances, planning, complaints, personnel and administration. Where no others are involved, reviews should still be undertaken.

Has responsibility for each of following management roles been allocated to yourself or another person you employ who has sufficient seniority, skills and knowledge to deal with issues that might arise:

• risk management;• client care and complaints management;• money laundering / other financial crime;• quality policy, objectives and systems;• information & communications technology (ICT) and information management including e-mail, internet and data protection;• financial management;• registration, certification and liaison with the SRA, Law Society and LSC where appropriate;• insurance and claims;• equality and diversity;• premises, security, and health & safety;• business planning and continuity;• recruitment, training & development;and if appropriate,• compliance with the Financial Services Rules?G: That person should also have responsibility for compliance with legislation/regulations and for the upkeep and implementation of associated plans and policies. Any delegated roles should be clearly defined and understood.

[Sols' Code: 5.01(1)I; 19] [Lexcel: 1.2-1.5; 1.7; 3.1; 4A.1-4A.6; 5.1; 5.5; 6.1; 6.6a; 7.1] [SQM: C1.2; C1.3; C1.4; C2.1; G3.1] [Legal: MLR 2007, H&SaWA 1974, FRRO 2005, FSMA 2000] [ISO 9001: 5.1b,c&e; 5.5.1; 5.5.2] [IiP: 4.1-4.3; 5.1; 8.1-8.2]

Does each of the roles listed in OS7 have clearly defined terms of reference and/or objectives?G: Possibly defined in a Job Description or Management Role. Responsibility for specific policies, plans or processes should be known or be readily available.

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BUSINESS PLANNING (BP)

BP1:

BP2:

BP3:

BP4:

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BP5:

BP6:

BP7:

BP8:

BP9:

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BUSINESS PLANNING (BP)

[Code of Conduct: 5.01 GN4] [Lexcel: 2.1] [SQM: A1.1] [Legal: ~] [ISO 9001: 5.1e] [IiP: 1.1; 1.2; 1.6]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.2; 5.4.1] [IiP: 1.3; 1.4; 1.5; 9.3]

[Code of Conduct: ~] [Lexcel: 2.1; 2.2; 4A.1] [SQM: A1.1; A1.2] [Legal: ~] [ISO 9001: 5.1e; 5.2; 7.1] [IiP: 1.1-1.2]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Do you have a written Business Plan that defines the Practice’s strategy, objectives, and the plans in place to achieve those objectives?G: Objectives should be set at various levels within the Practice (team, department, office, Practice-wide) and link into individual objectives.

In developing the plan, has consideration been given to:

• the Practice's strengths and weaknesses and its opportunities and threats (SWOT analysis);• Political, Social, Economic, Technological, Legal and Ethical issues (PESTLE analysis) and any trends likely to impact upon the Practice;• legislative and regulatory changes and proposals for the same;• aspirations of the Principal and any other key personnel;• success or otherwise of previous strategies employed;• feedback from clients about their future needs and perceptions of the Practice and services?

Does the Plan address development issues, projects and needs related to:

• organisational structure, staffing and recruitment;• skills, development and training and likely recruitment needs;• information technology, communications and other aspects of infrastructure;• changes to strategies, policies, and processes;• premises, equipment and other resources?

[Code of Conduct: ~] [Lexcel: 4A.1a&b; 5.1; 4B.1c] [SQM: A1.1] [Legal: ~] [ISO 9001: 6.1-6.4] [IiP: 2.1-2.2; 8.1; 10.1-10.3]

Is there a related or incorporated Services / Marketing Plan that addresses:

• your client groups;• the services to be offered;• the means of providing those services;• your approach to promoting and marketing those services?G: In planning service delivery, including any new services, the Practice needs to consider key objectives, advisor expertise and supervision resources, processes, means of delivery including the use of technology, access and opening hours, quality standards including the means of monitoring and verifying these, documents required and records to be kept. Marketing and Distribution channels should comply in all respect to the Solicitor's Code on Referrals (PR9), Commissions (PR2), and where relevant, Financial Services (PR19).

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[Code of Conduct: 5.01(1)j] [Lexcel: ~] [SQM: A1.1] [Legal: ~] [ISO 9001: 5.1e] [IiP: 8.1; 9.1]

[Code of Conduct: ~] [Lexcel: A1.1] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: A1.1] [Legal: ~] [ISO 9001: 5.5.3] [IiP: 1.6; 7.1-7.3; 5.1-5.3]

[Code of Conduct: ~] [Lexcel: 2.3] [SQM: A1.2] [Legal: ~] [ISO 9001: 5.1d; 5.6] [IiP: 9.2-9.5]

[Code of Conduct: ~] [Lexcel: ~] [SQM: A1.2] [Legal: ~] [ISO 9001: 5.1d&e; 5.6] [IiP: 9.2-9.5]

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Are the development plans and projects detailed in your Business Plan fully costed?G: That is, outline costs identified for each development initiative so that these can be included in the Practice’s income and expenditure budget for the same period.

Does the plan address at least a three-year period?G: The current year should be in detail but the following two years could be in outline only.

Has anyone who works for you or is otherwise involved in the Practice been made aware of the contents of the plan?G: Either via a summary document or provision of a copy of the plan itself (as appropriate to the level of understanding and role of the individual).

NB: N/A may only be selected if there are no other personnel.

Is the Business Plan subject to regular monitoring (at least 6-monthly) to assess and record whether it is on target to achieve the objectives set, and to set appropriate actions to progress the plans further?G: Monitoring outcomes can simply be annotated on the plans when reviewed. If you involve others in the review process, a short memo noting agreed actions, responsibilities and timescales should be circulated so that progress can be managed effectively.

Is the plan subject to full review and update at least annually to take into account changes in the business environment and to ensure the planning horizon remains at three years?G: This would include a reassessment of the factors listed in BP2 and update of the document to include new development initiatives.

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FINANCIAL CONTROLS (FC)

FC1:

FC2:

FC3:

FC4:

FC5:

FC6:

FC7:

FC8:

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FC9:

FC10:

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FINANCIAL CONTROLS (FC)

[Code of Conduct: 5.01(1)j] [Lexcel: 3.2a] [SQM: C2.2(b)] [Legal: ~] [ISO 9001: 5.1e] [IiP: ~]

[Code of Conduct: 5.01(1)j] [Lexcel: 3.2b] [SQM: C2.4] [Legal: ~] [ISO 9001: 8.4] [IiP: 9.1-9.5]

Do you produce a documented cash flow forecast for at least the same 12-month period?

[Code of Conduct: 5.01(1)j] [Lexcel: 3.2e] [SQM: ~] [Legal: ~] [ISO 9001: 5.1e] [IiP: ~]

[Code of Conduct: 5.01(1)j] [Lexcel: 3.2f] [SQM: ~] [Legal: ~] [ISO 9001: 8.4] [IiP: ~]

[Code of Conduct: 5.01(1)j] [Lexcel: ~] [SQM: C2.4] [Legal: ~] [ISO 9001: 5.6] [IiP: ~]

[Code of Conduct: 5.01 GN4] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.6; 8.4] [IiP: 9.1-9.5]

[Code of Conduct: 5.01(1)j] [Lexcel: 3.1] [SQM: C2.1] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Do you produce a 12-month budget for both income and expenditure prior to, or at the start of your financial year?G: Details of capital expenditure and financing should be included where appropriate.

Do you produce regular variance reports (at least quarterly) of actual income and expenditure compared to the budget?

Do you produce regular variance reports (at least quarterly) of actual cash flow compared to the forecast?

Are both forecast & actual cash flow variance reports subject to regular review to monitor performance?G: This would be monthly or quarterly for review by yourself and any other personnel (employed or contracted), involved in financial management of the Practice.

Have you established other key financial reports, data or ratios that you require to monitor the financial health of the Practice and are these also subject to regular review?

Do you have audited or certificated annual accounts which include a Profit & Loss (or Income and Expenditure) Statement, a Balance Sheet, and where appropriate, an Accountant's Report in respect of any client account(s) operated?

[Code of Conduct: 5.01(1)c] [Lexcel: 3.2c&d] [SQM: C2.2a; C2.3] [Legal: Solicitors' Accounts Rules] [ISO 9001: ~] [IiP: 9.1]

Is there one or more nominated persons within the Practice (or contracted to it) responsible for ensuring that the forecasts and reports referred to in FC1 to FC7 are produced and reviewed?G: Your Accountant might be able to produce these reports for you (or may do so already).

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[Code of Conduct: ~] [Lexcel: 3.3] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1] [IiP: ~]

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Do you operate a time recording system to:

• ensure accurate client billing (where time spent is the basis of your fee), and/or • monitor case costs to ensure that fixed fees are cost-effective or otherwise appropriate, and/or• monitor financial performance (of yourself, any other individuals, or the Practice as a whole)?

Have you defined procedures and responsibilities for reviewing aged debt and authorising any write-offs?G: To ensure files can be closed without undue delay and accounts data kept up to date.

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PREVENTION OF FINANCIAL CRIME (PFC)

PFC1:

PFC2:

PFC3:

PFC4:

PFC5:

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PFC6:

PFC7:

PFC8:

PFC9:

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PFC10:

PFC11:

PFC12:

PFC13:

PFC14:

PFC15:

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PFC16:

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PREVENTION OF FINANCIAL CRIME (PFC)

[Code of Conduct: ~] [Lexcel: 4B.1d] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1; 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1; 8.2.3] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: ~] [SQM: C2.1] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: C2.1] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are responsibilities, procedures and specific authority limits defined for processing financial transactions?G: This would include for instance, payments in, cheque requisitions, electronic transfers, and management of petty cash.

Are financial transactions subject to inspection at intervals not exceeding six months? G: This should be by someone who is independent of those who process the transactions and who is sufficiently knowledgeable about the accounting function. This may be conducted in-house or by your Accountants during a quarterly review for instance.

NB: N/A may only be selected if there is only one person in the Practice able to conduct and/or understand financial transactions to perform this role effectively.

Have you (or any relevant personnel) received the latest training in respect of the Solicitors’ Accounts Rules?G: This includes yourself and any staff or sub/contract personnel involved in the book-keeping and accounting function.

Are expenditure authorisation levels defined and consistently applied?

NB: N/A may only be selected where only the Principal has authority for expenditure and no limitations are imposed by other parties such as your bank.

Do cheques require dual signature? G: This may apply to all cheques or just those over a certain value, the level of which should be defined in the Practice's procedures.

NB: N/A may only be selected if there is no other person with financial authority within your Practice.

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[Code of Conduct: 5.01(b)] [Lexcel: 5.2] [SQM: ~] [Legal: MLR 2007] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: 5.01(b)] [Lexcel: 1.5a-e] [SQM: ~] [Legal: MLR 2007] [ISO 9001: 7.1] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 1.5d] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 5.5.1] [IiP: ~]

Have you appointed yourself or another senior person as the Nominated Officer responsible for the practice's arrangements to prevent financial crime?G: Previously this person most probably would have been referred to as the Money Laundering Reporting Officer (MLRO).

NB: N/A may only be selected if you do not operate a client account and have assessed your work as being both exempt from money laundering regulations and unlikely to reveal information that may need to be disclosed under the Proceeds of Crime or Terrorism Acts.

[Code of Conduct: 5.01(b)] [Lexcel: 1.5a] [SQM: ~] [Legal: MLR 2007, POCA 2002, Anti-Terrorism Act 2001] [ISO 9001: 5.5.1] [IiP: ~]

Does the Nominated Officer have written terms of reference or a documented management role?G: Role considerations need to include: monitoring changes to legislation and authoritative guidance, drafting / updating policy and procedures, reporting responsibilities, and the provision of training for all personnel.

NB: N/A may be selected on the same basis as PF6.

Has the Practice reviewed the latest requirements and/or professional guidelines on money laundering and mortgage fraud and developed its policies and procedures accordingly?G: Adoption of such guidance may provide some defence against prosecution. Policies and procedures should include responsibilities and authority within the Practice, processes for making disclosures within the Practice and to the relevant authorities, client due diligence, training, and record keeping. The latest guidance notes produced by the Law Society (notably regarding the new Money Laundering Regulations due to come into force on 15 December 2007) should be referred to.

NB: N/A may only be selected if you do not conduct conveyancing work and have assessed all other work-types as being exempt from Money Laundering Regulation.

Have the Practice’s duties, and those of its personnel in respect of preventing financial crime, been documented and actively promoted?G: Related procedures and/or responsibilities should be included in any Practice Manual / Handbook and training notes. An N/A option has not been provided as personnel should be aware of their responsibilities in any case such that if a situation arises, albeit rare, they will know what to do. This may be linked to the Practice's whistle-blowing policy (see PM22) where Practice personnel are thought to be knowingly involved.

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[Code of Conduct: 5.01(b)] [Lexcel: 1.5e] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 4.2.4] [IiP: ~]

[Code of Conduct: 5.01(b)] [Lexcel: 1.5e] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 4.2.4] [IiP: ~]

[Code of Conduct: 5.01(b)] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: AML Regs 2007] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: H&S conditions] [ISO 9001: 7.5.4] [IiP: ~]

Do training arrangements include:

• provision of induction training for new personnel on financial crime risks and preventative measures employed within the Practice;• monitoring of updates to legislation, regulations and professional guidance and provision of further training when necessary;• regular review of financial crime risks and provision of regular refresher training for all personnel? G: Training should include the specific risk areas where financial crime might be perpetrated, methodologies, warning signs, associated offences, channels for reporting, procedures (including client due diligence) to be followed, and the records to be made and kept. There is no N/A allowed on this question on the same basis as PFC9.

[Code of Conduct: 5.01(b)] [Lexcel: 1.5b-d] [SQM: ~] [Legal: MLR 2007, POCA 2002, Anti-Terrorism Act 2001] [ISO 9001: 6.6.2] [IiP: 5.1; 5.3]

Are records relating to money laundering and other financial crime held centrally?G: Records include internal reports and any correspondence with SOCA.

NB: N/A may be selected on the same basis as PFC6.

Are money laundering / other financial crime records retained for a minimum of five years?

NB: N/A may be selected on the same basis as PF6.

Do your file review and/or audit procedures include checks to ensure that client due diligence (CDD) has been correctly applied and recorded, and in relevant circumstances, concerns have been made known in accordance with agreed procedures?G: Law Society guidance on the new Money Laundering Regulations 2007 recommends that records of risk assessment of the client (and any beneficiary) and instructions are recorded, along with records received and/or sources used, and any monitoring to be applied.

NB: N/A may be selected on the same basis as PF6.

Have you established a cash limit, above which you will not accept deposits?

NB: N/A may only be selected if such transactions do not feature in the services you provide.

Have security arrangements been established for handling, storing and transporting (e.g. to the bank or other location) any cash / valuables received.

NB: N/A may only be selected if such activities are not a necessary part of your business.

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[Code of Conduct: ~] [Lexcel: 1.6] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

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If you provide conveyancing services, do you have in place specific guidelines / training notes for the prevention of mortgage fraud and for the procedure to be followed for reporting suspicions?G: It is expected that the Council of Mortgage Lenders Handbook and/or guidance from the Law Society will be up to date and available to relevant staff for this purpose.

NB: The N/A option may only be selected if your Practice does not provide conveyancing services.

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PEOPLE MANAGEMENT (PM)

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PEOPLE MANAGEMENT (PM)

[Code of Conduct: 5.01(1)i] [Lexcel: 5.1a] [SQM: ~] [Legal: ~] [ISO 9001: 5.1e] [IiP: 6.1; 6.3]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.2] [SQM: C1.2; D1.1; D1.2] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 5.1; 5.3]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.2] [SQM: D1.1] [Legal: ~] [ISO 9001: 6.2.2] [IiP: 4.1-4.2; 8.1-8.2]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.6] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: 8.1-8.2]

[Code of Conduct: ~] [Lexcel: 5.3a-c] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: 5.1; 5.3]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Does the Practice have a personnel plan addressing the recruitment, development, and welfare of all personnel who work for the Practice?G: This may be incorporated into the business plan and need only address your own development if no other staff are employed and recruitment is not a current requirement. Remuneration and reward systems may form part of this plan.

Do all personnel who work for the Practice have a clearly defined job description or management role that sets out the tasks to be undertaken to fulfil their role effectively?G: In this context, 'all personnel’ includes yourself and any employees or other persons involved in running the Practice. Role descriptions should be sufficiently detailed for people to understand what is expected of them, and supported by objectives agreed via the review process (see PM16).

Is there a corresponding person specification that details the skills, knowledge, experience and/or competencies required to fulfil the role?G: The person specification may be part of the job description or defined elsewhere, e.g. in a recruitment advertisement or recruitment agency specification.

Are Job Descriptions / Management Roles and corresponding person specifications reviewed to ensure they are kept up to date?G: This review might be conducted, for instance, during an annual appraisal.

Do your recruitment procedures address:

• responsibility for identifying recruitment needs and for co-ordinating and executing recruitment exercises;• review of the job role and person specification and update if necessary before release;• authority to promote the role and its associated benefits and the channels to be used to attract applicants;• selection and approval of any recruitment agencies used?

NB: The N/A option may only be selected if there are no staff and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

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[Code of Conduct: 6.03] [Lexcel: 5.3d] [SQM: D1.3; D1.4] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 5.3e] [SQM: D1.3; D1.4] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.3d] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 5.3f] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2; 4.2.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 5.3g] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2; 4.2.4] [IiP: ~]

Are selection procedures objective and transparent such that the following can be demonstrated?

• initial review of all applicants against the person specification;• short-listing or rejection based on meeting the criteria in the person specification;• communications with all candidates regarding their success or failure to meet the criteria;• interview against set criteria including appropriate tests/measures to assess competency;• final selection based on achievement of the best results overall;• communications with interviewees to discuss an offer or reject their application.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Are records retained of all selection stages showing clearly why candidates were accepted or rejected? G: This is to assist in any claim of unfairness or request for feedback. Such records should not be retained more than 12 months in accordance with Data Protection rules.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Are required competencies verified as part of the selection process?G: This may be via interview, written test(s), use of computer packages etc.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Are references always obtained prior to the appointment of new personnel? G: Two references should be obtained from current and/or most recent employers wherever possible. Background checks should also confirm applicant identity. Medical references might also be taken where appropriate.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Are disciplinary records checked as part of the recruitment process?G: Records should be checked with the relevant professional / regulatory bodies. References should not be relied upon for this purpose.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

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[Code of Conduct: ~] [Lexcel: 5.3f&d] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2; 4.2.4] [IiP: ~]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.4] [SQM: D2.1] [Legal: ~] [ISO 9001: 6.2.2; 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: D2.1] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: 5.01(1)i] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1; 6.2.2] [IiP: 8.1-8.3]

Are copies of certificates obtained to prove achievement of education and qualifications?

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Do new personnel receive induction training which covers all the following:

• the Practice’s aims and objectives (as defined in the business plan), personal objectives and the link between the two;• client care and quality policies, clients groups, work undertaken, and core values;• management structure, key responsibilities and any regular meetings to attend;• terms and conditions of employment;• verification of personal and banking details;• key policies and supporting legislation (equality, grievance, disciplinary, health & safety, whistle-blowing, client care/quality and complaints, financial crime prevention, data protection etc);• procedures related to the person’s role and for general administration;• specific risk management controls related to the person’s area of work;• any immediate training needs?G: Induction processes might also include maintaining contact during the pre-start period and/or attendance for an introduction day.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Is there a means of monitoring the induction process to ensure that all aspects are completed within a reasonable period and that the induction has been effective?G: Generally, a period of up to one month would be sufficient to prevent information overload but would enable the new person to be brought up to speed as quickly as possible. A trial period might be agreed to assess the effectiveness of the induction training and introductory period.

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

Do those personnel changing roles or returning to work after a significant break also receive induction training to:

• explain any changes to tasks, responsibilities and objectives;• explain any changes in procedure and policies appropriate to the new role or since last working;• highlight specific risk management controls applicable to the new role and work undertaken;• identify any training/development needs that may be necessary to fulfil the new role effectively?

NB: The N/A option may only be selected if staff are not employed and the business plan indicates that recruitment of personnel (staff or Partner level) is not likely in the near future.

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[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ERA 1999; HRA 2000] [ISO 9001: ~] [IiP: 6.1-6.3]

Are records of the reviews produced, detailing agreed actions for each aspect listed in PM16?

[Code of Conduct: ~] [Lexcel: 5.6] [SQM: D2.3] [Legal: ~] [ISO 9001: 4.2.4] [IiP: 8.1-8.2]

[Code of Conduct: 5.01(1)i] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 8.5.2] [IiP: 8.1-8.2]

[Code of Conduct: ~] [Lexcel: 5.3e] [SQM: ~] [Legal: DPA 1999] [ISO 9001: 4.2.4] [IiP: ~]

Are procedures in place for the provision of appropriate welfare and entitlements for any employees? G: This might include aspects such as stakeholder pensions, maternity / paternity entitlements, expenses payment and may also extend to healthcare, incentive schemes or other benefits.

NB: N/A may only be selected where no other personnel are employed or involved in the Practice.

Does each person who works for the Practice have an annual review to:

• assess their performance and agree targets for future performance;• look at achievement of objectives and to set new objectives;• identify training and development activities necessary to achieve the objectives set.

G: This applies to yourself, any fee-earners or staff and anyone else involved in managing the Practice. All aspects need not necessarily be addressed during one review if other review processes are in place.

[Code of Conduct: 5.01(1)i] [Lexcel: 5.6; 5.5c] [SQM: D1.1; D1.2; D2.2; D2.3] [Legal: ~] [ISO 9001: 5.4.1; 6.2.2] [IiP: 6.1-6.3; 2.2-2.4; 8.1-8.2]

Are any acts of incompetence noted, corrected and future performance monitored?G: This may be linked to the disciplinary process in some instances and so all details should be recorded to provide a full audit trail.

Are personnel records held confidentially and only accessible to authorised personnel?G: Non-authorised personnel should not be given access without the consent of the jobholder.

Are documented training and development plans in place and updated annually to ensure that:

• each individual's training and development needs are fulfilled in accordance with the Practice's training policy;• development needs required to achieve the business plan objectives are implemented;• managerial and supervisory skills are acquired as well as legal skills and knowledge;• ICT skills needs (including effective use of the Practice's ICT equipment) are fulfilled;• CPD or other standards such as SQM minimum training requirements are fulfilled;• training evaluation / feedback is taken into account in future plans;• training policies and processes are up to date?G: Such reviews may be established after the annual reviews but may be supplemented throughout the year as a result of findings during file reviews, supervision generally, or business plan monitoring.

[Code of Conduct: 5.01(1)i] [Lexcel: 5.5] [SQM: D2.3; D5.1; D5.2] [Legal: ~] [ISO 9001: 6.2.2] [IiP: 8.1-8.3; 2.1-2.2]

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[Code of Conduct: 5.01(1)i] [Lexcel: ~] [SQM: D2.4] [Legal: ~] [ISO 9001: 6.2.2e; 4.2.4] [IiP: 8.1-8.3]

[Code of Conduct: 5.01(1)i] [Lexcel: 5.5c] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2c] [IiP: 8.1-8.3; 10.1-10.3]

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Are records of all training (in-house, computer or video based or courses) kept for all individuals? G: Qualified personnel may use the Law Society or other official CPD record but all staff must have their own training record and all training should be recorded, whether provided in-house or externally, and whether CPD accredited or not.

Is a process in place to evaluate training and development activities to ensure that:

• the stated aims and objectives have been achieved;• the new knowledge and/or skills is effectively applied in the individual's job role:• if necessary, strategies, policies and processes are improved to make training and development more effective?G: The first stage evaluation may be undertaken immediately following the training activity but an appropriate gap should be allowed before the second stage evaluation is conducted. The second stage evaluation will demonstrate whether the investment in training is having the desired results.

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WORKING ENVIRONMENT (WE)

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WORKING ENVIRONMENT (WE)

[Code of Conduct: ~] [Lexcel: 4B.1a] [SQM: ~] [Legal: ~] [ISO 9001: 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.1b] [SQM: ~] [Legal: ~] [ISO 9001: 5.2; 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: H&SaWA 1974] [ISO 9001: 6.3; 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.4] [Legal: ~] [ISO 9001: 4.2.3; 6.4] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.5; G4.4] [Legal: ~] [ISO 9001: 4.2.3; 6.4] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are premises security arrangements and responsibilities defined? G: This will include for instance, use of keys/access codes, authorisation for issue of keys/codes and routine security checks to be made on opening and closing for business each day.

Do your procedures for dealing with visitors include:

• availability / provision of directions, map and transport options;• upkeep and tidiness of the reception area;• confirmation of identity and appointment details on arrival;• provision of safety / evacuation information;• escort / attendance whilst on the premises;• provision of confidential areas and conference / meeting rooms?

Have your premises been assessed by a competent person to ensure they comply with the Disability Discrimination Act? G: Reasonable adjustments may need to be made to ensure services (not just premises), are accessible to all. Some responsibility may fall to the landlord if your premises are leased.

[Code of Conduct: 6.01(1)f; 6.01(2)] [Lexcel: 4B.1b / 1.4b] [SQM: ~] [Legal: DDA 1995] [ISO 9001: 5.1a; 5.2] [IiP: ~]

Are contracts or other arrangements in place for the cleaning, maintenance, and repair of the premises? G: Contractors may be used for this purpose to ensure continuity of service and compliance with agreed response times.

Does the Practice have access to the necessary research information (reference texts, encyclopaedias, web-based research tools, periodicals and journals as appropriate)?G: This may be within the Practice and/or externally via a law library.

Is there a procedure in place for the management and sharing of legal and professional information?G: This might include circulating articles from journals, pieces of research, counsel’s opinions, cascading of training and central retention of related documents for future reference.

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[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.4] [Legal: ~] [ISO 9001: 4.2.3; 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: D4.4] [Legal: ~] [ISO 9001:4.2.3; 6.4; 7.5.1b] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 4B.2] [SQM: G4.3] [Legal: ~] [ISO 9001: 4.2.3; 6.4; 7.5.1b] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.3] [SQM: G4.2] [Legal: ~] [ISO 9001: 4.2.3d] [IiP: 7.1-7.3]

[Code of Conduct: ~] [Lexcel: 4B.3b] [SQM: G3.2] [Legal: ~] [ISO 9001: 4.2.3b] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.3a&c] [SQM: G3.2; G4.1] [Legal: ~] [ISO 9001: 4.2.3c&g] [IiP: ~]

Are procedures in place for ensuring the availability of relevant legal reference materials and for managing the upkeep, location, use and return of all reference materials?

Are effective procedures in place for the identification, upkeep, availability, and use of legal precedents?G: At the very least, there ought to be a list of the precedents available, location and latest version status, that can be referred to by other fee-earners, support staff or a locum.

Are procedures in place to manage access to legal forms and other precedents?G: Security controls should be in place to govern read-only access and read-write authority.

Do you have a Practice Manual (handbook or intranet) in which is collated all the Practice’s policies, procedures, and supporting documentation?G: The Manual should cover all areas of legal work and all supporting procedures which can be referred to by any employees or locums if used. The Principal should ensure that the Practice Manual addresses controls for all aspects of its legal work and supporting procedures, that it ensures compliance with any external Quality Standards (e.g. Lexcel, Specialist Quality Mark and any local CLSP protocols), and that it is conducive to fulfilling its statutory and regulatory duties and quality objectives.

[Code of Conduct: 5.01(1); 5.01 GN5(b)] [Lexcel: 4B.3] [SQM: B2.1; G3.2; G4.1] [Legal: ~] [ISO 9001: 4.2.1b-d; 4.2.2; 5.4.2a; 4.1; 5.5.2a; 7.1] [IiP: ~]

Do all personnel who work for you have ready access to the Practice Manual?G: This may be via access on a shared drive or availability of hard copies at specified locations. The access process, document introduction, or briefing session, should encourage people to make recommendations for corrections and improvements.

Has the manual been reviewed (and updated where necessary) within the last 12 months?G: To ensure all policies, procedures, responsibilities and supporting documents are up to date.

Are amendments to the Practice Manual conducted in a controlled manner such that:• changes are summarised and dated so that personnel can see what changes have been made and when; • the revision/issue number is updated on all relevant pages to ensure that the latest version is used?G: Some form of revision history record should be used for this purpose. More extensive or important changes might be explained via a circular or at a briefing session or meeting.

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[Code of Conduct: ~] [Lexcel: 1.7] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: ~] [IiP:~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.1a] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4B.1a] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: ~] [IiP: ~]

If relevant to the scope of services provided, does the Manual include the scope, processes and responsibilities/authorities in place to ensure compliance with the Financial Services Rules?G: To comply with a Part XX exemption from FSA regulation - specific details can be found in the Solicitors' Financial Services (Scope) Rules and (Conduct of Business Rules).

NB: N/A may only be selected if your service scope does not include supplementary financial services such as non-investment insurance products. Practices selecting N/A should first conduct a thorough review to ensure that these rules do not apply.

[Code of Conduct: 19] [Lexcel: ~] [SQM: ~] [ISO 9001: 7.1; 7.5.1] [Legal: Solicitors' Financial Service (Scope) Rules 2001; Solicitors' Financial Services (Conduct of Business) Rules 2001] [IiP: ~]

Do you have a documented Health & Safety Policy stating your Practice’s approach to the risks that might impact upon the health, safety and general wellbeing of yourself, any staff (employed or contract/agency personnel) and any visitors?

NB: N/A may only be selected if you employ five or fewer personnel.

Is there a nominated, competent person responsible for health & safety issues?G: This person needs to have some understanding on Health & Safety legislation and regulation as it applies to your business. It may be yourself, an employee or contracted person such as an independent advisor / consultant.

Have you conducted a Health & Safety review / risk assessment within the last 12 months?G: The risk assessment must be conducted by a competent person and would address such issues as update of the policy, accident reporting and first aid facilities, fire / emergency evacuation procedures, health and safety awareness and training, monitoring conditions of work, safe handling and use of office / computer equipment and consumables. If you employ more than five people, it is a legal requirement to record the risk assessment.

Have any Health & Safety issues raised been considered by 'top management'?G: This would be yourself as the Sole Principal although you may have someone employed in a practice management capacity reporting on such issues. In any case, shortcomings should be highlighted and actions, time scale and responsibilities agreed and recorded.

Are Health & Safety recommendations monitored to ensure they are implemented and maintained?G: Progress and ongoing monitoring may be reported on at management meetings or just recorded by yourself / others involved in the process.

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[Code of Conduct: ~] [Lexcel: 4B.1b] [SQM: ~] [Legal: H&SaWA 1974] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 6.3b] [IiP: ~]

Do such agreements specify service standards for speed of repair or replacement?

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 6.3b] [IiP: ~]

[Code of Conduct: 20.04] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: 5.01(k)] [Lexcel: 2.4] [SQM: ~] [Legal: ~] [ISO 9001: 5.4.2b] [IiP: ~]

[Code of Conduct: 5.01(k); 5.01 GN3&39] [Lexcel: 2.4c] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

Are appropriate staff / visitor facilities available?G: Kitchen facilities, drinking water, cloakrooms/lavatories, wash basins and rest areas, and general arrangements for the reception and hospitality of visitors.

NB: N/A may only be selected if you employ no staff and have no visitors to your premises.

Is equipment that impacts upon service delivery covered by warranty/maintenance agreements? G: This would be equipment used for processing work and client communications (computers, telephones, photocopiers, faxes etc.).

Do you have a documented whistle-blowing policy that is actively promoted and provides guidance for personnel to report misconduct, criminal acts or serious financial difficulty, either within the Practice or at another Practice?G: SRA rules and guidance about whistle-blowing is provided in Practice Rule 20.

Have contingency plans for the Practice been prepared which include:

• consideration of the events that might interrupt its business operations;• the likelihood and effects of impact;• ways to reduce, avoid, or transfer the risks;• contingency arrangements to be instigated should such events occur;• training / awareness briefings with relevant personnel;• responsibilities and arrangements for testing, review and update of the plan?G: Contingency plans should consider power, IT and data restoration, communications, premises, facilities, business equipment, personnel, insurance issues, personnel (including the availability of at least one person who is "qualified to supervise" in accordance with 5.02 of the Solicitors' Code), client and third party implications, supplier and subcontract support agreements and the use of consultants and locums to cover for absences.

Within the last 12 months, has the contingency plan been:

• reviewed (and updated if necessary);• tested in all or critical areas?G: Review is necessary to ensure plans in place are still appropriate to the operating model and testing is essential to ensure that plans actually work in practice. Testing should be done with little (or without) warning for a true test of its efficacy (in the same manner as for fire evacuation tests). Testing may be enforced should events dictate such as unexpected absences, power cuts etc.

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[Code of Conduct: ~] [Lexcel: 1.8 but not essential] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

Does the Practice have a Corporate Social Responsibility (CSR) Policy? G: This is a very broad topic but a simplistic definition for CSR would be how an organisation can take a structured approach to sustainable development by considering the social, environmental and economic impacts of its activities. It is about aligning values and behaviour with the needs and expectations of stakeholders - not just clients and investors, but also employees, suppliers, communities, regulators, special interest groups and the needs of society as a whole. Numerous Standards, Codes and Guidelines exist in this field, the most common ones being BS8900, the AA1000 series, SIGMA Guidelines, SA8000 and the soon to be introduced ISO26000. You may wish to look at for instance, your Practice's carbon footprint, recycling, community relations, pro-bono work undertaken etc.

Has the Practice documented an Equality & Diversity Policy that makes clear its intent not to unlawfully discriminate against clients, potential clients, Partners (if appointed in future), staff and third parties and to promote equality and diversity within the Practice?G: The model code produced by the Law Society might be used as a starting point however this will need to be updated to take account of newer legislation in this field introduced after the model policy was designed.

[Code of Conduct: 5.01(1)h; 6.03] [Lexcel: 1.4 / 4B.1b] [SQM: A3.1; D1.3; F5.1] [Legal: EPA 1970, SDA 1975 & 1986, RRA 1976 & as amended 2000, DDA 1995, ERA 1999 [maternity & paternity leave], HRA 2000.] [ISO 9001: ~] [IiP: 3.2-3.4]

Is the Equality & Diversity Policy promoted and easily accessible within the Practice?G: Promotion may be via briefing sessions for existing personnel and via induction for new personnel. A copy of the policy should be included in the Practice Manual and/or displayed prominently.

[Code of Conduct: 5.01(1)h; 5.03 & GN22] [Lexcel: ~] [SQM: ~] [Legal: EPA 1970, SDA 1975 & 1986, RRA 1976 & as amended 2000, DDA 1995, ERA 1999 [maternity & paternity leave], HRA 2000.] [ISO 9001: ~] [IiP: 3.2-3.4]

Has the Practice defined what action will be taken if anyone is found to be in breach of the Equality & Diversity Policy?G: This would normally be dealt with through disciplinary procedures for any staff employed although policy for dealing with potentially discriminatory instructions from clients will also need to be addressed.

[Code of Conduct: 5.01(1)h; 6.03 & GN22] [Lexcel: ~] [SQM: A3.1; D1.3] [Legal: EPA 1970, SDA 1975 & 1986, RRA 1976 & as amended 2000, DDA 1995, ERA 1999 [maternity & paternity leave], HRA 2000.] [ISO 9001: ~] [IiP: 3.2-3.4]

Is there an annual review to ensure that the Equality & Diversity Policy is being applied in practice and that legislative updates have been incorporated?G: Review of employment practices including recruitment, training, opportunity for development, pay reviews and promotion (staff and anyone appointed at Partner level), should be assessed for fairness. Achievements in terms of limiting the numbers of related complaints / grievances and increasing diversity should also be considered as part of the risk review (See RM7). Some data collection and monitoring is required to assess the effectiveness of this policy.

[Code of Conduct: 5.01(1)h; 6.03 & GN22] [Lexcel: Introduction] [SQM: ~] [Legal: EPA 1970, SDA 1975 & 1986, RRA 1976 & as amended 2000, DDA 1995, ERA 1999 [maternity & paternity leave], HRA 2000.] [ISO 9001: ~] [IiP: 3.2-3.4]

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INFORMATION TECHNOLOGY (IT)

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INFORMATION TECHNOLOGY (IT)

[Code of Conduct: ~] [Lexcel: 4A.1] [SQM: ~] [Legal: ~] [ISO 9001: 5.2; 6.3; 6.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel:] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: Introduction to s4] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4A.2a] [SQM: ~] [Legal: DPA 1999] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4A.2; 4A.2b; 5.3e] [SQM: ~] [Legal: DPA 1999] [ISO 9001: ~] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are IT developments reviewed at management level and the Practice’s future requirements assessed and defined in terms of hardware, software and their application within the Practice? G: This exercise may be completed annually as part of the business planning process and should be performed in light of client needs, facilitating client services and business environment changes generally.

Is there a nominated person within the Practice with overall responsibility for IT issues?G: With responsibility for planning, purchasing, implementation, training, maintenance, and support.

Are you or someone in your employment, fully conversant with the legal and regulatory compliance implications for the Practice’s use of information and internet technology?G: This nominated person must ensure that personnel are adequately trained and understand the Practice's policies and processes related to ICT issues. Employment in this context may include an independent consultant contracted / retained for this purpose.

Is the Practice registered as a data controller under the Data Protection Act? G: Registration with the Information Commissioner is needed for anyone who processes personal data.

Has the Practice produced a written policy statement to ensure compliance with the Data Protection Act and provided training for staff (if any) in this regard? G: Such a statement should specify the different types of data that will be collected and which groups of people (clients, staff, others) that will be affected, the data protection principles and how they apply in practice, and responsibility and arrangements for training and implementation.

If monitoring of internet and e-mail use is employed in the Practice, is this conducted in accordance with the Employment Practices Data Protection Code?G: This code can be freely accessed and downloaded. Section 4 of the code covers 'Monitoring Communications'.

NB: N/A may only be selected if e-mail and/or internet access monitoring is not employed.

[Code of Conduct: ~] [Lexcel: 4A.4b & 4A.6b] [SQM: ~] [Legal: Employment Practices Data Protection Code] [ISO 9001: ~] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 4B.1a] [SQM: ~] [Legal: H&SaWA 1974; FRRO 2005] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4A.4 & 4A.6] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 4A.3c] [SQM: ~] [ISO 9001: ~] [Other: ~] [Legal: ~]

[Code of Conduct: 4.01; 5.01(1)h] [Lexcel: 4A.3] [SQM: ~] [Legal: DPA 1999] [ISO 9001: 7.5.4; 7.5.5] [IiP: ~]

Have specific safety assessments been conducted and guidance issued regarding computer use? G: Display Screen Equipment (DSE) / workstation risk assessment checklists available from the Health & Safety Executive (HSE) can be used for this purpose. The exercise should be repeated when workstations are changed.

Is there a written policy regarding the use of e-mails and internet use? G: The policy should address the use of e-mails internally and externally, permitted and prohibited uses, use of e-mail and internet for business and personal use, security issues, attachments, procedures for electronic storage, archiving and deletion of records, and legal compliance issues.

Do policies, processes and training fully address website management issues for the Practice, including:

• permitted and prohibited use;• content management, approval and publishing;• security management;• legal compliance review?G: Website content is subject to the Disability Discrimination Act, the E-Commerce Directive, the Data Protection Act and copyright law so legal compliance checks should ensure that this, and any new legislation is complied with. The scope and limitations of any electronic legal services should also be made clear on the Practice’s website. Guidance notes 16-17 and 22-23 to Practice Rule 7 apply.

NB: N/A may only be selected if you do not have a website.

[Code of Conduct: 7.01-7.06] [Lexcel: 4A.5a-c] [SQM: ~] [Legal: DDA 1995; DPA 1999, E-Commerce Directive, Copyright, Designs & Patents Act 1988] [ISO 9001: ~] [IiP: ~]

Is all business data (case management systems, databases, accounts, precedents, MS Office documents (or equivalent) and e-mails) backed-up at appropriate intervals and stored securely? G: In most instances, back-ups will be daily or possibly continuous throughout the day. Care should be taken not to omit critical data because it is stored in the wrong network / drive etc., and so all personnel should be trained in this regard. Storage should preferably be off-site or if on-site, in a secure fire-proof safe.

Are arrangements in place for the protection of the information assets of the Practice and its clients?G: Such arrangements should identify what those assets are, the risks to these assets, their likelihood and impact, the Practice's arrangements for the protection and security of assets and the training of all personnel to ensure policies are understood. See also FM6 - FM12 regarding file and information security and confidentiality.

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FILE MANAGEMENT (FM)

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FILE MANAGEMENT (FM)

[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: E1.1] [Legal: ~] [ISO 9001: 4.2.4; 7.5.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.8b] [SQM: E1.2b&f] [Legal: ~] [ISO 9001: 4.2.4; 7.5.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: E1.2f] [Legal: ~] [ISO: ~] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 7.5.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: E1.2f] [ISO 9001: 4.2.4; 7.5.3] [Other ~] [Legal: ~]

0

[Code of Conduct: 5.01(1)g] [Lexcel: (8.8b)] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.3f; 7.5.4] [IiP: ~]

0

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Does the Practice have a means of uniquely identifying all cases it has in the Practice? G: Generally via allocation of a number or other code at the outset so that all current and completed matters may be identified.

Are all related documents identified with the same unique identifier?G: Correspondence, client documents/property, wills, deeds, evidence and related files. This applies to open and closed files where the Practice holds documents or other assets of the client.

Are all matters for the same client identified as separate files and can a list of all matters be produced for individual clients?

If another party funds any of your cases (partly or wholly), can a list of all matters for individual funders be produced? G: This might apply for instance to the Legal Services Commission, the Criminal Defence Service, Trade Unions, or legal expense insurers.

NB: N/A may only be selected if the Practice’s scope of work and funding sources means that this scenario does not and might not apply in the near future.

Are all related case files identified as such? G: This applies to the same matter with more then one file (i.e. the same file number but separate documents and correspondence files) and related matters (with different file numbers, such as separate sale and purchase files for linked transactions).

Are procedures defined for the identification, handling and storage of client property?G: This should cover at least: deeds, wills, client money, investments or other documents. Systems should be capable of identifying to whom documents and assets belong, which matter they relate to, whether there are any particular undertakings attached, and any special storage/retention instructions.

NB: N/A may only be selected if you do not receive, hold, or handle in any way, client documents, information, assets or other property in either hard or soft media.

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[Code of Conduct: ~] [Lexcel: 8.8a] [SQM: E1.1] [Legal: ~] [ISO 9001: 7.5.3; 4.2.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: (8.1a-c)] [SQM: E1.2b&f] [Legal: ~] [ISO 9001: 4.2.3d,e&g; 4.2.4; 7.5.3] [IiP: ~]

0

[Code of Conduct: 4.01; 5.01(1)g; 11.08] [Lexcel: ~] [SQM: ~] [ISO 9001: 4.2.3f; 4.2.4; 7.5.5] [Other: ~] [Legal: ~]

0

[Code of Conduct: 3 & 4 (Guidance)] [Lexcel: 8.8c] [SQM: ~] [ISO 9001: 7.5.4] [Other: ~] [Legal: ~]

[Code of Conduct: 4.01; 5.01(1)g] [Lexcel: 8.8c] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 7.5.5] [IiP: ~]

0

Can an up-to-date list of matters be easily produced?G: This applies to both open and closed cases.

Do procedures define under what circumstances general / central files may be used and how this information is to be retained for future reference if required? G: These may be for instance for one-off pieces of advice which do not result in instructions.

Have you a written policy that addresses the treatment of files to maintain confidentiality?G: This should address for instance, reviewing files on trains, taking files home, leaving files in cars and leaving files on display in areas where other clients are being attended. Consideration in respect of shared business premises, outsourced services, release of files or client details to third parties and contractual confidentiality clauses for any employees. If your Practice is subject to any third party audit (e.g. by Lexcel or LSC assessors), then client consent processes will need to be part of this policy.

[Code of Conduct: 4; 5.01(1)g] [Lexcel: 8.8c; (8.1b)] [SQM: F4.1; F4.2; F4.3] [Legal: ~] [ISO 9001: 4.2.4; 7.5.4] [IiP: ~]

Are procedures in place for handling, storage, protection, and return of sensitive materials?G: This might include for instance child witness statements, sensitive photographic material, Treasury / Home Office documents etc. Such materials should be kept under secure storage, not disclosed, kept confidential, returned by hand (or recorded delivery) and generally cared for in accordance with any undertaking given.

NB: N/A may only be selected if your Practice does not and is never likely to handle materials that would be classified as sensitive.

Are procedures for establishing and operating information barriers where necessary.G: Guidance is provided in Practice Rules 3 and 4 (Conflicts of Interest and Confidentiality & Disclosure).

NB: N/A may only be selected if the work conducted does not require such barriers / 'Chinese walls'.

Have you defined procedures for keeping files secure whilst on the premises?G: Such procedures should extend to storage of current (active or inactive) and closed matters.

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[Code of Conduct: ~] [Lexcel: 8.8d] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.3e] [IiP: ~]

0

Are protocols defined for keeping files orderly and up to date?

[Code of Conduct: ~] [Lexcel: 8.8e] [SQM: E1.3] [Legal: ~] [ISO 9001: 4.2.4; 7.5.5] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.10c] [SQM: ~] [ISO 9001: 4.2.3f&g; 4.2.4] [Other: ~] [Legal: ~]

[Code of Conduct: ~] [Lexcel: 8.10f] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4] [IiP: ~]

[Code of Conduct: 4.01] [Lexcel: 8.10f] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 5.4.1] [IiP: ~]

[Code of Conduct: 5.01(1)g] [Lexcel: 8.10d] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

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Is key information about the matter and its current status kept up to date so that someone else handling the file has ready access to the details?G: This might include the use of a file summary sheet, operation of a case management system (or other centrally accessible notes), or colour coding of key information on the file.

Are files reviewed on conclusion to ensure that documents which need not be retained are removed and returned or disposed of?

Have you defined the retention periods for files in archive storage? G: These will vary according to the type of work undertaken but the minimum is 5 years for compliance with money laundering regulations and 6 years for LSC files.

Have you defined procedures and authority for the review and destruction of files?G: Secure storage and shredding or incineration should be employed.

Do your terms of business or client care details include information about ownership, retention and storage of files and any associated documents. G: Procedures should include controls such as proof of identity when requesting files, provision of details about any administration charges, and delivery methods to be used etc.

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CLIENT CARE (CC)

CC1:

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CLIENT CARE (CC)

[Code of Conduct: 5.01(1)e] [Lexcel: 7.1] [SQM: ~] [Legal: ~] [ISO 9001: 5.2] [IiP: ~]

[Code of Conduct: 4.01; 7 GN44; 11 GN10] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: 9.02 & GN9-10] [Lexcel: 8.1a-c; 8.3] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Does the Practice have a documented Client Care Policy that addresses:

• responsibility for client care;• the Practice’s commitment to client care, its general approach and client care principles;• compliance with Rule 2 of the Code of Conduct (Client Relations) on client care, costs information and complaints handling;• the Practice’s approach to obtaining feedback and improving services?G: This may already be defined to some (or full) extent in one or more documents such as a brochure, team profiles, client care letter, on a website or combined with the quality policy (see CI3) or risk management strategy (see RM1).

Is there one or more nominated person(s) responsible for checking all promotional literature published by the Practice to ensure that it is accurate, fair, not misleading and compliant with relevant statutory and regulatory requirements?G: Promotional literature will include for instance, stationery, brochures, web-site, directory entries, advertisements, and press releases. Practice Rule 7 (Publicity) provides details and guidance. Use of logos and phraseology should be checked to ensure that it is compliant with any contractual terms (e.g. for Lexcel, Legal Services Commission etc). Alternative formats such as large print should be provided where appropriate.

[Code of Conduct: 7.01-7.07] [Lexcel: ~] [SQM: A2.2] [Legal: DDA 1995; British Code of Advertising, Sales Promotion and Direct Marketing] [ISO 9001: ~] [IiP: ~]

Do you ensure that client consent is obtained before including names and/or details in any publicity material?

Does the Practice have clearly defined procedures for dealing with enquiries from existing or potential clients?G: Whether received in writing, by telephone, e-mail, fax or personally via a visit to the office. Procedures should include responsibilities, recording and indexing of enquiries, response times, and ideally extend to monitoring success rates / criteria for enquiries such as conveyancing enquiries or tenders submitted. Consideration of potential conflicts will need to be applied appropriately and the Practice must ensure that any referral sources / introducers act in accordance with Practice Rule 9 on Referrals.

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[Code of Conduct: 9.01; 9.03; 19] [Lexcel: 8.1a-c] [SQM: B1.1; B1.2; B2.1] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

Do you have established processes for directing enquirers to other sources of help if your Practice is unable to assist?G: 'Signposting' information should be readily available and understood by relevant personnel (anyone likely to receive an initial enquiry). Such information should include access to the Law Society and CLS/CDS Directories / websites and any applicable CLSP signposting and referral protocols. Any referral arrangements must comply with Practice Rule 9 on Referrals and if relevant, Rule 19 for Financial Services.

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[Code of Conduct: ~] [Lexcel: ~] [SQM: B1.1; B1.2; B1.3; B2.1] [Legal: ~] [ISO 9001: ~] [IiP: ~]

[Code of Conduct: 2.02(2)d; 2.05(1)b] [Lexcel: 7.2] [SQM: F1.1c; F1.2a] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 7.3] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

0

[Code of Conduct: 2.03(4); 2.06; 8.01-8.02] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

0

[Code of Conduct: 2.05(1)a&c] [Lexcel: 7.4] [SQM: G1.1; G1.2] [Legal: ~] [ISO 9001: 7.1; 7.2.3c; 8.2.1] [IiP: ~]

0

Do you have a process in place for referring clients who require advice or assistance that you are unable to provide within the Practice?G: This service would be for clients with whom you have an established / ongoing relationship and might be necessary if for instance, expertise is required that is not available within the Practice or additional work is necessary that cannot be conducted within tight deadlines. Relevant staff need to know how the Practice's referral process works, along with any authorisation /control process to follow and records to be kept (e.g. SQM requires referral records to be kept and reviewed annually).

Are clients provided with written client care information that includes (as appropriate):

• the name and status of the person responsible for their case;• the name any Supervisor and the person responsible for overall supervision;• the name/s of the person/s to complain to in the event that they are dissatisfied with the service provided?

G: If there is more then one person likely to be working on the case, all names and statuses should be advised. Complaint contacts may be a stepped approach whereby the person dealing with the case is notified of the problem first, then a Supervisor, then the Principal.

Where standing terms of business for clients with business of a repeat nature, is there a record of these and are they subject to regular review to ensure they are kept up to date and updated terms issued where necessary?

NB: N/A may only be selected if terms of business are issued afresh each time a new instruction is received.

Do you provide clear information to clients regarding any intended fee-sharing or referral incentives that you operate?G: Guidance on this can be found in Practice Rules 8 and 9. Commissions received over £20 must be paid to the client unless agreed otherwise.

NB: N/A may only be selected if you do not operate any fee-sharing or referral incentive schemes.

Does the Practice have a documented complaint handling procedure that can be made available to clients on request or should it become apparent that they may need to use it?G: It is not necessary to advise of the full complaints process at the outset of a case. It is preferable to just advise of the existence of the procedure and a contact name in case of concern.

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Do your complaints procedures describe your Practice’s definition of a complaint?G: This should be broad enough to capture and record all opportunities for service improvement, that is, you should not limit your records to complaints of negligence received in writing. All formats (oral, e-mail, by fax etc) regarding any aspect of dissatisfaction should be accepted and guidance on how to identify complaints given to all personnel as they may not always be in writing or identified by the term 'Complaint'.

Are all complaints (whether considered justified or not at the outset) recorded in writing and logged so that they can be centrally monitored, reviewed, and analysed?G: A complaints register or book should be established for this purpose. All related correspondence should also be filed centrally in support.

As the Principal, do you have overall responsibility for ensuring that complaints are handled promptly, fairly and effectively?G: Where a larger number of staff are employed, it is acceptable to have another senior person to deal with complaints in the first instance, providing they report (and escalate matters as appropriate), to the Principal. Arrangements should include ensuring full co-operation with the SRA should it become involved.

Does your complaint recording and review procedure address separately the need for:

• remedial action - to correct the problem (if that is possible);• redress for the client - as appropriate;• corrective action - to prevent the problem from recurring?

Are time scales set for completion of complaint handling activities and are these monitored centrally to ensure they are followed and that responses are appropriate?G: Complaints monitoring should form part of any management / team meeting core agenda. The central records referred to in CC12 should be used for this purpose.

Does the complaints handling procedure issued to clients advise how the complaint will be handled and what the time scales are?

Are complaints analysed to identify any recurring or emerging trends?G: Analysis might be by work-type, department, individual, branch, claim type, root cause etc. as appropriate.

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Do you conduct a review at least annually, to consider the complaints analysis, issues raised and actions to be taken? G: This should be done as part of the annual review of risk (see RM6 to RM10) at a meeting of the management team.

Does the Practice have a procedure in place to solicit and record feedback from clients regarding their perceptions of the service provided? G: Records of client meetings, surveys carried out, discussions at seminars or other events, positive feedback (such as 'thank-you' cards) etc could all contribute to client feedback data for analysis.

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Is such feedback analysed and reviewed at least annually to assess the need for changes to the Practice’s services/approach, and the findings communicated to any personnel?G: This might be done prior to, or as part of the business planning process review so that service changes emanating from client feedback can be incorporated into service development plans.

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CASE MANAGEMENT (CM)

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Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Are the criteria for accepting new clients and accepting new instructions from existing clients defined?G: Criteria might include: making clear who the client is, financial viability, potential profitability, the Practice’s previous experience or current impression of the client, attempts at instructing other Solicitors, reasons for disengaging with any previous Solicitor, client expectations, the work-type, 'core duty' issues, capacity and skills available and perceived risk including that under MLR 2007. The criteria must not however include anything that might be construed as unlawful discrimination. General categories of clients / work types might be described in promotional literature, client care / policy statements, business / marketing plans and/or in a procedures manual.

[Code of Conduct: 2.01(1)] [Lexcel: 6.8a; 8.2] [SQM: A3.1; C1.5] [Legal: EO Code of Practice 1985; DDA 1995] [ISO 9001: 7.1; 7.3; 7.5.1] [IiP: ~]

Are client and beneficial owner identity checks conducted in accordance with the latest client due diligence (CDD) requirements?G: The Law Society's latest guidance pays particular attention to trusts and the shareholders of corporate bodies in terms of beneficial ownership.

Is a record of the identity check shown on the file with evidence filed in support? G: Records should be kept of the client, any related beneficiaries, your risk assessment of them and their instructions, the level of CDD / sources used, and any monitoring to be applied. Client identity records might also be held centrally for reference if the client regularly instructs the Practice.

Is client authority verified as part of the initial acceptance checks and recorded on the file? G: This may apply to corporate clients, one of a couple, family members, or third party instructions.

If a central register of client identification is used, are monitoring arrangements in place to ensure that CDD records are up to date and are adequate for the nature of business instructed on?G: Triggers to update CDD records might include a gap in instruction of 3 years or more, higher risk retainers, and suspicion of money laundering or terrorist financing.

NB: N/A may only be selected if you have no repeat clients and it is certain that you will not be acting for such clients in the near future, and/or you repeat client due diligence checks on each instruction as a matter of course.

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[Code of Conduct: 3; 4.04-4.05; 18.03] [Lexcel: 8.3] [SQM: E1.2a] [Legal: ~] [ISO 9001: ~] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.4] [SQM: F1.1] [ISO 9001: 7.2.1; 7.2.2] [Other: ~] [Legal: ~]

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Are conflicts of interest checked systematically as part of the initial acceptance procedure both:• in relation to conflicts between clients;• and between clients and the Practice, its Partners and staff?G: This might be a combination of systematic checking the client database for key words on opponents, other parties and assets / liabilities involved, a register of interests of yourself and your staff, existing knowledge and consultation with other fee-earners and offices. Database checks will only be as reliable as the data held so it is essential that these details are kept up to date.

Is a procedure defined for handling any conflicts that do arise?G: Referral to yourself or a Supervisor may be necessary to resolve conflicts and written agreement obtained from clients in situations where continuation is possible in accordance with professional conduct rules. Extensive guidance is given in Practice Rules 3 and 4.

Is a legible attendance note of initial discussions or a copy of the client’s instructions shown on the file? G: If handwriting is not sufficiently legible, notes should be word-processed.

Does the attendance note (or instructions with any supplemental notes) include, as appropriate:

• client requirements, objectives, and/or nature of the problem;• specific objectives;• issues raised and advice given;• options discussed and any associated risks;• action to be taken by the Practice;• approximate time scale to complete the agreed actions;• any actions that the client is required to complete?

G: Confirmation of the above in writing (in accordance with CM17) may be used as the detailed record instead of an equally detailed attendance note but a short attendance note showing date, time and cross-references to the more detailed documents should be completed. Information that cannot be ascertained initially should be obtained and supplemented later.

[Code of Conduct: 2.02(1)a-c; 2.02(2)b-c] [Lexcel: 8.4a-c] [SQM: F1.1a&b] [Legal: ~] [ISO 9001: 7.2.1; 7.2.2; 7.3] [IiP: ~]

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[Code of Conduct: 2.03(6)] [Lexcel: 8.4e] [SQM: F1.2c] [Legal: ~] [ISO 9001: 7.2.1-7.2.3; 7.3] [IiP: ~]

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[Code of Conduct: 2.03(2)] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

Does cost information include:

• the basis of the fees to be charged;• advance warning if fee rates changes are to be applied to existing work;• a best estimate of total likely costs on every matter, (to include fees, disbursements, and VAT), either at the outset or as soon as issues become clearer;• payment terms, including circumstances when a lien might be exercised for unpaid costs;• any fee-sharing arrangements to be applied;• arrangements for updating costs information?

G: A cost range or an estimate for a first stage may be given but it is not adequate to advise clients that ‘it is not possible to give a costs estimate’. Expected costs should be supported by hourly rates for all personnel involved in the matter, and estimated time to complete the matter, but not an hourly rate on its own. Repeat work can be advised once only and then updated occasionally. Terms and conditions relating to public funding (such as the Statutory Charge) should be made clear in relevant cases.

Are alternative means of funding (for the client's or their opponent's costs) discussed and recorded or confirmed as appropriate?G: Other sources apart from client funds may be relevant, including public funding, legal expenses insurance, trade union benefits, conditional or contingency fee arrangements. Alternative funding sources should be considered both at the outset and if there is any significant change in the clients means as the case progresses

NB: N/A may only be selected if the client groups you serve would never be able to use such alternative fund sources.

[Code of Conduct: 2.03(1)d; 2.03(3)] [Lexcel: 8.4d] [SQM: F1.1d; F2.4] [Legal: ~] [ISO 9001: 7.2.1-7.2.3; 7.3] [IiP: ~]

In appropriate circumstances, is a cost-benefit analysis conducted to assess whether the matter is worth pursuing and whether the likely outcome will justify the expenditure, effort and possibly stress to the client?G: Risks to the client must be considered in such matters, and in publicly funded cases, the ability to meet the funding code criteria must be satisfied. Cost-benefit considerations may apply on both contentious and non-contentious matters so ensure full consideration is given to all work types.

NB: N/A may only be selected if the Practice deals only with matters where cost-benefit considerations are not relevant.

If Conditional Fee Arrangements are used, is there a nominated person responsible for ensuring that precedents are kept up to date in line with statutory requirements and for ensuring that cost information on CFA matters is in accordance with the Solicitors' Code?

NB: N/A may only be selected if CFAs are not used.

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If any limitations are to be placed on the service provided, is this confirmed in writing with the client? G: Limitations might be set by an external funder or by the client themselves by setting an upper fee limit.

Is the expected level of service discussed and confirmed with the client to establish their preferences for contact and to manage their expectations?G: Confirming the frequency, stages and method of correspondence can circumvent complaints regarding delays and not being kept informed. The client should be kept informed unless otherwise agreed or inappropriate.

If after initial discussions, it is considered more appropriate for another person in the Practice to deal with the case, is client consent obtained and the matter referred to someone with more appropriate expertise and/or time?G: A subsequent client care letter should confirm that consent was obtained and explain the reason for the handover. Changes in client care responsibilities (as defined in CC7) also need to be made clear.

Are the details in CM8 to CM16 confirmed in writing and a copy of the correspondence kept on the file?G: If it is not possible to confirm some details right at the outset, further correspondence should be sent as and when details become clearer. If e-mail is used, the client’s consent for this mode of communication should be obtained. If it has been agreed or it is inappropriate to provide all/some of this information, there should be a file note in support of this decision.

Has the Practice defined the format and content for recording key information on the file?G: Structured case management notes (on computer or the file) or a case summary sheet might be used for this.

Are key dates researched and identified as early as possible in the case and shown clearly on the file?G: So that they are obvious to anyone who needs to refer to the file.

Have you defined all the key dates that apply to individual types of work?G: This will generally be done whilst defining the generic risk profile for that type of work (see RM5) and should define the specific types of dates for instance in landlord & tenant matters, probate, company/commercial, litigation, judicial review, conveyancing etc.

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Are key dates noted clearly on the file and entered into back-up system(s) showing the client, file number and what needs to be done?G: A central diary should be used for this. An electronic version is generally easier to add to and review, but a desk dairy will serve the purpose providing it is not taken out of the office. Details should be adequate - what must be done and not just a name/file reference, and must be legible.

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Are clients advised in writing about any key dates applicable to their case?

[Code of Conduct: ~] [Lexcel: ~] [SQM: F1.2b] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6c] [SQM: ~] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6c] [SQM: E1.2c] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.5] [SQM: F2.1] [Legal: ~] [ISO 9001: 7.3.3; 7.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.6f] [SQM: F2.1; F2.2] [Legal: ~] [ISO 9001: 7.2.2; 7.2.3b; 7.3.7] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.3] [SQM: E1.2a] [Legal: ~] [ISO 9001: 7.2.1] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.6d] [SQM: ~] [Legal: ~] [ISO 9001: 5.2; 7.2.3] [IiP: ~]

Are countdown dates used to remind fee-earners of imminent key dates?G: Reminders may be recorded in the diary system at say 3 months, 1 month, and 1 week ahead depending on the type of key date and the work to be completed.

Is a key date reminder system operated?G: A systematic review and/or notification system is necessary to ensure key dates and reminders are reacted to in adequate time. Responsibilities and frequencies for this should be established.

Is the proposed plan of action / strategy shown clearly on the file in a prescribed format?G: In simple matters, this may just be confirmation of instructions to the client as part of initial client care routines. In more complex matters, including publicly funded multi-party actions and, high cost, High Court, or SCU cases, a detailed strategy or case plan is necessary. In either case, someone other than person normally responsible should be able to find the plan easily. Colour-coded client care letters / plans may help. A prescribed format might be your own Practice's or that of a third party funder.

Are plans reviewed at predetermined frequencies and any proposed changes to the planned course of action agreed with the client and confirmed in writing?G: If it is not appropriate to consult with the client, it may be appropriate to consult with their guardian or litigation friend if they have one.

Where case changes or progress involve the introduction of other parties, is a further conflict of interest check conducted?G: A record of any such changes and checks should be made on the file.

NB: N/A may only be selected if the work-type/s undertaken by the Practice do not, and are never likely to, involve such changes.

Are response times for dealing with correspondence and calls agreed and defined?G: This may be an overall aim and may vary according the type of work.

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[Code of Conduct: 2.03(1)] [Lexcel: 8.6e] [SQM: F1.2c; F2.3] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

0

Do fee-earners review all their files at regular intervals to check for inactivity and react accordingly?G: This may be a full cabinet trawl or review of complete matter lists on a monthly, bimonthly or quarterly basis. Monitoring less frequently than every quarter is likely to be ineffective. Reports showing the date of last activity and/or time recorded on each matter are useful in this respect.

Are issues, conversations (all parties), and agreed actions, recorded to a level of detail appropriate to the time recorded, and where appropriate confirmed in writing?G: It is not for instance appropriate to have an attendance note of one or two lines of notes with an hour's time recorded against it. Details of the conversations, investigations, actions must be provided in support of time spent in case of query later.

Is there a clear policy stating that clients must be kept informed of progress, including reasons why, if relevant, their matter is not progressing as actively as expected?G: Complaints commonly arise from clients not being kept informed of progress or reasons for lack of progress. Even where nothing is happening and explanation of why can alleviate concerns that their case has been forgotten. It is useful to define key stages/landmarks at which an update should be given (see also CM15 regarding levels of service).

If for any reason it is necessary to change the person responsible for the day-to-day handling of a case, or the person to whom concerns should be reported, is the client notified of this change explaining the reason for the change?G: This may be included in other routine correspondence to the client, but specific reference to the change of personnel should me made.

Are hand over / holiday notes detailed in a prescribed format that outlines key issues, progress to date, any immediate actions required, future plan, key dates, undertakings or specific risk issues to be aware of.G: If a key details / file summary sheet or Case Management System is used, this could be referred to instead of repeating information.

Where time spent on the case is the basis for the fee, unless agreed otherwise, is the client provided with cost updates in accordance with agreed frequencies that are defined in the client care information and/or terms of business?G: As an absolute minimum, this should be six-monthly but in faster moving matters where costs accumulate more rapidly, more frequent updates should be given.

NB: N/A may only be selected if the Practice always quotes a fixed fee for the matter.

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[Code of Conduct: 2.03(1)f-g] [Lexcel: 6.8d; 8.6e] [SQM: F2.3d] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

0

[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [ISO 9001: 5.5.1] [Other: ~] [Legal: ~]

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[Code of Conduct: 5.0191)f; 10.05 & GN24-41] [Lexcel: 8.7] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]

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[Code of Conduct: 5.0191)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 4.2.4; 7.5.1] [IiP: ~]

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[Code of Conduct: 5.0191)f] [Lexcel: ] [SQM: E1.2d] [Legal: ~] [ISO 9001: 4.2.4; 7.5.1] [IiP: ~]

Where relevant, do cost update letters remind clients of any relevant financial risks associated with the case?G: This might include for instance, reference to the statutory charge in publicly funded matters and/or the possibility of adverse costs orders in litigation matters. Advice on existing or specially purchased insurance should be given in respect of potential liability for other parties costs where appropriate. Financial Services Rules may therefore come into consideration.

NB: N/A may only be selected where such issues do not apply to the type of work undertaken.

Is the authority required for giving undertakings stated clearly in the Practice’s procedures?G: Authority levels may vary according to the type of work and the routine or non-routine nature of the undertakings given in that type of work.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Have all personnel been trained on the Practice’s position in relation to undertakings?G: It should be noted that an undertaking is defined as ‘any unequivocal declaration of intention made by a Solicitor or a member of Solicitor’s staff in the course of practice, addressed to someone who reasonably places reliance on it’. The term undertaking does not necessarily need to be used and it is not limited to qualified personnel. Training is therefore necessary to ensure that unintentional undertakings are not given. This requirement therefore applies whether or not you normally give undertakings in the course of your work.

Are undertakings recorded clearly on the file?G: So that it is immediately apparent to someone else who may need to refer to the file. This may be in the Case Management Notes, on a File Summary Sheet, on a specifically coloured memo and/or by way of a sticker on the file.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Is prescribed wording or ‘SMART’ format used for giving written undertakings?G: A SMART format means that undertakings are specific, measurable, agreed, realistic, and time-related.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

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[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.10a&e] [SQM: F3.1] [Legal: ~] [ISO 9001: 4.2.4; 7.2.3; 7.5.1; 7.5.4] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: 8.10b] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.4; 7.2.3; 7.5.1] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.10c] [SQM: F3.1d] [Legal: ~] [ISO 9001: 4.2.3f; 7.5.1] [IiP: ~]

Are oral undertakings always confirmed in writing promptly following verbal agreement?G: Similarly, documents received should be checked to ensure that you concur with what has been agreed and if necessary, disputed at the earliest opportunity.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Are procedures for monitoring undertakings defined and operated systematically?G: Some Practices find it useful to record undertakings centrally – either with accounts for financial undertakings or in a separate log for non-routine / litigation undertakings. A means of monitoring, either throughout the case and/or on conclusion is required in any case.

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Is written confirmation of completion of the case provided to the client, including as appropriate:

• provision of final documents / advising on the outcome of the matter;• any implications that the client should be aware of;• any further action to be taken (by the client or the Practice) and responsibility for this;• whether future review is appropriate, and if so, when, why, and who should initiate this?

G: It is important to make clear responsibilities for anything outstanding or future review in case the client assumes that the Practice will automatically take responsibility for this.

Is a full account of costs incurred (showing the Practice’s fees, any disbursements and VAT, monies paid to date and owed (or owing)), provided on conclusion of the matter?G: This may be sent with the concluding letter or separately if final account details are yet to be concluded. A full account of the whole case should be provided, whether monies have been paid on account or not. This requirement is not necessary for any pro-bono work undertaken.

Is the file reviewed to check if any documents / other property owned by the client need to be returned?G: It is therefore helpful to record clearly on the file or its summary sheet / case management notes, receipt of any such times that will need to be returned on conclusion.

Is evidence of return and/or receipt of any client or third party property kept on the file?G: This may also include sensitive materials to be returned to the client or issuing authority.

NB: N/A may only be selected if the Practice does not hold client property or sensitive material that would need to be returned.

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[Code of Conduct: ~] [Lexcel: ~] [SQM: F3.1b] [Legal: ~] [ISO 9001: 4.2.3f; 7.5.1] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.10d] [SQM: F3.1b] [Legal: ~] [ISO 9001: 7.2.3] [IiP: ~]

[Code of Conduct: 5.01(1)f] [Lexcel: 8.7] [SQM: E1.2d] [Legal: ~] [ISO 9001: 7.5.1] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.3.5; 7.5.1f] [IiP: ~]

0

[Code of Conduct: 2.01(2)] [Lexcel: ~] [SQM: ~] [Legal: MLR 2007; POCA 2002] [ISO 9001: 7.2.3] [IiP: ~]

0

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Are file storage and retrieval procedures (and any associated costs) advised to the client in writing?G: It is common practice to include this information in the standard terms of business or client care details provided at the outset.

Is the file checked to ensure that any undertaking(s) given have been met or otherwise discharged prior to closure of the file?

NB: N/A may only be selected if your Practice operates in limited areas where undertakings are not, and are never likely to be given.

Is a concluding checklist, appropriate to the individual work-type or work-types undertaken, used to ensure that all final verification activities and loose ends are completed on conclusion of a matter.G: For example, claims may arise in conveyancing matters due to failure to finish off loose ends and file deeds at the end of a conveyancing transaction. Concluding checks should include a final inspection of any documents in accordance with any relevant supervision processes.

If the firm decides that it must cease to act, is this course of action approved by you as Principal, adequate notice provided, and details confirmed with the client in writing as follows:

• the reasons for ceasing to act;• the date on which cessation comes into effect;• the scope of any remaining work/responsibility that will be completed;• any implications and further advice to the client;• what will happen with the paperwork generated to date?G: A pre-warning letter should be sent to warn that this course of action is imminent unless circumstances change. Ceasing to act must be for good reason and on adequate notice. If cessation is related to concerns about financial crime, care should be taken against 'tipping off'.

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USE OF THIRD PARTIES (TP)

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USE OF THIRD PARTIES (TP)

[Code of Conduct: ~] [Lexcel: 8.9] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.4.1] [IiP: ~]

[Code of Conduct: 6.01 GN18] [Lexcel: 8.9d] [SQM: F5.2] [Legal: ~] [ISO 9001: 7.4.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: ~] [SQM: F5.2] [Legal: ~] [ISO 9001: 5.5.1; 7.4.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9f] [SQM: F5.5] [Legal: ~] [ISO 9001: 7.4.2] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.9c] [SQM: F1.2c] [Legal: ~] [ISO 9001: 4.2.4] [IiP: ~]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Does the Practice have a written procedure describing the process for the use of third parties? G: Third parties include barristers, experts, agents, process servers and the like, appointed by the firm during the course of a case.

Does the procedure state the selection criteria to be used when appointing third parties?G: Criteria might include expertise, price or value-for-money, speed of response, ability to comply with Practice’s quality standards etc., but must not unlawfully discriminate.

[Code of Conduct: 6.01 & GN15-17] [Lexcel: 8.9a] [SQM: F5.2] [Legal: EO Code of Practice 1985; DDA 1995] [ISO 9001: 7.4.1] [IiP: ~]

Does the Practice maintain records of approved third parties for reference by relevant personnel?G: Records may be centralised by Practice, department / team and/or office.

Does the procedure identify who has authority to appoint third parties?G: Depending upon the size of the Practice and nature of the work, Supervisor or Principal approval may be agreed as necessary.

Are instructions to third parties always given in writing setting out:

• the background;• clear instructions and objectives;• any specific issues or questions to be addressed?

G: Precedent documents might be used for this to ensure consistency and compliance with rules of court and any court orders. Urgent instructions may be sent by fax or e-mail provided the content includes all the above aspects.

Do you obtain a quote or estimate for the work to be undertaken and record this on the file?G: Ongoing service agreements that include fee rates may be used for this purpose.

Do you consult with and advise your client regarding the use of a third party and reasons for this, and where appropriate, involve your client in the selection process?

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[Code of Conduct: ~] [Lexcel: 8.9b] [SQM: F5.4] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.9c] [SQM: F5.4] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.2.3b] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.9d] [SQM: ~] [Legal: ~] [ISO 9001: 7.4.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9e] [SQM: F5.3] [Legal: ~] [ISO 9001: 7.4.1; 8.2.4] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9g] [SQM: F5.3] [Legal: ~] [ISO 9001: 7.4.3; 8.2.4; 8.3] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 8.9d] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 8.9h] [SQM: ~] [Legal: ~] [ISO 9001: 7.1] [IiP: ~]

Once a decision has been made, do you confirm with your client, in writing:

• the selection decision in TP7;• the name and status of the third party chosen;• the service to be provided;• likely time scales involved;• if appropriate, the cost of using the third party and payment details for this?

Do you advise the client on the outcome and implications of advice received?G: This might be by providing a copy or the opinion / report with a summary interpretation, and/or having a meeting with the client to discuss the findings, implications, and proposed actions.

Where new third parties that are not currently included on the approved list are to be used, is evidence retained which shows vetting in accordance with the Practice’s selection criteria?G: An attendance note or pro-forma can be used for this and should be kept on the central file.

Is the performance of all third parties monitored and recorded on the central list (or in supporting evidence) so that such information is available to other members of the Practice?G: Records should note both positive and negative feedback and should identify anyone who has failed to meet the Practice’s quality standards. The laws of defamation and data protection need to be observed in this respect.

If you are dissatisfied with the advice and/or performance of the third party used, is this advised immediately, explaining what further steps are expected to remedy the situation?G: Review should ensure that advice/reports adequately address the information sought and in litigation matters, comply with the Rules of Court and any related Court Order.

Does your procedure identify who is responsible for keeping the approved lists up to date?G: This would include adding performance comments, adding new third parties and noting third parties as approved or rejected.

Do your procedures include a policy for the payment of third parties’ fees?G: Payment policy may vary according to the source of funding and any commercial agreement in place.

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CASEWORK SUPERVISION (CS)

CS1:

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CASEWORK SUPERVISION (CS)

[Code of Conduct: 5.01(1)a; 5.03(1)] [Lexcel: 6.1; 6.3] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 5.1-5.4]

[Code of Conduct: 5.03(1)&(3)] [Lexcel: 6.2] [SQM: D3.1] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 5.1-5.4]

[Code of Conduct: 5.03(3)] [Lexcel: 6.2] [SQM: D3.2; D3.3; D3.4] [Legal: ~] [ISO 9001: 6.2.2a] [IiP: 4.1; 4.2]

[Code of Conduct: 5.01(1)I; 5.03(3)] [Lexcel: 5.5b; 6.2] [SQM: D3.4] [Legal: ~] [ISO 9001: 6.2.2b] [IiP: 4.1; 4.2]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Have you defined your casework supervision structure in writing ensuring that all personnel are included within it?G: This may be a branch or departmental supervision structure, or in smaller Practices, one structure may be sufficient to show who is responsible for which staff and/or areas of work. All personnel includes staff, consultants, locums, and outdoor clerks, whether part-time, full-time, temporary or permanent. Supervision structures must include effective management of those working from branch offices and any one working remotely e.g. at home, at a police station, attending court etc.

NB: N/A may only be selected if there are no fee-earners to supervise and self-supervision only applies. Subsequent questions in this section have no N/A option is they apply to supervision and self-supervision situations unless stated otherwise.

Does the supervision structure identify a named supervisor for each type of work undertaken?G: One Supervisor may be responsible for more than one area of work. Supervisors are required in all areas of work undertaken by the Practice. Where there is only one person working in a particular field of work, the Supervisor will be responsible for self-supervision hence N/A is not appropriate for this question even if staff are not employed. Larger Practices might also allocate deputy supervisors.

Has the Practice defined the basis of selection for Supervisors including:

• technical competence / experience;• Supervisory skills / ability?

G: Supervisors do not have to be a particular status such as a Principal or qualified Solicitor, providing they fulfil the Practice's own specified criteria for acting as a Supervisor. External standards for Supervisors may be applied, for instance those set by the LSC.

Are the competencies required for supervision / self-supervision considered during performance/development reviews and provided for in subsequent training plans?G: Supervision competencies required might include effective coaching, feedback, delegation, recruitment, appraisal, staff development, time management, personal skills etc.

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[Code of Conduct: 5.03(1)&(3)] [Lexcel: 6.3] [SQM: D4.2] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 4.3; 5.1-5.4]

[Code of Conduct: 5.01(3)] [Lexcel: 6.3e&f] [SQM: D4.1] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 4.3; 5.1-5.4]

0

[Code of Conduct: 5.01(3)] [Lexcel: 6.3a-d] [SQM: D4.2] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 4.3; 5.1-5.4]

0

[Code of Conduct: 5.01(3)] [Lexcel: ~] [SQM: E1.2e] [Legal: ~] [ISO 9001: 8.2.3; 8.5.3] [IiP: 5.1-5.4]

0

[Code of Conduct: 5.03(3)] [Lexcel: ~] [SQM: D3.5] [Legal: ~] [ISO 9001: 6.1; 7.5.1] [IiP: 5.1-5.4]

[Code of Conduct: 5.01(1)a] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.5.1; 8.2.3] [IiP: 4.3; 5.1-5.4]

Have supervision methods to be used in the Practice been defined in writing?G: The extent and methods of supervision can be varied according to the experience of those being supervised but must in all cases by appropriate, effective and of reasonable regularity.

Are Supervisors proactive in their responsibility for the allocation of new work and/or for review of new work soon after receipt?G: As a means of ensuring that cases are only accepted, allocated and continued with where there is adequate knowledge, qualifications, expertise, time, support (from the advisor, a supervisor and any third parties if needed) to conduct the work effectively.

Do supervision procedures include as appropriate:

• checking of incoming/outgoing correspondence (letters, faxes, e-mails);• team, departmental or whole office meetings;• one-to-one review meetings;• review of matter lists (to consider workload, progress, variety and financial control);• ensuring that alternative funding criteria/arrangements are fulfilled.G: Supervision methods and frequencies should be risk-based according to the competency of those supervised. The latter requirement might involve limitations related to the use of devolved powers, CFAs, Trade Union or Insurance funding.

Do Supervisors systematically check for inactivity on cases being dealt with in their area of responsibility?G: Matter lists for each fee-earner supervised, showing the date that time or other activity was last recorded might be used for this purpose.

Is there a commitment to ensure that adequate time is made available for effective supervision?G: For instance, in some Practices, Supervisors may be set lower fee targets, have a maximum supervision ratio, or have a supervision code for recording time spent on supervision. Care must be taken where supervisors are responsible fro personnel at more than one office.

Are supervision methods for support staff defined?

NB: N/A may only be selected if there are no support staff.

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[Code of Conduct: 5.01(1)a] [Lexcel: 4B.1c] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.3] [IiP: 3.1; 3.5]

0

[Code of Conduct: ~] [Lexcel: 6.5e] [SQM: E2.2; E2.3] [Legal: ~] [ISO 9001: 5.5.1; 8.2.3; 8.2.4] [IiP: 4.3; 5.1-5.4]

0

Are results of the review kept both centrally and on the individual case file?

[Code of Conduct: ~] [Lexcel: 6.5c] [SQM: E2.1c; E2.4; E2.5] [Legal: ~] [ISO 9001: 4.2.4; 8.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 6.5d] [SQM: E2.1d] [Legal: ~] [ISO 9001: 8.5.2; 8.3] [IiP: ~]

0

[Code of Conduct: ~] [Lexcel: 6.5d] [SQM: E2.1d] [Legal: ~] [ISO 9001: 8.5.2; 8.3] [IiP: 4.3; 5.1-5.4]

0

Are channels (and where appropriate, frequency) of internal communications defined? G: This might include, staff/team/office meetings, use of circulars, appraisals (of self and others), newsletters, notice board and/or intranet etc. Everyone should be encouraged to contribute ideas for improvement to their own, their team's, and the Practice's performance.

NB: N/A may only be selected where there are no other personnel to communicate with.

Is a process in place for the regular and independent review of files which includes controls for the following:

• inclusion of all personnel and work-types in the review process;• the selection independence, criteria and methodology to be applied;• a risk-based approach to the number and frequency of files reviewed which should then be defined and updated as necessary for each individual;• use of review checklists / criteria to ensure thoroughness and consistency?G: Review criteria should cover both file management and the substantive legal issues although these two aspects may be undertaken by different people, at different frequencies and via different means (such as face-to-face review). All personnel - yourself, staff, locums (when employed) and consultants must be included in this process.

[Code of Conduct: ~] [Lexcel: 6.5; 6.5a&b;] [SQM: E2.1a&b] [Legal: ~] [ISO 9001: 7.1; 8.1; 8.2.3; 8.2.4] [IiP: 4.3; 5.1-5.4]

Are file reviews conducted under the control of a Supervisor?G: It is not necessary for Supervisors to conduct all reviews personally providing that reviews are conducted by a suitably competent individual and that Supervisors are aware of the findings, actions agreed and any trends associated with reviews in their area of responsibility. Procedural checks may be delegated to any competent member of staff. Legal advice/strategy reviews should be conducted by the Principal or another Supervisor only.

If any actions are required following a file review, are they completed within agreed time frames?G: Completion targets may range from the same day to up to 28 days. It may also be appropriate to monitor application of improvement actions over a period of several months.

Are actions arising from a file review verified by the reviewer once the target date for completion has been reached?

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[Code of Conduct: ~] [Lexcel: 6.5f] [SQM: E2.6] [Legal: ~] [ISO 9001: 8.4] [IiP: 4.3; 5.1-5.4]

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Are file review results analysed at least annually to identify recurrent or emerging trends and reviewed at management level to identify the need for procedural change, training or other action?G: This should be undertaken as part of the annual review of risk (see RM6 to RM10).

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RISK MANAGEMENT (RM)

RM1:

RM2:

RM3:

RM4:

RM5:

RM6:

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RM9:

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RM11:

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RM14:

RM15:

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RM17:

RM18:

RM19:

RM20:

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RISK MANAGEMENT (RM)

[Code of Conduct: 5.01(1)l] [Lexcel: 1.2] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 8.5.3] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6b] [SQM: ~] [Legal: ~] [ISO 9001: 5.5.1] [IiP: 5.1-5.4]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6c] [SQM: ~] [Legal: ~] [ISO 9001: 8.5.3] [IiP: 5.1-5.4]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6c] [SQM: ~] [Legal: ~] [ISO 9001: 8.5.3] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6d] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.3; 8.5.3] [IiP: 5.1-5.4]

0

[Code of Conduct: 5.01(1)l; 5.01 GN39] [Lexcel: 6.7] [SQM: ~] [Legal: ~] [ISO 9001: 5.1d; 8.5.3] [IiP: 5.1-5.4]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Has the Practice’s risk management strategy been defined in writing and does it address the strategic, operational and regulatory risks faced? G: The strategy needs only be an overall framework for approaching risk, but requires the Practice to think in a structured manner about the types of risk its faces and how these will be addressed. The strategy might address the means of assessing, evaluation and managing risk, contingency planning, and insurance.

Has a clear reporting structure defined for advising about risks and reporting on the same?G: This may include Supervisors and/or department heads but in smaller Practices, a channel straight to the Principal/Risk Manager might be more appropriate.

NB: N/A may only be selected where no other staff or locums are employed.

Have you defined the work-types that your Practice does and does not conduct?G: That is, those matters that pose an acceptable level of risk and which will be undertaken and those cases that pose an unacceptable risk and which therefore you are not prepared to conduct. It is as important to define limitations as well as scope to make boundaries clear.

Have the work types in RM3 been communicated to all personnel as well as the procedures to be followed when work is declined on the basis of risk? G: Procedures might incorporate the sign-posting and/or referral processes in CC4 to CC6.

Has the Practice defined the generic risks associated with its work and communicated these to relevant personnel alongside the systems in place to manage those risks?G: These are the inherent risks associated with the various types of work, but manageable and acceptable if risk management procedures are followed. Risks should include causes of claims and be work-type specific such as: typical conflicts that might arise, undertakings that might be given, types of key dates, precedents subject to regular change, and any specific case types within each work category which might be considered higher risk than others.

Is an annual review of risk undertaken by you / others involved in the management of your Practice to assess the need for changes to policy or practice?

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[Code of Conduct: 5.0191)l; 5.01 GN3] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.1d] [IiP: ~]

Does the annual review include consideration of data, analysis and other information available on:

• claims and potential claim notifications;• client complaints (including fee/time write-offs);• other client feedback (from meetings, surveys, seminars etc)• file reviews;• money laundering/mortgage fraud/other financial crime - reports, training, breaches and any significant incidents;• business continuity reviews, tests and other disruptive events;• any IT failures and abuses;• equality and diversity complaints, grievances or other issues from process reviews;• internal and/or third party process reviews / audits (see Section CI);• any unusual/high risk matters conducted, concluding risk assessments and actions arising;• performance of third parties and other key service providers;• skills, development, training and recruitment;• environmental, health, safety, social, and ethical issues;• business changes generally?G: The latter might include for instance: changes to client profiles / client groups to be served; categories of work undertaken; commercial objectives (as defined in the business plan); structure; organisation; supervision and skills within the Practice; changes to legislation, regulations and professional/authoritative guidance, and financial exposure of the Partners.The review should also include follow-up on previous reviews and any corrective and preventive action initiatives in progress.

[Code of Conduct: 5.01 GN39; 6.03 & GN22] [Lexcel: 7.4d; 6.5f; 6.7a] [SQM: G2.2; G2.1c] [Legal: ~] [ISO 9001: 5.1d; 5.6.1; 5.6.2; 8.4] [IiP: ~]

Does the review address all risks that could impact upon the Practice?G: Risk is not just related to complaints or negligence claims. An holistic review of risk should include fraud, reputation, professional status, financial exposure, employment, IT, Health & Safety and business interruption / disaster events.

Is the annual review documented and does it include recommendations (as appropriate) for updating:

• processes or policies defined in the Practice Manual;• work-type risk profiles;• risk management strategy;• limiting liability in the Practice's terms of business;• Client Care and/or Quality Policy and objectives;• promotional literature / web-site;• recruitment, training and supervision structures;• any additional resources needed;• the legal structure of the Practice?G: Liability limits must be brought to the client's attention and confirmed in writing and must not be below the minimum level of cover required by the Solicitors' Indemnity Insurance Rules.

[Code of Conduct: 5.01(1)l; 5.01 GN39; 2.07] [Lexcel: 6.7d; 7.1] [SQM: ~] [Legal: ~] [ISO 9001: 5.1d; 5.6.3; 8.5.1; 8.5.3] [IiP: ~]

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[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [ISO 9001: 5.5.3] [IiP: 7.1-7.3]

[Code of Conduct: 5.01(1)l; 6.01] [Lexcel: 6.8b] [SQM: ~] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: ~]

0

[Code of Conduct: 5.01(1)l] [Lexcel: 6.6e; 6.8b] [SQM: D4.3] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: 5.1-5.4]

0

[Code of Conduct: 5.01(1)l] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.3; 7.5.1] [IiP: ~]

0

[Code of Conduct: 5.01(1)l] [Lexcel: 6.8c] [SQM: D4.3] [Legal: ~] [ISO 9001: 7.3.4; 8.2.3] [IiP: ~]

0

[Code of Conduct: 5.01(1)l] [Lexcel: 6.8c] [SQM: ~] [Legal: ~] [ISO 9001: 7.3.7] [IiP: ~]

0

Is the outcome of the review communicated to relevant personnel?

NB: N/A may only be selected where there are no other personnel involved.

When new matters are considered, does the acceptance procedure include a review of risk against specific criteria to assess whether the matter is unusual or higher than normal risk?G: Practices should define what criteria constitute higher than normal risk for each type of work they conduct. Factors might include the matter being: higher than usual value, transferred from another firm, close to a critical time limit, in evidential difficulty, complex / having a higher than usual number of parties involved etc. Care should be taken if refusing instruction, not to breach Equality and Diversity legislation.

If the matter is considered unusual or higher than normal risk, is the Supervisor and/or Risk Manager advised and appropriate control measures agreed to manage the additional risk?G: This may just mean closer supervision and/or contingency planning.

Are the risk issues and the additional control measures noted clearly on the file?G: So that these are apparent to someone else who might need to work on the file. This should include any monitoring considered necessary under client due diligence requirements.

Is the case monitored during its progress to check that its risk profile has not changed?G: Monitoring should consider changes in risk to both the Practice and the client. Monitoring should be part of the case management process but may be supported by a review as part of the Practice's day-to-day supervision and/or file review processes. Advisors should know their own limits and advise their Supervisor or the Principal if a case develops beyond their capabilities.

If an event occurs which potentially increases risk, are control measures agreed with the Supervisor and/or Risk Manager and noted clearly on the file?G: If it is necessary for someone to take over handling of the case, they will also need to know what the additional risks are and the extra controls which need to be followed in order to manage this additional risk. The potential for adverse costs orders being made against the Practice (see CM35) should be included in this consideration.

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[Code of Conduct: 5.01(1)l] [Lexcel: 6.8e] [SQM: G3.3] [Legal: ~] [ISO 9001: 7.3.5; 7.3.6] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: 6.8f] [SQM: G3.3] [Legal: ~] [ISO 9001: 7.3.5; 7.3.6; 7.1] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1] [IiP: ~]

[Code of Conduct: 5.01(1)l] [Lexcel: ~] [SQM: ~] [Legal: Contractual Requirement] [ISO 9001: ] [IiP: ~]

Is the case reviewed on conclusion to assess the need for further risk management measures?G: The concluding review should consider whether the client’s objectives were achieved, whether there were any complaints on the matter, whether the client has grounds for a claim and generally, whether everything proceeded smoothly and whether excessive amounts of time need to be written off due to underestimating. Even where no claim, complaint, or other mishap does occur, the concluding review should consider ‘near-misses’ which might usefully be included in risk management information for the benefit of others.

Is a report made to the Principal where issues are raised in the concluding review?

NB: N/A may only be selected where no other personnel are employed.

Is the generic risk information updated promptly to take account of the additional risk information identified in the concluding review?G: To get the most benefit, lessons learned from risk events need to be pooled so that all relevant personnel can benefit from the experience.

Are procedures defined for reporting claims and potential claims within the Practice and to the insurers?G: Apart from normal PI claims and notifications, this might also include when disclosures to SOCA are made and/or client instructions cannot be followed as consent is not received, and/or where there is a related potential civil liability.

Do you thoroughly review the adequacy of cover and excess of your insurance policy each year?G: This should generally be conducted in consultation with your broker / insurer to take into account any changes in the Practices business over the past 12 months and any changes in minimum requirements.

[Code of Conduct: 5.01(1)c;] [Lexcel: ~] [SQM: C2.5] [Legal: Solicitors' Indemnity Insurance Rules] [ISO 9001: ~] [IiP: ~]

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CONTINUOUS IMPROVEMENT (CI)

CI1:

CI2:

CI3:

CI4:

CI5:

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CI6:

CI7:

CI8:

CI9:

CI10:

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CONTINUOUS IMPROVEMENT (CI)

[Code of Conduct: ~] [Lexcel: 1.3b] [SQM: ~] [Legal: ~] [ISO 9001: 5.3.3] [IiP: 7.1-7.3]

[Code of Conduct: ~] [Lexcel: 1.3] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.1a; 5.1b; 5.3] [IiP: ~]

[Code of Conduct: ~] [Lexcel: 1.3a] [SQM: ~] [Legal: ~] [ISO 9001: 5.3a] [IiP: 5.1-5.4]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 4.2.1a; 5.1c; 5.4.1] [IiP: 5.1-5.4]

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Have all personnel been advised of relevant channels for suggesting improvements to the Practice’s quality / risk management processes?G: This could be via an annual review, staff/team meetings, suggestion box, e-mail etc.

NB: N/A may only be selected where no other personnel are employed.

Are all processes reviewed at least annually to ensure they are operating effectively and to identify areas for improvement? G: A full audit of all processes should be undertaken to look at compliance with the policies and procedures defined in the Practice Manual, identify areas for improvement, and provide personnel with a further opportunity to suggest improvements.

[Code of Conduct: 5.01 GN3;] [Lexcel: Intro & 4B.3b] [SQM: G3.2] [Legal: ~] [ISO 9001: 5.1d; 8.2.2; 8.5.1] [IiP: 7.1-7.3]

Is there a policy statement that sets out the Practice’s overall commitment and aims in respect of quality assurance? G: Such aims might be to achieve maximum customer satisfaction, minimise complaints and claims and/or to achieve independent recognition of its management system through achieving the Lexcel (or other Quality Standard).

Has the Practice identified the role that quality will play in its strategy and development?G: This might be stated for instance in the Business Plan. The role of quality might be to achieve further growth, improve reputation, and/or reducing financial losses. Achievement of a Quality award such as Lexcel might contribute to reputation, improve client care and efficiency, manage risk in a structured manner and improve the opportunity for tendering in instances where quality standards are a prerequisite.

Does the policy have associated objectives to enable the aims in the policy to be delivered?G: Objectives should be SMART (specific, measurable, agreed, realistic and time based). Objectives should be set at relevant functions and levels within the Practice and may overlap directly with commercial objectives stated in the Business Plan. Both sets of objectives should always be complementary in any case and should not conflict.

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[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.3c; 5.5.2b; 8.5.1] [IiP: 5.1-5.4]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.3c&e; 8.5.1] [IiP: 5.1-5.4]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.1a; 5.3c&e; 8.5.1] [IiP:5.1-5.4]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.1a; 5.3d; 5.5.1; 5.5.2c] [IiP: 7.1-7.3]

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 5.3d; 5.5.3] [IiP: 5.2; 7.1-7.3; 9.2; 9.4-9.5]

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Are the objectives monitored at regular intervals to assess achievements?G: This might be monthly or quarterly at a management meeting. The Principal should ensure that other personnel in the practice are appraised of the performance of the quality management system and its objectives.

Is the policy and its associated objectives reviewed at least annually to ensure that it continues to meet with the Practice’s development aims and client expectations?G: This might be included within the annual review of risk and/or client care policy, or undertaken as a separate exercise.

Are the policy and objectives updated if necessary to ensure that they keep pace with changing client needs, statutory and regulatory requirements, the business environment generally and the Practice’s commercial objectives?G: This might be considered as part of the annual review referred to above.

Do you as Principal and with overall responsibility for quality ensure that the policy and associated objectives (including client needs and expectations), are communicated to all personnel?G: Different emphasis will be necessary for different groups (fee-earners and support staff) to ensure that they can relate their particular role to achievement of relevant objectives. Such objectives might also be linked to personal development/performance reviews and setting of individual objectives.

NB: N/A may only be selected if there are no employees to consider.

Are achievements against the quality objectives communicated to all personnel? G: Either following monitoring and/or annual review exercises (as referred to in CI6 and CI7).

NB: N/A may only be selected if there are no employees to consider.

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QUESTIONNAIRE COMPLETED

Thank you for taking the time to complete our comprehensive Quality Assurance questionnaire.

Please save the changes you have made to the questionnaire and return it to [email protected] for our analysis. We will provide you with a report on your business with reference to the industry standard Lexcel, including prioritised action points for your consideration.

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QUESTIONNAIRE COMPLETED

Thank you for taking the time to complete our comprehensive Quality Assurance questionnaire.

Return to the beginning of the questionnaire

Return to the previous section

Sole Practitioner Solicitors'Quality Assurance Questionnaire ©

Please save the changes you have made to the questionnaire and return it to [email protected] for our analysis. We will provide you with a report on your business with reference to the industry standard Lexcel, including prioritised action points for your consideration.