Sole solicitor qaq electronic version[sra](2)

This questionnaire contains the following sections: -

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

INTRODUCTION

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.

FREQUENTLY ASKED QUESTIONS

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We trust the above answers all of your queries, but please call your broker or contact us at:
qahelp@qbe-europe.com 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

Copyright © 2010 QBE Insurance (Europe) Limited

Continue

Sole Practitioner Solicitors'
Quality Assurance Questionnaire ©

his questionnaire contains the following sections: -
• 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
uestionnaire.

NTRODUCTION

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

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

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

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

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

REQUENTLY ASKED QUESTIONS

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

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.

Is Lexcel relevant to smaller firms?
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.

Do the requirements of QBE's Questionnaire conflict with any of our other obligations?
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 Act
DPA: Data Protection Act
EPA: Equal Pay Act
ERA: Employment Relations Act
FRRO: Fire Risk Reform Order
FSMA: Financial Services and Markets Act
HRA: Human Rights Act
H&SaWA: Health & Safety at Work Act
MLR: Money Laundering Regulations
POCA: Proceeds of Crime Act
RRA: Race Relations Act
SDA: Sex Discrimination Act

Why has QBE asked me to complete a questionnaire?
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.

How long will it take to complete?

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.

What will I receive?
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.

How many CPD points do I achieve?
For the standard form and feedback process – 3 hours.
For the comprehensive form and feedback process – 6 hours.
How do I collect my CPD points?
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.

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

What if our Practice already has the Lexcel Standard?
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)?

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.

What about the Code of Conduct and Practice Rule 5 on Business Management?
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 Assessment
Guidance 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 Management
Guidance 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, ….."

Our Core Management System ('CMS') document pack is available at:
www.qbeeurope.com/professional-financial/broker-resources/quality_assurance.asp
and 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 Monitoring
Guidance 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.

What's the difference between a plan, a policy, a process, and a procedure?
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:
ahelp@qbe-europe.com should you have any further questions. Thank you for your participation in our risk
anagement initiative.

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

opyright © 2010 QBE Insurance (Europe) Limited

Continue to the next section

INSTRUCTIONS FOR COMPLETION

** 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.

This questionnaire contains three types of questions;
1) short closed questions: where a just a simple 'Yes or 'No' is required;
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.

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 qahelp@qbe-europe.com.

Continue
Back


NSTRUCTIONS FOR COMPLETION

** PLEASE PRINT A COPY OF THIS PAGE FOR YOUR FUTURE REFERENCE BEFORE PROCEEDING
WITH THE COMPLETION OF THE QUESTIONNAIRE.**
lease answer the questions in the order they appear in the form. Please note that the questions in the standard
rm are not necessarily sequentially numbered. Your responses to the questions contained in this form should
e placed into the yellow input cells. These input cells change colour to white when data is recorded.

his questionnaire contains three types of questions;
) short closed questions: where a just a simple 'Yes or 'No' is required;
) longer closed questions: which include a bullet-point list of requirements and where it is possible to comply
ith all, some or none of the requirements listed;
) open questions: which have room for free text entries, however these are restricted to the section entitled
our Details' only.
appropriate cases, there is also an option to select 'not applicable'. Restrictions on selecting the 'N/A' option
re shown as 'NB' and may apply due to the size or structure of your practice or the work that you conduct. The
ajority of questions also have additional guidance indicated by a 'G'.

t the end of each question there is a list of 'originating requirements'. These are the standards, codes and
atutory obligations from which the questionnaire has been developed, and are as follows. these are listed
elow - 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')

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

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

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

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

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

he questionnaire can be saved any time during the completion process. Having completed the questionnaire
ick on the save button. The completed questionnaire should be returned to your broker in the first instance. If
ou have any questions please call your broker or contact us at qahelp@qbe-europe.com.

Return to the previous section


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 manual
employees):

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 for
publicly 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):

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

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 guidance
to these Rules and for advising relevant personnel accordingly?

Are the Firm's policies and procedures related to financial services
up 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 Continue to the next section
Back Return to the previous section

PREVENTION OF FINANCIAL CRIME (PFC)

PFC2:

PFC3:

PFC6:

PFC8:

PFC10:

Percentage of questionnaire complete

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REVENTION OF FINANCIAL CRIME (PFC)

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.

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

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.

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

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.

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

ercentage of questionnaire complete
0% 5000%


WORKING ENVIRONMENT (WE)

WE5:

WE8:


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WORKING ENVIRONMENT (WE)

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.

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

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.

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

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FILE MANAGEMENT (FM)

FM5:

FM6:

FM9:

FM10:

FM12:

FM13:


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ILE MANAGEMENT (FM)

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).

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

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.

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

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.

[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: ~]

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

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

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CLIENT CARE (CC)

CC7:

CC8:

CC9:

CC10:

CC12:

CC13:

CC15:


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LIENT CARE (CC)

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.

[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: ~]

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.

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

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.

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

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.

[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: ~]

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.

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

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.

[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: ~]

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

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CASE MANAGEMENT (CM)

CM1:

CM4:

CM6:

CM7:

CM8:

CM12:

CM14:

CM16:

CM17:

CM18:

CM19:

CM20:

CM21:

CM24:

CM26:

CM27:

CM29:

CM33:

CM34:

CM35:

CM36:

CM37:

CM38:

CM40:

CM41:

CM42:

CM43:

CM45:

CM47:

CM48:

CM49:


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ASE MANAGEMENT (CM)

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.

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

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.

[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: ~]

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

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.

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

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.

[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: ~]

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.

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

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.

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

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.

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

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.

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

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.

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

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.

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

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

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.

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

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.

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

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.

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

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.

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

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.

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

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.

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

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

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

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.

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

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.

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

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.


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


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

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.


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

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.

[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: ~]

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.

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

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.

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

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


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

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.

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

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'.

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

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USE OF THIRD PARTIES (TP)

TP5:

TP7:

TP8:

TP9:

TP12:



SE OF THIRD PARTIES (TP)

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.

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

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

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

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.

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

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.

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

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CASEWORK SUPERVISION (CS)

CS6:

CS7:

CS8:

CS12:

CS13:

CS15:

CS16:


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ASEWORK SUPERVISION (CS)

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.

[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]

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.

[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]

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.

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

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.

[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]

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.

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

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

[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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RISK MANAGEMENT (RM)

RM5:

RM11:

RM12:

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RM14:

RM15:


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ISK MANAGEMENT (RM)

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.

[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]

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.

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

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.

[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]

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

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.

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

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.

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

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YOUR OPTIONS

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 qaforms@qbe-europe.com for our analysis. W

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.

Percentage of comprehensive questionnaire complete

ORGANISATION & STRUCTURE

BUSINESS PLANNING

FINANCIAL CONTROLS

PREVENTION OF FINANCIAL CRIME

PEOPLE MANAGEMENT

WORKING ENVIRONMENT

INFORMATION TECHNOLOGY

FILE MANAGEMENT

CLIENT CARE

CASE MANAGEMENT

USE OF THIRD PARTIES

CASEWORK SUPERVISION

RISK MANAGEMENT

CONTINUOUS IMPROVEMENT

TOTAL

0% 5000%

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OUR OPTIONS

hank you for taking the time to complete our standard Quality Assurance questionnaire. You now have two
ptions: -
lease save the changes you have made to the questionnaire and return it to qaforms@qbe-europe.com for our analysis. We will provid

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

or your guidance, the following dashboard indicates the percentage completed for each section of the
omprehensive questionnaire.

ercentage of comprehensive questionnaire complete

ORGANISATION & STRUCTURE

BUSINESS PLANNING

FINANCIAL CONTROLS

PREVENTION OF FINANCIAL CRIME

PEOPLE MANAGEMENT

WORKING ENVIRONMENT

INFORMATION TECHNOLOGY

FILE MANAGEMENT

CLIENT CARE

CASE MANAGEMENT

USE OF THIRD PARTIES

CASEWORK SUPERVISION

RISK MANAGEMENT

CONTINUOUS IMPROVEMENT

TOTAL

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ORGANISATION & STRUCTURE (OS)

OS1:

OS2:

OS3:

OS4:

OS5:

OS6:

OS7:

OS8:


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RGANISATION & STRUCTURE (OS)

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.

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

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.

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

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.

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

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).

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

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).

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

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.

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

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.

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

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BUSINESS PLANNING (BP)

BP1:

BP2:

BP3:

BP4:

BP5:

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BP9:


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USINESS PLANNING (BP)

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.

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

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?

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

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).

[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]

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.

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

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.

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

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.

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

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.

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

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.

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

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FINANCIAL CONTROLS (FC)

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FC6:

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INANCIAL CONTROLS (FC)

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.

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

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

Do you produce regular variance reports (at least quarterly) of actual cash flow compared to the
forecast?
[Code of Conduct: 5.01(1)j] [Lexcel: 3.2f] [SQM: ~] [Legal: ~] [ISO 9001: 8.4] [IiP: ~]

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.

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

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?

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

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

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)?

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

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.

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

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PREVENTION OF FINANCIAL CRIME (PFC)

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REVENTION OF FINANCIAL CRIME (PFC)

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.

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

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.

[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 7.1; 7.5.1; 8.2.3] [IiP: ~]
0

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.
[Code of Conduct: ~] [Lexcel: ~] [SQM: ~] [Legal: ~] [ISO 9001: 6.2.2] [IiP: ~]
0

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

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.

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

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