appendix 5a risk register -...

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Lexcel v6 manual May 2015 ©Enderley Consulting Limited 2015

APPENDIX 5A Risk Register

Risk Relevant risk issue How do we address them Referenced where

Market risks

Changing regulatory landscape

Regulatory gaps, regulatory overlap, ineffectiveness of regulators

Compliance with SRA requirement

COLP COFA remaining up to date and aware of risk issues

Competitive constraints Barriers to entry or exit, lack of competition, price fixing, monopolies

Firm acts with integrity at all times

Failure to meet consumer demand

Lack of geographical access to justice, failure of firm providing critical service

As above, limited by realities of Legal Aid Agency

Lack of consumer awareness of rights and duties

Consumers under the impression that will drafting is a regulated activity, lack of awareness about right to complain to Legal Ombudsman

Only qualified staff write wills

Firm has robust complaints process which includes how to contact the Legal Ombudsman

Lack of adequate training provision

Geographical lack of provision, poor standard of pre-qualification training, inadequate ongoing professional training provision

FEs are trained

Most are qualified

Learning & Development Plan addresses SRA training requirement

Lack of diverse & representative profession

Gender or schooling over-representation, glass ceilings, disproportionate intake into legal training institutions and training contracts

Firm has a strict equality and diversity policy, robustly applied

Lack of public interest provision

Reduction in pro bono work, test cases no longer being pursued.

Firm does no pro bono work: affordability is a major constraint

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Unfunded test cases are a risk in themselves

Clients advised of risks in funded test cases

Political risk Act of war, change of government Impossible to address

Economic risks Contraction of insurance market, recession, globalisation of market, substantial increase in rate of inflation

Strategic planning process; regular review of services offered

Regular review of strategic risks

Regular review of cost base to deal with reality of low remuneration in Legal Aid Agency contracts

React accordingly

Social/cultural risks Demographic and migration changes Strategic plan

Increasing population might translate into greater business opportunities

Constant review of strategic risks

Technological risks Advancements in vehicle collision avoidance technology

Advancements in office-based working

Strategic plan

Firm always alive to potential of new work streams

Firm will exit areas rendered unprofitable and reshape

Constant review of strategic risks

Legal risk Referral fee ban, changes in tax law or regulatory requirements which increase overhead costs, contraction of legal aid funding

Strategic planning process; regular review of services offered

Regular review of strategic risks

Firm grip on costs to deal with reality of low remuneration in Legal Aid Agency contracts

Regular review of business processes to ensure maximum

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return on Legal Aid Agency contracts

React accordingly

Ethical risks Supply chain dishonesty; asset theft; corruption; bribery; breaching environmental safeguards; corporate espionage; public sensitivity to areas of practice (eg offences involving children)

Outsourcing policy

Jealous guarding of IP rights

Maintenance of strict internal ethical standards

Poor perception of legal services

Perceived lack of independence, discrimination, dishonesty, incompetence, legal services too costly or adverse media coverage.

Promotion of speed, integrity and efficiency

Good communications with introducers and third parties

Law Society accreditations

Public emergencies Flu epidemic, terrorist attack. Business continuity plan, tested annually

Viability risks

Financial difficulty Failure to pay taxes, debts or staff

IVA or other arrangement

Bankruptcy of sole practitioner

Constant monitoring of:

budgets, and variance analysis

cash and WIP

billing routines, debtors and recoverability

working capital

Group contagion Financial failure of parent company

Damage to one brand spreads to another

Reputational damage to common brand

Not part of a group structure

Geographical/jurisdictional conflicts

Branch located in country designated as high-risk area for money-laundering, terrorism financing, corruption

No overseas practice

Firm has strict identification, AML, anti-forgery and anti-bribery processes

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Firm acts for nationals of such countries but resident in the UK

Irregular firm structure Unclear organisational set-up that hides non-compliance

Firm set up in a way to avoid tax liabilities or causes regulatory concern

Does not apply

Review of structure in the light of SRA Principle 2 (act with integrity)

Lack of independence Risk that a firm’s decision making is influenced by structural or commercial concerns

3rd party control by financial backer

undue influence from other parts of a group

We prioritise independence by:

manager declarations of interest

tight control on referral arrangements

Structural instability Death/incapacity of sole practitioner

Abandonment

excessive merging or buying in of expertise/seniority.

Partners are married and have mirror wills

Continuous review of strategic objectives with assessment of extent to which achievable

Merger an option only if satisfies established strategic objectives and if provides depth and enhanced ability rather than more of what we offer already

Buying in of expertise acceptable but only if we can manage the business, cultural and proximity risks

Supply chain risks Instability/failure of bank or insurance company used by firm, instability or unsuitability of outsource provider used by firm, over-reliance on referral arrangement.

Firm uses UK banks only, benefit from deposit protection schemes

Outsourcing policy requires provider due diligence

Strategic plan seeks mix of work and no over-reliance on a single worksource

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Opera-tional risks

Failure to act with integrity or ethics

Taking unfair advantage, threatening behaviour, conviction or other criminal process, plagiarism.

SRA Principles embedded in all of the Firm’s procedures

COLP reviews

Checks on all new starters

Staff/client relationship policy with emphasis on avoiding taking advantage (or being perceived to take advantage) of position with clients

Ineffective systems and controls

Inadequate business contingency planning/quality monitoring/information security policy/management information/staff training and development.

Business Continuity Plan

Robust monthly file reviews

Monthly Matter Reviews

COLP/COFA schedules

Information Security/Manage-ment Policy

Learning & Development Policy

Month end reporting

Training Plan

Lack of financial competence

Poor management of client and office accounts, providing financial advice outside scope of authorisation, incompetent misuse of client money.

COFA schedules

Highly experienced accounts staff

Written financial management procedures

Staff training

Supervision

Lack of legal competence

Giving wrong advice, letters/documents/pleadings not fit for purpose.

Individual learning & development plans

Central training record – monitors CPD and relevance of training

Robust supervision

Open door policy

File reviews

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Lack of management competence

Inadequate business planning, no succession planning, poor resourcing, failure to supervise staff or office.

Robust strategic plan reviewed 6 monthly includes succession planning

Comprehensive supervision procedures

Management/supervisor training, managed through appraisals and learning & development plans

Impact risks

Acting outside regulatory permissions

Failure to obtain practising certificate/licence/recognition, failure to obtain waiver, failure to have PI cover, failure to meet conditions.

Renewals diarised and managed by COLP

Bogus firm or individual* Unregulated person cloning the identity of a genuine firm or individual, setting up a fictitious firm or calling themselves a solicitor.

Always check unknown firms in Law Society’s database and on Lawyer Checker

Call local firms to verify existence

Written evidence in all cases

Breach of confidentiality Misuse of client information for cross-selling purposes, failure to protect security of information on laptops.

Client Care Policy

Information Security/Manage-ment Policy

Bribery & corruption Facilitation payments; paying for work outside referral agreements; tampering with evidence.

Firm has Anti- Bribery Policy

All members of staff trained

file reviews

Conflict of interests Client/client conflict, personal conflict.

Rigorous Conflict of Interest Policy

Staff training

Monitoring of conflict exceptions

Criminal association Funding received from terrorist network.

Know your client – clients identified in every case

Anti-Money Laundering Policy

All staff trained on AML and mortgage fraud annually

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Discrimination Direct discrimination, indirect discrimination, victimisation, harassment, failure to make reasonable adjustments.

Equality and diversity policy rigorously enforced

Client Care Policy addresses reasonable adjustments

Monitoring

Staff training

Whistleblowing policy

Disorderly closure Failure to inform clients that firm closing, failure to secure client files.

Closure plan

Would liaise with SRA if necessary

Failure to co-operate or comply

Failure to inform of firm closure, failure to respond or to make records/self available, failure to comply with decision of Legal Ombudsman, failure to comply with a relevant direction.

Principle 2 – act with integrity

Principle 4 – act in client best interests

Principle 5 – provide a proper standard of service

Written Complaints Procedure

Failure to meet duties to 3rd parties or the court

Breach of undertaking, failure to comply with court order.

Monitoring of Undertakings Register

COLP monitoring of Chapter 5 outcomes

Inadequate complaints handling

Failure to deal with complaints in a timely manner, consumers not made aware of their rights to complain.

Uniform initial letters and invoices to clients include how to complain

Written Complaints Procedure

Misleading a party Giving false information, perverting the course of justice, misleading practising arrangement, forgery

dishonest record keeping

Beware own interest conflict cases or reasons for client bias

Close supervision

File reviews

Periodic review of structure

Misleading or inappropriate publicity

Misleading publicity re: business, costs or services, cold calling.

Website Management Policy

Website reviews

Social Media Policy

Misuse of money or Mortgage fraud, tax fraud, insurance Anti-mortgage fraud policy

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assets fraud, false expense claims, immigration fraud.

Awareness of possibility of forged documents

Money laundering Passing proceeds of crime through client account, failure to carry out customer due diligence, failure to report suspected money laundering

Strict Anti-Money Laundering Policy in place

Staff training

Not allowing client account to be used as private banking facility

Effective supervision

Failure to provide a proper standard of service

Acting without due regard to client's mental capacity or other vulnerability, client care costs information deficient, delay, failure to inform/reply.

Client care policy

Uniform client care letters and costs estimates

Staff training on vulnerability issues particularly for clients who do not speak English

Monthly review process

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APPENDIX 5B

Compliance Plan

PLEASE SEE SEPARATE COLP AND COFA COMPLIANCE PLANS

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APPENDIX 5C

COLP/COFA – BREACH REPORTING FORM

COLP/COFA Should this report be sent to: 1. COLP; 2. COFA; 3. Both?

[Delete as appropriate]

Date: Please insert date of incident/breach:

If delay in reporting, please explain:

Issue of concern:

Please identify the issue:

Relevant practice or other rule:

Please identify the Rule alleged to be broken:

Action taken/to be taken:

What action do you consider should be taken?

By whom: By when:

Remedial action taken:

For COLP/COFA use

Immediate SRA report?

Yes/No/Not sure If ‘no’ or ‘not sure’, reason for not reporting:

(Delete as appropriate)

Non-material breach

No pattern of non-compliance and incident on its own is not material

Not a breach of the Principles or Code of Conduct

Other (please clarify)

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Signed by Partner responsible for the client matter the subject of the report:

Signed by COLP/COFA:

Sequential number of report:

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APPENDIX 5DA

OUTSOURCING POLICY

The firm prefers to internalise all aspects of its service wherever possible but recognises that some aspects of its operations are better dealt with externally. The firm will outsource only where:

there is a clear business need

it is cost effective to do so

the firm can manage the risks satisfactorily

This applies to any outsourced service, whether it relates to direct client service (eg digital dictation) or to indirect client service (eg, office cleaning).

The Senior Partner, Russell Conway, is responsible for implementation and supervision of this policy, and will review it at least annually.

Members of the firm must appreciate that outsourcing is a matter that the firm takes seriously because it has a very direct impact on the service that we provide to our clients. Our clients will not tolerate second best and we owe it to them to ensure that wherever we outsource a service that it meets the same standards that we would expect of ourselves. To this end the firm has designed the following procedures:

we will maintain a list of all outsourced activity

every outsourced contract must be in writing and approved by the Senior Partner, on advice from others if appropriate

we will follow all of the Principles, but Principles 5 (proper standard of service), 7 (compliance with legal and regulatory obligation) and 8 (run the business effectively and with sound risk management principles) are particularly relevant. On any proposal, you must review it critically as against each Principle and ensure that there is no breach

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we will check quality by obtaining at least two references from each prospective provider, at shortlist stage. We will monitor performance (speed, quality, accuracy, confidentiality, as a non-exhaustive list, against any service standard specified) on an ongoing basis. Members of the firm are encouraged to provide constructive feedback on day to day experience, and we will provide feedback on quality to the provider

the provider’s equality and diversity policy must be no less comprehensive than the firm’s policy. Any evidence of discriminatory behaviour will preclude any contract. Similarly the firm will not be associated with discriminatory practices at an outsourced provider and a contract must contain a right to terminate on this ground

confidentiality is critical in any law firm and we will insist that providers treat our client information with at least the same level of confidentiality as we would treat it ourselves. Every outsourced contract must be in writing and must contain a specific confidentiality clause that complies with Outcome 4.1 and with IB 4.3. These require the firm to ensure that client confidentiality is protected. Further, no outsourcing arrangement can adversely affect the obligations we owe to clients, for example any contract for digital dictation must provide for a turnaround time that does not compromise the service we promise to offer to our clients

In very sensitive areas where there is risk of material harm to the firm or to its clients, the firm will insist on an audit and checking provision in outsourced contracts. Levels of protection will vary according to the outsource, but for example any contract outsourcing the processing of the firm’s client data must contain such a provision with a right of entry to the provider’s premises [and the right to take copies]. Similarly the firm will take steps to ensure that suppliers of critical services are credit checked, have a proper and up to date DPA registration, and are properly authorised for the service they wish to provide.

Under no circumstances will the firm outsource a reserved legal activity

Outsourcing contracts must not debar the SRA from performing its monitoring and regulatory functions and must allow the SRA to obtain data from or to enter the premises of the provider

The contract must not breach the firm’s SRA Authorisation. For example, it is completely unacceptable to outsource work to a third party where it is known that a struck-off solicitor is involved without specific investigation and approval from the SRA

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Before deciding to proceed, the Senior Partner will analyse the proposal from a risk perspective and will collate all this information to determine whether to proceed. Critical to this evaluation is a determination of whether the outsourcing is in client best interests, or whether it promotes the firm’s interests over its clients. Issues such as references, confidentiality, conflicts of interest (particularly if the provider acts for competitors), quality of service, adherence to equality and diversity, publicity code, and risk to the Firm (eg, reputational, breach of client service requirements) must all be considered. Any offer of an inducement MUST be disclosed to the Senior Partner and will be a material factor in a decision whether to proceed

Arrangements with a trial period before commitment are preferable to a long term commitment even if it is cheaper to sign for a longer term

The Senior Partner will consider all these issues in the annual review and will raise concerns with providers. Breach of the equality requirement (amongst other things) will normally result in immediate cancellation of an outsourced contract.

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APPENDIX 5DB CONFIDENTIALITY AND DATA PROTECTION AGREEMENT

THIS AGREEMENT is made INSERT date BETWEEN

1. Oliver Fisher Solicitors (‘the Firm’); and

2. NAME of supplier (‘the Supplier’)

RECITALS 1. The Firm trades as a firm of Solicitors and has a requirement for INSERT type of service services (‘the Service’) and has agreed to

engage the Supplier for this purpose on terms separately agreed apart from the matters set out in this Agreement

2. The Supplier has agreed to sign this Agreement to ensure confidentiality of the Service

IT IS AGREED as follows: In consideration of the Firm commissioning the Supplier for the Service the Supplier undertakes that in the performance of the Service it will:

1. Take all reasonable and commercially appropriate steps to ensure the security of the Firm’s data at all times

2. Comply in all respects with applicable laws relating to data protection

3. Keep all of the Firm’s data strictly confidential at all times and not to disclose any of it to any third party other than with the Firm’s

written consent in advance

4. Allow the Solicitors Regulation Authority to have access to the Firm’s data at the Supplier’s premises or under its control on an

appropriate request from them

5. Not acknowledge the existence of this contract to anyone (except to the Firm and to any third party on the Firm’s written direction)

The Supplier further confirms that it accepts and will comply with the Firm’s Equality and Diversity Policy and Anti-Bribery Policy (attached) IN WITNESS this Agreement is signed on today’s date Signed electronically by INSERT Name ) For and on behalf of the Supplier )

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APPENDIX 5E

RISK ASSESSMENT CHECKLIST

fee earner to complete this form at the opening of every matter

Client Name Matter Number

Fee earner

I confirm that I have assessed this matter against the risk factors set out below and I have decided:

1. to decline to act for the reason identified in the checklist

2. to continue with the file as the matter is low risk

3. to refer the matter to the Senior Partner for review as a high risk case

RISK INDICATORS

a. my client does not present as hostile and unco-operative at interview

b. my client does not have irrational or unreasonable expectations of results we can achieve

c. my client is not seeking advice/action in respect of an area of law or practice which is unfamiliar to the firm or beyond the technical competence of the firm.

d. my client is not seeking advice/action in respect of an issue where the likely costs to him/her are wholly disproportionate to the value of the issue in dispute

e. (if appropriate) my client does not demonstrate an obvious unwillingness to pay for the provision of legal services

f. my client’s matter does not qualify as high risk under the criteria set out below

HIGH RISK CRITERIA

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if any of the following applies to your matter then it is automatically high risk

1. All residential property matters where the consideration exceeds £1 million

2. All equity release matters

3. Any collective investment scheme for land purchase

4. Any Legal Aid case inherited from another firm, or where there has been a change of fee earner

5. Children cases where there are more than 4 parties to the litigation

6. Any matrimonial or family case where the assets exceed £1 million

7. Any housing case where there is a S21 Notice, or where the tenant is in danger of losing their home

8. Any housing case where the Firm acts for a landlord seeking possession

9. Any Will instructions which involve complicated Trusts

10. Any probate case with a value over £1 million

11. Any probate case where the clients are in a hurry

12. The client lives abroad and/or has foreign business connections

13. Any matter where the client has a history of abortive purchases

14. The client has complained previously

Signed

Dated

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APPENDIX 5F

HIGH RISK FORM

Client Name

Matter Number

Fee earner

I have identified this matter as HIGH RISK because:

Please mark the option/s which have influenced your decision

1. All residential property matters where the consideration exceeds £1 million

2. All equity release matters

3. Any collective investment scheme for land purchase

4. Any Legal Aid case inherited from another firm, or where there has been a change of fee earner

5. Children cases where there are more than 4 parties to the litigation

6. Any matrimonial or family case where the assets exceed £1 million

7. Any housing case where there is a S21 Notice, or where the tenant is in danger of losing their home

8. Any housing case where the Firm acts for a landlord seeking possession

9. Any Will instructions which involve complicated Trusts

10. Any probate case with a value over £1 million

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11. Any probate case where the clients are in a hurry

12. The client lives abroad and/or has foreign business connections

13. Any matter where the client has a history of abortive purchases

14. The client has complained previously

Additional information

Senior Partner’s advice

Risk Assessment

Normal High

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APPENDIX 5G

CASE PLAN

Fee earner Supervisor

Others involved

Brief description of matter

Key stages with anticipated timescales

1.

2.

3.

4.

Objectives

Options available

Costs estimate/funding/billing frequency

Anticipated risks/problems

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Agreed service levels, including means and frequency of communication

Other (eg evidence needed in litigation cases)

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APPENDIX 5H WORK TYPES

included work excluded work

Matrimonial and family law Criminal defence

Mediation Defamation

Conveyancing Personal injury

Wills and probate Medical negligence

Housing Insolvency

Landlord and tenant Welfare benefits

Civil litigation Consumer law

Immigration

Intellectual property

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APPENDIX 5J GENERIC RISKS

Matter type Generic risks

Residential conveyancing

Residential conveyancing sale Clients anticipate impossible timescales Correct price in Contract and Transfer Missing completion date Non redemption of all mortgages Failure to account to correct client for proceeds of sale Inaccurate preliminary enquiry replies Failure to check correct plans being used Failure to check Title Deeds

Residential conveyancing purchase Failure to ascertain planning/building regulation/listed building contents in place

Failure to conclude correct searches Clients anticipate impossible timescales Correct price in contract and transfer Missing completion date Incorrect or late payment of SDLT Incorrect planning Title issues Mortgage fraud Completion without having a valid priority search at Land Registry or

bankruptcy search Failure to register title at Land Registry within relevant search periods Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where

applicable Failure to get undertaking to redeem all charges

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Late submission of title information document/deeds to lender as per their instructions

Residential conveyancing remortgage Clients anticipate impossible timescales Title issues Missing completion date Failure to register title at Land Registry within relevant search periods Incorrect or out of date searches Incomplete information from borrower Failure to register mortgage at Companies House within 21 days where

applicable Failure to redeem all existing charges Late submission of title information document/deeds to lender as per their

instructions

Residential conveyancing lease Clients anticipate impossible timescales Missing completion date Inadequate lease provisions - CML Guidelines Failure to see bankruptcy provision in lease Failure to ascertain planning/building regulation position Failure to conclude correct searches Incorrect payment of SDLT Late payment of SDLT Title issue Incorrect planning Defective issues Completing without a valid priority search Failure to register tite at Land Registry within relevant search periods Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where

applicable Non-registration of notices required under the lease Late submission of title information document/deeds to lender as per their

instructions

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Transfers of equity Client is subjected to undue influence or duress in agreeing to buy/sell or to settle the price at other than market value

Client does not wish to seek independent advice on valuation

Mortgage fraud by not identifying the true value. Price stated on TR1 does not accord with valuation on mortgage offer Rapid transfer (ie owned less than six months could give rise to suspicions

of money laundering

Deed of trust under which existing co-owners own the property is unavailable so can't be sure of precise shares

Loss of an existing deed of trust

Shared ownership Client doesn't understand the complex shared ownership provisions

Lease does not allow 'staircasing' to 100%

There is no mortgagee protection clause

Buy-to-lets The lender does not know that the property will be used as a buy to let The property is not sold with vacant possession on completion

The property is really a House in Multiple Occupation

The title documents impose restrictions on letting the property

Property litigation

Landlord and tenant Missing Court application dates Non registration of the lease, if relevant SDLT liability, incorrect payment of duty either on a new lease or

underlease or if due on assignment of an existing lease Late payment of SDLT Completing without a valid priority search Not meeting clients' demands on time Missing completion dates Not serving relevant notices upon completion of an assignment or

underletting Title issues Incorrect planning use Defective leases VAT considerations

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Housing Non-compliance with Housing Disrepair Protocol In housing matters care should be taken as often a client’s home is at stake.

Dates of hearings must be recorded and all appropriate time limits noted.

Commercial property

Commercial conveyancing sale Clients demand impossible timescales Correct price in contract/transfer VAT considerations Missing completion date Non redemption of all mortgages Failure to account to correct client for proceeds of sale Failure to check title

Commercial conveyancing purchase Clients demand impossible timescales Correct price in Contract/Transfer VAT considerations Missing completion date Incorrect or late payment of SDLT Incorrect planning Title issues Completion without a valid priority search Failure to register title within priority period Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where

applicable Late submission of title to lender Failing to get undertaking to redeem all charges

Commercial conveyancing remortgage Clients anticipate impossible timescales Missing completion date Failure to register title within priority period Incorrect or out of date searches Incomplete information from borrower Failure to register mortgage at Companies House within 21 days where

applicable

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Failure to redeem all charges

Commercial conveyancing lease Clients demand impossible timescales VAT issues Missing completion date Incorrect or late payment of SDLT Title issues Incorrect planning use Defective leases Completing without valid priority search Failure to register title within priority period Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where

applicable Non registration of notices required under the lease Failure to send title to lender

Wills, Probate, Tax and Trusts

Wills Failure to check title

Failure to identify all prospective beneficiaries

Failure to advise on inheritance tax claims

Failure to ensure correct execution

Probate/Estate administration Delays and not meeting client’s expectations Failing to ascertain correct assets and liabilities of estate and administering

incorrectly Not observing key dates such as 2 years for deed of variation Failure to check title

Civil Litigation

Civil litigation, other than in connection with property

Each case has its own risks and should be subject to a specific analysis of that risk on inception and initial advice to client – most notably limitation dates

Family Law

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Family Conflict checks very important and should be vigorously carried out. Care should be taken in high value cases and the Senior Partner consulted if the assets in dispute exceed our insurance limit.

Confidentiality issues, i.e. do we have authority to disclose certain things to third parties

Not complying with Court directions, eg due to lack of instructions

Not ensuring the appropriate funding is obtained

Not ensuring that prior authority is granted for incurring disbursements, eg expert fees regime

Clients failing to keep appointments either with experts or us and therefore not enabling us to comply with the Court timetable.

Acting for both parents in care proceedings and then a dispute arises between them

Failure to notice conflict of interest because wife has reverted to maiden name

Missing key dates, eg service of petition, filing financial statement, questionnaire, hearing dates, application for Decree Absolute

Failure to obtain typed financial orders

Failure to implement order, eg property transfer

Overlooking value of assets, eg pensions

Failure to notice conflict of interest because not checked all extended family

Children’s work Failure to notice conflict of interest because not checked all extended family

Missing key dates, eg filing statement and hearing dates

Acting for both parents in care proceedings and then a dispute arises between them. Conflict check essential

Mediation Failure to notice conflict of interest because not checked all extended family

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APPENDIX 5K GENERIC KEY DATES

matter type generic key dates

Residential conveyancing

Residential conveyancing sale Intended exchange dates Completion date Redemption of mortgage date set by lender ie date on redemption statement,

often short and for an offset may only be valid for 24 hours

Residential conveyancing purchase Intended exchange date Expiry of mortgage offer for new build Completion date SDLT date (-30 days to submit after completion) Priority search dates registered 6 weeks unregistered land 4 weeks - registration

at Land Registry before expiry of time Land Registry requisition - expiry If mortgage as well then bankruptcy search priority period (registration at Land

Registry 4 weeks from being made), registration at Companies House of legal charge (company borrower 21 days from completion)

Deeds to lender

Residential conveyancing remortgage Completion date Priority search dates registered 6 weeks, unregistered land 4 weeks - registration

at Land Registry before expiry of time Bankruptcy search if unregistered land or if borrower is an individual priority

period (registration at Land Registry 4 weeks from being made) Registration at Companies House if company (21 days from completion) Land Registry date (3 months)

Residential conveyancing lease Intended exchange date

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Completion date Search Priority Date 6 weeks registered land, unregistered land 4 weeks If mortgage then see dates for registration SDLT date (- 30 days to submit after completion) Land Registry date 3 months

Property litigation

Property Litigation: Lease renewals Acting for Tenant – date of termination in section 25, or date before date of termination Section 26 Notice – issue proceedings or extend by agreement in writing.

Acting for Landlord – 2 months after service of Section 26 Notice (serve Counter Notice if wish to oppose Lease renewal).

Acting for Landlord or Tenant – 4 months after issue of proceedings – serve proceedings.

Property Litigation: General Property Disputes

6 years from cause of action arising – issue proceedings 4 months from issue of proceedings – serve proceedings 1 year anniversary of interruption of prescriptive right – issue proceedings or

application to Land Registry 10/12 years anniversary of adverse possession where acting for owner of paper

title – issue proceedings or application to Land Registry 14 days following receipt of Party Wall Act Award – apply to vary or rescind if

required

Wills, Probate, Tax and Trusts

Wills Aim to submit draft within 1 week and complete within two weeks of receipt of instructions and client identification

Probate Return of information to HMRC Payment of inheritance tax Expiry of section 27 notices to advertise for creditors Expiry of six months post grant for claims under Inheritance (Provisions for

Family and Dependants) Act. Filing of tax returns

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Payment of income and capital gains tax Expiry of 2 years for completion of Deed of Variation RPA claim deadline

Lasting Powers of Attorney and mental capacity issues

Self imposed deadlines may be applicable where client ill or power of attorney needed to complete another transaction

Trust Creation Report trust to HMRC and pay tax if necessary Client deadlines Deadlines if legislative changes imminent

Trust Administration

Filing of income and capital gains tax returns and papers Payment of tax Provide beneficiaries with relevant information for their own tax returns Vesting dates for beneficiaries

Inheritance, income and capital gains tax advice

Comply with legislative requirements End of tax year deadlines

Income and capital gains tax advice Comply with legislative requirements End of year deadlines

Civil Litigation

Civil litigation, other than in connection with property

Court Imposed Deadlines/directions Limitation – 6years or 3 years or 2 years CPR deadlines

Family Law

Divorce Date of Marriage

Date of Separation

Issue of proceedings

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Petition and Statement of Arrangements sent to Respondent

Petition and Statement of Arrangements issued

Acknowledgment of Service to Respondent

Application for Directions for Trial and Affidavit in Support of Petition filed

Certificate of Entitlement and s.41 Certificate

Decree Nisi Granted

Earliest date for application by client for Decree Absolute

Earliest date for application by Respondent for Decree Absolute

Application for Decree Absolute issued

Decree Absolute granted

Cost Reviews

Date for last submission of claim for costs to LAA or final bill to client if privately funded

Financial Matters Referral to mediation

Form A Issued

Form A & Notice of First Directions Appointment served

Form E Sworn

Form E filed and served

Statement of Issues filed and served

Chronology filed and served

Questionnaire filed and served

Costs form filed and served

Replies to Questionnaire filed and served

Expert Evidence filed and served

First Directions Appointment Hearing

Financial Dispute Resolution Hearing

FDR Costs form

Consent Order

Instructions to counsel

Final Hearing

Trial bundle filed

Family Law – Emergency Protection Order Date of Issue

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Date of First Hearing

8 days later lapse

Interim Care Order/Interim Supervision Order

Date of Issue

Date of First Hearing

Contested ICO Hearing

Expiry Dates of ICO/ISO renewal

Subsequent hearing dates Interim Review / Directions Hearing

Dates for filing of client’s evidence

Dates for filing of other party’s evidence

Dates for filing of witness evidence

Advocates Meetings

Permanence Planning Meetings

Instruction of Counsel

Date of Final Hearing

s.8 Children Act 1989 Referral to mediation

Date of Issue of Proceedings

Service of documents in advance of preliminary hearing

All hearing dates


Dates for filing of other parties evidence




Injunction Date of Issue

Service of documents in advance of preliminary hearing

All hearing dates


Dates for filing of other party’s evidence




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APPENDIX 5L

CONFLICT EXCEPTIONS FORM

Matter Number: Matter Type:

Fee earner: Client Name:

Description of matter:

OWN INTEREST CONFLICT

I believe I have a personal conflict because:

CLIENT CONFLICT

I believe there is a client conflict because:

I believe the Firm can act in this matter under O3.6 or O3.7 because:

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SENIOR PARTNER’S SIGN OFF

I agree that the firm can act in this matter

Signed:

Dated:

I do not agree that the firm can act in this matter. Please notify the client immediately

Signed:

Dated:

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APPENDIX 5M

MONTHLY MATTER REVIEW

Fee earner Month

Action item Agree Disagree Comment

I have checked the list of my files in full and all my files are listed

I have checked all files for inactivity and have explained to the client where needed

I have closed files where appropriate and completed the file closure forms

I have no files that should be transferred to a person with more expertise

I have no files which should enter or leave the high risk register

I am not aware of any matters which may lead to a complaint or claim

I have dealt with client and office balances and WIP balances needing attention

I have identified files for billing under the firm’s billing procedure

I have no other files appropriate for billing

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Costs information is up to date, costs information provided to the client gives adequate headroom for the firm’s costs, and no client update is necessary

I have recorded and met all key dates. No key date is in jeopardy including costs budget dates

I need a review or second opinion on these files:

Provide details of any file where you would like a review

Signed Dated

Please complete and return to Senior Partner within 5 days of receipt

If you have answered ‘Disagree’ to any question, you must provide full details

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APPENDIX 5N

File Review Form

File name Matter number

Type of work Fee earner

Reviewed by Date

Yes No N/A Specify any corrective action necessary Correctives completed?

File opening

Procedures followed

Identity checked

Client care/terms of business sent/returned

Note of instructions

Instructions confirmed

Costs information

Conflicts checked

Appropriate risk assessment

State of file

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Appropriately filed and orderly

Key dates noted on file and in backup system

Summary sheet completed

All related files identified

Separate papers identified

Any undertakings authorised/clearly indicated

Publicly funded work

Eligibility checked on file

Statutory charge/contributions

Costs liability/estimate

6 month cost information

Progress of matter

Case plan apparent

Case plan updated

Progress fully noted

Costs updated

Client informed of progress

40


Services of others

Selected from approved list?

If no, file note/assessment?

Financial management

Time recorded properly?

Disbursements recorded?

Complaints

File free from complaints?

If no – appropriate response/follow-up?

Legal Issues

Fee earner aware of relevant law?

Appropriate procedures being used effectively?

Corrective action

Corrective action completed?

Yes No Signed Dated

Reviewer’s comments

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APPENDIX 5P

Money Laundering Regulations Client Identity Check (ML1)

Client name:

Matter number:

Client Due Diligence Procedure Adopted

Simplified

Standard

Enhanced

If not standard, please state why:

Private Individuals

One of:

Full current passport

Full UK/EU driving licence

Other evidence of identify (specify)

Number & expiry date

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One of:

Utility bill

Recent bank statement

Other evidence of address (specify)

Details (eg company name/date)

Quoted company

Copy Certificate of Incorporation

Companies Search

Evidence of authority of representative

Details

Other businesses

Individual checks on 2 officers

Copy certificate of incorporation

Evidence of authority of representative

Details

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Beneficial Owner (if any)

The beneficial owners are:

I have obtained, verified and attached all documentation required to verify the beneficial owners identity

Yes / No

Completed by:

Dated:

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APPENDIX 5Q

Money Laundering Regulations Report Form (ML2)

SECTION 1 CLIENT DETAILS (fee earner to complete)

Name

Surname Title

Forename/s

Also known as

Address

Postcode

Telephone

Home Mobile 1

Work Mobile 2

Email

Email 1 Email 2

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Birth details

Date Place

Source of client/Introducer

Nature of instructions

Reason for report (attach confidential memo if appropriate)

Signed Dated

SECTION 2 MLRO TO COMPLETE

Date ML2 received

If decided to report to NCA

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Reasons for reporting

If decided not to report to NCA

Reasons for not reporting:

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Consent to inform client (exceptional)

I consent to the client being informed that we will be reporting/have reported to NCA on grounds of legal professional privilege

Signed (only sign if consent is granted)

Date of consent

Date of report to client (attach copy letter or attendance note)

appendix 5a risk register -...

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