lexcelv5 self assessment checklist
TRANSCRIPT
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Lexcel v5 - self-assessment checklistDate issued: January 2012
Main office details
Name of organisation
Postal address
Lexcel contact name
Job title
Telephone
!mail
Checklist headings
There are three headings contained in the "hec#list form:
Mandatory requirement! This summarises$ %ery succinctly$ &hat the 'tandard re(uires)
How complied with! This should be completed &ith a brief description of the rele%ant procedures
and supporting documentation that exists &ithin the practice)
Document reference! The practice should use this column to indicate &here to find rele%ant
documentation in your practice) *f indi%idual documents are referred to$ the practice should index themse(uentially) +or example$ document ,$ document -$ etc)
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!tructures and policies
Mandatory requirement How complied with Documentreference
1)1 Practices &ill ha%e documentation setting out the:
a: legal frame&or# under &hich theyoperate
b: management structure &hich
designates the responsibilities ofindi%iduals and their accountability)
1)2 Practices &ill ha%e a ris# management policy$ &hichmust include:
a: strategic ris#
b: operational ris#
c: regulatory ris#
d: the person responsible for thepolicy
e: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice
1). Practices &ill ha%e a policy in relation to outsourcedacti%ities$ &hich must include:
a: details of all outsourced acti%ities
b: procedures to chec# the (ualityof outsourced &or#
c: steps to ensure pro%iders ha%eta#en appropriate precautions toensure information &ill beprotected)
c: a list of all pro%iders of ser%ices
d: the person responsible for thepolicy
e: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across the
practice
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1)/ Practices &ill ha%e a policy on the a%oidance ofdiscrimination and the promotion of e(uality anddi%ersity$ &hich must include:
a: employment and partnership$recruitment and selection$ trainingand conditions of ser%ice andpromotions &ithin the practice
b: the deli%ery of ser%ice
c: the instruction of counsel and experts in allprofessional dealings
d: a procedure to deal &ith complaints anddisciplinary issues in breach of the policy
e: a procedure to monitor di%ersity
f: training of all personnel on compliance &ith e(ualityand di%ersity re(uirements
g: the person responsible for the policy
h: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
1) Practices &ill ha%e a policy in relation to the health
and safety of all personnel and %isitors to the practice$&hich must include:
a:the person responsible for thepolicy
b: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice
1) Practices should ha%e a policy in relation tocommunity and social responsibility$ &hich mustinclude:
a: the person responsible for thepolicy
b: a procedure for an annual re%ie&of the policy$ to %erify it is ineffecti%e operation across thepractice
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" !trategic plans
Mandatory requirement How complied with Documentreference
2)1 Practices &ill de%elop and maintain a business plan&hich must include:
a: measurable obecti%es for the next 12 months
b: a recruitment plan
c: the person responsible for the plan
d: a procedure for a re%ie& of the plan to beconducted e%ery six months to %erify the plan is ineffecti%e operation across the practice
2)2 Practices &ill de%elop and maintain a mar#eting plan&hich must include:
a: measurable obecti%es for the next 12 months
b: the person responsible for the plan
c: a procedure for a re%ie& of the plan to be conductede%ery six months to %erify the plan is in effecti%e
operation across the practice
2). Practices &ill document the ser%ices they &ish to offer$including:
a: the client groups to be ser%ed
b: ho& ser%ices are to be pro%ided
c: a procedure for a re%ie& of ser%ices to beconducted e%ery six months)
2)/ Practices &ill ha%e a business continuity plan$ &hichmust include:
a: an e%aluation of potential ris#s and the li#elihood oftheir impact
b: &ays to reduce$ a%oid and transfer the ris#s
c: #ey people rele%ant to theimplementation of the plan
d: the person responsible for the plan
e: a procedure to test the plan annually$ to %erify thatit &ould be effecti%e in the e%ent of a businessinterruption)
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2) Practices &ill ha%e an information communicationtechnology 3*T4 plan$ &hich must include:
a: the application of all *T facilities&ithin the practice
b: the role of *T in facilitating ser%icesfor clients
c: the person responsible for the plan
d: a procedure for an annual re%ie& of the plan$ to%erify it is in effecti%e operation across the practice)
# $inancial management
Mandatory requirement How complied with Documentreference
.)1 Practices &ill document responsibility for o%erallfinancial management)
.)2 Practices &ill be able to pro%ide documentarye%idence of their financial management procedure $
including:
a: annual budget including$ income and expenditure
b: annual income and expenditureaccounts
c: annual balance sheet
d:annual income and expenditureforecast to be re%ie&ed (uarterly
e: %ariance analysis conducted at least (uarterly ofincome and expenditure against budgets
f: (uarterly %ariance analysis &hichincludes at least their cash flo&
.). Practices &ill ha%e a time recording procedure &hichenables:
a: the accurate measurement of time spent onmatters for billing purposes
b: the monitoring of &or# in progress
.)/ Practices &ill ha%e a procedure in
relation to billing clients$ including:a: the fre(uency and terms for billing
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clients
b: credit limits for ne& and existing clients
c: a procedure to manage debts
d: the person responsible for the procedures
e: a documented re%ie& of theprocedures at least annually$ to %erify they are ineffecti%e operation across the practice)
.) Practices &ill ha%e a procedure for the handling offinancial transactions including:
a: the person responsible for theprocedures
b: a documented re%ie& of the procedures at leastannually$ to %erify they are in effecti%e operationacross the practice)
% &nformation management
Mandatory requirement How complied with Documentreference
/)1 Practices &ill ha%e an information management policy$&hich must include:
a: the identification of rele%ant information assets ofboth the practice and clients
b: the ris# to these assets$ their li#elihood and theirimpact
c: procedures for the protection andsecurity of the information assets
d: a procedure for training personnel
e: the person responsible for the policy
f: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
/)2 Practices &ill ha%e an e!mail policy$ &hich mustinclude:
a: the scope of permitted and prohibited use
b: procedures for monitoring personnel using e!mail
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c: procedures for the management and security of e!mails
d: procedures for the storage anddestruction of e!mails
e: the person responsible for the policy
f: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
/). *f the practice has a &ebsite$ the practice must ha%e a&ebsite management policy$ &hich must include:
a: a procedure for content appro%al$publishing and remo%al
b: the scope of permitted and prohibited content
c: procedures for the management of its security
d: the person responsible for the policy
e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
/)/ *f personnel in the practice ha%e *nternet access thepractice must ha%e an *nternet access policy$ &hich
must include:
a: the scope of permitted and prohibited use
b: procedures for monitoring personnel accessing theinternet
c: the person responsible for the policy
d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
/) Practices &ill ha%e a social media policy$ &hich mustinclude:
a: a procedure for participating in social media onbehalf of the practice
b: the scope of permitted and prohibited content
c: the person responsible for the policy
d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
/) Practices &ill ha%e a procedure for legal research$including the updating and sharing of legal andprofessional information)
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/)5 Practices &ill maintain an office manual or e(ui%alent*ntranet documentation collating information on officepractice$ &hich must be a%ailable to all personnel ofthe practice) This &ill include:
a: a procedure to control the office manual or intranetto ensure that only the current %ersion is in use
b:a procedure to update the manual or *ntranet andrecord the date of amendments
c: a central register of all policies and plans and theperson responsible for them
5 'eople management
Mandatory requirement How complied with Documentreference
)1 Practices &ill ha%e a plan for the training andde%elopment of personnel$ &hich must include:
a: the person responsible for the plan
b: a procedure for an annual re%ie& of the plan$ to%erify it is in effecti%e operation across the practice)
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)2 Practices &ill list the tas#s to be underta#en by allpersonnel &ithin the practice and document the s#ills$#no&ledge and experience re(uired for indi%iduals tofulfil their role satisfactorily$ usually in the form of aperson specification)
). Practices &ill ha%e procedures to deal effecti%ely &ith
recruitment and selection$ &hich must include:
a: the identification of %acancies
b: the drafting of the ob documentation
c: methods of attracting candidates and applicants
d: selection methods used
e: storage$ retention and destruction of records
f: references and *D chec#ing
g: chec#ing fee earners6 disciplinary record)
)/ Practices &ill conduct an appropriate induction for allpersonnel$ including those transferring roles &ithin thepractice and must co%er:
a: management structure and theindi%idual6s ob responsibilities
b: terms and conditions of employment
c: immediate training re(uirements
d: #ey policies)
) Practices &ill ha%e a procedure &hich details the stepsto be follo&ed &hen a member of staff ceases to be anemployee$ &hich must include:
a: the hando%er of &or#
b: exit inter%ie&s
c: the return of company property)
) Practices must ha%e a training and de%elopment policyincluding:
a: ensuring that appropriate training is pro%ided to
personnel &ithin the practice in accordance &ith itspolicy
b: ensuring that all super%isors and managers recei%eappropriate training
c: a procedure to e%aluate training
d: the person responsible for the policy
e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice
)5 Practices &ill ha%e a performance management policy
&hich includes:
a: the practices approach to performance management
b: performance re%ie& periods and timescales
c: the person responsible for the policy
d: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice
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( )isk management
Mandatory requirement How complied with Documentreference
)1 Practices must designate one o%erall ris# manager tobe able to identify and deal &ith all ris# issues &hichmay arise)
)2 There &ill be a named super%isor for each area of&or# underta#en by the practice)
). Practices must ha%e procedures to manageinstructions &hich may be underta#en e%en thoughthey ha%e a higher ris# profile$ including unusualsuper%isory and reporting re(uirements orcontingency planning)
)/ Practices must maintain lists of &or# that the practice&ill and &ill not underta#e) This information must becommunicated to all rele%ant staff and must beupdated &hen changes occur)
) Practices must maintain details of the generic ris#sand causes of claims associated &ith the area3s4 of&or# that is7are underta#en by the practice) Thisinformation must be communicated to all rele%antstaff)
) Practices must document #ey dates$ including:
a: the definition of #ey dates by&or# type
b: #ey dates recorded on the fileand in a bac#!up system)
)5 Practices must ha%e a procedure to monitor #eydates to reduce the ris# of #ey dates being missed)
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)8 Practices &ill ha%e a policy on the handling ofconflicts$ &hich must include:
a: the definition of conflicts by &or# type
b: training for all rele%ant personnel to identify conflicts
c: steps to be follo&ed &hen a conflict is identified
d: the person responsible for the policy
e:a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
)9 Practices &ill ha%e procedures es to ensure that allpersonnel$ both permanent and temporary$ areacti%ely super%ised) 'uch procedures es &ill include:
a: chec#s on incoming and outgoing correspondence&here appropriate
b: departmental$ team and office meetings andcommunication structures
c: re%ie&s of matter details in order to ensure goodfinancial controls and the appropriate allocation of&or#loads
d: the exercise of de%ol%ed po&ers in publicly funded&or#
e: the a%ailability of a super%isor
f: allocation of ne& &or# and reallocation of existing&or#$ if necessary
)10 Practices &ill ha%e procedures es to ensure that allthose doing legal &or# chec# their files regularly forinacti%ity)
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)11 Practices &ill ha%e a procedure for regular$independent file re%ie&s$ of either the management ofthe file or its substanti%e legal content$ or both) *nrelation to file re%ie&s$ practices &ill:
a: define file selection criteria
b: define the number and fre(uencyof re%ie&s
c: retain a record of the file re%ie&on the matter file and centrally
d: ensure any correcti%e action &hich is identified in a
file re%ie& is acted upon &ithin 28 days and %erifiedby the re%ie&er
e: ensure that the designated super%isor re%ie&s andmonitors the data generated by file re%ie&s
f: conduct a re%ie& at least annually of the datagenerated by file re%ie&s)
)12 perational ris# &ill be considered and recorded in allmatters before$ during and after the processing ofinstructions) -efore the matter is underta#en thead%iser must:
a: consider if a ne& client and7or matter should beaccepted by the practice$ in accordance &ithsection 8)1 belo&
b: assess the ris# profile of all ne& instructions andnotify the ris# manager in accordance &ithprocedures under ). of any unusual or high ris#considerations in order that appropriate action maybe ta#en)
During the retainer the fee!earner must:
c: "onsider any change to the ris# profile of the matterand report and ad%ise on such circumstances&ithout delay$ informing the ris# manager ifappropriate
d: *nform the client in all cases &here an ad%ersecosts order is made against the practice in relationto the matter in (uestion)
,t the end of the matter the fee!earner must:
e: ;nderta#e a concluding ris# assessment byconsidering if the client6s obecti%es ha%e beenachie%ed
f: Notify the ris# manager of all such circumstances in
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accordance &ith documented procedures)
)1. Practices &ill analyse at least annually all ris#assessment data generated &ithin the practice) Thismust include:
a: any indemnity insurance claims 3&here applicable4
b: an analysis of client complaints trends
c: data generated by file re%ie&s
d: the identification of remedial action)
)1/ Practices &ill ha%e procedures for the pre%ention offinancial crime$ including:
a: the person responsible for the procedure
b: a documented re%ie& of the procedure at leastannually$ to %erify they are in effecti%e operationacross the practice)
* Client care
Mandatory requirement How complied with Documentreference
5)1 Practices &ill ha%e a policy for client care$ including:
a: ho& en(uiries from potential clients &ill be dealt&ith
b: ensure that before ta#ing on a client$ the practicehas sufficient resources and competence to deal&ith the matter
c: protecting client confidentiality
d: the person responsible for the policy
e: a procedure for an annual re%ie& of the policy$ to%erify it is in effecti%e operation across the practice)
5)2 Practices &ill communicate the follo&ing to clients in&riting$ unless an alternati%e form of communication isdeemed more appropriate:
a: establish the client6sre(uirements and obecti%es
b: pro%ide a clear explanation of the issues in%ol%ed
and the options a%ailable to the client
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c: explain &hat the fee!earner &ill and &ill not do
d: agree &ith the client the next steps to be ta#en
e: #eep the client informed of progress$ as agreed
f: establish in &hat timescale that matter &ill be dealt&ith
g: establish the method of funding
h: consider &hether the intended action &ould bemerited on a cost benefit analysis
i: agree an appropriate le%el of ser%ice
: explain your responsibilities and the client6s
#: the client is gi%en the name and status of theperson dealing &ith their matter
l: the client is gi%en the name of person responsible forthe o%erall super%ision of their matter
5). Practices must ha%e a record of any standing terms ofbusiness &ith regular clients) The practice must beable to produce such terms in relation to issuesco%ered by this section)
5)/
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including:
a: the definition of &hat the practiceregards as a complaint
b: informing the client at the outset of the matter$ thatin the e%ent of a problem they are entitled tocomplain
c: to &hom the client can complain
d: pro%iding the client &ith a copy of your complaintsprocedure$ if re(uested
e: once a complaint has been made$ the personcomplaining is told in &riting:
3i4 ho& the complaint &ill be handled= and:
3ii4 in &hat time hey &ill be gi%en an initial and7orsubstanti%e response
f: record and report centrally all complaints recei%edfrom clients
g: identify the cause of any problems of &hich theclient has complained offering any appropriateredress$ and correcting any unsatisfactory
proceduresh: the person responsible for the procedure
i: a documented re%ie& of the procedures at leastannually$ to %erify that they are in effecti%eoperation across the practice)
5) Practice &ill ha%e a procedure to monitor clientsatisfaction across all areas of the practice)
5)5 Practices &ill ha%e a procedure for referring clients to thirdparties
+ $ile and case management
Mandatory requirement How complied with Documentreference
8)1 Practices &ill ha%e a procedure to accept or declineinstructions$ &hich must include:
a: ho& decisions are made to accept instructions from
ne& and existing clientsb: ho& decisions are made to stop acting for an
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existing client
c: ho& decisions are made to decline instructions
d: a person responsible for the procedure
e: a documented re%ie& of the procedures at leastannually$ to %erify that they are in effecti%eoperation across the practice)
8)2 Practices &ill ensure that the strategy for a matter isal&ays apparent on the matter file and that in complexcases a proect plan is de%eloped)
8). Practices &ill ha%e documented procedures to ensurethat matters are progressed in an appropriate manner)*n particular:
a: #ey information must be recorded on the file
b: a timely response is made to telephone calls andcorrespondence from the client and others
c: continuing cost information is pro%ided
d: clients are informed in &riting if the person &ithconduct of their matter changes$ or there is a
change of person to &hom any problem &ithser%ice should be addressed)
8)/ Practices &ill document procedures for the gi%ing$monitoring and discharge of underta#ings)
8) Practices &ill ha%e a procedure to:
a: list open and closed matters$ identify all matters fora single client and lin#ed files &here rele%ant andall files for a particular funder
b: ensure that they are able to identify and trace any
documents$ files$ deeds$ &ills or any other itemsrelating to the matter)
c: safeguard the confidentiality of matter files and allother client information
d: ensure that the status of the matter and the actionta#en can be easily chec#ed by other members ofthe practice
e: ensure that documents are stored on the matterfile3s4 in an orderly &ay)
8) Practices &ill ha%e a documented procedure for usingbarristers$ expert &itnesses and other externalad%isers &ho are in%ol%ed in the deli%ery of legal
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ser%ices$ &hich &ill include pro%ision for the follo&ing:
a: use of clear selection criteria
b: &here appropriate$ consult &ith the client in relationto selection of ad%ocate or other professional
c: clients to be ad%ised of the name and status of theperson being instructed$ ho& long she7he mightta#e to respond and$ &here disbursements are tobe paid by the client$ the cost in%ol%ed
d: maintenance of records 3centrally$ by department oroffice4 on barristers and experts used$ including
e%idence of assessment against the criteria
e: e%aluation of performance$ for the information ofother members of the practice
f: gi%ing clear instructions
g: chec#ing of opinions and reports recei%ed toensure they ade(uately pro%ide the informationsought 3and$ in litigation matters$ comply &ith therules of court and any court orders4
h: payment of fees)
8)5 Practices &ill ha%e documented procedures to ensurethat$ at the end of the matter$ the practice:
a: reports to the client on the outcome and explainsany further action that the client is re(uired to ta#ein the matter and &hat 3if anything4 the practice &illdo
b: accounts to the client for any outstanding money
c: returns to the client any original documents or otherproperty belonging to the client if re(uired 3sa%e foritems &hich are by agreement to be stored by the
practice4
d: if appropriate$ ad%ises the client aboutarrangements for storage and retrie%al of papersand other items retained 3in so far as this has notalready been dealt &ith$ for example in terms ofbusiness4 and any charges to be made in thisregard
e: ad%ises the client &hether they should re%ie& thematter in future and$ if so$ &hen and &hy
f: archi%es and destroys files in an appropriate manner
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