LEXCEL APPLICATION PACK

The Law Society of Northern Ireland

Lexcel Practice Management Standard

What is ?
LEXCEL is the quality mark developed by the Law Society of England & Wales for practices and legal departments which have been independently assessed as having achieved the Practice Management Standards. The Law Society of Northern Ireland has negotiated a licensing arrangement with LSEW to market and assess LEXCEL as a Quality Mark to solicitors in Northern Ireland. No compulsion is involved, it is a matter for the individual practice whether to undergo assessment. Lexcel v4 Practice Management Standard (PDF, 171kb)

How will my practice benefit?

By investing in Lexcel, your practice is likely to benefit in a wide variety of ways: Increased profitability Reduced mistakes and effective risk management Improved client care Provides a competitive advantage Improves marketability to prospective clients Management efficiency Excellence will become standard Assistance with Best Value compliance for local authorities.

Failures in administration and service delivery, rather than lack of legal knowledge, tend to lead to most complaints and claims against solicitors, particularly in the areas of casework and communication with clients. Lexcel will provide you with the framework to take preventative action and put systems and procedures in place which will help you to reduce mistakes. In times of increased competition and demand from clients for evidence of good value and quality service, Lexcel provides a competitive advantage and peace of mind for clients. The Lexcel quality mark is evidence of a well managed practice committed to a quality service.

Benefits of Lexcel
Research and feedback from Lexcel accredited practices has identified the following benefits: Effective risk management leading to fewer claims or complaints Better customer service leading to increased client retention Lower insurance premiums or favourable treatment from insurers Improved marketability and competitive advantage Increased success in tenders, beauty parades and panel reviews Helping to demonstrate best value compliance for local authority instructions Consistency of service from all solicitors and practice groups A framework to meet new legislative requirements such as the Money Laundering Regulations 2003 Help with new practice rules Increased profitability

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Lexcel: an effective risk management tool

Increasingly, indemnity insurers will be looking to see what risk management procedures practices operate. Lexcel provides the structure to do this since it not only covers the main causes of claims against solicitors, but also includes specific risk management systems and procedures. The Law Society of Northern Ireland in recognition of these benefits allows a 10% discount for Professional Indemnity Insurance contributions for firms who hold recognised LEXCEL or other quality standards, provided their premium contributions are not subject to loadings or penalties It is likely that those practices who achieve LEXCEL will gain an advantage in their dealings with major purchasers of legal services, including public bodies, the lending institutions and major corporate clients. Lexcel could help cut the cost of your indemnity insurance premiums.

Six of the key areas of concern identified by our Brokers and Claims Handlers are covered by Lexcel: 1. 2. 3. 4. 5. 6. Risk assessment and management responsibility Understanding services offered and their delivery Appropriate skills, knowledge and training Supervision of staff File management, diary control and conflict of interest Terms of engagement and Rule 15 compliance.

In addition, the need for good communication is essential (both internally and externally).

What steps are you taking to ensure that you have sufficient systems in place to satisfy insurers?

Who can apply?

Lexcel can be achieved by any practice, regardless of size or type of work undertaken. The sole practitioner with little or no staff can benefit as can larger practices or legal departments. The Standards incorporate flexibility as they identify what areas must be covered, but leave practices free to choose procedures which are appropriate to their own circumstances. Local government and commerce and industry legal departments can also apply for certification, despite normally being part of a larger umbrella organisation. The umbrella organisation must give the authority for the department to apply, and the department must be able to show it is a sufficiently independent unit by meeting certain criteria which are set out in the Lexcel Assessment Guide. It is recognised that some adaptation and interpretation of the Standards is necessary when applying Lexcel outside the private practice environment. This has been taken into consideration when developing the scheme, and additional guidance has been included in the Lexcel Assessment Guide. As a matter of policy, all offices or branches of a practice must apply for certification simultaneously. However, providing a number of criteria are met, separate branch assessments will be considered by the Lexcel Assessment Panel on a case by case basis. Please contact the Deputy Secretary. Please note that certification is not available in offices outside Northern Ireland.

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Lexcel Assessment and Certification

The Lexcel assessment is carried out by our independent Assessment Bodies (see page 10) who are already accredited for the purpose of assessing either ISO 9000 or Investors in People. By having the assessments carried out by third parties on behalf of the Law Society, it ensures that the process is independent, objective and rigorously quality controlled. The Standard itself remains under the control of the Law Society. Only Assessors who have achieved certain qualifications, who have experience of the legal sector, and have undergone special training, are approved by the Law Society to take part in the scheme. The Assessors will seek to identify whether, and if so, by which procedures, the practice is working to the core requirements. The process will safeguard client confidentiality. Appropriate checks will be made on the practices complaints, disciplinary and conduct records. This should be done prior to the assessment taking place and must be done before a certificate is awarded. A practice that has successfully completed the assessment will be awarded a certificate by the Law Society and granted the right to use the Lexcel quality mark on stationery and promotional material. The certificate remains valid for three years, subject to successful monitoring visits, which are conducted at the first and second anniversary to ensure that the Standard is still being met. After three years a full reassessment is required.

Where do other quality standards fit in?

By working closely with ISO 9000 and Investors in People assessment units the Lexcel scheme offers practices the opportunity to be assessed to Lexcel alone, or undertake a simultaneous assessment with one of these standards, thereby avoiding duplication of time and costs. It also acknowledges that practices which have ISO 9000 or IIP will have already satisfied some of the requirements of Lexcel and takes this into account on assessment. Something that has recently been checked will not normally have to be checked again in depth, thus reducing the cost and time of the assessment. A comparative table is included.

The Lexcel Practice Excellence Kit

For practices who require additional support to implement the Standard, comprehensive material has been prepared. The Lexcel Practice Excellence Kit comprises: The Lexcel Assessment Guide sets out the requirements for the Practice Management Standards, and explains further the process of Lexcel certification. The Lexcel Office Procedures Manual book and disk version: provides practices with a blueprint for their office manual offering a set of procedures which match the requirements for Lexcel, and can be tailored as an in-house office manual to suit the requirements of different firms. This edition has been updated to include more coverage of supervision, risk management and client care, and has a new section on procedures for electronic communication. Also available is Quality Management for Law Firms a comprehensive guide to quality management processes, which has been written to complement the material available in the Lexcel Practice Excellence Kit. The above publications are available from the LSNI Library.

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Preparing for Assessment

If you are interested in gaining the Lexcel quality mark you can start preparing now by: Assessing how much of the Standards you already have in place (see the self-assessment checklists from page 11) Obtaining and reading the Lexcel Practice Excellence Kit Reading about marketing, management, client care, IT (Law Society Library for Publications) Considering whether you need help from a consultant to implement the Standards.

Applying for Lexcel Certification

Practice contactsLaw Society & chosen assessment Body

Practice sends application form, Status Enquiry Form and registration fee to the Lexcel Office at the Law Society

Law Society checks complaints, disciplinary and conduct or otherwise and informs you and your chosen assessor that you may proceed to assessment

Practice agrees mutually convenient assessment date with chosen Assessment Body

Assessment conducted and feedback provided. If required, deferral plan agreed and corrective action taken

Assessor sends report to the Law Society (via Assessment Body)

Law Society awards certificate

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Guidance for Firms considering Lexcel Introduction

These guidance notes are for practices applying for assessment. More comprehensive guidance can be found in the Lexcel Assessment Guide (published as part of the Lexcel Practice Excellence Kit).

Choosing an Assessment Body

Before you submit your application form, contact your chosen Assessment Body. If a practice intends to apply for Lexcel assessment only, it should make little difference which Assessment Body it chooses, as Lexcel will be assessed in a standard way. However, different Assessment Bodies have different fee structures and it is advisable to seek quotes. Choice of Assessment Body may be influenced by whether the practice already has the ISO 9000 or Investors in People quality mark, or plans to achieve either quality mark in the future, since simultaneous assessments can be arranged. As a result, the overlaps with the Lexcel requirements may be taken into account on assessment to reduce the time and cost involved. A list of the Lexcel Assessment Bodies is included on page 9

Preparing for Assessment

Your practice is likely to already be meeting a number of the Lexcel requirements (especially if you have other quality standards in place). Before proceeding, practices will therefore find it useful to complete the Self-Assessment Checklist (see page 11). Any weaknesses identified should be corrected before assessment. It may be necessary to repeat the self-assessment process a number of times before arriving at a satisfactory result. A practice should therefore make as many copies of the SelfAssessment Checklist as necessary, always keeping a blank to be completed when the self-assessment process produces an entirely satisfactory result. Further help with implementing the Lexcel requirements can be found in the Lexcel Practice Excellence Kit which contains the Lexcel Assessment Guide and the Lexcel Office Procedures Manual. Training is also available for internal advisers, such as quality managers or practice managers, who may be supporting their practices with the implementation of the Practice Management Standards. The training will ensure that they are familiar with the requirements of Lexcel and the assessment process. For further information on training, contact the Deputy Secretary. Whilst it is not necessary to use a consultant, some practices may choose to seek the help of a consultant. Training has been offered to consultants so that they are familiar with Lexcel and the assessment process and are kept up-to-date with any developments. Details of consultants who have attended the Law Society training courses are enclosed. Consultants who have attended a training course are issued with a certificate of attendance. Practices should ensure that the certificate relates to a recent course and that the consultant is up-to-date with the scheme. This is not a guarantee that a consultant has experience of the legal sector.

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Confidentiality
A number of the Lexcel requirements concern case file management and assessment of those requirements would normally include the Assessor gaining access to a sample of case files to gather evidence that the requirements are being met. Practices should take account of the full guidance on confidentiality set out in the Lexcel Assessment Guide and, where appropriate, should start to build up a body of case files that Assessors can have access to by writing to clients as soon as possible, advising them that the practice is seeking the Lexcel quality mark and seeking consent to disclose case files to the Assessor. This may be included as part of the client care letter for new clients instructing the practice. Seeking clients consent will not only assist with the gathering of evidence for the assessment process but will also provide the practice with a valuable opportunity to promote to clients the practice's commitment to quality. The Law Society has a confidentiality agreement with the Lexcel Assessment Bodies, but practices will also want to ensure that any agreement entered into with the Assessment Body will cover a requirement to keep information confidential. In some circumstances practices may not be able to allow inspection of some or all case files. This may be because the client has refused to give consent, or in some cases the practice may exercise its judgement (as explained fully in the Lexcel Assessment Guide), and not seek a confidentiality waiver from clients, for example, in commercially sensitive matters. If the practice cannot allow access to case files, it will have to work with the Assessor to identify other ways in which satisfactory evidence can be established. This is likely to be done by the Assessor interviewing the fee-earner with conduct of the matter. This method may take longer, and may increase the cost of assessment. It is therefore advisable that the practices approach to access to case files is discussed with the Assessment Body at an early stage.

Cost of Assessment
There are two elements to the cost of Lexcel assessment: (1) An annual registration fee charged by the Law Society which goes some way to cover the schemes administration costs. Please send this fee with your application form and status enquiry form prior to each annual assessment. Private Practice:Sole Practitioner All Other Firms

50.00 25.00 per partner, e.g. a 5 partner firm - 125.00

Non private practice The registration fee will be commensurate with fees for private practice, but adjusted to take account of senior staff who are not admitted solicitors. Please contact the Deputy Secretary for further details. (2) An assessment fee charged by the Assessment Body for conducting the assessment. The cost of assessment and annual maintenance visits varies according to the size of the practice. Each Assessment Body will have its own charging structure and charges are likely to be based on day rates. Assessment Bodies are required to be open about their charges and provide quotes to practices enquiring about Lexcel assessment, based on the specifications of the individual practice. The daily rates may be in the region of 500-650 which are the level of fees charged by Assessment Bodies to assess ISO 9000/Investors in People. Practices should enquire whether there will be any additional expenses on top of the fees quoted, such as for Assessors expenses or work conducted off site.

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Duration of Assessment
When calculating the duration of the assessment, the main factor will be the number of fee-earners, though a number of other factors must be considered: The number of support staff The number and geographical location of offices The number of different categories of law offered and work patterns Whether a practice already has ISO 9000 or Investors in People Whether the assessment is for Lexcel alone or combined with ISO 9000 or Investors in People. The following tables outline the likely duration of Lexcel only assessments for both single and multi-office practices. They are intended to give practices a rough guide as to how long an assessment may take, and therefore enable practices to work out the likely cost. The costs for annual maintenance visits are likely to be around half those of the full assessment. To calculate the likely duration of assessment for the practice, add the number of day(s) identified from table A below to the number identified from table B. For example: Practice A has one main office with 4 fee-earners and 2 support staff. Estimated duration of assessment is: 4 fee-earners @1 day + support staff @ 0-0.5 days. Total = 1-1.5 days. Practice B has a main office with 10 fee-earners and 6 support staff, and a branch office with 2 fee-earners and 1 support staff. Estimated duration of assessment is: main office @ 1.5-2.5 days + branch office @ 0.5-1 day. Total = 2-3.5 days.

Applying for Assessment

Once your practice has satisfied itself that it meets the Lexcel requirements and has selected an Assessment Body, an Application Form should be submitted to the Lexcel Office at the Law Society. In addition to the Application Form, Status Enquiry Forms will need to be signed by all staff who are involved in earning fees in order to authorise the Law Society to check the practice's indemnity insurance and disciplinary records prior to the assessment taking place. The Application Form and Status Enquiry Forms are available in this pack (see page 22) or on request from the Lexcel Office. Practices should take as many photocopies of the relevant Status Enquiry Forms as are necessary. With the completed Application Form, the practice should send to the Lexcel Office: Some background information about the practice (ie a copy of the practice's brochure-) A copy of the completed Self-Assessment Checklist, in its final form Full list of all employees identifying fee-earners (stating admitted or non-admitted) and non-fee-earners For non-private practices, a letter authorising the application Signed Status Enquiry Forms for the practice and all relevant personnel.

The Lexcel Office will provide your chosen Assessment Body with a copy of the Application Form and other relevant information. The status enquiry checks will be made at the outset so that if there is a problem, practices do not incur costs of Lexcel assessment unnecessarily. If the status checks reveal matters such as serious professional misconduct or fraud, the Law Society reserves the right to withhold, withdraw, defer or suspend certification. Such a decision will be made by the Lexcel Assessment Panel established by the Law Society to oversee the Lexcel scheme. The results of the status enquiry checks will not be revealed to the Assessment Body, which will only be informed whether the assessment may proceed or not. The status enquiry checks may

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take approximately four to six weeks depending on the volume of checks that are being made. The Law Society will notify the named person on the Application Form whether the assessment may proceed. Practices must inform the Law Society of any changes to the practices disciplinary records after the approval to proceed to assessment has been given.

The Assessment Process

The process and assessment criteria are intended to be entirely transparent and full details are set out in the Lexcel Assessment Guide. This publication provides further guidance on the conduct of Lexcel assessments such as sample size guidelines for interviews and case files, guidance on non-compliances, and arrangements for Assessors to report to the practice and the Law Society. Assessment Bodies are responsible for ensuring that their nominated Assessors meet the Law Society's criteria for Assessors and attend the Law Societys training. They are also responsible for quality assuring the assessment process and the administration of that process. Any complaints about the assessment or the Assessor should be taken up with the Assessment Body direct. The Law Society will monitor complaints and may adjudicate over any complaints that cannot be resolved. You will be invoiced separately by your chosen Assessment Body for the relevant assessment costs.

The Certification Process

The Assessor will report to the Law Society on whether a practice has met the Lexcel requirements. The report will be reviewed by the Law Society and any queries arising from the report referred back to the Assessment Body. If the practice has met the requirements of the Standard, the Law Society will advise the practice and the Assessment Body of the outcome. If there are any doubts about whether the practice has met the Standard, the matter will be referred to the Lexcel Assessment Panel, and the practice and Assessment Body informed of the outcome. The Lexcel Appeals Panel will consider appeals against decisions taken by the Lexcel Assessment Panel.

Annual Maintenance Visits

To maintain the Lexcel certificate and ensure continuity, practices must undergo annual maintenance assessments, and after three years a full re-certification assessment. An annual registration fee is payable to the Law Society on each occasion. There will also be an assessment fee payable to the Assessment Body. Practices should inform the Law Society where necessary of any changes in personnel since the previous assessment and must complete Status Enquiry Forms for any new starters since the date of the previous assessment. In addition, the Society will carry out new Status Enquiry checks in relation to the practice.

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Lexcel Assessment Bodies

The following ISO 9000 or Investors in People Assessment Bodies have been authorised to conduct Lexcel assessments on behalf of the Law Society (they can also answer technical queries about the Lexcel assessment process):

Assessment Body ISO 9000 Certificating Bodies

SGS Yarsley ICS

Head Office Address

Contact Details

Ms Mary Norton International Certification Services Carnegie Building Library Hall 121 Donegall Road BELFAST BT12 5JL 6E Mandarin Court Centre Park Warrington WA1 1GG

Tel: 028 9027 8869 Fax: 028 9024 4206 W: www.sgs.co.uk E: mnorton@sgsgroup.com

Centre for Assessment Ltd

Tel: 01925 256650 W: www.centreforassessment.co.uk E: lexcel@centreforassessment.co.uk

The Lexcel Practice Management Standard

New standard - Lexcel v4
The new Lexcel standard, launched on 23 October 2007, provides legal practices with a framework of best practice principles for managing their practice. In particular, Lexcel helps practitioners comply with the new Solicitors' Code of Conduct 2007 and other regulations.

The new standard has been updated to reflect relevant changes in law and practice management. Compliance with Lexcel v4 is optional from 1 January 2008 and mandatory from 1 June 2008. Lexcel v4 Practice Management Standard (PDF, 171kb)

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SelfLexcel V4 Self-Assessment Checklist

Main office details Name of organisation: Assessment contact: Postal address:

Telephone: E-mail: Checklist headings

There are four headings contained in the Checklist form: Mandatory requirement - This summarises, very succinctly, what the Standard requires. How complied with - This should be completed with a brief description of the relevant procedures and supporting documentation that exists within the practice. Document reference - The practice should use this column to indicate where to find relevant documentation in your practice. If individual documents are referred to, the practice should index them sequentially. For example, document A, document B, etc.

Notes
All policies and plans within the Lexcel standard require you to name the person responsible for the policy or plan, and to conduct an annual review of each policy and plan. In relation to section 4A, practices must ensure that they comply with relevant legal and regulatory provisions and staff receive appropriate training in relation to the policies.

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1 Structures and policies

Mandatory requirement 1.1 Practices will have documentation setting out: (a) the legal framework under which they operate; (b) their business structure. 1.2 Practices will have a risk management policy, which must include: (a) strategic risk; (b) operational risk; (c) regulatory risk. 1.3 Practices will have a quality policy, which must include: (a) the role that the quality system plays in the overall strategy of the practice; (b) a process for personnel to suggest improvements to the quality system. 1.4 Practices will have a policy on the avoidance of discrimination and the promotion of equality and diversity, to include: (a) employment and partnership, recruitment and selection, training and conditions of service and promotions within the practice; (b) the delivery of service; (c) the instruction of counsel and experts in all professional dealings. 1.5 Practices will have a policy to ensure compliance with anti-money laundering legislation. The policy must include: (a) the appointment of a Nominated Officer usually referred to as a Money Laundering Reporting Officer (MLRO); (b) a process for making disclosures within the practice and by the MLRO to the authorities; (c) identification checking; (d) training of personnel; (e) the proper maintenance of records. 1.6 Practices providing services to clients in relation to property transactions will have documented procedures in relation to the avoidance of involvement in mortgage fraud. 1.7 Practices will have a policy in relation to the health and safety of all personnel and visitors to the practice. 1.8 Practices should have a policy in relation to community and social responsibility. How complied with Document reference

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2 Strategy, the provision of services and marketing

2.1 Practices will develop and maintain a marketing and business plan. 2.2 Practices will document the services they wish to offer, including: (a) the client groups to be served; (b) how services are to be provided; (c) the way in which services are designed to meet client needs. 2.3 A documented review of 2.1 and 2.2 will be conducted at least every six months. 2.4 Practices will have a business continuity plan, which must include: (a) an evaluation of potential threats and the likelihood of their impact; (b) ways to reduce, avoid and transfer the risk; (c) processes for testing and checking the plan.

3 Financial management
3.1 Practices will document responsibility for overall financial management. 3.2 Practices will be able to provide documentary evidence of their financial management processes, including: (a) annual budget (including, where appropriate, any capital expenditure proposed); (b) variance analysis conducted at least quarterly of income and expenditure against budgets; (c) annual profit and loss or income and expenditure accounts (certificated or audited accounts); (d) annual balance sheet; (e) annual cash or funds flow forecast; (f) quarterly variance analysis at least of cashflow. 3.3 Practices will have a time recording process which enables the accurate measurement of time spent on matters for billing purposes.

4 Information management and facilities

4A Information management 4A.1 Practices will have an information communication technology (ICT) plan, including: (a) the application of all ICT facilities within the practice; (b) the role of ICT in facilitating services for clients. 4A.2 Practices will have a policy in relation to data protection compliance issues, which must include:

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a) ensuring registration with the Information Commissioner; (b) training of personnel. 4A.3 Practices will have an information management policy, including: (a) relevant information assets of both the practice and clients; (b) the risks to these assets, their likelihood and their impact; (c) procedures for the protection and security of the assets; (d) a process for training personnel. 4A.4 Practices must have an e-mail policy, including: (a) the scope of permitted and prohibited use; (b) any procedures for monitoring personnel using e-mail; (c) procedures for proper management and security; (d) procedures for its proper storage and destruction. 4A.5 If the practice has a website, the practice must have a website management policy, including: (a) a process for document approval and publishing; (b) the scope of permitted and prohibited use; (c) procedures for the proper management of its security and contents. 4A.6 If personnel in the practice have internet access the practice must have an internet access policy, including: (a) the scope of permitted and prohibited use; (b) any procedures for monitoring personnel accessing the internet. 4B Facilities 4B.1 Practices will document the office facilities needed to provide a service, including: (a) the use of premises and equipment, including security and safety issues; (b) arrangements for clients to visit the offices; (c) communication arrangements; (d) procedures for the handling of financial transactions. 4B.2 Practices will have a process for legal research, including the updating and sharing of legal and professional information. 4B.3 Practices will maintain an office manual or intranet collating information on office practice, which must be available to all personnel of the practice. Practices will have a process to: (a) control the office manual or intranet to ensure that only the current version is in use; (b) review the manual or intranet at least annually; (c) update the manual or intranet and record the date of amendments.

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5 People management
5.1 Practices will have a plan for: (a) the recruitment of personnel, including likely recruitment needs; (b) the training and development of personnel. 5.2 Practices will list the tasks to be undertaken by all personnel within the practice and document the skills, knowledge and experience required for individuals to fulfil their role satisfactorily, usually in the form of a person specification. 5.3 Practices will have procedures to deal effectively with recruitment and selection, which must include: (a) the identification of vacancies; (b) the drafting of the job documentation; (c) methods of attracting candidates and applicants; (d) selection methods used; (e) storage, retention and destruction of records; (f) references and ID checking and any use of medical examination; (g) checking fee earners disciplinary record. 5.4 Practices will conduct an appropriate induction process for all personnel, including those transferring roles within the practice and must cover: (a) management structure and the individuals job responsibilities; (b) terms and conditions of employment; (c) immediate training requirements; (d) key policies. 5.5 Practices must have a training and development policy and will: (a) ensure that appropriate training is provided to personnel within the practice in accordance with its policy; (b) ensure that all supervisors and managers receive appropriate training; (c) have a process to evaluate training. 5.6 Practices will conduct a documented review of the responsibilities, objectives, performance and training of all personnel at least annually.

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6 Supervision and operational risk management

6.1 Practices will have a written description of their management structure which designates the responsibilities of individuals and their accountability. 6.2 There will be a named supervisor for each area of work undertaken by the practice. The supervisor must have appropriate experience of the work supervised and be competent to guide and assist others. 6.3 Practices will have processes to ensure that all personnel, both permanent and temporary, are actively supervised. Such processes will include: (a) checks on incoming and outgoing correspondence, including letters, e-mails and faxes; (b) departmental, team and office meetings and communication structures; (c) reviews of matter details in order to ensure good financial controls and the appropriate allocation of workloads; (d) the exercise of devolved powers in publicly funded work; (e) the availability of a supervisor; (f) allocation of new work and reallocation of existing work, if necessary. 6.4 Practices will have processes to ensure that all those doing legal work check their files regularly for inactivity. 6.5 Practices will have procedures for regular, independent file reviews, of either the management of the file or its substantive legal content, or both. In relation to file reviews, practices will: (a) define file selection criteria; (b) define the number and frequency of reviews; (c) retain a record of the file review on the matter file and centrally; (d) ensure any corrective action which is identified in a file review is actioned within 28 days and verified by the reviewer; (e) ensure that the designated supervisor reviews and monitors the data generated by file reviews; (f) conduct a review at least annually of the data generated by file reviews, which will contribute to the review of risk assessment data. 6.6 Practices will ensure that procedures are in place to: a) designate one overall risk manager for the practice with sufficient seniority, to be able to identify and deal with all risk issues which may arise; b) establish appropriate reporting arrangements to ensure that risk issues are appreciated and addressed; c) maintain lists of work that the practice will and

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will not undertake including any steps to be taken when work is declined on grounds that it falls outside acceptable risk levels. This information must be communicated to all relevant staff and must be updated regularly; d) maintain details of the generic risks and causes of claims associated with the area(s) of work that is/are undertaken by the practice. This information must be adequately communicated to all relevant staff; e) manage instructions which may be undertaken even though they have a higher risk profile than the norm for the practice, including unusual supervisory and reporting requirements or contingency planning. 6.7 Practices will analyse at least annually all risk assessment data generated within the practice. This must include: (a) any indemnity claims; (b) an analysis of client complaints trends; (c) data generated by file reviews; (d) the identification of remedial action. 6.8 Operational risk will be considered and recorded in all matters before, during and after the processing of instructions. Before the matter is undertaken the adviser must: (a) consider if a new client and/or matter should be accepted by the practice, in accordance with 8.2 below; (b) assess the risk profile of all new instructions and notify the risk manager in accordance with procedures under 6.6 above of any unusual or high risk considerations in order that appropriate action may be taken. During the retainer the fee earner must: (c) consider any change to the risk profile of the matter from the clients point of view and report and advise on such circumstances without delay, informing the risk manager if appropriate; (d) inform the client in all cases where an adverse costs order is made against the practice in relation to the matter in question. At the end of the matter the fee earner must: (e) undertake a concluding risk assessment by considering if the clients objectives have been achieved and if the client could fairly complain or make a claim for damages in relation to the service provided; (f) notify the risk manager of all such circumstances in accordance with documented procedures.

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7 Client care
7.1 Practices will have a documented policy for client care. 7.2 Practices will have processes to ensure compliance with Rule 2 of the Solicitors Code of Conduct 2007. 7.3 Practices must have a record of any standing terms of business with regular clients. The practice must be able to produce such terms in relation to the issues covered by this section. 7.4 Practices will operate a written complaints handling procedure that ensures compliance with Rule 2 of the Solicitors Code of Conduct 2007 and in addition: (a) defines what the practice regards as a complaint and sets out how to identify and respond to complaints; (b) records and reports centrally all complaints received from clients; (c) identifies the cause of any problem of which the client has complained offering any appropriate redress, and correcting any unsatisfactory procedures; (d) practices will conduct reviews at least annually of complaints data and trends, such review(s) forming part of the review of risk. 7.5 Practices will have a process to monitor client satisfaction.

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8 File and case management

8.1 Practices will document how client enquiries in relation to possible instructions are handled, with particular regard to: (a) telephone enquiries; (b) clients who enquire in person in the reception area, including confidentiality; (c) enquiries by correspondence and e-mail. 8.2 Practices will document how decisions will be made as to whether to accept new instructions from existing clients or instructions from clients who have not instructed the practice before. 8.3 Practices will document their arrangements to ensure that conflicts of interests are identified and acted upon in an appropriate manner. 8.4 At the outset of the matter the fee earner will: (a) establish as full an understanding as possible of the clients requirements and objectives (where incomplete, this must be supplemented subsequently); (b) provide a clear explanation of the issues raised and the advice given; (c) explain what the fee earner will do and in what timescale; (d) establish the method of funding, including the availability or suitability of insurance, trade union benefits, conditional or contingency fee arrangements, or costs insurance products; (e) consider whether the intended action would be merited on a cost-benefit analysis and whether, in public funding cases, the guidance in the funding code would be satisfied. The issues covered in (a)(e) above must be confirmed to the client, ordinarily in writing, unless it would be appropriate not to do so. In all cases, a note of these issues must appear on the matter file. 8.5 Practices will ensure that the strategy for the matter is always apparent on the matter file and that in complex cases a project plan is developed. 8.6 Practices will have documented procedures to ensure that matters are progressed in an appropriate manner. In particular: (a) key information must be recorded on the file; (b) key dates must be defined and recorded on the file and in a back-up system; (c) there must be a process to monitor key dates; (d) a timely response is made to telephone calls and correspondence from the client and others; (e) continuing information on cost is provided; (f) clients are informed in writing if the person with conduct of their matter changes, or there is a change of person to whom any problem with service should be addressed. 8.7 Practices will document procedures for giving, monitoring & discharge of undertakings.

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8.8 Practices will have a documented procedure to: (a) list open and closed matters, identify all matters for a single client and linked files where relevant and all files for particular funders; (b) ensure that they are able to identify and trace any documents, files, deeds, wills or any other items relating to a matter; (c) safeguard the confidentiality of matter files and all other client information; (d) ensure that the status of the matter and the action taken can be easily checked by other members of the practice; (e) ensure that documents are stored on the matter file(s) in an orderly way. 8.9 Practices will have a documented procedure for using barristers, expert witnesses and other external advisers who are involved in the delivery of legal services, which will include provision for the following: (a) use of clear selection criteria; (b) where appropriate, consultation with the client in relation to selection, and proper advice to the client on choice of advocate or other professional; (c) clients to be advised of the name and status of the person being instructed, how long he or she might take to respond, and where disbursements are to be paid by the client, the cost involved; (d) maintenance of records (centrally, by department or office) on barristers and experts used, including evidence of assessment against the criteria; (e) evaluation of performance, for the information of other members of the practice; (f) giving clear instructions; (g) checking of opinions and reports received to ensure they adequately provide the information sought (and, in litigation matters, comply with the rules of court and any court orders); (h) payment of fees.

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8.10 Practices will have documented procedures to ensure that, at the end of the matter, the practice: (a) reports to the client on the outcome and explains any further action that the client is required to take in the matter and what (if anything) the practice will do; (b) accounts to the client for any outstanding money; (c) returns to the client any original documents or other property belonging to the client if required (save for items that are by agreement to be stored by the practice); (d) if appropriate, advises the client about arrangements for storage and retrieval of papers and other items retained (insofar as this has not already been dealt with, for example in terms of business) and any charges to be made in this regard; (e) advises the client whether they should review the matter in future and, if so, when and why; (f) archives and destroys files in an appropriate manner. .

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Application Form
All applicants must ensure any relevant supporting documents are attached with the completed application form. It is the practices responsibility to inform staff of any details that may affect them. If you have any questions regarding the application form contact Suzanne Bryson at The Law Society of Northern Ireland on 028 9023 1614 or via email: Suzanne.Bryson@lawsoc-ni.org

1. Practice/ Organisation Details

Name of Practice / Organisation Nature of Practice

Private

Local Authority

C.P.S.

In-house Commercial

Postal Address

DX number Telephone Fax Email Website Name of most Senior Person Position within practice

2. Type of Assessment
Initial Year 1 Maintenance Visit Year 2 Maintenance Visit Full re-assessment Chosen Assessor

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3. Assessment contact
Name Job Title Telephone Email

4. Other Offices
Lexcel must be applied for by the entire legal department or private practice. All offices will be subject to Lexcel assessment in addition to the main/head office. Details of all offices must be entered in this section with any continuation on a separate sheet if necessary.

Name of Office

Postal Address

5. Personnel
If the table does not provide sufficient space, please continue detailing personnel on a separate sheet of paper and attach this to the application form. Please note: In-house applicants do not need to complete section 1 of the table below. 1. No. of Partners 2. No. of Legal Directors 3. No. of Solicitors 4. No.of other fee earners 5. No. of support staff

Office

TOTAL

TOTALS

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6. Legal Services Offered (Tick as appropriate)

Non Contentious Commercial Conveyancing Contentious Child care Company/Commercial Company/Commercial Corporate Financial Services Non Commercial Conveyancing Corporate Crime Debt Collection Employment Family/ Matrimonial Probate Trust Wills Other (please specify) Medical Negligence Personal Injury Welfare benefits Other (please specify)

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7. Lexcel Certification & Other Quality Standards

If your legal department or practice has been assessed against Investors in People and/or ISO9001 in the last six months, please provide details. Lexcel recognises that there are certain overlaps with these standards which may make the application process easier. Further details are available from the Lexcel Office.

Lexcel only

2000
Joint Lexcel & IiP

2004

Yes
Date of IiP recognition

No

Date of last IiP assessment

Joint Lexcel & ISO9001:2000

Yes
Date of ISO9001:2000 Recognition

No

Date of last ISO9001:2000 assessment

8. Consultant(s)
If your organisation has used a consultant(s) to help you work towards Lexcel, complete the table with all relevant information

Name Job Title Company Postal Address Telephone Email

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9. Authorisation
I confirm that this legal practice wishes to be assessed against the Law Societys Lexcel Practice Management Standard. I understand and agree that the practice will abide by the requirements of the Lexcel standard and the Lexcel scheme, as may be amended from time to time by the Law Society of Northern Ireland. The authorisation signatory must be one of the following: In-House Practice- Head of the Legal Department Private Practice- Senior or Managing Partner

Signature: ___________________ Print Name: ___________________

Date: ____________________ Job Title: ____________________

10.

Supporting documentation

Supporting documents for each application must include: Staff List- details of each member of staff, including job title and office location. Indemnity Insurance Record- we require details of all claims made against your legal department in the last three years or since your last Lexcel application. A print out from your insurer is sufficient evidence. Self-Assessment checklist- please complete the self-assessment checklist to help your assessor plan the assessment. Please note: if you are the legal department of a public body you do not need to provide an Indemnity Insurance Record. Staff List Indemnity Insurance record Self-assessment checklist

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Lexcel Application Status Enquiry Form

PMS 1: PRACTICE DETAILS

Practice Name:____________________________________________________________________ Address: ____________________________________________________________________ ____________________________________________________________________ Date of Formation: ______________________________________________________________

No. of offices: ____________________________________________________________________

PERSONNEL DETAILS No. of fee earners employed by applicant Partners:_______ Other Admitted staff________ Non Admitted staff:________ Total:___________
Relevant status enquiry forms PMS2 (Admitted staff) and PMS3 (Non- Admitted staff) should be completed and attached to this form for each of the fee earners included above I understand that the Law Society of Northern Ireland reserves the right to review the complaints and disciplinary records and records of other monitoring by the Society of any solicitor held out as principle; consultant: associate or assistant with this firm or any admitted staff.

Signature 1: ___________________________________________ Date:____________________ (Senior Partner Present Practice) Print Name: ___________________________________________

Signature 2: ___________________________________________ Date:____________________ (Senior Partner Predecessor Practice) Print Name: ___________________________________________

Complaints Discipline

FOR USE BY LSNI Home Charter Financial Services

Solicitors Accounts Regulations

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Lexcel Application Status Enquiry Form

PMS 2: ADMITTED STAFF

Practice Name: Full Name: Date of Birth:

_____________________________________________________________ _____________________________________________________________ _____________________________________________________________

Date you joined Applicants Practice: _____________________________________________________________ Status in Current Practice:

_____________________________________________________________

Previous Practice: _____________________________________________________________ (If less than 2 years in current practice)

I understand that the Law Society of Northern Ireland reserves the right to review the complaints and disciplinary records and records of other monitoring by the Society of any solicitor held out as principle; consultant: associate or assistant with this firm or any admitted staff.

Signed:

___________________________________________________________

Date:

___________________________________________________________

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Lexcel Application Status Enquiry Form

PMS 3: NON-ADMITTED STAFF

Practice Name: Full Name: Date of Birth:

_____________________________________________________________ _____________________________________________________________ _____________________________________________________________

Date you joined Applicants Practice: _____________________________________________________________ Status in Current Practice:

_____________________________________________________________

I understand that the Law Society of Northern Ireland reserves the right to review the complaints and disciplinary records and records of other monitoring by the Society of any solicitor held out as principle; consultant: associate or assistant with this firm or any admitted staff.

Signed:

___________________________________________________________

Date:

___________________________________________________________

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For further information regarding Lexcel please contact:

Suzanne Bryson Deputy Chief Executive/ Deputy Secretary The Law Society of Northern Ireland Law Society House 96 Victoria Street Belfast BT1 3GN T: 028 9023 1614

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