Guide to Office Supervision and Organisation, Policies and Client Care

Index

1.Person responsible for management of the firm.

2.Supervision

3.Compliance with duties in law and conduct, etc.

4.Money laundering

5.Compliance with key regulatory obligations

6.Identification of conflicts

7.Compliance with the requirements of rule 2 on client care, costs information and complaints handling.

8.Complaints handling

9.Control of undertakings

10.Safekeeping of documents and assets

11.Equality and diversity

12.The training of individuals working in the firm to maintain a level of competence appropriate to their work and level of responsibility.

13.Financial control of budgets, expenditure and cashflow.

14.Continuation of the practice of the firm in the event of absences and emergencies.

15.Management of risk

•Definitions

The “firm” means Nicola Williams Solicitor.

The term "arrangements" is used broadly to encompass all systems, procedures, processes and methods of organisation put in place in the firm to achieve the required outcome.

This guide should, be read in conjunction with the following:

o(a) guidance issued from time to time by the SRA or the Law Society on the supervision and execution of particular types of work;

o(b) the firm's own properly documented standards and procedures;

o(c) the guidelines for accounting procedures and systems published as Appendix 3 to the Solicitors' Accounts Rules 1998;

 

1. Person responsible for management of the firm.

The overarching responsibility for the management of the firm in the broadest sense - including, for example, practice development and business efficiency - rests with the recognised sole practitioner, Nicola Williams.

The day-to-day management of the firm may be delegated from time to time to an employee who is suitably experienced and competent, and a fit and proper person to perform the role.

Note

Sections 41 to 44 of the Solicitors Act 1974 impose restrictions on the employment or remuneration of certain persons by a solicitor, REL or recognised body:

o(a) Under section 41 of that Act, permission must first be obtained from the SRA by any solicitor, REL or recognised body wishing to employ or remunerate a struck-off or suspended solicitor or REL . You can check with the SRA whether a solicitor or REL has been struck off or suspended.

o(b) Under section 43 of that Act, the Solicitors Disciplinary Tribunal or the SRA can order that a person who is or was involved in a legal practice may not be employed or remunerated in future by any solicitor, REL or recognised body without written permission. Such permission is given or withheld by the SRA. You can check with the SRA whether a section 43 order exists.

Nicola Williams (or a suitably experienced employee) must make arrangements for the effective management of the firm as a whole, and in particular provide for:

•(a) compliance by the firm with the duties of a principal, in law and conduct, to exercise appropriate supervision over all staff, and ensure proper supervision and direction of clients' matters;

•(b) compliance with the money laundering regulations, where applicable;

•(c) compliance by the firm and individuals with key regulatory requirements such as certification, registration or recognition by the Solicitors Regulation Authority, compulsory professional indemnity cover, delivery of accountants' reports, and obligations to co-operate with and report information to the Authority;

•(d) the identification of conflicts of interests;

•(e) compliance with the requirements of rule 2 (Client relations) on client care, costs information and complaints handling;

•(f) control of undertakings;

•(g) the safekeeping of documents and assets entrusted to the firm;

•(h) compliance with rule 6 (Equality and diversity);

•(i) the training of individuals working in the firm to maintain a level of competence appropriate to their work and level of responsibility;

•(j) financial control of budgets, expenditure and cashflow;

•(k) the continuation of the practice of the firm in the event of absences and emergencies, with the minimum interruption to clients' business; and

•(l) the management of risk.

2. Supervision

Nicola Williams must be "qualified to supervise" in the sense that she

(a) must have completed the training specified from time to time by the Solicitors Regulation Authority for this purpose; and

(b) must have been entitled to practise as a lawyer for at least 36 months within the last ten years; and must be able to demonstrate this if asked by the Solicitors Regulation Authority.

Nicola Williams must ensure that the firm has in place a system for supervising clients' matters.

The system for supervision must include appropriate and effective procedures under which the quality of work undertaken for clients and members of the public is checked with reasonable regularity by suitably experienced and competent persons within the firm.

3. Compliance with duties in law and conduct, etc.

Nicola Williams is responsible in law and in conduct for the firm, including exercising proper control over staff. Work done by unqualified staff may only be done at the direction and/or under the supervision of Nicola Williams.

Nicola Williams is responsible for the acts and omissions of all staff, admitted and unadmitted alike. The duty to supervise staff covers not only persons engaged under a contract of service, but also those engaged under a contract for services to carry out work on behalf of the firm, e.g. consultants, locums and outdoor clerks. Nicola Williams cannot avoid responsibility for work carried out by the firm by leaving it entirely to staff, however well qualified.

Responsibility for the overall supervision framework rests with Nicola Williams.

4. Money laundering

See the Money Laundering Regulations 2007 (SI 2007/2157) (and any subsequent regulations) and any guidance on compliance issued by the Law Society.

5. Compliance with key regulatory obligations

Nicola Williams is responsible for ensuring

(a)that every solicitor in the firm must hold a practising certificate and ensure that the practising certificate is renewed promptly when required

(b)the firm complies with the Solicitors' Indemnity Insurance Rules;

(c)an accountant's report is delivered in accordance with the Solicitors' Accounts Rules; and

(d)the firm notifies the SRA of any change in the place or places of business of the solicitors, RELs and RFLs in the firm (they have a legal obligation to do this, under section 84 of the Solicitors Act 1974).

6. Identification of conflicts

The firm adopts a systematic approach to identifying and avoiding conflicts of interests, dealing with conflicts between the duties of confidentiality and disclosure, and maintaining client confidentiality.

All new matters shall be checked against the list of existing and former clients in the computerised data base for conflict of interest.

Refer to the SRA guidance to rule 3 (Conflict of interests) and to rule 4 (Confidentiality and disclosure) for further assistance in identifying these issues and how they should be addressed.

7. Compliance with the requirements of rule 2 on client care, costs information and complaints handling.

Compliance with Solicitor’s Code of Conduct rules 2.02, 2.03 and 2.05 is imperative. Nicola Williams and any staff must familiarise themselves with and adhere to the following:

 

 Client care

•(1) All fee earners must:

o(a) identify and record in writing clearly the client's objectives in relation to the work to be done for the client;

o(b) give the client a clear explanation of the issues involved and the options available to the client and follow up in writing within five working days.

o(c) agree with the client the next steps to be taken; and

o(d) keep the client informed in writing and at regular intervals of progress, unless otherwise agreed.

•(2) All fee earners must, both at the outset and, as necessary, during the course of the matter:

o(a) agree an appropriate level of service;

o(b) explain your responsibilities;

o(c) explain the client's responsibilities;

o(d) ensure that the client is given, in writing, the name and status of the person dealing with the matter and the name of the person responsible for its overall supervision; and

o(e) explain any limitations or conditions resulting from your relationship with a third party (for example a funder, fee sharer or introducer) which affect the steps you can take on the client's behalf.

•(3) If you cannot meet some or all of these requirements, you must demonstrate that it was not appropriate to do so in the circumstances.

  Information about the cost

•(1) All fee earners must give their client the best information possible about the likely overall cost of a matter both at the outset and, when appropriate, as the matter progresses. The firm provides details of costs estimates in the costs information booklet a copy of which should be sent to each client at the outset. In particular you must:

o(a) advise the client of the basis and terms of your charges using the firms standard terms of engagement;

o(b) advise the client if and when charging rates are to be increased;

o(c) advise the client of likely payments which you or your client may need to make to others;

o(d) discuss with the client how the client will pay, in particular:

(i) whether the client may be eligible and should apply for public funding; and

(ii) whether the client's own costs are covered by insurance or may be paid by someone else such as an employer or trade union;

o(e) advise the client that there are circumstances where you may be entitled to exercise a lien for unpaid costs;

o(f) advise the client of their potential liability for any other party's costs; and

o(g) discuss with the client whether their liability for another party's costs may be covered by existing insurance or whether specially purchased insurance may be obtained.

•(2) The client should be made aware at the outset that the firm does not presently carry out work under a conditional fee agreement,

•(3) The client should be made aware at the outset that the firm does not presently carry out publicly funded work.

4) The client should be made aware at the outset that the firm does not presently enter into any fee sharing agreements.

•(5) Any information about the cost must be clear and confirmed in writing.

•(6) You must discuss with your client whether the potential outcomes of any legal case will justify the expense or risk involved including, if relevant, the risk of having to pay an opponent's costs.

•(7) If you cannot demonstrate meet some or all of these requirements you must be able to demonstrate that it was inappropriate in the circumstances to do so.

•(8) No fee earner may enter into an arrangement to receive a contingency fee for work done in prosecuting or defending any contentious proceedings before a court of England and Wales, a British court martial or an arbitrator where the seat of the arbitration is in England and Wales, except as permitted by statute or the common law.

•(9) You must not enter into an arrangement to receive a contingency fee for work done in prosecuting or defending any contentious proceedings before a court of an overseas jurisdiction or an arbitrator where the seat of the arbitration is overseas except to the extent that a lawyer of that jurisdiction would be permitted to do so.

 8. Complaints handling

(1)The firm has a written complaints procedure.

(2)All clients must be told, in writing, at the outset:

(i) that, in the event of a problem, the client is entitled to complain; and

(ii) to whom the client should complain;

  (3) All clients must be given a copy of the complaints procedure on request and once a complaint has been made, the person complaining must be told in writing:

(i) how the complaint will be handled; and

(ii) within what timescales they will be given an initial and/or substantive response.

(4)Nicola Williams will not charge for the cost of handling a complaint.

  9. Control of undertakings

  No fee earner is authorised to give any undertaking on behalf of the firm without the prior consent of Nicola Williams. All undertakings must be recorded in writing and a copy kept in a central register and all relevant dates within which the terms of the undertaking are to be complied with are to be recorded in Nicola Williams’ diary.

10. Safekeeping of documents and assets

  The firm does not hold client money, wills, deeds, investments, items of value or other property on behalf of clients.

  All documents essential to the management and progress of a case, entrusted by clients to the firm in the course of a matter are to be clearly labelled and stored securely in alphabetical order in a filing system. At the end of the matter, or earlier if practicable, they are to be returned to the client.

  All archived files are to be clearly labelled with the date of archive and anticipated destruction date and stored securely for six years after which time they are to be confidentially destroyed.

11. Equality and diversity

  Discrimination occurs when one person is treated less favourably than another is treated, or would be treated, in the same or similar circumstances without legitimate reason.

  The firm will not tolerate discrimination against a person on the grounds of their race or racial group (including colour, nationality and ethnic or national origin), sex (including marital status, gender reassignment, pregnancy, maternity and paternity), sexual orientation (including civil partnership status), religion or belief, age or disability.

  For further guidance on equality and diversity and avoiding discrimination, see the Solicitors Code of Conduct guidance to rule 6 (Equality and diversity).

12. The training of individuals working in the firm to maintain a level of competence appropriate to their work and level of responsibility.

"Competence" is the ability to perform a task or role to a required standard by the application of essential knowledge, skill and understanding. The competence of everyone in the firm involved in the provision of legal services is reviewed at least twice annually.

A training record of each member of staff is held centrally where appropriate.

The nature of the arrangements will vary significantly depending on the work and level of responsibility of each individual and include consideration of which staff might need training in some or all of the rules of conduct.

All employees need to be aware of the need to keep clients' matters confidential.

Training can be of any kind relevant to the work or responsibilities of the individual, and can be delivered by any appropriate method. For example, it could include on-the-job learning, mentoring schemes, in-house training, individual study, etc. It need not be accredited under the compulsory continuing professional development scheme (CPD) or involve attendance at courses.

13. Financial control of budgets, expenditure and cashflow.

Nicola Williams uses a computerised software programme to record time, prepare invoices and hold information on all suppliers, creditors and debtors. Reports can be generated to project cashflow, profit and loss, unpaid invoices, bad debts, regular payments and so on.

Nicola Williams ensures that the data is regularly backed up and that the data is reconciled against the bank statements not less than the minimum frequency prescribed by the SRA from time to time.

14. Continuation of the practice of the firm in the event of absences and emergencies.

In the event that Nicola Williams is absent on holiday, sick, permanently disabled or dies the practice of the firm will be carried on with the minimum interruption to clients' business by Nicola Tiernan Solicitor of Sovereign House Bramhall Centre Bramhall SK7 1AW who is "qualified to supervise". Further details will be given to clients as appropriate.

15. Management of risk

Risk management arrangements include periodic reviews of the firm's risk profile.

Not less than every six months a review of the firm’s exposure to all sorts of risks is carried out by Nicola Williams.

A list is kept of potential client-related and business-related risks including professional negligence, complaints, client-related credit risks and exposure; issues surrounding data protection in particular in relation to IT, website use, email confidentiality, IT failures and abuses; and damage to offices, loss of files through theft and fire etc..

For further information about management, policies and procedures please refer to the firm’s client care policy document, costs leaflets and complaints handling leaflet