tag:blogger.com,1999:blog-57825979602946959832024-02-08T17:48:12.215+08:00Quality Management for Legal PracticesA discourse on the benefits of the internationally recognised quality management standard - LAW 9000 Legal Best Practice - for law firms.Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.comBlogger14125tag:blogger.com,1999:blog-5782597960294695983.post-30658309911868763512021-02-27T15:37:00.001+08:002021-02-27T15:42:48.900+08:00How good are you at managing your legal practice retainer agreements?A significant portion of claims against lawyers are attributable to poor retainer management and client communications.<br />
In Australia disclosure at the onset of a lawyer-client relationship is governed by the Legal Profession Acts.<br />
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What lawyers may find odd is that the standard does not cover all matters that a lawyer must disclose under the <i>Legal Profession Act 2008</i> (WA) (the Act). The editors of the standard have some catching up to do.<br />
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How do you ensure that you have disclosed the minimum information required under the your Legal Profession Act and that your cost agreement is kept up to date throughout the life of a legal matter?<br />
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Drafting and subsequently maintaining your retainer agreement is not a formality but a risk reduction opportunity providing you with a platform for better communication with your clients.<br />
To ensure that your practice has a consistent approach in relation to costs agreements a written process covering drafting and post-execution will be needed.<br />
The process will be only valuable if it is communicated to all professional staff and included in the induction program for new lawyers.<br />
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Whilst lawyers practicing in Australia are not obliged to enter into costs agreements with their clients costs disclosure is mandatory in all matters in Western Australia where legal costs, excluding disbursements, exceed $1,500.<br />
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<a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s268.html" target="_blank">The effect of failure to disclosure are set out in section 268 of the Act.</a><br />
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There are two aspects to managing risks associated with a retainer agreement:</div>
<div>
<ul>
<li>ensuring compliance with legislative requirements</li>
<li>maintaining an up to date retainer throughout the life of the legal matter. </li>
</ul>
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<h3>
Legislative compliance</h3>
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The disclosure requirements under the <i>Legal Profession Act 2008 </i>(WA) include:</div>
<ul>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s260.html" target="_blank">s 260 Disclosure of costs to clients </a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s261.html" target="_blank">s 261 Disclosure if another law practice to be retained</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s262.html" target="_blank">s 262 How and when disclosure must be made</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s263.html" target="_blank">s 263 Exceptions to requirement for disclosure</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s264.html" target="_blank">s 264 Additional disclosure - settlement of litigious matters</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s265.html" target="_blank">s 265 Additional disclosure - uplift fees</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s266.html" target="_blank">s 266 Form of disclosure</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s267.html" target="_blank">s 267 Ongoing obligation to disclose</a></li>
<li><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s270.html" target="_blank">s 270 Disclosure to associated third party payers</a></li>
</ul>
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<h3>
<b>Requirements under LAW 9000 - legal best practice standard</b></h3>
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Most of the standard's disclosure requirements are covered by the legislation. Here is the list of matters that should be disclosed to a client:</div>
<ul><span style="background-color: yellow;">
<li>the scope of the work and services that the practice has agreed to provide</li>
<li>the services that will not be provided by the practice</li>
<li>the time that the matter is likely to take to finalisation</li>
<li>the basis of charging and likely costs, including third party fees and charges, court charges, government charges and costs incurred by the other party</li>
<li>the likely outcomes </li>
<li>dispute resolution procedure</li>
<li>the practice specifies that it can to fulfill the terms of engagement</li>
<li>responsible persons for handling the matter </li>
<li>substantial changes to disclosure</li>
<li>any conflicts of interest are identified and a course of action are negotiated with the client </li>
<li>the client is advised of any cost recoveries which may arise</li>
<li>circumstances under which the agreement may be terminated</li>
<li>retention of client's documents at the end of the matter.</li>
</span></ul>
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Wha is the client going to do tasks.</div>
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Drafting a retainer agreement</h3>
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The contents of a costs agreement may be an issue, for example failing to set out the scope of legal service, but<br />
There are steps that are to be taken before, during and after the completion of the matter.</div>
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<b><i>Before drafting the retainer:</i></b></div>
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<ul>
<li>you would have taken client's instructions. For an example of a comprehensive fact finding form for family law clients see the embedded form or the <a href="http://www.formstack.com/forms/tanandtan-property_settlement_contributions" target="_blank">online version of the same form</a>.</li>
</ul>
<br />
<iframe allowfullscreen="" frameborder="0" height="356" marginheight="0" marginwidth="0" scrolling="no" src="http://www.slideshare.net/slideshow/embed_code/32446965?rel=0" style="border-width: 1px 1px 0; border: 1px solid #CCC; margin-bottom: 5px; max-width: 100%;" width="427"> </iframe> <br />
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<br /></div>
<ul>
<li>you would have ascertained whether the matter is in an area of law in which the firm currently practices extensively. This will be determined by the practice's <a href="http://valantoff.blogspot.com.au/2014/03/engagement-policy.html" target="_blank">engagement policy</a>.</li>
<li>you would have identified your client.</li>
<li>you would have done a conflict of interest check. An example of a conflict of interest policy and procedure follows.</li>
</ul>
</div>
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<iframe allowfullscreen="" frameborder="0" height="511" marginheight="0" marginwidth="0" scrolling="no" src="http://www.slideshare.net/slideshow/embed_code/32808629?rel=0" style="border-width: 1px 1px 0; border: 1px solid #CCC; margin-bottom: 5px; max-width: 100%;" width="100%"> </iframe> <br />
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<b><i>After executing the retainer:</i></b><br />
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Do you keep records of your correspondence relative to the establishment of the terms of engagement?<br />
Do you seek a written acknowledgment from your client that he or she understands the terms of engagement?How do you ensure that you get a signed copy of the retainer or that the client has agreed by other means?</div>
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What do you do with the signed retainer?</div>
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What do you do with evidence confirming agreement by client?</div>
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How do you handle variations to the terms of engagement?<br />
Do you communicate with your client in a timely manner any changes in the terms of the retainer?</div>
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How do you inform client that if need for variation arises other aspects of the agreement may have to be<br />
reviewed not only those directly affected by the variation.<br />
Exclude financial and accounting advice.<br />
<br />
when the retainer is at an end and whether anything has to be done in the future and who will do it. <br />
How do you manage retainer creep?<br />
Unless you are a tax advisor carve-out regarding tax issues (strictly adhered to by the practitioner) to help avoid misunderstandings that the practitioner was retained to give tax advice.<br />
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The client should be informed in any covering letter accompanying the disclosure document<br />
that any estimates provided are only estimates and not a quotation and, therefore, subject to<br />
change.<br />
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In summary</div>
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Most problems with retainers could be avoided through better communication by the lawyer. </div>
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Lawyers who have attended a seminar on risk management of retainer and cost agreements are unlikely to be surprised by the LAW 9000 standard regarding terms of engagement.<br />
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<div class="MsoNormal" style="line-height: 150%; margin-bottom: 0cm; mso-layout-grid-align: none; mso-pagination: none; tab-stops: 35.0pt; text-autospace: none;">
<span style="background-color: white;"><b><span face=""Arial","sans-serif"" style="background-attachment: initial; background-clip: initial; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; line-height: 150%; mso-bidi-font-style: italic; mso-highlight: yellow;">Terms of Engagement</span></b><b><span face=""Arial","sans-serif"" style="background-attachment: initial; background-clip: initial; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; line-height: 150%; mso-highlight: yellow;"><o:p></o:p></span></b></span></div>
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<span face=""Arial","sans-serif"" style="background: rgb(255, 255, 255); line-height: 150%; mso-bidi-font-style: italic; mso-bidi-font-weight: bold; mso-highlight: yellow;">The standard terms of engagement or retainer agreement between a law
practice and its client should include a written and signed authority from the
client to destroy the client's file in accordance with the firm's usual
practice.<o:p></o:p></span></div>
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</span><div class="MsoNormal" style="line-height: 150%; margin-bottom: 0cm; mso-layout-grid-align: none; mso-pagination: none; punctuation-wrap: simple; text-autospace: none;">
<span style="background-color: white;"><span face=""Arial","sans-serif"" style="background-attachment: initial; background-clip: initial; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; mso-bidi-font-style: italic; mso-bidi-font-weight: bold; mso-highlight: yellow;">If
a charge is to be made, the client should be informed of the charge in advance
and it would be appropriate to include such matters in the retainer agreement
or terms of</span><span face=""Arial","sans-serif"" style="mso-bidi-font-style: italic; mso-bidi-font-weight: bold;"> <span style="background-attachment: initial; background-clip: initial; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; mso-highlight: yellow;">engagement.</span></span><span face=""Arial","sans-serif"" style="line-height: 150%;"><o:p></o:p></span></span></div><div class="MsoNormal" style="line-height: 150%; margin-bottom: 0cm; mso-layout-grid-align: none; mso-pagination: none; punctuation-wrap: simple; text-autospace: none;"><span face=""Arial","sans-serif"" style="mso-bidi-font-style: italic; mso-bidi-font-weight: bold;"><span style="background-attachment: initial; background-clip: initial; background-color: white; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; mso-highlight: yellow;"><br /></span></span></div><div class="MsoNormal" style="line-height: 150%; margin-bottom: 0cm; mso-layout-grid-align: none; mso-pagination: none; punctuation-wrap: simple; text-autospace: none;"><span style="background-color: white;"><span face=""Arial","sans-serif"" style="mso-bidi-font-style: italic; mso-bidi-font-weight: bold;"><span style="background-attachment: initial; background-clip: initial; background-image: initial; background-origin: initial; background-position: initial; background-repeat: initial; background-size: initial; mso-highlight: yellow;">Visit <a href="http://www.crystallawyers.com.au" target="_blank">www.crystallawyers.com.au</a> or</span></span><span> estate planning and deceased estates advice.</span></span></div>
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Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-22483701753141444882014-09-21T17:37:00.001+08:002021-02-27T15:59:02.986+08:00How good are you at keeping quality records of your pre-engagement communications?Pre-engagement communications are important because they eventually form part of your legal matter files and should be managed like any other client communication and are subject to a lawyer-client privilege.<br />
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The management of such records can be governed by the same records control procedure that I discussed in one of my <span id="goog_676485846"></span><a href="http://www.slideshare.net/valantoff/control-of-documents-procedure-for-legal-practices" target="_blank">previous post</a><span id="goog_676485847"></span>.<br />
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Pre-engagement communications may take the form of a free first interview, free email legal advice, telephone and email communications, enquiries by friends and the public. These are all communications that the practice may have with potential clients before the client-lawyer relationship is formalised by the retainer agreement.<br />
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At the time when you created a pre-engagement record your client may not have been registered in your practice management system. The question arises: what do you do with such records which may include initial interview and phone communications, handwritten notes, email records, letters and faxes etc?<br />
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Depending on the type of document management system that you are currently using you may scan all documents and save them with all emails into a pre-engagement communications electronic folder. Alternatively if you rely on a paper based document management system you may be prin all electronic communications such as emails and file them into a pre-engagement communications binder together with all paper based records.<br />
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If you have implemented a process which ensures that all pre-engagement communications are identified, stored, protected and later merged with the client's matter file you are on your way to reducing certain risks to your practice and clients.<br />
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These are some of the questions that you need to answer before drafting the procedure for managing pre-engagement communication records:<br />
<ul>
<li>Have you identified the types of pre-engagement communications?</li>
<li>How do you record your initial interview with a client?</li>
<li>Do you provide preliminary advice or opinion to clients before signing a retainer agreement?</li>
<li>How do you keep a record of all your pre-engagement phone conversations?</li>
<li>Who reviews the pre-engagement communications to ensure that they are appropriate?</li>
<li>What is your process for ensuring that all pre-engagement communication are attached to the matter file after retaining the client?</li>
</ul>
The answers to these questions can be incorporated in the records control procedure. In the alternative a separate procedure can be drafted addressing only the management of all pre-engagement communications. See the example below.<br />
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<iframe allowfullscreen="" frameborder="0" height="511" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/33757043" style="border-width: 1px; border: 1px solid #CCC; margin-bottom: 5px; max-width: 100%;" width="500"> </iframe> <br />
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Other procedures that your practice should establish include mail handling, physical file management, archiving and IT.<br />
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An example of a mail handling procedure follows:<br />
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<iframe allowfullscreen="" frameborder="0" height="511" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/18554508" style="border-width: 1px; border: 1px solid #CCC; margin-bottom: 5px; max-width: 100%;" width="500"> </iframe> <br />
<div style="margin-bottom: 5px;">
<br />
Next I will discuss the management of the most important document in your legal practice - your retainer agreement.</div><div style="margin-bottom: 5px;"><br /></div><div style="margin-bottom: 5px;">Visit <a href="https://www.crystallawyers.com.au/fixed-fee-essential-will" target="_blank">www.crystallawyers.com.au</a> for crystal clear advice about wills and estate planning.</div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-8729109720964841062014-05-02T13:24:00.001+08:002021-02-27T16:00:31.163+08:00Are you in control of the matter files used in the delivery of legal services to your clients?One of the biggest opportunities to reduce malpractice claims lies in the good management of your matter files. Implementing and maintaining a robust file management systems for your particular needs will increase the effectiveness and efficiency of your legal practice and reduce your risks for errors and unhappy clients.<br />
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Control, content and supervision of matter files are all part of the management process which should protect the practice and the client's interests and assist you in the delivery of superb legal services.<br />
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Under clause 4.2.6.1 of the LAW 9000 standard the matter files used in the delivery of legal services to clients should be controlled.<br />
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These controls should include:<br />
<div>
<ul>
<li>procedure for opening files, including authority to open them</li>
<li>unique ID for matter files</li>
<li>controls on who can get access to matter files</li>
<li>authority to remove records from files</li>
<li>file tracking</li>
<li>procedure for closing files, including authority to close them.</li>
</ul>
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<br /></div>
<h3>
File opening procedure</h3>
Depending on your legal practice risk assessment profile you may have to start with a preliminary conflict of interest check even before the first interview with your potential client. The standard has a clause for conflict of interest checks (clause 7.1A) to which I will return in a later post.</div>
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Here is a sample procedure for conflict of interest checks:<br />
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<iframe allowfullscreen="" frameborder="0" height="714" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/key/u4UB1ndCx3k08f" style="border-width: 1px; border: 1px solid #ccc; margin-bottom: 5px; max-width: 100%;" width="668"> </iframe> <br />
<div style="margin-bottom: 5px;">
<strong> <a href="https://www.slideshare.net/valantoff/conflict-of-interest-procedure" target="_blank" title="Conflict of Interest Policy and Procedure">Conflict of Interest Policy and Procedure</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> <br />
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Most legal practices use some form of a file opening sheet which contains enough information about the client to open the file and populate the data into the electronic systems in the office. Before opening the matter file you would normally identify your client and sometimes establish the client's capacity.<br />
For some it may look like an excessive step but diligent lawyers are likely to perform a second conflict of interest check after they have recorded all of the client's additional details during the initial interview.<br />
Below is an example of a file opening procedure which can be modified to suit your needs.<br />
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<iframe allowfullscreen="" frameborder="0" height="714" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/key/JWKtN6JX7jFoC3" style="border-width: 1px; border: 1px solid #ccc; margin-bottom: 5px; max-width: 100%;" width="668"> </iframe> <br />
<div style="margin-bottom: 5px;">
<strong> <a href="https://www.slideshare.net/valantoff/file-opening-and-control-of-files-procedure" target="_blank" title="File opening and control of files procedure">File opening and control of files procedure</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> </div>
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<h3>
File closing, retention and destruction procedure</h3>
How you close and store your matter files and when you destroy them can have serious consequences for your legal practice from a risk management perspective if certain steps have been left out of the process or if your staff don't adhere to the procedures you have in place.<br />
A checklist is the simplest way to verify that the essential steps have been completed. The controls should include:<br />
<ul>
<li>client’s instructions were followed</li>
<li>all legal steps under the retainer were completed</li>
<li>billing procedures were followed</li>
<li>costs and disbursements were paid</li>
<li>a final report was prepared for the client</li>
<li>property and money was returned to the client</li>
<li>relevant files were linked</li>
<li>documents were stored or were returned to the client</li>
</ul>
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I have included a file closing procedure which can be modified to suit your legal practice needs.<br />
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<iframe allowfullscreen="" frameborder="0" height="714" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/key/lUGCWRaC78q3wF" style="border-width: 1px; border: 1px solid #ccc; margin-bottom: 5px; max-width: 100%;" width="668"> </iframe> <br />
<div style="margin-bottom: 5px;">
<strong> <a href="https://www.slideshare.net/valantoff/file-closing-retention-and-destruction-procedure" target="_blank" title="File closing, retention and destruction procedure for law firms">File closing, retention and destruction procedure for law firms</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> </div>
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Having the processes of opening and closing matter files documented is an essential step in the management of risk for every legal practice. It is however equally important that these procedures are included in the induction program for new lawyers and are reviewed regularly as part of the quality management system annual review process.<br />
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In the next post I will cover the requirements under the LAW 9000 standard for the matter file contents.</div><div><br /></div><div>Visit <a href="https://www.crystallawyers.com.au/fixed-fee-probate-grant">www.crystallawyers.com.au</a> for advice about probate and letters of administration.<br /></div>
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Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-63054494878015276992014-04-05T16:33:00.001+08:002021-02-27T16:02:06.657+08:00Do you expect the new recruits in your legal practice to perform and be productive without adequate induction?In the extreme scenario, a new recruit turns up on their first day and is left waiting in reception because no one remembered that they were coming or the practice manager forgot to assign them a desk and they had to work out of the tea room for a few days.<br />
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More commonly you would have shown the new recruits their desk, the coffee machine, introduced them to the person who can help them with any queries and handed them their first clients' files.<br />
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The expectation of the LAW 9000 standard is that a structured induction and training program will be provided to all new recruits. It is the responsibility of the principal/management to ensure that all staff are properly trained and qualified for the duties they were employed to perform.<br />
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The induction process is a good opportunity to engage and motivate your recruits from the start so they can help your business succeed. So why not make a memorable first impression?<br />
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Induction shouldn't be confused with career long training and development. Induction is introducing new recruits to your legal practice and the way you do things. The process doesn't apply only for recent law graduates but to professional and support staff with any number of years of experience. Making assumptions of the new recruit's knowledge and skills in the following areas is probably taking the wrong approach to induction:<br />
<ul>
<li>your quality management system policies and procedures</li>
<li>your computer and accounting systems</li>
<li>your precedents library</li>
<li>your business culture and strategic objectives</li>
<li>client and matter management</li>
<li>your organisation structure</li>
<li>your human resources policies and procedures</li>
<li>your OHS/WHS manual </li>
<li>your quality management system and the meaning of quality service</li>
<li>your appraisal process</li>
<li>your way of managing risk</li>
<li>your key performance indicators</li>
<li>corrective action requirements</li>
<li>communication, presentation and delegation skills.</li>
</ul>
The principal/management should use induction time to identify the training needs of the new recruits and tailor an individual development program. In contrast to a week-long induction a career long training and development program, as the name suggests, is a program for every stage of the career of your recruit. <br />
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Don't let your new recruits to "work it out". Show them you are a legal practice that properly supports new employees from the beginning by:<br />
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<div>
<ul>
<li>allocating the required resources for the induction process</li>
<li>setting out the key performance objectives from the start</li>
<li>communicating the recruit's accountabilities, relationships and objectives of the role</li>
<li>tailoring a mentoring program according to their needs</li>
<li>seeking their feedback during induction and improving the process.</li>
</ul>
A structured induction program and subsequent training program is likely to:</div>
<div>
<ul>
<li>be highly valued by your new recruits</li>
<li>result in the new recruits performing their role more effectively</li>
<li>increase your return on recruitment investment.</li>
</ul>
The following 1 minute presentation is an example of an induction program for legal recruits.</div>
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<div>
<br /></div>
<iframe allowfullscreen="" frameborder="0" height="315" src="//www.youtube.com/embed/JhJNkz2ulOQ" width="420"></iframe><div><br /></div><div>For financial settlement and consent orders visit <a href="https://www.crystallawyers.com.au/financial-consent-orders" target="_blank">www.crystallawyers.com.au</a>.</div>Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-18620446069087840652014-03-24T23:29:00.000+08:002014-05-17T10:38:00.438+08:00What are the rules of engagement at your legal practice?If you are in the management team of your legal practice it would be usually your responsibility to establish an engagement policy. This policy sets out the matters in which your practice will accept instructions.<br />
<div>
<br /></div>
<h3>
Why do you need an engagement policy?</h3>
<div>
<br /></div>
<div>
Because this policy is a risk management tools that will help you eliminate potential sources of failure to achieve your <a href="http://valantoff.blogspot.com.au/2014/03/quality-goals-for-law-firms.html" target="_blank"><b>objectives</b></a>. For example you will only accept instructions in areas of law in which either you or other lawyers in the practice have the expertise and experience to provide a service that will match the practice's quality objectives.<br />
<br />
The policy will also filter out services which you cannot provide effectively, efficiently or economically. For example you may decide not to provide Legal Aid funded services or services to clients in another state.</div>
<div>
<br />
The negative effect of uncertainty on your objectives will be minimised by establishing the rules of engagement.</div>
<div>
<br />
This is an example of an engagement policy.<br />
<br />
<h3>
<b>Engagement Policy</b></h3>
<div>
<b><br /></b></div>
The engagement policy of [name of firm] is to accept legal work in the following areas of practice:<br />
<ul>
<li>wills & administration of deceased estate </li>
<li>commercial law </li>
<li>commercial litigation </li>
<li>property settlements & purchases of business </li>
<li>liquor licensing </li>
<li>migration advice </li>
<li>franchises </li>
<li>patents, copyrights & trademarks </li>
<li>personal injuries </li>
<li>family law matters </li>
<li>police charges, traffic offences, and criminal offences.</li>
</ul>
<br />
[Practice Name] does not accept Legal Aid and does not represent clients residing outside of Western Australia. An engagement document is prepared at the start of an engagement or whenever a change in the service has been agreed to.</div>
<div>
<br />
Our engagement policy is in harmony with all relevant legal profession statutory requirements.</div>
<div>
<br />
The policy follows our practice's business plan and risk management policy.</div>
<div>
<br />
The engagement policy is reviewed for continuing suitability once a year as part of the quality management system review.</div>
<div>
<br />
The policy is included in our induction program and is communicated to all staff and clients on our website.</div>
<div>
<br /></div>
<h3>
Terms of Engagement</h3>
<div>
<br /></div>
<div>
Such terms often referred to as retainer or service agreement define the narrower perimeter of the services you have agreed to provide to a client in a legal matter. Amongst other things they determine the scope of services you have agreed to provide to your clients.</div>
<div>
<br /></div>
<div>
The law societies of the states and territories offer compliant cost kits and agreements. </div>
<div>
<br /></div>
<div>
In the next post I will cover the basic requirements of the LAW 9000 standard about the terms of engagement. </div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-48169400921942284602014-03-23T12:34:00.003+08:002021-02-27T16:15:50.080+08:00Have you communicated the principles relating to undertakings to all professional staff in your legal practice?From the perspective of good risk management all legal practices should maintain a register of professional undertakings.<br />
Controlling undertakings is usually achieved by establishing the relevant policy and procedure.<br />
<br />
These are questions to consider before drafting your undertakings policy and procedure:<br />
<ul>
<li>Do you maintain a central register of undertakings?</li>
<li>Do you record all outstanding undertakings on the register? This will define the scope of your procedure.</li>
<li>Are all your undertakings signed by the principal/partner in your practice? Undertakings must be approved before being given.</li>
<li>Do you have defined responsibilities and authorities within your practice which include the names of personnel authorised to sign undertakings? This is a requirement under clause 5.5.1 of the LAW 9000 standard.</li>
<li>If you have a register how often and by whom is the register reviewed? You need a review process in place to ensure compliance.</li>
</ul>
<br />
Here is an example of an undertakings policy and procedure.<br />
<br />
<div style="margin-bottom: 5px;">
<iframe allowfullscreen="" frameborder="0" height="714" marginheight="0" marginwidth="0" scrolling="no" src="//www.slideshare.net/slideshow/embed_code/key/8TdsRjKPWCezMm" style="border-width: 1px; border: 1px solid #ccc; margin-bottom: 5px; max-width: 100%;" width="668"> </iframe> <br />
<div style="margin-bottom: 5px;">
<strong> <a href="https://www.slideshare.net/valantoff/undertakings-policy-for-law-firms" target="_blank" title="Undertakings Policy for Law Firms">Undertakings Policy for Law Firms</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong></div>
</div>
<br />
Maintaining an up to date and a good format risk register will help you:<br />
<div>
<ul>
<li>evaluate your practice's risk exposure </li>
<li>provide evidence to your insurers about your practice's risk exposure</li>
<li>track and monitor the status of all undertakings</li>
<li>prioritise the high risk undertakings </li>
<li>with the matter supervision process.</li>
</ul>
</div>
<div>
<br />
Computerised client management system usually provide an undertakings register. For a paper based register consider including the following column headings:<br />
<br />
<ul>
<li>file reference</li>
<li>name of client</li>
<li>name of fee earner</li>
<li>date of prior approval by principal/managing partner</li>
<li>value of financial liability (if financial undertaking)</li>
<li>date of undertaking</li>
<li>summary of undertaking</li>
<li>date for compliance</li>
<li>to whom the undertaking was given</li>
<li>review date</li>
<li>date of final review and discharge by principal/partner.</li>
</ul>
</div>
<div>
<br /></div>
<div>
The implications of providing undertakings must be communicated to all professional staff. The policy and procedure should be included in the practice's induction training program.<br />
<br />
In the next post I will discuss the engagement policy that a legal practice should develop and maintain under the LAW 9000 standard.</div><div><br /></div><div>For cost effective financial agreements - prenups and postnups - visit <a href="https://www.crystallawyers.com.au/financial-agreement-bfa" target="_blank">www.crystallawyers.com.au</a>.</div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-20556972359758751022014-03-18T00:20:00.000+08:002018-06-02T17:38:42.668+08:00Are you the master or the slave of your legal practice document management system?Have you ever spent more time than you thought you should have searching for the right information to complete a task? Have you ever looked for a document which was labelled incorrectly or filed in the wrong client's file?<br />
<br />
Searching for information which should have been within an easy reach is frustrating, inefficient and a waste of time.<br />
<br />
Mastering the information chaos of your paper based or computerised document management system is not rocket science. It is actually achievable through the design and implementation of document and record control procedures.<br />
<br />
I already discussed the document control procedure in my previous post. Now I turn to the LAW 9000 requirement for a records control procedure.<br />
<br />
<h3>
<b>Definitions</b></h3>
<div>
<b><br /></b></div>
<div>
<b><i><span style="color: #073763;">Records</span></i></b> - in the context of a legal practice include client communications, feedback, purchasing, corrective action reports, staff training, audits, meeting minutes, trust account, insurance, computer system backups and other internal and external records.</div>
<br />
<h3>
Compliance requirements</h3>
<div>
<br /></div>
Besides being a good business practice records control is a mandatory requirement under your legal profession legislation.<br />
<br />
For example under the Western Australian <i>Legal Profession Act 2008</i> trust records must be kept in permanent form which means printed or capable of being printed. Where a legal practice maintains a computerised accounting system it will be necessary to ensure that a backup copy of all records is kept in a separate location.<br />
<br />
The Regulations prescribe time frames:<br />
<br />
<ul>
<li>within 15 working days after the end of the month trust records are to be printed</li>
</ul>
<ul>
<li>backup copies of trust records are to be made not less frequently than once a month</li>
</ul>
<ul>
<li>trust account receipts must be recorded within 5 working days</li>
</ul>
<ul>
<li>trust account payments must be recorded within 5 working days</li>
</ul>
<ul>
<li>trust account receipts payments or transfers must be recorded in the trust ledger accounts within 5 working days</li>
</ul>
<ul>
<li>reconciliation of trust records must be prepared within 15 working days after the end of the month</li>
</ul>
<ul>
<li>written notification to the Legal Practice Board of the establishment or closure of a trust account must be within 14 days.</li>
</ul>
<br />
Your legal practice should also comply with the identification, storage and retention requirements for your trust account and other records.<br />
<br />
Unless you have a records control procedure communicated to all, is reinforced and records are audited regularly it would be hard to imagine that you are the master of your practice's information chaos.<br />
<br />
<br />
<h3>
<b>Hints on drafting a records control procedure</b></h3>
<div>
<b><br /></b></div>
You may find it useful having the answers to the following questions handy before drafting a document control procedure:<br />
<ul>
<li>Have you identified your quality records? These are the records you need to control. See examples in the enclosed procedure.</li>
<li>Do you have a method for collecting, indexing, accessing, filing, storing, maintaining, and disposing of your internal and external quality records?</li>
<li>Who ensures that records are maintained in your practice?</li>
<li>How do you ensure that records can be traced and located quickly?</li>
<li>If you are storing records externally do you have a written process about controlling and accessing those records?</li>
</ul>
<br />
For an example of a document control procedure see the embedded procedure below. <br />
<br />
<iframe src="//www.slideshare.net/slideshow/embed_code/key/3ioHE9QpOpZm0F" width="668" height="714" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" style="border:1px solid #CCC; border-width:1px; margin-bottom:5px; max-width: 100%;" allowfullscreen> </iframe> <div style="margin-bottom:5px"> <strong> <a href="//www.slideshare.net/valantoff/document-control-procedure-for-legal-practices" title="Document control procedure for legal practices" target="_blank">Document control procedure for legal practices</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> </div> <br />
<div>
<br /></div>
In the next post I will discuss further the requirements for records control under the LAW 9000 standard with emphasis on pre-engagement communication records.<br />
<div>
<br /></div>
<div>
<br /></div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-54087502449188982952014-03-16T12:19:00.002+08:002018-06-02T17:41:52.517+08:00Document control is fundamental to any efficient legal practice. How do you control the currency, accuracy and distribution of your corporate knowledge?Document control is one of the most important elements of any quality management system. It is essential for the management of information in any legal practice, including practices that don't have the resources to develop and maintain a fully fledged QMS.<br />
<br />
Have you or your lawyers or support staff ever tried to locate a document and only succeeded after a long search, used a document not authorised for use or that had been superseded by a newer version, followed the wrong process because a procedure was never drafted and your good intentions were not enough to do the job correctly?<br />
<br />
Without a document control procedure it is arguable that your legal practice can provide its staff with reliable information.<br />
<br />
To aid in the understanding of this subject I have defined several terms:<br />
<br />
<b><i><span style="color: #38761d;">Information</span></i></b><br />
In the legal practice context information includes internal documents such as policies, procedures, working instructions, office documents, forms and templates, precedents, standard contracts and agreements and external documents such as equipment manuals, reference texts, legislation and any other internal and external documentation used in the provision of client services.<br />
<br />
<b><span style="color: #0b5394;"><i>Document control</i></span></b><br />
It is governing document quality and involves methods for controlling the currency, accuracy and distribution of your corporate knowledge. It also involves the control of documents of external origin.<br />
<div>
<br /></div>
<div>
<i><span style="color: #783f04;"><b>Records Control</b></span></i><br />
<div>
It is identifying, storing, protecting, retrieving and disposing of records. Records in the context of a legal practice include client communications, feedback, purchasing, corrective action reports, staff training, audits, meeting minutes, trust account, insurance and other internal and external records.</div>
<div>
<br /></div>
<div>
To distinguish between documents and records for the purposes of the above definitions here is an example.</div>
<div>
<br /></div>
<div>
A client questionnaire is managed by a document control procedure. When the questionnaire is completed by your client it becomes a record and it is then managed by the records control procedure.</div>
<div>
<br /></div>
<div>
<b>Hints on how to draft a document control procedure</b></div>
<div>
<b><br /></b></div>
<div>
Before drafting your document control procedure answer the following questions.</div>
<div>
<ul>
<li>Where do you store your documents? For example in paper files or online.</li>
<li>What is the <a href="http://valantoff.blogspot.com.au/2014/03/what-are-general-and-documentation.html" target="_blank">process</a> of authorising the development and release of new policies, procedures, precedents, working instructions etc?</li>
<li>What is your <a href="http://valantoff.blogspot.com.au/2014/03/what-are-general-and-documentation.html" target="_blank">process</a> for review, update and release of existing policies, procedures, precedents, working instructions etc?</li>
<li>How do you ensure that all of your documentation is current?</li>
<li>How do you ensure that only the current version of a document is available and all previous version have been archived/obsoleted?</li>
<li>How do you ensure that all of your reference texts, legislation and other external documents are up to date?</li>
<li>How do you ensure that your documents are available to staff when they need them?</li>
<li>Do you have a process in place which ensures that any new documents and changes to existing documents are communicated to staff? How do you know that staff have received and read the communication about such documents?</li>
</ul>
One of the hardest elements of document control is maintaining an up to date list with all of your practice's documents. There are two things which you can do to help this process.<br />
<br />
1) Have the following information inserted on each document:<br />
<ul>
<li>Issue date</li>
<li>Author</li>
<li>Approver</li>
<li>Review date.</li>
</ul>
2) Create a master index of all your documents.<br />
<br />
The number of documents in any legal practice, no matter how big, is significant. You may find it easier to group your documents in several master indexes. You may have one master index of precedents for each area of law, another one for HR, a third one for your accounts etc.<br />
<br />
In the days of paper based master indexes each document had its own unique identifier. Today, electronic document management systems such as SharePoint use your documents names as unique identifier.<br />
<br />
Here is a sample of a paper based probate documents master index. You will be pleased to know that if you are already using an electronic document management system you won't have to allocate resources for the maintenance of your master indexes, they will update automatically every time you include a new document or update an existing one.<br />
<br />
<iframe src="//www.slideshare.net/slideshow/embed_code/key/rtc2uUhnUlh8gO" width="595" height="485" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" style="border:1px solid #CCC; border-width:1px; margin-bottom:5px; max-width: 100%;" allowfullscreen> </iframe> <div style="margin-bottom:5px"> <strong> <a href="//www.slideshare.net/valantoff/sample-master-index-of-documents" title="Sample Probate Documents Master Index" target="_blank">Sample Probate Documents Master Index</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> </div>
<br />
<ul>
</ul>
<br />
Here is an example of a document control procedure for legal practices.</div>
</div>
<div>
<br /></div>
<iframe src="//www.slideshare.net/slideshow/embed_code/key/3ioHE9QpOpZm0F" width="668" height="714" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" style="border:1px solid #CCC; border-width:1px; margin-bottom:5px; max-width: 100%;" allowfullscreen> </iframe> <div style="margin-bottom:5px"> <strong> <a href="//www.slideshare.net/valantoff/document-control-procedure-for-legal-practices" title="Document control procedure for legal practices" target="_blank">Document control procedure for legal practices</a> </strong> from <strong><a href="https://www.slideshare.net/valantoff" target="_blank">Val Antoff</a></strong> </div>
<br />
<div>
<br />
In the next post I will discuss the requirement of the LAW 9000 standard for records control.</div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com1tag:blogger.com,1999:blog-5782597960294695983.post-9034646355991431252014-03-15T10:35:00.000+08:002014-05-17T10:59:25.537+08:00Your law firm processes are only rumours about how you do things if you haven't documented them<span style="font-family: Verdana, sans-serif;">Previously I gave <a href="http://valantoff.blogspot.com.au/2014/03/what-are-general-and-documentation.html" target="_blank">definitions of terms</a> such as policy, process, procedure and working instruction used to describe the elements of the quality management system.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">It may be obvious but it should be emphasised that all of your policies and supporting documentation that will help you put your policies into effect must be documented.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">The second principle is that you should "say what you do and do what you say". It is of no use having a pile of policies and procedures which don't reflect what you do in your firm. Your quality management system is not a wish list of what should or might be done, it is what you do now.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">With the above two principles in mind I now turn to the quality manual as a requirement of your QMS.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">The <a href="http://valantoff.blogspot.com.au/2014/03/what-are-general-and-documentation.html" target="_blank">quality manual </a>is a collection of all your policies, procedures, work instructions and requirements of the QMS and describes the interactions between the processes.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span><b><span style="font-family: Verdana, sans-serif;">Requirements under the LAW 9000 standard</span></b><br />
<b><span style="font-family: Verdana, sans-serif;"><br /></span></b>
<span style="font-family: Verdana, sans-serif;">
The quality manual should include:</span><br />
<ul>
<li><span style="font-family: Verdana, sans-serif;">the scope of your QMS - since all activities performed within your practice will affect the quality of service delivery no activities should be excluded from the scope</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">all your policies and procedures or reference to where they can be found</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">a description of the interaction between the processes of your QMS.</span></li>
</ul>
<br />
<br />
<span style="font-family: Verdana, sans-serif;">All of your policies and procedures form part of your QMS so they all should be included or referenced in your quality manual.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">I have enclosed an example of a quality manual establishing procedure</span>.<br />
<br />
<iframe allowfullscreen="" frameborder="0" height="511" marginheight="0" marginwidth="0" scrolling="no" src="http://www.slideshare.net/slideshow/embed_code/32333869" style="border-width: 1px 1px 0; border: 1px solid #CCC; margin-bottom: 5px; max-width: 100%;" width="100%"> </iframe> <br />
<div style="margin-bottom: 5px;">
<br />
<span style="font-family: Verdana, sans-serif;">In the next post I will cover the requirement of the standard to control the documents of your QMS.</span></div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-74826218304897660022014-03-13T08:56:00.000+08:002018-06-02T17:46:32.610+08:00Compiling a list of quality goals is easy, just recall all the promises that you have made to yourself, your clients and staff<span style="font-family: "verdana" , sans-serif;">Previously I covered the requirement of the LAW 9000 standard for having a quality
policy as part of your QMS.</span><br />
<span style="font-family: "verdana" , sans-serif;"><br /></span>
<span style="font-family: "verdana" , sans-serif;">Now you need to plan for your quality goals that should address your priorities,
your business intentions and your contractual obligations. Your business plan would
have most likely addressed such goals under the heading "Operational objectives" or
a similar heading. </span><br />
<span style="font-family: "verdana" , sans-serif;"><br /></span>
<span style="font-family: "verdana" , sans-serif;">Irrespective of whether you have already defined your quality objectives you should, when implementing your quality management system, review the current objectives. A review will establish if they still apply and help you determine what the quality management system distinctive goals are for its performance, such as:</span><br />
<br />
<ul>
<li><span style="font-family: "verdana" , sans-serif;">Addressing corrective actions within a defined period of time</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Providing quality system induction training to lawyers and staff</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Conducting file reviews according to scheduled timeframes.</span></li>
</ul>
<br />
<span style="font-family: "verdana" , sans-serif;"><b>Things to consider when drafting your quality objectives procedure</b></span><br />
<ul>
<li><span style="font-family: "verdana" , sans-serif;">When do you develop your quality objectives? For example it could be at your annual strategic planning meeting.</span></li>
<li><span style="font-family: "verdana" , sans-serif;">What are the business areas that the quality goals aim to sustain and improve? These may include administration, management, personnel, purchasing and procurement, client management and others.</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Are your objectives measurable? Are they suitable for measuring KPIs?</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Do you have a process in place for reviewing and updating of your quality objectives? Quality objectives may change over time and you need to monitor those to continually improve your services.</span></li>
</ul>
<br />
<span style="font-family: "verdana" , sans-serif;"><b>Examples of quality objectives</b></span><br />
<ul>
<li><span style="font-family: "verdana" , sans-serif;">To provide clients with a unique service experience</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To build relationships so our clients are comfortable communicating issues</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To provide prompt, practical and easy-to-understand advice</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To help our clients achieve their goals and objectives without unnecessary costs and delays</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To handle client correspondence promptly upon receipt</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To aggressively and tenaciously protect our clients</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Provide mentoring and training of junior legal professionals</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Ensure all staff know of our firm's policies and procedures</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To provide clear and prompt bills to clients</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To increase productivity</span></li>
<li><span style="font-family: "verdana" , sans-serif;">To share firm expertise and experience throughout the organisation</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Improving compliance with external requirements</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Reduce the number of client complaints</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Improve levels of staff satisfaction</span></li>
<li><span style="font-family: "verdana" , sans-serif;">Improve levels of client satisfaction.</span></li>
</ul>
<br />
<span style="font-family: "verdana" , sans-serif;">This list is only a small sample of the vast array of quality objectives you can set for your firm.</span><br />
<span style="font-family: "verdana" , sans-serif;">Remember when planning your list of quality objectives that they should support your quality policy and mission statement. Support staff are often at the front line of client service so ensure that they are included in the planning of your quality objectives.</span><br />
<span style="font-family: "verdana" , sans-serif;"><br /></span>
<span style="font-family: "verdana" , sans-serif;">For an example of a client service standard see the web pages of <a href="http://www.stewartmckelvey.com/en/home/whoweare/servicefirst.aspx" target="_blank"><b>Stewart McKelvey law firm</b></a>.</span><br />
<span style="font-family: "verdana" , sans-serif;"><br /></span>
<span style="font-family: "verdana" , sans-serif;">Next I will cover the requirement of the standard for having a quality manual.</span>Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-29215975101934505692014-03-10T00:42:00.000+08:002014-05-17T11:28:30.689+08:00Is superior quality service a way of life at your law firm?<span style="font-family: Verdana, sans-serif;">I guess that like most lawyers you believe that you are doing a</span><span style="font-family: Verdana, sans-serif;"> good job at delivering a good quality client service.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">But unless you have stated and communicated your quality policy and quality objectives to staff and clients you may be only preaching what you should practice.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">In the LAW 9000 standard words about quality service alone are meaningless. They have to be backed up by your commitment to action. </span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">The question you should ask yourself is: "What evidence do I have to show that I really deliver a superior quality service to my clients?"</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">The starting point is to state what you and your organisation stand for. The quality policy should reflect the overarching commitment of your organisation to comply and improve your QMS and to set up and review your quality objectives. The quality policy is a great place to </span><span style="font-family: Verdana, sans-serif;">state your mission, vision and values.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span><span style="font-family: Verdana, sans-serif;"><b>Quality policy - practical hints</b></span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span><span style="font-family: Verdana, sans-serif;">Your quality policy should include:</span><br />
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<ul>
<li><span style="font-family: Verdana, sans-serif;">a commitment to comply with requirements</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">a commitment to improve the effectiveness of the QMS</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">a commitment to set up and review your quality objectives</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">the firm’s ‘mission, vision and values statement’</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">a commitment to meeting client requirements</span><span style="font-family: Verdana, sans-serif;"> </span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">an image the practice wants to convey to your clients</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">staff characteristics and how the practice treats staff</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">quality or legal goals</span></li>
</ul>
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<li><span style="font-family: Verdana, sans-serif;">a description of the work that the practice undertakes.</span></li>
</ul>
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Your firm should also have a process:</div>
<ul>
<li><span style="font-family: Verdana, sans-serif;"><span style="line-height: 21px;">To review periodically the quality policy to keep it current</span></span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;"><span style="line-height: 21px;">About how the quality policy is communicated to staff and clients.</span></span></li>
</ul>
<div>
<span style="font-family: Verdana, sans-serif;"><span style="line-height: 21px;"><br /></span></span></div>
<span style="font-family: Verdana, sans-serif;"><span style="line-height: 21px;"><b>An example of a procedure about your quality policy</b></span><span style="line-height: 21px;"><br /></span></span><br />
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<span style="font-family: Verdana, sans-serif;"><b style="color: #4f81bd;">1. Purpose</b></span></div>
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<span style="font-family: Verdana, sans-serif;">To define our firm's quality policy.</span></div>
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<b style="color: #4f81bd;"><span style="font-family: Verdana, sans-serif;">2. Scope</span></b></div>
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<span style="font-family: Verdana, sans-serif;">This section covers the overall intentions and direction of our firm as they relate to quality and as expressed by management.</span></div>
<div style="line-height: 16.796875px; margin-bottom: 17px; padding: 0px;">
<b style="color: #4f81bd; line-height: normal;"><span style="font-family: Verdana, sans-serif;">3. Example of a Quality Policy</span></b></div>
<span style="font-family: Verdana, sans-serif;">State the firm vision, mission and values</span><span style="font-family: Verdana, sans-serif;"> to guide and drive the organisation towards its goals.</span><br />
<span style="font-family: Verdana, sans-serif;">The [name of firm] is committed, at all levels of the company, to total customer satisfaction. To meet this commitment, we provide products and services that fulfil customer expectations, and provide quality at levels greater than that available from any of our competitors at a competitive cost. Our quality management system is based on the International Standard LAW 9000, and we are fully committed to continually improve the effectiveness of our system with constant top management review and oversight. This level of attention is complemented by formal management reviews, internal audits, extensive training, and an aggressive corrective and preventive action program that includes cross-functional teams for root-cause analysis and problem resolution. To ensure the integrity of our system, quantitative quality objectives based on operational metrics are established, monitored, measured, and reviewed by lawyers held accountable for their results. In addition, all of our employees are thoroughly trained in quality management methods and are supplied with the resources required to ensure that such methods are effective. At [firm name], business objectives and quality objectives are synonymous.</span><br />
<span style="font-family: Verdana, sans-serif;">Signed:</span><br />
<span style="font-family: Verdana, sans-serif;">Dated:</span><br />
<span style="font-family: Verdana, sans-serif;"><br /> </span><b style="color: #4f81bd;"><span style="font-family: Verdana, sans-serif;">4. Review of Quality Policy</span></b><br />
<b style="color: #4f81bd;"><span style="font-family: Verdana, sans-serif;"><br /></span></b>
<span style="font-family: Verdana, sans-serif;">This quality policy is appropriate for our firm and consistent with our overall business <span style="margin: 0px; padding: 0px; text-align: justify;">policies and shall be reviewed on an on-going basis to </span><span style="margin: 0px; padding: 0px; text-align: justify;">ensure its continuing suitability.</span></span><br />
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<b style="color: #4f81bd; line-height: normal;"><span style="font-family: Verdana, sans-serif;">5. Communication of Quality Policy</span></b></div>
<span style="font-family: Verdana, sans-serif;">The firm shall ensure this policy is communicated and understood by all levels within the organisation by providing training sessions and by conducting internal quality audits under this quality manual.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span></div>
<div>
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">In the next post I will discuss the quality objectives and give an example of a procedure that will assist you to establish objectives which are measurable and consistent with your quality policy.</span></div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-60277025213516757672014-03-07T00:46:00.000+08:002014-05-17T18:17:59.251+08:00Management commitment to quality - an essential component of any QMS<span style="font-family: Verdana, sans-serif;">Previously I summarised the general and documentation requirements of a quality management system for law firms under the LAW 9000 standard.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">In this and the following posts I will dissect each requirement and provide examples.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;"><b>Management commitment - an essential requirement</b></span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">I want to make sure that all law firm directors and partners understand the following. If you think that you can develop, implement and maintain a quality management system for your firm by delegating all responsibility to someone within your firm or to an external consultant without your full commitment than you may forget about it. It isn't going happen.</span><br />
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<span style="font-family: Verdana, sans-serif;">The standard recognises the importance of senior management providing commitment and guidance. This is expressed in the requirement for evidence of such commitment under clause 5 of the standard titled "Management Commitment".</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">Now we have established that you must be fully committed to the implementation and maintenance of your QMS I will set out what you need to complete to show sufficient evidence of commitment.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;"><b>Definitions</b></span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">Staff - includes both professional and administrative staff.</span><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<b><span style="font-family: Verdana, sans-serif;">Practical guide to demonstrating management commitment </span></b><br />
<span style="font-family: Verdana, sans-serif;"><br /></span>
<span style="font-family: Verdana, sans-serif;">The following are the minimum requirements you need to meet to show your commitment to the QMS:</span><br />
<br />
<ul>
<li><span style="font-family: Verdana, sans-serif;">You need to communicate to the firm the importance of meeting client needs and all statutory and regulatory requirements. <b>Tip: </b>Communicate the importance of meeting your client needs and statutory requirements by including them as a standard clause in your employment contract. Ensure that when training staff this requirement is regularly reinforced.</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">You need to draft and communicate your quality policy to staff and clients. <b>Tip</b>: This policy should reflect the management's commitment to quality. The quality policy must include a commitment to comply with the QMS and to continually improve it. The policy should also include </span><span style="font-family: Verdana, sans-serif;">your firm's mission, vision and values. The policy should be communicated to staff and clients. </span><span style="font-family: Verdana, sans-serif;">More details in later posts.</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">Establish your quality objectives and communicate them to your staff and clients. <b>Tip:</b> If you want to improve your service and increase the level of client satisfaction, reduce the number of complaints, train your staff so they can better serve the clients' needs and consequently increase the level of staff satisfaction than just include them in your quality objectives list. More details about the quality objectives will follow.</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">Ensure that you have a regular schedule for reviewing your QMS and the schedule is communicated to staff. <b>Tip:</b> Only implementing your QMS cannot demonstrate your commitment to quality. What you need to show is that you are reviewing your QMS regularly and assessing the need for changes to the QMS and reviewing your quality policy and quality objectives. The review of the QMS can take place at a special QMS yearly review meeting or be included as an agenda item on any of your other regular business meetings.</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">You need to ensure that you can provide the resources needed for the implementation and maintenance of the QMS and its continual improvement. <b>Tip:</b> Part of the QMS review process in the previous paragraph must include also a review of the resources needed by the practice for the maintenance of the QMS. Before embarking on the quality journey ask yourself: Do I have the people, suppliers, information, infrastructure, technology, work environment and money required for implementing and maintaining the QMS? Am I prepared to fill in any resources related gaps?</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">You must encourage competent work practices and avoidance of negligence</span><span style="font-family: Verdana, sans-serif;">.</span></li>
</ul>
<ul>
<li><span style="font-family: Verdana, sans-serif;">The management of the firm must ensure that the client's requirements are met to enhance customer satisfaction. <b>Tip:</b> You might meet the client's requirements only if you review the client's instructions in the context of the practice's capabilities. You need to determine the client's requirements and then prepare a working plan (project management plan) for the client's matter. This requirement can be satisfied by ensuring that a robust system for supervision of matter files is in place. I will post more details about this requirement later.</span></li>
</ul>
<div>
<span style="font-family: Verdana, sans-serif;">By now you would have seen that a management team committed to the development and continuing improvement of the QMS is an essential component of the system. You would have noticed that the QMS is not about drafting a bundle of policies and procedures and storing them in a safe place. It is about communicating your commitment and making it seen and felt by staff and clients.</span></div>
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<span style="font-family: Verdana, sans-serif;"><br /></span></div>
<div>
<span style="font-family: Verdana, sans-serif;">I also hope that so far you would have considered none of the LAW 9000 </span><span style="font-family: Verdana, sans-serif;">requirements as outrageous. They are just good practice.</span></div>
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<span style="font-family: Verdana, sans-serif;"><br /></span></div>
<div>
<span style="font-family: Verdana, sans-serif;">In the next post I will provide more information about the quality policy and quality objectives.</span></div>
Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com0tag:blogger.com,1999:blog-5782597960294695983.post-58156947107687730082014-03-03T00:45:00.001+08:002018-06-02T17:45:29.086+08:00What are the general and documentation requirements of a quality management system for law firms?<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">Last week I put forward my arguments for implementing a quality management system (QMS) in every law firm.</span><br />
<div>
<span style="font-family: "verdana" , sans-serif;"><br style="background-color: white; color: #222222; line-height: 18px;" /></span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">This week I will summarise the general</span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;"> and documentation requirements of such a system.</span><br />
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<span style="font-family: "verdana" , sans-serif;"><br style="background-color: white; color: #222222; line-height: 18px;" /></span>
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">The term quality management system refers to the international LAW 9000 standard. It is a system because it is a </span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 20.390625px;">collection of business processes and their interactions needed to implement quality management.</span><br />
<span style="font-family: "verdana" , sans-serif;"><span style="color: #222222;"><span style="line-height: 20.390625px;"><br /></span></span>Next I have defined terms I will use often in my discussion of the QMS for law firms.</span><br />
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<h3>
<span style="font-family: "verdana" , sans-serif;"><span style="line-height: 20.390625px;"><span style="font-size: small;">Definitions</span></span></span></h3>
<i style="background-color: white; color: red; font-family: Verdana, sans-serif; line-height: 18px;">Quality</i><br />
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">“Quality is fitness for use“, the service should meet its specifications</span><br />
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<span style="color: #ffc000;"><span style="font-family: "verdana" , sans-serif;"><i>Quality Policy</i></span></span></div>
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<span style="font-family: "verdana" , sans-serif;">The quality policy is a general statement made by top management that it intends to achieve quality because of the firm's operation.</span></div>
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<span style="font-family: "verdana" , sans-serif;"><i><br /></i></span></div>
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<span style="color: #3366ff;"><span style="font-family: "verdana" , sans-serif;"><i>Process</i></span></span></div>
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<span style="font-family: "verdana" , sans-serif;">Activities, actions or functions designed to bring about a desired result.</span></div>
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<span style="font-family: "verdana" , sans-serif;"><i><br /></i></span></div>
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<span style="color: #33cc33;"><span style="font-family: "verdana" , sans-serif;"><i>Procedure</i></span></span></div>
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">The procedure documents the step-by-step detail for the process activities and actions that must be executed in the same manner in order to always obtain the same result under the same circumstances. They typically include what, when, where, and who should do the activity identified.</span><br />
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<span style="font-family: "verdana" , sans-serif;"><i><br /></i></span></div>
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<span style="color: #3366ff;"><span style="font-family: "verdana" , sans-serif;"><i>Work instruction</i></span></span></div>
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">Whilst a procedure documents the step-by-step detail for the process, a work instruction defines further details of one or several process step(s) that the business has put in place. Work instructions are for work performed in one area or function and typically tell you “how” to do the activity.</span><br />
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<span style="font-family: "verdana" , sans-serif;"><i><br /></i></span></div>
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<span style="color: red;"><span style="font-family: "verdana" , sans-serif;"><i>Quality Manual</i></span></span></div>
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<span style="font-family: "verdana" , sans-serif;">The quality manual outlines the policies, procedures, work instructions</span></div>
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<span style="font-family: "verdana" , sans-serif;">and requirements of the QMS and describes the interaction between the processes.</span></div>
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<span style="font-family: "verdana" , sans-serif;"><br /></span></div>
<br style="background-color: white; color: #222222; font-family: Arial, Tahoma, Helvetica, FreeSans, sans-serif; line-height: 18px;" />
<h3 style="background-color: white; color: #222222; font-family: Arial, Tahoma, Helvetica, FreeSans, sans-serif; margin: 0px; position: relative;">
<span style="font-family: "verdana" , sans-serif;"><span style="font-size: small;">General requirements of the quality management system</span></span></h3>
<div>
<span style="font-family: "verdana" , sans-serif;"><span style="font-size: small;"><br /></span></span></div>
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">The firm should:</span><br />
<ol><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">
<li style="margin: 0px 0px 0.25em; padding: 0px;">determine the processes needed for the QMS and their application</li>
<li style="margin: 0px 0px 0.25em; padding: 0px;">determine the sequence and interaction of those processes</li>
<li style="margin: 0px 0px 0.25em; padding: 0px;">identify and ensure control over any outsourced or subcontracted processes that affect the quality of goods or services</li>
<li style="margin: 0px 0px 0.25em; padding: 0px;">comply with all statutory requirements that apply to the provision of legal services and conduct of legal practitioners.</li>
</span></ol>
<span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">
</span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;"></span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;"><br /></span><span style="background-color: white; color: #222222; font-family: "verdana" , sans-serif; line-height: 18px;">I hope that the previous paragraph will make more sense when read in the context of the documentation requirements that follow.</span><br />
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<h3 style="background-color: white; color: #222222; font-family: Arial, Tahoma, Helvetica, FreeSans, sans-serif; margin: 0px; position: relative;">
<span style="font-family: "verdana" , sans-serif;"><span style="font-size: small;">Documentation requirements of the QMS</span></span></h3>
<div>
<span style="font-family: "verdana" , sans-serif;"><span style="font-size: small;"><br /></span></span></div>
<div style="background-color: white; color: #222222; font-family: Verdana, sans-serif; line-height: 18px;">
Earlier I referred to the QMS as a collection of processes which are activities, actions or functions designed to bring about a desired result (see the definition earlier on the page). Processes for management of activities, processes for provision of resources and processes for product realisation and measurement are all part of the QMS.</div>
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We saw in the definitions above that procedures and work instructions reflect your processes in writing. They are the bulk of the documents required by the LAW 9000 standard.</div>
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Below I have summarised of all the documents which must be included in the QMS for law firms:</div>
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<ul style="line-height: 1.4; margin: 0.5em 0px; padding: 0px 2.5em;">
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">documented statements of a quality policy and quality objectives</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">a quality manual - please see definition provided earlier</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">documented procedures required by LAW 9000 standard</span></li>
<ul style="line-height: 1.4; margin: 0.5em 0px; padding: 0px 2.5em;">
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Control of documents</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Control of records (of all types)</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Internal audits</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Control of nonconforming product</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Corrective action</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">Preventive action</span></li>
</ul>
</ul>
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<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">documents needed by the organization to ensure the effective planning, operation and control of its processes</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">records required by this standard</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">an engagement policy</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">a business plan</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">a risk management plan</span></li>
<li style="margin: 0px 0px 0.25em; padding: 0px;"><span style="font-family: "verdana" , sans-serif;">records as required by statutory or regulatory provisions applicable to the organization.</span></li>
</ul>
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<div>
<span style="font-family: "verdana" , sans-serif;">In the coming weeks I will discuss the importance of each QMS document and provide an example.</span><span style="background-color: transparent; font-family: "times new roman", serif; font-size: 12pt;"> </span></div>
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</script>Val Antoffhttp://www.blogger.com/profile/07620642222032071649noreply@blogger.com1Perth WA, Australia-31.9530044 115.85746930000005-33.6770629 113.27568230000004 -30.2289459 118.43925630000005tag:blogger.com,1999:blog-5782597960294695983.post-85394987987260560632014-03-01T14:34:00.001+08:002014-05-17T18:29:34.471+08:00"Appropriate management systems" for incorporated legal practices in Australia<h3>
<span style="font-family: Verdana, sans-serif;"><b><span style="line-height: 150%;">Does your law firm need a quality management
system?</span></b></span></h3>
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<span style="font-family: Verdana, sans-serif; line-height: 150%;">The number of incorporated legal practices (ILPs)
has been growing steadily since they were initially permitted in NSW in
1991. The Legal Profession Acts in various Australian States and Territories
require that legal practitioner directors of incorporated legal practices must
ensure that an "appropriate management system" is implemented and
maintained. For example see </span><a href="http://www.austlii.edu.au/au/legis/vic/consol_act/lpa2004179/s2.7.10.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
2.7.10(3</a><a href="http://www.austlii.edu.au/au/legis/vic/consol_act/lpa2004179/s2.7.10.html" style="font-family: Verdana, sans-serif; line-height: 150%;">)</a><span style="font-family: Verdana, sans-serif; line-height: 150%;"> of
the </span><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal Profession Act 2004</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (VIC), </span><a href="http://www.austlii.edu.au/au/legis/nsw/consol_act/lpa2004179/s140.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
140(3</a><a href="http://www.austlii.edu.au/au/legis/nsw/consol_act/lpa2004179/s140.html" style="font-family: Verdana, sans-serif; line-height: 150%;">)</a><span style="font-family: Verdana, sans-serif; line-height: 150%;"> of
the </span><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal Profession Act 2004</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (NSW), </span><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s105.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
105(3</a><a href="http://www.austlii.edu.au/au/legis/wa/consol_act/lpa2008179/s105.html" style="font-family: Verdana, sans-serif; line-height: 150%;">)</a><span style="font-family: Verdana, sans-serif; line-height: 150%;"> of </span><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal
Profession Act 2008</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (WA), </span><a href="http://www.austlii.edu.au/au/legis/nt/consol_act/lpa179/s125.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
125(3)</a><span style="font-family: Verdana, sans-serif; line-height: 150%;"> of the </span><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal Profession Act 2006</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (NT), </span><a href="http://www.austlii.edu.au/au/legis/qld/consol_act/lpa2007179/s117.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
117(3) </a><span style="font-family: Verdana, sans-serif; line-height: 150%;">of </span><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal Profession Act 2007</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (QLD) and </span><a href="http://www.austlii.edu.au/au/legis/act/consol_act/lpa2006179/s107.html" style="font-family: Verdana, sans-serif; line-height: 150%;">s
107(3)<i> </i></a><i style="font-family: Verdana, sans-serif; line-height: 150%;">Legal Profession Act 2006</i><span style="font-family: Verdana, sans-serif; line-height: 150%;"> (ACT).</span></div>
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<span style="font-family: Verdana, sans-serif;"><span style="line-height: 150%;">Failure to comply can amount to
professional misconduct. I do not intend to discuss the effectiveness of regulating incorporated legal practices. This is a matter for the
regulators.</span><span style="line-height: 150%;"><o:p></o:p></span></span></div>
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<br /></div>
<h3>
<b><span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">What is the solution?</span></span></b></h3>
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<span style="font-family: Verdana, sans-serif; line-height: 150%;">I am more interested in writing about
how a law firm can satisfy the current legislative requirements and implement
an "appropriate management system".</span></div>
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<span style="font-family: Verdana, sans-serif;"><span style="line-height: 150%;">The most suitable
solution is provided by the LAW 9000 Legal Best Practice internationally
recognised quality framework for law firms. LAW 9000 incorporates all the
requirements of ISO 9001 international standard and was developed by <a href="https://www.saiglobal.com/assurance/legal-best-practice/LAW9000.htm">SAI
Global</a>, College of Law, NSW Law Society and the NSW Legal Services
Commissioner.</span><span style="line-height: 150%;"><o:p></o:p></span></span></div>
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<br /></div>
<h3>
<b><span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">I am not a director of ILP. Why do I need to know
about quality management systems?</span></span></b></h3>
<div class="MsoNormal" style="line-height: 150%; margin-bottom: .0001pt; margin-bottom: 0cm;">
<span style="font-family: Verdana, sans-serif; line-height: 150%;">Running a law firm is a business and
every business must manage risk. Even if the law does not mandate that you
should implement and maintain a quality management system you may wish to:</span></div>
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</div>
<ul>
<li><span style="font-family: Verdana, sans-serif;"><span style="line-height: 150%; text-indent: -18pt;">p</span><span style="line-height: 150%; text-indent: -18pt;">rotect your reputation</span></span></li>
<li><span style="font-family: Verdana, sans-serif;">prevent loss by reducing and eventually eliminating malpractice claims </span></li>
<li><span style="font-family: Verdana, sans-serif;">lower operational costs </span></li>
<li><span style="font-family: Verdana, sans-serif;">improve efficiency </span></li>
<li><span style="font-family: Verdana, sans-serif;">achieve competitive advantage</span></li>
<li><span style="font-family: Verdana, sans-serif;">improve the quality of the working environment.</span></li>
</ul>
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</span><br />
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<span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">Implementing
a quality management system in your law firm should be the principal method
used for reducing risk and improving service quality.<o:p></o:p></span></span></div>
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<span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;"><br /></span></span></div>
<h3>
<b><span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">What
are the benefits of a quality management system?</span></span></b></h3>
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<span style="font-family: Verdana, sans-serif; line-height: 150%;">All of the advantages of
such a system may not be immediately obvious. The most commonly cited ones are
that a quality management system:</span></div>
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</div>
<ul>
<li><span style="font-family: Verdana, sans-serif;">identifies and encourages more efficient and time saving processes (essential for law firms offering fixed fee service)</span></li>
<li><span style="font-family: Verdana, sans-serif;">improves consistency in service delivery</span></li>
<li><span style="font-family: Verdana, sans-serif;">provides transparency which ensures improved risk management</span></li>
<li><span style="font-family: Verdana, sans-serif;">improves customer communication and reduces the number of customer complaints</span></li>
<li><span style="font-family: Verdana, sans-serif;">highlights deficiencies</span></li>
<li><span style="font-family: Verdana, sans-serif;">provides additional marketing opportunities</span></li>
<li><span style="font-family: Verdana, sans-serif;">helps to attract and retain high calibre talent</span></li>
<li><span style="font-family: Verdana, sans-serif;">helps to document all policies, procedures and working instructions.</span></li>
</ul>
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</span>
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<h3>
<b><span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">Next
week</span></span></b></h3>
<div class="MsoNormal" style="line-height: 150%;">
<span style="line-height: 150%;"><span style="font-family: Verdana, sans-serif;">I will discuss the general
and documentation requirements of a quality management system for your law firm.</span></span></div>
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