OfficeProceduresManual
June1,2016
Office Procedures Manual
March 2017
Index
©PaulWilkinsonConsulting2016
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OfficeProceduresManual
June1,2016
CONTENTS
N............................................................................................................................
IntroductionandObjectives...............................................................................................................................................................................................................................7
WelcometoSolicitors’OfficeProceduresManual.....................................................................................................................................................................7
Objectives......................................................................................................................................................................................................................................................................7
TheSolicitorsRegulationAuthority("SRA")...............................................................................................................................................................................................8
QualityPolicy..............................................................................................................................................................................................................................................................8
OfficeHours.................................................................................................................................................................................................................................................................8
YouandYourClient...................................................................................................................................................................9
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ClientCare.........................................................................................................................................................................................................................................................9
(Principle2)actingwithintegrity,....................................................................................................................................................................................................................9
(Principle3)withindependence,and..............................................................................................................................................................................................................9
(Principle4)actinginthebestinterestsofclients.....................................................................................................................................................................................9
Outcome1.1–Treatyourclientsfairly..........................................................................................................................................................................................................9
Outcome1.2–Provideservicestoyourclients...........................................................................................................................................................................................9
Outcome1.3–Whendecidingwhethertoact..............................................................................................................................................................................................9
1.1ClientCarePolicy...........................................................................................................................................................................................................................................10
AConfidentiality.....................................................................................................................................................................................................................................................10
BCommitment.........................................................................................................................................................................................................................................................10
CCourtesy..................................................................................................................................................................................................................................................................10
DCommunication..................................................................................................................................................................................................................................................10
P1-1ClientCareProcedure...............................................................................................................................................................................................................................11
P1-1ADealingwiththeClient.........................................................................................................................................................................................................................11
P1-1BArrangementswithClients.................................................................................................................................................................................................................12
P1-1CEstimateandCostsUpdate.................................................................................................................................................................................................................14
P1-1DResponsibilityandReview.................................................................................................................................................................................................................14
1.2ComplaintsHandling....................................................................................................................................................................................................................................14
P1-2ComplaintsHandlingProcedure..........................................................................................................................................................................................................14
P1-2AOurComplaintsPolicy..........................................................................................................................................................................................................................15
P1-2BOurComplaintsProcedure.................................................................................................................................................................................................................15
P1-2CWhatWillHappenNext........................................................................................................................................................................................................................15
P1-2DComplaintstotheLeO..........................................................................................................................................................................................................................16
P1-2EPuttingThingsRight..............................................................................................................................................................................................................................16
P1-2FDocumentation.........................................................................................................................................................................................................................................17
P1-2GProceduralReview.................................................................................................................................................................................................................................17
1.3One-OffAdvicePolicy...................................................................................................................................................................................................................................17
1.4ClientSatisfaction..........................................................................................................................................................................................................................................17
EqualityandDiversity........................................................................................................................................................................................................................................19
P2-1EqualityandDiversityProcedure........................................................................................................................................................................................................19
P2-1AIntroductionandScope........................................................................................................................................................................................................................19
P2-1BFormsofDiscrimination......................................................................................................................................................................................................................20
P2-1CDisabilityProvisions..............................................................................................................................................................................................................................20
P2-1DEnforcement.............................................................................................................................................................................................................................................20
P2-1EClients..........................................................................................................................................................................................................................................................20
P2-1FBarristersandOtherExperts.............................................................................................................................................................................................................21
P2-1GSuppliers....................................................................................................................................................................................................................................................21
P2-1HEmployment,Training,PromotionandPartnershipOpportunities..................................................................................................................................21
P2-1IPositiveAction..........................................................................................................................................................................................................................................21
P2-1JRecruitmentAgencies............................................................................................................................................................................................................................21
P2-1KOutsourcing...............................................................................................................................................................................................................................................22
P2-1LComplaintsofDiscrimination............................................................................................................................................................................................................22
P2-1MMonitoringandReview.......................................................................................................................................................................................................................22
ConflictsofInterest..............................................................................................................................................................................................................................................23
P3-1ConflictsofInterestProcedure.............................................................................................................................................................................................................23
ConfidentialityandDisclosure........................................................................................................................................................................................................................26
P4-1ConfidentialityandDisclosureProcedure........................................................................................................................................................................................26
YourClientandtheCourt..................................................................................................................................................................................................................................31
OurDutytotheClient..........................................................................................................................................................................................................................................31
OurDutytotheCourt..........................................................................................................................................................................................................................................31
YourClientandIntroductionstoThirdParties.......................................................................................................................................................................................34
P6-1IntroducingClientstoThirdPartiesProcedure.............................................................................................................................................................................34
ManagementofyourBusiness................................................................................................................................................36
ManagementofyourBusiness........................................................................................................................................................................................................................36
7.1 Managementstructure...........................................................................................................................................................................................................................36
COLPandCOFA......................................................................................................................................................................................................................................................39
RolesandResponsibilities.................................................................................................................................................................................................................................39
P7-1RolesandResponsibilities.........................................................................................................................................................................................................................40
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ManagementandOrganogram.......................................................................................................................................................................................................................43
PlaceofWork...........................................................................................................................................................................................................................................................43
7.2 Personnel......................................................................................................................................................................................................................................................43
P7-2RecruitmentProcedure..............................................................................................................................................................................................................................45
DeductionfromWages........................................................................................................................................................................................................................................47
Additionalstaffpolicies........................................................................................................................................................................................................................................47
P7-36DisciplinaryProcedure............................................................................................................................................................................................................................48
P7-39FlexibleWorkingProcedure..................................................................................................................................................................................................................50
P7-40HomeWorkingProcedure......................................................................................................................................................................................................................53
P7-41MaternityProcedure................................................................................................................................................................................................................................55
P7-42RetirementProcedure..............................................................................................................................................................................................................................60
P7-7EndofEmploymentProcedure...............................................................................................................................................................................................................61
P7-7AHandoverofWork-EndofEmployment.......................................................................................................................................................................................61
PerformanceManagement.................................................................................................................................................................................................................................61
TravelExpenses......................................................................................................................................................................................................................................................64
OtherExpenses........................................................................................................................................................................................................................................................65
Carinsurance...........................................................................................................................................................................................................................................................65
Timeofffordependents......................................................................................................................................................................................................................................65
Juryservice................................................................................................................................................................................................................................................................65
Illnessabsence.........................................................................................................................................................................................................................................................65
P7-4IllnessAbsenceProcedure.........................................................................................................................................................................................................................65
Dentalandmedicalappointments.................................................................................................................................................................................................................68
Grievance procedure............................................................................................................................................................................................................................................68
Privateproperty.....................................................................................................................................................................................................................................................68
InclementWeather...............................................................................................................................................................................................................................................69
AcceptanceofGifts................................................................................................................................................................................................................................................69
7.2.6DataProtection............................................................................................................................................................................................................................................71
ICODataProtectionRegistered......................................................................................................................................................................................................................71
ICOCodeofPracticeonCCTV..........................................................................................................................................................................................................................71
Trainingpolicy........................................................................................................................................................................................................................................................72
P7-5TrainingandDevelopmentProcedure................................................................................................................................................................................................72
Trainingplan...........................................................................................................................................................................................................................................................74
Supervision................................................................................................................................................................................................................................................................74
Appraisal....................................................................................................................................................................................................................................................................76
P7-6AppraisalProcedure...................................................................................................................................................................................................................................76
7.3 Officeetiquetteandbehaviour............................................................................................................................................................................................................79
P7-3StaffBenefitsProcedure............................................................................................................................................................................................................................79
P7-8DressProcedure............................................................................................................................................................................................................................................82
P7-38BuildingandOfficeEquipmentMaintenanceProcedure..........................................................................................................................................................84
7.4 HealthandSafety......................................................................................................................................................................................................................................85
P7-9HealthandSafetyProcedure...................................................................................................................................................................................................................86
7.5 Communication.........................................................................................................................................................................................................................................93
P7-10TelephoneCallsandVoicemailProcedure......................................................................................................................................................................................93
P7-11InternetAccessProcedure.....................................................................................................................................................................................................................95
P7-12WebsiteManagementProcedure........................................................................................................................................................................................................97
P7-13E-mailProcedure.....................................................................................................................................................................................................................................100
P7-14SocialMediaProcedure.........................................................................................................................................................................................................................105
P7-15FacsimileProcedure...............................................................................................................................................................................................................................109
P7-16PostProcedure..........................................................................................................................................................................................................................................110
P7-17InformationTechnologyProcedure.................................................................................................................................................................................................112
7.6 QualityStandards...................................................................................................................................................................................................................................114
CQS..............................................................................................................................................................................................................................................................................114
Lexcel6.0..................................................................................................................................................................................................................................................................114
LAASQM...................................................................................................................................................................................................................................................................115
ISO9001...................................................................................................................................................................................................................................................................115
IIP................................................................................................................................................................................................................................................................................115
WIQS..........................................................................................................................................................................................................................................................................116
7.7 Library.........................................................................................................................................................................................................................................................116
P7-18LegalResearchProcedure...................................................................................................................................................................................................................117
7.8 FileandCaseManagement.................................................................................................................................................................................................................118
P7-19TakingInstructionsProcedure..........................................................................................................................................................................................................118
P7-20OpeningClientFilesProcedure..........................................................................................................................................................................................................121
P7-21FileMaintenanceProcedure...............................................................................................................................................................................................................122
P7-22Counsel,AgentsandExpertsProcedure.........................................................................................................................................................................................124
P7-23FileReviewProcedure...........................................................................................................................................................................................................................125
P7-24FileClosureProcedure...........................................................................................................................................................................................................................126
P7-25StoringClosedClientFilesProcedure..............................................................................................................................................................................................131
IndexingandStoringDeeds..............................................................................................................................................................................................................................132
ArchivingandFileDestruction........................................................................................................................................................................................................................132
P7-26IndexingandStoringDeedsProcedure..........................................................................................................................................................................................132
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P7-27WillsProcedure........................................................................................................................................................................................................................................133
AchievingtheSRA'sOutcomes.......................................................................................................................................................................................................................133
P7-28ArchivingandFileDestructionProcedure....................................................................................................................................................................................136
7.9 RiskManagement....................................................................................................................................................................................................................................137
ProfessionalIndemnityInsurance(PII)Details.....................................................................................................................................................................................137
BusinessContinuityRisks.................................................................................................................................................................................................................................144
P7-29RiskAssessmentProcedure..................................................................................................................................................................................................................146
P7-30BusinessContinuityProcedure-TelephoneList..........................................................................................................................................................................148
7.10 FinanceandAccounting....................................................................................................................................................................................................................149
P7-31FinancialAnalysisProcedure.............................................................................................................................................................................................................150
7.11 Compliance.............................................................................................................................................................................................................................................155
P7-44ComplianceFailureProcedure...........................................................................................................................................................................................................156
P7-32Anti-MoneyLaunderingProcedure..................................................................................................................................................................................................161
P7-33BriberyActProcedure...........................................................................................................................................................................................................................167
P7-34CustomerDueDiligenceProcedure..................................................................................................................................................................................................169
P7-34ACustomerDueDiligence(CDD)......................................................................................................................................................................................................170
P7-35MortgageFraudProcedure.................................................................................................................................................................................................................171
7.11.9TheConsumerContractsRegulations2013.................................................................................................................................................................................174
P7-43ConsumerContractsRegulationsProcedure................................................................................................................................................................................174
7.12 Whistleblowing.....................................................................................................................................................................................................................................176
P7-37WhistleblowingProcedure..................................................................................................................................................................................................................177
7.13BogusFirms...................................................................................................................................................................................................................................................180
Publicity................................................................................................................................................................................181
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Publicity........................................................................................................................................................................................................................................................181
8.1 PublicityPolicy.........................................................................................................................................................................................................................................181
8.2 MarketingPlan........................................................................................................................................................................................................................................181
P8-1PublicityProcedure...................................................................................................................................................................................................................................181
FeeSharingandReferrals......................................................................................................................................................184
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FeeSharingandReferrals.....................................................................................................................................................................................................................184
9.1 TheFirmandYou....................................................................................................................................................................................................................................184
9.2 TheClient....................................................................................................................................................................................................................................................184
P9-1FeeSharingandReferralsProcedure................................................................................................................................................................................................184
YouandYourRegulator........................................................................................................................................................187
10 NotifyingRegulators.............................................................................................................................................................................................................................187
10.1 TheFirm'sResponsibilitiestoRegulators..................................................................................................................................................................................187
10.2 YourResponsibilitiestoRegulators..............................................................................................................................................................................................187
10.3 Trustees....................................................................................................................................................................................................................................................187
P10-1NotifyingRegulatorsProcedure........................................................................................................................................................................................................188
YouandOthers.....................................................................................................................................................................189
11 RelationswithThirdParties.............................................................................................................................................................................................................189
11.1 DealingswithThirdParties.............................................................................................................................................................................................................189
11.2 Undertakings.........................................................................................................................................................................................................................................189
11.3 Conveyancing.........................................................................................................................................................................................................................................190
1. CorporateSocialResponsibility...........................................................................................................................................................................................................190
2. SignpostingandReferralPolicy...........................................................................................................................................................................................................190
P11-1RelationswithThirdPartiesProcedure.........................................................................................................................................................................................191
P11-2UndertakingProcedure.........................................................................................................................................................................................................................191
P11-3ConveyancingProcedure......................................................................................................................................................................................................................194
P11-4CorporateSocialResponsibilityProcedure...................................................................................................................................................................................195
P11-5SignpostingandReferralProcedure................................................................................................................................................................................................196
12 SeparateBusinesses.............................................................................................................................................................................................................................197
12.1 OutsourcingPolicy...............................................................................................................................................................................................................................197
P12-1OutsourcingProcedure.........................................................................................................................................................................................................................198
P12-2PermittedSeparateBusinessesProcedure....................................................................................................................................................................................201
12.2 SeparateBusinessesConductingProhibitedSeparateBusinessActivities...................................................................................................................201
P12-2PermittedSeparateBusinessesProcedure....................................................................................................................................................................................202
12.3 PermittedSeparateBusinesses.......................................................................................................................................................................................................202
A1ReferenceSources......................................................................................................................................................................................................................................204
A2SRAMandatoryPrinciples......................................................................................................................................................................................................................204
A3SRACodeofConduct2011.....................................................................................................................................................................................................................204
A4Welcome.........................................................................................................................................................................................................................................................205
A5Disclaimer,CopyrightandTrademarks............................................................................................................................................................................................206
LawSocietySelfAssessmentLexcel6....................................................................................................................................208
1-Structureandstrategy......................................................................................................................................................211
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2-Financialmanagement......................................................................................................................................................212
3-Informationmanagement.................................................................................................................................................215
4-Peoplemanagement.........................................................................................................................................................219
5-Riskmanagement.............................................................................................................................................................224
6-Clientcare........................................................................................................................................................................231
7-Fileandcasemanagement...............................................................................................................................................236
RevisionHistory.................................................................................................................................................................................................................................................241
OrganogamManagementTheFirm......................................................................................................................................242
OrganogamDepartmentalTheFirm......................................................................................................................................243
F1-1Cl i ent Compl a i nt F orm..............................................................................................................................................250
F1-2Compl a i nt Management Form....................................................................................................................................252
F1-3Cl i ent Satisfaction Form..............................................................................................................................................255
F7-1Job Des c ri pti on Form.................................................................................................................................................257
F7-2Per s o n Spec i f i cati on Form.......................................................................................................................................259
F 7 - 3 I nducti on For m.........................................................................................................................................................260
F7-4Over ti me Request Form..............................................................................................................................................262
F7-5Hol i day Request Form.................................................................................................................................................263
F7-6Travel Expenses Form...................................................................................................................................................264
F7-7ExpensesClaimForm......................................................................................................................................................265
F 7 - 8 I l l ness Absence Form...............................................................................................................................................268
F7-9Trai ni ng Request Form................................................................................................................................................270
F7-10Trai ni ng Eval uati on Form.........................................................................................................................................272
F7-11Pr e-Appr ai sal Pr eparat i on Form..............................................................................................................................274
F7-11APr e-Appr ai sal Questi onnai r e - S a m p le .................................................................................................................275
F7-12AdministrationA p p ra is a l F o r m..............................................................................................................................276
F7-13Fee-Ear ner Appr ai sal Form.......................................................................................................................................279
F7-14Conveya nci ng Cl i ent I ns t ruct i on F ormCQS..........................................................................................................283
F7-15FileOpeningForm-General.........................................................................................................................................286
F7-15A File Op e n in g ID Ch e ck F o r m............................................................................................................................289
F7-16File Op e n in g Form - Conveyancing.........................................................................................................................290
F7-17FileOpeningForm–Commercial..................................................................................................................................294
F7-16FileOpeningForm-Conveyancing................................................................................................................................298
F7-18FileOpeningForm-Family...........................................................................................................................................304
F7-19FileOpeningForm–NewClientinFamily Proceedings.................................................................................................310
F7-20FileOpeningForm–LastingPowerofAttorney.............................................................................................................322
F7-21FileOpeningForm-Company.......................................................................................................................................326
F7-22FileOpeningForm-Probate.........................................................................................................................................328
F7-23FileOpeningForm–MakingaWill................................................................................................................................344
F7-24Fi l e Trans f er Form....................................................................................................................................................352
F7-25Fi l e Summar y Form..................................................................................................................................................353
F7-26Fi l e Revi ew Form-General.......................................................................................................................................354
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F7-27File Review Form – Con v e y a n cin g Purchase........................................................................................................357
F7-28File Review Form – Con v e y a n cin g Sale................................................................................................................362
F7-29Ri s k Assessm ent Form..............................................................................................................................................367
F7-29ANoti f i cati on of Ri sk Form.....................................................................................................................................372
F7-30Ri s k Management Anal ysi s - P u r c h a s e ..............................................................................................................373
F7-31Ri s k Management Anal ysi s – Sal e.........................................................................................................................374
F7-32Busi nes s Conti nui t y – Risk Matr i x........................................................................................................................375
F7-32ABusi nes s Conti nui t yCompletingRiskMatrix..........................................................................................................376
F7-33Cheque Requi s i t i on Form........................................................................................................................................378
F7-34Bi l l i ng Gui de Form – Hourl y..................................................................................................................................379
F7-35Acci dent Book Form..................................................................................................................................................381
F7-36Acci dent Book Form - V i s i t o r ...............................................................................................................................383
F7-35Acci dent Repor t Register...........................................................................................................................................385
F11-1Undert a ki ng Gi ven Form..........................................................................................................................................386
F11-2Undert a ki ng Di schar ged Form.................................................................................................................................387
F11-3Undert a ki ng Rec or ds Form......................................................................................................................................388
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