EXAMPLESOFDOCUMENTSTOBESUBMITTEDWITHTHEFIRM’SAPPLICATION

POLICY REGARDINGSTANDARDSFORPROFESSIONALCONDUCT

•It should bea firm’sdeclared policyto complywith the standards ofprofessional conductdefinedin the Code.

EXAMPLE

FIRM XYZ
POLICYFORSTANDARDSOFPROFESSIONALCONDUCT
AllsolicitorsinthisfirmwillabidebyTheLawSociety’sCodeofConduct.Allsolicitorsandother staff involvedin the provision of criminallegalassistance will abidebythe ScottishLegalAidBoard’s Codeof Practice.
(Thispolicyisincludedintheofficemanualwhichisgiventoeachmemberofstaffoncommencingemploymentwith the firm.)
Authorisedby:
………………………………….…………………….
<signature<date>
Doc.reference number.001Issue2/October 2007

PROCEDUREFORPERSONALWORKANDTIMERECORDING

TheCode requires:

•time spent on criminallegalassistance work, to be recorded to thenearest 5 minutes,showing:

Details ofworkdone

Link to casefiles

•time spent on on-criminallegalassistance activities, to be recorded to the nearest 5 minutes(nodetailsrequired)

•records to bekeptfor 3years

The procedure should address:

•how records of personalworkand timerecording are kept

•how personalrecords link to case files

•how records are held

NOTES: Youmight want to expand the non-chargeable codes to include training,annual leaveetc.Similarlythelist forchargeable work is not intended to be exhaustive.

EXAMPLE

CT / attendance atcourt / NC / non CLA work
WT / waitingatcourt / CA / clientadmin.
DI / dictating / FA / firmadmin.
TR / travel
CO / consultations
PH / phone calls
OTH / other
CT / attendance atcourt

APPENDIX 2AFIRM XYZ

DAILY TIMESHEET

DATE …………………………………………NAME ……………………………………………

Case/file no. / Client/witnessname / CLA?(Y/N) / Work code / Times
Start / End / Elapsed
CLA activities / NonCLAactivities
WORK CODES / attendance atcourt / CT / NonCLA work / NC
waitingatcourt / WT
dictating / DI
travel / TR
consultations / CO
phone calls / PH
other CLA / OTH

PROCEDUREFORCASERECORDING

TheCode requires:

•case files to contain records of allwork done

•records to bekeptfor 3years from payment oftheaccount.

The procedure should address:

•how caserecords are maintainedEXAMPLE

APPENDIX 3A

FIRM XYZFILE OPENING SHEET

CLIENT / File no.:
Date opened:
Last name: / Address:
Firstnames: / Changeaddress: / Solicitor handling:
Date of birth: / SLABapplicantidentifier: / Supervisor:
Telephone Nos.: / Date of firstappearance:
Home:Work: / Fax:Other:
Referralcode:
Case categorycode:

APPENDIX 3B

FIRM XYZATTENDANCE NOTE

Name ofmemberof staff/agent

Solicitor/unqualified(delete asappropriate)

Case file ref. no.

Instructionsreceived/work done

Start timeEnd timeDuration

Date

APPENDIX 3C

FIRM XYZFILE CLOSING SLIP

Client: / File No: / Feeearner:
Case Description:
DestroyDate:
6years / 12years / Never

Signed:…………………………………………..………………… Date:……………………………..

FINANCIALRECORDINGSYSTEM

TheCode requires:

•recordsof allfinancialtransactionswithcriminallegalassistanceclients to be maintained

•records to bekeptfor 3years

The procedure should address, for example:

•receivingA&Acontributionsfromclients

•makingpayments to witnesses(loss of earnings and travelexpenses)

•makingpayments to expertwitnesses(feesandoutlays)

•receivinglegal aid paymentsfrom SLAB

EXAMPLE

FIRM XYZFINANCIALRECORDING SYSTEM

Cashreceived from clients

Anyperson receivingcash or cheque payments shall complete a Cash EntryForm (seeappendix4A) and issueareceipt to theperson makingthe payment. The person whoraisedthe Cash EntryForm shall place acopyofit on thecase file.

The Cash EntryFormshall be passed to the cashier alongwith thecash orcheque.

The cashier shallbankallcashandchequeswithin24 hours of receiptand shall make anappropriateentryin thecasebook.

Monies paidout

A member ofstaffrequiringto makea paymentonbehalf ofthefirmshallcomplete aCheque RequestForm(appendix4B) andpass this to the cashier, keeping acopyon thecase file to which it relates. Detailsrecorded in the case book shall includecase reference,name of recipient,date of payment, natureof payment(loss of earnings,travel,fees oroutlays).Paymentsshallbe made onlyon production ofthe appropriate voucherorletterfrom theemployer.Paymentsto expert witnesses arenot normallymadeuntil payment forthat casehas been received fromSLAB, but will then bemadeimmediately.

The cashier shallraise thecheque and makethe appropriate entryin thecash book.

……………………………………………………………………………………….

<signature<date>

Doc.ref. 004

Issue 2/October 2007

APPENDIX 4A

FIRM XYZCASH ENTRY FORM

DATE:RECEIVEDBY(initials):

APPENDIX 4B

FIRM XYZCHEQUE REQUEST FORM

CLIENTNAME:

FILE REF.:

NARRATIVE:

PAYEE (as should appearon cheque):

AMOUNT:

DATE:

AUTHORISEDBY:

…………………………………………..(signature)………………………..(date)

CASHIERUSE ONLY:

PROCEDUREFOR TRAINING

TheCode requires that:

•staff areadequatelytrained

•trainingneeds are identified

•appropriate trainingis found andundertaken

•attendance atcourses is recorded

The procedure should address:

•how trainingneeds are identifiedandaddressed

•how records oftrainingare keptEXAMPLE

PROCEDUREFOR SUPERVISION OFSTAFF

TheCode requires:

•adequate supervision ofindividual solicitors’ work

•nominatedsolicitors to be responsible for alldelegate work

The procedure should address:

•how solicitors’ work is supervised

•how controlover delegatedwork is maintained

Everysolicitorrequiresalevelofsupervision;thiswillclearlyvaryaccordingtotheexperienceandskillofthesolicitor,butmuststillbepresentinsomeform.Thevariationismostlikelytobeachievedbyadjustingthefrequencyofsupervisorydiscussions.

EXAMPLE

Thementorshalloverseetheconductofcurrentcases,throughreviewoffilesanddiscussion,highlightingkeyissuesandanyotherareasofconcern.Thesereviewswillalsoserve to identifyanytrainingrequirements.

Mentorreviewsshallbe conductedatintervalsthatmayvaryinaccordancewiththemember of staff’slevelof experience.

Mentorreviewsshallbenotedonthesheetshownatappendix5Aandretainedbythementorandthememberofstaff.Anoteshallbeplacedonthecasefiletoindicatethatithasbeenreviewedand what the findingswere.

Aspartoforseparatelyfrommentorreviews,allcasesareliabletobeincludedinthecasereview as described in <……….>.

2.Supervision of staff bythe nominatedsolicitor.

Thenominatedsolicitorisheldresponsibleforallworkdoneonhis/hercriminallegalassistancecase.Thenominatedsolicitorshallthereforeensurethatdelegatedworkisadequatelydefined,and that the work is conducted in accordancewithinstructionsgiven.

Ifthenominatedsolicitorisdissatisfiedwiththeconductofanymemberofstaff,thematterwillberaisedwiththememberofstaffconcernedand,ifthesolicitorbelievesthatfurthertraining,oranyotheraction,isrequired,thiswillberaisedwiththeappropriatepartner/supervisor.

3.Supervision of peopleoutwith the firm.

Wherestaffoutwiththefirmareused,whetheronacontractoragency basis,thenominatedsolicitorshallensurethatdelegatedworkisadequatelydefinedandthattheworkisconductedinaccordancewithinstructionsgiven.Workisallocatedusingtheforminappendix6B.Thefirstpartofthisshallbecompletedby eitherthesolicitorortheagent,asrequiredbytheparticularcircumstances;therecordoftimespentontheworkshallbecompletedbytheagentbeforehereturnsthesheettothesolicitor.Thesolicitorshalladdcommentsasheconsidersnecessaryandthecompletedformshallbelodgedontheappropriatecasefile.

Criminallegalassistanceworkshall be delegatedonlyto other Registeredsolicitors.

Ifthenominatedsolicitorisdissatisfiedwiththeconductofanothersolicitororagent,thematter will be raisedwiththe member ofstaff concerned,and

Doc.ref. 006

Issue 2/October 2007

APPENDIX 6A

FIRM XYZMENTORREVIEWSHEET

Mentor NameMember ofstaffDate

Casesreviewed

Comments

Other topics

discussed

Trainingrequirementsidentified / Suitable courses?
Actionagreed(specify) / Who / Bywhen / Done?

APPENDIX 6B

FIRM XYZWORK ALLOCATIONSHEET

Case ref: / Clientname:
Description ofwork
Allocated to:
Date allocated: / Nominatedsolicitor
Record oftime spent on this work(to be completedbyagent)
Date / Start time / Finish time / Elapsed time
Total time taken

Commentsbynominatedsolicitor

PROCEDUREFOR DOCUMENTCONTROL

TheCode requires that:

•there is a system to ensure that the latest issueof eachkeydocument is alwaysavailablefor use

•changes to firm’s policies andprocedures areadequatelycontrolled

•documentation received from SLAB is handledandmaintained

The procedure should address:

•howdocuments receivedfrom SLAB arecontrolled

•how internalpoliciesandprocedures are controlledEXAMPLE

2.Documentsreceived from the ScottishLegalAidBoard

Thesecretaryresponsibleforopeningthemailshallforwardalldocumentsfrom theScottishLegalAidBoardasdescribedin(1)abovetotheCompliancePartnerwhowillensure that thelibraryis updated.

Thesecretaryshallalsosendamemotoallstaffinformingthemthatthedocumenthasbeenreceived. Whereappropriate,allpreviousversionsofthe documentshall bedestroyed.

3.Issue of documents which formpart ofthe System of ManagementandAdministration

3.1Initial issue

TheCompliancePartnerisresponsibleformaintainingamasterlistofallSystemofManagementandAdministrationdocumentsandforensuringthatanynewdocumentsrequiredare prepared inaccordance with this procedure.

Whentheneedforanewdocumentisidentified,theCompliancePartnershallbeinformedand the new document added to the master list.

Oncethenewdocumenthasbeendrafteditwillbecirculatedforcommentbyappropriatepeople,includingtheCompliancePartner.Allcommentsmustbesubmittedinwritingtothedocumentauthor.Revisedversionsshallbecirculateduntilallreviewersaresatisfiedwith the document. Anydisputeswill be resolvedat ameetingof partners.

Thenewdocumentwillbeissuedtoallrelevantstaff.Amastercopywillbeheldinthelibrary.

3.2Changes to documents

Anyoneinthefirmmaysuggestamendmenttoanyofthefirm’sdocumentation.SuchsuggestionsforamendmentsshouldbemadeontheInternalDocumentChangeRequest(IDCR) shownat appendix7A.

TheIDCRispassedtothesecretary,whorecordsitontheIDCRlogandpassesittotheCompliancePartnerforconsideration.TheIDCRwillbecirculatedtoappropriatepeople(thosewhoreviewedtheoriginaldocument)forcomment.Ifagreed,theupdateddocumentwillbeissuedinthenormalway.Allrecipientsshalldestroypreviousversionsofthereviseddocument.

Doc.ref. 007

Issue 2/October 2007

APPENDIX 7A

FIRM XYZINTERNALDOCUMENT CHANGE REQUEST

RequestNo. / Raisedby(name)
Number/title ofdocument/Procedureaffected
Description of changeRequested
Source of changerequest / legislationchange/complaint/externaladvice/internalsuggestion/other:
Date:
Potentialimpact/side effects
Consideredby:
On(date):
Decision: / Accept in fullAccept in partReject
Comments:
Confirmed: / Signature / Date
<title> / <name>
<title> / <name>
<title> / <name>
<title> / <name>

PROCEDUREFORCASEREVIEW

TheCode requires that:

•cases are conductedtimeously, effectivelyand in accordance with theCode

•there is aneffective diaryandfile checkingsystem

•there is effectiveco-ordination of staff involvedin a case

•a sample of cases is reviewed to verifycompliancewith theCode

The procedure should address:

•how casework is co-ordinatedandmonitored

•how currentandcompletedcasesarereviewed forcompliance with theCode

•howyouensure thatallfilesare reviewedandprogressed regularlyEXAMPLE

2.Review of current cases

TheseniorsecretaryshallcheckthediaryeveryFridayandextractthefilesrequiredforaction or review thefollowingWeek.

Onamonthlybasis,theCompliancePartnershallselectarandomsampleofthen%of<..>currentlycases,whicheveristhegreater,forchecking.He/shewillcheckthatallpracticeofproceduresarebeingfollowedinrelationtothecase,andthatsatisfactoryprogressisbeingmadewiththecaseandthattheissuesinvolvedarebeingcorrectlyidentifiedandhandled.Any shortcomingswillbenotedandthesolicitorresponsibleforthecasewillberequiredtotakeanynecessaryactionimmediately.Anotewillbeplacedonthefilerecordingthefactthatithasbeenreviewed,thefindingsofthereviewandwhatactionisrequired(evenifnone). Acopyofthis review shall be held on thecentral“File Review” file.

Eachsolicitorshallreviewallofhis/herfilesonarollingprogrammetoensurethateveryfilethathasnotbeenworkedoninthelasttwomonthsisidentified,reviewedandappropriateactiontaken.Arecordofsuchareviewshallbeenteredonthefile,indicatingwhatactionisrequired(evenifnone)andbywhom.Anysuchactionmustbetakenpromptly. Acopyofthereview record shall be placed on thecentral“FileReview” file.

3.Review of completedcases

Onamonthlybasis,theCompliancePartnershallselectarandomsampleofcriminallegalassistancecases.Thesamplesizeshallben%oftotalcases,or<..>cases,whicheveristhelarger.

TheCompliancePartner(oranotherpartnertowhomhemaydelegatesomecases)shallcheckthesecasesaredescribedin(2)aboveshallbeplacedonthefileandinthecentral“File Review” file.

Issuesarisingfromcasereviewwillbediscussedatthe<weekly/monthly>Practicemeetings.

Authorisedby:

………………………………….…………………….

<signature<date>

Doc.ref. 008

Issue 2/October 2007

PROCEDUREFOR CLIENT REPORTING

Purpose:

Toensurethataclient’sinstructionsarerecordedandthathe/sheiskeptadequatelyinformedofprogressthroughout the case.

Procedure:

1.ClientReporting

Initialinstructionsfromaclient,whetherreceivedbytelephone,letterorpersonalvisitshallberecordedonthe“FileAttendanceRecord”shownatappendix11andmaintainedwithinthecasefile.Anysubsequent changesshall besimilarlyrecorded.

2.ProgressReporting

Theclientshallbeadequatelyinformedofprogressandtheconsequenceofanydecisionhe/shenotifies to the solicitor. Frequencyofreportswilldepend on the particularcase.

Resultsofallmeetingswithclientshall bedocumentedandmaintainedinthecasefile.Allreasonablestepswillbetakentoensuremeetingsrequestedbycriminallegalassistanceclientsarenecessary.ThetermsoftheBoard’s taxation guidelinesshould beconsidered inschedulingandrecordingmeetingsandreportingtoclient.

3.Case Closure

attheendofthecasetheclientshallbeinformedoftheoutcomeandanyfurtheractiontheyshouldtake.Atthistimeanyoriginaldocumentsobtainedfromtheclientshallbereturned.Thefileshallbeclosed in accordance with the casereview systems alreadyset out in this document.

PROCEDUREFOR CORRECTIVEACTION

TheCode requires that:

appropriateaction is taken to dealwithcomplaintsandproblems

The procedure should address:

-howcomplains direct from clients aredealt with

-howcomplaints to theLawSocietyaredealt with

-howanyothercomplaints aredealt with

-hownotices ofNon-compliancereceivedfrom SLABaredealt with

-howproblems with thefirm’s System ofManagement and Administration aredealt with

NOTE: The followingprocedurerefers to theClient RelationsPartner and the Compliance Partner,youmightfind it convenience to combine theserolls.

Acopyofthecomplaint is passed to anyone else specificallynamed in thecomplaint.

TheClientRelationsPartnerwillthenconsiderthemeritsofthecomplaintanddiscussitwith anyperson named.

Any appropriate corrective action will then be taken in accordance with para.5.Ifappropriate,a written response shall be shall besent to the personwhoraised the complaint.

2.Complaintsaboutprofessionalconduct

whereacomplaintisreceivedfromTheLawSocietyandrelatestoprofessionalconduct,theproceduredescribedaboveshallbefollowed;awrittenresponseshallalwaysbesupplied.

3.NoticeofNonCompliancereceivedfromSLAB

NoticesofNonCompliancewiththeCodereceivedfromSLABwillbedealtwithbytheCompliance Partner andmust be recorded on theComplaintLogas in para.1.

Followingreview bytheCompliance Partner, hewill

  • investigate the issuesraisedanddiscusswith the appropriate people
  • inform SLAB oftheaction to betakenandtimetable forthat action
  • instigate corrective action asdescribedin para.5.

4.Problemswith the firm’sSystem of ManagementandAdministration

Problemswiththefirm’sSystemofManagementandAdministrationmaybeidentifiedfromanyoneofthe following:

  • notification ofanymemberofstaffto the Compliance Partner
  • case reviews
  • planned/ad hocreviews/”qualityaudits” carried out bythe Compliance AuditorsFollowinganysuchidentification ofa problem theCompliance Partner will
  • investigate the issuesraisedanddiscusswith the appropriate people
  • if appropriate,instigatecorrectiveactionas described in para.5

5.Corrective Action

Followingappropriateinvestigationanddiscussion,ifitisconsideredthatcorrectiveactionisrequiredforanyreason,theCompliancePartnerorClientRelationsPartnershallissueaCorrective Action Request (see appendix10B).

Doc.ref. 010

Issue 2/October 2007

APPENDIX 10A FIRMXYZCOMPLAINTSLOG

RefNo. / Date / From / Copied to / Outcome of discussion (include whodiscussedwith,date, decision on validity,action to be taken,bywhom andbywhen) / Responsetocomplaintsent / Furtheractionreq’d(Y/N) / Actioncomp.(Date)

SHEET REVIEWED BYON(date)

EXAMPLEDOCUMENT

APPENDIX 10B

FIRM XYZCORRECTIVE ACTION REQUEST

RequestNo.
Description ofcorrective actionrequested
Source of correctiveactionrequest / legislationchange/complaint/externaladvice/internalsuggestion/other:
Date requestraised:
Requestraisedby:
Personresponsible for takingthe action:
To be completedby(date)
Confirmation of actioncompletedandaccepted: / Signature / Date
Personresponsiblefor takingaction / <name>
Personraisingrequest / <name>

EXAMPLEDOCUMENT