Developing law practice management systems

It's ironic: my consulting practice involves me advising clients on compliance and risk management frameworks and now I have to assess my own!

As an incorporated legal practice I must demonstrate to the Legal Services Commissioner that I have an appropriate management system which must include, as a minimum standard, policies, procedures and practices which are designed to ensure:

• competent work  practices to avoid negligence;
• effective, timely and courteous communication;
• the timely delivery, review and follow up of legal services to avoid delay;
• acceptable processes for liens and file transfers;
• a shared understanding and appropriate documentation from commencement through to termination of retainer covering costs disclosure, billing practices and termination of retainer;
• timely identification and resolution of conflicts of interest;
• safe and secure records management;
• timely compliance with undertakings, orders and rulings;
• the effective supervision of the practice and its staff; and
• avoidance of any failure to account for trust monies.

These ten requirements have become known as the ’10 commandments’.

When I left my former practice 3 years ago and set up a consulting company, legal practice rules did not permit Queensland solicitors to incorporate; they either practised individually or in partnership. So my consulting work was done through a company and my legal advice was done personally. But from 1 July 2007 the laws changed and my consulting company is now an incorporated legal practice.

The rules for incorporated legal practices require them to have "appropriate management systems" but partnerships do not have that requirement (yet).

In the 90's, in my previous firm (then 9 partners, 140 staff) I saw the need for quality practice management and through QIL we were certified under their program and I was active in spreading the word about the benefits of practice management for lawyers.

And I'd like to think that I've incorporated similar good practice management in my solo practice.

The QIL Code has now been replaced by LAW 9000 – Legal Best Practice as a standard which uses the internationally recognised ISO 9001 as its foundation.

The 10 commandments requirement is not a quality certification system. It does not appear to me to cover everything that a legal best practice system would cover.

But it is now argued that the quality management systems were weak on risk management.

I remember that my previous quality certification program was document intensive.

So I've decided to use this blog to chart my progress over the next 3 months as I map my current procedures against the 10 commandments and document any opportunities for improvement that I find as I go along.

I know there will be at least one issue I won't have to deal with: last time my criminal law partner did not like my suggestion that a client's blood sample should not be stored in an office fridge!