Are your risk management tools at

your law firm working?

LAW 9000 is a quality management standard for law firms

Disclaimer

The material in this presentation does not constitute legal advice.This presentation has been produced by Val Antoff and has been prepared as general information about LAW 9000. It is not intended to provide legal advice and, as such, the content does not constitute legal advice. Use of this presentation does not create any solicitor-client relationship between the user and the author.

Protect your reputation Prevent loss by reducing and eventually eliminating malpractice claims Lower operational costs Improve efficiency Achieve competitive advantage Improve the quality of the working environment

Why do I need to manage risk?

A quality management system for Australian law firms Incorporates all requirements of ISO 9001 Developed by SAI Global, College of Law, NSW Law Society and NSW Legal Services Commissioner A primary risk management tool

What is LAW 9000?

Launched in 2004 Reviewed in 2010 Maintained by SAI Global Courses in LAW 9000 – College of Law

History of LAW 9000

Internationally recognised quality framework Identifies and encourages more efficient and time saving processes Improved consistency in service delivery Transparency ensures improved risk management Improved customer communication and less customer complaints Highlights deficiencies

What are the benefits of LAW 9000 for my law firm?

Marketing opportunities Turnkey solution for your expansion plans Helps to attract and retain high calibre talent Results in documented policies, procedures and working instructions

Benefits continued

The Legal Profession Act requires legal practitioner directors of incorporated legal practices to ensure that “appropriate management system” are implemented and maintained. Failure to comply can amount to professional misconduct E.g. see s 2.7.10(3) of the Legal Profession Act 2004 (VIC) , s 140(3) of the Legal Profession Act 2004 (NSW), s 105(3) of Legal Profession Act 2008 (WA), s 125(3) of the Legal Profession Act 2006 (NT), s 117(3) of Legal Profession Act 2007 (QLD), s 107(3) Legal Profession Act 2006 (ACT)

Requirements under the Legal Profession Act

Mitigate potential losses Reduced insurance premiums Reduced errors Increased client’s confidence and loyalty A requirement for some government tenders

Are there any financial incentives for implementing

LAW 9000?

Management system requirements Management responsibility Resource management Realisation of legal services Measurement analysis and improvement

What are the key requirements?

Define quality system documentation structure and its management Mandatory documentation required:

Quality policy and quality objectives A quality manual Documented procedures Records management An engagement policy A business plan A risk management plan

Quality management system requirements?

Management commitment Customer focus Quality policy Engagement policy Undertakings – see example Planning – objectives, business and risk management plan, financial systems and insurance Responsibility, authorities and communications Management review

Management Responsibility

Provision of resources Human resources Infrastructure Work environment

Resource Management

Planning of product realisation Conflict of interest Customer related processes

Customer communication Terms of engagement contract Working plan

Customer property – see example Termination of retainer Control of equipment

Realisation of legal services

Customer satisfaction Internal audits Measurement of processes and product Control of nonconforming product Analysis of data Improvement

Corrective action – see example Preventive action

Measurement, analysis and improvement

Stage 1 audit – a desktop audit to review and assess documentation and readiness of your management system for Stage 2 audit. Stage 2 audit – certification audit of approximately two days depending on the seize of the law firm. Certification valid for 3 years. Annual surveillance audits for evaluation of compliance. Re-certification before certificate expiration.

Certification

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