control of records procedure for legal practices

Control of Records Procedure for Legal Practices


LAW 9000 – Legal Best Practice

Clause 4.2.4 Control of records

1. Purpose

The objective of this procedure is to establish controls about identifying, collecting, indexing, accessing,

filing, storing, maintaining, and disposing of internal and external quality records in all areas of our

operations.

2. Scope

This procedure covers two main types of records:

Records related to the general conduct of the legal practice

Records related to the conduct of a matter or relationship with a client.

For a detailed list of quality records that [Practice Name] must maintain see Appendix 1.

3. Persons Affected

All professional and support staff.

4. Policy

It is our policy that full and accurate records of all activities and decisions of [Practice Name] are created,

managed and retained or disposed of appropriately and in accordance with relevant legislation.

5. Definitions

Records - include pre and post- engagement client communications, feedback, purchasing, corrective

action reports, staff training, audits, meeting minutes, trust account, insurance and other internal and

external records.

6. Responsibilities

Maintenance of records is the responsibility of each [name/position]. However, for the sake of continuity,

the LAW 9000 management representative maintains the records master list that is an online summary of

all core competency master lists and archiving lists. Lawyers have responsibility for maintaining matter

files and support staff are responsible for maintaining records of non-legal nature.

7. Procedure

a) Identifying quality records

The following types of records have been identified as quality records:

Pre-engagement communications

Insurance

1Issue Date: Author: Val AntoffRevision Date: Approved by: Val Antoff


Feedback from staff about the quality system

Management review meeting minutes

Customer feedback/complaints

Training register for both professional and support staff

Evidence that the realisation processes and resulting product fulfil requirements

Results of a review process and actions arising from the review

Acceptable suppliers and how the practice will monitor and review their performance

Purchase orders

Validation of processes for service provision

Monitoring and measurement of the matter file throughout the lifetime of the matter

Client's property that has been lost, damaged or otherwise found to be unsuitable for use

Results of calibration and verification of equipment in the office

Results of customer satisfaction and opinion polls

Results of internal audits and follow up actions

Nonconformities and subsequent actions taken to remedy the issue

Results of corrective action taken

Results of preventive action taken.

b) Legibility

The hard-copy quality records are typed for legibility whenever possible. Handwritten records are

discouraged but whenever unavoidable are written with permanent black or blue ink pens. Online records

are inherently legible.

b) Retention of records

Retention periods are as set out in the [Name of Act] with most items retained for seven years. [Practice

Name] has decided to retain some items permanently for prudence sake. Such items include:

Audit report and financial statements

Charts of account

Contracts, mortgages, notes and leases that are unexpired

Some correspondence (legal and other important matters)

Deeds, mortgages, bills of sales

Depreciation schedules

Year-end financial statements

General ledgers, year-end trial balances

Trust records

Journals

Property records including blueprints and plans

Tax returns and worksheets.



All other files are stored until the retention period is complete at which time they are removed for safe

disposal.

c) Filing

A filing system that allows for easy storage and retrieval has been established for all records, and is

controlled within our office. Our files are labelled and neatly kept on site in alphabetical

order. Records are kept within the easy reach of the users to facilitate usage.

d) Storing

Records, whether hard copy or electronic, are kept in a clean, dry and secure location by the custodian

to prevent deterioration or loss.

e) Archiving

Previous 12 months of records are archived in boxes that are labelled with the contents and a destroy

date and stored on shelves on site.

f) Disposition

Because [Practice Name]’s records consist of records from all of the company’s core competencies, the

disposal of records requires [name/position] approval, and, in the case of company proprietary

information, the approval of the [name/position].

Appendix 1

Records required by LAW 9000




Clause Type of record required

4.2.1 Records of QMS documentation

4.2.5 Records of pre-engagement communication

5.4.6 Insurance records

5.5.3 Feedback records from staff about the quality system.

5.6 Management review meeting minutes

5.6.2 and 7.2.3 Records of customer feedback/complaints

6.2.1 Training register for both professional and support staff

6.2.2(e) Education, training, skills and experience

7.1 (d) Evidence that the realisation processes and resulting product fulfil

requirements

7.2.2 Results of the review of requirements related to the product and actions

arising from the review

7.4.1 Results of supplier evaluations and any necessary actions arising from

the evaluations

Records of acceptable suppliers and how the practice will monitor and

review their performance

7.4.2 Records of purchase orders

7.5.2 (d) As required by the organisation to demonstrate the validation of

processes where the resulting output cannot be verified by subsequent

monitoring or measurement

7.5.3 The unique identification of the product, where traceability is a

requirement

7.5.4 Customer property that is lost, damaged or otherwise found to be

unsuitable for use

7.6 (a) Basis used for calibration or verification of measuring equipment where no

international or national measurement standards exist

7.6 Validity of the previous measuring results when the measuring equipment

is found not to conform to requirements

7.6 Results of calibration and verification of measuring equipment

8.2.1 Results of customer satisfaction and opinion polls

8.2.2 Internal audit results and follow up actions

8.2.3 Indication of the person(s) authorising release of product

8.3 Nature of the product nonconformities and any subsequent actions taken,

including concessions obtained

8.5.2 Results of corrective action taken

8.5.3 Results of preventive action taken


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