Page 44 - QVM - Quality, Value and Metrics - November 29, 2017 2
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QVM - Quality, Value, and Metrics
If a practice has electronic matter files then the assessor should be given access to the files, either
directly or via the fee earner if confidentiality is an issue. It is not necessary for the practice to have
paper files for Lexcel purposes but electronic files must meet all the Lexcel requirements.
10. On-site assessment
I. Opening meeting
The assessor should invite the practice’s key management personnel to the opening meeting. It is
undesirable to conduct the opening meeting with the Lexcel contact alone as it is important that the
practice appreciates that all staff have a responsibility to ensuring compliance with Lexcel and that full
compliance can’t be left to one person. The opening meeting is an opportunity to explain the methods and
intentions of the assessment process.
Staff to request in a private practice could include:
Managing or senior partner
Lexcel champions or team leaders
Partner in charge of risk or compliance
Complaints partner
Practice director or manager
Professional Indemnity Insurance coordinator.
Staff to request for an in-house department opening meeting:
Head of legal or legal director
Practice director or manager
Lexcel champions or team leaders
Person(s) with responsibility for risk, compliance and complaints.
In addition to the above, assessor should ask if any management level representatives from within the
parent organisation (external to legal) wish to attend.
II. Format and expectations
43
If a practice has electronic matter files then the assessor should be given access to the files, either
directly or via the fee earner if confidentiality is an issue. It is not necessary for the practice to have
paper files for Lexcel purposes but electronic files must meet all the Lexcel requirements.
10. On-site assessment
I. Opening meeting
The assessor should invite the practice’s key management personnel to the opening meeting. It is
undesirable to conduct the opening meeting with the Lexcel contact alone as it is important that the
practice appreciates that all staff have a responsibility to ensuring compliance with Lexcel and that full
compliance can’t be left to one person. The opening meeting is an opportunity to explain the methods and
intentions of the assessment process.
Staff to request in a private practice could include:
Managing or senior partner
Lexcel champions or team leaders
Partner in charge of risk or compliance
Complaints partner
Practice director or manager
Professional Indemnity Insurance coordinator.
Staff to request for an in-house department opening meeting:
Head of legal or legal director
Practice director or manager
Lexcel champions or team leaders
Person(s) with responsibility for risk, compliance and complaints.
In addition to the above, assessor should ask if any management level representatives from within the
parent organisation (external to legal) wish to attend.
II. Format and expectations
43
