What are the different standards 
There are four different standards;
  • Q1000 which is a specific standard for sole practitioners.  It includes client and file management as well as regulatory history, claims history, IT security and GDPR compliance
  • Q3000 is our basic standard and is for firms with up to 10 Solicitors.  It also incorporates client management, file management, regulatory history, claims history, IT security and GDPR compliance
  • Q6000 has all the above elements and also looks at the firm's financial management and practice management. 
  • Q9000 which has all of the above elements as well as advanced financial management,
How do I prepare for an audit 
To prepare for an audit the firm will need to have a number of written policies and procedures in place (see our checklists for more information) which are examined by an auditor on the day.  We can assist firms by carrying out a pre audit to see what they have in place and what needs to be done before the audit.  We can also provide template policies which are then tailored to suit the firm
How is an audit carried out 
An audit usually takes half a day (more in the case of a Q9000 audit).  The auditor will go through the various sections and look for evidence from the firm to see what is currently in place.   They also inspect a random selection of files to see evidence of compliance with the standard.   They may need to talk to various people in the firm including The Principal/Partners, fee earners, bookkeeper and support staff as required.  CPD points are also available for any fee earners who attend once the requirements of the CPD scheme are met.
What information is contained In the audit report 
The audit report has a summary of the firm and findings as well as a detailed description of the findings in each section.  There is also a section for continued improvement as well as recommendations.
How can I ensure the confidentiality of my client information during the audit 
We do not take or handle any client information and all files, registers etc are inspected by our auditors with the firm's fee earners.
What benefits are there from membership? 
There are a variety for benefits for member firms including annual updated policies, monthly legal updates, free CPD videos as well as updates and guidance from your auditors.  Firms can now also become members without having an annual audit which offers these benefits for an annual fee.
How do I receive the template policies?
Template policies are initially emailed to the firm and can be tailored to your own requirements.  They are updated annually and are available in the members area.
What other services are available?  
We also offer a variety of other services including Law Society audit preparation, risk management consultancy as well as bespoke training in areas such as AML and GDPR compliance.