Risk and quality management are essential for the good governance of your law firm. LAW 9000 international best legal practice standard provides the framework for managing quality and risk in law firms.

1. Are your risk management
tools at your law firm
working?
LAW 9000 is a quality management standard for
law firms

2. 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.

3.  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?

4.  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?

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

6.  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?

7.  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

8.  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

9.  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?

10.  Management system requirements
 Management responsibility
 Resource management
 Realisation of legal services
 Measurement analysis and improvement
What are the key requirements?

11.  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?

12.  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

13.  Provision of resources
 Human resources
 Infrastructure
 Work environment
Resource Management

14.  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

15.  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

16.  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

17. Quality Management for Legal Practices
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