Surviving an SRA - Practice Standards Unit visit

In the bustling county town of Taunton, Somerset, which can trace its history back to Saxon times, family law firm Acorn Solicitors are very much the new kids on the block. David Sinclair started up the practice at the beginning of 2009 and more recently his mother, Jill Sinclair who has more than 26 years’ experience in private client work, became a partner.  Judith Rouse, a solicitor who handles the firm’s matrimonial work and Neil Watson, a highly experienced conveyancer, complete the legal team.

Jill Sinclair is candid about her reaction when she learned of the impending SRA audit. She thought, “Oh no, we’ve only been going six months and we’ve got a visit already.” However, at the start of the two-day visit, the auditor put Jill at her ease by emphasising that the purpose was to make sure that as a new firm they start off on the right foot. “Of course I could see the point of it and accept it,” says Jill, “and, as an old hand in the legal profession, I found it very helpful as it made me look at the rules with fresh eyes.”

The auditor told the firm in advance what files she wanted to see and spent two days in Acorn’s offices. In addition to bank statements, client account and office account balances, the last few months of balances in, she went through the SRA Code of Practice with the principals and asked to see the firm’s terms and conditions of business, client care letter and office manual. “She wanted to check our policies on health and safety, equality and diversity and the way we operate as a firm,” adds Jill.

Although the audit process is very strict, for example about money lying too long is client account or office account, Jill Sinclair found the auditor to be very pleasant and straightforward to deal with.  “I found it helpful to differentiate between myself as a solicitor dealing with my clients, and ourselves as a firm where we need to have good sound management and a commonsense approach to business,” she says.

On the second day of the audit David and Jill were called in for a verbal report on the auditor’s findings. One of the useful points flagged up was that the firm’s terms and conditions of business could be simplified. “We also discovered that they’re very hot on firms making sure that clients have been advised of the likely costs they will incur,” says Jill. All the points raised were to be reiterated in a written report to the partners but Jill took heart from the auditor’s parting comment when she said, ‘you’ve made a good start’.

By the time the report was received the firm was able to respond with the changes that had already been made, such as alterations to its terms and conditions and alerts set up on the computer to ensure that procedures were completed on time. A further letter has since been received from the auditor following that response.
Says Jill, “When you’d rather be seeing clients or attending to client work, frankly all this toing and froing can be a bit of an irritation. But, even though it has been time-consuming, the whole thing has been a positive process and time well spent because once it’s up and running it runs itself. It’s also reassuring to know that, once in place, our procedures will meet all the SRA’s requirements.”

David Sinclair, who qualified in 2004, is one of six solicitors who have been short listed for Junior Lawyer of the Year in the Law Society’s Excellence Awards for 2009.
“I think it’s a great honour that an ordinary solicitor from a small firm in Taunton is in with a chance of picking up a national award,” says David modestly.  The winner is to be announced at a formal dinner in London.

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