Compliance

Lexcel and SQM

It is a condition of the contracts issued by the LAA that all firms who undertake legal aid work, must hold either of the Lexcel or SQM quality marks. Whilst Lexcel and SQM are similar in many respects, in general, Lexcel is more demanding than SQM and, in respect of addressing (for instance) risk, there is no equivalent in SQM to the Lexcel requirements. Audits in respect of Lexcel and SQM are broadly similar and, in fact, the current holders of the SQM “franchise” (Recognising Excellence) are also one of the bodies authorised to carry out Lexcel assessments.

We can prepare you for your audit, advise you as to what you need to do – and just as importantly what you do not need to do. We can conduct a dummy audit and we can be present during the actual audit to provide assistance with any issues that arise.

LAA audits

LAA audits are a completely different beast. Lexcel and SQM auditors will point out where – if it all – you are deficient and give you an appropriate (and usually agreed) time in which to correct those deficiencies. At an Lexcel/SQM audit, unless you have made no reasonable attempt to comply with the requirements, the worst you can generally expect is a requirement to address “non-compliances”.

The outcome of an LAA audit can be very different. You may end up with just a warning about a particular issue. You may though get a contract notice, a sanction, or worst of all and, especially if it is a repeated “breach”, you can end up with a termination notice.

In advance of an LAA audit, your contract manager will send you a list of files that they wish to look at. That list of files is not chosen at random. Instead, those files have been identified as files which you have claimed on and where there is a reasonable chance you have made a mistake.

We have assisted firms with audits in respect of crime, family and mediation work. Once you have been given the list of files for review, we can assist you with identifying the likely issues and, if appropriate advise you regarding any representations in relation to those issues if we think the LAA are likely to suggest any individual claim is incorrect. We have dealt with all sorts of issues raised by the LAA and will pursue all avenues of appeal when it comes to Contract Notices and/or costs reductions.