Law in action

Few organisations would set themselves the task of building a fully integrated management system from scratch within the space of ten months and seek certification to internationally recognised standards.  However, this is exactly what one Edinburgh-based professional services organisation did recently.

This case study looks at how Anderson Strathern Solicitors, one of Scotland’s largest full service legal practices became the first in their field to achieve certification to the triple management system standards: ISO 9001, ISO 14001 and OHSAS 18001 with a combined assessment from LRQA. It will look at how - with the help of external consultants - they implemented their system and the benefits that this is now bringing.

For further information about Anderson Strathern visit: www.andersonstrathern.co.uk

For more on QCS International please visit: www.qcsl.co.uk

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Drivers for change

“We are not badge hunters. We recognised certification to the triple standards would be valuable as it would show that we have processes in place and are following good practice.”

Robin Stimpson, Managing Partner, Anderson Strathern Solicitors

As a full service legal practice servicing both private and commercial clients, Anderson Strathern already had a number of controls and processes in place to manage their business. Also, having been accredited to the Investors in People standard for over a decade they were no strangers to formal external audits. However, with increasing commercial drivers generally within the professional services market and a tighter legal and regulatory framework was bringing the need to actively demonstrate good practice more sharply into focus.

In 2007, the Acting Chief Executive of the Scottish Legal Complaints Commission (SLCC) came to meet with the Anderson Strathern Management Board to explain the role of their organisation. The SLCC was set up under the Legal Profession and Legal Aid (Scotland) Act 2007 to investigate complaints made by members of the public about services provided by legal practitioners. Set to open for business in October 2008, a focus of the new Commission would be on operational risk, systems and processes. While there was no compulsion or expectation for legal practices to go down the external certification route, it proved to be a key catalyst as Anderson Strathern took the decision to formalise existing systems and look for external verification in place for the opening of the new Commission. Robin Stimpson, Managing Partner explains.

“We are not badge hunters. We recognised certification to the triple standards would be valuable as it would show that we have processes in place and are following good practice. On a commercial level it would be useful shorthand for purchasers of our services. In short, we felt it would be a clear endorsement that things are being run effectively.”

The practice chose initially to adopt ISO 14001. This in itself was quite an unusual position for a professional services organisation to take however the rationale behind it was quite clear. The practice felt they were already someway down the road with its environmental management system (EMS). Their Facilities Manager had knowledge of ISO 14001 and was already actively managing processes. On a practical level, it was also felt that certification to this standard would directly impact on fewer people and so be ‘a toe in the water’ of external assessment.

However logical the thinking behind this strategy, it wasn’t quite to turn out this way. Following initial discussions with their consultants, QCS International, the project was to take a radically different path.

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Scoping the system

“Having now been through the assessment process however, I would argue ISO 9001 most certainly isn’t just for manufacturers.”

Robin Stimpson, Managing Partner, Anderson Strathern Solicitors

QCS International had been brought in by Anderson Strathern initially to provide guidance and support on how to implement ISO 14001. However, during a follow-up meeting, the brief was expanded and the discussion turned to how best to implement and integrate all three: environmental - ISO 14001; occupational health and safety - OHSAS 18001 and quality - ISO 9001 management system standards.

In addition, Anderson Strathern was keen to have a system compliant with the Law Society’s Lexcel Practice Management Standard. While Lexcel had been developed by the Law Society of England and Wales, it was a standard directly applicable to legal practices. This was important as Robin Stimpson explained.

“There was some concern amongst the partners that the standards  and ISO 9001 in particular more suited to manufacturers than solicitors. While there was no equivalent to Lexcel in Scotland, we felt it important to be judged against a standard developed directly for legal companies which would help answer our critics. Lexcel is widely recognised as an excellent model on which to run a legal practice.”

He continues: “Having now been through the assessment process however, I would argue ISO 9001 most certainly isn’t just for manufacturers.”

Rosalynne Shields, QCS Associate Director explains the approach taken to Lexcel. “We took the Lexcel standard breaking down every constituent part and mapping it against each of the three ISO standards, checking the gaps and the common elements. It was the plan from the very start to build Lexcel into the ISO 9001 system and look to get certification following a successful outcome on the triple standards.”

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Implementing the system

“We had our doubts about attempting to build an integrated management system and going for certification within the timeframe. However, we were assured we were probably 90% there.”

Robin Stimpson, Managing Partner, Anderson Strathern Solicitors

Having completed the mapping process and bearing in mind the timescales, QCS recommended using the PAS99 integrated management system model as a basis on which to draw together the standards before going for certification in two stages: firstly ISO 14001 and OHSAS 18001, followed by ISO 9001. This would see the project complete within a practical 9-month timeframe and in place before October 2008 and the opening of the SLCC.

This was an ambitious timescale bearing in mind the scale of the project and initial doubts on the viability of the approach did surface as Robin explained. “We had our doubts about attempting to build an integrated management system and going for certification within the timeframe. However, we were assured we were probably 90% there. I raised an eyebrow at the time.”

However, Anderson Strathern were not starting from a blank sheet. Policies and procedures existed but needed to be pulled together and in some cases re-presented. The primary gaps to address the requirements of Lexcel were file audit and compiling an experts register which had previously only existed word-of-mouth.

The practice had already set up a system of ‘champions’ from each area of the business covering staff from both fee-earning and support services who have continued to meet regularly. As ‘envoys’ for the systems in their area they are ideally placed to answer questions or channel good ideas to help drive continual improvement and importantly keep the environment, health and safety and quality front of mind across the business.

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Benefits

“For busy procurement officers, certification to ISO standards is shorthand. They can be assured that an external body is checking out the organisation. We can show that we’re prepared to stand up and be measured against an internationally recognised set of criteria.”

Robin Stimpson, Managing Partner, Anderson Strathern Solicitors

Risk management is a key element in running any successful business today and this is as true in the legal profession as any other. Anderson Strathern already had a number of processes in place to mitigate their risk however the practice has come to see their management system as an invaluable tool in assisting with client service.

Providing an acceptable level of service to meet the client’s original brief or specification is a key element of the ISO 9001 standard. Failure to clearly outline the service offered for acceptance by the client could result in increased costs which if not dealt with not only results in dissatisfied clients but could result in claims against the firm. Robin Stimpson explains.  

“The majority of complaints directed at solicitors is related to scoping of work and not bad advice. In short, it’s about making sure there isn’t a mismatch between what the client has asked for and what they end up with. This is why file audit and reporting are so important and its here where a management system comes into its own helping ensure that these risk mitigation matters are being acted on,” Robin Stimpson explains.

“While we have enjoyed a good claims record, you can never do too much to improve. Occasionally things will go wrong. When they do, we want to demonstrate that we have taken every reasonable care and this requires an audit trail.”

There have also been some very practical benefits of having formal management systems. On the environmental side, the Facilities Manager was able to significantly reduce energy consumption for the main office by replacing older chillers with new, more fuel efficient versions. While this meant an initial outlay in capital expenditure, against a backdrop of rising energy bills, the sums clearly showed the investment would be worth it.

However the obvious benefit has been in direct commercial terms. Anderson Strathern has noticed an increasing need to prove its environmental, health and safety and to some extent its quality credentials. One way of doing this while gaining a clear competitive edge is with external validation of its system, particularly by a respected and recognised body such as LRQA.

Robin explains. “For busy procurement officers, certification to ISO standards is shorthand. They can be assured that an external body is checking out the organisation. We can show that we’re prepared to stand up and be measured against an internationally recognised set of criteria.”

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Working with LRQA

“Our assessor added value in terms of the opportunities for improvement. She got under the skin of the business and we were all very positive about her contribution.”

Robin Stimpson, Managing Partner, Anderson Strathern Solicitors

Associate Director of QCS, Rosalynne Shields was asked by Anderson Strathern to recommend a suitable certification body that could certify against the triple standards and the Lexcel standard. “While I provided details and costs of a few certification bodies to our client, I chose to recommend LRQA as I felt it was the best fit. An LRQA assessment is thorough but fair and of course they have working experience of Lexcel. We know that the client is confident with their lead assessor,” concludes Rosalynne.

LRQA lead assessor, Margo Logie has had considerable experience of certifying professional services organisations and will now also be undertaking the Lexcel assessments. This means that, when available in Scotland, the Lexcel assessment can be undertaken in conjunction with the ISO 9001 visit and as part of the overall LRQA team undertaking the full suite of standards.

So, how is the LRQA assessment adding value for the practice?

“Margo came in and immediately tried to understand our business and to gain a thorough understanding of our processes. It was clear from day one that she wanted to add value in terms of identifying opportunities and in continual improvement of our system.”

“We found that Margo’s approach put our people very much at ease but without being a soft touch. She was the first experience of external certification for the majority of our staff and therefore it was important that she was seen to be positive. To be honest if the assessment had been a negative experience, we may well have decided to change our minds and not pursue certification,” concluded Robin.  

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