Risk management

Cuckoo in the nestMany a firm has come to regret employing a solicitor who has subsequently proved to be inadequate, inept or even dishonest.

In many cases, this could have been avoided if the firm had in place proper procedures relating to recruitment of qualified staff.When confronted by the resignation of an assistant solicitor, the automatic reaction of many firms is to panic.

Who is going to do the work? How quickly can we employ someone? The panic is replaced by an overwhelming sense of relief when an appointment is made.

But just who have you employed and what do you know about them? Has the firm taken on someone who is going to cost it dear?The following points should be considered in the employment process.

When requesting a reference consider what needs to be asked of the former employers.

Was the solicitor responsible for any complaints or claims during the period of employment, if so how many? What type of work did he or she do? What was the standard of their work? How long was he or she employed for? As part of the interview process, ask to see the solicitor's practising certificate.

There have been instances of people being employed by firms who were in fact not qualified.

Find out if the solicitor has ever been the subject of disciplinary proceedings, and if so, the result.Ascertain the solicitor's full employment history, how many firms he or she worked for, and the reasons for leaving those firms.Consider the need to address health history, and whether a medical may be needed.Once the solicitor has joined the firm there should be a probationary period during which a senior member of staff monitors his or her work to ensure that the standard of work is satisfactory and the firm's working practises are being adhered to.This should include monitoring of post (including e-mails) communication skills (interviewing techniques) and the standard of advice being given to clients.At the end of the probationary period there should be an appraisal of the solicitor's work over that period.

Problems or shortcomings should be identified and addressed, both by the new solicitor and the employer.Such procedures will take time and cost money, but they could also save your practice from multiple claims, increased insurance premiums and potentially the Assigned Risks Pool.Refer to the SIF self assessment risk audit, module 8 'Managing Human Error' for further information.l For information on claims prevention, contact Richard Gerrard at St Paul International, tel: 020 7645 6800.