Risk management

Pot pourriIt is often simple situations that catch people out.

Here are some points to consider:l Your induction process trains new staff on systems and procedures (doesn't it?) but what about staff who have been away for long periods, perhaps on sabbatical, maternity leave or due to long-term illness?Keep a record of important changes to office procedures during absences.

Make someone responsible for bringing the returning partner or employee up to speed.

If it is no one's job, returning staff may only learn too late about changes.Will hundreds of e-mails await them on their return? Have you set up a system for dealing with e-mails during their absence, such as an automated reply? Are e-mails deleted automatically after a fixed period, even if unread? This may be sensible but only if the sender is warned that this will happen and that the e-mail needs to be redirected if action is required.l When staff are on holiday, make sure their post is checked as a matter of course.

But what about e-mails? How do you know whether anything requiring urgent attention has arrived? Consider making supervisors responsible for checking e-mails (so long as the contract of employment allows this).

l How do locums learn about your systems? Is training on your systems seen as an unnecessary waste of time or a good investment?l Are temporary secretaries taught about your systems? There is a trade-off between knowledge and productivity - but think of the risks.

Are the tasks performed by temps filtered to remove sensitive or high-risk tasks?l Security breaches often arise because of a failure to review systems.

Is a back door left unlocked or an access keypad code left unchanged? Is your safe key kept in an unlocked drawer? Is confidential information stored in areas to which clients have access? Are cheques left lying around? Are passwords left in full view or under keyboards?l Is confidential waste thrown out in the rubbish? Once the foxes have finished with it, confidential documents may be blowing down your high street.l Do you recycle paper - and use that paper for attendance notes or other matters on other client files? Think about confidentiality issues.l Have systems become so relaxed that senior secretaries sign client cheque request forms as a matter of course on behalf of partners who are too busy to do it themselves? And CHAPS transfers? Small errors that should be obvious to a fee earner may not be obvious to a secretary.l Where investments have been held for long periods, how often are they reviewed? Does the spread of investments or balance between capital growth and income meet the required purpose?l Do you have out-of-date forms lying around the office? Make sure they are disposed of when they reach their sell-by date.

Make someone responsible for this in each department.Do not overlook the simple things.

More often than not it is these that give rise to claims.l This column was prepared by the St.

Paul risk management team.