Paralegal Practice Audit Frequently Asked Questions
- Why did the Law Society implement the new Practice Audit component of the Program?
- What are the benefits for members who have been selected for a Practice Audit?
- Who is eligible to participate in the Practice Audit program?
- Does it affect all sizes of legal services?
- What are the possible outcomes of a Practice Audit?
- How many practice audits will be conducted annually?
- Will all paralegals be reviewed?
- How will I know that I have been selected for a Practice Audit?
- How much will I have to pay if I am selected?
- How long will the review take?
- How much time will I have to implement any recommendations?
- What if I am an associate or employee of a firm and the Practice Reviewer identifies deficiencies in firm-wide systems?
- What will the reviewer will be looking for?
- Where can I find more information?
- Why did the Law Society implement the new Practice Audit component of the Program?
Convocation approved the Practice Audit component as an integral part of assuring the continuing competence of members. The Law Society expects the programme will be an excellent resource for paralegals. It is designed to identify any practice management issues, which, if neglected, could have an adverse affect on the quality of legal services offered to the public. The programme may benefit paralegals by reducing client complaints and negligence claims.
- What are the benefits for members who have been selected for a Practice Audit?
- Selected members will receive personalized, on-site guidance aimed at helping them to address and correct any practice deficiencies.
- Reviewers will assist members in identifying efficiencies in their practice, which will lead to a better run and more effective practice.
- Members will receive specific advice, tailored to their own practice, on setting and meeting best practices expectations.
- Who is eligible to participate in the Practice Audit program?
Any licensee holding a Class P1 license is eligible to participate.
- Does it affect all sizes of legal services?
Yes, any licensee holding a Class P1 license is eligible, regardless of the size of practice.
- What are the possible outcomes of a Practice Audit?
Outcomes of a practice audit could include the following: closing of file, follow-up activities, undertaking to remedy deficiencies, follow-up review, referral for a more detailed review, proposal order, or referral to Professional Regulation.
The program is intended to be a proactive measure to assist paralegals in strengthening their practice management skills. In every instance, the goal is to work with the paralegal to address deficiencies before they become matters that could adversely affect service to clients. However, where misconduct is found, reviewers, like all lawyers under subrule 6.01(3) of the Rules of Professional Conduct, and like all paralegals under sub rules 9.01(2)–(8) of the Paralegal Rules of Conduct, are obliged to report that misconduct.
- How many practice audits will be conducted annually?
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Approximately 75 P1 licensees will be selected annually on a random basis to participate in a practice audit.
- Will all paralegals be reviewed?
Only those in private practice will be included in the pool of potential candidates.
- How will I know that I have been selected for a Practice Audit?
Participants will be given several weeks notice and be provided with information and supports in order to prepare for the review. A date will be determined in conjunction with the member.
- How much will I have to pay if I am selected?
There is no fee required from licensees for a practice audit.
- How long will the review take?
On average, a review will take between a half-day and a full day.
- How much time will I have to implement any recommendations?
Approximately six months. Depending on the matters raised in the Reviewer's Report, a follow-up review might be required following the six-month period.
- What if I am an associate or employee of a firm and the Practice Reviewer identifies deficiencies in firm-wide systems?
If the Practice Reviewer has concerns about processes or procedures which are beyond the scope of your responsibility, then depending upon the nature of the concerns and the potential risk to clients, further action may be required to ensure that the firm's management has notice and takes remedial action.
- What will the reviewer will be looking for?
The reviewer will be assessing basic practice management systems in the paralegal's office, focusing on such areas as:
- Client Service and Communication
- File Management
- Financial Management
- Technology
- Professional Management
- Time Management
- Personal Management
- Where can I find more information?
For more information about the Program, please phone the Law Society's Resource Centre at 416-947-3315 or 1-800-668-7380 ext. 3315.
