Task guide
Practice-risk categories
Keep the registers undertakings, complaints, incidents and gifts are filed under, each in the firm's order, and say which kinds of undertaking a partner approves.
Settings, Work management, Practice risk holds six registers, each a tab: Undertaking kinds, Complaint categories, Root causes, Incident kinds, Personal data and Gift kinds. Gift kinds are the kinds of gift and hospitality the gift register files, cash among them (see Gifts and hospitality); they are not the gift kinds under Settings, Origination, which are for thanking referrers. Each ships with the categories firms commonly use.
The points a file review checks are a separate page, Settings, Work management, File review checklists (see File reviews).
Add, change and retire
Add names a new category, with a line on what it covers; an undertaking kind also carries its Risk (low, medium or high). Edit renames one or changes its risk; records already filed keep it. Retire stops a category being offered for new records, and Put back in use brings it back. Nothing filed under a category is lost.
Order
Drag a row by its handle, or use Move up and Move down, to set the order the forms offer them in.
Which undertakings a partner approves
Under Settings, System, General, Compliance, Undertakings needing a partner's approval names the risk levels a partner approves before an undertaking of that kind is given.
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- UndertakingsRecord each undertaking the firm gives or receives on a matter, have the riskier kinds approved by a partner first, and keep each in sight until it is kept, released or breached.
- ComplaintsRecord a client's complaint the day it arrives, answer it within the firm's time limits, close it with its outcome, redress and lessons, and read the figures.
- Incidents and data breachesReport an incident the moment it is known, assess it, decide and record the notices the Data Protection Act asks for within their clocks, and close it once every action is done.
- Gifts and hospitalityRecord a gift or hospitality given or received, ask before accepting or giving one, have compliance decide it over the firm's threshold, and read the year's totals by person and by other party.