David Gilmore
David Gilmore is a Partner of DG Legal, a consultancy practice which provides advice and support to organisations in the legal sector.
Prior to establishing DG Legal in 2000, David worked for Abbey, Marks & Spencer and the Legal Services Commission in varying senior management roles.
David is an expert in relation to all LSC contracting matters, practice management and quality assurance and has been instructed by a wide range of local and national bodies including The Law Society, the Welsh Assembly Government, the Legal Services Commission, Citizens Advice, Advice UK, the Home Office (Office of the Immigration Services Commissioner), the Legal Aid Practitioners Group, Central Law Training (CLT), and the Law Centres Federation.
He has also provided advice and assistance to more than 600 legal providers over the past eleven years on a wide range of issues including LSC contracting, tenders and appeals, business management and quality assurance. He is an expert in relation to the SQM audit process and is also a Law Society Accredited Lexcel Consultant.
In addition to accepting instructions from individual providers of legal services, his work has been funded by amongst others, the Ministry of Justice, the Legal Services Commission, Business Link and the Baring Foundation.
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- Contributing Author
9 Contributions by David Gilmore
PRACTICE NOTES
Business Continuity for UK Law Firms: Creating and Maintaining a BCP—BIA, Risk Assessment, Lexcel/ISO 22301, Implementation, Testing and Review
This Practice Note outlines what a business continuity plan (BCP) involves, considers the requirements of industry standards concerning BCPs, and offers guidance on developing a BCP, including a Business Impact Analysis (BIA).
What is a BCP?
A BCP is a written plan describing how the organisation will handle an adverse incident that could jeopardise the continuation of its operations.
Purpose of the BCP
The BCP is a vital component of the overall risk management framework for any organisation. It helps ensure the business can withstand a critical incident and that the organisation can meet its obligations to clients or customers, regulators and other stakeholders. The BCP pinpoints potential risks and/or disruptions to the business and records the organisation’s systems or procedures to:
minimise the threat of harm to the business
respond to a business interruption
recover from a business interruption
BCP v disaster recovery plan
Although sometimes used as if they are the same, a BCP and a disaster recovery plan (also known as a contingency plan) are different. A disaster recovery plan is a shorter-term strategy intended to help an organisation overcome the immediate effects of an event...
Practice Compliance
PRECEDENTS
BCP template for law firms: priority functions with detailed risk assessment and response actions by disruption and timeframe
1 Priority list of functions
Key function
Key elements of business required
e.g. case management:
Access to the [ online case or document ] management platform
Internet access
Diary of key dates
Paper files
Client contact details
Telephones
e.g. processing payments:
Access to online accounting system
Access to online banking and bank fobs
Passwords and other credentials to log in
Internet connection
Telephone
Use of a PC or laptop
e.g. client advisory services:
Access to the [ case or document management system ]
Internet access
Diary of key dates
Paper files
Client contact details
Telephones
2 Individual risk analysis
2.1 Flood
2.1.1 Flood—first 24 hours
Effects on functions/services
Resources required
Data required
Key staff
Action points
Cost
Additional information
[ insert details describing the effect or impact on your functions ]
e.g. Operations could be severely disrupted depending on the extent of the flood on your functions...
Practice Compliance
PRECEDENTS
Business Continuity Plan (BCP) Staff Training Pack: Customisable PowerPoint Slides and Speaker Notes for Legal Practices
This presentation serves as a tool to train your staff members on your Business continuity plan (BCP) arrangements. The training materials are customisable. This version of the training pack is provided in PowerPoint, therefore it cannot be downloaded into Word from this page. Click the link below to download the PowerPoint presentation using the link...
Practice Compliance
PRECEDENTS
Business Continuity Plan (BCP) template for legal practices: incidents, governance, staff duties, client handling, training, testing and review, with appendices for risk evaluation, priority functions, cascade system and key contacts
1 Introduction
Our policy is to ensure that, should our operations be disrupted, we restore full functionality at the earliest opportunity. In pursuing this, we seek to safeguard our employees, clients, and any other stakeholders we engage with. This document sets out the steps we will take in the event of a business disruption. If you have queries or concerns about this plan, please contact [ insert name of appropriate contact here ].
2 Scope of the Business Continuity Plan (BCP)
2.1 This BCP covers all personnel within [ every business unit OR insert which department(s) or office(s) the plan covers ].
2.2 Situations that would trigger this plan include:
flood;
fire;
theft;
IT outage;
communications breakdown (e.g. telephone system);
partial or total loss of access to premises;
severe weather;
loss of critical staff;
terrorism;
cyber security or cybercrime incident;
public health events such as a pandemic;
[ [ insert other incident ]. ]
2.3 We have determined our organisation’s critical functions and the consequences that any disruption to these activities would have on the business...
Practice Compliance
PRECEDENTS
England and Wales law firm business continuity plan: key contacts directory and emergency numbers (template)
Kindly be advised that the data within these tables is confidential...
Practice Compliance
PRECEDENTS
Law Firm Business Continuity Plan (BCP) Annual Review: Checklist, Testing Schedule, Compliance Checks and Action Plan
1 General information
Review date: [ Insert date ]
Reviewer(s): [ Insert name ]
2 Review and findings
Have you completed a new risk evaluation and a thorough risk assessment?
Yes
No
If no, be sure to add an action in section 3 to carry out a new risk evaluation and detailed risk assessment.
Are your business continuity plan (BCP) and procedures current and fit for purpose?
Yes
No
If no, ensure an action is set in section 3 to bring your policy and processes up to date.
Is your key contact list up to date?
...
Practice Compliance
PRECEDENTS
Law Firm Business Continuity: Communications Cascade Call Tree and Contact List Template
Name Calls Contact number
Add name (e.g. CEO or Senior Partner) or add name (e.g. Head of compliance or Head of legal) – enter number.
Add name (e.g. CEO/Senior Partner or Head of compliance/Head of legal) linked to: Office manager, Risk manager, HR manager, Finance manager, Marketing/PR manager, IT manager, Heads of departments, Other – enter number for each.
For managers, list the related teams and numbers: Office manager – Postroom staff, Reception staff, Housekeeping staff, Library staff; Risk manager – Risk and compliance staff; HR manager – HR staff; Finance manager – Finance staff; Marketing/PR manager – Marketing/PR staff; IT manager – IT staff; Heads of departments – Staff within their department; Other – Other – number.
...
Practice Compliance
PRECEDENTS
Precedent: Business continuity plan (BCP) testing register to record tests, results and actions
Kindly select the Excel copy of this register here...
Practice Compliance
PRECEDENTS
SRA-regulated law firm business continuity risk assessment and mitigation plan (England and Wales)
The following table contains our assessment of business continuity risk within our organisation:
Risks are set out with their impact (low/medium/high), likelihood (low/medium/high), and the steps already in place to lessen, avoid, or transfer them.
Flooding
Impact: High; Likelihood: Low.
The chance of flooding affecting the firm’s office is slight.
We can relocate to a temporary workspace if an incident occurs at our premises.
The office occupies the third floor of the building.
It is a serviced space overseen by the landlord.
Routine inspections of pipework, boilers and the water supply take place under the office’s overall maintenance programme.
Additional regular checks of the pipework, boilers and water supply are carried out by the landlord.
The firm owns the property and uses all three storeys.
Archived records are kept in the basement.
Although flood risk is low, raised flooring has been fitted to protect files from water damage.
Periodic checks of the plumbing and heating system are completed.
All colleagues have the kit needed to work from home in an emergency.
Fire
Impact: High; Likelihood: Low.
We are able to operate from a temporary office if an event affects our premises...
Practice Compliance
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