Personal injury referral arrangements—systems and controls
Personal injury referral arrangements—systems and controls

The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:

  • Personal injury referral arrangements—systems and controls
  • Assessing whether your PI referral arrangements are compliant
  • Management information and recording
  • Monitoring outcomes
  • Reporting breaches
  • Staff training
  • Annual review

This Practice Note explains the systems and controls you should consider implementing to identify prohibited personal injury (PI) referral arrangements and ensure you comply with the statutory and regulatory regime in relation to any PI referral arrangements you consider to be lawful. It reflects the SRA Standards and Regulations 2019, SRA Handbook 2011 and underlying statutory regime.

Not all PI referral arrangements involving payments are unlawful. See Practice Note Personal injury referral fee—the statutory regime and Personal injury referral arrangements—SRA requirements for an explanation of the underlying statutory regime and explanation of how this is implemented by the SRA. See also Practice Note: Personal injury referrals—SRA examples, flowchart and guidance.

For guidance on generic SRA requirements relating to referral arrangements (including personal injury referral arrangements), see Practice Notes: Referral and fee sharing arrangements 2019 and Referral and fee sharing—SRA 2011 regime and SRA 2019 regime compared.

Assessing whether your PI referral arrangements are compliant

You should take a health check of your existing PI referral and fee sharing arrangements to ensure you:

  1. are not paying any prohibited referral fees (if you are, you will need to terminate or amend the arrangement), and

  2. comply with all the SRA requirements regarding referral fee sharing, not just those relating to the PI referral fee ban—see Checklist: Referral and fee sharing 2019—law firms—checklist

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