## **Learning Outcomes**

This article explains how to convert complex legal instructions into structured, practical plans of work for SQE2 tasks, including:

- extracting essential tasks from narrative facts and converting them into clear, actionable points with realistic timelines and named responsible parties
- assessing foreseeable procedural, evidential, financial, and conduct risks, and recording mitigation steps, contingencies, and triggers in a structured way
- integrating milestones, dependencies, review points, and “hard stop” deadlines into timelines so that progress and risk can be monitored and managed effectively
- drafting action plans, timelines, and risk notes in plain, concise language that avoids ambiguity about dates, times, obligations, permissions, and time zones
- updating and communicating action plans as circumstances change, explaining the impact on time, cost, and client objectives in realistic SQE2 situational and practical tasks

## **SQE2 Syllabus**

For SQE2, you are required to demonstrate practical project and risk management in client-facing scenarios, with a focus on the following syllabus points:

- identifying and extracting essential tasks from facts or instructions
- creating clear, actionable next steps with measurable outputs and success criteria
- sequencing tasks into realistic timelines that include milestones, dependencies, and review points
- setting legally significant deadlines (including rule-based “hard stops”) and named responsible parties
- incorporating contingency arrangements (what could go wrong, prevention, and fallback steps)
- documenting action points, risk factors, and triggers in client letters, emails, reports, or file notes
- using plain English to avoid ambiguity in dates, times, permissions, and obligations
- monitoring progress, updating plans when circumstances change, and communicating impacts on time and cost

## **Test Your Knowledge**

_Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision._

1. What is the difference between a task-based action point and a contingency in client advice?
2. Name three factors to consider when setting deadlines for legal steps.
3. Why is it important to assign responsibility for each action point in project management for legal work?
4. What does an effective risk management note within a client report typically include?

## **Introduction**

Legal matters rarely progress in a straight line. Effective content and risk management means explaining what needs to be done, by whom, by when, and what will happen if planned steps do not go as expected. The aim is to provide a usable roadmap: a sequence of clear action points, a timeline with dependencies and milestones, named responsibility for each step, and tangible contingencies if risks materialise. A practical way to frame any action plan is to check that it answers “Who, What, When, Where, Why, How, and What if?” across the matter. This article shows how to outline and explain such action points and timelines for typical SQE2 tasks.

### Defining Action Points

Action points are the concrete steps that must be taken to move a matter forward. In practice and in SQE2, they should be specific, verifiable, and recorded in active voice (e.g. “Client to provide bank statements” rather than “Bank statements to be provided”).

> **Key Term: action point**  
> A concrete, specific step recorded or communicated in written legal advice or documents, stating exactly what must be done by a named person by a given time, with an expected output or success criterion.

Quality indicators for action points include:

- clarity of the task (avoid vague verbs such as “consider” unless accompanied by a defined output)
- measurable output (e.g. “signed TR1 received by us”)
- precise deadline (inclusive/exclusive wording made explicit)
- named responsible party (see below)
- links to dependencies (e.g. “execute TR1 after lender issues mortgage offer”)
- a contingency if high-risk factors are present (e.g. “if lender not ready by Friday, seek an extension from seller by close of business Thursday”)

### Building Timelines

Timelines are schedules setting out when tasks are to be completed, including key dates and dependencies. They should include milestones (checkpoints or deliverables), review points (formal evaluation moments to adjust course), and any “hard stop” deadlines required by rules or contracts.

> **Key Term: timeline**  
> A sequential list or schedule mapping all required actions, deadlines, dependencies, milestones, and responsible parties necessary to achieve a legal outcome.
>
> **Key Term: milestone**  
> A dated checkpoint or deliverable that marks significant progress (e.g. “search results received”, “expert report signed off”).
>
> **Key Term: dependency**  
> A relationship where one task cannot start or complete until another task is done (e.g. “serve particulars only after claim form issued”).

Effective timelines often use short, active statements (“We will file within 2 working days of receiving X”). Consider:

- hard legal deadlines (e.g. CPR dates, SDLT filing window)
- inclusive/exclusive phrasing (“on or before 3 December 2026” vs “before 3 December 2026”)
- time zone clarity for cross-border or remote signings (e.g. “UK time”)
- avoiding midnight ambiguities by using 23:59 and specifying the relevant time zone
- review points to evaluate risks and progress (e.g. “review file status at T+7 days”)

### Managing Risks and Contingencies

Risk management in legal work means identifying barriers or uncertainties that might prevent the plan from succeeding, and stating what will be done to prevent or mitigate them, plus a fallback route if they occur. A concise framework is: What could go wrong? How can we prevent it? If it happens, how will we fix it?

> **Key Term: contingency plan**  
> A predefined alternative action to be taken if a risk event occurs, ensuring continuity or protection of a client's interest.
>
> **Key Term: risk factor**  
> Any event or uncertainty that could prevent an action point from succeeding within the usual course of a legal matter.
>
> **Key Term: risk register**  
> A list of identified risks with probability, impact, owner, trigger indicators, and mitigation/contingency steps.
>
> **Key Term: trigger**  
> A specific indicator or event that signals a risk is materialising and action is needed (e.g. “no response to search chase within 5 days”).
>
> **Key Term: risk owner**  
> The person responsible for monitoring a risk and initiating mitigation or contingency actions when triggers occur.

Typical risk categories include time management (deadlines), financial exposure, evidential gaps, legal/procedural uncertainty, and conduct/compliance risks. Record any triggers (e.g. “lender delays >3 days beyond agreed turnaround”), prevention steps (e.g. “pre-clear conditions with underwriter”), and fallback actions (e.g. “seek completion deferral; rebook notary”).

### Assigning Responsibility

Every action point should state who is responsible and, where helpful, who monitors or signs off. Responsibility should be expressed in active voice to avoid ambiguity (e.g. “X shall serve notice” rather than “notice shall be served”).

> **Key Term: responsible party**  
> The individual or entity specifically allocated a task or obligation within a set of legal action points or a timeline.

Clarity is improved by distinguishing “responsible for doing” vs “monitored by” (who tracks progress and escalates if needed). This is especially important in multi-party transactions, where missed handovers cause delay.

### **Worked Example 1.1**

_Scenario:_

A client has instructed you to purchase a commercial property. The landlord requires exchange of contracts in 10 days. As the solicitor, which action points and timeline entries should you set, and what risks must you address?

> **Answer:**  
> Action points could include:
>
> - Review contract pack and draft amendments – responsibility: solicitor; deadline: within 2 days; output: mark-up and issues list
> - Arrange surveyor inspection – responsibility: client to instruct surveyor; deadline: within 3 days; dependency: access confirmed by seller
> - Raise standard property enquiries and any specific CPSE follow-ups – responsibility: solicitor; deadline: within 2 days; output: enquiries sent
> - Order searches (local, drainage and water, environmental) – responsibility: solicitor; deadline: within 1 day; milestone: all search results received by day 7
> - Review lease/title restrictions and lender requirements – responsibility: solicitor; deadline: by day 5; dependency: lender’s indicative terms received
> - Arrange funds transfer for deposit – responsibility: client; deadline: by day 8; milestone: deposit cleared in client account
> - Confirm lender’s mortgage offer/underwriting conditions – responsibility: client/lender; deadline: by day 7; dependency: valuation reported
> - Prepare for exchange (authority to exchange; signed contract; deposit in place) – responsibility: solicitor; deadline: by day 10; milestone: exchange authority on file  
>   Risks/contingencies to flag:
> - Surveyor availability risk – contingency: request access flexibility and book expedited inspection; if not possible, seek extension to exchange
> - Search delays – contingency: order fast-track services or obtain search indemnity (subject to lender approval)
> - Lender not ready – contingency: agree short deferral of exchange or switch to bridging (with explicit cost/risk note)
> - Deposit transfer delay – contingency: ask client to pre-notify bank; do not exchange until cleared funds; warn of seller’s withdrawal risk if dates slip

### **Worked Example 1.2**

_Scenario:_

A probate matter requires inheritance tax forms to be submitted before a grant can be extracted, and certain assets have time-sensitive values. How do you record action points and plan for risks?

> **Answer:**  
> Action points:
>
> - Gather information on assets, liabilities, gifts, and lifetime transfers – responsibility: client to provide documents; deadline: within 1 week; output: asset/liability schedule
> - Obtain valuations (property, portfolio, chattels) – responsibility: solicitor to instruct relevant valuers; deadline: instructions within 2 days; milestone: valuations received within 10 days
> - Complete IHT forms (e.g. IHT400 and schedules as applicable) – responsibility: solicitor; deadline: 10 days from full information; output: signed IHT forms ready
> - Pay IHT due and submit to HMRC – responsibility: solicitor/client; deadline: within 2 days of completion of forms; dependency: funds availability; milestone: HMRC receipt (IHT421) returned to Probate Registry
> - Apply for grant of probate – responsibility: solicitor; deadline: upon HMRC receipt; milestone: grant issued  
>   Risks/contingencies:
> - Delay in client information – contingency: set reminders; warn in writing about interest accruing after 6 months from death; propose partial submission where possible
> - Valuation volatility (e.g. market changes) – contingency: refresh property/portfolio valuations close to submission date
> - Funds not available for IHT – contingency: consider instalment options for certain assets or short-term funding; warn of timeline impact

### **Worked Example 1.3**

_Scenario:_

You are making an interim application for summary judgment in a debt claim. What action points and timeline entries should you set, and what risks are relevant?

> **Answer:**  
> Action points:
>
> - Draft application notice, evidence, and skeleton argument – responsibility: solicitor; deadline: by day 3; output: complete bundle
> - Issue and serve application with exhibits – responsibility: solicitor; deadline: at least 14 days before hearing (CPR); milestone: proof of service on file
> - Diary respondent’s evidence deadline – responsibility: solicitor; deadline: 7 days before hearing (CPR guideline); monitored by: fee-earner; trigger: no evidence received by deadline
> - Prepare hearing bundle, paginated and indexed – responsibility: solicitor; deadline: per court directions; milestone: bundle lodged and exchanged
> - Client conference to confirm settlement parameters/BATNA – responsibility: solicitor/client; deadline: 5 days pre-hearing; output: negotiation brief  
>   Risks/contingencies:
> - Late or defective service – contingency: re-serve promptly; apply for relief if needed; warn client of potential adjournment
> - Respondent raises factual dispute late – contingency: prepare short reply evidence if permitted; consider alternative orders (e.g. directions for trial of issue)
> - Bundle non-compliance – contingency: liaise early with court; follow PD requirements; re-lodge corrected bundle

### **Worked Example 1.4**

_Scenario:_

A share purchase agreement (SPA) is conditional on regulatory approval and landlord consent to assignment. A long-stop date applies. Outline the core action points, timeline, and risk planning.

> **Answer:**  
> Action points:
>
> - Submit regulatory application – responsibility: buyer/regulatory counsel; deadline: within 3 days of signing; milestone: approval expected within 30–45 days
> - Seek landlord’s consent (licence to assign) – responsibility: seller; deadline: application within 3 days; dependency: buyer’s references; milestone: licence granted by day 30
> - Satisfy lender conditions precedent – responsibility: buyer; deadline: by day 25; milestone: CP checklist signed off
> - Prepare completion mechanics (funds flow, officer resignations/appointments, filings) – responsibility: buyer’s solicitor; deadline: by day 35; milestone: completion agenda agreed
> - Completion – responsibility: both parties; deadline: within 5 days of all conditions satisfied, and before long-stop date  
>   Risks/contingencies:
> - Regulatory delay beyond long-stop – contingency: agree extension or consider alternative structuring; assess BATNA
> - Landlord consent conditions onerous – contingency: negotiate conditional consent or escrow solution; revisit risk allocation under SPA
> - Lender CP slippage – contingency: escalate early; adjust completion timetable; note critical path to long-stop date

### **Exam Warning**

Simply listing tasks is not enough. Each action point must be tied to a responsible party, a realistic and legally meaningful deadline, and any critical dependency. Avoid ambiguous phrasing (“by Friday”) without clarifying inclusive/exclusive meaning and time zones. Always flag rule-based “hard stop” dates (e.g. CPR timetables, SDLT filing windows) and set review points to monitor progress.

### Recording and Presenting Action Points

SQE2 tasks may require action points in a letter, email, file note, or report. Use short, active sentences and avoid legalese or unnecessary abstract nouns. For clarity:

- “Please return the signed documents on or before 12 July 2025 (UK time).”
- “We will submit the application within 2 working days of receiving your instructions and supporting ID.”
- “Client to provide proof of funds to us no later than 22 June 2025.”

Draft in active voice (“X shall do Y”) and avoid passives that hide responsibility (“Notice shall be served”). Avoid “and/or” by specifying whether permissions are alternative or cumulative. Use precise date wording (“on or before”, “before”) and specify time zones and 23:59 rather than “midnight” to avoid ambiguity. Where adding an obligation, prefer “without prejudice to clause X” rather than “subject to clause X” if you do not intend to limit or displace the original obligation. Keep sentences short (aim for ~20 words) and avoid comma splices.

Where suitable, group steps logically (chronological for transactions; categorical for ongoing covenants), add headings, numbering, and white space to improve readability. Include milestones and review points so the reader can track progress.

### Project and Risk Management Table

An effective project and risk overview for a legal matter includes:

| Action Point                        | Responsible Party | Deadline                | Risk Factor                   | Contingency Plan                                           |
| ----------------------------------- | ----------------- | ----------------------- | ----------------------------- | ---------------------------------------------------------- |
| Complete due diligence              | Solicitor         | 5 days                  | Delay in search results       | Request expedited service or indemnity (lender permitting) |
| Client to sign completion documents | Client            | 7 days                  | Delay by client               | Arrange courier or e-signing option                        |
| Pay completion monies               | Client            | 9 days                  | Banking issue/public holiday  | Confirm cleared funds; agree alternate date                |
| File SDLT return post-completion    | Solicitor         | 14 days from completion | Technical error in submission | Notify client; file paper return; diary a review point     |

Note: calendar and rule-based deadlines are “hard stops”—build in reminders and a review point before each.

### Common Risks and Best Practices

- Missing deadlines due to unclear handover—name the person doing the task and the person monitoring it; set reminders
- Ill-defined steps—make each point practical, with a measurable output and clearly stated success criteria
- Ambiguous dates and times—use inclusive/exclusive wording and specify “UK time” at 23:59
- “And/or” confusion—state whether permissions/obligations are cumulative or alternative
- Misuse of “subject to”—use “without prejudice to” when adding obligations that must coexist
- Not updating the action plan when circumstances change—review and amend at set review points
- Failing to inform the client of legal or practical consequences of delay—state timing implications and cost impact
- Overuse of passive voice—express who must do what, by when
- Ignoring dependencies—flag prerequisite tasks and add milestones to verify completion before proceeding

### **Revision Tip**

For each key date or deadline in a matter, ask: what is the consequence if it is missed; what is the BATNA if the timeline slips; who needs to be told; and what is the next step? Add a review point before every “hard stop” and practise writing these in file notes and exam tasks.

## **Key Point Checklist**

_This article has covered the following key knowledge points:_

- Action points must set out precisely what is to be done, by whom, by when, with a defined output
- Timelines should include milestones, dependencies, and review points, with rule-based “hard stops” clearly marked
- Each action point must have a named responsible party; include a “monitored by” field where helpful
- Risk factors should be identified with triggers, a risk owner, and both mitigation and contingency steps
- Use plain English and active voice to avoid ambiguity (dates, times, permissions); avoid “and/or” unless genuinely necessary
- Deadlines must be realistic and account for legal or practical constraints; specify inclusive/exclusive phrasing and time zones

## **Key Terms and Concepts**

- action point
- timeline
- milestone
- dependency
- contingency plan
- risk factor
- risk register
- trigger
- risk owner
- responsible party

Content and risk management - Outlining clear action points and timelines