Engagement Operating Model
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Rule enforcement: where each rule takes effect 67 rules across 19 stages · Rules design Billing and receivables Expenses Access provisioning Change control Engagement register Planning and baseline Resourcing Time capture Pipeline Proposals Client due diligence Conflicts search Sanctions screening Archive and retention Quality review records Work product Commercial Lead Conflicts Partner Credit Controller Data Protection Officer Engagement Lead Finance Director IT Service Owner Managing Partner Quality Lead Resourcing Lead Risk and Compliance Officer NOT ENFORCED 1. Identify opportunity RUL-01 Every opportunity has a named owner [defined] RUL-02 Opportunity source is recorded [assumed] 2 RUL-03 Declined opportunities are retained with a reason [defined] 1 2. Qualify opportunity RUL-04 No proposal without a qualification decision [defined] RUL-06 A no-go records its reason [defined] 2 RUL-05 Capacity is confirmed before a go decision [open] 1 3. Screen for conflicts RUL-07 Conflicts are screened before any proposal is issued [defined] RUL-09 Search covers former clients and named counterparties [defined] 2 RUL-08 The pursuing partner cannot clear their own conflict [defined] RUL-10 A conflict hit is dispositioned by a person [defined] 2 RUL-11 Only the Managing Partner may override a conflict decision [defined] 1 4. Price and propose RUL-14 Scope and price are issued together [defined] 1 RUL-15 Liability wording is the firm standard unless signed off [defined] 1 RUL-12 Proposals price from the current rate card [open] RUL-13 Departures from the rate card require approval [open] 2 5. Assess and accept client RUL-17 Every client carries a risk rating [defined] 1 RUL-16 Client acceptance is a decision separate from winning the work [defined] 1 RUL-18 A returning client is reassessed, not assumed [assumed] 1 6. Complete client due diligence RUL-19 Due diligence completes before chargeable work begins [defined] 1 RUL-20 Diligence depth follows the risk rating [defined] RUL-21 Beneficial ownership is verified, not asserted [defined] 2 RUL-24 Sanctions screening repeats on a schedule [defined] 1 RUL-23 Evidence of the check is retained, not just its outcome [defined] 1 RUL-22 High-risk clients are cleared by a person [defined] 1 7. Agree terms RUL-25 No chargeable work before a signed engagement letter [defined] 1 RUL-28 The signed letter is filed against the engagement [assumed] 1 RUL-26 Scope, rates and liability are all stated [defined] RUL-27 Non-standard terms require sign-off [defined] 2 8. Set up engagement RUL-29 Every engagement has a unique code before work starts [defined] RUL-30 An engagement opens with a budget [defined] 2 RUL-31 Time cannot be booked to a closed or unopened engagement [defined] 1 9. Mobilise team RUL-32 Access is granted only to assigned team members [defined] 1 RUL-33 Assignments are made against recorded skills [assumed] 1 RUL-67 An assignment is confirmed by the Resourcing Lead before access is granted [defined] 1 RUL-34 A mobilised team has access before the first chargeable day [open] 1 10. Plan and baseline RUL-35 Every engagement is baselined before execution [defined] RUL-36 Deliverables are named in the baseline [defined] RUL-37 The budget is split across milestones [assumed] 3 11. Execute the work RUL-38 Work product is filed against the engagement code [defined] 1 RUL-39 Client data is not held in personal storage [assumed] 1 RUL-40 Work performed at a client site follows the client's data rules [open] 1 12. Capture time and expense RUL-43 Expenses require a receipt above the de minimis [defined] 1 RUL-42 Time is booked to one engagement only [defined] 1 RUL-41 Time is recorded within five working days [assumed] 1 RUL-44 Legacy and new time systems are reconciled before billing [open] 1 13. Manage scope change RUL-45 Change against a baseline is recorded before work proceeds [defined] RUL-46 Absorbed changes are recorded as absorbed [defined] 2 RUL-47 Scope increases above a threshold need client sign-off [defined] 1 14. Assure quality RUL-49 The review is recorded against the deliverable [defined] RUL-50 Rework is re-reviewed [assumed] 2 RUL-48 Deliverables are reviewed by someone who did not produce them [defined] 1 15. Prepare and issue bill RUL-51 A bill reconciles to recorded time and expense [defined] 1 RUL-52 Bill narrative is reconcilable to the engagement letter [assumed] 1 RUL-53 A drafted bill is reviewed by a person before issue [defined] RUL-54 Write-offs above a threshold require Finance Director approval [defined] 2 16. Collect and manage debt RUL-55 Bills are chased from the due date [defined] 1 RUL-56 Debt over ninety days is escalated to the engagement lead [defined] 1 RUL-57 Payment plans are agreed, not assumed [assumed] 1 17. Close engagement RUL-60 Write-offs and write-ups are recorded as decisions [defined] 1 RUL-59 Access is revoked at closure [defined] 1 RUL-58 An engagement closes only with no open work and no unbilled time [defined] 1 18. Archive and retain RUL-62 Retention runs from the closure date [defined] RUL-63 Every archived file has a disposal date [defined] 2 RUL-64 Client data leaves the EU hosting region only with a lawful basis [assumed] 1 RUL-61 The engagement file is complete at closure [assumed] 1 19. Capture lessons and references RUL-66 A client is named as a reference only with permission [defined] 1 RUL-65 Lessons are captured before the team disperses [open] 1 Enforced by a system Enforced by a role Stated, enforced by nothing Number in a cell is how many rules at that stage take effect at that point. Hover for the rules. 7 of 67 rules have no enforcement point: the design states them and nothing makes them true. Most of those are rules still marked open, so the count is also a measure of how much of the design is asserted rather than built.