Client care

Question 1

In order to treat clients fairly, what does the SRA recommend firms do?

Answer 1

To send their client care letter setting out the terms and conditions on which they are acting - not required but recommended by SRA BUT they do require certain information to be set out to client in writing,

Question 2

What are some of the level of service the SRA expects from all legal professionals?

Answer 2

• only act on client’s instruction or someonone properly authorised to provide instructions on their behalf (CSS 3.1)
• ensuring service provided to client is competent and delivered in a timely manner (CCS 3.2/CCF 4.2)
• maintain competence to carry out your role and keep professional knowledge and skills up to date (CCS 3.3)
• when supervising or managing others providing legal service, you **remain accountable for the work carried out through them **and effectively supervise work being done for clients (CCS 3.5)
• ensure managers and employees are competent to carry out their role, keep professional knowledge and skills
• have an effective system for supervising client’s matter (CCF 4.4)

Question 3

When are ‘good reasons’ to terminate your retainer with a client.

Answer 3

• you cannot obtain clear instructions (receiving conflicting instructions)
• to carry on acting for client would break the law of breach the Codes (conflict of interest)
• client failed to pay its bills

No specific provision in CCS or CCF in dealing with this

Cannot terminate on grounds of self-interest, conflicts with para 1 of CCS and CCF which requires you to treat client fairly.

Question 4

What is required from you by the SRA to ensure clients are properly infomed?

Answer 4

Requires you to give certain information to clients such as:
* giving** clients information in a way they can understand** - ensuring they are in a position to make an informed decision about services they need, matter to be handled and options available to them (CCS 8.6)
* ensure client understand whether and how the services you provide are regulated - explaining which activities will be carried out and which services you will provide (CCS 8.10)
* ensure client understands regulatory protections available to them (CCS 8.11).

Question 5

What other information must be in the care letter?

Answer 5

• Information on costs - should be in care letter and also discussed with client so they understand it.
• CCS 8.7 states that clients should receive best possible information about how their matter will be priced, at time of engagement and when appropriate as their matter progresses about likely overall cost of matter and costs inccured.

pre-warn client, keep expectations realistic and explaining all possible outcomes of any matter is part of the job

Question 6

What is said about complaints in CCS 8.2 about?

Answer 6

Complaints
* it ensures that as appropriate in the circumstances, you either establish and maintain or particpate in a procedure for handling complaints in relation to legal services you provide.
* must also inform client in writing of the complaints procedure at time of engagment (CCS 8.3)

Question 7

What does the Codes ensure you comply with when dealing with complaints?

Answer 7

when a clients have made a complaint to you, if it has not been resolved to client’s satisfaction within 8 weeks following complaint was made, they are informed in writing:
a) of any right they have to complain to the Legal Ombudsman, time frame of doing so and full details of how to contact Legal Ombudsman and,
b) if complaint has been brought and complaint procedure has been exhausted:
i) that you cannot settle the complaint,
ii) of the name and website of an alternative dispute resolution (ADR) approved body which would be competent to deal with it and,
iii) whether you agree to use the scheme operated by
that body (CCS 8.4)

CCS 8.5: ensure complaints are dealt with properly, fairly and free of charge

Question 8

What happens to the obligations under SRA Code of Conducts once all the relevant information has been sent in the client care letter?

Answer 8

The Codes of Conduct does not cease after the sending of the letter but last throughout the retainer - ongoing obligation to keep client informed with all aspects of matter.

Question 9

What is firm practice when it comes to established client?

Answer 9

As it is inapprpriate to provide all the information required by the CCS when working with an established client, some firms send annual client care letters and shorter letters once they receive instructions on each new matter.

Question 10

Provide a summary of a client care letter?

Answer 10

• confirmation of your client’s instructions and option
• general information on each party’s responsibilities
• cost information
• explaination of who will be dealing with the matter
• complaints procedure

Question 11

What things are highlighted in confirmation of client’s instructions?

Answer 11

• identication of client’s objectives
• explaination of issues/options available to them
• agreement on next steps
• agreement on appropriate level of service/hoe you will keep client informed of progress

Question 12

What things are highlighted in each party’s responsibilities?

Answer 12

• explanation of yours and clients responsibilities
• explanation of anything which may limit the steps you can take on their behalf (i.e, potential conflict of interest)

Question 13

What things are highlighted in costs information?

Answer 13

• how you will charge the client (fixed, hourly)
• circumstances in which fee estimate could be exceeded and provision for firm to notify the client
• VAT, disbursements (payment solicitor makes on behlaf of client like court fees) and any additional fees

Question 14

What things are highlighted in explanation of who will be dealing with the matter and complaints procedure?

Answer 14

• information about the name and status of the person dealing with the matter and who is supervising them
• explanation of how client can complain if unhappy with service
• to whom they should complain
• details of firm’s complaints procedure