6 Client care - storage.googleapis.comstorage.googleapis.com/wzukusers/user-19095270... · 6 Client care 6.1 client care policy Oliver Fisher Solicitors is committed to providing
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Oliver Fisher Solicitors is committed to providing a high quality professional service to clients. The firm strives to ensure that its advice is expert, accurate, cost effective, and communicated in a manner that is appropriate for each client.
dealing with new enquiries
A potential new client will normally approach the firm by telephone, in person, or by email.
by telephone
If enquiring by telephone, a client’s first impression of the Firm will be from the manner in which the call is answered. When answering the telephone, the Receptionist (or person taking the call) should state clearly the name of the For, for example. “Good morning, Oliver Fisher Solicitors” in a professional but friendly tone.
When a potential client calls, the Receptionist establishes the nature of the enquiry, then transfers the call to the relevant Head of Department:
Russell Conway for housing and litigation enquiries
Jo Shortland for matrimonial and children
Deborah Mantell for conveyancing and wills
The Receptionist never makes a decision on whether to accept or decline work.
If the Head of Department is unavailable, the Receptionist transfers the call to the most senior fee earner available in the relevant Department. Property & Housing Fee Earner
If a potential client emails [email protected], or completes the website enquiry form, their enquiry is routed directly to the Senior Partner, Russell Conway. Similarly, any
emailed enquiries from the Citizens Advice Bureau or through Contact Law are also routed to Russell Conway’s inbox. Russell will either deal with the enquiry himself or forward the email immediately to the appropriate fee earner.
If however a client emails a fee earner through their link on the website, the email will go directly to that fee earner’s inbox.
in person
If a new client calls in person, the Receptionist will ascertain the nature of the enquiry and alert the relevant Head of Department, or the most senior fee earner available in that Department (see list above). Depending on the urgency of the matter and the availability of the fee earner, the Receptionist will either give the client an immediate appointment or arrange one.
If the fee earner is available, they should take the client into a meeting room rather than discuss possible services in the reception area (see below in relation to client confidentiality).
If the fee earner is unavailable, or if the client prefers to make an appointment, the Receptionist will record it in the appointments diary. He will tell the client what they need to bring to their appointment, such as their lease, tenancy agreement, or proof of eligibility for Legal Aid, following this up by emailing the client a standard letter confirming the date and time of the appointment and the papers they need to bring with them.
If the enquiry concerns one of the following issues, the client MUST be seen straight away:
Child snatch Domestic violence Expiry of a limitation period Illegal eviction
The firm will accept instructions only when it can provide an expert and professional service to clients. We will decline instructions that are beyond the expertise, capabilities or resources of the firm and the firm will not chase work for the sake of cash generation at the expense of other considerations. This is absolutely critical: see Principles 4 and 5, and O1.4 and Section 6.7 below. Section 5.5 of this manual contains a list of work that the firm will and will not undertake. The firm will not offer inducements to attract clients. If you are unsure whether the firm is able to act appropriately for a client, you should consult the Senior Partner, Russell Conway. For the procedure on accepting instructions generally, please refer to section 6.11 of this Manual.
confidentiality
All solicitors are bound by the professional rules requiring confidentiality in all dealings with clients. Please refer to Chapter 4, SRA Code of Conduct. You must not reveal to an outsider that the firm is acting for any named client, the nature of their instructions or the advice given, or indeed anything else including personal details, other than on the client’s written instructions. Nor must you disclose one client’s confidential information to another. See IB4.2. If you are unsure whether you should acknowledge that the firm acts for a given client, or give out a client’s contact details, check with your Head of Department or a Partner.
The duty of confidentiality must be reconciled with the duty of disclosure to clients. This duty of disclosure is limited to information of which you are aware which is material to your client's matter. Where you cannot reconcile these two duties, then the protection of confidential information is paramount. You should not continue to act for a client to whom you cannot disclose material information, except in very limited circumstances, where safeguards are in place. Such situations often also give rise to a conflict of interests, discussed in Section 5.8 above.
As part of the firm’s client-focused approach, fee earners must respond promptly to telephone calls, letters and emails from clients and others (eg estate agents and other solicitors). We aim to return telephone calls and reply to correspondence within the same working day. If you are unable to meet these timescales, you should arrange for an appropriate colleague to return the call or reply to the correspondence on your behalf.
referring clients to third parties
There may be situations where the firm will need or want to refer a client to a third party for advice or assistance. This may be because:
we have no expertise in the particular area of law we don’t have capacity there is a conflict of interest
the client requires a non-legal service, such as financial advice
Referrals should be made with regard to the client’s requirements and in the client’s best interests. Potential clients must never be referred to an outside firm until it is certain that Oliver Fisher cannot deal with the matter. The Receptionist is usually the first port of call and has a thorough knowledge of the work the firm will and won’t undertake. Nonetheless, all members of staff should familiarise themselves with the list of services the firm does and does not provide (see Appendix 5H). If there is any doubt, a senior Solicitor must be consulted.
to make a referral
Consider the needs of the client and the level of help they require
Discuss the need for the referral and which agency to refer them to with the client – see selection criteria below when considering possible referral agency options
Obtain the client’s consent on the Referral Form (see Appendix 6A) to enable the transfer of information regarding the client’s case
Telephone the chosen agency and make an appointment for the client – ensure cost implications/access issues are clarified with the organisation if required
Inform the client of any cost implications – record this on the file
Complete the remainder of the Referral Form (see Appendix 6A)
Make 4 copies of the Referral Form, hand one to the client, retain the second in the central record of referrals, retain the third on the case file and the fourth is to be sent to the receiving organisation
Copy all relevant file notes and send to the receiving organisation with the fourth copy of the Referral form
Ensure the client is informed (verbally) that should they not receive the service they expect from the receiving organisation, they re-establish contact with this firm
to actively signpost a client
Consider the needs of the client and the level of help they require
Discuss the need for active signposting and which Agency to refer them to with the client – see selection criteria below when considering possible agency options
Ensure cost implications are discussed with the client
Ensure the client has a written copy of the address and contact number of the service to whom they were actively signposted
We do not routinely keep records of active-signposting, but will sample the number and types of active signposting in December and June.
selection criteria
The following issues must be considered when selecting a service provider to refer/signpost the client:
Location of client
Category of law/nature of query
Funding options/cost implications
Availability of public transport
Disabled access
Please bear in mind that different clients may place more weight on different criteria – discussion with the client is essential.
Quality Marked services should be chosen from the CLS Directory where available (these are marked with the CLS Logo); failing that, choose an organization from the firm’s list of approved agencies.
where a client returns after unsatisfactory signposting/referral
Where a client returns to us, dissatisfied with the service they have received from the selected organisation, the reason for their dissatisfaction must be explored before a further course of action can be taken.
If we have inappropriately signposted/referred, consideration must be given to the reasons for this (eg. Directory information incorrect etc - if so complete the CLS complaints form giving details of entry and problems). The client should be re-signposted/re-referred
If the accepting organisation is appropriate, but the client is unhappy with the service received, discuss the possibility of the client using the receiving organisation’s complaints procedure to resolve their difficulties. Where this causes difficulties or has been exhausted, re-sign/re-refer
Complete the ‘Supplier Feedback Form’ and file in the central record. Where the matter shows a significant potential problem, inform the Supervisor of the issues. The Supervisor will consider whether to stop referring/actively signposting to that organisation in the future
maintenance of central referral file
An information record will be completed for all organisations to whom we refer or actively signpost clients if that organisation does not appear in the CLS Directory.
Where feedback (positive or negative) is received from any source regarding suppliers listed in our own records, complete a feedback form and file with the organisation’s details in the central record
Where the feedback shows a significant problem with the organisation, inform the Supervisor – this may lead to the record being amended to ‘Do Not Use’ status- this can be done by the Supervisor at any time. If you wish to add a new supplier, discuss this with the Supervisor and justify the reasons for adding them. The Supervisor will make the final decision based on the evidence you present.
The Supervisor will review the feedback forms annually and amend any records and the status of the organisation as appropriate
annual review of active signposting and referral
The Partners will review the central records for active signposting (data from December and June) and referral and record the following statistics;
Number of clients actively signposted during the year (this figure will be extrapolated from the two months’ worth of data)
Total number of clients referred during the year
Top five types of cases referred/signposted on
The number of times where no suitable service provider is found
This information will feed into the review of the Strategic Plan and the following issues will be considered:
Do we need to build better links with the top ten receiving agencies?
Are we advertising our services correctly – do we attract an inappropriate client group – should we review the advertising material?
Do we need to pass on information to the LAA regarding clear ‘gaps’ in service provision?
The Supervisor will also review the central record of referrals and active sign postings to ensure all advisers are taking a consistent approach according to this procedure.
reasonable adjustments for disabled clients
The firm takes very seriously its legal duty to make reasonable adjustments for disabled clients, ensuring (as far as possible) that disabled people can benefit from the firm’s services in the same way as able-bodied people. The Partners have assessed the firm’s premises and processes, with a view to removing any obstacles which might place a disabled person at a substantial disadvantage or create a barrier which would prevent them from accessing the firm’s services.
The steps taken include:
providing documents in large print to assist clients with sight difficulties allowing assistance dogs into the office
making home visits to clients with mobility impairments or agoraphobia a lift is available to assist clients in accessing the firm’s offices
If any member of the firm has a suggestion for improving access to our services or the quality of our service to disabled people, they should email details to Russell Conway for consideration by the Partners.
vulnerable clients
Whatever the manner of initial introduction it is important to ensure that clients are not acting under duress or by other third party involvement. A client might wish to bring a relative or friend with them to a meeting: that is entirely acceptable, but fee-earners are to ensure that the client is acting of their own free will.
6.2 welfare benefits
This procedure covers the steps to be taken to meet the needs of clients for welfare benefits advice, both internally and by referral.
the need for welfare benefits advice
The firm recognises that clients, particularly those eligible for Legal Aid, may also be entitled to claim welfare benefits. Clients may not always be claiming all those benefits to which they are entitled, or there may be problems with the benefits they are receiving.
Fee earners will endeavour to assist clients with welfare benefits problems. Training and reference materials are provided to ensure that all fee earners have an awareness of the benefit system, and keep that knowledge up-to-date.
Fee earners should initially raise queries about welfare benefits with Jo Shortland.
If a client needs welfare benefits advice which is beyond the skills or abilities available within the firm, he or she should be referred to one of the organisations below: -
Chelsea Citizens Advice Bureau Old Town Hall, Kings Road London SW3 5EE Tel: 0207 351 2114 Clients seen by appointment: Monday, Wednesday, Thursday, Friday: 10.00-12.30 Kensington Citizens Advice Bureau Westway Advice and Information Centre Ladbroke Grove London W10 5ND Tel: 0208 960 3322 Clients seen at drop-in sessions and by appointment. Monday, Tuesday, Wednesday, Friday: 10.00-12.30 If neither of CABs is convenient for the client: NACAB London Region, Tel: 0207 251 2000 will be able to provide details and opening times of the nearest CAB.
6.3 pro bono work
This will only be undertaken in limited circumstances. Obviously, the availability of public funding will first need to be fully explored with individual clients.
employees of the firm:
(a) conveyancing: one free purchase or sale of their own home per year, otherwise 25% of our minimum conveyancing fee
(b) litigation: free oral advice on problems as they arise, otherwise at the discretion of the fee earner, although of course we aim to help our own employees
close family members of employees: reduced fees of 25%, subject to Partners’ approval. Contingency fee basis may be applicable
existing clients: free advice should be limited to face to face oral advice, and is sometimes desirable as it can lead to instructions being given on a new matter by an existing client
new clients: trainees may give fixed fee interviews for thirty minutes for a set fee, including VAT
charities: the firm, at present, has no specific policy on pro-bono work for charities – and it should be at the discretion of individual Partners – although if the matter is substantive, it should be referred to the two Partners
N.B. No free telephone advice should ever be given to unknown clients.
6.4 taking instructions
All new clients must be given a Client Questionnaire to complete – this may be done in reception, or must otherwise be posted to the client with the initial pack (see Appendix 6B).
The fee earner must record the client’s requirements on an attendance note, and enter a summary on the file summary sheet.
Fee earners must discuss the following points with the client to ensure that they understand the client’s requirements and that the client understands the services that Oliver Fisher can provide:
Who will be handling the client’s case and how the client should contact the firm (especially in the event of a problem)
The fee earner’s advice on the basis of the information available
What action the fee earner will be taking to deal with the case; in particular, what the next step is and what action (if any) the client has to take
The timescales involved in the case, in particular when the fee earner is next likely to contact the client
Whether the client qualifies advice and assistance under the ‘Legal Help at Court Scheme’, or public funding
If the client is paying privately, the fee earner should give them the Oliver Fisher ‘Guidance on Fees’
Legal Help clients
It’s the fee earner’s responsibility to check the client’s eligibility for Legal Help assistance. This means proof of benefits within the last month. The minimum we require is a letter confirming receipt of benefits and a bank statement dated within 1 month of the client’s first appointment.
In the case of employed persons, 3 pay slips are required.
In the case of self-employed persons or cases of greater complexity (i.e. no obvious means of support) please consult the LAA Guidance. If proof of eligibility is not forthcoming a file should NOT be opened.
limitation in acting for a client
If it becomes apparent that there will be limitations on the work which can be done for the client, for example because Legal Aid is not available for the step the client wishes to take, or because the client has a claim in contract under £3,000, they must be advised as soon as possible.
When the client instructs Oliver Fisher, a member of support staff will open a new client matter file on the Quill system, paying particular attention to the following fields:
CLIENT DETAILS
Make a new client file
Source of introduction: eg advertising/client referral
Ethnicity: see initial client questionnaire
NEW MATTERS
Description, eg for a conveyancing matter - address of sale or purchase
New number
Dates, eg when file is next to be reviewed
Fee earner and Supervisor: eg R. Conway – Partner: R. Conway
Public funding (Legal Aid) Code: Franchise. See initial client questionnaire. When Public Funding Certificate is returned, go to edit and edit and enter details Span 1 Span 2. End Point.
Type of case eg Landlord and Tenant, Probate
The above information is vital to time recording and must be entered.
No member of the firm is to give ‘ad hoc’ advice. It is plain that such advice will nonetheless bind the firm, possibly with grave consequences. You must always insist on a full and proper review of a client’s matter. If the client is unwilling to agree, then you must decline to act and you must not offer any advice at all. You must be aware of the very serious risks in advising on what are in essence complex transactions without a detailed understanding of the matter and without recording a file note: see Padden -v- Bevan Ashford [2013] EWCA Civ 824.
At or near the outset of every matter, in accordance with Chapter 1 of the SRA Code of Conduct, the fee earner must send the client an initial letter accompanied by the firm’s standard terms of business (see Appendix 6B) and an estimate of costs, setting out:
the client’s requirements and objectives. This should be based on a detailed file note of the fee earner’s first meeting or telephone conversation with the client, or on the client’s emailed instructions. It is the firm’s policy to meet clients wherever possible. The purpose of this is to ensure that what the firm intends to do for the client matches their understanding and expectations. You must be specific. You must not offer any advice without a full understanding of the issues. If necessary you must write a holding letter to explain that you cannot advise until the full facts are known
a clear explanation of the issues involved and the options available to the client. You must not offer advice which involves wholly unmeritorious applications to the Court: the clear dangers in such an approach are set out in R -v- Secretary of State for the Home Department ex p Butt and others [2014] EWHC 264 (Admin)
what the firm will and will not do. See IB1.5, and see Butt above. In estate administration cases, set out whether the retainer is for obtaining the grant and dealing with the entire administration of the estate, or whether it is limited to particular aspects of the process, and, if limited, exactly which elements are included and excluded
the next steps taken – the fee earner should seek the client’s agreement
a commitment to keep the client informed of progress. Frequency and manner of communication are to be determined in consultation with the client in accordance with IB1.1
the timescale in which the firm will deal with the matter. See IB1.1
the method of funding. See IB1.5. If public funding, explain the statutory charge as well as the importance of paying contributions and the effect of not paying them. The client should be given a copy of the Legal Aid Agency’s leaflets ‘What Happens Next- Your Civil Public Funding Application’ and ‘Paying back the Legal Aid Agency – The Statutory Charge’
a consideration of whether the intended action would be merited on a cost-benefit analysis, including any risk of having to pay someone else’s legal fees. See IB1.13, and Butt above
the level of service the client can expect. See IB1.1
the firm’s responsibilities and the client’s responsibilities. See IB1.2
the name and status of the person acting, with the details of the person responsible for overall supervision. The client must be informed if the fee earner changes. See IB1.3
the options available and the main steps to be taken and by whom
specific advice on the costs implications of the instructions received and the advice provided, with particular explanation of the Statutory Charge (if relevant). See IB1.5, and 1.13 – 1.19
agreed objectives of legal action, with details of any limitations or conditions, for example arising out of the way in which the matter is funded
in disputes, whether mediation or some form of ADR would be more appropriate options
details of the appropriate contact in the event that the client is concerned with the progress or some element of the handling of the matter, with details of the firm’s complaints policy
the general terms of business under which the firm acts
as well as providing information about the firm’s complaints process under O1.9, 1.10 and IB1.22, O1.14 requires the letter to clarify that a complaint can also be about the firm’s bill, that there may also be a right to object to the bill by applying to the Court for an assessment of the bill under Part III of the Solicitors Act 1974, and that if all or part of a bill remains unpaid the firm may be entitled to charge interest
On rare occasions it may not be appropriate to send out normal terms of business, such as:
where the client has reading or learning difficulties
where the client has sight or language difficulties
certain instances of mental health work where the client might be distressed to receive such correspondence
instances of limited and ‘one-off’ advice – you must bear in mind the warnings above
In these circumstances you must make a full file note for the matter file setting out the reasons why a client care letter has not been sent out and detailing any alternative action you have taken including how the information has been communicated. See Padden –v- Bevan Ashford Solicitors, above.
Your letter defines the contractual relationship between the Firm and the client. The Court has addressed what happens where there is no letter or where there is confusion over the scope of the retainer, see Tom Hoskins Plc v EMW Law (a firm) [2010] EWHC 479 (Ch) (11 March 2010) especially at para 99 – 105.
public funding and the Legal Help Scheme
The following points are covered by the firm’s standard letters (Appendices 7C (ii) and (iii)):
the operation of the Statutory Charge in cases where it could apply
the duty to pay any Legal Aid contributions assessed, and that the certificate may be discharged if they fail to do so. The client must also be informed that if his or her circumstances change, for better or worse, the Legal Aid Agency must be informed
the possibility that if the client wins the case the opponent may not be ordered to pay the full amount of the client’s legal costs, or may be unable to pay what has been ordered; and that there are circumstances in which a publicly funded client may be ordered to pay the other side’s costs
the possibility that if the client loses the case, they may be ordered to contribute to the other side’s costs, even though the client’s own costs are covered by public funding
an Emergency Public Funding Certificate may be revoked if the client is found not to qualify financially
an indication of the likely cost of the matter, unless the case falls into one of the following categories: - non-means/non-merit tested public law child care – Child Abduction & Custody Act cases, and registration of foreign orders under regs. 14 & 15 Civil Legal Aid regs 1989
Fee earners should also dictate an introductory paragraph covering the client’s instructions, objectives and likely timescale.
6.7 standing terms of business (regular clients)
The firm has repeat business from satisfied clients, but it is not the firm’s policy to have standing terms of business with regular clients. Every new instruction is dealt with in the same way, by sending out an initial letters, with an estimate of costs and the firm’s terms of business. Money laundering checks are carried out on all but the most long-standing clients, regardless of whether the firm has acted for the client before or not.
At the start of a matter and, when appropriate as the matter progresses, all fee earners must give the client the best possible information about the likely overall cost of the matter. This is dealt with at O1.13 and IB1.14 – 1.18. See also Law Society Practice Note on publicising solicitors' charges. Fee earners in all departments should send out a separate estimate of costs at the start of the matter, setting out clearly the firm’s fees and any anticipated expenses (see IB1.15). IB1.21 requires disbursements included in the bill to reflect the actual amount spent or to be spent.
In particular, fee earners must remember that they are obliged to:
advise the client on the basis of the firm’s charges, whether it is fixed fee or hourly rate. If the firm is charging on an hourly rate, you must also supply additional information, for example an estimate of total cost, an agreed costs ceiling, or the date of a costs review. The firm favours, where possible, a costs ceiling, beyond which we will not proceed without the client’s written consent
advise the client if charging rates are to be increased or the method of funding has changed
inform the client immediately if it becomes evident during the course of their matter that the costs are likely to exceed the initial estimate, giving a breakdown of costs and explaining why they have increased
advise the client on any payments which you or they may need to make to others, such as disbursements, referral fees, Court fees, or barristers fees
discuss with the client how they will pay, for example money on account and the firm’s requirement for the client to provide top-up funding as the matter progresses. You must advise the client where other sources of funding are available, particularly in litigation matters, for example public funding or legal expenses insurance
advise the client that there are circumstances where the firm may be entitled to exercise a lien for unpaid costs
advise the client of their potential liability for the other party’s costs with an assessment of whether the case is worthwhile in the light of this risk
Publicly funded clients, advised about the likely cost of the matter at the outset, must be updated as to the actual profit costs and disbursements to date when there is any substantial change in the likely cost of the matter (for example when a Limitation is raised).
Where there is no such substantial change, the client must be so advised at least every six months, using the letter at Appendix 6D. The initial estimate given to the client must also be revised if necessary. Fee earners must write to update all publicly funded clients with ongoing matters in February and September each year.
Legal Help Scheme clients – updates on costs
Legal Help clients must also be advised when the likely cost of the matter is increased, i.e. at each Legal Help Scheme extension.
When a fee earner applies for a Legal Help Scheme extension, or when one is granted using devolved powers, he or she must make a diary entry five months ahead. He or she must then write to the client giving the information on costs indicated above.
6.9 complaints handling procedure
The firm is committed to providing a quality service to clients. As part of this, members of staff need to identify and acknowledge client dissatisfaction when it arises and address any client complaints promptly, fairly, openly and effectively - see O1.11.
A complaint is not always a letter headed “complaint”. It can be a letter expressing dissatisfaction. It can be a phone call, a visit to reception or an angry email. Anything that appears to express dissatisfaction with the firm’s work should be referred to Russell Conway the Complaints Partner, and he will take a view on how best to deal with it. He will decide whether the matter might be resolved informally, or whether it should be formally
recorded as a complaint and dealt with under the firm’s written complaints procedure (see Appendix 6E).
The firm’s written complaints procedure complies with O1.9-1.11 and IB.22-24. It is designed for ease of client use and understanding, to be responsive to the needs of individual clients, especially the vulnerable, and to ensures that the Partners:
know about client dissatisfaction if and when it does arise
take all reasonable steps to ensure that the dissatisfaction is addressed and resolved wherever possible and in the shortest possible time
reassure all clients who do complain that the firm will address their concerns without delay and that it takes all complaints seriously
learn from experience to lessen the risk of complaints in the future
In accordance with O1.9 and IB1.22, the firm advises the client at the start of the matter, in the terms of business, that if there is a problem:
the client is entitled to complain, including about a bill
the firm will supply a copy of its written complaints procedure if asked
the client should address their complaint to the Senior Partner, Russell Conway
When a client makes a complaint, the Senior Partner will write to them explaining:
how the firm will handle the complaint
in what timescale the firm will give an initial and/or substantive response
if the client is not satisfied with the Senior Partner’s response, the Partners will review the outcome
if the client is still not satisfied, the Senior Partner will refer them to the Legal Ombudsman, providing the following contact details: Legal Ombudsman, PO Box 6806, Wolverhampton WV1 9WJ; telephone 0300 555 0333; [email protected]; www.legalombudsman.org.uk
Russell Conway will complete the complaints report form at Appendix 6D, and place it on the central complaints register. He will investigate the complaint according to the firm’s written procedure, identifying the cause of any problems, and offering appropriate redress if he considers the compliant to be justified.
Client complaints will usually involve no risk of loss to the firm or the client, but if there is any risk that the complaint could amount to circumstances that should be reported to our insurers, we must err on the side of caution by reporting it as such. If there is any risk that the complaint could amount to circumstances that should be reported to the firm’s insurers, the Senior Partner will report it immediately.
The Partners will use complaints positively as a learning experience. The firm will identify the cause of the complaint, considering whether an individual or a team would benefit from targeted learning, and correcting any unsatisfactory procedures.
The Partners will also include an analysis of the complaints record in the annual risk and client care reviews, to help us learn from our experiences and to address any underlying problems. In this way the firm can use its complaints data to help to prevent future difficulties.
complaints about bills
The Solicitors Remuneration Order 1994 has been repealed. This removes the remuneration certificate procedure and clients' statutory rights to information about challenging a bill. Instead O1.14 of the Code of Conduct 2011 requires the firm, as part of its complaints-handling duties, to inform the client at the outset and in writing of the following points:
they are entitled to challenge or complain about their bill
there may also be a right to object to the bill by complaining to the Legal Ombudsman, and/or by applying to the Court for an assessment under Part III of the Solicitors Act 1974
if all or part of the bill remains unpaid, the firm may be entitled to charge interest
complaints referred by the Legal Ombudsman (LO)
It is possible that a client may complain direct to the Legal Ombudsman without first following the procedures stated above. In such circumstances the Legal Ombudsman will immediately refer the complaint to COLP who is the appointed liaison. The normal complaints procedures will then be followed.
The Legal Ombudsman contact details are as follows:
There may be occasions when the firm may make a complaint, either against another solicitor through the Legal Ombudsman or through other procedures. Any complaint of this nature must be authorised by a Partner to avoid damaging the firm’s professional and commercial standing.
The firm has a client satisfaction survey (see Appendix 6G) covering all aspects of the firm’s service from dealing with the initial enquiry, to the approach of the fee earner and support staff, and whether the firm offers value for money.
The survey is sent to every client on completion of their matter, unless there is good reason not to do so, for example the client has reading or cognitive difficulties or is mentally ill.
The Partners take client care and client satisfaction very seriously. The Senior Partner considers data generated by client satisfaction surveys on a quarterly basis, analysing trends in overall levels of satisfaction, satisfaction levels for individual fee earners and areas of work, views on service levels, support staff, and value for money. He also includes review and analysis of the year’s client satisfaction survey data in the annual client care and risk reviews, making changes based upon the feedback following the reviews.
The results of the survey will be published internally annually and staff will be asked to respond with suggestions for improvement.
6.11 procedure to accept or decline instructions
The firm is not obliged to act in all cases. Fee earners should consider all new instructions carefully, particularly those from new clients.
In every case, before accepting instructions fee earners should:
1. check the client’s identity in accordance with Section 5.13 above
2. check for conflicts of interest in accordance with Section 5.8 above
3. assess the risk involved in accordance with Section 5.4 above
The firm may not decline to act on grounds contrary to its equality and diversity policy (see section 4.2 above). It could (or should) decline to act, however, on any of the following grounds:
the firm cannot meet any of the Principles
there is an own conflict or a client conflict of interest unless the circumstances in Os3.6 or 3.7 apply and you have followed the procedure set out in Section 5.8 of this manual. For further guidance on this complex area, see IBs 3.1 - 3.14 inclusive
the client refuses to company with anti-money laundering checks
the firm does not have that specialisation, or wishes to restrict that area of work
the firm lacks resources and so cannot provide a proper level of service: the individual lawyer or department is working at full capacity. This is a continuing obligation and the firm must ensure that it will have sufficient resource to complete the matter. See O1.4
the instructions will lead to a breach of the law or Code of Conduct
the work would not be sufficiently profitable
the client has a track record of not paying the firm’s bills or has threatened or assaulted people within the firm
the client is engaged in business activities that the firm would not wish to be associated with
the firm has reasonable grounds to believe that the instructions are affected by duress or undue influence and do not represent the client’s wishes. See IBs1.25 and 1.28
When the firm needs to decline work because it falls outside acceptable risk levels, or because it is beyond the experience or competence of the practice (and therefore mistakes are more likely to happen) fee earners should
consult a Partner, as only they have the authority to decline work
notify the client promptly, explaining the reasons and advise the client to seek separate advice on the matter. In conjunction with the Partner you must consider whether the best interests of the client may require the whole of the client’s affairs to be dealt with in the context of that advice and if this is the case suggest that the firm ceases to act. If done by telephone, follow up in writing
suggest an alternative firm to the client and follow the procedure in Section 6.1 above
If the client refuses to take separate advice then you must provide the client with a written record of:
all the general advice given, and in particular any risks identified;
any offer of detailed advice and whether the offer was accepted or refused;
the client’s refusal to follow any advice given
and you must preserve a copy of the record as part of the file.
ceasing to act for an existing client
Situations may arise, or certain factors change, during the course of a matter, which mean that the firm should cease acting, particularly if:
the risk level becomes unacceptably high
the client relationship breaks down, for example on repeated refusal to follow advice
a conflict of interest develops
In such a situation, the fee earner should:
consider IB1.7 notify the Senior Partner to check that he supports this assessment beware tipping off a client suspected of financial crime notify the client immediately, explaining the reasons, if done so by phone, follow up in writing suggest an alternative firm to the client
The firm will cease acting only for good reason and will give the client reasonable notice. Note that it might be difficult to come off the Court record as acting. An application to the Court might be required.
We would be most grateful if you could complete all the questions below giving the information requested and ticking the relevant boxes, this will assist us in providing an even better service to all our clients.
NAME:
ADDRESS:
Tel. No.
Mobile (if applicable):
Email (if applicable):
Fax No. (if applicable):
Date of birth:
Place of birth:
Nationality:
National Insurance number:
1. How did you hear of us? Please tick appropriate box below
2. Please specify below type of legal problem by ticking appropriate box
Housing ☐ Conveyancing/Probate ☐
Family/Matrimonial ☐ Other (please specify) ☐
3. Are you a new or an existing client? Please indicate below
Existing client ☐ New client ☐
4. Are you a private paying client or would you like to be receiving assistance under the Public Funding Scheme, if your income and capital will allow you to do so? Please indicate preferred funding below:
1. LEGAL HELP We are advising you under the Legal Help Scheme. This permits us to advise and assist you in relation to your case. Please note that the work we are allowed to do is limited and it does not allow us to commence court proceedings or represent you in relation to such proceedings. To do so we need to obtain a public legal aid certificate. Please note that although the advice and assistance we can provide is covered by the Legal Help Scheme and our costs will be paid by the Legal Aid Agency there are circumstances whereby you may have to pay back all or some of your legal costs. This generally applies to cases which involve money and/or property. It is important to note that if, as a result of the advice and assistance we provide and whether or not court proceedings are actually commenced, you preserve or recover any money or property in whole or in part which has been in dispute then the Legal Aid Agency will take a first charge over that money or property to cover your legal costs. This is known as the statutory charge and I enclose booklet produced by the Legal Aid Agency entitled “Paying for your Legal Aid” which explains how this works. Two situations can usually arise:-
1. If it is money that you preserve or recover then all of that money must first be paid to this firm to be passed to the Legal Aid Agency who will retain the money pending payment of the costs incurred in your case. Once actual payment has been
made the Legal Aid Agency will release the money (together with any accrued interest) but less the amount of your legal costs.
2. If property is preserved or recovered then, unless and until your legal costs are paid in full, the Legal Aid Agency will take a
legal mortgage over that property and will charge interest until such time as your costs are repaid in full. You will then have to pay the principal amount of your legal costs and any accumulated interest when you sell the property. The Legal Aid Agency can sometimes agree to postpone the sale of the property particularly where the property consists of a home for yourself and/or your dependents.
It should also be said at this stage that if you do successfully preserve or recover money there is often a delay of some weeks or months before the Legal Aid Agency actually releases the money to you. COSTS/TIME ESTIMATE It is a requirement of the Legal Aid Agency to give you an estimate of costs under your public funding certificate if this matter goes all the way to a full hearing. It is of course very difficult to give an accurate estimate at such an early stage. However, given the available information, I would estimate at present that the likely costs would be in the region of £XXX plus VAT. I am also obliged to give you an estimate of the likely timescale for completing your case and, assuming that the case can be settled and resolved under the Legal Help Scheme, I estimate it will take between [x months and x months]. PEOPLE RESPONSIBLE FOR YOUR WORK I will be mainly responsible for the work done in this matter. If for any reason I am unavailable, please ask for my assistant or secretary who will be happy to take any message for you. We try hard to avoid changing the people who are handling your work but if this cannot be avoided, we will notify you promptly who will be handling your matter (and why the change was necessary). SETTING OURSELVES STANDARDS We operate a system throughout our office of insisting our staff meet with certain standards with regard to client care. Such standards include:
a) Clients should receive copies of all substantive correspondence; b) Telephone calls from clients wherever possible are to be returned within 24 hours if at all possible; c) Correspondence of any sort is generally to be dealt with on the same day that it is received; d) Letters to clients or other solicitors are to be written in plain succinct English; e) Appointments are to be given to clients without any undue delay.
There are other standards but these are the main ones that affect your dealing with us. Please remind us if you feel we are not keeping to these standards. In return, we ask the client to respond to our requests promptly and to pay our fees and disbursements (where applicable) without delay and in the case of completed sales and purchases this means on or before completion.
CHARGES AND EXPENSES Our charges are based on the time we spend in dealing with a case. Time spent on your affairs will include meetings with you and perhaps others; any time spent travelling; considering, preparing and working on papers; correspondence; and making and receiving telephone calls. Routine letters that we write and routine telephone calls that we make and receive will be charged as units of 1/10th of an hour. Other letters and calls will be charged on a time basis. We will charge per hour for each hour engaged on your matter until and unless we notify you of any change in writing. Please note that the current hourly rates of our solicitors and executives applicable to your case are those set by the Legal Aid Agency. In addition to the time spent, we may take into account a number of factors which include the complexity of the issues, the speed at which action must be taken, the expertise or specialist knowledge which the case requires and, if appropriate, the value of the property or subject matter involved. We will add VAT to our charge at the rate that applies when the work is done. At present, VAT is 20%. There may be certain other expenses, including payments we make on your behalf, such as court fees, fees for medical reports and barristers’ fees, which you will have to pay. VAT is payable on certain expenses. OTHER PARTY’S CHARGES AND EXPENSES We will discuss with you whether your charges and expenses might be paid by another person. Even if you are successful, the other party may not be ordered to pay all your charges and expenses or these may not be recovered from them in full and you are
always responsible in the first instance for our charges and expenses subject of course to the terms of your public funding certificate. If the other party is legally aided, you may not get back any of your charges and expenses even if you win the case. If you are successful and the court orders the other party to pay some or all of your charges and expenses, interest can be claimed on them from the other party from the date of the court order. We will account to you for such interest to the extent that you have paid our charges or expenses on account, but we are entitled to the rest of that interest. In some circumstances, the court may order you to pay the other party’s legal charges and expenses; for example, if you lose the case. The money would be payable in addition to our charges and expenses. We will discuss with you whether our charges and expenses and your liability for another party’s charges and expenses may be covered by insurance, and, if not, whether it would be advisable for you to have insurance to meet the other party’s charges and expenses. STORAGE OF PAPERS AND DOCUMENTS After completing the work, we are entitled to keep all your papers and documents while there is money owing to us for our charges and expenses. We will keep our file of papers (except for any of your papers which you ask to be returned to you) for a minimum of eight years. We need the file on the understanding that we have the authority to destroy it eight years after the date of the final bill we send you for this matter. We will not destroy documents you ask us to deposit in safe custody. If we retrieve papers or documents from storage in relation to continuing or new instructions to act in connection with your affairs, we may charge for such retrieval. We may make a charge based on time spent producing stored papers or documents to you or another at your request. We may also charge for reading, correspondence or other work necessary to comply with the instructions given by you or on your behalf. TERMINATION You may terminate your instructions to us in writing at any time but we will be entitled to keep all your papers and documents while there is money owing to us for our charges and expenses. In some circumstances, you may consider we ought to stop acting for you, for example, if you cannot give clear or proper instructions on how we are to proceed, or if it is clear that you have lost confidence in how we are carrying out your work. We may decide to stop acting for you only with good reason. We must give you reasonable notice that we will stop acting for you. If you have a public funding certificate which is discharged, cancelled or revoked then this too will require us to stop acting for you.
COMPLAINTS If you are dissatisfied with my work then you should make further complaint in writing to [Name] at this office. Oliver Fisher is committed to high quality legal advice and client care. If you are unhappy about any aspect of the service you have received, please contact Russell Conway on 0203 219 0145 or e-mail [email protected] or by post to our offices. We have a procedure in place which details how we handle complaints which is available at www.oliverfisher.co.uk. If you are not satisfied with our handling of your complaint you can ask the Legal Ombudsman PO Box 6806, Wolverhampton WV1 9WJ Telephone 0300 555 0333 or [email protected] (Website www.legalombudsman.org.uk Tel : 0300 555 0333) to consider the complaint. Normally, you will need to bring a complaint to the Legal Ombudsman within six months of receiving a final written response from us about your complaint.
AGREEMENT Unless otherwise agreed, these terms of business apply to any future instructions you give us. Your continuing instructions in this matter will amount to your acceptance of these terms and conditions of business. Even so, we ask you to please sign and date the enclosed copy of this letter and return it to us immediately. We can then be confident that you understand the basis of which we will act for you. This is an important document: please keep it in a safe place for future reference. MONEY LAUNDERING AND ID Like all firms of solicitors we are now required by law to apply procedures to guard against the risk of money laundering. It will help us to avoid any problems with your legal work if you bear in mind the following points: Identification checks: We may need to obtain formal evidence of your identity. This may be necessary even though we have acted for you before, or even if you are known personally to a member of staff. We will tell you if such evidence is necessary, but it may help us if you are
able to bring evidence to our first meeting. Normally the evidence we would ask for is your passport plus two or more documents to establish your address, such as recent utility bills, council tax statement, or bank statement. Source of funds: At the start of any matter we will normally ask you to tell us the source of any funds you will be using. It is simplest for us if the source is an account, in your name, in a UK bank or building society. If the source is an unusual one, such as an account in another country, or in the name or someone other than yourself, please tell us as early as possible, including the reason. Destination of funds: Where we are to pay money out to you, we will normally do so by cheque in your favour, or into an account in your name. If instead you want us to pay surplus money out into the name of someone other than yourself, please tell us as early as possible, including the reason. Confidentiality: We have always sought to keep our clients’ affairs confidential. However the Proceeds of Crime Act 2002 can oblige us to report information about financial offences to the National Criminal Intelligence Service. In particular if it seems that any assets involved in your matter were derived from a crime we may have to report it. This can include even small amounts of money and covers all offences including tax evasion and benefit fraud. If we have to make a report we may not be able to tell you that we have done so. A report may result in an investigation by the police or other authorities. I recommend that you retain this letter as it sets out the basis upon which we act for you in your matter and in particular the operation of the statutory charge which may affect anything you receive or preserve in your case. I trust this letter satisfactorily explains the general position, but should you have any queries, please do not hesitate to contact me. Yours sincerely
I write to advise that you have now been granted a public funding certificate on an emergency basis by this firm. This is on the basis of the financial information you have given us. We have applied to the Legal Aid Agency for a substantive certificate to cover the work required on your behalf. You should note that if for any reason this certificate is not granted by the Legal Aid Agency, you may be liable for your costs to this firm. An emergency certificate is presently in force and will be amended to a substantive certificate once the Legal Aid Agency have considered and approved your claim for public funding. Once this is granted, you should note the following. If you are paying a contribution to the Legal Aid Agency, you must continue to make these contributions, even if the case finishes, until your Public Funding Certificate is discharged and whether you are successful or not. It is a requirement that you notify the Legal Aid Agency of any change in your financial circumstances. This includes an increase or decrease in earnings and an increase or decrease in savings. You must also notify the Legal Aid Agency of any change of address. If you win the case, then a Court will usually order that my firm’s costs and disbursements such as barrister’s fees be paid by the other side. If you have paid a contribution and the Legal Aid Agency recovers all my firm’s costs from the other side, then your contribution will be returned to you. If, however, the Legal Aid Agency does not recover its costs from the other side, then you will not be refunded your contribution. An order for costs made by the Court against the other side usually means that your opponent usually has to pay most of the costs but not always 100% of the costs. The other important point to note is that if, as a result of these proceedings, you are paid any money (or retain or recover in whole or in part any property which may be in issue in these proceedings) then the Legal Aid Agency will take what is, in effect, a first charge over that money or property. Two situations can usually arise:-
1. If it is money that you are paid, then all of that money must first be paid to this firm to be passed to the Legal Aid
Agency. It will retain these monies on deposit pending payment of the costs incurred in your case. Once actual payment has been made then the Legal Aid Agency will release any monies due to you (together with any accrued interest) but less any monies incurred by the Legal Aid Agency and which is not recovered from the other side.
2. If property is retained or recovered as a result of these proceedings, then and unless and until my firm’s costs are paid, the Legal Aid Agency will take a legal mortgage over that property and they will charge interest on the extent of their charge. You will then have to pay the principal amount and accumulated interest when you sell the property.
Both of the aforementioned points are commonly known as the “Statutory Charge”. It should also be said at this stage, that if you do successfully recover monies there is often a delay of some weeks or months before the Legal Aid Agency actually releases the monies to you. As your Solicitors, we have no control over the length of time that the Legal Aid Agency takes to send any monies due to you and it is often the case that your lawyers suffer a similar delay before they are paid. Other matters to be noted are:- 1. The Public Funding Certificate states what aspect of your case it covers. It may well have a specific limitation or condition
upon it and any legal work carried out for you has to comply with any limitation or condition. It is not unusual to have a limitation or condition and provided it is justified it is possible to apply in order to extend the Certificate to cover more legal work.
2. The effect of being granted a Public Funding Certificate is that from the date of its issue the Legal Aid Agency (and not you, unless, as above, the Statutory Charge applies) pays for legal work on your case. The Certificate is not retrospective and does not cover any work done before the date upon which it was issued.
3. If the Legal Aid Agency decides at any time that your case does not have sufficient prospects of success or that you have not co-operated with the Agency, it can discharge your Certificate. This would mean that from the date of the discharge your legal costs will no longer be paid for you. In extreme circumstances, the Legal Aid Agency may revoke your Certificate which means that it is treated as never having existed and you become personally liable for all the legal costs since the Certificate started. An example of this where someone applies for Emergency Public Funding and it is granted before the Benefits Agency has carried out a financial assessment. If it later transpires that you were not financially eligible for public funding at all, your Certificate will be revoked. These examples are merely possibilities, but I have to advise you about them.
It is now a requirement of the Legal Aid Agency to give you an estimate of costs under your Public Funding Certificate if this matter goes all the way to a full hearing. It is of course very difficult to given an accurate estimate at such an early stage. However, given the available information, I would estimate at present that the costs would be in the region of £5,000 if the case goes all the way. Most cases do settle in which case the costs would be lower. I trust this letter satisfactorily explains the general position, but should you have any queries, please do not hesitate to contact me. Oliver Fisher is committed to high quality legal advice and client care. If you are unhappy about any aspect of the service you have received or about the bill, please contact Jo Shortland on 0203 219 0145 e-mail [email protected] or by post to our offices. We have a procedure in place which details how we handle complaints which is available at www.oliverfisher.co.uk. If you are not satisfied with our handling of your complaint you can ask the Legal Ombudsman PO Box 6806, Wolverhampton WV1 9WJ Telephone 0300 555 0333 or [email protected] (Website www.legalombudsman.org.uk Tel : 0300 555 0333) to consider the complaint. Normally, you will need to bring a complaint to the Legal Ombudsman within six months of receiving a final written response from us about your complaint. Like all firms of solicitors we are now required by law to apply procedures to guard against the risk of money laundering. It will help us to avoid any problems with your legal work if you bear in mind the following points. Identification checks: We may need to obtain formal evidence of your identity. This may be necessary even though we have acted for you before, or even if you are known personally to a member of staff. We will tell you if such evidence is necessary, but it may help us if you are able to bring evidence to our first meeting. Normally the evidence we would ask for is [your passports, plus two or more documents to establish your address, such as recent utility bills, council tax statements, or bank statements]. Cash: We are normally only able to accept cash up to a limit of £500 in any 28 day period. Source of funds: At the start of any matter we will normally ask you to tell us the source of any funds you will be using. It is simplest for us if the source is an account, in your name, in a UK bank or building society. If the source is an unusual one, such as an account in another country, or in the name or someone other than yourself, please tell us as early as possible, including the reason.
Destination of funds. Where we are to pay money out to you, we will normally do so by cheque in your favour, or into an account in your name. If instead you want us to pay surplus money out into the name of someone other than yourself, please tell us as early as possible, including the reason. Confidentiality: We have always sought to keep our clients’ affairs confidential. However the Proceeds of Crime Act 2002 can oblige us to report information about financial offences to the National Criminal Intelligence Service. In particular if it seems that any assets involved in your matter were derived from a crime we may have to report it. This can include even small amounts of money and covers all offences, including the example tax evasion and benefit fraud. If we have to make a report we may not be able to tell you that we have done so. A report may result in an investigation by the police, the Inland Revenue or other authorities. The law contains exceptions. If you are concerned about how this may affect you, please ask us to clarify. I recommend that you retain this letter as it sets out the basis upon which we act for you in your matter and in particular the operation of the Statutory Charge, which may affect anything you receive or preserve in your case. Yours sincerely, Russell Conway
APPENDIX 6D Half yearly costs update letter for publicly funded clients Dear Re. Your Case/Costs
This is a standard letter which I am required to write, as part of the terms of my firm’s Community Legal Service Franchise, about the costs of your case.
I am required to inform you regularly of the amount of costs incurred in your case. Please note that you will not be required to pay these costs unless the statutory charge applies in your case. I am only sending you this information to comply with the requirements under this firm’s Community Legal Service Franchise.
I estimate the current costs incurred under your public funding certificate to be in the region of £ plus VAT. This includes all disbursements, expenses and barristers’ fees.
The current costs limitation on your public funding certificate is £ . As this limit is about to be reached I am required to seek an increase to cover the further work that needs to be done. I am asking for the costs limitation to be increased to £ . Please note that I may not be able to carry out any substantial non-urgent work on your case until the costs limitation has been increased by the Legal Aid Agency.
I now estimate that, if your case proceeds to a final hearing, your total costs are likely to be £[ ] plus VAT. Needless to say, I hope it will be possible to resolve your case before the final hearing takes place. Most cases do not go to a final court hearing. Please note that this is only a rough estimate based on approximate times and my present understanding of your case. It is not a detailed breakdown of all costs incurred and/or likely to be incurred in your case. At the conclusion of your case, your costs will be assessed, normally by the court, and the court will only allow my firm those costs that it regards as reasonable.
If there is anything in this letter which you do not understand, then do please discuss it with me when we next speak about your case.
The firm is committed to providing a high-quality legal service to all our clients. When something goes wrong we need you to tell us about it. This will help us to maintain and improve our standards.
Our complaints procedure
If you have a complaint, please contact the Senior Partner, Russell Conway, with the details.
What will happen next?
1. We will send you a letter acknowledging your complaint, where necessary asking you to confirm or explain the details. We will tell you who will be dealing with your complaint and also provide you with the contact details for the Legal Ombudsman with the postal and web address of that organisation. You can expect to receive our letter within 3 working days of receiving your complaint.
2. We will open a file for your complaint and record it in our central register. We will do this within 2 working days of receiving your complaint.
3. Our Senior Partner, Russell Conway will start to investigate your complaint and send you his detailed reply, or invite you to a meeting to discuss the matter. He will do this within 10 working days. The complaint investigation will normally involve Mr Conway examining your file and speaking with the person within the Firm who acted for you. If Mr Conway was acting for you, the investigation will be carried out by his partner Ms Jo Shortland.
4. If you would like to have a meeting to discuss and hopefully resolve your complaint, we will arrange this within 3 working days of your request. Within 3 working days of the meeting Mr Conway will write to you to confirm what took place and any solutions he has agreed with you.
5. If you do not want a meeting, or if it is not possible for any reason, Mr Conway will send you a detailed response to your complaint, including suggestions for resolving the matter. You will receive this within 21 days of the firm acknowledging your complaint.
6. At this stage, if you remain dissatisfied, you can let us know. We will arrange to review the decision. This may happen in one of the following ways:
Mr Conway, as Investigating Officer, will review the decision personally within 5 working days
OR
We will arrange for Mr Conway’s Partner, Ms Shortland, or someone who is not connected with the complaint, to review the decision
7. We will let you know the result of the review within 14 working days of receiving your request for a review. At this time Mr Conway will write to you confirming our final position on your complaint and explaining our reasons.
8. If you are still not satisfied with the firm’s decision at the conclusion of the complaints procedure you may refer the matter to the Legal Ombudsman PO Box 6806 Wolverhampton WV1 9WJ; telephone 0300 555 0333; [email protected];
www.legalombudsman.org.uk. There is a time limit for referring the matter to the Legal Ombudsman which is generally 6 months from the end of our firm’s complaint procedure and no later than 12 months from when the matter first occurred.
If we have to change any of the timescales above, we will let you know and explain why.