1. Session 6 Client care policy

2. 2 Contents Introduction Our clients Conducting the matter Costs Third parties, benefits and referrals Complaints and claims Accepting or refusing instructions and ceasing to act Confidentiality Our Client care policy Summary

3. 3 Introduction

4. 4 Client care All staff responsible Client care policy SRA Principles & Code of Conduct Good standard of service

5. 5 Our clients

6. 6 Treating our clients fairly We treat our clients fairly and with respect Explain to the client, record on the file, and confirm in writing any limitations or conditions Have proper regard to the client’s mental capacity or other vulnerability Consider whether a conflict of interest is present or has arisen We treat our clients fairly and with respect

7. 7 Client needs Are they used to dealing with law firms? Are they in a position to make informed decisions? Is our standard client care letter appropriate? Are they vulnerable?

8. 8 Vulnerable clients You should have proper regard to your client's mental capacity or other vulnerability, such as disability, incapacity or duress when: taking instructions, and during the course of the matter Three broad categories of vulnerable clients Clients who can make decisions and provide instructions, but due to disabilities need extra support Clients who lack mental capacity to make decisions and provide instructions Clients who are vulnerable to undue influence or duress and who may or may not have mental capacity to make decisions and provide instructions

9. 9 Factors indicating vulnerability Advanced age, children and young people Dementia Physical disabilities or ill-healthAcquired brain injury Cognitive impairmentCommunication difficulties Loss of mental capacity to make relevant decisions Heavy reliance on family or friends for necessary care or support Mental health problemsLong-term alcohol or drug abuse Learning disabilitiesExposure to financial abuse Sensory impairmentDifficulty in accessing and/or understanding complex information

10. 10 Identifying needs of vulnerable clients Can the client understand and act on the information and advice provided or do they need support? Does the client have requirements for communicating with you, for accessing our services or about how services are provided?

11. 11 Vulnerable clients—potential responses Vulnerability factorPotential response Client does not speak or understand English Use an interpreter or translator Client has physical disability Liaise with the office manager who will take appropriate steps Client needs longer to understand explanation, has speech impairment or communicates through third party Allow extra time for meetings Where client has a speech impairment, conduct conversations using text relay system Client has visual impairment Provide information in large print, Braille, audio, DVD or easy-read format Provide a reader

12. 12 Vulnerable clients—potential responses (cont) Vulnerability factorPotential response Client has hearing impairment Provide a sign language interpreter, lip-speaker or deaf-blind communicator Provide a portable induction loop Conduct conversations using the text relay system Client’s ability to attend the office is impaired by mental health issues Consider visiting client at home, with appropriate safeguards in place Client has cognitive impairment, particularly affecting memory Provide a digital recorder, dictaphone or electronic notetaker

13. 13 Equality and diversity agedisabilitygender gender reassignment marriage and civil partnership pregnancy and maternity racereligion or belief sexual orientation We encourage equality of opportunity and respect for diversity in our relationships with clients and others You must not discriminate on grounds of: We will make reasonable adjustments to ensure disabled clients aren’t placed at a substantial disadvantage and won’t pass on the costs of adjustments to these clients

14. 14 Conducting the matter

15. 15 Protecting clients’ interests Ensuring clients can make informed decisions about services they need options available to them how their matter will be handled

16. 16 Conducting the matter Tell client your name and status Tell client the name and status of the person with overall supervision of their matter Tell client in writing if person with conduct of matter changes or change of person to whom problems may be addressed Explain your and client’s responsibilities, record on file and confirm in writing Agree appropriate level of service with clients Ensure timely response to calls and correspondence

17. 17 Strategy and file maintenance Ensure the strategy for a matter is apparent on the matter file Develop a project plan for complex matters Maintain on the file: o letters, emails and other communications to and from the client o attendance notes or other records of information o a record of all explanations given to the client o a record of any steps taken to protect the client's interests o all costs and funding information and updates o all other documents relevant to the matter Maintain the matter file in an orderly fashion and keep filing up to date

18. 18 Regulation Tell clients if and how the services to be provided are SRA- regulated Tell clients how this affects protections available Ensure information sent to client reflects regulatory position If in doubt, ask your supervisor or the COLP

19. 19 Costs

20. 20 General costs information Provide information about: our projected fees expected disbursements whether rates might increase whether we will charge if matter doesn’t proceed whether client has potential liability for another party’s costs how often you will provide costs updates whether client has set an upper limit on costs

21. 21 Costs Agree and record payment terms with your client, especially how and when costs are to be paid Discuss whether potential outcomes are likely to justify expense/risk Explain whether any costs or funding issues give rise to any limitations or conditions on what you can do Discuss alternative methods of funding costs Tell clients about right to challenge or complain about bill and when they may be liable to pay interest on unpaid bill

22. 22 Third parties, benefits and referrals

23. 23 Instructing & introducing clients to third parties Instructing a third party on a client’s matter Introducing the client to a third party (danger !) We retain control of the matter on which we have instructed the third party Third party advises the client independently of the firm We have overall responsibility for that matter We may be responsible for the advice given by the third party Third party has a relationship with us rather than directly with the client Third party has a direct relationship with the client Third party invoices the firmThird party invoices the client directly Instructing third parties policyIntroductions to third parties policy

24. 24 Commissions and financial benefits Properly account to clients for any commissions or other financial benefit you receive as a result of their instructions Where you receive a financial benefit as a result of acting for a client, either pay it to the client or offset it against their fees Client care letter and terms of business contains information we are required to give to clients Commissions and financial benefits policy

25. 25 Referral arrangements and fee sharing Explain any fee sharing or referral arrangements that are relevant to the client's instructions Client care letter and terms of business Referral and fee sharing policy

26. 26 General retainers Be clear about: agreeing terms confirming on each matter that the matter is to be dealt with under the terms of the general retainer

27. 27 Complaints and claims

28. 28 Complaints You must: tell clients in writing at the outset of their right to complain to the Legal Ombudsman and how to do so refer any complaints to the Complaints Officer promptly respond to any enquiries by the Complaints Officer in relation to a complaint fairly, openly and effectively comply with our Complaints policy

29. 29 Claims against the firm Inform the COLP or Deputy COLP if you discover any act or omission that could give rise to a negligence or other claim against us Inform the COLP or Deputy COLP if a client indicates intention of bringing negligence or any other claim against us You must not seek to limit liability to a level below £3 million Ensure the limitation is in writing and brought to the client's attention

30. 30 Accepting or refusing instructions and ceasing to act

31. 31 Accepting instructions and ceasing to act consider whether you should decline or cease to act because you cannot act in the client's best interest refuse to act where your client proposes to make a gift of significant value You must:

32. 32 Accepting instructions and ceasing to act act for a client when instructions are given by someone else or by only one client in a joint matter unless person giving the instructions is authorised cease to act without good reason and without reasonable notice act for a client where reasonable grounds to believe instructions are affected by duress or undue influence discriminate unlawfully when accepting or refusing instructions You must not:

33. 33 Confidentiality

34. 34 Confidentiality All members of staff, including support staff, consultants and locums, owe a duty of confidentiality to clients Continues after the end of the retainer and after client’s death Keep the affairs of clients confidential (including bills) unless: o disclosure is required or permitted by law, or o the client consents Uncertain? Speak to your manager or the COLP

35. 35 Our Client care policy

36. 36 Client care policy All staff must be aware of and adhere to the policy You may be liable to disciplinary action if you fail to comply with the provisions of the policy If you notice a breach of this policy, you must inform me (the COLP)

37. 37 Summary

38. 38 Summary We are committed to providing a good standard of service to all clients We must have respect for the clients and their needs We must give clients key information on costs and funding We must handle complaints properly We have a duty of confidentiality to clients

39. 39 Final comments Any questions? Email to nigel.harper@parfittcresswell.comnigel.harper@parfittcresswell.com Update your training records in Compliance Manager