To have your work Timed select New Activity Sheet this will activate the clock and
the timer will commence once you’ve pressed Start
Ensure that the client matter number is correct
Select the activity type (insert activity code)
Select the number of units of time (insert time recorded)
Select description (although it does pre-populate this field with the standard
description depending on the activity code chosen) and what work done e.g. 001 LO
Client or e-mail client or LO ABC Solicitors
For Non-Chargeable time insert the relevant activity code and then the description
of the non-chargeable work
Each time recording activity, chargeable and non-chargeable, will be displayed on
your Timesheet as a timeline
7.3.2.3 Updating your timelines
During the day and at the end of every day you must update your timelines by selecting
TimeSheet Update from the Evolution menu bar. Once the timelines have been updated they will
change from white to blue.
7.3.2.4 Unknown Matters
When a client matter number is not yet known log the matter as Unknown then follow the above
time recording procedure. Once the client matter number is known select that particular timeline
on the timesheet ( assuming the View is set to All ). Alternatively you could choose your preferred
view by selecting one of the options on the drop down view menu. If you select Unknown form
the list then your timesheet view will change accordingly to only display those unknown timelines.
Once you have selected (highlighted) the particular unknown timeline click on the Assign button
on the toolbar and then enter (or search for) the matter number in the search field and then
complete the remaining screen fields.
Time on non-matter related activities such as business development, marketing, attending
seminars, writing papers should also be recorded in Evolution as non-chargeable work using the
appropriate work code.
7.4 Credit Management
Credit Management refers to the control and management of cash flow. Procedures are
prescribed to ensure that disbursements and work in progress are billed on a regular basis,
that effective debt collection procedure are in place to reduce the debt collection cycle, and
that amounts are transferred from the Clients’ Accounts to the Office Account without undue
delay.
7.4.1 Credit Collection Procedure
The Finance Manager is responsible for overseeing the credit collection process, and is assisted
by the Credit Controller, Sue Baines.
The Firm’s credit control procedures are based upon the following main principles:
a. Wherever possible, money on account should be obtained from the client in respect of fees
and disbursements.
b. Wherever possible and subject to obtaining the client’s consent, interim bills should be
raised at least every month. Smaller regular bills are less likely to be subject to non-
payment.
DOOTSONS LLP OFFICE MANUAL 19-03-15 150 of 221
c. Fee Earners remain closely involved in the credit control process not withstanding any
action taken by others such as the Accounts Department Staff.
d. A matter is not completed until the final bill has been paid.
e. There will be a process of escalating procedures for non-payment of bills finalising in
possible court proceedings being taken against the client.
f. The credit control procedures will automatically be activated for all outstanding client bills
except for
(i) conveyancing and other similar type matters whereby the bills are always paid at the
time of completion and
(ii) exceptional circumstances where a Partner intervenes to prevent some or all of the
procedures from taking place.
g. Every month the Credit Controller will issue an ‘Outstanding Bills’ report to the Head of
Department for instruction / direction on collection. This must be actioned promptly by the
Head of Department and returned to the credit controller.
The credit collection procedure is as follows for the Evolution system:
a. Unless otherwise notified by the Head of Department / Partner responsible for the matter,
the Firm applies a 30-day payment policy to all debtor invoices; the following procedures
shall take effect after the invoice becomes due and payable (i.e. after the 30 days);
b. Stage 1: 30 days overdue - Statement of account to be generated and sent by Accounts
Department. Letter 1 issued requesting payment within 14 days;
c. Stage 2: 60 days overdue - Reminder statement to be generated and sent by the
Accounts Department. Letter 2 issued requesting payment within 7 days and telephone call
to client;
d. Stage 3: 90 days overdue - Accounts Department contacts client to enquire about the
status of the payment. Letter 3 - Letter Before Action and telephone call to client;
e. Stage 4: 120 days overdue - Accounts Department liaises with the responsible lawyer;
Court Procedures discussed /authorised – N1 Court Application;
The Partner shall advise the action to be taken. The Partner may wish to take the matter
up directly with the client but shall advise the Accounts Department accordingly.
f. All credit collections activities and agreed payment arrangements shall be recorded by
the Accounts Department against the matter;
g. The Credit Controller shall generate each week, an aged list of debtors report by lawyer,
which shall be circulated to the lawyer responsible for the matter for their review;
h. The Credit Controller shall be responsible for monitoring debt collection procedures
above and reporting the same to the Finance Manager.
7.4.2 Client Balances Report
The Credit Controller shall generate a monthly client Outstanding Bills report with the following
information:
a. Matter number, Client name, matter description
b. Balance of outstanding debtor invoices
DOOTSONS LLP OFFICE MANUAL 19-03-15 151 of 221
The report shall be distributed to the Head of Department responsible for the matter.
At the end of every month the Credit Controller shall issues a ‘Work in Progress’ report to the
Head of Department who shall assess, with the Fee Earner concerned, whether any work in
progress shown against a matter is recoverable or irrecoverable in whole or in part and give
instruction to complete a ‘Balance Write Off’ form and issue to Accounts department to deal with
any write offs. See Appendix 7D Balance Write Off Form
The Fee earners will be provided with access to a report against their matters which will show
a. Matter number, Client name, Matter description, Matter type
b. Balances on Clients’ Accounts and Office Account
c. Balance of unbilled disbursements
d. Balance of outstanding debtor invoices
e. Balance of work in progress
Fee earners will:
a. Effect any outstanding client to office transfers
b. Clear any remaining small accounts balances on finished matters
c. Archive files on finished matters
d. Ensure that files do not remain dormant
e. Ensure that work in progress is accurate and recoverable
7.4.3 Managing Creditors and Suppliers
All creditors and suppliers invoices should be recorded in Evolution as a creditor’s invoice as
soon as they are received, regardless of when they are intended to be paid.
If the creditor invoice relates to a disbursement that is payable by the client, the creditor
invoice should be paid when the client has paid the same to the Firm. In the vast majority of cases
monies must have been obtained on account before disbursements are incurred.
7.5 Management of Clients’ Accounts
7.5.1 Familiarity with the Governing Rules
The Finance Manager shall ensure that that all staff handling Clients’ Accounts monies,
lawyers and personnel in the Accounts Department are well versed and comply with the
requirements of the Solicitors’ Accounts Rules 2011.
All payments into and from the Clients’ Accounts shall be in accordance with the prescribed
Financial Internal Procedures and Controls prescribed in section 7.2 above.
In addition, the procedures below relating to Clients’ Accounts shall also be complied with.
7.5.2 Access to Clients’ Accounts Balances information
Information relating to the Clients’ Accounts balances is made available to all Fee Earners
and staff should through Evolution.
7.5.3 Transfer of monies from Clients’ Accounts to Office Accounts
Once a bill has been raised, if there is money in the client account this is automatically flagged for
payment of that bill, as per Law Society Rules. The Accounts Department transfer monies from
client account to office account two to three times a week.
DOOTSONS LLP OFFICE MANUAL 19-03-15 152 of 221
If a Fee Earner requires money to be transferred from client account to office account then they
must inform the Accounts Department in writing, who will then process the transfer.
Transfers are done via RBS Bankline and authorised by a Partner.
7.5.4 Review of Clients’ Accounts Balances
All balances in the Clients’ Accounts shall be reviewed before the matter is closed or archived.
The Accounts Department shall conduct a periodic review of all matters whereby the Clients’
Accounts balances have not changed within the last 12 months, and shall recommend to the
Finance Manager the necessary action to be taken. The Credit Controller produces an annual
report on client credits held.
A statement of each Client’s Account balances should be generated and sent to the respective
client every 12 months. – not done – should a letter be sent to each client – 14-11-14 under
review SB/SR
ADS has said YES to letter
A Client’s Account can’t be inadvertently overdrawn as the Evolution system does not allow an
overdrawn client account. Any shortfall or anticipated shortfall or proposed funding of client
expenditure through office account must be approved by a Partner.
7.6 Management Reports
The Evolution system is capable of producing an extensive range of management reports,
including reports relating to Clients’ Accounts, Office Accounts and performance by Fee Earner /
Department and the Firm as a whole.
The Finance Manager shall prepare a monthly report on the Firm’s financial performance based on
a review of the management reports mentioned below.
7.6.1 Monthly Reports
The following main reports are produced by the Credit Controller for review by the Partners and or
Heads Of Department:
a. Fees delivered by Fee Earner/Department/Originator of work; - month end by Credit
Controller
b. Fees delivered per Fee Earner; month end by Credit Controller
c. Hours Billed or Written Off per Fee Earner; not currently done no comment from ADS
d. Hours Recorded per Lawyer; weekly & month end by Credit Controller
e. Hours Billed or Written Off per category of work;not currently done no comment from ADS
f. Hours Recorded per category of work; month end by Systems Manager
g. Budget Variance Reports – produced by SummIT Accountants
h. Client Debtor Reports per Lawyer; weekly by Credit Controller
i. Monthly Report on Accounts Receivables; weekly by Credit Controller
j. Monthly Report on Aged Debt List; weekly by Credit Controller
k. Weekly Report on Outstanding Creditors; done by Accounts Department
l. Monthly Balance Sheet for the Firm – Finance Manger
m. Monthly Cash flow Statement for the Firm; - Finance Manager
n. New matters opened by Fee Earner / Department / Category of Work; monthly by Systems
Manager
7.6.2 Annual Reports
The following main reports are produced annually by the Finance Manager:
DOOTSONS LLP OFFICE MANUAL 19-03-15 153 of 221
a. Annual profit and loss statements;
b. Annual balance sheet;
c. Annual cash flow Statement;
d. All reports which are required to be prepared to enable the auditors to carry out the
audit of the office and Clients’ Accounts.
It is important for the Firm to monitor the work in progress at the end of each month and financial
year. At the end of each month the Credit Controller shall provide to each Fee Earner a Work in
Progress Report (“WIP Report”) which will list all of the active files (i.e. files which have not been
closed) which they are responsible for, and which shows the work in progress (unbilled time
units and time value), for the Fee Earner’s review.
The Fee Earner shall advise as to
(i) the value of unbilled time which they expect will be billed
(ii) the value of time which they expect to be written down by completing the information
against the matter in the WIP Report.
DOOTSONS LLP OFFICE MANUAL 19-03-15 154 of 221
Appendix 7A – TT Out Form
DOOTSONS LLP
NOTIFICATION OF TELEGRAPHIC TRANSFER GOING OUT
DATE MONIES TO BE RELEASED:
OUR REFERENCE NUMBER:
OUR CLIENTS NAME:
PROPERTY ADDRESS:
AMOUNT GOING OUT:
OUTGOING BANK:
ACCOUNT NUMBER:
SORT CODE:
FOR CREDIT OF: INITIALS DATE
THEIR CLIENT: DATE
FORM COMPLETED BY:
RECIPIENT DETAILS ATTACHED
AND
SPECIFY DOCUMENTS ATTACHED
AUTHORISED
PARTNER:-
FOR ACCOUNTS USE ONLY
LAW SOCIETY WEBSITE CHECKED
BANK DETAILS CHECKED
DATABASE CHECKED /
FIRM CONTACTED
DOOTSONS LLP OFFICE MANUAL 19-03-15 155 of 221
Appendix 7B – TT In Form
DOOTSONS LLP
NOTIFICATION OF TELEGRAPHIC TRANSFER COMING IN
DATE MONIES EXPECTED:
OUR REFERENCE NUMBER:
OUR CLIENTS NAME:
PROPERTY ADDRESS:
AMOUNT COMING IN:
MONIES COMING FROM:
DETAILS:
OTHER DETAIL
SIGNED:-
DOOTSONS LLP OFFICE MANUAL 19-03-15 156 of 221
Appendix 7C DAILY CASH / CHEQUE FORM
INCOMING CASH
CULCHET
FE MATTER REF CLIENT NAME PA
DOOTSONS LLP OFFICE MANUAL 19-03-15 157 of 221
H AND CHEQUES Date : BANKED
TH OFFICE BANK/CASH AMOUNT
AYER
Appendix 7D Balance Write Off Form
DOOTSONS LLP BALANCE WRITE OFF FORM
CLIENT NAME : MATTER REF
Completed by Fee Earner No:
Amount of unrecoverable Date:
Costs Vat Disbs WIP Remarks/reason: Completed by Auth by Ptr.
FE and date Date
Comments Processed by Cashier
Date:
DOOTSONS LLP OFFICE MANUAL 19-03-15 158 of 221
Appendix 7E Third Party Payee Cheque Authorisation Form
DOOTSONS LLP
AUTHORISATION FORM FOR THE BANKING OF
THIRD PARTY PAYEE CHEQUES
Deceased Name
File Matter Number
Full Names of Executors
Payee on Cheque (and his/her connection to the
Estate if not obvious)
Reason for request for authorisation (if not
obvious) and any circumstances of which the
Member from whom authorisation is sought
should be aware in considering request
Signature of Fee Earner ……………………………………………….
……………………………………………….
Authorisation given by IH ADS
(please circle initials of Member authorising)
Date:-
Authorisation by Second Partner (where cheque
is for over £500.00)
Authorisation given by IH ADS ……………………………………………….
(please circle initials of Member authorising) Date:-
DOOTSONS LLP OFFICE MANUAL 19-03-15 159 of 221
Updated version of previous Office Manual
Section: 8 – RISK MANAGEMENT
Version: 1
Date: 23/12/14
8.1 Operational Risk Management
It is the policy of the Firm to recognise the importance of effective risk management at the
operational level. Risk management at this level concerns the minimisation of our risks of errors
in our advice and services to clients.
As part of our firm’s commitment to risk and compliance we have subscribed to Riliance, a web
based risk and compliance system. Riliance Software is a market-leading provider of risk and
compliance software to the legal profession, and is part owned by The Law Society of England and
Wales.
Although firms have a duty to appoint compliance officers who will oversee compliance within a
firm, it does not mean that these officers carry the compliance burden alone. All staff must play
their part in the firm’s risk and compliance strategy and the Riliance system enables you to do this
in an efficient manner.
The Firm’s main compliance officers are:
Ian Howells COLP
Andrew Stockton COFA
8.2 Annual Risk Audit
The Risk Manager will conduct an annual risk audit. The objective of the audit is to analyse trends
in the risk profile of the Firm and to determine improvements which are deemed appropriate. The
audit will review generic risks and acceptable risk levels for the Firm.
Following each risk audit, these actions might be taken:
a. Revising existing procedures or implementing new procedures in the Firm;
b. Designing and implementing additional training for groups or individuals.
The Risk Manager, Steve Rayson, must be notified of all circumstances which could give rise
to a claim in negligence or a complaint.
8.3 Generic Risks
The Firm recognises that there are generic risks associated with the type of work it carries
out. The main generic risks are identified as:-
For example,
a. Time Limits
b. Delay
c. Legal Knowledge and Expertise
d. Communicating With Clients
e. Communicating Within The Firm
DOOTSONS LLP OFFICE MANUAL 19-03-15 160 of 221
f. Communicating With Other Professionals
g. Delegation
h. Supervision and Consultation
i. Money-laundering and other Illegal Activities of Clients
j. Undertakings
k. Organisation
Many of the processes set out in this Manual are designed to minimise the generic risks
associated with the work carried out by the Firm.
8.4 Generally Acceptable Categories of Work
The Firm recognises that there are categories of work which are likely to fall within acceptable risk
levels. The Firm will generally accept instructions for these types of work unless there is deemed to
be good reason for not undertaking the particular matter.
Types of work that fall into the “generally acceptable” category are:-
(need to List types of work acceptable) - no comment by ADS
SR supplied list below
Commercial
Conveyancing
Employment
Family
Litigation
Mediation
Wills Trust and Probate
8.5 Generally Unacceptable Categories of Work
The Firm recognises that there are categories of work that fall outside acceptable risk levels.
There may, however, be good reason for undertaking the work. In such cases, the Firm must take
appropriate measures to minimize its exposure to risk.
Types of work which fall into the “generally unacceptable” category are:
Crime
Publicly funded (Legal Aid) work
Immigration
Any work where the client is a foreign national and resident abroad
Any work which is not subject to the laws of England and Wales
8.6 Reporting Risk
The level of risk presented by every file needs to be considered by the fee earner. Risk
monitoring is a continuous activity and the collective responsibility of all fee-earners.
8.6.1 Before
If a fee earner believes that the Firm will be exposed to an unusual degree of risk in acting in a
matter of that a particular case falls outside acceptable risk levels, the matter must be brought to
the attention of his or her Supervising Partner / Head of Department.
If the matter is referred to a Partner, the Partner shall refer the matter to the Head of Department if
he or she has any doubts as to whether or not to act in the case or where the Partner feels that the
DOOTSONS LLP OFFICE MANUAL 19-03-15 161 of 221
Firm should discontinue acting in the case. Reference is made in Section 10.6 Conflict Of
Interest
If it is decided that the Firm should not accept the case, the Firm must notify the potential
Client of its decision immediately in writing, giving reasons for the Firm’s non-acceptance and,
where possible, advice on whom the client should approach for assistance.
If it is decided that the Firm should take the case, additional safeguards should be considered and
agreed at the outset and must be written and noted on the matter file and signed off by the Head of
Department.
8.6.2 During
The risk profile of a matter could change at any time during the conduct of the matter. If the Fee
earner takes the view that the risk exposure for a certain matter has become unusually high, he or
she should raise this with their Head of Department or Partner as soon as possible.
If the matter is referred to the Supervising Partner, the Supervising Partner shall refer the matter
to the Head of Department if he or she has any doubts as to whether or not to continue
with the case or where the Supervising Partner feels that the Firm should discontinue
acting in the case. Reference is made to Paragraph 11.6 – Case Progress.
Any change in circumstances that affects the client should be raised with the client as soon as
possible. If the change in circumstances calls into question the accuracy or appropriateness of the
advice to date, then a risk notice should be completed and forwarded to the Risk Manager without
delay.
8.6.3 After
At the conclusion of every matter there should be a concluding risk assessment. This is noted on
the file closure sheet. If it is considered that the Firm should have done better for a client and that
they could complain about the service provided or make a claim, the fee earner must complete a
Risk Assessment form and forward it to the Risk Manager. See Appendix 8A Risk Assessment
Form.
8.7 Money Laundering Risks
8.7.1 Anti Money Laundering Officer (AMLO)
Andrew Stockton is the Anti-Money Laundering officer and XXX is deputy Anti-Money Laundering
officer. All members of the Firm must be conscious of and protect against the possibility of any
illegal money-laundering activities related to a new instruction.
For up to date guidance on Law Society Anti-Money Laundering click here
Online training is also provided by Socrates for each member of staff who deals with clients.
Training is organised by Sue Baines via our own Socrates account.
8.7.2 Client Verification
The main form of protection against this is the “Know Your Client” regime. This involves the Firm
being able to verify the identify of its clients and being alert to suspicious circumstances
suggesting the possibility of money-laundering. The identity of all clients must be verified on the
opening of a new matter, even if they are existing clients of the Firm.
The File Opening Procedure in Section 11 requires the staff member to obtain the necessary
documentary evidence from the clients.
DOOTSONS LLP OFFICE MANUAL 19-03-15 162 of 221
The Firm must know:
a. Who is the client?
b. Is the client who he or she claims to be?
c. Does the client identification evidence establish that?
d. Are the instructions coming from the client or is he or she a conduit for somebody else?
Do not be afraid to ask for further information if you are in any doubt about the information
provided. If you ask for references from a third party make sure you follow up the reference
yourself, do not rely on the client to provide these for you, and be cautious about accepting
unsolicited faxes. It is very easy to fake a reference on headed notepaper and then send it
by fax, purporting to come from a reputable source (e.g. a Bank).
Remember that the regulations require that the client must produce satisfactory evidence of his or
her identity as soon as reasonably practicable. The Firm’s procedures set out the minimum
requirements, but if you are not satisfied or there seems to you to be an unreasonable delay in
producing the identification requested then the matter cannot proceed.
Andrew Stockton has been appointed as the firm's money laundering reporting officer and XXXX
as deputy money laundering officer. All staff have access to the Money Laundering Compliance
Manual held in the computer system's electronic library. All new staff receive training shortly after
they join the firm and this training is updated when changes occur. The firm's client care letters
advise clients at the very outset of their matter of the firm's obligations under the Legislation.
The procedures are as follows:
8.7.2.1 Client Identification
A Customer Due Diligence Form (CDD) must be completed. See Appendix 8B Customer Due
Diligence Form. It is essential that the appropriate method of identification is followed and the risk
assessment completed. All risk assessments must be referred to the Head of Department for
approval before proceeding further. Has the CIF that was previously mentioned in this paragraph
BEEN REPLACED./RENAMED – CUSTOMER DUE DILIGENCE FORM – if so I’ve amended the
wording to correspond to the form name
Two copies of the identification evidence must be taken, one set to be attached to the CIF (CDD)
and placed on a separate tag on the client file, and the other set to be attached to a copy of the
CIF (CDD) and sent to Reception at the Leigh office for placing on the central record held there.
8.7.2.2 All Clients
When the identification process has been completed the top right hand side of the outside front
cover of the file must be noted as follows: 'CIF (CDD) complete' and the fee earner or secretary
should add their initials and the date.
8.7.2.3 Reporting circumstances
The form Money Laundering Report Form B must be sent to Andrew Stockton by e-mail by the
member of staff reporting the matter who should then ring him to discuss it (or sent to and
discussed with XXXX in Andrew Stockton's absence). See Appendix 8C Money Laundering
Report Form B
8.7.2.4 Payments of cash into the firm
We will not ordinarily accept cash payments of more than £500 at one time and a total of £1,000 in
a 28 day period.
DOOTSONS LLP OFFICE MANUAL 19-03-15 163 of 221
8.7.2.5 Queries
Any queries relating to money laundering should be raised with Andrew Stockton or, in his
absence, XXX.
8.7.3 Client Verification
8.7.3.1 Individuals
You need to obtain evidence of the true full name (and names used if different) of the client and
their current permanent address, including postcode. Remember the client can sometimes be
more than one person and all will need to provide the evidence required.
Evidence of personal identity can be by:
Generally ask for either:
current photo card driving licence (gives name, address and date of birth), or
passport
NB A driving licence includes a six digit number that gives the date of birth in coded form, as
follows. The first and last numbers are the year of birth. The second and third numbers are the
month of birth. For a female, ‘5’ is added to the second number and the total used as the second
digit. So for a woman born in October the second and third numbers would be 60.) The fourth and
fifth digits show the day of your birth. So for a woman born on 04/03/61, the number would be
653041. For a man it would be 603041.
If a client has no photo i/d you may accept an old style driving licence, benefit book, or cheque
drawn on bank account in their name as evidence of name, plus proof of address as below.
Documentary evidence of address can be:
Generally ask for either:
recent utility bill,
council tax bill,
bank statement,
entry in electoral roll or phone book.
All clients who are resident in the surrounding areas of our offices should be able to attend one of
our offices (face to face) to provide you with the original documents. You should take two copies
of each document and date and sign the copies to keep for the records. The meeting is also an
opportunity to check other information you may require for the transaction.
Excuses for not attending the office in person should be treated with caution.
8.7.3.2 Partnerships/Unincorporated Businesses
You must obtain the same evidence required for individuals from the principal beneficial
owners or controllers. These are often the signatories on the bank account. For Firms of lawyers
and accountants, a copy of an entry from a reputable professional directory will be sufficient
evidence of identity. However you will need to check that the person you are dealing with is
authorised to act on their behalf.
DOOTSONS LLP OFFICE MANUAL 19-03-15 164 of 221
8.7.3.3 Trusts
Particular care needs to be taken in verifying identity in relation to trusts, because trusts,
particularly offshore trusts, are favourites amongst money launderers since they can be used to
mask the origin and ownership of funds.
The lawyer should ascertain the identity and particulars of the trustee and nature of the trust and
the identity of the principal beneficiaries of the trust.
Particular care and heightened scrutiny is required when dealing with off-shore trusts, which are
registered in tax haven countries or countries with strict banking secrecy.
For trusts, verify at least two trustees. In higher risk cases obtain evidence of all. Ensure you
understand the purpose of the trust and the source of its funds. Also see the notes on beneficial
owners below.
A Beneficial owner is:
(a) Any individual who is entitled to a specified interest in at least 25% of the trust capital;
(b) As respects any trust other than one which is set up or operates entirely for the benefit of
individuals falling within (a), the class of persons in whose main interest the trust is set up or
operates;
(c) Any individual who has control over the trust.
Trusts vary from very low risk to very high risk for money laundering, and your approach to
identifying and verifying beneficial owners should vary accordingly.
Estates in course of administration:
(a) In England and Wales and Northern Ireland, the executor, original or by representation, or
administrator for the time being of a deceased person;
(b) In Scotland, the executor for the purposes of the Executors (Scotland) Act 1900(d).
8.7.3.4 Corporate Clients
It is always in the interest of the lawyer to satisfy himself that the client is, in fact an entity duly
incorporated under the laws of the jurisdiction, from which it purports to have been incorporated.
A download from Companies House will be required to include the certificate of incorporation,
memo and xxxx of association and last annual return. The lawyer should also ascertain the
identity and particulars of the person who purports to instruct him on behalf of the corporate client
and the authority of such person to do so.
Where the corporate client is not a public or listed company you must ascertain the identity of the
principal shareholder(s) of the corporate client. Any shareholder holding 25% or more of the voting
share capital of the company must be identified, see section 8.7.2 above.
For offshore companies, you will need to obtain a certificate of good standing from a local
lawyer together with the incorporation documents and a translation, if appropriate. You will also
need to know who are the principal shareholders and identify the beneficial owners of the shares.
8.7.4 Instructions to Act Urgently
There may be circumstances where you are instructed to act as a matter of urgency. You must
not undertake transactional work for a client without obtaining ID however urgent the matter
appears to be to the client. However there may be occasions in other types of work, e.g.
DOOTSONS LLP OFFICE MANUAL 19-03-15 165 of 221
Matrimonial, Commercial Litigation
where an injunction is required, where urgent steps need to be taken before client identification
procedures can be completed. Client identification should be obtained as soon as reasonably
practicable after contact is first made and you must require the client to provide ID within 24 hours
of the time when the first approach was made to the Firm.
8.7.5 Client Account and Cash
Solicitors’ client accounts are very attractive to money launderers in the “layering” process,
that is where sums of money are placed in the account and re-issued to a third party in the form of
a solicitor’s client account cheque. You must not allow the client to use the Firm’s Client Account
unless there is a genuine underlying legal transaction.
Be alert to transactions which abort very quickly or where the client offers you funds before
you ask for them.
You must not accept payment in cash of more than £500 in any one transaction. There
are very few businesses that run legitimately on a cash basis, and if you are being offered
cash the chances are that tax evasion is involved.
There are risks involved where the monies do not pass through client accounts or where
monies are paid directly to the Firm by the other party to the transaction without passing
through the other party’s solicitor’s client account. You must be satisfied that there are
sound commercial reasons for doing this.
You must check carefully that the funds you expect to receive from the client come from the
source identified. In the anxiety to complete it is very easy to identify that the correct sum of
money has been received into the account without checking exactly where the money has
come from. Make clear file notes at all times of any checks you make or explanations given to
you by the client.
You must ensure that the source of funds is obvious from the file as well as the destination.
If you receive cheques or bankers drafts from banks other than known clearing banks then
it is advisable to keep a copy for the records. Make sure that notes are kept on the file of the bank
transfer details of telegraphic transfers.
See also sections 8.2.1 – 8.2.5 Internal Financial procedures and Controls.
8.7.6 Reporting
If you form a suspicion that money laundering is involved in the matter on which you are
instructed then you must report this to your Head of Department and Partner. You do not have to
have any suspicion of the exact nature of the criminal offence but only of behaviour that
indicates money laundering may be taking place.
Suspicion has been defined by the courts as being beyond mere speculation and based on
some foundation of evidence.
A non-exhaustive list of what constitutes a suspicious circumstance is set out in Section
9.7.8. The key to recognising one is to know enough about the client and the client’s
business so that you are alert to “unusual transactions”.
The Firm recommends that you err on the side of caution and report any suspicious
circumstances.
DOOTSONS LLP OFFICE MANUAL 19-03-15 166 of 221
8.7.7 Types of Suspect Businesses
There is no definitive list of money laundering methods, as criminals are always inventing new
ways to stay one step ahead of the authorities. Also, some suspicious clients or suspicious
transactions may prove to be entirely innocent. However, this is a list of examples of
transactions used by money launderers, which take advantage of the professional services of
a solicitor:
8.7.7.1 Cheques/Bank Drafts
A solicitor should not assume that a cheque drawn upon an account at a respected bank is
automatically legitimate. Launderers understand that they cannot make large cash deposits with a
law Firm without arousing suspicion, so the solicitor will usually be involved in the layering phase,
rather than at the initial placement phase. Money may be placed into a false bank account over a
period of time, before funds are put at the disposal of a solicitor, in the form of a cheque, to finance
a layering transaction.
8.7.7.2 False Companies
Launderers may instruct a number of Firms to incorporate seemingly unrelated companies.
Each Firm will have no knowledge of the existence of the other false companies,
and each company will have different directors and shareholders. The false companies
will then generate correspondence, delivery notes, invoices etc, creating the
impression that they are trading with each other, in order to circulate the illegal funds.
8.7.7.3 Corporate Contracts
To add further legitimacy to these false companies, solicitors may be engaged to draft
standard terms and conditions of trade, employment contracts, etc. Salaries may be
paid to gang members, posing as employees. You may be asked for related advice
to increase the appearance of legitimacy of the business.
8.7.7.4 Cash-Rich Businesses
Launderers often purchase or establish genuine business interests. They often choose
those that handle large volumes of cash on a regular basis, e.g. pubs, clubs, restaurants,
casinos, bureaux de change, etc. It is then extremely difficult for investigators to determine
whether a proportion of the cash flowing into the business has come from a criminal source.
8.7.7.5 Property
A popular choice, either to benefit from longer-term increases in market values
(perhaps with a letting income in the meantime), or as a series of shorter-term transactions
in which vendors and purchasers are often members of the same criminal organisation (or
the same person using false identities). Sometimes property will be quickly resold at an
undervalue, to enable the launderer to liquidate his assets.
8.7.7.6 Foreign Properties
Sophisticated money launderers use international boundaries to create more
obstacles for investigators. The idea is to have as many different parts to the transaction
as possible with no one advisor or participant seeing the whole picture.
8.7.7.7 Investments
Criminals may seek advice on the purchase of investments, and then use dirty money, allowing
the investment to increase in value as a long-term strategy.
DOOTSONS LLP OFFICE MANUAL 19-03-15 167 of 221
8.7.7.8 Cancelled Transactions
Another popular choice, the transaction might involve commercial negotiations,
Conveyancing or investment. The principle remains the same in all cases. Monies are
deposited with the solicitor, who is later instructed not to proceed – often just before a
critical deadline. The money is then returned to the client, less an amount for fees and
admin charges. A cheque is drawn on the Firm’s client account and the money therefore
appears to be legitimate.
8.7.7.9 Not-for-Profit Organisations
Funds for terrorist purposes or from illegitimate sources can be hidden as “donations”
and paid out for fake services or in grants for terrorist purposes, for example.
8.7.8 Examples of Potentially Suspicious Circumstances
8.7.8.1 Unusual settlement/completion requests
A request for settlement by cash of any large transaction.
A client who does not make settlement through the Firm’s client account.
Payment by way of a third party cheque or money transfer where there is a
variation between the account holder, signatory and a prospective buyer/investor.
Payment to a third party unconnected with the transaction.
Proffering money before you request it, to settle a transaction.
8.7.8.2 Unusual Instructions
Clients who have no discernable reason for using the Firm’s services, e.g. a client who has
a distant address and could easily find the same service nearer to their home base, or clients
whose requirements do not fit into the normal pattern of the Firm’s business and could more easily
find the service elsewhere.
8.7.8.3 Large Sums of Cash
A request for you to hold large sums in the client account, either pending further instructions or
purely for onward transmission to a third party.
8.7.8.4 The Secretive Client
A client who is reluctant to provide personal details of his identity.
A client who avoids meeting you in person.
Clients who state they are acting as agents where there seems to be no reason
why the principal cannot act.
8.7.8.5 The Over Complex Transaction
Unnecessary use of subsidiary companies.
Complex group structures without any cause.
Use of bank accounts in several currencies for no apparent reason.
8.7.8.6 Uneconomic Businesses
Structures which are not tax efficient.
Clients who are not concerned about loss making businesses.
Clients paying/receiving too much or too little for their investments
DOOTSONS LLP OFFICE MANUAL 19-03-15 168 of 221
Appendix 8A Risk Assessment Form
Dootsons Solicitors
RISK ASSESSMENT FORM
Department
NAME:
ADDRESS:
DATE OF BIRTH:
Risk Assessment
I have made a preliminary assessment of risk in this case and [choose one of the following]:-
This matter has been assessed as low risk and can be accepted subject to re-assessment of
risk at all significant stages of proceedings □
OR
The matter has been assessed as average risk and must be authorised by the HOD prior to
acceptance □
OR
This matter has been assessed as high risk and must be authorised by the HOD prior to
acceptance □
OR
This matter has been assessed as too high a risk or is not to be considered and must not be
accepted under any circumstances □
Signed ___________________________ Dated ____________________
(Solicitor)
Counter Signed __________________________ Dated ____________________
(by HOD/Risk Manager)
HoD/Risk Manager's Comments:-
DOOTSONS LLP OFFICE MANUAL 19-03-15 169 of 221
Appendix 8B Customer Due Diligence Form FORM A
“CUSTOMER DUE DILIGENCE” FORM (Note 1)
Client Name: Date of Birth:
Address (Note 2):
Matter:
CLIENT IDENTIFICATION
I have identified the client and verified their identity on the basis of documents, data or information
from a reliable and independent source. (Note 3)
I attach a copy of the verification documents. (Note 4)
or
Such evidence is unnecessary because:
We already have sufficient evidence on file. (Note 5)
The client is a listed company, public authority, or FSA regulated. (Note 6)
The following other reason: (Note 7)
BENEFICIAL OWNERS (Note 8)
There is no beneficial owner other than the client
or
I have identified the beneficial owner(s) listed overleaf
and I have taken the measures referred to overleaf, on a risk sensitive basis to verify their identity
so that I am satisfied I know who the beneficial owner is (including in the case of a legal person,
trust or similar arrangement, measures to understand its ownership and control structure). (Note 9)
RISK ASSESSMENT (Note 10)
I have obtained information on the purpose and intended nature of our business relationship with
the client. I currently assess the money laundering risk as LOW / MEDIUM / HIGH (delete as
applicable)
The main factors in my risk assessment are: (Note 11)
I have taken / am taking the following precautions to mitigate risks identified (to be completed in all
higher risk cases) (Note 12):
Signed ……………………………………..…………… Dated ………………..
DOOTSONS LLP OFFICE MANUAL 19-03-15 170 of 221
Beneficial Owner No 1: BENEFICIAL OWNERS
Name: Date of Birth:
Address:
Status:
Verification Evidence:
Beneficial Owner No 2: Date of Birth:
Name:
Address:
Status:
Verification Evidence:
Beneficial Owner No 3: Date of Birth:
Name:
Address:
Status:
Verification Evidence:
(Repeat for any further beneficial owners)
DOOTSONS LLP OFFICE MANUAL 19-03-15 171 of 221
CDD FORM – NOTES
Note 1 Timing: You must carry out “customer due diligence” and complete this form when you take on a
new client or matter. Do not accept funds on behalf of a new client before completing due diligence.
Identification and verification should generally be completed before the establishment of a business
relationship with the client. But where (1) it is necessary not to interrupt the normal course of business, and
(2) there is little risk of money laundering, you may conduct verification during the establishment of the
relationship, so long as it is completed as soon as practicable.
You must also carry out ongoing monitoring. You must also repeat CDD when you suspect money
laundering, or doubt due diligence documents previously obtained.
Note 2 Address: For corporate clients, give registered office and business address.
CLIENT IDENTIFICATION
Note 3 Evidence Required:
Individuals, generally ask for either:
current photo card driving licence (gives name, address and date of birth), or
passport and a proof of address such as recent utility bill, council tax bill, bank statement, entry in
electoral roll or phone book.
NB A driving licence includes a six digit number that gives the date of birth in coded form, as follows. The
first and last numbers are the year of birth. The second and third numbers are the month of birth. For a
female, ‘5’ is added to the second number and the total used as the second digit. So for a woman born in
October the second and third numbers would be 60.) The fourth and fifth digits show the day of your birth.
So for a woman born on 04/03/61, the number would be 653041. For a man it would be 603041.
If a client has no photo i/d you may accept an old style driving licence, benefit book, or cheque drawn on
bank account in their name as evidence of name, plus proof of address as above.
Unlisted Companies and LLPs: Do an on-line company search to confirm the existence of the company,
and to obtain its registered number and registered office (this search is free).
See notes below about identifying and verifying beneficial owners.
Partnerships: For a regulated professional partnership it is sufficient to rely on information from a reputable
directory or from the relevant professional body. For other partnerships, see the notes below on beneficial
owners.
For trusts, verify at least two trustees. In higher risk cases obtain evidence of all. Ensure you understand
the purpose of the trust and the source of its funds. Also see the notes on beneficial owners below.
Note 4 Certified Copies: If you inspect original documents such as a passport or bank statement, take a
photocopy and sign and date a statement upon it such as “I confirm that I have inspected the original
document, and that this is a true copy”.
Note 5 Sufficient Evidence on File: The fact that we have acted for a client previously does not of itself
mean we need not identify. Check we hold evidence on file, and have had sufficient knowledge of the client
since the original evidence was taken to ensure the evidence remains valid. If in any doubt, obtain fresh
evidence of identity.
Note 6 Listed Companies, Public authorities and FSA regulated businesses. No evidence of identity is
required (save perhaps checking LSE or FSA website to confirm status). For subsidiaries of listed
companies, obtain a copy of the latest annual return or comparable evidence showing the parent/subsidiary
relationship.
DOOTSONS LLP OFFICE MANUAL 19-03-15 172 of 221
Note 7 Other Reasons Why Evidence Not Required:
Public renown: You need not obtain formal evidence of identity if the client is an individual or business so
well known nationally or internationally that such action would clearly be unnecessary and inappropriate.
This exception does not apply simply because the client is known to you personally (but see note below).
Clients known to a member of the firm: Law Society guidance says that for UK resident individuals it may
be sufficient to receive a statement from a member of the firm or other person in the regulated sector who
has known the client for a number of years, attesting to their identity.
Reliance: We may rely on due diligence conducted by other solicitors, regulated accountants, banks and
certain others. You will need their written confirmation that they have conducted due diligence, that they
consent to us relying, and that they will, if requested, make available the information the due diligence
information they obtained about the client and any beneficial owner. See the precedent we have prepared
for that purpose.
BENEFICIAL OWNERS
Note 8 General approach:
Clients will normally tell you who the beneficial owners are. How much evidence you then need to verify the
identity of beneficial owners should be judged on a risk sensitive basis. The Law Society states that “Only in
rare cases will you need to verify a beneficial owner to the same level that you would a client.”
In lower risk cases you may rely on written assurances (from the client or others) as to the identity of
beneficial owners, but you should consider whether it is reasonable to do so. You may also wish to receive
written confirmation from the beneficial owner themselves that they accept that they are a beneficial owner.
For each beneficial owner, record their status (e.g. “director and 50% shareholder”) and the evidence you
have obtained to verify identity. Attach a copy if you have obtained documentary evidence.
Note 9 Definition of beneficial owner, and verification guidelines:
Companies / LLPs
A beneficial owner is any individual who
(a) ultimately owns or controls (whether through direct or indirect ownership or control, including through
bearer share holdings) more than 25% of the shares or voting rights; or
(b) otherwise exercises control over the management of the body.
In the case of simple owner-managed companies, where you have met a representative, you may accept
written assurances from the client identifying the beneficial owners. However you should still consider what
action is appropriate to verify the identity of the people so named. If a company or LLP is wholly owned and
controlled by three people or fewer, verify their identity by obtaining the same documents as you would
require from individual clients.
In higher risk cases, such as international businesses, or those with a complex corporate structure, or if you
do not meet a representative, take steps to be certain you have identified the true beneficial owners. That
may involve an additional company search, or seeing the statutory books, or an accountants’ reference, to
confirm names and addresses of the directors, and 25% shareholders. Obtain suitable evidence to verify the
identity of the people so named on a risk sensitive basis.
Partnerships
The definition includes any individual who
(a) ultimately is entitled to or controls (whether directly or indirectly) more than a 25% share of the capital or
profits of the partnership or more than 25% of the voting rights; or
(b) otherwise exercises control over the management of the partnership.
In higher risk cases, or if you do not meet the client, obtain the partnership deed to establish who are
beneficial owners. Obtain evidence to verify the identity of at least two partners, including the partner
instructing you.
DOOTSONS LLP OFFICE MANUAL 19-03-15 173 of 221
Trusts:
Beneficial is owner defined thus.
(a) Any individual who is entitled to a specified interest in at least 25% of the trust capital;
(b) As respects any trust other than one which is set up or operates entirely for the benefit of
individuals falling within (a), the class of persons in whose main interest the trust is set up or operates;
(c) Any individual who has control over the trust.
[For more detail, see reg 6, the Law Society Guidance, and the additional guidance in Part 4 of the Socrates
guide.]
Trusts vary from very low risk to very high risk for money laundering, and your approach to identifying and
verifying beneficial owners should vary accordingly.
Estates in course of administration:
(a) In England and Wales and Northern Ireland, the executor, original or by representation, or administrator
for the time being of a deceased person;
(b) In Scotland, the executor for the purposes of the Executors (Scotland) Act 1900(d).
Other:
The individual who ultimately owns or controls the client or on whose behalf a transaction is being conducted.
RISK ASSESSMENT
Note 10 Ongoing Monitoring: You must conduct ongoing monitoring during the client relationship,
including scrutiny of transactions (including where necessary the source of funds) to ensure transactions are
consistent with your knowledge of the client, his business and risk profile. Repeat due diligence when you
suspect money laundering, or doubt the veracity or adequacy of due diligence documents.
Note 11 Risk Factors:
Relevant factors may include the following:
Client or beneficial owner is a Politically Exposed Person (“PEPs”) If a client is a foreign national you
should make enquiries to establish if s/he is a PEP. You may not accept a PEP as a client without
approval from the firm’s MLRO.
Client was not present when identified: If so you must apply enhanced due diligence to compensate for
the higher risk. For example ensure a trusted third party certifies the identification documents or vouches for
the client, or ensure the first payment is made through an account in the client’s name.
Nature of the work Property work generally carries the highest risk of money laundering. Factors which
may make property work higher risk include
rapid purchase and sale of property
property bought without a mortgage, by clients whose wealth is unexplained
transactions with irregularities or inconsistencies which may be consistent with mortgage fraud or other
dishonesty
transactions with price apportionments with possible purpose of avoiding SDLT.
Each matter should be judged on its merits. Some property work will be lower risk, particularly owner-
occupier transactions for clients with a stable salaried income, and letting work.
Other risk factors may include these:
Difficulties in obtaining information about client or beneficial owners.
Complex corporate or trust structures especially if involving corporations registered abroad, for no
apparent reason, or bearer shares or similar devices.
Convictions or criminal associations on the part of the client or beneficial owner.
Cash handled by the client in the course of his business.
Invitations to accept cash.
Source of funds unusual or implausible.
Value involved out of proportion to client’s known income or legitimate assets
Unusually high value transaction.
DOOTSONS LLP OFFICE MANUAL 19-03-15 174 of 221
Matter outside our normal experience
International money transfers involved.
Lack of a plausible commercial or other purpose for the transaction or structure.
Client has sympathies for terrorism.
Third parties believed to be suspect.
Some circumstances reduce risk, for example the fact that the client is known to be honest or is highly
regulated, or that the nature of the work provides few opportunities for money laundering. A matter may be
low risk, despite the presence of one or more risk factors.
Note 12 Precautions: The precautions taken must reflect the risk(s). Action may include
additional evidence to verify the identity of the client and/or beneficial owners
enhanced awareness and ongoing monitoring
reviewing the matter with the MLRO to ensure risk level is acceptable
setting period review dates at which fresh risk assessment will be carried out.
DOOTSONS LLP OFFICE MANUAL 19-03-15 175 of 221
Appendix 8C Money Laundering Report Form
FORM B
MONEY LAUNDERING REPORT FORM (INTERNAL)
IMPORTANT If you suspect money laundering or terrorist financing submit this report without
delay to the firm’s MLRO. Also telephone to advise that a report is being made. Do not inform
anyone else. It may be an offence to disclose that this report has been made.
CLIENT DETAILS
Name ….……………………………………… Date of Birth: …………………
Aliases / Trading / Business Name………………………………………………..
Address …………………………………………………………………………….
………………………………………….. Telephone No. …….……
If beneficial owner exists who is not the client:
(a) Name of beneficial owner ………………………………..…………………
(b) Address of beneficial owner ………………………………………..…………
…………………………………………………………………………….…..…...
Evidence of identity of client / beneficial owner attached: YES/NO (give details):
…………………………………………………………………………………………….…
Name and Address of Introducer (if any) ……………….…………………………….
INFORMATION/SUSPICION
Details of Transaction, (including value, source of funds, other parties, etc)
………………………………………………………………………………………………
………………………………………………………………………………………………
Reason for Suspicion (continue on separate sheet as necessary)
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
Other Comments …………………………………………………………………………
REPORTER
Name ………………………………………. Dept …………… Extension …………
Signed ………………………………………….. Date ……………..
MLRO USE
Date / time received …………………….…………..
DOOTSONS LLP OFFICE MANUAL 19-03-15 176 of 221
Update version of previous Office Manual
Section: 9 – CLIENT CARE
Version: 1
Date: 23/12/14
9 CLIENT CARE
The quality of our service to clients is critical to the present and future success of the Firm.
We are a professional Firm and we are judged by the degree of professionalism with which
we deliver our services to our clients.
Everyone in the Firm plays a part in the impression that the client receives. The greeting
at the reception and on the telephone, the efficiency which we deal with the client’s enquiries,
the quality of our correspondence and advice, reporting/updating regularly are all elements of the
image we project of the Firm.
These procedures relating to client communication (via telephone, meetings, correspondence)
is aimed at ensuring that the client’s experience at our Firm is a favourable one and,
therefore, more likely to be repeated.
For up to date guidance on Law Society Client Care click here
9.1 KEY ELEMENTS OF OUR SERVICE
In keeping with our Firm goals of excellence in service standards, all members of the
Firm are expected to comply with the following guiding principles –
9.1.1 Expertise
Our aim is to provide reliable, accurate and professional legal services to all clients. All
members of the Firm must ensure that they are suitably trained to provide the range
and depth of service for which they have responsibility. We must not accept instructions
which go beyond our professional expertise.
9.1.2 Confidentiality
All lawyers are bound by the Law Society’s rules which require confidentiality in all dealings with
clients. This means that no member of staff may reveal to any outsider the nature of instructions
provided or advice given to any client, other than in the pursuit of the client’s instructions. In
most circumstances, it will also be inappropriate to reveal that we are in receipt of instructions
from any named client. This is particularly the case in litigation, especially in divorce proceedings.
If you are aware that friends or other people that you know are instructing the Firm, it may be
tempting to reveal information to others; do not do so. If you are ever in doubt as to whether you
should reveal whether we act for a given client, check with your Head of Department or Partner.
Breaches of confidentiality could cause considerable problems for the Firm and will be treated
as a serious disciplinary offence.
9.1.3 Commitment
Clients seek legal advice for a variety of reasons, but their instructions may require a great deal of
sensitivity. All clients are entitled to expect a real commitment from our staff in handling their
matters, and for us to attach appropriate priority to their need and requirements. A professional
DOOTSONS LLP OFFICE MANUAL 19-03-15 177 of 221
service does not involve becoming emotional, however, and this should be borne in mind in all
communications.
9.1.4 Courtesy
Proper respect must be shown to clients and all others with whom we have dealings. Courtesy
extends to arrangements for seeing clients in the office or elsewhere. Delays and
postponements must be avoided, if possible, or at least explained. The methods of answering
the telephone explained in this Manual ensure that we project an appropriate degree of
business-like efficiency and professionalism at all times. Clients attend pre-arranged appointments
or we attend out of office appointments at pre-arranged times. Delays in attending appointments
will aggravate clients and must be avoided. If you are delayed or likely to be delayed you must
ensure that the client is informed in good time and an explanation given.
9.1.5 Communication
Clients must be kept abreast of developments which affect them. The Firm’s policies on matter
status reporting to clients is found in the sections relating to Case Management; particularly, in
relation to the confirmation of instructions received and advice on the costs position of matters as
they develop. Most of the complaints made against lawyers relate to poor communication rather
than lack of expertise. Our policies on client care and communication are aimed at preventing such
problems from arising in all our dealings with our clients.
9.1.6 Professional Conduct
All solicitors in the Firm are bound by the Law Society’s Code of Conduct which prescribes the
standards of professional conduct required of all practising members of the legal profession in
England & Wales.
Breach of these Rules may entitle the client to make a complaint against you under the following
statutory provisions –
a. Complaint of Professional Misconduct under S85(1) of the Legal Profession Act;
b. Complaint of Inadequate Professional Service under S75B of the Legal Profession Act
The final outcome of such complaints may be extremely severe, including –
a. Imposition of financial penalties or compensation
b. An action in professional negligence by the client
c. A decision by the Disciplinary Committee to disqualify you
For up-to-date Law Society information on Professional Misconduct or Inadequate Professional
Service click here.
All fee earners in the Firm are required to familiarise themselves with these rules and to keep
them constantly in mind in all dealings with clients.
9.2 The Reception
9.2.1 Role of the Receptionist
The Firm operates from three offices and employs 3 Receptionist
Leigh This is a full time role and one of the main duties is to accept all incoming calls
for the Firm.
Newton This is also a full time role, providing telephone cover for the Firm.
Culcheth This is shared between the secretarial staff.
DOOTSONS LLP OFFICE MANUAL 19-03-15 178 of 221
The Receptionist is responsible for ensuring that :-
a. The Reception is tidy, that newspaper and magazines are up to date and are neatly
arranged.
b. The Firm’s publicity material is made available to visitors and is kept in presentable condition.
c. If there is a delay of over 10 minutes and the visitors are kept waiting, they must be
informed of the reasons for the delay and provided with suitable refreshment.
9.2.2 Client Confidentiality in the Reception Area
Issues of client confidentiality in the Reception area must be kept in mind by all staff of the Firm.
Avoid discussing client activities in the Reception, including the lobby and common areas. Any
conversations with clients in the Reception should be limited to pleasantries, appointment
times, etc., only.
If there is to be any discussions of confidential information an office or meeting room must be used.
9.3 Appropriate Dress and Demeanour
It is important that we project an image of professionalism at all times. All staff should dress in a
manner which is appropriate for a professional Firm, and in particular avoid e.g. shorts, jeans,
t-shirts, etc., although there may be the occasion when this is permitted when raising funds for a
charity appeal such as ‘Red Nose’ or ‘Jeans for Genes’ day.
9.4 Solicitor / Fee Earner Responsibilities
All Fee Earners are responsible to ensure that –
a. the Receptionist is notified of all client appointments via Outlook Room Calendars;
b. a meeting room at the appropriate office is booked as soon as the appointment is
confirmed;
c. the client is not kept waiting;
d. their secretary or the receptionist is informed of their whereabouts in the building; or when
they leave the office (other than at lunchtime) and what time they will be back; or when they
are at a meeting and cannot be interrupted;
e. there is sufficient time prior to their next appointment for the client’s matter to be properly
dealt with;
f. there are no interruptions during the meeting with the client unless an emergency occurs;
in which event, it is important that the client is not given the impression that another
client’s matter is given higher priority.
9.5 Telephone Manners
All incoming calls must be answered promptly. All staff are required to extend the same courtesies
to the client over the telephone in keeping with the professional image of the Firm. In
addition, please note the following procedures for relaying messages and telephone calls from
clients.
Procedures and Guidelines for using the Firm’s Cisco Call Manager system
telephone system to pick up / redirect calls / set voicemail messages can be found at Appendices
4C, 4D, 4E& 4F.
DOOTSONS LLP OFFICE MANUAL 19-03-15 179 of 221
9.5.1 Responsibilities of the Receptionist (Telephone Switchboard)
The Receptionist should answer all incoming calls with the name of the Firm followed by an
appropriate greeting (“Good Morning” “Good Afternoon”); then ascertain the identity of the caller
and the person they wish to speak to.
If the person is not in the Office or has left instructions that he/she cannot be interrupted, the
Receptionist should indicate when the person will be available and ask the caller if he/she would
like to leave a message. The Receptionist is responsible for ensuring that all telephone messages
are related in a timely manner to the relevant person.
New business enquiries for new clients should be put through to any fee earner or clerk within the
department.
9.5.2 Responsibilities of Staff (Individual/Direct Dial Extensions)
You should identify yourself to all incoming callers.
Most staff/user extensions have voicemail facility so ensure that:
a You record a suitable message that will be played back to the caller in your absence (either
away from you desk, already on a call or on holiday) You may to record an alternative
message if you plan to be away from the office for a period of time.
b You retrieve and respond to any voicemail message as promptly as possible.
Group “call pickup” policies apply to certain departments, such as Conveyancing and Commercial
When any phone rings in this department and is unanswered after the fourth ring, please pick up
the call and take a message on behalf of the staff who has left his/her desk.
When answering calls for any person who is not available, take a message from the caller and
ensure that it is related to the relevant person, preferably by e-mail. As far as possible, inform the
caller of when the person will return his/her call.
It is the Firm’s policy that ALL calls will be returned within 2 hours. This must be done by the fee
earner or by a member of support staff to explain the delay and to provide a time frame for the fee
earner to call.
9.6 Addressing Clients in Correspondence
When writing to clients, address the client by their appropriate title and name.
Avoid using first names, unless the client is well known to you.
Letters to companies or other law firms, must be addressed to the company / Law Firm
and not the liaison party / lawyer handling the matter. In most cases, therefore,
“Dear Sirs”
is the appropriate method of address.
References to the Firm in all correspondence is
“we” not “I ”
9.7 Client Complaints
Although we strive to provide the best service possible for all clients, some may be dissatisfied
with the service that we provide. How we respond to client’s complaints is an important indicator
of our professionalism.
For up to date guidance on Law Society Handling Complaints click here.
DOOTSONS LLP OFFICE MANUAL 19-03-15 180 of 221
9.7.1 Preventing a Complaint
At the outset, we expect the Fee Earner to anticipate a complaint arising from the difficulties that
the client has encountered in his or her dealings with the Fee Earner. At this stage, it may be
possible to resolve the problem or misunderstanding. A well worded conciliatory verbal or written
apology and assurances that the difficulties will be addressed may persuade the client not to make
the complaint “official”. Do not become defensive or emotional and do not try to avoid the client as
this will certainly make matters worse.
You must inform your Head of Department of the complaint / potential compliant as soon as you
encounter any difficulties with your client, which you cannot resolve at the early stages, in order to
prevent these difficulties from escalating into a complaint against you and or the Firm. This is also
likely to assure your client that the problem is receiving attention from someone with higher
authority than you in the Firm.
9.7.2 Dealing with a Complaint
If you are unable to satisfy the client at this initial informal stage, you must:
a) report the complaint to your Head of Department / Partner;
b) provide the Client with the Client Complaints Policy. See Appendix 9A Client Complaint
Policy
c) provide the Client with the Client Complaint Form. See Appendix 9B Client Complaint Form
The Head of Department / Risk Management Partner is responsible for ensuring that all
complaints received from the clients are duly investigated and dealt with. A copy of the
Complaints form will be sent to the Complaints Partner, Ian Howells, who must be kept updated on
the actions taken and status of the Complaint.
Under The SRA Code we are required to operate a complaints handling procedure which:
is brought to the client's attention,
is easy for clients to understand and use,
is responsive to the needs of vulnerable clients,
allows complaints to be dealt with promptly and fairly,
allows for appropriate remedies and
makes clear there is no charge for complaints handling.
It is in our interest to deal as effectively as possible with any problems as soon as they arise. The
importance of dealing with complaints is obvious given that referral and recommendation remain
our most important sources of new work.
9.7.2.1 What is a complaint
A complaint is defined as any expression of client dissatisfaction, however it is expressed. This
means that a complaint need not include the word ‘complain’ in it, and might be presented in
writing, over the telephone or in person. This would include and issue with the costs charged to a
client.
9.7.2.2 Complaints Partner
DOOTSONS LLP OFFICE MANUAL 19-03-15 181 of 221
Ian Howells is the firm’s Client Complaints partner and has ultimate responsibility for complaints
handling.
9.7.2.3 Awareness of Complaints Procedure
All members of the staff, and not just fee-earners should be aware of the procedure. given below –
See Appendix 9A Client Complaint Procedure Policy
9.7.2.4 Complaints Received by The Legal Ombudsman
Some complaints received by The Legal Ombudsman (TLO) are from complainants who are not
actually interested in gaining any specific form of redress. Rather they are from ordinary members
of the public who simply want to have their particular matter dealt with satisfactorily. Often
their
complaint is a minor one such as lack of communication, delay or rudeness. It is much less
common for the cause for complaint to be for want in the quality of the actual service. Many of the
complaints need not reach the TLO if the clients’ problems had been resolved within the firm
before they became a grievance or a formal complaint.
9.7.2.5 Incoming Post
Incoming post at each of the firm’s offices is checked by a Partner or Senior Solicitor. That person
is responsible for identifying any complaints and to ensure that such correspondence is referred to
the fee earner with conduct of the case, his or her Head of Department and that the complaints
partner, Ian Howells, is made aware of the complaint. Ian Howells will then ensure that the firm’s
procedure for dealing with the complaint is followed.
9.7.2.6 Outset of Matter
At the outset of any matter it is a requirement that the client is told the name of the person with
whom to raise any problems and this should be done in the client care/terms of business letter. A
number of approved precedent letters are in use which ensure that this will be dealt with
satisfactorily (a precedent of the family terms of business letter can be found at Annex U).
DO WE NEED THIS IN about the FAMILY TOB
9.7.2.7 Referring a Client to The Legal Ombudsman
If a client remains dissatisfied after exhausting the internal procedure, he or she should be referred
to the TLO.
9.7.3 Documentation
All complaints are to be thoroughly documented as follows:
9.7.3.1 Central Register
A Central Register of Complaints is held and maintained by Ian Howells. Ian Howells carries out an
annual analysis of the Register to help identify causes corrective action necessary and any
changes in procedures required. He will notify the other partners and staff of any trends or issues
that are identified.
DOOTSONS LLP OFFICE MANUAL 19-03-15 182 of 221
9.7.3.2 Recording the Complaint
Full details of the complaint made by a client, details of the investigation, and of the outcome, must
be recorded on the client file. The complaint must also be noted to the client complaints partner
(Ian Howells) accompanied by a Client Complaint Form. See Appendix 9B Client Complaint
Form
9.7.3.3 Verbal Explanation
Even if a verbal explanation has been given to the client, a full written explanation (provided by the
fee earner or Head of Department) is always to be sent to the client.
9.7.3.4 Outline Details of Complaint
Outline details of each complaint is to be included in the central record which is
maintained by Ian Howells, consisting of:
Client name
Matter number
Fee-earner
Date
Work Area
Brief description of the complaint
Outcome
9.7.3.5 Personnel Support
It is important that we deal with the causes of complaints and seek to prevent their recurrence.
The firm will endeavour to support personnel subject to complaints, but if training or other remedial
action cannot overcome problems that may exist, personnel will not be left to cope with work for
which they are unsuited.
9.7.4 Complaints made to the Legal Ombudsman
It is possible that a client may complain direct to the TLO without first following the procedures
given in the previous paragraphs. In such circumstances the TLO will immediately refer the
complaint to Ian Howells who is the appointed liaison partner with them. In the event that the
complaint is referred to anyone else Ian Howells must immediately be notified and supplied with a
copy of the complaint.
Ian Howells will then process the complaint with the relevant fee-earner/head of department. In
many cases the matter can be resolved satisfactorily between the firm and the client direct without
further intervention by the TLO.
Ian Howells will then ensure that the complaint is properly documented and advise the outcome to
the TLO.
If a complaint is potentially of a serious nature then the TLO may appoint an independent solicitor
to investigate the matter.
9.7.5 Internal Complaints Review
As part of the annual management review, the Risk Management Partner will review the
complaints record for the year and make the appropriate recommendation for addressing the risks
identified through the complaints made against its Solicitors / Fee Earners.
DOOTSONS LLP OFFICE MANUAL 19-03-15 183 of 221
Appendix 9A Complaints Procedure Policy
DOOTSONS LLP
COMPLAINTS PROCEDURE / POLICY
This firm’s complaints policy
As a firm we are committed to providing a quality legal service to all our clients. Consequently, it is
essential when something goes wrong or any client believes they have reason to complain that we
have an effective procedure to assist the complete, early, resolution of the problem. Only by doing
so can we hope to maintain the quality standards we set ourselves and improve them by learning
from what may have gone wrong and what our clients tell us.
The Procedure
Although not essential, in making your complaint it would be helpful to us if you could provide
details of your concerns in writing (if you have not already done so, you may wish to use the
attached form). Your complaint should be addressed to the Firm’s Client Care Partner, who is Ian
Howells and who works from the firm’s office at 61-63 Church Street, Leigh, Greater Manchester,
WN7 1AY. Upon notification of a complaint the steps set out below will be taken:
What will happen next? Timescale
Within 3 working
1 We will acknowledge receipt of your complaint, set out our days of receipt
understanding of it and request your confirmation or seek any
necessary clarification. We will also confirm, at this Stage, who Within 7 days of
will be dealing with your complaint. receipt of complaint
Within 7 days of
2 The complaint will be registered in our Central Register (for receipt
monitoring and management information purposes).
Within 7 days of
3 We will acknowledge receipt of your confirmation letter or of receipt of the
telephone call and confirm what will happen next response
Within a further 7
4. We will then commence investigating your complaint. days
This may involve one or more of the following steps:-
Within 7 days of the
(a) the person who acted for you will be asked to meeting
provide a response to your complaint within 21
days of receipt of it.
(b) the response will then be examined, by the Head
Of Department, together with the file and your
complaint and, if necessary, further information
will be sought from the person who acted for you.
5 You may then be invited to meet the Head of Department to
discuss, and hopefully resolve your complaint or alternatively the
fee earner will write to you direct responding to the complaint.
6 If a meeting between us takes place we will still write to you to
confirm what took place and any agreed solution that was arrived
DOOTSONS LLP OFFICE MANUAL 19-03-15 184 of 221
at.
7. If, at a meeting or from your written reply to our detailed
written response, you remain dissatisfied with what we
said and how we proposed resolving your complaint we
will arrange for our decision to be reviewed. This may
happen in one of the following ways :-
(a) The Head of Department may review his own or Within 7 days
The fee earner’s handling of your complaint and Within 14 days
why you remain dissatisfied
Within 14 days
OR
(b) by arranging for someone else or a small number
of people in the firm who are entirely unconnected
with the complaint to review the complaint, the
response, the file and any other relevant
information how the complaint was handled and
the decision on it
OR
(c) Ian Howells, our Client Care Partner may review
the complaint by taking the steps set out at (b)
above.
Note: the timescale for concluding the review the process
above will need to be agreed with the individuals involved
but you will be told how long the process will take. Should
it not be possible as a result of the complexity of the
complaint, to respond within the time limits given we will
tell you immediately and agree new timescales with you.
8 After the review has taken place you will be informed of the Within 7 days of the
outcome. This will review our initial handling of your complaint conclusion of the
and our decision on it. Review
9 If you remain dissatisfied with how your complaint has been Within 7 days
handled and the decision on it, we will write to you confirming our
final position on your complaint and explaining why we consider
our handling of, and decision on it (and of any review) was
reasonable (if that is the case). If you remain dissatisfied, you
may submit a complaint to the Solicitors’ regulatory body:
The Legal Ombudsman
PO Box 6806
Wolverhampton
WW1 9WJ
Any complaint to the Office for Legal Complaints must usually be
made within 6 months of the date of our final decision on your
complaint but for further information, you should contact the Office
for Legal Complaints:
0300 555 033 or refer to www.legalombudsman.org.uk
Please note: changes to any of the above timescales will be confirmed to you with an
explanation of why.
DOOTSONS LLP OFFICE MANUAL 19-03-15 185 of 221
DOOTSONS LLP OFFICE MANUAL 19-03-15 186 of 221
Appendix 9B Client’s Complaint Form
Dootsons Solicitors
Client’s Complaint Form
Dootsons Complaints Policy
We are 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 improve our standards
Dootsons Complaints Procedure
If you have a complaint, please complete and submit this form to our Complaints Partner,
Ian Howells.
61 – 63 Church Street
Leigh
Lancashire
WN7 1AY
e-mail: [email protected]
He will contact you shortly to follow up on your complaint.
Complainant Email
Date
Telephone
Name of
Solicitor
/Individual
Matter
Description
Matter Ref
Nature of
Compliant
Details of Complaint:
Signed Date
DOOTSONS LLP OFFICE MANUAL 19-03-15 187 of 221
Or this existing Dootson manual form ANNEX V
DOOTSONS LLP
CLIENT COMPLAINTS FORM
Client Legal Aid
Client Partner, if any
Matter Number
Details of Complaint
Action Already Taken
Action Proposed
Complaints Partner Notes
Matter resolved Date
DOOTSONS LLP OFFICE MANUAL 19-03-15 188 of 221
Updated version of previous Office Manual
Section: 11 – CASE MANAGEMENT
Version: 1
Date: 23/12/14
10 CASE MANAGEMENT
10.1 Procedures when the first appointment is held outside the office
10.1.1 The Cancellation of Contracts Made in a Consumers Home or Place of Work
Regulations 2008 came into force on 1st October 2008. The firm has procedures to
deal with this to ensure that the regulations are complied with. There are certain
exceptions contained within the Regulations which makes the Regulations unlikely
to apply in residential conveyancing transactions. In practice, the Regulations are
most likely to apply, as far as our firm is concerned, to the Wills Trust and Probate
Department or, on the odd occasion we see a new client at home in any other case.
It applies for the first meeting with the client to do a new piece of work and where
the appointment takes place away from office premises. For the avoidance of any
doubt, these procedures should be followed whenever the appointment takes place
away from the office eg at a hospital.
10.1.2 Failure to comply with the Regulations is an offence punishable with a fine on
summary conviction. It is essential therefore that the procedures set out in this
manual are complied with in every case where the Regulations apply.
10.1.3 Whenever we see the client at home for the initial instructions (ie when the contract
for services is made), we must, under the Regulations, give them a notice advising
them of their right to cancel the contract of services with us within seven days of
receipt of a notice from us. Because of the client’s right to cancel within that period,
we are not entitled to payment for work we do if we commence work before the end
of the cancellation period. The Regulations do however allow the client to confirm
that they want work to begin prior to the end of the cancellation notice but this must
be given to us in writing.
10.1.4 The following procedure must be followed where a situation arises covered by the
above Regulations:-
10.1.4.1 The Fee Earner must consider with the client whether a home visit is in fact
necessary or whether they would be able to come into the office.
10.1.4.2 If it is determined that a home visit is necessary, the Fee Earner must liaise
with the Head of Department in relation to the wording of the terms of business
letter setting out the likely fees and this must be sent in the usual way to the client
together with copies of the notice of the right to cancel, cancellation notice and the
notice giving the client the opportunity to confirm in writing that they want the work
to begin before the end of the cancellation period. This must be done before the
appointment takes place.
10.1.4.3 The Fee Earner must explain to the client that if they would like us to come
out to see them before the end of the seven day period (the seven days
commencing from the date the notice is served), they will need to sign and
return to the office the signed terms of business letter and the notice in writing
confirming that they want work to begin within the cancellation period. Upon receipt
of this signed documentation, an appointment can then be made for the home visit.
DOOTSONS LLP OFFICE MANUAL 19-03-15 189 of 221
The firm will then be able to charge for the work done even if the seven day
cancellation period has not by then expired.
10.1.4.4. Support staff who take a telephone call from a client requesting a home visit must
refer the matter to a Fee Earner or discussion with the Head of Department to make
sure that the above procedure is followed before a firm commitment is made to the
client for a home visit
10.1.4.5 In the case of terminally ill clients or clients requiring urgent work (eg an urgent
Will), consideration should also be given to risk management and a
discussion should always follow with the Head of Department who will refer it to
the Partner responsible for that department if necessary.
10.1.4.6 For the procedures and forms relating to this
See Appendix 10A Cancellations of Contracts in a Consumer’s Home
and the documents are as follows:-
(a) notice of the right to cancel See Appendix 10A
(b) cancellation notice See Appendix 10B Cancellation Notice
(c) authority See Appendix 10C Authority
10.2 Taking Instructions
10.2.1 It is essential that all fee earners act upon the clients full and considered instructions.
Instructions may be received by letter, telephone or at a meeting. If they are received other than at
a meeting they should be acknowledged promptly, having regard to the sensitivity of the matter
and its urgency to the client and legal process. Particular attention must be given to circumstances
where instructions are received by one fee earner and passed to another for attention. Any
particular methods of taking instructions, as through the use of checklists, are to be found in
Departmental Procedures.
10.2.2 It is important that instructions receive critical analysis on receipt. If there are
inconsistencies or errors, or if carrying out the instructions would involve illegality by
the client or the firm, unprofessional conduct by the firm or potentially lead to
undesired results for the client, any such problem must be raised with the client as
soon as possible and must be resolved before the instructions can be fully
accepted. Though work may commence, if appropriate, in the interim, the matter
must be referred to the Head of Department.
10.2.3 Attention must also be given as to whether the firm has the necessary resources to
10.2.3.1 undertake the work to the client’s satisfaction. At the outset of the matter, the fee
10.2.3.2 earner will establish and record the following:
10.2.3.3
as full an understanding of the client’s requirements and desired results, as possible
(where incomplete this must be supplemented subsequently)
the advice given – this will vary from substantive legal advice to telling a client that
further investigation is necessary before advice could be given. Evidence of advice
will be in the form of a file note or letter.
what the fee earner will do – it is important to record that there is no further action, if
that is the case.
10.2.3.4 whether the fee earner is the appropriate person to deal with the matter or whether
it should be referred to a colleague.
10.2.3.5 whether the client is an existing or new client.
DOOTSONS LLP OFFICE MANUAL 19-03-15 190 of 221
10.2.3.6 the effects of Orders for Costs against the client, or in their favour (if appropriate to
10.2.3.7 the case).
10.2.3.8 an estimate of the likely total cost (including disbursements and vat) of the matter
10.2.3.9 and any potential liability for costs and for any third party costs, except where no
charge is to be made to the client and the client has been advised accordingly
Informing the client of any limits on their ability to or willingness to act: e.g. in
representing the client at Court or before a tribunal
Informing the client about client care, including the name of the individual to whom,
and how, the client should raise any problem concerning the service provided
10.2.3.10 The name and status of the individual responsible for case conduct, the name of the
individual responsible for supervision of the case.
10.2.3.11 Key dates in the matter
10.2.3.12 Further costs information, including the arrangements for updating costs
information, and any reasonably foreseeable payments that the client may have to
make, either to the firm or a third party.
10.2.3.13 The method of payment
10.2.4 Clients must be informed of the likely total cost of the matter as near to the
beginning of the case as possible.
10.2.5 Instructions must be confirmed in writing using one of the department's relevant
client care letters. Examples of the client care letters in use in all departments are
also set out in ANNEXU (old Annex reference in old manual) do we really need to
show these letters to this manual. Deviations from this procedure are only
permissible with partner or Head of Department approval.
10.2.6 Fee-earners will take instructions only for matters that fall within their area of
expertise. Client requirements may be by written instruction, telephone, or obtained
by interview.
10.2.7 For the initial meetings with the client, the fee-earner shall identify the essential
elements of the problem and discusses with the client the options that might be
available to provide a basis for costing and projected time.
10.2.8 The fee-earner will discuss with the client any degree of risk involved in pursuing
the matter and record the discussion in the matter file.
10.2.9 In the case of repeat clients, the Fee Earner should issue Agreed Terms and
Conditions which shall apply to all instructions received from the client.
10.2.10 In more complex matters a detailed case plan will be prepared. The plan could
cover:
Detailed information required – dates
Specific events in the case – time-scales and dates
Areas of law involved, precedents used, resources required
Review arrangements
10.2.11 The fee-earner shall maintain legible attendance notes which shall be made
of all significant conversations both by telephone or face to face, (enter the
DOOTSONS LLP OFFICE MANUAL 19-03-15 191 of 221
method of recording – e.g. file note, pro-forma etc). Notes will show
instructions taken, client objectives, advice given and any actions agreed.
10.2.12 Where instructions are received other than at a meeting, the fee-earner shall
acknowledge the receipt of these instructions promptly, having regard to the
sensitivity and urgency of the matter.
10.2.13 Where instructions are given during a meeting or phone call, it may be necessary
to follow up with a written record of the instructions received orally.
10.2.14 Where a department has issued particular methods of taking instructions, such as
through the use of checklists, these checklists should be used.
10.2.15 Key dates
This procedure details the arrangements for the identification and recording of key
dates. It applies to all matters where key dates are appropriate.
Key dates include:
a. Time limits of any nature
b. Court/Hearing dates
c. Limitation Periods
d. Completion dates
e. Any date that if missed may give rise to a negligence action or would require
reporting to the Risk Manager or Professional Indemnity insurer.
Fee-earners shall ensure that key dates are recorded in the following
manner:
a. Key dates shall be recorded prominently on the File Summary Sheet
attached to the front of the matter file.
b. As a back up, key dates should also be entered into the Central Diary in
Outlook and the fee earner’s Outlook Diary.
c. The back up record should be checked daily by the fee-earner and his or
her secretary.
Where the fee-earner is absent, the secretary shall inform the fee-earner’s
supervisor of forthcoming and due key dates.
10.3 Case Progress
This section sets out a systematic method of progressing and reviewing files in accordance with
the client’s instructions and with relevant procedures. It applies to all matters.
Fee-earners progress matters in accordance with the time-scales required by the client.
10.3.1 As a matter of principle, every matter should have a clear strategy apparent from
the file which shows that thought has been given to how each clients’ needs have
been considered and are being acted upon. It is recognised that it will often be
difficult to prepare this “case plan” in detail at the outset of a case or transaction
because it may be impossible to assess the likely response of any other parties.
It is essential, however, that clients are presented with a strategy for meeting their
instructions with an explanation of how and why this might need to be varied.
Usually, this will simply be a letter to the client or a separate memorandum held on
the client file.
10.3.2 It is a matter of professional judgement for the member or fee earner in charge of
the matter to determine whether a first letter or detailed case plan is required. Any
DOOTSONS LLP OFFICE MANUAL 19-03-15 192 of 221
10.3.3 Case Plan must be located on a separate docket sheet in the file, marked with the
title “Case Plan”. A Case Plan should be in the form of a written schedule with
10.3.4 stages linked to planned time scales. The plan should include overall objectives,
10.3.5 evidence, identity of opponents, costs/funding information, steps in proceedings and
Counsels’ Opinions where appropriate. The Plan must be copied to the client and
10.3.5.1 must be reviewed regularly, i.e. at monthly intervals.
10.3.5.2
10.3.5.3 In all cases, information on the progress of a case or reasons for lack of progress
10.3.5.4 must be given regularly at appropriate intervals and otherwise at appropriate stages
10.3.5.5 of the proceedings. The fee earner must ensure that the review date is inserted into
10.3.6 his/her diary note system and that at the outset of the case, the file opening form is
10.3.7 completed to indicate the frequency of review.
10.3.7.1
Any changes in the action planned in the case, and already agreed or notified to the
client must be reported to the client at intervals agreed with the client, or at least
every 5 – 6 months when progress of the case is reported.
Clients must be informed in writing about the actual costs and disbursements
incurred in the case at least every 6 months. It is important to remember that whilst
the case will be one of many being dealt with by a fee earner, it will be of utmost
concern to the client, and he or she will expect greater progress than may be
realistic. The client must be made to feel involved and part of the process and
wherever there is a change in tactics or new information becomes available, the
client must be informed. This may be by letter, telephone or personal attendance,
but in the latter two, full details of what has been reported should be given on the
attendance form, unless confirmed by letter. In long running matters, a brief status
report should be included when updating the client on costs.
This must include:
the actual costs and disbursements incurred in the case to date. This can be
obtained by viewing the time ledger on the accounts software and by running a print
of that ledger to include all time records or timed to a particular date.
a revised estimate of the likely total cost of the case or confirmation of the original
estimate.
if the revised estimate of likely total costs exceeds the original by 25%.
whether or not there has been a change of circumstances which will, or is likely to
affect, the overall costs, the degree of risk involved or the cost benefit to the client of
continuing the case. If there has been such a change, details of the effect of such
must be given to the client.
an indication or reminder of any potential costs liabilities the client may face in the
course of the proceedings.
Any change in the supervisor/fee earner/adviser having conduct of the matter is to
be advised immediately to the client in writing.
Matter progress
Fee earners ensure that as the matter progresses:
Timely responses are made to all correspondence and telephone
calls. Telephone calls should be returned within two hours and
responses to correspondence should be made within two to five
working days;
DOOTSONS LLP OFFICE MANUAL 19-03-15 193 of 221
10.3.7.2 All outgoing correspondence and enclosures, documents, reports etc
are checked, signed and dated;
10.3.7.3 All communication with the client, the other side or third parties or
experts must be recorded in an attendance note, in particular,
communication where:
Advice is given;
Instructions are received from the client or are given on the clients
behalf to others; and
A decision is made, even if the decision is to do nothing.
All attendance notes should be dated and noted with the file reference and client
name.
10.3.8 The fee-earner shall also record all file reviews, research, progress, verifications
and checks, and internal discussions pertinent to the progress of the matter in the
correspondence file.
10.3.9 The fee-earner shall also continue to monitor the risks associated with the
file and shall inform the relevant Head of Department where circumstances
change such that the Firm is exposed to an unusual degree of risk. This shall be
done by way of the Risk Review Form attached as Appendix 11D. – is this the same
as the Risk Assessment Form ? Where there is any doubt on the part of any
fee- earner as to whether the Practice should continue acting in a matter, the
matter should be referred to the relevant Head of Department. The Head of
Department should be consulted before the Firm declines a matter.
10.4 Final Review and Aftercare
10.4.1 At the end of the case, there must be a final report to the client which should deal
10.4.2 with:
10.4.3 the outcome of the case
any further action the client is required to take
any further action the firm will take
10.4.4 File Closure procedure
This section describes the steps to be taken when matters are concluded to ensure the client
is fully informed, that all costs have been recovered and that the file is properly closed and
archived.
Fee–earners are responsible for implementing this procedure with the assistance of secretarial
staff. At the conclusion of the matter the fee-earner is required to ensure that the following steps
are taken to complete the file:
10.4.4.1 Reviews the file to ensure that the clients instructions have been met
and there are no outstanding actions to be completed. This review
should also consider the actual risk experienced in comparison to
that envisaged and any significant differences should be reported to
the Risk Manager.
10.4.4.2 Ensure that all undertakings have been discharged.
10.4.4.3 Check with the Accounts Department to ascertain that there are no:
a. outstanding bills to render or monies owing.
b. outstanding monies in clients’ accounts.
DOOTSONS LLP OFFICE MANUAL 19-03-15 194 of 221
10.4.4.4 Extracting any precedents, opinions and other materials in the file
which may be useful for future reference and contributing this to the
Firm’s Knowledge Base !!
10.4.4.5 Complete the File Closure form and print out a full ledger including
the time record. See Appendix 10F File Closure Form
10.4.4.6 Send the file to Reception to archive the file. Reception will note the
10.4.4.7
date on which the file was closed and date for destruction and record
the details in Evolution of the file closure, destruction date and where
the file is stored. the file closure procedure will then be followed and
the standard letter Annnex ??? which letter sent confirming the
arrangements for storage and retrieval of papers – i.e. that the firm
will retain papers in archive for a period
Commercial files – twelve years
Conveayncing files - six years
Family / Mediation files - six years
Litigation / Employment files - six years
Probate - six years
account to the client for any outstanding money (if any)
10.4.4.8 if appropriate, return to the client original documents and other property belonging to
the client, except for those items which are to be stored by the firm.
10.4.4.9 if appropriate, whether the matter is to be reviewed in the future, and if so, when.
10.4.5 The report should be given in writing. Where it is considered inappropriate to do so,
a note justifying this decision must be made on the file. The report should be
unambiguous to the client. The actual results of the case should be confirmed
along with any necessary explanations. For example, what “decree nisi” actually
means, what the consequences are of not “keeping the peace”.
10.5 Acceptance and Rejection of Instructions
10.5.1 The Firm is not obliged to accept all possible instructions. The circumstances where
it should decline instructions include:
10.5.1.1 The work is not of a specialisation that the Firm offers or it falls under
the “generally unacceptable” category of work as specified in the
Risk Management section.
10.5.1.2 Resources would be inadequate to perform the work to the
satisfaction of the client, or the quality of our service to other clients
would be placed in jeopardy.
10.5.1.3 It would be economically unviable for the Firm to do the work
and it is not felt appropriate to accept the instructions under our
pro bono policy.
10.5.1.4 Unsatisfactory past experience with that client, such as their previous
refusal to pay a bill or offensive or threatening behaviour to a
representative of the Firm.
10.5.1.5 There is, or could reasonably be suspected to be, a conflict of
interest in relation to the instructions and existing clients or
instructions received.
DOOTSONS LLP OFFICE MANUAL 19-03-15 195 of 221
The words you are searching are inside this book. To get more targeted content, please make full-text search by clicking here.
DOOTSONS LLP OFFICE MANUAL 19-03-15 22-09-15
Discover the best professional documents and content resources in AnyFlip Document Base.
Search