Procedure for keeping records of pre-engagement communications

Procedure for keeping records of pre-engagement communications

LAW 9000 – Legal Best Practice

Clause 4.2.5 Records of pre-engagement communication

1. Purpose

The objective of this procedure is to establish guidelines about maintaining records of pre-engagement

communications with potential clients whether it is clear or not that they may become a client. The

procedure aims to protect the practice and the potential client’s interests and to make certain that the

legal practice has a clear record of any advice given and any other pertinent discussions.

2. Scope

This procedure covers the process of keeping records of pre-engagement communications and later re-

locating such records to become part of the matter file after engagement.

3. Persons Affected

All professional and support staff.

4. Policy

It is our policy to ensure that there is an appropriate record of any communications that the practice may

have with potential clients before the relationship is formalised into a service agreement.

5. Responsibilities

Lawyers have responsibility for maintaining matter files including any pre-engagement communications.

6. Procedure

a) Identifying pre-engagement communications

Free first interview

Telephone communications

Email communications

“Off the street” enquiries

Any preliminary advice or opinion that may be construed as advice from the practice

b) All pre-engagement communications for the purposes of obtaining legal advice are subject to

lawyer-client privilege.

c) All communications with potential clients should be recorded in a pre-engagement excel

database/SharePoint library and include:

Date of advice/opinion given

Last and first name of potential client

Telephone number or email address

Subject matter

1Issue Date: Author: Val AntoffRevision Date: Approved by: Val Antoff

Procedure for keeping records of pre-engagement communications

Advice/opinion given

Follow up date

d) The information in the database will be reviewed at the weekly lawyers’ meeting to ensure that

preliminary communications are appropriate and promptly followed up.

e) A potential client’s information from the database will be relocated to the matter file if the

engagement proceeds.

Quality Management for Legal Practices Blog

2Issue Date: Author: Val AntoffRevision Date: Approved by: Val Antoff