Session 6Client care policy

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Contents

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

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Introduction

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Introduction

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Our clients

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Treating our clients fairly

We treat our clients fairly and with respect

•Explain to the client, record on the file, and confirm in writing any limitations or conditions•Have proper regard to the client’s mental capacity or other vulnerability •Consider whether a conflict of interest is present or has arisen

We treat our clients fairly and with respect

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Client needs

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Vulnerable clientsYou should have proper regard to your client's mental capacity or other vulnerability, such as disability, incapacity or duress when:

•taking instructions, and

•during the course of the matter

Three broad categories of vulnerable clients

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Factors indicating vulnerability

Advanced age, children and young people

Dementia

Physical disabilities or ill-health Acquired brain injury

Cognitive impairment Communication difficulties

Loss of mental capacity to make relevant decisions

Heavy reliance on family or friends for necessary care or support

Mental health problems Long-term alcohol or drug abuse

Learning disabilities Exposure to financial abuse

Sensory impairment Difficulty in accessing and/or understanding complex information

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Identifying needs of vulnerable clients

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Vulnerable clients—potential responsesVulnerability factor Potential response

Client does not speak or understand English

Use an interpreter or translator

Client has physical disability

Liaise with the office manager who will take appropriate steps

Client needs longer to understand explanation, has speech impairment or communicates through third party

Allow extra time for meetingsWhere client has a speech impairment, conduct conversations using text relay system

Client has visual impairment

Provide information in large print, Braille, audio, DVD or easy-read formatProvide a reader

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Vulnerable clients—potential responses (cont)

Vulnerability factor Potential response

Client has hearing impairment

Provide a sign language interpreter, lip-speaker or deaf-blind communicatorProvide a portable induction loopConduct conversations using the text relay system

Client’s ability to attend the office is impaired by mental health issues

Consider visiting client at home, with appropriate safeguards in place

Client has cognitive impairment, particularly affecting memory

Provide a digital recorder, dictaphone or electronic notetaker

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Equality and diversity• We encourage equality of opportunity and respect for diversity

in our relationships with clients and others• You must not discriminate on grounds of:

• We will make reasonable adjustments to ensure disabled clients aren’t placed at a substantial disadvantage and won’t pass on the costs of adjustments to these clients

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Conducting the matter

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Protecting clients’ interests

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Conducting the matter

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Strategy and file maintenance• Ensure the strategy for a matter is apparent on the matter file

• Develop a project plan for complex matters

• Maintain on the file:oletters, emails and other communications to and from the clientoattendance notes or other records of informationoa record of all explanations given to the clientoa record of any steps taken to protect the client's interestsoall costs and funding information and updatesoall other documents relevant to the matter

•Maintain the matter file in an orderly fashion and keep filing up to date

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Regulation

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Costs

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General costs information

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

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Costs

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Third parties, benefits and referrals

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Instructing & introducing clients to third parties

Instructing a third party on a client’s matter

Introducing the client to a third party (danger !)

We retain control of the matter on which we have instructed the third party

Third party advises the client independently of the firm

We have overall responsibility for that matter

We may be responsible for the advice given by the third party

Third party has a relationship with us rather than directly with the client

Third party has a direct relationship with the client

Third party invoices the firm Third party invoices the client directly

Instructing third parties policy Introductions to third parties policy

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Commissions and financial benefits

• Properly account to clients for any commissions or other financial benefit you receive as a result of their instructions

• Where you receive a financial benefit as a result of acting for a client, either pay it to the client or offset it against their fees

• Client care letter and terms of business contains information we are required to give to clients

• Commissions and financial benefits policy

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Referral arrangements and fee sharing

Explain any fee sharing or referral arrangements that are relevant to the client's instructions

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General retainers

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

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Complaints and claims

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ComplaintsYou must:• tell clients in writing at the outset of their right to

complain to the Legal Ombudsman and how to do so

• refer any complaints to the Complaints Officer promptly

• respond to any enquiries by the Complaints Officer in relation to a complaint fairly, openly and effectively

• comply with our Complaints policy

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Claims against the firm

• Inform the COLP or Deputy COLP if you discover any act or omission that could give rise to a negligence or other claim against us

• Inform the COLP or Deputy COLP if a client indicates intention of bringing negligence or any other claim against us

• You must not seek to limit liability to a level below £3 million

• Ensure the limitation is in writing and brought to the client's attention

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Accepting or refusing instructions and ceasing to act

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Accepting instructions and ceasing to act

You must:

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Accepting instructions and ceasing to actYou must not:

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Confidentiality

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Confidentiality

• All members of staff, including support staff, consultants and locums, owe a duty of confidentiality to clients

• Continues after the end of the retainer and after client’s death

• Keep the affairs of clients confidential (including bills) unless:o disclosure is required or permitted by law, oro the client consents

Uncertain? Speak to your manager or the COLP

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Our Client care policy

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Client care policy

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Summary

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Summary

• We are committed to providing a good standard of service to all clients

• We must have respect for the clients and their needs

• We must give clients key information on costs and funding

• We must handle complaints properly• We have a duty of confidentiality to clients

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Final comments

• Any questions?• Email to nigel.harper@parfittcresswell.com• Update your training records in Compliance

Manager