Procedure for keeping records of pre-engagement communication
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This document outlines the procedure for maintaining records of pre-engagement communications with potential clients, aiming to protect both the practice and clients' interests. It specifies the responsibilities of staff, identifies types of communications to be recorded, and requires documentation in a pre-engagement database. Furthermore, it ensures that such records are reviewed and relocated to the matter file upon client engagement.
Procedure for keeping records of pre-engagement communication
- 1. Procedure for keeping records of pre-engagement communications 1 Issue Date: 31/03/2014 Author: Val Antoff Revision Date: 1/04/2017 Approved by: Val Antoff Procedure for keeping records of pre-engagement communications LAW 9000 โ Legal Best Practice Clause 4.2.5Records 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 clientโs 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 โOff the streetโ 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
- 2. Procedure for keeping records of pre-engagement communications 2 Issue Date: 31/03/2014 Author: Val Antoff Revision Date: 1/04/2017 Approved by: Val Antoff Subject matter Advice/opinion given Follow up date d) The information in the database will be reviewed at the weekly lawyersโ meeting to ensure that preliminary communications are appropriate and promptly followed up. e) A potential clientโs information from the database will be relocated to the matter file if the engagement proceeds. Quality Management for Legal Practices Blog