Solicitors Code of Conduct, Part 2

Following my earlier blog, and noting that new regulations were coming in to effect from 6 October 2011 as per the SRA website at the date of writing this blog, I thought it prudent to have a look.  The draft Outcome Focused Regulations for client care are detailed

below in their wonderful flowery language.

Outcomes

You must achieve these outcomes:

O(1.1) you treat your clients fairly;

O(1.2) you provide services to your clients in a manner which protects their interests in their matter, subject to the proper administration of justice;

O(1.3) when deciding whether to act, or terminate your instructions, you comply with the law and the Code;

O(1.4) you have the resources, skills and procedures to carry out your clients' instructions;

O(1.5) the service you provide to clients is competent, delivered in a timely manner and takes account of your clients' needs and circumstances;

O(1.6) you only enter into fee agreements with your clients that are legal, and which you consider are suitable for the client's needs and take account of the client's best interests;

O(1.7) you inform clients whether and how the services you provide are regulated and how this affects the protections available to the client;

O(1.8) clients have the benefit of your compulsory professional indemnity insurance and you do not exclude or attempt to exclude liability below the minimum level of cover required by the SRA Indemnity Insurance Rules;

O(1.9) clients are informed in writing at the outset of their matter of their right to complain and how complaints can be made;

O(1.10) clients are informed in writing, both at the time of engagement and at the conclusion of your complaints procedure, of their right to complain to the Legal Ombudsman, the time frame for doing so and full details of how to contact the Legal Ombudsman;

O(1.11) clients' complaints are dealt with promptly, fairly, openly and effectively;

O(1.12) clients are in a position to make informed decisions about the services they need, how their matter will be handled and the options available to them;

O(1.13) clients receive the best possible information, both at the time of engagement and when appropriate as their matter progresses, about the likely overall cost of their matter;

O(1.14) clients are informed of their right to challenge or complain about your bill and the circumstances in which they may be liable to pay interest on an unpaid bill;

O(1.15) you properly account to clients for any financial benefit you receive as a result of your instructions;

O(1.16) you inform clients if you discover any act or omission which could give rise to a claim by them against you.

Indicative behaviours

Acting in the following way(s) may tend to show that you have achieved these outcomes and therefore complied with the Principles:

Dealing with the client's matter

IB(1.1) agreeing an appropriate level of service with your client, for example the type and frequency of communications;

IB(1.2) explaining your responsibilities and those of the client;

IB(1.3) ensuring that the client is told, in writing, the name and status of the person(s) dealing with the matter and the name and status of the person responsible for its overall supervision;

IB(1.4) explaining any arrangements, such as fee sharing or referral arrangements, which are relevant to the client's instructions;

IB(1.5) explaining any limitations or conditions on what you can do for the client, for example, because of the way the client's matter is funded;

IB(1.6) in taking instructions and during the course of the retainer, having proper regard to your client's mental capacity or other vulnerability, such as incapacity or duress;

IB(1.7) considering whether you should decline to act or cease to act because you cannot act in the client's best interests;

IB(1.8) if you seek to limit your liability to your client to a level above the minimum required by the SRA Indemnity Insurance Rules, ensuring that this limitation is in writing and is brought to the client's attention;

IB(1.9) refusing to act where your client proposes to make a gift of significant value to you or a member of your family, or a member of your firm or their family, unless the client takes independent legal advice;

IB(1.10) if you have to cease acting for a client, explaining to the client their possible options for pursuing their matter;

IB(1.11) you inform clients if they are not entitled to the protections of the SRA Compensation Fund;

IB(1.12) considering whether a conflict of interests has arisen or whether the client should be advised to obtain independent advice where the client notifies you of their intention to make a claim or if you discover an act or omission which might give rise to a claim;

Fee arrangements with your client

IB(1.13) discussing whether the potential outcomes of the client's matter are likely to justify the expense or risk involved, including any risk of having to pay someone else's legal fees;

IB(1.14) clearly explaining your fees and if and when they are likely to change;

IB(1.15) warning about any other payments for which the client may be responsible;

IB(1.16) discussing how the client will pay, including whether public funding may be available, whether the client has insurance that might cover the fees, and whether the fees may be paid by someone else such as a trade union;

IB(1.17) where you are acting for a client under a fee arrangement governed by statute, such as a conditional fee agreement, giving the client all relevant information relating to that arrangement;

IB(1.18) where you are acting for a publicly funded client, explaining how their publicly funded status affects the costs;

IB(1.19) providing the information in a clear and accessible form which is appropriate to the needs and circumstances of the client;

IB(1.20) where you receive a financial benefit as a result of acting for a client, either:

�� paying it to the client;

�� offsetting it against your fees; or

�� keeping it only where you can justify keeping it, you have told the client the amount of

the benefit (or an approximation if you do not know the exact amount) and the client

has agreed that you can keep it;

IB(1.21) ensuring that disbursements included in your bill reflect the actual amount spent or to be spent on behalf of the client;”

So essentially, the rules are the same, just broken down into ‘Outcomes’ and ‘Indicative Behaviours’.  As always, we strive to make sure you, our clients, do not fall foul of the above and are always on hand to help. See our main website for further details of our costs drafting services.