Law Society Of Alberta Client Communication Toolkit .
Law Society of AlbertaClient Communication Toolkit:Client ServiceOctober 2019
DisclaimerThis handbook outlines techniques and strategies to improve your practice but therecommended practices will not fit every situation.The material presented does not establish a standard of care for lawyers, nor does itprovide a complete analysis of the relevant topics. This information is not legal adviceand should not be construed as such.Nothing in this document supersedes the Legal Profession Act, Rules of the Law Societyof Alberta, Code of Conduct or the Law Society’s ability to step in to protect the publicinterest should the need arise.This handbook is adapted with permission from the Price and Transparency Toolkit, Law Society of England and Wales. The support and assistance of the Law Society ofEngland and Wales is gratefully acknowledged.
Law Society of AlbertaClient Communication Toolkit: Client ServiceIntroductionThe legal market is as wide as it is deep.Clients have a myriad of different needs and preferences, so there is no single right way to offer orprovide legal services. And with rapid technological changes, what it means to ‘practice law’ ischanging before our very eyes.By highlighting common pitfalls, best practices and recent developments, our goal is to help youmeet your clients’ expectations and achieve a more successful, satisfying practice for yourself.Not every aspect of client relations is dealt with in the Client Communication Toolkit. In all cases,you should conduct your own research and take your specific circumstances into considerationwhen planning for future contingencies.Communication: The Key to Client ServiceCommunication issues are the greatest singlecause of insurance claims against lawyers inAlberta.In 2016, 36% of claims arose from a failure tofollow client instructions. This continues atrend over the last few years and shows nosigns of abating.1Moreover, claims consistently cut acrosspractice areas, so the same principles ofcommunication will improve your clientrelations regardless of the nature of yourpractice, your seniority, or the type of file youare working on.Make sure the information you give yourclients is presented in a clear andstraightforward manner. Complicated formsand overly legalistic language can createbarriers to understanding and diminish yourclients’ impression of your skills andreputation.Not all clients are familiar with legal processand legal terminology. Avoid euphemismsand technical jargon wherever possible.Outline what clients can expect and whenthey can expect it.1Be alert to communication challenges thatclients face, such as hearing difficulties,disability, learning difficulties, languagebarriers or other cross-cultural issues, andlook for ways to overcome those challenges.Consider your client’s background whendeciding how to present information. Forexample, if you have a good command ofother languages, you may provide informationin a language other than English. This ishelpful if you have a large client base forwhom English is a second language.ALIA Annual Report 2016www.lawsociety.ab.caPage 3
Law Society of AlbertaClient Communication Toolkit: Client Service Before EngagementClient screeningNot all clients are right for you. Neither areyou the right lawyer for all clients.Before you agree to act on a new matter,consider whether you have the skills andresources to handle it competently and beeffective. Sometimes the best decision is tosay ‘no’ to a new file.ResourcesIf you are unsure about whether a conflictexists, our Practice Advisors2 are availableas a free and confidential service to help youwith legal, ethical and practice concerns.Simply Speaking6The Office of the Practice Advisor hosts theSoloNet4 online community for sole andsmall firm practitioners.Mentor Connect5 is also available tointroduce you to a mentor who can help youmanage client relations and become thekind of lawyer you want to be.If you choose not to act, you cannot revealany information, including the fact that youwere approached, to anyone who might lateract against the would-be client. Members ofyour firm can still accept other clients and actcontrary to their interests, provided that: You do not disclose any confidentialinformation to firm membersrepresenting clients adverse to therejected udents/practice-advisors/35The adequacy of the measures you need totake to prevent disclosure depends on thecase. They may include destroying, sealing orreturning notes and correspondence to theprospective client and deleting or passwordprotecting computer files containing theirinformation.Law Society Programs & ServicesAnother Law Society service to consider isAdvisorLink3 which provides lawyers andarticling students with the contactinformation of experienced lawyers whohave agreed to answer one-off inquiries in awide range of practice areas for lessexperienced members of the Bar.4No firm members with access to theconfidential information are involved inany retainer related to the matter youdeclined.Conflict of Interest Video7Small Firm Practice Course8Conflicts of interest9A client’s interests may be prejudiced anytime your advice, judgment or action on theirbehalf are subject to potential conflicts ofinterest.You must not act where there is a conflict or asubstantial risk that your loyalty or clientrepresentation will be materially andadversely affected by your own interest orduties to another client, former client, oranyone else.A “substantial risk” is one that is significantand, while not certain or probable, is morethan a mere possibility.When meeting prospective clients, limit theamount of information you receive until youcomplete a conflict check. Never get into thedetails of the proposed retainer until youconfirm that it is in fact all right for you .php?id 29Code of Conduct, Conflicts, Rule grams/mentor-connect/www.lawsociety.ab.caPage 4
Law Society of AlbertaClient Communication Toolkit: Client Servicetheir case. Many clients underestimatethe risk that they will experience anegative event or unforeseendevelopment during your retainer.When are you retained?The obligation to sort out whether and when asolicitor-client relationship has been formedrests with you, not your clients.Explain that legal matters do not alwaysunfold in a straight line. This will reassurethem that you have not made a mistakewhen something unexpected arises.You are responsible for appreciating thesignificance of information that might becharacterized as confidential or is related to acurrent or pending dispute.You are expected to have knowledge ofprivilege, confidentiality, retainers, conflictsand your ethical obligations under the Codeof Conduct.The onus is on you, not your clients, to clarifythe scope of the relationship that youestablish with every client you meet.10What to DiscussClients hate when their lawyer surprises themwith costs or outcomes they have not discussed.Make a point of explaining: Who will work on their file?The initial meeting How will you charge for your work?Many clients will request an initial contact toexplore their legal options. If your billing rate is subject to adjustmentover time.This is a good opportunity to start building arelationship with prospective clients byunderstanding what they need and hope toachieve by hiring a lawyer. They may belooking for an apology. Maybe something hascaused them to lose face and they wish torestore their honour. Maybe they want torecover money. Often it is about money, butnot always. Expected disbursements and timeframes forwhen these expenses will arise. Potential of having to pay someone else’scosts. The risk of a less-than-optimal outcome. Timeframes to complete the work.Effective communication during the initialinterview significantly reduces the chances oflater disputes.Most initial interviews should cover six areas:1. The client’s objectives – Understandingexactly what your client wants will let youtailor your efforts to full effectiveness.2. Your role – You may be the first lawyerthis client has ever engaged and the firsttime the client is involved in the legalsystem. Help clients understand your role,the services you provide and your ethicalobligations to treat the courts and otherlawyers honestly and with civility. Explaintheir responsibilities as well.3. Initial advice – Discuss the range ofpossible outcomes and whether theyjustify the risk and expense. Highlight thatyour initial assessment may change asyou develop more information concerning10Law Society of Alberta v. Wilson, 2016 ABLS 51 atwww.lawsociety.ab.ca4. General timeframes – Give your clientan idea of how long their case may take.A major source of inquiries to the LawSociety are concerns about delay orclients being left in the dark about stepsthat have or have not been taken.5. How will you communicate with eachother? – Discuss whether it is best tocommunicate with each other by phone,email, video conference or in-person. Letclients know who they should contact ifyou are unavailable.6. Money – To make an informed decisionabout whether to retain you, your clientneeds to understand what it will cost.Above all, potential clients want to avoidsurprises, particularly financial ones. Tellthem in advance what you will do, what youwill charge to do it and let them know when itis done.para. 101Page 5
Law Society of AlbertaClient Communication Toolkit: Client ServiceThe Code of Conduct says you can provide aservice if you honestly feel competent tohandle it or are able to become competentwithout undue delay, risk or expense to theclient. The lawyer who proceeds on any otherbasis is not being honest with the client.11Even if you have represented someone in thepast, you need to assess whether you havethe skills to represent the client in a newmatter before agreeing to act.You are free to decide whether to acceptinstructions in any matter, provided that inmaking that decision you do not discriminateunlawfully.13Resourceslicence, birth certificate, provincial healthinsurance card, passport or similar record.For corporations, obtain a certificate ofcorporate status or annual filings confirmingthe organization’s name, address anddirectors.For other organizations such as a trust orpartnership, obtain the trust or partnershipagreement, articles of association, or similarrecord that confirms its existence.Once you have verified an individual’sidentity, you need not do it again on anothermatter if you recognize the person.For companies and other organizations, youmust complete your client verification within60 days of receiving instructions involving thehandling of funds.Copies of all information and documents youuse to verify client identities must be retainedfor at least six years following completion ofthe retainer.Working With a Lawyer1214Who Is Your Client?Client identification & verificationWith every new client, you must obtain andrecord certain basic information to confirmtheir identity.For individuals, this includes a name,address, business address, telephonenumber and occupation. For organizations, itincludes the nature of the business,incorporation number, place of incorporation,and particulars of individuals authorized toinstruct you.If the matter involves receiving, paying ortransferring funds, you must go one stepfurther and take reasonable steps to verifytheir identity using reliable, independentsource documents or information.Receiving instructions from thirdpartiesOccasionally, your client’s parent, spouse,friend or business partner may relayinstructions about how a case should behandled.Your client may be unavailable and thereforeunable to provide instructions directly, or youmay be retained at the suggestion of another.Any time this happens, you need to ensurethat the instructions you receive accuratelyreflect your actual client’s wishes.In some situations, it may be appropriate toinsist on meeting alone with your client toconfirm that the client has given instructionsfreely and voluntarily.15For individuals, this includes governmentissued identification such as a driver’s11Code of Conduct, Competence, Rule e/publicresources/working-with-a-lawyer/13Code of Conduct, Making Legal Services Available, Rule4.1-1; Harassment and Discrimination, Rule 6.3; AlbertaHuman Rights Act, R.S.A. 2000, Chapter A-25.5, s.4(a)www.lawsociety.ab.ca14Law Society of Alberta Rules, Rules 118.2 – 118.1015Code of Conduct, Client Instructions, Rules 3.2-4 and 3.26Page 6
Law Society of AlbertaJoint retainers16The Code of Conduct allows you to representtwo or more parties in the same transaction,but you need to be particularly alert toconflicts of interest, at the outset andthroughout the duration of your retainer.If you act for multiple clients in the samematter: Obtain their consent after disclosingthe advantages and disadvantages ofa joint retainer to each of them. Ensure the joint retainer is in the bestinterests of each client. Advise each of them that noinformation any of them provide canbe treated as confidential, so far asthe others are concerned. Advise them that, if a conflict developsthat cannot be resolved, you may notbe able to continue to act for any ofthem and you may have to withdrawaltogether. You will usually not beable to choose one client andterminate your relationship with theothers.When acting for two or more clients in thesame matter, you must divide fees anddisbursements equitably between them,unless the clients agree otherwise.17 Toprevent this from turning into a problem,explain in your retainer agreement exactlyhow you plan to allocate fees between them.Client Communication Toolkit: Client ServiceWhat are You Hired toDo?19‘Unbundled’ & limited scope retainersLimited legal services, also called unbundledlegal services or limited scope retainers, allowpeople to hire a lawyer for one or two tasksrather than an entire case.The lawyer might do research, draft anaffidavit, help prepare for an application oradvise the client about whether and when tosettle. The client handles the rest of the case.Before undertaking a limited scope retainer,discuss the scope of the service to beprovided with your client and get writtenacknowledgement of the risks and limitationsof the retainer. Identify the tasks that you andthe client will each be responsible tocomplete.Advise your client about any legal issuesfalling outside the scope of the retainer andexplain the consequences of limiting its scopeso the client can decide whether to restrict orexpand the retainer.Be careful to avoid acting in a way thatsuggests you are providing full services to theclient.To make a limited scope retainer work,identify what jobs are being reserved for theclient and give them options. Specific waysthey can help include:Institutional clientsWhen you act for a corporation or institutionalclient, it is the organization, not the individualyou deal with, that has retained you. It is tothe organization that you owe your duties.18 Gathering and organizing facts andinformation. Helping with legal research. Participating actively in the file.Be sure to determine which officers, directorsor employees are authorized to give youinstructions.16Code of Conduct, Joint Retainers, Rule 3.4-517Code of Conduct, Joint Retainer, Rule 3.6-4www.lawsociety.ab.ca18Code of Conduct, When the Client is an Organization,Rule 3.2-9.19Code of Conduct, Limited Scope Retainers, Rule 3.2-2Page 7
Law Society of AlbertaClient Communication Toolkit: Client ServiceWhat to Tell Clients Uponand During Engagementaggregate bills delivered only once or twice ayear for the same reasons.Confirm client expectationsRetainer letters are a recommended practicein Alberta.The engagement stage gives you theopportunity to satisfy yourself that the clientunderstands the options you explained.All information on fees should be clear and ina form that is appropriate to the client’s needsand circumstances.Retainer lettersA retainer letter is a good opportunity to focusclients on the scope of your engagement andhow you do business.ResourcesYou should discuss how the client will payyou and, if applicable, the possibility of beingpublicly funded. You should explain your feesInteractive Retainer Letter Guide20Quality Legal Service Keep your clients informed. Answer reasonable requests forinformation within a reasonable time. Keep appointments or provide a timelyexplanation or apology when you areunable to do so. Honour your promises.Clients find it useful to have the keyinformation written down, so they know whatservice they will receive and can refer to it ata later date. Many will not read fine print, sothe first page of a retainer letter may be asummary sheet that highlights the main partsof the agreement in a clear andstraightforward manner. Ensure that work is done in a timelymanner so its value to clients ismaintained.This technique is often used in the insuranceindustry to focus the client’s attention on keyelements of the relationship. Make a prompt and complete report whenthe work is done.A summary sheet could include: Why the client has decided to engageyou. Discuss with the client whether the potentialoutcome of the case is likely to justify the riskinvolved.The course of action the client hasinstructed you to take. What work you will (and won’t) beperforming.Clients appreciate periodic updates in relationto the work you perform for them. An estimate of how long the work willtake.They will also appreciate being told when abill is on its way and having the opportunity todiscuss what they are being charged for. The likely costs of the work based onthe information within the letter.and if, or when, they are likely to change.Many lawyers adopt a practice of issuingmonthly bills to all clients as a way ofavoiding major fluctuations in their cash flowand keeping clients apprised of the ongoingcost of the matter. Clients often preferregularly-scheduled invoices rather than20Retainer agreements may not: Relieve you from liability fornegligence. Stipulate that your consent is neededto abandon or settle any nerLetter Rebranded.pdfwww.lawsociety.ab.caPage 8
Law Society of AlbertaFinancial retainersClients should be told at the outset if youneed a financial retainer to begin work andexactly what will happen when that retainer isdepleted. Consider having clients commit toautomatically replenishing or making anadditional contribution to their retainer on aregular schedule or with each account youissue.Client Communication Toolkit: Client Servicethem, a non-engagement letter also canprotect you from future allegations of aconflict of interest.Once you send such a letter, be careful toavoid taking steps or sending any signalssuggesting you have decided to act after all.ResourcesIf you are prepared to extend credit without aretainer, clients should understand that this isnot something to be taken for granted orabused, or you will not be able to continue toserve as their lawyer.Model Non-Engagement Letter21Detecting Identity Fraud2220 Red Flags of Bad Cheque Fraud YouShould Recognize23Stop. Assess. Re-Assess.New information, new documents and freshinsight can lead to a material change in yourclients’ chances of success and your ability toget paid. Your clients’ cases may evolvealong with their finances and risk threshold.Never stop considering whether your strategyon a file remains correct.If a course correction is neede
Law Society of Alberta Client Communication Toolkit: Client Service www.lawsociety.ab.ca Page 3 Introduction The legal market is as wide as it is deep. Clients have a myriad of different needs and preferences, so there is no single right way to offer or
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