Initial Consultation Guide

Uk Solicitor

Initial Consultation

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Version 2.0 (Complete) - January 2026

England and Wales

Framework and Compliance

Part 1: SRA Requirements for Initial Consultation

Part 2: AML, Sanctions and Source of Funds (LSAG 2025)

Part 3: Mental Capacity and Vulnerable Clients

Part 4: Equality, Diversity and Inclusion (Principle 6)

Part 5: The Universal Consultation Process (7 Stages)

Part 6: Scope Definition Framework

Part 7: Complexity Assessment Methodology

Part 8: Pricing Model Selection Guide

Part 9: Total Cost Components and Disbursements

Service-specific Consultation Guides

Part 10: Private Client (Wills, Probate, Trusts)

Part 11: Family Law

Part 12: Residential Conveyancing

Part 13: Commercial Property

Part 14: Personal Injury and Clinical Negligence

Part 15: Employment Law

Part 16: Immigration

Part 17: Criminal Defence

Part 18: Corporate and Commercial

Part 19: Insolvency

Part 20: Court of Protection

Part 21: Contentious Probate

Part 22: Tax Law

Part 23: Public and Administrative Law

Part 24: Regulatory and Professional Discipline

Outputs

Part 25: Engagement Letter Requirements by Pricing Model

Part 26: Money on Account

Part 27: Complaints Routes and Client Rights

Part 28: Templates and Checklists

Part 1: Sra Requirements for Initial Consultation

1.1 Regulatory Framework

The initial consultation is where SRA compliance obligations begin. Solicitors must gather sufficient information to comply with costs disclosure, conflict, competence and EDI requirements.

SRA Competence Statement

ℹ All solicitors must demonstrate competence in areas A1-A5 of the SRA Competence Statement.

A1: Ethics, professionalism and judgment

A2: Technical legal practice

A3: Working with other people

A4: Managing themselves and their work

A5: Functioning legal knowledge

SRA Code of Conduct - Applicable Rules

Rule

Requirement

At Consultation

Rule 1.4

Maintain confidentiality

From first contact

Rule 3.2

Ensure service is competent and timely

Assess matter type

Rule 3.4

Consider client attributes and needs

Assess vulnerability

Rule 5.1

Do not act in conflict of interest

Check immediately

Rule 6.1

Do not act if conflict of interest

Check immediately

Rule 6.2

Do not take unfair advantage

Vulnerable clients

Rule 7.1

Do not mislead about services

Accurate advice

Rule 8.6

Give costs information client can understand

By end of consultation

Rule 8.7

Best possible information on likely costs

Before engagement

Rule 8.8

Bills clear, itemised if requested

Explain at consultation

Principle 6

Encourage equality, diversity, inclusion

Throughout

Information Required BEFORE Engagement

Matter type and practice area identified
Scope of work defined (included and excluded)
Conflict check completed
Vulnerability assessment conducted
Capacity confirmed (or deputy/attorney identified)
AML/CDD requirements initiated
Pricing model selected and explained
Fee estimate or range provided
Disbursements anticipated and communicated
Money on account request (if appropriate)
Complaints procedure explained
Client care letter terms explained
SRA Rule 8.6: Costs information must be provided at the START of the retainer - before formal engagement.

1.2 SRA Transparency Rules 2019

For certain services, pricing must already be published on the firm's website:

Service Category

What's Published

At Consultation

Residential Conveyancing

Fixed fee or range + disbursements

Confirm scope matches

Probate (uncontested)

Fixed fee or % + disbursements

Confirm estate complexity

Motoring Offences

Fixed fee for guilty plea

Confirm offence type

Employment Tribunal

Range by claim type

Assess complexity

Immigration

Fixed fee by application type

Confirm category

Debt Recovery

Fixed or % by value

Confirm debt amount

Licensing

Fixed fee by licence type

Confirm application

Non-compliance with SRA Transparency Rules is an SRA disciplinary matter.

1.3 Law Society Quality Schemes and Accreditations

Certain accreditations require enhanced consultation standards:

Quality Scheme

Practice Area

Additional Requirements

Lexcel

All practice areas

File management, risk assessment, supervision

CQS (Conveyancing Quality)

Conveyancing

Enhanced due diligence, fraud prevention

WIQS (Wills & Inheritance)

Wills/Probate

Capacity protocols, storage, registration

Family Law Panel

Family

Resolution Code, client care standards

Children Law Accreditation

Children

Enhanced training, supervision

Clinical Negligence Panel

Clinical Negligence

Medical records protocols, experts

Personal Injury Panel

Personal Injury

APIL membership standards

Criminal Litigation

Accred

Criminal

Police station, youth requirements

Immigration/Asylum

Accred

Immigration

OISC Level 1-3 equivalent

Employment Law

Accred

Employment

ELA membership standards

Mental Capacity Panel

CoP/Deputyship

Capacity assessment protocols

STEP Membership

Trusts/Estates

TEP qualification standards

Part 2: Aml, Sanctions and Source of Funds

2.1 Anti-Money Laundering Requirements (LSAG 2025)

Under Money Laundering Regulations 2017 (as amended) and LSAG 2025 guidance, solicitors must conduct Customer Due Diligence before accepting instructions.

CDD Requirements at Initial Consultation

☐ Identify the customer (full name, address, date of birth)
☐ Verify identity from reliable independent sources
☐ Identify beneficial owners (>25% ownership/control per LSAG 2025)
☐ Assess purpose and intended nature of relationship
☐ Conduct risk assessment (standard, simplified, or enhanced DD)
☐ Verify source of funds for the transaction
☐ Verify source of wealth where required
☐ Record CDD information and keep for 5 years

Enhanced Due Diligence Triggers

Politically Exposed Person (PEP) or family/close associate

High-risk third country (per FATF/EU lists)

Complex or unusual transaction structure

Unusual payment methods (cash, crypto, third party)

Instructions received remotely without meeting

Inconsistencies in information provided

Unusual urgency or secrecy requested

2.2 Sanctions Screening

ALL clients must be screened against sanctions lists regardless of referral source.

Sanctions Lists to Check

UK Consolidated List (OFSI)

EU Sanctions List

UN Sanctions List

US OFAC List (where relevant to transaction)

When to Screen

Before accepting instructions

Ongoing screening during relationship

When sanctions lists are updated

Before making any payments

2.3 Source of Funds Verification

Source

Evidence Required

Employment income

Payslips (3 months), employment contract, P60

Business profits

Accounts (2 years), tax returns, bank statements

Sale of property

Completion statement, sale contract, net proceeds

Inheritance

Grant of probate, estate accounts, solicitor letter

Gift

Gift letter, donor's source of funds verification

Savings

Bank statements showing accumulation over time

Investment proceeds

Investment statements, sale notes, broker confirmation

Loan/mortgage

Loan agreement, lender confirmation on headed paper

Compensation/damages

Award letter, court order, solicitor confirmation

Pension lump sum

Pension provider letter, scheme statement

2.4 POCA 2002 - Tipping Off

'Tipping off' is a CRIMINAL OFFENCE under POCA 2002 ss.333A-333E

If money laundering suspected: MUST report to NCA (Suspicious Activity Report)

MUST NOT inform the client a report has been made

MUST NOT inform any third party a report has been made

MUST NOT do anything that might prejudice investigation

Penalty: Up to 5 years imprisonment and/or unlimited fine

Solicitor may need to delay transaction pending NCA consent - cannot explain reason to client.

Part 3: Mental Capacity and Vulnerable Clients

3.1 Mental Capacity Act 2005

Where a client may lack capacity to give instructions, the MCA 2005 principles apply:

MCA Principles (Section 1)

Principle 1: Presume capacity unless established otherwise

Principle 2: Take all practicable steps to help client make decisions

Principle 3: Unwise decision does not mean lack of capacity

Principle 4: Best interests apply only if capacity lacking

Principle 5: Least restrictive option must be chosen

Two-Stage Capacity Test

Stage 1: Diagnostic Test

Does the person have an impairment of, or disturbance in the functioning of, the mind or brain?

Stage 2: Functional Test - Can the person:

❓ Understand the information relevant to the decision?

❓ Retain that information long enough to make the decision?

❓ Use or weigh that information as part of decision-making?

❓ Communicate their decision (by any means)?

If Capacity Lacking

Check for Lasting Power of Attorney (Property & Financial Affairs)

Check for Court of Protection Deputy

If neither exists, may need to apply for deputyship

In emergency: act in best interests with full documentation

Consider whether Office of Public Guardian needs notification

3.2 Vulnerable Client Identification (SRA Rules 3.4, 6.2)

Part 4: Equality, Diversity and Inclusion

4.1 SRA Principle 6

Solicitors must act in a way that encourages equality, diversity and inclusion.

Application at Consultation

Provide equal service quality to all clients regardless of protected characteristics

Make reasonable adjustments for disabled clients

Do not refuse instructions based on protected characteristics

Ensure accessibility of premises and communications

Train staff on unconscious bias and inclusive practice

4.2 Equality Act 2010 - Protected Characteristics

Characteristic

Examples

Reasonable Adjustments

Age

Elderly, young adults

More time, clearer explanations

Disability

Physical, mental, sensory

Accessible premises, formats, support

Gender reassignment

Trans clients

Respect chosen name/pronouns

Marriage/civil partnership

All relationship types

Equal treatment

Pregnancy/maternity

Pregnant clients, new mothers

Flexible appointments

Race

Ethnicity, nationality, colour

Interpreter services, cultural sensitivity

Religion/belief

All faiths and none

Respect religious requirements

Sex

Male, female

Equal treatment

Sexual orientation

LGB+ clients

Equal treatment, sensitivity

4.3 Reasonable Adjustments

Accessible meeting rooms (wheelchair access, hearing loops)

Information in large print, Braille, Easy Read, or audio

BSL interpreter for deaf clients

Extra time for appointments

Communication support for speech impairments

Carer or support person present if needed

Home visits or video calls if client cannot travel

Flexible appointment times

Failure to make reasonable adjustments is discrimination under Equality Act 2010.

Part 5: the Universal Consultation Process

5.1 The Seven Stages

Stage

Purpose

SRA Compliance

1. Intake

First contact, basic information

Confidentiality begins (1.4)

2. Conflict Check

Check for conflicts of interest

Rules 5.1, 6.1

AML/CDD

Identity verification, sanctions

MLR 2017, LSAG 2025

4. Information Gathering

Facts, documents, vulnerability

Rules 3.2, 3.4, 6.2

5. Scope Definition

Define included/excluded work

Rule 8.6 preparation

COMPLEXITY/PRICING

Assess difficulty, select model

Rules 8.6, 8.7

7. Engagement

Document terms, client accepts

Written confirmation (8.6)

5.2 Stage 1: Intake

Minimum Information to Capture

Client's full name and contact details

Nature of enquiry (practice area)

Urgency level and any limitation deadlines

Other parties involved (for conflict check)

How they found the firm (referral source - for LASPO compliance)

Brief summary of matter

Initial vulnerability indicators

5.3 Stage 2: Conflict Check

Check Against

Current clients (same matter, adverse interest)

Former clients (same or substantially related matter)

Opponents in current matters

Connected parties (companies, family members, associates)

Fee earner personal connections

If conflict identified: STOP. Decline or obtain informed written consent if conflict is waivable.

5.4 Stage 3: AML/CDD

Verify identity (passport/driving licence + proof of address)

Sanctions screening completed and recorded

Source of funds question asked and documented

Risk assessment conducted and recorded

CDD record kept on file

5.5 Stage 4: Information Gathering

Universal Questions (All Practice Areas)

❓ What outcome do you want to achieve?

❓ What is the background - how did this situation arise?

❓ What documents do you have?

❓ Who else is involved and what are their interests?

❓ Any deadlines, limitation periods, or time pressures?

❓ What steps have you already taken?

❓ What is your budget for legal costs?

❓ Any vulnerabilities or special needs we should be aware of?

5.6 Stages 5-7: Scope, Pricing, Engagement

Define scope precisely (Part 6), assess complexity (Part 7), select pricing model (Part 8), confirm total costs including disbursements (Part 9), and document in engagement letter (Part 25).

Part 6: Scope Definition Framework

6.1 Standard Scope Document Structure

Section 1: Matter Description

Client name and matter reference

Matter type (practice area and sub-category)

Brief factual summary

Client's stated objectives

Section 2: Scope - INCLUDED

Specific tasks to be performed

Documents to be prepared

Advice to be provided

Representation (if any) and at which stages

Section 3: Scope - EXCLUDED

Related matters NOT covered by this instruction

Work that would require separate instruction and fee

Specialist advice not included (tax, planning, etc.)

Future stages or appeals

Section 4: Assumptions

Facts assumed to be correct

Third-party cooperation assumed

Timeline assumptions

If any assumption incorrect, scope/fee may change

Section 5: Scope Change Procedure

We will notify you immediately if scope needs to change

We will provide revised estimate in writing BEFORE proceeding

Your written agreement is required for out-of-scope work

Original fee does not apply to additional work

SRA Rule 8.7: Failure to update estimate when scope changes is a disciplinary matter.

6.2 Scope by Matter Type

Matter Type

Key Scope Elements

Common Exclusions

Transactional

Transaction, asset, value, parties, timeline

Tax advice, planning, funding

Contentious

Dispute, forum, value, stage, outcome

Appeals, enforcement, counterclaims

Advisory

Question, depth, assumptions, deliverable

Implementation, ongoing advice

Regulatory

Investigation, authority, scope, response

Criminal proceedings, appeals

Documentation

Documents, parties, review, execution

Disputes, enforcement

Part 7: Complexity Assessment Methodology

7.1 10-Factor Complexity Scoring

Factor

1 (Low)

2 (Medium)

3 (High)

Legal issues

Standard, settled law

Some novel aspects

Novel, uncertain, developing

Factual complexity

Simple, clear facts

Moderate investigation

Complex, disputed facts

Document volume

< 50 pages

50-500 pages

500 pages

Number of parties

2 parties

3-5 parties

6+ parties

Value at stake

< £25,000

£25,000-£250,000

£250,000

Time pressure

Flexible timeline

Defined deadline

Urgent/imminent

Opponent difficulty

Cooperative/

LiP

Professional/reasonable

Aggressive/difficult

Jurisdictions

England & Wales only

UK multi-jurisdiction

International element

Expert evidence

None required

Single expert

Multiple experts

Regulatory overlay

None

Standard regulation

Heavy FCA/CMA/sector

Complexity Bands

Score 10-14: LOW complexity - Fixed fee generally suitable

Score 15-20: MEDIUM complexity - Capped fee or hourly with estimate

Score 21-25: HIGH complexity - Hourly rate with detailed phased estimate

Score 26-30: VERY HIGH complexity - Senior team, premium rates, phased billing

7.2 Automatic Uplift Factors

Multi-jurisdictional

element: +3 points

Expert evidence required: +2 points per expert
Regulatory investigation overlay: +3 points
Class action or group litigation: +5 points
Urgent instruction (< 48 hours): +3 points
High-profile or reputational sensitivity: +2 points
Vulnerable client requiring additional support: +2 points

Part 8: Pricing Model Selection Guide

8.1 The Eight Pricing Models

Model

How It Works

Best For

Key SRA Requirement

Fixed Fee

Agreed price for defined scope

Standard predictable matters

Define scope precisely (8.6)

Hourly Rate

Time × rate per fee earner

Complex/uncertain scope

Provide estimate (8.7)

CFA

No win no fee + success uplift

PI, clinical neg, some litigation

CFA Regs 2000, LASPO caps

DBA

% of damages recovered

Employment, commercial claims

DBA Regs 2013, 25/35/50% caps

% of Value

% of transaction/estate

Probate, conveyancing, M&A

State % and basis clearly

Legal Aid

LAA fixed/graduated rates

Criminal, family, immigration

LAA contract required

Capped Fee

Hourly up to agreed maximum

Medium complexity

State rates and cap clearly

Retainer

Regular fixed payment

Ongoing advisory relationships

Define included services

8.2 Pricing Model Decision Tree

Step 1: Is the client eligible for Legal Aid?

YES → Legal Aid (if work is in scope of LAA contract)

NO → Continue to Step 2

Step 2: Is this Personal Injury or Clinical Negligence?

YES → CFA (100% success fee, 25% damages cap) or consider DBA

NO → Continue to Step 3

LASPO: PI/CN referral fees PROHIBITED. Success fees from client damages only.

Step 3: Is the scope clearly definable and work predictable?

YES → Fixed Fee is suitable

NO → Continue to Step 4

Step 4: Is there a quantifiable recovery or transaction value?

YES (damages claim) → Consider DBA (25%/35%/50% caps)

YES (estate/transaction) → Consider % of Value

NO → Continue to Step 5

Step 5: Does client want cost certainty despite uncertain scope?

YES → Capped Fee (hourly up to agreed maximum)

NO → Continue to Step 6

Step 6: Is this an ongoing advisory relationship?

YES → Retainer arrangement (monthly/quarterly)

NO → Hourly Rate with realistic estimate

8.3 Pricing by Practice Area

Practice Area

Primary Model

Alternative

Quality Scheme

Wills (simple)

Fixed Fee

—

Wiqs

Wills (complex/IHT)

Hourly Rate

Capped Fee

WIQS, STEP

Probate (uncontested)

% of Value

Fixed Fee

Wiqs

Probate (contentious)

Hourly Rate

CFA

Wiqs

Residential Conveyancing

Fixed Fee

—

CQS

Commercial Property

Hourly Rate

Fixed (lease)

—

Personal Injury

CFA

DBA

APIL, PI Panel

Clinical Negligence

CFA

DBA

AvMA

, CN Panel

Employment (claimant)

CFA/DBA (35%)

Hourly

ELA

Employment (employer)

Hourly Rate

Retainer

ELA

Family (contested)

Hourly Rate

—

Resolution, Family Panel

Family (uncontested)

Fixed Fee

—

Resolution

Immigration

Fixed Fee

Hourly (complex)

OISC, Imm

Accred

Criminal Defence

Legal Aid

Private hourly

Crim Lit

Accred

Corporate M&A

Hourly Rate

% of Value (large)

—

Insolvency

Hourly Rate

Fixed (stages)

Court of Protection

Hourly Rate

Fixed (LPA)

MCA Panel

Tax

Hourly Rate

Fixed (returns)

—

Public Law/JR

Hourly/Legal Aid

—

Regulatory

Hourly Rate

—

Part 9: Total Cost Components and Disbursements

9.1 Total Cost Formula

ℹ TOTAL COST = Professional Fees + Disbursements + Counsel Fees + Expert Fees + Court Fees + VAT

Component

Description

Who Pays

Professional Fees

Solicitor's charges for legal work

Client (per pricing model)

Disbursements

Third-party costs paid on client's behalf

Client (at cost - no markup)

Court/Tribunal Fees

Government filing and hearing fees

Client (or Help with Fees)

Counsel Fees

Barrister's fees if instructed

Client

Expert Fees

Expert reports and court attendance

Client

Search Fees

Property, company, bankruptcy searches

Client

VAT

20% on professional fees and some disbursements

Client

SRA Accounts Rule 5: Solicitors must NOT profit from disbursements. Pass through at cost only.

9.2 Common Disbursements by Practice Area

Conveyancing Disbursements

Item

Typical Cost

VAT

Local Authority Search (LLC1 + CON29)

£150-£300

Exempt

Drainage Search

£40-£80

Exempt

Environmental Search

£40-£60

Standard rated

Chancel Repair Search

£20-£30

Standard rated

Land Registry Search (OS1/OS2)

£3-£6

Exempt

Land Registry Registration Fee

£45-£910 (value based)

Exempt

Stamp Duty Land Tax

Value based (separate)

N/A

Bank Transfer Fee (CHAPS)

£25-£45

Standard rated

Litigation Disbursements

Item

Typical Cost

VAT

Court Issue Fee

£35-£10,000 (value based)

Exempt

Hearing Fee

£170-£1,090

Exempt

Counsel's Brief Fee

£500-£10,000+

Standard rated

Counsel's Refresher (per day)

50-100% of brief

Standard rated

Medical Report (PI)

£200-£1,500

Standard rated

Expert Report (general)

£500-£5,000+

Standard rated

Court Bundle Copying

£0.10-£0.50/page

Standard rated

Process Server

£50-£150

Standard rated

Probate Disbursements

Item

Typical Cost

VAT

Probate Registry Fee

£300 (> £5k estate)

Exempt

Additional Sealed Copies

£1.50 each

Exempt

Statutory Notices (London Gazette)

£70-£100

Standard rated

Statutory Notices (Local Paper)

£100-£200

Standard rated

Asset Valuations

Variable

Usually

standard rated

Bankruptcy Searches

£2 per search

Exempt

9.3 VAT Summary

Professional fees: 20% VAT (standard rated)

Court fees: Exempt (no VAT)

Land Registry fees: Exempt

Local Authority searches: Exempt

Counsel fees: 20% VAT

Expert fees: 20% VAT

Private searches: Usually 20% VAT

ℹ VAT-registered business clients can typically reclaim VAT. Individual clients cannot.

Part 10: Private Client Consultation

10.1 Wills

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 1.4, 3.4, 6.2 | WIQS | STEP membership

Essential Questions

❓ What assets do you own? (Property, investments, pensions, business interests)

❓ Approximate total estate value?

❓ Who do you want to benefit from your estate?

❓ Children? Ages? Any special circumstances?

❓ Beneficiaries with vulnerabilities (disability, addiction, bankruptcy risk)?

❓ Business interests or agricultural property?

❓ Assets outside the UK?

❓ Significant gifts in last 7 years?

❓ Existing will? When was it made?

❓ Any capacity concerns? (If so, consider golden rule - medical evidence)

Scope - Simple vs Complex Will

Element

Simple Will

Complex Will

Included

Single will, standard clauses

Multiple wills, trusts, IHT planning

Trusts

None or basic discretionary

Life interest, disabled, RNRB trusts

Assets

UK only, no business

International, business, agricultural

Capacity

Standard attestation

Golden rule - medical assessment

Pricing

Fixed Fee £500-£2,000

Hourly Rate £1,500-£5,000+

10.2 Probate

Essential Questions

❓ Did the deceased leave a will? Has it been found?

❓ When did they die?

❓ What assets? Approximate gross estate value?

❓ Any debts?

❓ Who are the executors/administrators?

❓ Any disputes or potential claims anticipated?

❓ Business interests or shares in private company?

❓ Gifts in last 7 years? (For IHT)

Scope - Grant Only vs Full Administration

Element

Grant Only

Full Administration

Included

Grant application, IHT forms

Grant + collection + distribution

Assets

Identify for grant purposes

Collect, value, realise, distribute

Excluded

Asset collection, distribution

Tax returns, disputes

Pricing

Fixed Fee £1,500-3,000

% of Estate (1-4%)

Part 11: Family Law Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 1.1, 3.4, 6.2 | Family Panel | Children

Accred

| Resolution

11.1 Divorce

❓ Married or civil partnership? When?

❓ Is the relationship irretrievably broken down?

❓ Children? Ages?

❓ Main assets? (Property, pensions, savings, businesses)

❓ Main debts?

❓ What outcome do you want financially?

❓ Will spouse agree or will this be contested?

❓ Any domestic abuse? (Affects funding options)

❓ Proceedings already started?

11.2 Children Matters

❓ What arrangements do you want for the children?

❓ What does the other parent want?

❓ Any safeguarding concerns?

❓ CAFCASS involvement?

❓ Existing court orders?

❓ Legal Aid eligible? (Domestic abuse evidence)

Part 12: Residential Conveyancing Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.2, 3.4, 6.2 | SRA Accounts Rules | CQS

12.1 Purchase

❓ Property address?

❓ Purchase price?

❓ Freehold or leasehold? If leasehold - years remaining?

❓ New build?

❓ Buying with mortgage? Which lender?

❓ Who will own the property? (Joint tenants/tenants in common?)

❓ Linked to a sale? (Chain)

❓ Target completion date?

❓ Source of funds for deposit and completion monies?

12.2 Sale

❓ Property address?

❓ Sale price?

❓ Freehold or leasehold?

❓ Outstanding mortgage? Which lender?

❓ Any disputes (boundaries, neighbours)?

❓ Building work done? (Building regs, planning permission)

❓ Buying another property? (Chain)

Part 13: Commercial Property Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.2, 3.4, 6.2 | SRA Accounts Rules

13.1 Commercial Lease

❓ Property description and address?

❓ Landlord or tenant?

❓ Proposed rent and lease term?

❓ New lease, assignment, or renewal?

❓ Use of property? (Check use class)

❓ Fit-out works required?

❓ Rent-free period?

❓ Service charge arrangements?

❓ Break clauses required?

Part 14: Personal Injury and Clinical Negligence

SRA/Quality Framework

AvMA

14.1 PI Questions

❓ When did the accident happen? (Check limitation)

❓ Where did it happen?

❓ How did it happen? (Detailed description)

❓ What injuries did you suffer?

❓ What treatment have you had/are having?

❓ Time off work? How long? Ongoing?

❓ Financial losses suffered? (List all)

❓ Any witnesses?

❓ Was it reported? (Police, employer, insurer)

❓ Photos, dashcam, CCTV, documents?

14.2 QOCS and Part 36 - Explain at Consultation

QOCS (Qualified One-Way Costs Shifting)

If you lose, you generally don't pay defendant's costs

Protection lost if: fundamental dishonesty, claim struck out, discontinuance

ATE insurance still advisable for own disbursements

Part 36 Cost Consequences

Claimant fails to beat D's Part 36 offer: pays D's costs from expiry + 21 days

Defendant fails to beat C's Part 36 offer: indemnity costs + 10% interest + additional amount

LASPO: PI/CN referral fees PROHIBITED. Success fees capped at 25% of damages.

Part 15: Employment Law Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 1.4, 3.4, 6.2 | ELA | Employment Accreditation

15.1 Employee Claims

❓ Still employed or left?

❓ Employment start date? (Qualifying service)

❓ Job title and salary?

❓ What is the issue? (Unfair dismissal, discrimination, wages, whistleblowing)

❓ When did the issue arise or when dismissed?

❓ Been through grievance procedure?

❓ Contacted ACAS for early conciliation?

❓ ACAS certificate number? (Mandatory before ET claim)

❓ What outcome do you want? (Compensation, reinstatement)

❓ Documents? (Contract, letters, payslips, emails)

15.2 Employer Advisory

❓ How many employees?

❓ Employee's role and seniority?

❓ Issue? (Disciplinary, capability, redundancy, grievance)

❓ What stage? (Investigation, hearing, appeal)

❓ ACAS Code followed?

❓ Settlement agreement needed?

Part 16: Immigration Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | OISC Registration | Rules 3.4, 6.2 | Immigration Accreditation

16.1 Immigration Questions

❓ Current immigration status?

❓ What visa/status applying for?

❓ Nationality?

❓ How long in UK?

❓ Previous visa refusals or curtailments?

❓ Any immigration breaches? (Overstaying, working illegally)

❓ Criminal convictions? (In UK or abroad)

❓ Family situation? Dependents included?

Work Immigration Additional

❓ Sponsoring employer?

❓ Job title, salary, SOC code?

❓ Does employer have sponsor licence?

ℹ Immigration pricing must be published under SRA Transparency Rules.

Part 17: Criminal Defence Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 1.4, 3.4, 6.2 | Criminal Litigation Accreditation | Police Station Qual

17.1 Police Station (Urgent)

❓ Where are you being held? (Station name)

❓ What are you suspected of?

❓ Been interviewed yet?

❓ Been charged?

❓ Youth (under 18)?

❓ Vulnerabilities? (Mental health, learning difficulty, language)

❓ Appropriate adult needed?

17.2 Court Proceedings

❓ What are the charges?

❓ Next court date?

❓ Which court? (Magistrates/Crown)

❓ Pleading guilty or not guilty?

❓ Bail or remanded in custody?

❓ Copy of evidence/advance disclosure?

❓ Co-defendants?

❓ Previous convictions?

Criminal legal aid is means-tested for Magistrates. Often non-means-tested for Crown Court.

Part 18: Corporate and Commercial Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.2, 3.4, 6.2

18.1 Company Formation

❓ Business to be conducted?

❓ Shareholders and ownership percentages?

❓ Directors?

❓ Need shareholders' agreement?

❓ Share capital structure? Different classes?

❓ Regulatory authorisations needed? (FCA, etc.)

18.2 M&A

❓ Target company/business?

❓ Turnover and profitability?

❓ Share purchase or asset purchase?

❓ Indicative price?

❓ Funding source?

❓ Due diligence already done?

❓ Competition/regulatory issues?

❓ Transaction timetable?

❓ Key employees to retain?

Part 19: Insolvency Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.2, 3.4, 6.2 | R3 Membership

19.1 Corporate Insolvency

❓ Company name and registration number?

❓ Nature of business?

❓ Turnover and recent profitability?

❓ Total debts owed?

❓ Number and type of creditors?

❓ Any secured creditors? (Bank, asset finance)

❓ Assets available?

❓ Director conduct concerns? (Wrongful/fraudulent trading)

❓ Continuing to trade?

19.2 Personal Insolvency

❓ Total debts owed?

❓ Income and assets?

❓ Homeowner? Equity?

❓ Self-employed?

❓ Previously bankrupt or in IVA?

Part 20: Court of Protection Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.4, 6.2 | Mental Capacity Panel

20.1 LPAs

❓ Property & Financial Affairs, Health & Welfare, or both?

❓ Who will be attorney(s)?

❓ Replacement attorneys?

❓ Preferences and instructions to include?

❓ Anyone to be notified before registration?

❓ Capacity to make LPA? (If doubt, consider COP application)

20.2 Deputyship

❓ Does the person lack capacity? (Medical evidence)

❓ What decisions need to be made?

❓ Value of assets under management?

❓ Who is proposing to be deputy?

❓ Any family disputes about who should be deputy?

Part 21: Contentious Probate Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.4, 6.2 | WIQS

21.1 Will Disputes

❓ Relationship to deceased?

❓ When did deceased die?

❓ What is

the

will dispute about?

❓ Testamentary capacity concerns?

❓ Undue influence suspected?

❓ Knowledge and approval issues?

❓ Forgery allegations?

❓ Estate value?

21.2 Inheritance Act Claims (1975 Act)

❓ Relationship to deceased? (Qualifying category)

❓ Financial circumstances?

❓ What provision made in will (if any)?

❓ What provision seeking?

❓ Within 6 months of grant? (Limitation)

Part 22: Tax Law Consultation

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.2, 3.4, 6.2

22.1 Tax Questions

❓ Nature of tax issue? (Income, CGT, IHT, VAT, Corporation Tax)

❓ HMRC enquiry or investigation?

❓ Tax return queries?

❓ Transaction requiring tax structuring?

❓

Non-

dom

status issues?

❓ R&D tax relief claim?

❓ Transfer pricing issues?

Part 23: Public and Administrative Law

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.4, 6.2

23.1 Judicial Review

❓ What public body decision is being challenged?

❓ When was the decision made? (

3 month

limit)

❓ Have you exhausted complaints/appeals processes?

❓ Grounds for challenge? (Illegality, irrationality, procedural unfairness)

❓ Legal aid eligible?

❓ Protective Costs Order needed?

Part 24: Regulatory and Professional Discipline

SRA/Quality Framework

ℹ SRA Competence A1-A5 | Rules 3.4, 6.2

24.1 Professional Discipline

❓ Which regulator? (SRA, GMC, NMC, HCPC, GDC, etc.)

❓ Nature of allegation?

❓ Stage of proceedings?

❓ Interim order concerns?

❓ Practice restrictions in place?

24.2 Regulatory Investigations

❓ Which regulator? (FCA, CMA, HSE, ICO, etc.)

❓ Nature of investigation?

❓ Dawn raid occurred?

❓ Documents/information requested?

❓ Individual or company under investigation?

Part 25: Engagement Letter Requirements

25.1 Universal Contents (All Models)

Client name and matter reference
Scope of work (included and excluded)
Pricing model and fee/estimate
Fee earner names and rates (if hourly)
Disbursements anticipated
Billing frequency
Payment terms (due date, methods)
VAT treatment
Scope change procedure
Money on account (if requested)
Right to challenge bills
Complaints procedure (firm then

LeO

)

Terms of business reference
Data protection statement
Equality statement

25.2 Model-Specific Requirements

Fixed Fee

State fixed fee amount clearly

Define scope precisely (what's included/excluded)

State assumptions underlying the fee

State that fixed fee does NOT apply if scope changes

List disbursements separately (at cost)

Hourly Rate

List all fee earners who may work on matter and their hourly rates

Provide realistic estimate or range for total cost

State assumptions underlying estimate

Explain when and how updates will be provided

State billing frequency (monthly recommended)

CFA

Separate CFA document required (CFA Regulations 2000)

Success fee percentage and when payable

25% of damages cap (if PI/CN) - explain clearly

Define what 'win' and 'lose' mean

ATE insurance arrangements

Disbursement funding arrangements

DBA

Separate DBA document required (DBA Regulations 2013)

Percentage of damages - must be within statutory caps

Confirm percentage is inclusive of all costs, counsel, VAT, disbursements

Explain that no fee payable if claim fails

% of Value

State percentage and basis (gross/net estate, transaction value)

State minimum fee if applicable

Explain how value will be determined

State that disbursements are additional

Capped Fee

State hourly rates for all fee earners

State the cap amount clearly

Define scope for cap to apply

Explain that cap extension requires written agreement

State client pays lower of actual time or cap

Retainer

State retainer fee and payment frequency

Define services included in retainer

State hours included (if applicable)

Explain what happens to unused hours (rollover/expire)

Define out-of-scope work and how it will be billed

Part 26: Money on Account

26.1 SRA Accounts Rules

Money on account is CLIENT MONEY (SRA Accounts Rule 4)

Must be held in client account - not office account

Cannot be transferred to office account until bill delivered

Interest may be payable to client (Rule 8)

Must be accounted for on final bill

26.2 When to Request Money on Account

New clients (no payment history established)

Significant disbursements anticipated

High-value matters

Overseas clients

Litigation matters (counsel fees, court fees)

Where firm policy requires

26.3 Standard Approach

Request sum equal to first month's estimated fees + anticipated disbursements

Replenish when depleted

Account for on each interim bill

Refund any excess at conclusion

26.4 Source of Funds

When receiving money on account, verify source of funds (AML requirements).

Check funds match expected source declared at consultation

Query unexpected sources

Do not accept third-party payments without due diligence

Cash restrictions apply (usually no cash over £500)

Part 27: Complaints Routes and Client Rights

27.1 Firm Complaints Procedure

First stage: Internal complaints procedure (8 weeks to respond)

Inform client of right to escalate to Legal Ombudsman

Provide

LeO

contact details in engagement letter and final response

27.2 Legal Ombudsman

ℹ Contact: PO Box 6167, Slough, SL1 0EH | 0300 555 0333 | www.legalombudsman.org.uk

Time Limits - ALL THREE Must Be Met

ONE YEAR from act or omission complained about; AND
SIX MONTHS from receiving firm's final written response; AND
SIX YEARS absolute longstop from the act or omission

LeO

Remedies (up to £50,000)

Apology

Refund of fees paid

Compensation for loss, distress, inconvenience

Waive or limit outstanding fees

Redo defective work

27.3 Financial Ombudsman Service

ℹ

For

FCA-regulated activities (ATE insurance, claims management, consumer credit)

SIX MONTHS from receiving final response; AND

SIX YEARS from event (or THREE YEARS from when aware)

Contact: www.financial-ombudsman.org.uk | 0800 023 4567

27.4 Right to Challenge Bills (Solicitors Act 1974)

Timeframe

Client's Right

Court Approach

Within 1 month of bill

Assessment as of RIGHT

Court MUST order assessment

1-12 months from bill

Discretionary

Court MAY order assessment

After 12 months

Special circumstances only

Exceptional cases only

After payment

Within time limits above

Payment does NOT bar assessment

27.5 Consumer Rights Act 2015

Right to service provided with reasonable care and skill

Right to service provided as described

Right to reasonable price if not agreed in advance

Right to price reduction if standards not met

Right to repeat performance if service deficient

Part 28: Templates and Checklists

28.1 Initial Consultation Checklist

Before Consultation

☐ Intake form completed
☐ Conflict check run and cleared
☐ Fee earner available and briefed
☐ Published pricing checked (if Transparency Rules apply)
☐ Quality scheme requirements identified

During Consultation

☐ ID documents collected for verification
☐ Sanctions screening completed
☐ Source of funds question asked and documented
☐ Vulnerability indicators assessed
☐ Capacity confirmed (or deputy/attorney identified)
☐ Reasonable adjustments made if needed
☐ Client's objectives understood
☐ All relevant facts gathered
☐ Documents identified/obtained
☐ Limitation/deadline dates checked
☐ Scope defined (included/excluded)
☐ Complexity scored
☐ Pricing model selected
☐ Fee/estimate calculated
☐ Disbursements explained
☐ Complaints procedure explained

After Consultation

☐ AML/CDD verification completed
☐ Risk assessment recorded
☐ Engagement letter sent
☐ CFA/DBA signed (if applicable)
☐ Money on account requested and received
☐ Matter opened on case management system
☐ Client acceptance recorded
☐ File note of consultation completed

28.2 Complexity Scoring Template

Score each factor 1 (Low) / 2 (Medium) / 3 (High):

Legal complexity: ___

Factual complexity: ___

Document volume: ___

Number of parties: ___

Value at stake: ___

Time pressure: ___

Opponent difficulty: ___

Jurisdictions: ___

Expert evidence: ___

Regulatory overlay: ___

TOTAL SCORE: ___ / 30

Complexity Rating: Low (10-14) | Medium (15-20) | High (21-25) | Very High (26+)

28.3 Scope Definition Template

Matter: _________________ | Client: _________________ | Ref: _________________

INCLUDED:

[Task 1]

[Task 2]

[Task 3]

EXCLUDED:

[Excluded 1]

[Excluded 2]

ASSUMPTIONS:

[Assumption 1]

[Assumption 2]

SCOPE CHANGE:

If scope changes, we will notify you immediately, provide revised estimate in writing, and require your written agreement before proceeding.

Document Information

─────────────────────────────────────

Version 2.0 Content

28 Parts covering complete consultation and scope definition process

AML/Sanctions/Source of Funds (LSAG 2025)

Mental Capacity Act 2005 framework

Vulnerable Client identification and documentation

Equality, Diversity and Inclusion (SRA Principle 6)

15 practice area consultation guides

Total cost components and disbursements

Money on Account procedures

Law Society Quality Schemes by practice area

SRA Competence Statement references

QOCS and Part 36 for PI/CN

Complete complaints routes (

LeO

, FOS, CRA 2015)

Templates and checklists

Regulatory Framework

SRA Standards and Regulations 2019 (as amended 2025)

SRA Code of Conduct Rules 1.4, 3.2, 3.4, 5.1, 6.1, 6.2, 7.1, 8.6-8.8

SRA Principle 6 (Equality, Diversity, Inclusion)

SRA Competence Statement A1-A5

SRA Transparency Rules 2019

SRA Accounts Rules 2019

Money Laundering Regulations 2017 (as amended)

LSAG Anti-Money Laundering Guidance 2025

POCA 2002 (Tipping Off provisions)

Mental Capacity Act 2005

Equality Act 2010

Consumer Rights Act 2015

CFA Regulations 2000

DBA Regulations 2013

LASPO 2012

─────────────────────────────────────

Document Version: 1.0 (Complete)

Effective Date: January 2026

Next Review: July 2026

Uk Solicitor​