clarity Biggart Baillie LLP – explaining our service standards
www.biggartbaillie.co.uk
“ Our objective is to provide you with high quality, value for money legal services and as a result to retain you as a satisfied client. To achieve this, it is important to set out clearly what you can expect from us and what we ask of you in return. We rely on you to provide us with all relevant information and to tell us as soon as possible about any change in circumstances which might affect the business in hand.�
OUR RESPONSIBILITIES Provide you with a professional legal service We aim to provide you with a high quality service in an efficient, friendly and approachable manner. We exercise due care in the performance of our service in accordance with applicable professional standards.
Provide a confidential service Information provided to us is dealt with in confidence and is only disclosed to parties as required for the proper conduct of your work or as authorised by you or as required by The Law Society of Scotland or any other relevant authority or by law. Unless specifically instructed otherwise, we may disclose that we act for you including using that information for marketing purposes. We do not refer to the existence or particulars of any of the transactions or matters on which you instruct us without your consent unless the information is already public knowledge.
We tell you who is handling each piece of work for you and we tell you, as soon as practicable, should there be any requirement to change these arrangements. Should such a change be necessary, we brief the new or additional member of staff without cost to you. We only advise on the detailed taxation aspects in relation to any piece of business where we have been specifically instructed by you to do so and we have agreed the scope of our service in that respect in a separate letter of engagement. We do not carry out work under the Legal Aid or Legal Advice & Assistance Schemes. It may be that you are eligible for advice under such schemes, in which case it is for you to seek such advice elsewhere. We do not assess your eligibility for cover under either scheme. Complete work within agreed timescales We seek to deal with your business as quickly and efficiently as possible. We are happy to discuss timescales for carrying out each piece of work and we will do all that we reasonably can to meet those timescales. However, the speed at which work can be completed is affected by the levels of co-operation that we receive from other people, and by other circumstances (such as the fixing of hearing dates) all of which are to a large extent outwith our control. Keep you informed of progress We keep you regularly informed of progress on the work we are doing for you and of any likely delays.
Communicate with you Our aim is to communicate in a clear, jargon free manner. We do not always confirm discussions with you in writing, but from time to time we may feel it is appropriate to do so. We may communicate with you by telephone, letter, fax, e-mail or any other form of electronic communication.
Manage papers Our practice, subject to any legal requirement to preserve papers, is to microfilm or electronically scan files on completion of the work to which they relate. Original files are then destroyed. We are happy to retain title deeds, wills or other documents on your behalf. We cannot guarantee, however, that they are always held within our offices or that where they are held is secure against damage by fire or the like. We do not accept responsibility for the loss of or damage to any items or papers which we hold on your behalf (whether in our own offices or otherwise) unless we expressly agree in writing to the contrary. If we are asked to retrieve stored documents and/or papers or to provide files or other papers (whether in hard copy or electronic form) we reserve the right to charge for this work. Under general law, we have the right to retain any deeds, documents or other materials which are your property and are held by us until such a time as any sums payable by you to us are paid.
Our responsibilities
Hold your money The rules for holding clients’ money are governed by The Law Society of Scotland and the types of banking facility or accounts that we may use to hold client funds must adhere to their Solicitors’ Accounts Rules at all times. Where we hold money for you, we will deposit it on your behalf in an interest bearing account if it is reasonable to do so, having regard to the amount we are holding on your behalf and the time for which we are holding the money. The Rules of The Law Society of Scotland in relation to the holding of client monies are detailed and strict. We are unable to pay out money on your behalf until we are in possession of cleared funds. This means that electronic money transfers to us need to be made in such a way that we have cleared funds in advance of us having to pay out any settlement sums to a third party. It also means that any cheques must be received by us at least 5 days before any money is to be paid out on your behalf. Similarly, if we receive cheques for you, they have to be cleared through our bank before we can pay you. Funds should not be sent to us before we are satisfied that there has been compliance with the anti-money laundering rules in relation to the source of those funds (see the anti-money laundering section below). If funds are sent to us prior to satisfactory completion of the compliance procedure, we will not be able to treat those funds as clients’ money within the meaning of The Law Society of Scotland’s Accounts Rules. In particular, we will not be able to pay such funds into a client bank account without delay. The Law Society of Scotland’s Accounts Rules require us, in certain circumstances, to account to you for interest on funds that we are holding on your behalf. Where these Rules are applicable, interest will be paid to you at competitive high street rates, which would at least match interest rates which clients can achieve for similar deposits on the high street in an instant access deposit account. At any one time, the firm can be holding total deposits on behalf of all clients of considerable value, and therefore our bank may pay a higher rate of interest than would be achievable on individual deposits. We are happy to share with you the benefits of the interest rates we have negotiated. When we hold money on your behalf, the money will be held within a client bank account which complies with the relevant provisions of The Law Society of Scotland’s Accounts Rules. This may be a non-designated
general client account, if The Law Society of Scotland Accounts Rules allow, or a separate designated deposit account, which is designated as holding client funds beneficially owned by one or more clients. The firm may also hold client monies within a pooled account held within an electronic banking product, where the bank is aware that the monies in the account are beneficially owned by clients on an individual designated basis. Monies will only be held in such an account where the bank is able to provide a breakdown on a designated basis to allow any interest earned to be credited to individual accounts. The firm will only hold client monies with a banking institution included on the List of Banks as compiled by the Financial Services Authority on a monthly basis, and only with those institutions covered by the Financial Services Compensation Scheme and which can offer a suitable client bank account facility which complies with The Law Society of Scotland’s Accounts Rules. We have client banking arrangements with a number of banking institutions, and we reserve the right to change from time to time, without notice, the banks or other institutions in which we hold your money. We shall not be liable for the partial or even complete loss of your funds held in accordance with these terms and conditions of business due to the failure of a banking institution, or as a result of nationalisation in whole or in part or as a result of takeover or merger affecting a banking institution. We will not give advice to clients on the appropriateness of individual banking institutions for the holding of deposit funds. The Financial Services Compensation Scheme may provide compensation for certain levels of deposit monies held with failed financial institutions. Whether you qualify for compensation under the Scheme will depend upon the rules of the Scheme from time to time. We reserve the right to pass to the Financial Services Compensation Scheme any information and details required by them to enable any claim to be pursued. Where we are holding client funds on your behalf for any reason, and you owe us money on any matter, we reserve the right to apply such funds in reduction of any monies owed to us. Comply with any other service levels We are happy to discuss the tailoring of our Service Standards to meet any specific requirements you may have. Service Standards
“ Only by forming successful working relationships with our clients can we give the right service and value – that has always been our philosophy. ” Provide you with a responsible partner
We are happy to provide you with our written procedure for handling
You have access to one of our partners with overall responsibility for
complaints if you ask us to do so. That procedure is provided to you
our relationship with you. If you are concerned about any aspect of
if you raise a matter with our Client Relations Partner.
our service, then please discuss your concerns in the first instance with the person handling your business or with the responsible
The Client Relations Partner ensures that any complaint you may
partner. Alternatively, if you prefer or if you are still not satisfied,
make is fully investigated and that you receive a detailed response.
please raise the matter with our Client Relations Partner.
He provides an initial response as soon as possible, normally within ten working days, with a more detailed response being provided as
The Client Relations Partner may change from time to time so is not
quickly as possible thereafter.
named here. Please contact us if you wish to know the name of the current Client Relations Partner.
If you are still dissatisfied, you are always entitled to take the matter up with the Scottish Legal Complaints Commission (www.scottishlegalcomplaints.com).
The extent of our liability
How we manage a conflict of interest
Advice given and documents prepared by us are for your use only in
If your interests come into conflict with the interests of any other
connection with the particular circumstances or transaction in relation
client of ours, or if there is a reasonable basis to anticipate that such
to which the advice is given or the documents are prepared. We accept
a conflict may arise, we advise you as soon as we become aware of the
no liability to you or any other party if such advice or documents
actual or potential conflict. The Law Society of Scotland’s rules govern
are used without our consent in other circumstances or for another
conflicts of interest. Should a conflict arise, we inform you how the
transaction.
rules affect the particular case and discuss with you how the conflict can be dealt with.
Our advice and documents may not be copied, used or relied upon by any third party without our express written consent.
Anti money laundering We are obliged to comply with the Proceeds of Crime Act 2002, the UK
Our liability, and the liability of our individual partners, employees
Money Laundering Regulations 2007 and other legal requirements.
and agents, to you (whether for negligence or otherwise) in relation to any work which we undertake for you is limited to the amount (if any)
The Regulations require that, prior to forming any business relationship
specified in writing by us to you at the outset of our engagement for
with any person or entity, we must obtain evidence of the identity
that work, or if no amount is so specified, £50 million.
of that person or entity. In addition we must be satisfied we fully understand the nature of the transaction or matter. In our discretion
Copyright and knowledge management
we will either verify your identity by obtaining from you copies of
All copyright in documents we produce in the course of our work
the necessary documentation or by checking your identity by such
for you is, and remains, our property. We may adapt, develop or use
other means as may be appropriate including the use of electronic
the same for other clients. All such documents, and any counsel or
databases. It is a condition of you seeking to instruct us that you
other third party opinions we may obtain for you, may be stored
co-operate fully in this and consent to us following such procedures
(electronically or otherwise) in our internal knowledge management
as we consider appropriate.
systems.
Our responsibilities
In the event we decide to verify your identity by documentary
The legislation places an obligation on us to report to the Serious
evidence you will be required to provide us upon request with sight
Organised Crime Agency (“SOCA”) any suspicions we may have that
of original documentation confirming your identity (e.g. certificate
the money or property being used (or going to be used) in any matter
of incorporation, passport, driving licence with photograph, etc.)
or transaction derives from the proceeds of any criminal act. It is an
and your current permanent address (e.g. bank statement, utility bill,
offence for anyone to prejudice a SOCA investigation by “tipping
mortgage statement, etc.) as well as such information as we require in
off” a person who is the subject of suspicion or any third party who
respect of the transaction or matter to comply with these provisions.
is suspected of money laundering. Where we make a report to SOCA, we are not entitled to take further steps on the matter or transaction
Photocopies are not acceptable unless certified in a manner acceptable
without SOCA approval and we accept no responsibility for the effects
to us. Similar proof of identity and address is required from third
of any delay which may thereby arise. You should be aware that the
parties who have a financial involvement in any matter or transaction
obligation placed on us may override any duty of confidentiality
on which we act for you and any “beneficial owners” in relation to
otherwise owed by us. A report to SOCA may involve significant
clients. If we are not given satisfactory evidence we will be obliged
consequences. If we seek your consent to make a report (where such
to withdraw from acting. If you request that we obtain documents
consent is required) and that consent is not given we reserve the right
to confirm matters (e.g. copy documents from Companies House) or
to withdraw from acting for you.
otherwise verify identity, we reserve the right to pass the costs on to you. In the event that we seek to verify your identity by other means you will be required to provide us upon request with the necessary information to allow us to do this.
Service Standards
“ As part of a sustained growth strategy, we embrace new technology to improve the services we can offer you. ” Fees
It is important for our clients to have a clear idea of the likely costs.
It is our objective that the fees which we charge are fair and
We are therefore happy to estimate fees, so far as possible, at the
reasonable for the work in question in all the circumstances of
start of any piece of work and to update any estimate provided as
the particular matter or transaction. In the absence of any other
the matter progresses. We will try to identify in our estimate any
agreement between us, the principal element in the calculation of
need which can reasonably be anticipated to make any payment
our fee is the time spent by us on the work. Where that is the case,
on your behalf.
we will advise you of the applicable rates, which are reviewed from time to time.
We may request a deposit from you at the outset towards the fee liability you will have. If you are unhappy with any fee we charge,
The actual fee may also reflect consideration of other relevant
you are entitled to an independent assessment by the Auditor of
factors such as urgency, importance of the work to you, amount or
the Court. This process is known as taxation. Alternatively, The Law
value of money or property involved, complexity, difficulty or novelty
Society of Scotland can give you guidance.
of the matters and length, number or importance of documents or papers.
Our responsibilities
We can provide information on request as to the time spent to date on
Recoveries
any matter and the cost it represents. We normally render an interim
In situations where you or we on your behalf contract with a third party
fee if a matter on which we are instructed has not been completed
to the effect that you are indemnified by that third party in respect of
within a reasonable time after we are instructed (normally three
all or part of our costs, the primary liability for those costs remains with
months). We may, thereafter, render further interim fees until such time
you, since we have no entitlement in law to seek recovery from the
as the relevant matter is completed.
third party.
From time to time, we may require to make payments on your behalf
In litigation, any recovered expenses rarely cover all of the fees due to
(for example for copy documents or for services of counsel). Normally,
us. About 50% is a reasonable working indication. You are liable for all
we only make such a payment after receiving the necessary funds from
our fees, whether or not they are recoverable from any other party.
you but in every case you are liable to reimburse us on demand. Data protection If any request for payment on account or settlement of a fee is not
As you would expect, your details are kept on computer. Some of this
timeously met, we are entitled to cease or suspend further work on the
data (e.g. name, address and interests) is used so that we can send you
matter in question and on any other matters being handled by us for
information about us and our services. None of the information that
you. In such instances we accept no liability for the effects of delays
we hold on computer is disclosed to third parties except in the ordinary
and other consequences which may thereby arise.
course of acting for you or if required by law.
We are normally able to meet any special requirements for format
If you do not wish to receive information about us and our services,
of invoices or other steps to assist your financial or accounting
you should notify our Business Development Director and your name
procedures.
can then be removed from our database for this purpose.
Unless otherwise agreed at the time of your instruction, our fees for work done are payable even if the proposed transaction or matter is not completed.
Service Standards
Your responsibilities
“ If we are to meet your expectations of performance, we need your co-operation. ” YOUR RESPONSIBILITIES
Provide us with information and decisions If we are to meet your expectations of performance, we need your
Communicate with us
co-operation. From time to time we need information from you and,
You may instruct us in a variety of ways. However, we may ask you to
although you have our full support and guidance, we need decisions
confirm instructions in writing. Unless otherwise agreed between us,
by you at certain stages of our work.
we are entitled to assume that anyone who holds himself or herself out as having authority to instruct us on your behalf does have such
If we require information or decisions from you, we try to give you as
authority. However, we may wish to confirm that authority with you
much notice as we can. Where such information or decisions are not
before proceeding.
provided to us within any timescale we indicate to you, we accept no liability for the effects of delays and other consequences which may
Unless we specifically agree with you to the contrary, we will not
thereby arise.
accept instructions for payment, or details of bank accounts to be credited, other than in writing.
Provide us with all relevant facts As your agents, we can only act on information and instructions
Where we are acting for a group of people or an organisation, we
given to us. We need to have full details of each matter on which
can accept instructions on a matter from more than one person
we are instructed particularly to comply with our obligations in
and, unless otherwise agreed between us, we are entitled to assume
respect of Money Laundering Reporting. We rely on you to provide
that the person instructing us has the authority of the others to do
us with all relevant information on a timely basis and to tell us as
so. Before acting on such an instruction, however, we may wish to
soon as possible of any change of circumstances. You should not
confirm it with any other interested party.
assume that we have knowledge of any factual matters.
Service Standards
Settle fees
Our regulation & accreditation
All our fee invoices are payable on presentation. If any invoice remains
Biggart Baillie LLP is a limited liability partnership incorporated in
unpaid for 30 days after it is rendered, we may add a surcharge of 2%
Scotland with registered number S0301366, and having its registered
for each period of 30 days (or part of such a period) thereafter until the
office at:
full amount due is paid. Dalmore House, If an account is not paid promptly, we may cease or suspend further
310 St. Vincent Street
work on the matter in question and on any other matters being
Glasgow G2 5QR.
handled by us for you. In such instances, we accept no liability for the effects of delays or other consequences which may thereby arise.
In these Service Standards, or in any correspondence, reference to a
Where we are acting for a group of people on any matter, every person
“partner” of Biggart Baillie LLP is to a member of Biggart Baillie LLP.
in the group is equally responsible for the instructions given to us and
All correspondence sent, and advice given, by a member or an
for payment of our fees and outlays in connection with the matter in
employee of Biggart Baillie LLP is sent or given on behalf of Biggart
question.
Baillie LLP.
Where you carry out a matter or transaction through a company,
Biggart Baillie LLP is regulated and authorised to conduct business as
limited partnership, limited liability partnership or other corporate
solicitors by The Law Society of Scotland and is subject to its Code of
vehicle established, or to be established, for that purpose, you will
Conduct. Details of the accreditation can be obtained by contacting:
remain responsible for payment of our fees and outlays in connection with that matter or transaction in question.
The Law Society of Scotland, 26 Drumsheugh Gardens
We are entitled to apply any money of yours which we hold to meet
Edinburgh EH3 7YR.
fees, VAT and outlays due by you. Telephone: +44 (0) 131 226 7411 www.lawscot.org.uk
Biggart Baillie LLP is regulated and authorised to conduct business as solicitors by The Law Society of Scotland and is subject to its Code of Conduct. ©Biggart Baillie LLP. Issue 3, 2009
ď Ž
Glasgow Dalmore House, 310 St. Vincent Street, Glasgow G2 5QR Tel: +44 (0) 141 228 8000 Fax: +44 (0) 141 228 8310
ď Ž
Edinburgh No. 2 Lochrin Square, 96 Fountainbridge, Edinburgh EH3 9QA Tel: +44 (0) 131 226 5541 Fax: +44 (0) 131 226 2278 For more information about our services, visit www.biggartbaillie.co.uk
Made from 100% recycled paper. Taking the environment personally.