Law Practice Essentials

It is surprising to discover how many steps are performed to open a file. Writing out your file opening procedure and creating a checklist will help to maintain consistency and to ensure all file opening obligations are adhered to.

Your procedure and checklist should include the following steps, at a minimum:

•  conflict search done and results recorded by printing out results, saving the results or indicating on the file that the check was done and no conflicts were found;
• completion of the Client Identification and Verification intake form, verification obtained if appropriate and documents saved on the file;
• creation of file and the associated components (paper or digital);
• file opened in accounting/practice management software;
• any limitation dates or other deadlines are entered into the calendar system;
• file added to Master File List;
• retainer letter and/or expectations forwarded to the client; and
• file is given a diary date for review.   

The Law Society has created a File Opening Checklist template that you can incorporate into your practice.

You have a duty to avoid conflicts of interest (Rule 3.4 of the Code). Before meeting with a prospective client, you should obtain only enough information from them to enable a conflict search to be done prior to meeting with them. This search is usually performed in your accounting/practice management software. Please check out the Software Comparison Chart on our website for a list of approved trust accounting software. You need to ensure that you are entering all of the requisite information each time you open a new file to allow for a proper conflict search to be completed.

For further understanding of this complex topic, please review the entirety of Rule 3.4 of the Code of Conduct which addresses our duties and obligations in relation to conflicts of interest in detail and view the Conflicts Essentials webinar and Conflicts module.  

Part of your file opening procedure must include a client identification and verification intake process. Trust safety has created many resources on the obligation to identify and sometimes verify our clients (Rules of the Law Society of Alberta, Rules 119.45 to 119.54). It is important to understand when identification is required and when both identification and verification are required. Please review the Client Identification and Verification page of our website and the Law Practice Essentials Client Identification and Verification module to assist you in understanding these Rules. We recommend using the intake forms that Trust Safety has created or checking carefully to ensure that your intake forms contain all of the same elements. View sample intake forms for individual clients and corporate clients.