Keeping records of pre-engagement communications is essential for protecting the practice and the client's interests. Here is an example of a procedure for maintaining such records.

1. Procedure for keeping records of pre-engagement communications
1
Issue Date: 31/03/2014 Author: Val Antoff
Revision Date: 1/04/2017 Approved by: Val Antoff
Procedure for keeping records of pre-engagement communications
LAW 9000 – Legal Best Practice
Clause 4.2.5Records of pre-engagement communication
1. Purpose
The objective of this procedure is to establish guidelines about maintaining records of pre-engagement
communications with potential clients whether it is clear or not that they may become a client. The
procedure aims to protect the practice and the potential client’s interests and to make certain that the
legal practice has a clear record of any advice given and any other pertinent discussions.
2. Scope
This procedure covers the process of keeping records of pre-engagement communications and later re-
locating such records to become part of the matter file after engagement.
3. Persons Affected
All professional and support staff.
4. Policy
It is our policy to ensure that there is an appropriate record of any communications that the practice may
have with potential clients before the relationship is formalised into a service agreement.
5. Responsibilities
Lawyers have responsibility for maintaining matter files including any pre-engagement communications.
6. Procedure
a) Identifying pre-engagement communications
Free first interview
Telephone communications
Email communications
“Off the street” enquiries
Any preliminary advice or opinion that may be construed as advice from the practice
b) All pre-engagement communications for the purposes of obtaining legal advice are subject to
lawyer-client privilege.
c) All communications with potential clients should be recorded in a pre-engagement excel
database/SharePoint library and include:
Date of advice/opinion given
Last and first name of potential client
Telephone number or email address

2. Procedure for keeping records of pre-engagement communications
2
Issue Date: 31/03/2014 Author: Val Antoff
Revision Date: 1/04/2017 Approved by: Val Antoff
Subject matter
Advice/opinion given
Follow up date
d) The information in the database will be reviewed at the weekly lawyers’ meeting to ensure that
preliminary communications are appropriate and promptly followed up.
e) A potential client’s information from the database will be relocated to the matter file if the
engagement proceeds.
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