Code of Conduct & Practice for the Will Writing Profession

PART I Introduction.
PART II Statement of Principles and Consequences of Breach.
PART III Rules for:
A. Entering into Practice
B. Business Promotion
C. Acceptance and Refusal of Instructions
D. Handling Business
E. Running the Practice
F. Dealing with Complaints and Disputes
G. Disciplinary Matters

PART I
INTRODUCTION

1. These Rules may be cited as the "Code of Conduct", the "Code of Practice" or the "Code of Conduct and Practice" and shall come into effect from the Dates of Signature to Appendix 1 of each Organisation. The term "Code" shall mean the following rules as amended from time to time by the Organisations signatory to Appendix 1 (the "Organisation(s)").
2.a) As the Organisations have an obligation to ensure that their Members are fit and proper persons to provide Legal Services to the general public, they make provision for the conduct and practice of all Members, whether in practice on their own account or in employment. These Rules must be observed as a condition of retaining Membership of their Organisation.
2.b) Whenever a Member is in doubt as to the application of any rule or as to the propriety of any action he should seek the advice of his Organisation.
2.c) In all these Rules any reference to the masculine shall be construed to mean both the masculine and the feminine.
2.d) A "Member" shall mean an accepted Member of at least one of the Organisations who is in good standing.
2.e) "Legal Services" shall mean the provision of Will writing and other associated services.

PART II
STATEMENT OF PRINCIPLES AND CONSEQUENCES OF BREACH OF THESE PRINCIPLES OR RULES

3. The following Rules are to be construed considering these principles:
a) A Member shall conduct himself so as to avoid doubt being cast upon his professional integrity.
b) A Member shall ensure that he provides Legal Services to his clients that are both proper and efficient and in the best interests of his clients.
4. If it appears that a Member has contravened any of the following Rules or preceding principles he is liable to proceedings under the Complaints Procedure.
5. Each Organisation shall establish a Regulatory Body to enforce these Rules on its behalf.

PART III
RULES

A. Rules for entering into practice

6.1) A Member may only practise under the authority of this Code in the United Kingdom where he must have a permanent address.
6.2) A Member practising on his own behalf shall display on his stationery either a statement that he is a Member of his Organisation or the logo of his Organisation with the word "Member" underneath the logo.
6.3) Where a Member is a partner in a firm, associated with or an employee of a firm or an employee or director of a company, all correspondence from or pertaining to that Member shall state that he is a Member of his Organisation.
6.4) The address of any office from which a Member practises must:
a) appear upon all stationery used in connection with that office; and
b) be notified in writing to the Organisation within 7 days of starting practice from that office.
6.5) When a Member practises from one or more branch offices:
a) the stationery issuing from the head office must display at least the town or location of each branch office; and
b) the stationery issuing from the branch office must display:
i) the full address of the head office; and
ii) at least, the town or location of any other branch office.
7. When anyone becomes or ceases to be a principal in a practice, such alteration must be notified in writing to his Organisation(s) within 7 days.
8. A Member must not call his practice by a name which:
a) is likely to bring the profession into disrepute;
b) is misleading.
9. A Member before starting and always whilst continuing in practice should have a current membership certificate from his Organisation(s) that should be on display at his business address.
10. A Member shall not combine his practice with any other profession, trade or business unless it is regulated or is conducted in a manner acceptable to his Organisation.

B. Rules for Business Promotion

11. A Member may advertise his practice and seek to obtain directly or indirectly clients and business in any manner and through any medium whether informative or promotional including unsolicited telephone calls or unsolicited visits to persons or organisations provided that:
a) the good reputation of the will writing profession, the Organisations or their Members is not thereby damaged;
b) he complies with the British Code of Advertising Practice, the British Code of Sales Promotion Practice and other relevant codes of practice of similar standing;
c) he shall not circulate or cause to be circulated to any other Member or Members any unsolicited material without the consent of his Organisation.
12. When a Member enters into an arrangement with another person for the introduction of clients to the Member or by the Member to the other person he must ensure that he advises the client independently according to these rules and continues to do so regardless of his own interests.
13. When a Member advertises his charges he must not quote a fee:
a) to be from or upwards of a certain figure; or
b) which is conditional upon the Member being instructed about other work or in consideration of any inducement or benefit or other reward.

C. Rules for Acceptance and Refusal of Instructions

14. A Member must make available his fees before accepting instructions from a client including:
a) the way in which fees will be calculated;
b) the circumstances in which they might be increased;
c) the particulars of expenses and V.A.T. likely to be charged to the client;
d) cancellation or non-completion charges.
15. The Member must inform his client of the terms upon which instructions will be accepted and give this information to the client before accepting instructions.
16. A Member must not seek to exclude or to limit his liability to his client.
17. A Member must not refuse to accept instructions from any person upon the grounds of race, sex, colour, ethnic origin or religion.
18. A Member must not accept instructions which:
a) are beyond his competence;
b) he does not have sufficient time or resources to fulfil efficiently;
c) are of a type for which he is not covered by an adequate level of professional indemnity insurance as stipulated by his Organisation from time to time;
d) involve an illegal transaction.

D. Rules for Handling Business

19. A Member must carry out his instructions once accepted with reasonable skill and care.
20. A Member must seek or advise his client to seek other advice where a question arises during a transaction that is beyond his competence.
21. A Member must deal with correspondence and other matters arising while carrying out his instructions with reasonable speed and must not do or omit anything to be done which would cause unnecessary delay.
22. A Member must observe proper standards of professional courtesy and co-operation towards the client and all other persons with whom he has dealings in his practice and in particular must ensure that the client is fully informed of the progress of any transaction.
23. Should a Member wish to cease to act for a client he must give the client reasonable notice of his intention so to do.
24. A Member must treat all facts and information concerning his client obtained by him while acting for that client as confidential and must not at any time make any unauthorised use of such facts or information.
25. A Member must not in any way take unfair advantage of any apparent disability or lack of knowledge, education, financial or business circumstances of the client.

E. Rules for Running the Practice

26. A Member must ensure that the work of all persons, employed by him or by any partnership of which he is a member or by any recognised body of which he is a director or an official, while carrying out duties related to Legal Services, is adequately supervised.
27. No Member shall, except with written permission granted by the Organisation, employ, remunerate or associate with any person regarding the provision of Legal Services who to his knowledge:
a) has been convicted of a criminal offence involving fraud, dishonesty or violence;
b) has been found guilty of professional misconduct as a member of another profession;
c) is the subject of an order under Section 43(2) of or has been found guilty of an offence under Section 44(1) of the Solicitors Act 1974;
d) is by reason of any mental illness unable to carry out his functions as an officer or an employee; or
e) is the subject of an order under Part VII of the Mental Health Act 1983.
28. A Member shall make annual compliance and other periodic returns to his Organisation as may be required from time to time.
29. A Member must not practise as such unless he maintains in force a professional indemnity policy that meets with his Organisation's requirements.
30. A Member must at the earliest possible moment notify in writing both the Organisation and his insurers of any facts or matters that may lead to any claim under his Organisation's or his own professional indemnity policy.

F. Rules for Dealing with Complaints and Disputes

31. This Code provides arrangements to help resolve any disputes that may arise between Members and their clients. The Organisations will monitor the performance of their Members and will compile annual reports with statistics of complaints conciliated and arbitrated during the year and will publish this information. This information will be made available to other relevant organisations as required.
32. In the case of complaints about the conduct of the Member or his representative, it is essential that the client first approaches the Member. Members should ensure that all complaints are handled speedily, equitably and sympathetically. A written method of handling complaints should be drawn up and reviewed annually and, where applicable, issued to all staff. Staff handling complaints should avoid a defensive or evasive
attitude. Senior management must demonstrate a high degree of interest and involvement in client problems.
33. If the problem is not satisfactorily answered by the Member, the client may seek help from the Organisation or local advice services such as the local authority Trading Standards Department. Such agencies will attempt to resolve the problem by advising or aiding the parties concerned and contact may be at the initiative of either the client or the Member.
34. Should the local advice agencies be unsuccessful in resolving the complaint or if, for any reason, the client prefers not to consult them, then the relevant Organisation has conciliation services to assist with any complaint involving one of their Members that has not been referred for legal action. Problems should be referred in writing to the Member's Organisation.
35. If conciliation fails or is not pursued, the client may seek resolution of the complaint through Arbitration or the Sheriff or County Court. Parties to arbitration will be asked to pay the current registration fee. Clients who are successful with their claim will have their fee refunded.
To keep costs as low as possible, the Arbitrator will normally rely on documents. In these cases none of the parties to the dispute may be present nor may they be represented by any other person. The Arbitrator will advise the parties to the dispute of the written evidence he has on which to base his judgement and ask the parties to submit any further relevant evidence.
The Organisation shall appoint a single Arbitrator from a list of Arbitrators.

G. Disciplinary Matters

36. A Member by his acceptance into Membership of his Organisation agrees to abide absolutely by this Code acknowledging that any infringement shall be considered by his Regulatory Body for disciplinary action.
37. Disciplinary action shall be either a Reprimand, a Severe Reprimand, a Suspension of Membership or an Expulsion. A Member receiving a Reprimand or a Severe Reprimand, but not a Suspension, may be required to make restitution with costs as shall be set by his Regulatory Body. If payment is not made within three calendar months the Member shall be expelled from Membership, subject to appeal. During Suspension of Membership, full subscription fees shall be payable. Any penalty will take recognition of any previous disciplinary record.
38. Members who have been disciplined and are dissatisfied with the decision shall have the right to apply, within six weeks of being notified of disciplinary action, for a hearing before a Board of Appeal.
39. The Board of Appeal shall consist of three persons, two appointed by the Member's Organisation (not being members of the Regulatory Body which made the original decision) and an independent Chairman agreed upon by both parties or in default of agreement to be appointed in such a manner as the Organisation shall direct. The costs of such adjudication shall be imposed upon either or both parties to the appeal at the discretion of the Board of Appeal. If the Expulsion of a Member is upheld on appeal, the Organisation shall appropriately publish such fact.

APPENDIX 1
All correspondence relating to this Code should be addressed as follows:
The Director General
The Society of Will Writers
Eagle House
Exchange Road
Lincoln LN6 3JZ
As submitted to the Office of Fair Trading
29th December, 1997. HJS