Professional Ethics & Professional Accounting System

2018 Batch (July – Dec 2022)

Continuous Evaluation – 2
Dr K. Parameswaran

1 Your Name Devika Bansal

2 Your Registration Number 18B146

3 Your Contact Number 8433090490

4 Email ID to submit cegnlu@gmail.com

Continuous Evaluation-2

5 Last Date for Submission 8th October 2022

6 Instructions for Submission Time New Roman Title 14,

Time New Roman Paragraphs 12
Total Number of Words: 2000
Spacing: 1.5

7 Pattern Answer the following context

(2000 words)

8 Marks 25
 Avoiding Professional Misconduct by Developing Professional Good Conduct

I
magine or visualize a situation where you are present with an X client or a company who seek your legal assistance. You are legal professional
either as litigation advocate or corporate counsel or judicial officer, law-firm associate or NGO activist or policy thinker or legal journalist or
legal writer or legal researcher through higher academics or anything to do with legal or social work. (In case of judicial officer or higher
academics etc, use appropriate context).

An X client or a company has come to you asking for your legal assistance for a particular problem. Choose the client and problem according to
your nature of legal interest & work.

Write 2000 words as to how you would start, process & conclude using the 5 Secrets of Effective Communication and 6-Step Strategy. As
you know, both 5 secrets and 6 steps are in fact merged, balanced, harmonized and integrated in an ideal professional communication and work.

Note: Do not copy paste the tabulation below to write. It is only to show you the 5 secrets and 6 steps. Use your own story that flow in the
context. You have lots of opportunity to innovate and write to your heart’s full and mind’s high.
Introduction

My law office (the "Lawyer") is in one of the several cities in a significant metropolitan area of the state, next to a sizable retail shopping
mall. The city where the legal practise is situated is home to light industries, middle-class neighbourhoods, and high-end housing. My law
office is one of a group of law offices in a osne-story office building that also houses other one-story professional office buildings and single-
family houses on the same block. After a reasonably brief apprenticeship with a lawyer who had previously specialised in consumer
insolvency counselling and had hired me to assist with that job, I launched this practise. My client volume for consumer insolvency
counselling and representation is about 50%. In bankruptcy proceedings, I also represent creditors and commercial debtors. As public
service, I also spend a portion of two afternoons each month counselling debtors at a legal aid centre.

The clients are a married couple in their late 30s or early 40s. They had talked with me at a legal aid office a few months previously about
their financial struggles. Because their financial problems have not improved, they have now scheduled a second meeting with me. The main
cause of their financial problems is the husband's incapacitating illness, which until recently stopped him from working. The appointment
lasts around an hour and fifteen minutes.

Following is the hypothetical dialogue that takes place between me and the client. It provides a brief summary of the client counselling. It
gave a practical example on how as a legal entity I can assist a client on the problems they faced.
Dialogue (Client Counselling)

Lawyer: It's good to see you once again. How have you been doing?

Husband: Not that great. That is the reason we have returned to visit you. 

Lawyer: Sorry to hear that. I'll see what we can do. But first, I need to ask you for some fundamental details. I obtained part of this when I
saw you at legal aid, but since it's been so long since I've seen you, I need to get it again.

Husband: Okay.

Lawyer: [I enquire about each client's full name, address, phone number, place of employment, and monthly take-home income, as well as
about the making, model, and value of any cars they own, whether they have any outstanding loans, and whether they are renting or buying a
home. Clients provide this information, which I record.] Okay. Now that I know that, allow me to tell you what I recall about your
predicament from our meeting at legal aid. You [spoke to husband] were unable to work due to a disability, and you were behind on many of
your debts. Is that accurate?

Husband: Yes.

Lawyer: Alright, how are things now?

Husband and Wife: [Husband and wife recount their current situation together as I listen, making sure to keep eye contact, nodding in
understanding, and occasionally repeating, "uhhmm." The narrative from the clients briefly describes the husband's disability, which includes
seizures, the mounting medical debt, the loss of his driver's licence due to his disability, the husband's memory loss, and the worry and
tension that have been their constant companions. Clients end narration by noting that they have started to develop emotional coping
mechanisms.]  
Lawyer: [In order to further explain and augment the information given in the clients' narration, the I pose a few narrow questions in a gentle
manner.] Now please describe your debts to me.

Wife: On this list, we have them all listed. [Client provides me their list. List is created on bankruptcy forms that are provided to the client at
the stationery store. After visiting legal assistance, clients started putting these forms together in case they decided to file for bankruptcy on
their own.

Lawyer: [I examine the list. Then, I go over how some of the debts are secured and some are unsecured, outlining the differences between
the two with some succinct and eye-catching examples. The clients indicate their understanding by nodding their heads.] You did a great job
completing these forms on your own. Please let me take over right now. You've come a long way since I last saw you at legal aid. I'll now go
through two options you have for achieving your goals. [I continue by outlining for them potential remedies for their circumstances. The
following five minutes are spent by me discussing the solutions and providing various examples. I also described the court's process and the
timing of hearings. The clients listen attentively as I explain things to them and nod their heads in agreement.]

Wife: We have some questions.

Lawyer: Please go ahead.

Husband: What impact will this have on our credit?

Lawyer: It's a wonderful question, but it's a little challenging to respond to. [I spend one to two minutes in discussing how the remedies may
impact the clients' future capacity to acquire credit, closing by noting that some creditors frequently consider the debtors' efforts to pay their
obligations.]
Husband: We've been attempting to handle these issues for a while, and attempting to work with the creditors used to worry us a lot. We
tried our best, but occasionally they weren't very helpful, and my problems didn't go away. Thus, over time, we have grown increasingly
weary and frustrated. We've decided that the solution you suggested is the better way for us. It won't work any other way.

Lawyer: Mrs. [client], do you share the sentiments?

Wife: Yes.

Lawyer: So you're both inclined in that direction?

Wife: Yes. We sincerely appreciate all of your assistance with legal aid. We had truly reached the depth of the issue.

Wife: Yes, you did help a lot. [Then, clients inquire as to whether they were eligible for receiving specific insurance benefits under a credit
insurance policy. After a brief chat, the I ask the clients to provide a copy of the insurance policy so that I can review it. Then, clients inquire
as to what they should do with a court order requiring them to appear in court to answer inquiries on a judgement that the creditors had
acquired against them. I describe the reasons for their being forced to attend in court and offer advice on how they should approach the
attorney representing the creditors.]

Lawyer: But after you've hired me to represent you, you can send all of your creditors my way. Let me now specify what my fees would be.
You will be required to pay court expenses of Rs. 4,500 in addition to my Rs. 25,000 fee. I would then prepare the documents we must file in
court and file them for you after I had received that money from you. Would you like a moment to reflect on it?

Wife: No. Let's begin now.

Lawyer: I'll tell you what, though. You still have time to alter your mind after I hand you the forms I need you to complete. [I leave office to
get paperwork, then quickly comes back.] I need you to fill out the following forms. [I continue by briefly outlining the types of details
customers must provide on various forms. Clients nod in agreement and occasionally request clarification.] Let's schedule a time for you to
return. I'd like to make room for you and don't want you to risk your employment.

Husband: [Client recommends a date with his wife and I agree to it.]

Lawyer: How do you feel about the charges?

Wife: When we return the forms, we'd like to pay you in full.

Lawyer: No problem. That's all I've got for now, I suppose. Next week when I visit you, we can decide where to proceed from there. I
believe that you are actually making progress in overcoming your issues.

Wife: Well, we're inspired and feel great right now. I'm grateful.

Husband: Thank you, I agree. [I lead clients out of the office and lead them to the reception area.]
Analysis

Soon after they arrived, I met my clients in the lobby and escorted them to my office. The inquiries that were first posed during the greeting
process are utilised to revive the atmosphere and accustom the client to the location and surroundings. Once the clients are  seated, I notify
them that I need to first get some fundamental background data. I continue by asking the clients a string of specific questions. I keep lots of
eye contact with the client while recording the answers to these questions on a yellow legal pad.

I would typically respond to their queries by saying something along the lines of: "Let me give you the chance to speak now. Tell me about
your circumstance and how you ended up here." At this point, the clients begin to tell a story about their financial struggles, occasionally
incorporating some of the background that contributed to them. After the client has finished speaking and we have actively listened to the
same, I resume with some more focused questions, such as inquiries into the type and amount of debts owing, the identities of the creditors,
if the obligations are supported by collateral, and other ad hoc inquiries triggered by the client's account. I work on understanding the clients’
goals, values and feelings.

The next step in the conversation is for me to inform the client in general terms about the nature of the legal proceedings and to describe the
remedies and how they might apply to the client's specific situation. I present alternative options as remedies so that the client can consider
the same and select the one they believe is most appropriate for them. These enlightening queries are intended to go right to the heart of the
issue. Responses and occasional nods were used to keep the customer interested. These explanations can last up to five or ten minutes, and
the customer typically doesn't interrupt. The explanations are written in basic terms, and several straightforward examples are frequently
provided. In cases where I believe the client's circumstances require it, I will also discuss additional options for resolving the client's
financial issues. For instance, I may suggest that the client stop making efforts to pay debts and ask creditors to stop making collection
efforts on account of the client's inability to pay and judgment-proof status. I regularly use sentences like, "One idea for you to consider is...,"
during or after these explanations. You must decide what you want to accomplish since it is your life and you must face yourself in the
mirror the following day; "In your circumstance, I believe you should think about [a particular alternative]."
Following these explanations, I solicit the client's opinions on the stated alternatives and respond to any queries they may have. When the
client indicates a preference for one option, I either support the decision by outlining my thoughts on its benefits or call attention to a specific
drawback that the client might not be completely aware of. I will then frequently give the client more time to consider their options. After
that, I will provide pricing and payment terms. If the client chooses to begin a specific proceeding, I get the necessary forms, explain them to
the client, and let him know that after they are filled out and returned to my office, he can prepare the necessary paperwork to be signed and
sent to the bankruptcy court.

Techniques Used

The following were some of the methods employed in this session:

Effective communication: Effective communication was based on a number of factors, including clarity and efficiency. This
method is primarily used to ensure that the client's statements contain no fractions.

Empathy: Empathy is a reflection of the counsellor’s care and respect for the client, whose experiences could be very different
from their own. The client needs to feel valued and understood.

Active Listening: The practise of active listening is employed in counselling, training, and conflict resolution. It necessitates that
the audience pay close attention, comprehend, react, and then retain what is being stated.