## **Learning Outcomes**

This article explains how to draft clear, client-facing action lists for legal matters, including:

- Identifying and clearly articulating the discrete legal and practical tasks required to progress a client’s matter
- Allocating a single named owner (client, solicitor, or third party) to each action to ensure accountability
- Setting measurable deadlines and timescales that minimise delay and actively manage client and practice risk
- Using action lists as a structured tool for client communication, supervision, and team coordination
- Recognising common drafting pitfalls that create ambiguity, increase legal exposure, or undermine client care
- Updating and deploying action lists throughout the life of a matter as part of ongoing file and risk management
- Applying these principles in SQE2-style written outputs (such as letters, emails, and attendance notes) to meet assessment expectations

## **SQE2 Syllabus**

For SQE2, you are required to understand practical risk management and clear action planning when serving clients, including how to structure outputs, assign owners, and specify deadlines—a topic that carries significant weight in client matters and assessment scenarios, with a focus on the following syllabus points:

- developing actionable and risk-focused action lists in client work
- communicating tasks, responsibility, and timelines in client-facing outputs
- identifying and minimising key risks via clarity and follow-up on action items
- demonstrating accountability and follow-through in legal instructions and transactional steps

## **Test Your Knowledge**

_Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision._

1. What are the three essential components every action list provided to a client should include?
2. Why is specifying a single "owner" for each action important in a client-facing output?
3. How can an inaccurately drafted action list increase legal risk—for the client or for the solicitor?
4. True or false: It is acceptable for an action list to include actions without a date or timeframe if the client is aware the matter is ongoing.

## **Introduction**

Clients need more than general updates—they need a clear plan of action showing not only what will be done, but who is responsible and by when. Good action lists help manage risk by making task responsibilities and time constraints explicit. For SQE2, you must know how to draft outputs that reflect this, supporting effective client care, compliance, and risk management.

## Action Lists: Core Principles

A robust, client-facing action list is more than a simple to-do list. It is a formal record of:

- Specific actions or tasks to be completed on the matter
- The person (owner) accountable for each action
- A clear time limit, deadline or milestone for each step

> **Key Term: action list**
> A structured document laying out discrete tasks required to move a client matter forward, with a named owner and deadline for each action.
>
> **Key Term: risk owner**
> The named person (client, solicitor, or third party) who is directly accountable for ensuring a particular risk or required action is completed.
>
> **Key Term: deadline**
> The specific date or timeframe by which a defined action must be completed. If not met, further risk or delay can arise.

Each action list forms part of your ongoing record of instruction and can be used to manage progress, supervise team inputs, and demonstrate compliance with client objectives.

## Key Elements of an Effective Action List

Every action list should include:

1. **Action**: A precise description of the task required—e.g. "Provide evidence of ID", "Sign contract", "Obtain bank approval", "File application".
2. **Owner**: Assign a named individual (solicitor, client, third party) responsible for that action.
3. **Deadline**: Set a date or clear time indicator by which the action must be completed.

These three components clarify the path forward and facilitate progress monitoring for all parties.

### **Worked Example 1.1**

You have just advised a client who is selling a property. List the first three action points you would include in your communication.

> **Answer:**
>
> - Action: Client to provide copy of property title documents.
> - Owner: Client
> - Deadline: 3 working days from today
> - Action: Law firm to draft contract of sale
> - Owner: Solicitor (you)
> - Deadline: 1 week from receipt of documents
> - Action: Client to confirm preferred completion date
> - Owner: Client
> - Deadline: End of week

## Why Assigning Ownership and Deadlines Reduces Risk

Clarity about ownership and timing reduces the chance of delay, misunderstanding, or non-performance. Every item must have one clear risk owner—never use "Solicitors" or "Team" as a blanket owner. Each step must have a measurable timeframe (date, "within X working days", or "by completion"). Including this structure forms evidence of proper instruction, facilitates follow up, and demonstrates compliance with SRA Codes and client care duties.

### **Worked Example 1.2**

Suppose you email your client with this action list:

- Apply for mortgage
- Instruct valuer
- Confirm deposit amount

What is missing?

> **Answer:**  
> There are no named owners and no deadlines. Every action must specify both (e.g., "Client to apply for mortgage by 10 June.").

## Using Action Lists for Team and Client Communication

Well-drafted action lists also benefit internal and external communication. With complex legal work, responsibilities often involve multiple stakeholders—e.g., client, other parties, lender, third-party professionals.

- For teams: Assign a specific solicitor or paralegal by name for each action.
- For clients: Make it clear which required steps are the client's and which will be handled by you.
- For third parties: Pinpoint when their input is needed and by what date.

> **Key Term: communication risk**
> The chance that a failure to communicate task ownership or deadlines can cause delay, confusion, or legal exposure.

### **Revision Tip**

> When preparing for the SQE2, make a habit of checking any sample letter or file note for precise allocation of action owners and actual due dates—not just lists of steps.

## Best Practice: Structure for Action Lists

A professional client-facing action list should be structured as follows:

| Action                             | Owner     | Deadline / Timescale  |
| ---------------------------------- | --------- | --------------------- |
| Provide money laundering documents | Client    | By 17 June            |
| Review contract draft              | Solicitor | Within 2 working days |
| Arrange survey with surveyor       | Client    | By end of month       |
| Respond to further enquiries       | Solicitor | By 24 June            |

Add notes only when needed for context (e.g., "Surveyor must be RICS-accredited").

### **Exam Warning**

> Avoid vague wording such as "ASAP" or "immediately"—these are not objectively measurable and increase risk of missed deadlines. Always specify dates or measured periods.

## When and Where to Use Action Lists

Action lists are not just for the initial stages. Update them:

- After advice meetings
- When sending written outputs summarising steps (e.g., post-meeting follow-up email)
- In file notes to document next steps
- Before or after key events (e.g., exchange of contracts, court hearings)

Keeping the list revised maintains ongoing accountability and supports professional supervision.

### **Worked Example 1.3**

A client requests an update on their case six weeks after your last action list was sent. What should you do?

> **Answer:**  
> Review the last action list, update it to reflect all steps completed, note any outstanding actions with new deadlines, and send to the client showing progress and next steps.

## Common Pitfalls

- Assigning multiple owners to a single action, creating ambiguity.
- Failing to follow up on overdue actions or missed deadlines.
- Neglecting to check with third parties regarding their capacity to meet specified timeframes.
- Not updating the action list after significant matter developments.

## **Key Point Checklist**

_This article has covered the following key knowledge points:_

- An action list must clearly identify the task, owner, and deadline for each step.
- Each risk or task must have one designated owner—never group or generalise.
- Deadlines and timescales must be objectively clear (specific dates or defined periods).
- Action lists provide a practical tool for client care, risk management, and evidence of supervision.
- Failure to clearly allocate actions or deadlines can result in delay, confusion, or legal exposure.
- Always regularly update and circulate the action list after key client meetings or matter changes.

## **Key Terms and Concepts**

- action list
- risk owner
- deadline
- communication risk

Client-facing outputs and risk - Action list with owners and deadlines