How a prospect assessment is conducted
What is a prospect assessment?
A prospect assessment is the first formal step in evaluating whether a potential client has a viable legal claim or dispute that our firm can assist with. Its purpose is to understand the background of the issue, identify the strengths and weaknesses of the case, and confirm that we have all the information necessary to provide informed, accurate legal advice. Thomas Pertaia of ARAG Law, goes into more detail.
This process is typically conducted before any formal instruction is accepted, enabling both the client and the adviser decide the most appropriate next steps.
What is required for a prospect assessment?
To complete a thorough prospect assessment, we require a completed client questionnaire that allows the client to outline the key events, relevant dates, and the outcome they are seeking. We also ask for all available documents and evidence, as this supporting material enables us to evaluate the strength of the case and identify any gaps or inconsistencies.
After reviewing the initial information, we may arrange a short follow-up call or send some clarification questions, though we encourage clients to provide everything they have from the outset.
Documentation the client needs to provide
Alongside the completed questionnaire, clients are asked to provide all documentation or evidence in their possession that relates to the dispute, even if they are unsure of its relevance. This helps us build a full, accurate understanding of the issue.
Examples of useful documents include:
- Offer letters
- Contracts of employment, terms & conditions
- Payslips
- Correspondence (letters and emails between the client and the individuals or employer involved in the dispute)
- Dismissal letters, appeal outcomes, grievance submissions
- Meeting notes (formal meeting minutes or personal notes the client took)
- Recordings (audio/video files)
- Social media messages (WhatsApp, SMS, Teams messages, Facebook messages etc.)
- Tribunal correspondence
- ACAS certificates
Clients should provide everything they have, even if they are unsure whether it is relevant. It is always better for us to review more information than not enough.
What do we look for during the assessment?
When reviewing a potential case, we broadly focus on:
-
Legal merits
Does the evidence support the allegations/defence? Are the legal tests likely to be met? -
Documentation consistency
Are there clear records to support the timeline or the account of events? Are there any contradictions? -
Procedural fairness
Did the employer or employee follow proper processes? -
Strength of evidence
Emails, letters, messages, audio/video recordings and notes often help confirm the version of events. -
Time limits
Many claims are subject to strict deadlines. We assess whether the case is still eligible. -
Practical considerations
We consider potential outcomes, remedies, and whether early resolution may be possible and or more favourable.
What common questions might I be asked?
During the assessment, clients are usually asked to provide clarity on:
- What happened and in what order
- Who was involved (including witnesses)
- Whether they have already lodged grievances or appeals
- Whether they have contacted ACAS (more relevant for Claimant clients)
- What evidence they currently have
- Whether they have any medical evidence (if relevant) – e.g., stress-related sickness notes
These questions help ensure we have an accurate picture of the events and the potential claim.
Clients are asked to provide all documentation or evidence in their possession that relates to the dispute, even if they are unsure of its relevance. This helps us build a full, accurate understanding of the issue.
1. Initial enquiry received
Client provides a brief outline of the dispute
2. Assessment questionnaire sent
Client completes and returns it with any available documents
3. Adviser review
We analyse the questionnaire, timeline, and documentation
4. Follow up queries (if required)
We may ask additional questions to clarify gaps or inconsistencies
5. Assessment outcome
We provide an indication of:
• the potential merits of the case,
• likely next steps,
• any risks or weaknesses
6. Decision to proceed
The client decides whether they wish to continue with their claim