Conducting initial interviews

This column has often emphasised the importance of getting the creation of the retainer right. Do this and the risk profile of a matter will immediately be reduced. Get it wrong and it will most likely be the start of the downward spiral to a claim.


A key aspect of this is the initial client interview at the start of the transaction. The objective is to obtain all relevant information from the client to enable the solicitor to advise appropriately so that the client may make an informed decision as to what he wishes to do, and then instruct the solicitor accordingly.


All to often the initial letter of claim sent to a solicitor alleging negligence states that 'had our clients been aware of these facts, they would not have instructed you in the manner that they did'.


Interviewing clients requires a considerable degree of skill, much of which is acquired through experience. Young fee-earners need training in this area before seeing clients on their own. An effective way of learning is to sit in with an experienced fee-earner and see how it is done.


It is crucial that the fee-earner obtains all the relevant facts, as a failure to obtain complete instructions at the outset merely increases the chance of a misunderstanding between the fee- earner and the client at a later date.


When taking instructions, it is easy to get side-tracked into complex issues affecting the client and to overlook requesting basic information. This is where a standard checklist of questions may assist.


Be careful about giving advice or opinions based simply on initial instructions. There is sometimes a temptation to get involved in 'client pleasing' and give the advice that perhaps you think the client wants to hear. Manage the client's expectations, advise what will have to be done and how long it may take before a detailed opinion may be given as to the outcome of the matter. If the instructions relate to a litigious matter, remember to undertake a cost-benefit analysis of the matter to ensure that the client is under no illusions as to how much it may cost to achieve a particular outcome.


Keep a written record of the initial interview and, if possible and appropriate, agree it with the client.


It is accepted that in many cases it is not feasible for a solicitor to see his client in person. That may be so, but it does not obviate the obligation on the part of the solicitor to obtain the above information and follow all appropriate steps to manage the risk of error effectively and ensure there has been adequate communication between the solicitor and the client.


This column was prepared by AFP Consulting, a division of Alexander Forbes Risk Services UK