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Client IntakeR I S K M A N AG E M E N T H A N DOUT SLAW YERS MUTUALLAWYERSMUTUALLIABILITY INSURANCECOMPANY OFNORTH CAROLINAOF5020 Weston Parkway, Suite 200, Cary, North Carolina 27513Post Office Box 1929, Cary, North Carolina 27512-1929919.677.8900 800.662.8843 919.677.9641 FAXwww.lawyersmutualnc.com
Client IntakeR I S K M A N AG E M E N T H A N DOUT SOFLAW YERS MUTUALTABLE OF CONTENTSIntroduction1First Impressions1Effective Interviewing2Tips for Interviewing Clients3Keep in Touch With Your Clients3Beware the Bad News Client4Appendix: Sample FormsInterview: Personal Injury5Interview: Domestic12Prospective Client Questionnaire15New Client Intake Form A17New Client Intake Form B18DISCLAIMER: This document is written for general information only. It presents some considerations that might be helpful in your practice. Itis not intended as legal advice or opinion. It is not intended to establish a standard of care for the practice of law. There is no guarantee that followingthese guidelines will eliminate mistakes. Law offices have different needs and requirements. Individual cases demand individual treatment. Due diligence,reasonableness and discretion are always necessary. Sound risk management is encouraged in all aspects of practice.updated December 2009
R I S K M A N AG E M E N T H A N D O UT S O F L AW Y E R S M UT U A LINTRODUCTIONMany malpractice claims result from attorney-clientrelationships that began sour and grew steadily worse.That’s why it is important to start off on the right foot withnew clients.One risk management solution: make sure the client’s firstimpression of you and your firm is positive. The ensuingrelationship will blossom.FIRST IMPRESSIONSTHANKS FOR COMINGNew clients should be warmly welcomed. Thankthem for choosing you, and tell them you appreciate theirbusiness. Give them a professional introduction to yourfirm. Escort them through the office. Introduce yourstaff, especially those who will be assisting on the case.Explain your procedures for handling appointments andtelephone calls.In the initial interview, open your ears before yourmouth. A good technique is to ask clients to tell theirstory in their own words. Listen closely without takingnotes. Parrot key phrases back to the client to show you’repaying attention.Clients may be tense, anxious and rambling. Bepatient. Don’t belittle their concerns, even if unfounded.“Listening is not the simple ability to decode information,”says Kevin J. Murphy in Effective Listening. “It is a two-wayexchange. One must compel others to do the same. Besensitive to subtle signs of dissatisfaction. Early detectionand prevention of client disenchantment might prevent aserious blowup down the road.”INTERVIEW FORMDevelop an interview form that suits your practiceneeds. Be sure it covers all necessary information,including pending deadlines and conflicts of interest data.However, as you fill in the blanks on the form, don’t losesight of the person sitting on the other side of the desk.“Lawyers collect facts about their clients instead ofinformation about people,” writes Milton Zwicker in theSeptember 1994 Law Practice Management. Firms focus theirsystems on files and not people. It is more important toknow what kind of client has a legal problem than whatkind of legal problem the client has.NEW CLIENT QUESTIONNAIREIt’s a good idea to develop a simple questionnaire thatprospective clients can complete while they are waiting tosee you.Have your secretary bring you the form after itis completed. At a glance, you will know who theprospective client is and what the case is about. When theclient comes into your office, you can greet him or her byname and jump right into the interview.The questionnaire also protects you. It providesdocumentation in the client’s own hand of what the clientthinks the problem is and what relief the client seeks.After the client has finished with the story, you cantake it once more from the top, this time taking notes andprobing with questions. Here, a client interview form iscritical.—1—
C L I E N T I N TA K EEFFECTIVE INTERVIEWINGThink about the best experience you have ever hadbeing interviewed. Try to recall what made the experiencepositive. Most likely there were comfortable surroundingsand an interviewer that seemed interested in you andwhat you had to say. It is unlikely you were made to feelintimidated or uncomfortable.When you are interviewing a prospective client,remember that most people are unfamiliar with the legalsystem and will be uneasy at best, frightened at worst. It isimportant to establish a good rapport early in the process.When making the initial contact, be sure to advise theclient of who you are and your purpose.Begin the interview with small talk if it makes thesituation more comfortable, but do not make the client feelyou are wasting their time.There should be no distractions like office phonesringing. Sit side by side or across from each other withoutinvading each other’s body space and without establishingbarriers like desks.Don’t let note-taking become a distraction. Maintaingood eye contact. Do not attempt to take down every wordsaid. Instead, look for pertinent and relevant information.This is where your knowledge of the case is helpful. Bi-polar -- Effect is similar to closed; gives intervieweetwo options; usually at end of interview after problemhas been identified. Example: Do you agree ordisagree that you were speeding? Leading -- Invites interviewee to answer one way oranother; requires careful use; might use with children;best used for cross-examination of adverse party.Example: You did not see the car in the intersectionas you approached, did you?Use techniques such as nonverbal and verballysupportive communication, active and passive listening,and body language. They influence the gathering ofinformation. The interviewer should not adopt a hostileor confrontational stance. Nodding during the interviewindicates your acceptance of the client’s story. Verbalexpressions of empathy can assist in bonding between youand the client.BARRIERS TO EFFECTIVE LISTENINGTYPES OF QUESTIONS Open -- Allows interviewer to talk, more informationis given; more time-consuming; interviewer hasminimum control. Example: “Why don’t you tell meeverything you remember about the accident?” Closed -- Requires a yes/no answer; intervieweris in control; answers are not as reliable; showsinconsistencies. Example: “Did you see the car runthe red light?” Double-barreled -- Requires more than one response;causes interviewee to lose train of thought. Avoid,because it tends to leave both of you confused.Example: Did you see the other car run the red lightand how fast was it going?—2— Talking -- You cannot effectively listen if you arementally preparing what you are going to say. Mentally arguing -- You cannot effectively listen if youare mentally forming your argument. Also, you needto be objective in listening. Preoccupation -- Keep your mind on the subject at hand. Impatience -- Do not become frustrated by the speaker’sslow speech or inability to make a point. Poor environment -- Do not become distracted bynoise, people, or temperature. Take care of thesedistractions before the interview begins. Inattentiveness -- Effective listening requires all yourattention. You must try to absorb what the speakersays. Mental or physical fatigue -- Be “up” for the interview. Failure to understand body language -- Is the client sendinga message with facial expressions or body languagethat is different from what is being said with words?
R I S K M A N AG E M E N T H A N D O UT S O F L AW Y E R S M UT U A LTIPS FOR INTERVIEWING CLIENTSEstablishing a good rapport with the client early inthe relationship can help you avoid problems later on.Additionally, a close working relationship and open lines ofcommunication make case preparation go more smoothlyand efficiently. Clients who feel comfortable with you aremore likely to provide you with the information you needto better represent them. The appendix to this manuscriptincludes forms, checklists, and other materials relatedto attorney-client interaction. Following are some keyconsiderations for the initial interview: Be on time for appointments. Personally greet clients in the reception area. Strive to put your clients at ease. Many people areunfamiliar with and intimidated by the legal system.Clients are most likely coming to see you because ofsome stressful event in their lives, so go out of yourway to make their experience as pleasant as possible(offer them a beverage, consider interviewing them ina sitting area rather than from behind your desk, etc.). Avoid interruptions while meeting with a client (holdall calls, restrict others from coming in and out of your office, etc.). Regardless of how large or smallthe case, each client’s problem is important to them.They deserve your undivided attention.Hear the client’s full story before jumping in withquestions.Be direct. Do not overcomplicate things. Avoid theuse of legal jargon. Instead, discuss the problemin layman’s terms. Think practical advice and realsolutions.Do not overwhelm clients with information. Givethem a manageable range of options.Understand the client’s objectives and clearly definethe scope of your representation. This gives theclient realistic expectations and focuses your advice.Be realistic about what you can accomplish.Make sure the client understands the billing system.Explain the time and cost legal matters can entail.Urge clients to carefully consider how this mightimpact their lives.Follow up the initial interview with a letter ofengagement, nonengagement, or disengagement.KEEP IN TOUCH WITH CLIENTS Return phone calls promptly (preferably within halfa day). Communicate regularly and provide periodic statusreports. Sending “case update” letters is a good way todo this. Point out new cases, developments, and trends.Provide mission statements and, if applicable, send theclient newsletters and brochures. Use illustrations andgraphics to make the issues easier to understand. Keep the client informed. Send the client a copy ofall correspondence, memoranda, pleadings, briefs, andother meaningful documents. Schedule individual meetings as needed. Do not delay the delivery of bad news. Breaking thenews sooner rather than later can help defuse thesituation before it gets out of control.—3— Treat the client as a partner. Bring clients into strategydevelopment and include them in decision-making.Keep in mind that ultimately it is the client’s case. Treat the client as an important customer. Getfeedback. Document everything. This protects both you andyour client. Do the work within the time promised. Give clients value for their money. Conduct exit interviews and/or have clients fill outquestionnaires about their experience with your firm.
C L I E N T I N TA K EBEWARE THE BAD NEWS CLIENTClient screening is an important part of riskmanagement. Sometimes the best way to preventa claim is to decline to represent a potentiallytroublesome client in the first place. All seasonedpractitioners know there are some prospective clientswho are best shown the door.Following are some characteristics of high-risk clients: Clients who have had multiple lawyers or whohave been rejected by every other lawyer on theblock. Clients looking for a free lawyer or the cheapestlawyer available. Clients who quibble about your fee or who donot pay the retainer when requested. Clients who are high rollers and want to cut you inon the action. Clients who have unreasonable expectations orwho seek relief no court can grant. Example:“I know this is a multi-million dollar case. I sawsomeone on Jenny Jones who had a claim likemine, and they recovered 1 million. My case iseven better.” Cases with extreme time pressure. Clients who make unreasonable demands of youor who ask you to engage in unethical or illegalbehavior. Clients looking for a shoulder to cry on or whoneed psychological counseling more than legalcounseling. Remember you are not a shrink. Perpetual victims. Clients suing on principle. Overzealous clients driven by a need forvengeance or vindication. Example: “I don’t carehow much it costs as long as you make that jerk'slife a living Hell!” Clients who have done research on their own. Clients who know enough about the law to makeyour life miserable. They may refuse to followyour advice because they think they know moreabout the law than you do. Clients who want to tell you how to run the case. Clients who habitually lie. Clients who are abusive, rude, mean, overlyargumentative, or who threaten you or your staff. Clients with rotten attitudes about lawyers, courts,and the legal system in general. Two or more clients seeking joint representation. Social contacts such as friends, relatives, drinkingbuddies, etc. The emotional entanglements willonly make your job harder. Besides, these clientsmight simply be looking for free legal advice.When interviewing a potential client, listen to yourgut. What is your first impression of the person? Isthis someone you feel like you can work with? Youmay want to enlist your support staff to help interviewand evaluate new clients.Consider another bit of advice from Elihu Root,“About half of the practice of a decent lawyer istelling would-be clients that they are damned foolsand should stop.” Regardless of how badly you needthe business, no client is worth the headaches of amalpractice suit.—4—
R I S K M A N AG E M E N T H A N D O UT S O F L AW Y E R S M UT U A LInterview FormPersonal Injury1.Personal and Family HistoryStatute of LimitationsOut of State case: Yes or NoState accident occurred in:SOL Date:SOL Date has been confirmed by:(attorney’s name)SOL date has been docketed by:(staff name)Full Name:Home address:Business address:Home phone: Business phone:E-Mail:2.Details of Injury or AccidentDate of Incident:Location of Accident:Out of State: Yes or NoNames and addresses (if known) of potential defendants:Out of State: Yes or NoNames and addresses (if known) of potential witnesses:Out of State: Yes or NoWill suit need to be filed out of State? Yes or NoIf yes, which state:Attorney signature acknowledging out of state status:3.List all other names by which you have ever been known. Include marital and maiden names,nicknames, and aliases:4.List the addresses where you have resided during the past 10 years. Indicate the period of time at eachresidence, including dates:—5—
C L I E N T I N TA K E5.Place and Date of Birth:6.Are you presently married?YesNo(Circle One)Date of Marriage:Place of Marriage:Full name of spouse:Have you ever been divorced or legally separated? Provide details:7.List the names, ages, and addresses of everyone, including children, who are dependent upon you forsupport, and your relationship to each:NameAddressAgeRelationship8.Employment HistorySocial Security Number:Most Recent Employer:Employer Address:Beginning Date:Ending Date:Job Description:Beginning Pay Rate:Current Pay Rate:Have you ever missed work due to your injuries? Yes No (Circle One)If yes, list the dates you were unable to work:From:To:Reason for leaving job:Employer Prior to last one listed:Prior Employer’s Address:Beginning Date:Ending Date:Job Description:Beginning Pay Rate:Ending Pay Rate:Have you ever missed work due to your injuries? Yes No (Circle One)If yes, list the dates you were unable to work:From:To:Reason for leaving job:—6—
R I S K M A N AG E M E N T H A N D O UT S O F L AW Y E R S M UT U A LEmployer Prior to last one listed:Prior Employer’s Address:Beginning Date:Ending Date:Job Description:Beginning Pay Rate:Ending Pay Rate:Have you ever missed work due to your injuries? Yes No (Circle One)If yes, list the dates you were unable to work:From:To:Reason for leaving job:[Have client bring in Tax Returns for prior years.]9.EducationList your highest educational level (high school, college, graduate school, professional training) with the name/address of theinstitution(s):Do you have any special job training? Describe:10.Military BackgroundHave you ever been in the military?YesNo(Circle One)Service Number:Type of Discharge:Branch:Dates of Service:Have you had any service-related injuries/disabilities? Explain:Percentage of Disability:Present condition of service-related injury/disability:Do you receive payments for service-related injuries?Yes No (Circle One)If yes, explain:Have you ever been rejected for military service because of physical, mental, or other reasons?Yes No(Circle One)If yes, explain:—7—
C L I E N T I N TA K E11.Prior Claims and Lawsuits(Our adversaries will inquire about your history of legal claims and lawsuits. It is important that you disclose your complete historyto us. It is not fatal if you have been involved in prior legal actions. You won’t be penalized by a court or jury if the claims werereasonable and genuine.)List every claim you have ever made for personal injury or property damage. Give details. (Attach additional pageif necessary.)Date:Nature of Claim:Against Whom:Result:Date:Nature of Claim:Against Whom:Result:Date:Nature of Claim:Against Whom:Result:12.Police Record(The defense will investigate your background. We must be prepared against any unfavorable evidence that is uncovered. Evidence ofprior criminal acts might be used against you at trial, no matter how mitigating the circumstances.)List all prior arrest information:DatePlaceChargeResult13.Workers’ CompensationHave you ever made a claim for workers’ compensation?What was your injury?Date of injury:Are you presently receiving payments? YesNo (Circle One)If yes, explain:Who is handling your workers’ compensation action?Are you receiving disability payments from sources other than worker’s compensation? Yes No (Circle One)If yes, explain:14.Prior Physical ConditionsList every physical examination you ever had during the last 10 years for any purpose, including employment, promotion,insurance, selective service, and armed forces. (Attach additional page if necessary.)Date: Place:Name of Doctor:Purpose:Result:—8—
R I S K M A N AG E M E N T H A N D O UT S O F L AW Y E R S M UT U A LDate: Place:Name of Doctor:Purpose:Result:Date: Place:Name of Doctor:Purpose:Result:Date: Place:Name of Doctor:Purpose:Result:Date: Place:Name of Doctor:Purpose:Result:15.Prior Accidents and Injuries(Failure to mention other accidents or injuries can undermine a lawsuit, no matter how trivial they may seem.)List all prior accidents, whether they resulted in a claim for damages or not.Date PlaceNature of AccidentExtent of injuries16.Illness or Disease(We must know about all prior illnesses, either before or since your accident. This is particularly true if there is any connection withyour present physical complaints. The defendant will have access to a complete history of your past physical condition as well as yourveteran’s records, insurance records, and medical/hospital records.)Date: Nature of Illness:Duration: Treated by:Hospitalized?When?Name/address of hospital:Date: Nature of Illness:Duration: Treated by:Hospitalized?When?Name/address of hospital:Date: Nature of Illness:Duration: Treated by:Hospitalized?When?Name/address of hospital:Date: Nature of Illness:Duration: Treated by:Hospitalized?When?Name/address of hospital:—9—
C L I E N T I N TA K EDate: Nature of Illness:Duration: Treated by:Hospitalized?When?Name/address of hospital:Have you ever had trouble with your eyes? Ears?Please check all that apply:Glasses/contacts:Artificial eye: Hearing aid:Have you ever worn a brace or back and neck support?Have you ever worked with radioactive substances, asbestos, or any
CLIENT INTAKE BEWARE THE BAD NEWS CLIENT Client screening is an important part of risk management. Sometimes the best way to prevent a claim is to decline to represent a potentially troublesome client in the fi rst place. All seasoned practitioners know there are some prospective clients who are best shown the door.
The Intake Process 3 Engagement Letters 4 Managing Clients 5 Handling a Difficult Client 5 The Finish Line 8 Conclusion 9 Client Fees and Billing 10 14 Timely Tips for Client Relations 12 30 Training Topics 13 SAMPLE FORMS Prospective Client Questionnaire 14 Office Intake: New Client Form A 16 Office Intake: New Client Form B 17
Intake Assessment Form Client Name: _ Client Record #: _ Intake Date: _ Complete this form from the client interview and chart review at intake. Sections surrounded by a double border are required. No changes should be made to the Intake Assessment Form. Significant client changes should be recorded on the Reassessment F orm. 1.
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