Practice Management Course - Queensland Law Society€¦ · Queensland Law Society | Practice...

Practice Management Course

Client Service

Queensland Law Society 179 Ann Street, Brisbane, Qld 4000 1300 367 757 | [email protected]

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Queensland Law Society | Practice Management Course: Client Service of 67

Table of Contents

1. Unit introduction .......................................................................................................................... 1

2. Introduction to client service ...................................................................................................... 2

2.1. Introduction .......................................................................................................................... 2

2.2. What is client service and why is it important? .................................................................... 2

2.3. Value .................................................................................................................................... 7

2.4. Understanding and agreeing to specific client requirements .............................................. 8

2.5. What do clients want? ......................................................................................................... 9

2.6. Review: key points ............................................................................................................. 12 3. Delivering client service ............................................................................................................ 13

3.1. Introduction ........................................................................................................................ 13

3.2. Delivering consistently excellent client service .................................................................. 13

3.3. Systems ............................................................................................................................. 14

3.4. Client engagement and client experience ......................................................................... 14

3.5. Managing expectations ...................................................................................................... 16 3.6. Personal communication skills .......................................................................................... 19

3.7. Rapport .............................................................................................................................. 21

3.8. Effective questioning and listening: funnelling ................................................................... 23

3.9. Client interviewing.............................................................................................................. 25

3.10. The client agreement ......................................................................................................... 30 3.11. Ending the retainer ............................................................................................................ 32

3.12. Cultural issues ................................................................................................................... 33

3.13. Support staff ...................................................................................................................... 36

3.14. Review: key points ............................................................................................................. 38 4. Exceeding client service expectations and developing deeper relationships .................... 40

4.1. Introduction ........................................................................................................................ 40 4.2. Exceeding client service expectations ............................................................................... 40

4.3. Proactive, specific value-adds ........................................................................................... 41

4.4. Becoming a ‘trusted advisor’ ............................................................................................. 43

4.5. Review: key points ............................................................................................................. 45 5. Seeking client feedback and managing client dissatisfaction .............................................. 46

5.1. Introduction ........................................................................................................................ 46 5.2. The risk management process .......................................................................................... 46

5.3. Researching client satisfaction .......................................................................................... 48

5.4. Handling client dissatisfaction ........................................................................................... 50

5.5. Complaints and role of the LSC ......................................................................................... 52

5.6. Responding to LSC investigations..................................................................................... 53

5.7. Review: key points ............................................................................................................. 54

Queensland Law Society | Practice Management Course: Client Service of 67

6. Making it happen ........................................................................................................................ 56

6.1. Introduction ........................................................................................................................ 56 6.2. What to do next.................................................................................................................. 56

6.3. Summary: Dos and don’ts of client care ............................................................................ 60 7. References .................................................................................................................................. 63

Appendix 1: Sample complaints handling procedure ...................................................................... 64

Appendix 2: Sample client feedback survey ..................................................................................... 65

Queensland Law Society | Practice Management Course: Client Service Page 1 of 67

1. Unit introduction This unit is required reading as part of QLS’s Practice Management Course (PMC).

Client perceptions of the quality of client service affect client retention, referrals, justification of fee levels, recovery, cash flow and ultimately profitability. This unit outlines the key steps practices can take to deliver excellent client service in terms of personal skills, practice systems and culture.

At the end of this unit, you will be able to:

• explain why client service is so important in legal practice

• describe key concepts in relation to value and client service

• identify how value can be created and excellent client service can be delivered in legal practice

• describe how to build better, stronger client relationships

• explain the risks and benefits of using client service in your practice’s marketing

• identify how you might handle different expressions of client dissatisfaction.

Glossary

Reference Description

LSC Legal Services Commission

Lawyers Means solicitors and barristers admitted in Queensland.

LPA 2007 Legal Profession Act 2007. All references to sections are to sections of LPA 2007 unless otherwise specified.


2. Introduction to client service 2.1. Introduction

In future, the success of practices and individual solicitors will depend less on legal expertise, and more on service delivery.

Understanding the meaning and importance of excellent client service can be a challenge for many solicitors who are used to being assessed and valued according to their legal, technical expertise rather than how effectively that expertise is delivered to benefit the client.

At the end of chapter two of this unit, you will be able to:

• explain what is, and what might not be, client service

• explain the importance of client service

• describe how client value is created

• identify common client needs and wants.

2.2. What is client service and why is it important?

2.2.1. Not quite client service

Before attempting to define client service, let’s start with an examination of some of the misconceptions or partial understandings concerning client service.

Claim Considerations

“Client service is about doing the best job I can in looking after my clients’ interests.”

It is a common error of solicitors to think that that good service is being provided because the matter is progressing well and clients’ interests are being protected or enhanced. Whatever the progress of the matter, client stress or frustration due to poor communication or administration is not providing good service.

Providing client service requires a greater focus on how you go about looking after clients’ interests and interacting with them. The majority of client dissatisfaction concerns not legal expertise but weaknesses in service, administration and communication.

“Client service is about regulatory compliance and obligations like costs disclosure.”

Rules and regulations cover some service issues, and provide a minimum benchmark. Focusing on a limited number of general minimum benchmarks rather than addressing specific client concerns is likely to lead to client dissatisfaction.

“Client service is about retaining and upholding high ethical standards in all my dealings with clients.”

Honesty and integrity are important but clients’ needs go further. Ethics provides a set of rules and principles to guide your actions, but they do not respond to the specific needs of clients. To provide good service, solicitors need guidance not only from ethical rules or principles but also directly from their clients.


“Client service is about avoiding complaints and providing ‘the standard of competence and diligence that a member of the public is entitled to expect of a reasonably competent Australian legal practitioner’.”

As with specific regulatory obligations, it is important to think of client service not as a defined minimum benchmark but as a constant journey towards best practice and ever-higher levels of client satisfaction.

Individual clients, not the Legal Services Commissioner, measure levels of client care. Service that meets the ‘standard of competence and diligence that a member of the public is entitled to expect of a reasonably competent Australian legal practitioner’ will not necessarily satisfy specific clients in specific circumstances.

“Client service is about developing good rapport with clients and being sympathetic to client concerns.”

Developing a good personal relationship with a client is not the same thing as good service. Clients who like their solicitor still feel frustrated by delay or other issues. Personal communication skills are valuable and important but they need to be backed up by good systems and delivery.

2.2.2. Professionalism, ethics, commercialism and client service

Solicitors can over-emphasise the importance of their ‘professional’ status, believing that this status guarantees clients a superior service protected from ‘commercial’ instincts, guided by worthy ethical principles and protected by high admission and ongoing regulatory standards. Although ethical standards are important, they are different from service standards, and for many clients, the term ‘professional’ has negative rather than positive service connotations.

Professional status is dependent on the recognition of technical skills, the maintenance of expertise and the acceptance of professional standards. Solicitors should rightly recognise the importance of their training and ethical framework but should also realise that client concerns are different. Clients do not buy expertise or time; they buy service and a solution to their problems. Similarly, they do not (usually) judge solicitors by their technical skills, expertise or compliance to ethical standards, which are assumed, by their service delivery, efficiency and communication skills.

The legal profession has a tendency to over-rely on its ethical framework as a driver for practice standards and behaviour at the expense of listening directly to the needs of clients and markets. This is especially so in the key areas of costs information and communication. An over-reliance on regulatory codes of conduct, as opposed to seeking client feedback, is likely to lead to poorer rather than higher standards of service, because codes of conduct set minimum standards or benchmarks. As clients become more confident, vocal and demanding, they are becoming increasingly useful guides about what good service is and how it should be delivered.

Clients demand the highest standards – and this is what solicitors should be aiming for, rather than only referring to the Australian Solicitors Conduct Rules 2012 or LPA 2007.

Most complaints or poor service can be attributed to administration, management and communication failings rather than ethical or technical failings. In not recognising this and in continuing to focus on ethics and technical skills, solicitors risk failure in relation to client service.


2.2.3. Client service objectives and strategies

Effective client service is based around a number of overlapping objectives:

Many practices claim to do some or all of the above, but would struggle to describe how. It is not enough to claim to subscribe to these objectives and strategies as principles; a co-ordinated approach is needed to ensure they are embedded in all the practice’s activities.

Practice tip:

The best way to make clients feel appreciated is to demonstrate understanding of them and their hopes, needs and anxieties. Share an insight or offer to help in a way that demonstrates care.


2.2.4. Why is client care important to profits?

The importance of client service cannot be overstated. Clients expect a solicitor to know the law, so the service offered will be very important to retention, referrals and practice growth.

Client care brings these benefits:

Cynicism about the link between client care and profitability, and seeing client care as a bureaucratic drain on time and money, are still a part of the profession. Comments like “client care is all very well but you can’t charge for it, can you” are still seen in some circles as the last word on the topic.

Just as you might pay more for better service from a builder, insurer, hairdresser or broadband provider, some clients are willing to pay more for a better service from their solicitor. Client service can be a key driver of profitability for solicitors. The cumulative effect of the changes described in this unit – which are by no means ambitious or unrealistic – can double profitability.

• 10% increase in fee rates due to better service and higher perceived value leads to a 25% increase in profits.

• 15% increase in volume of work from improved retention and referral rates leads to a 35% to 40% increase in profits (assuming costs are controlled).

• Increase in WIP recovery rate from 85% to 90% due to better service and value recognition leads to a 10-15% increase in profits.

Practice tip:

Increase fees. Clients are happy to pay for genuinely good service.


2.2.5. Clients expect excellent service – all the time!

Client perceptions emphasise the negative. The following statistics, regularly repeated with only slight changes to the figures in numerous reports or surveys, highlight this.

Providing reasonably good service most of the time won’t meet the client service challenge. Because client perceptions exaggerate service failings and understate the presence of good service, virtually all service failings must be eliminated before positive experiences of service are recognised.

Although the majority of law practices claim to be good at client service, this frequently demonstrates complacency based on occasional positive feedback from clients, and is inconsistent with both solicitors’ generally poor reputation and specific research.

Secret shopper research from the UK (CXINLAW, 2012) for example found that only 36% of secret shoppers were positively engaged by law practices to the extent they would likely instruct or recommend that practice whereas 45% would definitely not instruct or recommend based on their experience.

The first challenge is to recognise and defeat complacency. Consider:

• Are client retention rates good?

• Does every solicitor provide a good service to your clients?

• Does the practice get referrals?

• Are you confident that all clients would be happy to refer friends or colleagues?

• Does the culture of the practice help or hinder excellent client service?

• How many complaints – formal and informal – has the practice had in the last three years? Multiply the figure by five: most people are not comfortable making official complaints to solicitors.

• What do you really want by way of service? Would clients give the same answer as you would?


2.3. Value What is value? A dictionary suggests:

• the importance or worth of something for someone

• desirability

• something well worth money spent

• ability of thing to serve a purpose or cause an effect

• subjective estimate of worth.

These definitions emphasise the importance of client benefits and client perceptions: legal expertise is not valuable in itself – it must serve a purpose.

Value can be created in a number of ways.

Core product/ core needs

What The path to creating value is to meet client needs – solve problems, create solutions, achieve results. The other side of the coin is to make clients aware of exactly what they are getting.

So, in addition to providing legal solutions, define and communicate the core legal products/services provided and how these create value.

Service delivery How Value is also created by how core needs are met and core services delivered in terms of communication, control, speed and cost.

Relationship Who Finally, value is created by the value in a relationship – when someone values support and guidance above and beyond the immediate legal concern. This value is less common than the other two forms and is created when a solicitor achieves ‘trusted advisor’ status.


2.3.1. Service TERMS

To develop services and facilitate client communication, solicitors should regularly review their offerings as defined products or services and ask:

• How do we create value for our client – in terms of the core legal product or its peripheral attributes (service delivery, additional benefits)?

• Is there any potential for new products?

• Is there any potential for developing the product to provide increased customer value?

Value is the key to producing marketable products/services. Sources of value for clients are captured in the TERMS model (Douglas, 2008):

• Time – can the practice’s service and the way it is delivered save the client time?

• Emotion – can the practice’s service reduce stress or anxiety for the client?

• Risk – can the service reduce risk for the client?

• Money – can the service help save or make money for the client?

• Situation – can the service increase convenience for the client?

Review individual services, and the range of services using the TERMS model to see if there is potential for increasing client value and revenue.

Practice tip:

After every client meeting, think ‘How can I add value on this matter?’

After every matter closes, think ‘How did I add value?’ / ‘How could I have added value?’ / ‘How can I still add value?’

2.4. Understanding and agreeing to specific client requirements The key to delivering excellent client service lies in understanding and agreeing to client needs and expectations at the outset. This is a lot easier than it sounds. A solicitor and client will each have assumptions or expectations that must be identified and discussed before communication of client requirements, and solicitor value, can happen.

Solicitors tend to ‘dive in’ to specific legal challenges as soon as possible – unaware or insufficiently aware of the big picture, including client objectives, scope, timing, costs and communication requirements. Given that legal skills and professional ethics are assumed, these issues are central to client service and more time and focus on them early will significantly improve the likelihood of ultimate client satisfaction.

The book Legal Project Management, (Levy, 2009) suggests four simple concepts that can assist.


Concept Considerations

Define the problem • Go big picture, long-term.

• Think personal, emotional, strategic and organisational as well as the immediate legal problem.

• Dig deeper: if that problem was solved, what challenges would remain?

What does ‘done’ look like?

• How will we know when the problem is solved?

• What does a satisfactory conclusion look like?

• How could it be made better?

What are the conditions of satisfaction?

• These may include specific deliverables, timelines, communication, cost, critical success factors.

Create a client charter • A more business-focused document than a client agreement, the charter aims to set out exactly how success is to be achieved. The client, the practice and all stakeholders should sign off on this document. A client charter would include:

• a definition of the client problem

• a clear vision of the desired future state, including critical success factors and conditions of satisfaction: what does ‘done’ look like?

• what is in and out of scope

• budget (this approach assumes that the matter will be managed as a project with a set budget, rather than a flexible estimate)

• staffing/resources – roles and responsibilities

• stakeholders – roles, rights and obligations

• risks – and how these are to be managed.

• The value of the charter lies in enhanced levels of understanding and the creation of clarity about what success looks like and how it will be achieved.

2.5. What do clients want? The best way to find out what clients want is to ask them. This can be done:

• at the first meeting – ask and listen

• at key client reviews

• through client satisfaction surveys

• with complaints information

• by gaining feedback from ‘lost’ clients.

This unit generalises about key issues in client needs and preferences. Clients want different things, and it would be foolish to assume that any preference applies equally to all clients. Age, location, education, occupation, sophistication and other variables mean that all clients are different.

The biggest difference will probably be in the degree of involvement that clients want. The trend is for growing client involvement, but many still prefer to entrust their solicitor with most responsibilities, and to leave it all to the professional.


2.5.1. Levels of client service

Client needs can be split into three levels of service.

2.5.2. What clients want: basic requirements

These areas are minimum ‘hygiene’ needs: do not expect to be congratulated for meeting these client expectations, but do expect some dissatisfaction if you fail to meet them.

Requirement Consideration

Basic technical competence

Trust can be lost by anything that causes the client to doubt the solicitor’s technical skills – such as having to amend advice or released documents.

Honesty and integrity As with technical competence, honesty and integrity are vital and assumed. The perception of dishonesty matters. A failure to manage expectations can be viewed as deliberate misdirection and can be as harmful to the client-solicitor relationship as any real ethical failing.

Efficiency and value for money

Inefficiency wastes time and the client’s money.

Effective proactive communication

During the first meeting, establish how this client would like to communicate.

Proactively managing communication and updates is a sign of good service and is likely to increase trust and confidence. It is more efficient than reactive communication and reduces the communication burden by limiting update requests from restless or anxious clients.

To be included and in control

Solicitors need to approach the client-solicitor relationship as a partnership and agree how much control, responsibility, and communication the client would like to retain. Involving the client could mean going beyond updates and communication, and extend to a client doing things themselves to save time or money. If this is possible, it should be discussed at the outset.

To be in control of costs

Clients increasingly want control over costs. In addition to timely cost and estimate updates, this could include involving clients in decisions which have cost implications – such as which fee-earners to use (expensive partner time, or cheaper, less experienced fee-earners), whether particular work is necessary, and whether the client can do some work themselves instead of paying to have it done.


Requirement Consideration

To be listened to and understood

Clients want to feel they are being listened to and understood. This requires good listening skills.

To know and understand what is going on

To facilitate client understanding:

• consider the client’s situation

• tailor communication to the understanding of the client

• avoid legal or technical jargon where possible and explain it where used.

Responsiveness Set targets for responding to enquiries and meet them, if only with a holding response. Failing to respond is poor practice.

Reliability Reliability is one of the few ways clients can judge competence. Failure to successfully action simple administrative tasks entitles the client to question a practice’s capacity to deal with their important legal concerns.

Appreciation Every client wants to feel that they matter and that their business and their time are valued.

2.5.3. What clients want: key service measures

Service measure Considerations

Superior legal work For superior legal work to lead to perceptions of good client service, solicitors have to ensure that clients know it is offered, and how it benefits them.

Discuss the work being done, why it is being done, how it is superior to the work of competitors, and how this benefits the client.

Low cost Other things being equal, low cost is preferable to higher costs.

Costs, however, are closely linked to perceptions of value. Practitioners should beware of lower costs leading to perceptions of lower quality. Similarly, higher costs can often lead to assumptions of higher quality.

Because of the link between fee levels and client expectations, concentrate on value rather than absolute fee levels wherever possible. Emphasise the quality of the legal work, alongside fee levels, to reassure clients.

Speed As with cost, client satisfaction and service perceptions should improve as work is completed more quickly. If completing work more quickly than competitors, consider explaining to clients how this is possible without any compromise in quality – by mentioning experience, IT investment, knowledge management resources or similar.

Commercial advice Increasingly, commercial clients do not simply want generic advice on the law: they want advice that helps them meet their business objectives. So, solicitors have to understand the issues affecting the client’s industry and the specific objectives and concerns of their clients.

Flexibility Clients increasingly value flexibility in relation to fee arrangements, project management, document preparation, IT options and selection of external advisors.

Meeting client expectations in basic service requirements and the key service measures will help create confidence and trust, which in turn creates value for solicitors and clients:


Creating value in this way is vital, but it is only what clients expect. To deliver truly excellent client service that exceeds client expectations, provide advice or assistance they were not expecting and often did not even know they needed. This aspect of client service is discussed further in chapter five of this unit.

2.6. Review: key points • Client service is about more than professionalism and (legal) results – it is about how

legal services are delivered to meet client needs and maximise client value.

• Client service maximises client satisfaction, drives client retention and referrals, and creates the opportunity for increased profitability.

• Client value can be created through core products and services, how they are delivered, and through relationship value.

• Client TERMS: client value is typically related to one or more of time, emotion, risk, money and situation.

• The best way to understand what clients want is to ask them.

• In general, clients want honesty and integrity, legal competence, to understand, to be understood, to be in control, to be appreciated, efficiency, reliability, responsiveness and proactive communication. These are basic and expected hygiene needs only, and meeting all of them will not necessarily be seen as delivering excellent service.

• Clients will judge solicitors (relative to the competition and their expectations) in relation to quality of work, price, speed, flexibility and commerciality.


3. Delivering client service 3.1. Introduction

Delivering excellent client service requires more than good intentions, professional ethics and rapport building skills; it requires a sustained effort focusing on individual skills, practice systems and team culture.

At the end of chapter three of this unit, you will be able to:

• identify the practice systems and arrangements that affect the delivery of excellent client service

• explain the importance of the first meeting, client agreement and ending the retainer for managing client service

• discuss the use of various communication skills to deliver excellent client service

• describe how to manage costs and billing to ensure client satisfaction

• identify the role support staff play in managing client service.

3.2. Delivering consistently excellent client service Delivering consistently excellent client service involves a mixture of systems, skills and culture, constantly refined through client feedback, and team and individual performance management. The temptation might be to focus on skills rather than systems, or vice versa, but the delivery of excellent client service is dependent on all three areas:

• A practice with good systems will struggle with client care and communication if individuals lack specific skills.

• Good communicators will be hampered in delivering great service without the appropriate systems or arrangements.

• If the culture of the practice does not support or recognise the importance of client service, standards will inevitably fall as other priorities take precedence.

Practice tip:

Implementing effective client service is a long-term project and needs managing. Have practice leaders voice support, communicate objectives, allocate responsibilities, set a budget and manage stakeholders.


3.3. Systems Excellent service delivery is dependent on actions at the point of delivery, and on everything a practice does before and after the instruction is accepted. This includes billing and finance, leadership, supervision, people management, IT and facilities. A weakness in practice management – inaccurate billing or poor IT support – can create client dissatisfaction and undermine other efforts to provide a good service.

All areas of practice management require effective processes and procedures, matched to a client’s needs, to support client service efforts. This is a ‘matching process’ between client needs and organisational inputs, to provide a service.

The matching process

Source: Excellent Client Service (Law Society Publishing 2003) Heather Stewart.

The focus on systems as a way to deliver excellent client service is developed fully in total quality management systems such as ISO9000 or LAW9000 – a legal practice management quality mark that provides a framework to improve efficiency, risk management and deliver enhanced client service.

Consider an audit of practice management and administrative arrangements to assess whether and how they help or hinder the delivery of excellent client service. Brainstorm how different processes or systems could be improved. Identify some priorities for change.

3.4. Client engagement and client experience First impressions last, and client perceptions of the quality of client service received from any practice will depend to a significant extent on the experience of their initial interactions, often before they even speak to a solicitor.

If this initial interaction is handled poorly, not only will the law practice likely ‘lose the sale’, but they will subsequently have to work very hard to change perceptions in their later dealings. If they are truly committed to delivering excellent client service, law practices need to invest as much time in the client experience as they do in technical expertise and administrative efficiency. Failing to do this means effectively turning away work and referrals.


There are many factors and components that contribute to a positive initial customer experience, but successful delivery involves demonstrating empathy, sensitivity, and a genuine commitment to listening to, and building rapport with the enquirer.

Delivering an excellent client experience requires an investment in agreeing team messages, defining roles, and developing individual skills. Practices should also support individual efforts through the development of appropriate systems, whilst taking care not to stifle true engagement through excessive systemisation. Excessive scripting, for example, should be avoided, as this often leads to a robotic manner, minimal rapport and lower levels of responsiveness and true engagement.


3.5. Managing expectations The majority of client dissatisfaction, whether this relates to costs, timescales, results or other issues, can usually be traced back to poor management of expectations in some form.

A solicitor should never blame a client for having unrealistic expectations: it is the solicitor’s responsibility to manage these expectations before accepting the work.

Effective management of expectations involves not just managing any unrealistic client expectations, but ensuring that all expectations – either the solicitor’s or client’s – are identified, discussed and that a mutual, realistic understanding is developed.

3.5.1. Identify your own expectations

Your expectations need managing just as much as a client’s. A common complaint is that solicitors make assumptions about a client or their matter, fail to listen effectively, and subsequently mismanage the handling of the matter or further communication with the client. Solicitors might make assumptions about a range of issues prior to a full client meeting.

Aim to approach each client discussion with full awareness of your own expectations and assumptions. Don’t ignore these expectations, as they will bring insights into your client discussions, but be ready to check and challenge them. One way to manage expectations is to use checklists to direct conversations in a client meeting, or alternatively, for a client to complete questionnaires or checklists before a meeting.

Lexon Insurance (lexoninsurance.com.au) have developed checklists specific to different areas of law that prompt clarification of details that, if unchecked, might lead to false expectations or assumptions.


3.5.2. Communicate these expectations

Both solicitors and clients may also have different expectations about issues central to the clients’ likely overall satisfaction.

A solicitor should aim to raise each of these issues in turn, explaining the reasoning for their expectations. This should occur as early as possible, and be repeated as necessary.

A leaflet, website page or audio-visual recording can prepare clients for the first meeting, give information about the practice and help to manage expectations at a very early stage. Content could include:

• areas of law

• some information on how matters might progress

• typical cost and fee arrangements, hourly rates, billing arrangements and whether the first meeting is free

• an outline of the extent of client communication or involvement in matters.

3.5.3. Identify and discuss client expectations

Proving early information in this way also encourages clients:

• to raise any issues or concerns they might have

• to let the solicitor know, in detail, what their expectations are about time, cost, communication and involvement

• to ask for clarification if they do not understand any of the information.

A solicitor should proactively seek to discuss all relevant issues with a client, using checklists as required. They should never assume the client understands or agrees with the solicitor’s expectations, and should not wait for the client to initiate discussions. Without proactive prompting by the solicitor, clients might fail to mention expectations because:

• they are intimidated or embarrassed

• they do not understand the complexities of legal work or why things take time and cost money

• they do not know what to discuss or expect

• they believe their expectations are normal and not worth discussing.


3.5.4. Agree shared expectations

Once a solicitor has developed an understanding of the client’s expectations, they should then thoroughly discuss all issues until expectations are united and there is a shared understanding. Such discussions might include:

• considering the pros and cons of different expectations

• being prepared to negotiate

• discussing the legal work in detail and explaining why it is necessary to provide a ‘reality check’

• explaining professional expectations for the matter, and why these might differ from the client’s expectations

• providing clear information and estimates, and discussing the variables that could affect them

• under-promising in anticipation of over-delivering.

At the end of any discussion, look for both verbal and body language confirmation that a client accepts and understands the clarifications and guidance about expectations and assumptions.

If agreement cannot be reached on important expectations, a solicitor should consider whether they want to accept or decline the instruction.

3.5.5. Monitor progress against these expectations

Having united expectations and reached a shared understanding with the client on a number of issues, the solicitor then needs to continually monitor progress and be ready to update the client when things change or if expectations need to be updated or re-adjusted. Project management techniques could be adopted, for instance, in relation to issues such as costs and timescales.

3.5.6. Learn and improve

Practices should look to measure how successful they are in managing and meeting client expectations. Information can be gathered through:

• client satisfaction surveys

• complaints information

• comparing initial estimates on results, costs and timescales, to actual file data.

Where a practice has failed to manage or meet client expectations, they should look to understand why, and discuss how they can change their approaches to improve next time.


3.6. Personal communication skills

3.6.1. How we communicate

When we communicate, we use body movements, gestures, facial expressions and tone of voice as well as words to get our message across. Research has shown that the specific meaning of words can have less effect than body language or tone of voice in forming attitudes and memories.

• Facial expressions and body language: 55%

• Tone: 38%

• Words: 7%

Professor Albert Mehrabian's research provided the basis for the widely quoted and much over-simplified statistics on the effectiveness of verbal versus non-verbal communications. His research applied to communications of feelings and attitudes, not to all communications.

Solicitors place great importance on the specific meaning of words, sometimes at the expense of how people are speaking and their body language.

Solicitors need to be aware of their own broader communication and that of clients, and what it says about understanding, acceptance, anxieties, hopes, feelings and attitudes.

Communication through how we speak

How we speak Possible interpretation

Slow speed and low pitch Depression

High voice, speech getting faster Enthusiasm

Tension plus volume Anger

Monotone voice Boredom

Abrupt speech Defensiveness

Ascending tone Astonishment

Communication through facial expressions and body language

How we act Possible interpretation

Arms folded Closed defensive

Hand on chin Listening

Hand on face Bored

Fidgeting Nervousness

Frowning Worried/disagreement


How we act Possible interpretation

Frequently crossing legs and arms, looking at watch, fidgeting

Impatient

Avoiding eye contact Evasive

3.6.2. Flexibility in communication

Although technological advances have made communications easier, email, mobile phones, social media and text messaging have also complicated it. Which method is appropriate in what circumstances, and when should you use more than one method?

The practice’s views and preferences are a secondary consideration compared to those of clients.

Discuss client communication preferences and requirements.

• How much and what type of updating is required? (Cost? Matter? Timescales?)

• How often are updates required?

• Would they prefer updates by email, phone, letter, in person or by another method? Make them aware of any cost implications. Clients want to be kept informed but resent having to pay for the time to produce a detailed letter if a short email or phone call would have sufficed.

• Do they require written confirmation of discussions?

• Should communications be copied to any other individuals?

Be ready to adapt to client requirements. Raise issues in either a phone call or email before sending a letter of advice. Combining formal and informal communications limits the risk that some communications might be missed because a letter or email is mislaid or a phone call not returned.

Communication by letter should be followed up with a phone call to confirm that the letter arrived and has been read and to ask if there are any questions: writing a letter is of little benefit if the client does not understand it.

3.6.3. Barriers to effective communication

Communication is a complex process. Effective communication requires an understanding of attitudes, listening skills, the risk of partial understanding, expectations, prejudices, motivations, assumptions, codes and nuances.

In any communication, some of the ‘meaning’ is lost in transmission from sender to receiver. Even before communication begins, we are filtering information through habits such as deleting, distorting or generalising the information we receive.


In everyday life, the filter limits input and helps communication. Information is filtered based on personal experiences, and it is important to acknowledge and account for different experiences in both sending and receiving communication.

Filtering can also be a barrier to effective communication. Solicitors need to be able to recognise the potential barriers to effective communication and remove them. Some potential barriers are listed below.

Solicitor – poor listening Client – poor listening

• Interrupting the client or dominating conversation.

• Poor attention due to pressure of time or interruptions.

• Poor questioning eg closed rather than open questions (“Do you want this?” rather than “What would you like/How?”).

• Not requesting or allowing feedback.

• Failing to clarify issues or confirm understanding.

• Poor awareness of client’s body language.

• Stress or anxiety.

Solicitor – poor talking Client – poor talking

• Excessive use of jargon or unfamiliar terms.

• Excessive or insufficient detail.

• Speaking for too long without seeking feedback.

• Patronising or condescending attitude.

• Inability to articulate the issues quickly.

• Pre-conceived ideas and assumptions about the client or the matter.

• Rushed discussions due to pressure of time.

• Anxiety induced by an influential client.

• Not allowing feedback.

• Not checking to confirm client understands.

• Inability to articulate the issues.

• Failure to raise issues because:

• of assumptions that the solicitor knows it all

• they are embarrassed about their own lack of knowledge

• they are concerned about the cost of further discussions

• they lack confidence in a professional environment or are intimidated by the solicitor.

• Mistrust of solicitors.

• Excessive deference for or trust in solicitors.

3.7. Rapport Rapport is the ability to relate to others in a way that creates a level of trust and understanding. It is a naturally occurring state between two or more people and largely happens at the unconscious level.

When in rapport, we uncritically accept suggestions to our unconscious mind.

You can see rapport being demonstrated every day from people travelling on public transport to communication with family members, colleagues, supervisors and clients.


There are a number of techniques that can be beneficial in building rapport:

• Matching body language and speech (eg posture, gestures).

• Maintaining eye contact.

• Using conversation to create a connection, particularly finding common topics of interest.

• Asking questions and showing interest in the answers.

• Using the person’s name.

Rapport building is done through a combination of visual, auditory and kinaesthetic communication.

Communication type Description

Visual (sight) What we see and believe we see, often referred to as body language, made up of gestures, facial expressions, eye movements and posture. When we are in communication, we are continually accessing and assessing what is being communicated to us. Most of the time, this is done unconsciously and we are making assumptions and decisions based on the information we are being presented with.

Auditory (sound) The meaning of words can be changed dramatically depending on the intonation, inflection, and speed at which the message is being spoken.

Kinaesthetic (touch) Kinaesthetic is the use of touch to communicate meaning, for example, the light touch of the arm or shoulder. Commonly, this will be in the form of a handshake in the western world – people conclude many different meanings from a handshake, depending how it is done!

3.7.1. Matching

Matching is the cornerstone of rapport-building. It involves the adjustment of an aspect of your behaviour to approximate the same aspect of the other person’s behaviour. For example, when the other person tilts their head to their left, you tilt your head in a corresponding fashion to match. This usually happens unconsciously.

Matching can involve:

• pacing – the ongoing process of matching to another person’s moves

• leading – where we lead with our own body movements, gestures, tone and words.

Matching behaviours can assist in building powerful states of rapport, consciously and unconsciously. Mastering the art of matching will develop your ability to establish rapport.

Behaviour Considerations

Whole body matching Adjusting your body to match the other person’s postural shifts.

Body part matching Pacing any consistent or stylistic use of body movements (eg eye blinks or hand movements).

Head/shoulder angle patterns

Matching characteristic poses that the other person offers with his/her head or shoulders.


Behaviour Considerations

Vocal qualities Matching a shift in tonality, tempo, volume, timbre, and intonation patterns.

Verbal Using similar words, phrases or pronunciation.

Facial expressions Matching the ways in which the other person uses their face (eg wrinkles his/her nose, puckers his/her lips and raises his/her eyebrows).

Gestures Matching the other person’s gestures in ways that are elegant and respectful.

Repetitive phrasing Hearing and using the repeated phrases of the other person.

Breathing Adjusting your breathing pattern to match another person’s breathing pattern.

Indirect matching (cross-over matching)

Using one aspect of your behaviour to match a different aspect of the other person’s behaviour; for example adjusting the tempo of your voice to match the other person’s rate of breathing; pacing the other person’s eye blinks with your finger or head nods.

3.8. Effective questioning and listening: funnelling

3.8.1. Funnelling

Funnelling is the process of making questions increasingly specific until the required information is gathered.

Type of question Considerations

Big picture questions/ invitations to talk

“Tell me…”

“What’s on your mind?”

Use big picture questions or invitations to talk at the start of any discussion to get things going.


Type of question Considerations

Open questions

Who/What/Where/Why/When/How?

Use open questions to gather the facts, put a client at ease or push a conversation along. Allow a response by being quiet after the question – watch for body language as well as listening to the words of the answer. Open questions use one of the six roots.

Probing questions

Tell/Explain/Describe

Use probing questions to gather more information. If the initial question doesn’t result in the required response, reframe it or ask a different question.

If questions

“If they offered $20,000 but no apology, what do you think your response would be?”

Using ‘if’ questions help the other person to think of possibilities, and are particularly useful in confirming and clarifying preferences and objectives.

Closed questions

Do/Are/Is/Can?

Closed questions require a ‘yes or no’ answer and should be used to confirm specifics. Don’t use them to manipulate the conversation.

Leading questions (usually avoid)

Avoid using leading questions that suggest or telegraph an anticipated or preferred response.

Multiple questions (usually avoid)

Avoid using multiple questions as the client may forget one part of the question, or the response to one part leads them away from answering another part.

3.8.2. Blocks to listening

There are many blocks to listening. Some are common and others occur only with certain types of situations or people. Becoming aware of listening blocks is the first step towards becoming a better listener.

• Comparing – assessing who is smarter, more competent, emotionally competent or whatever else seems important.

• Mind reading – second-guessing what the speaker is ‘really’ thinking.

• Rehearsing – thinking about the response.

• Filtering – listening, or attending to part of the communication.

• Judging – prejudging negatively, as they speak – considering the speaker stupid, nuts or unqualified and so forth.

• Dreaming – something being said triggers off a chain of thoughts that have positive associations.

• Identifying – referring what the speaker is saying back to personal experience.

• Advising – wanting to help and advise even before the person has finished speaking.

• Sparring – getting ready to argue and debate what the speaker has to say.

• Being right – going to great lengths to be right.

• Derailing – changing the topic of conversation by joking or steering the conversation in a preferred direction.

• Placating – “yes, yes …… I agree, I know …… totally understand”. Nice, pleasant and appearing supportive, but only half listening.


3.8.3. How to show you are listening

• Maintain good eye contact.

• Lean slightly forward.

• Reinforce the speaker by nodding or paraphrasing.

• Clarify by asking questions.

• Actively move away from distractions.

• Be committed, even if you’re angry or upset, to understanding what is being said.

Practice tip/learning challenge:

Ask everyone in your practice (including yourself) to pick three areas from these lists to work on over a month. Everyone should work with a ‘buddy’ who can give them feedback on their progress.

3.9. Client interviewing The first meeting with the client could be the only opportunity to get to know them and their requirements, and get the relationship off to a good start. The most important thing is to ensure that the meeting takes place.

It can be tempting to forego a meeting because of busy schedules and the apparent simplicity of the instructions or perceived similarity of the matter to earlier ones. Without a first meeting, the solicitor has no opportunity to:

• identify and manage client expectations

• define the scope of the matter

• agree on matter and communication requirements

• ensure that there are no misunderstandings.

Once a meeting has been agreed to or arranged, make it effective. The table on the following page suggests some actions and activities to consider during the phases of the meeting:


3.9.1. Client interviewing: phases and activities

Interview phase Actions/Activities Skills required

Preparation • Identify the client.

• Who is the client? Not necessarily the person making the appointment.

• Identity checking for anti-money laundering or potential fraud.

• Undertake initial conflict check as appropriate.

• Allocate sufficient time for the meeting.

• Advise client of the name and status of the person conducting the meeting.

• Advise client of any costs of the first meeting.

• Obtain and read, as required, relevant documentation (eg documents client has sent, any previous files).

• Provide client with basic facts about the matter you will be discussing (eg QLS public information guides).

• Advise client which documents to bring and where to park.

• Ask client to complete information forms prior to meeting.

• Get copy of relevant issues checklist (cheat sheet) and familiarise yourself with key issues.

• Support staff to welcome client, offer refreshments, ask client to complete forms, ask client if they have any questions or concerns about the meeting/hold all calls during meeting.

• Invite colleagues into the first meeting as appropriate (eg paralegals, practice area specialists, anyone who might be expected to work with the client).

Personal organisation

Time management

Internal communication



Welcome and formalities

• Ice-break/develop rapport/put the client at ease. Offer the client a drink/ask if the client had any problems finding the office/discuss current events, parking or the weather/compliment them on their dress.

• Explain how the interview will proceed or provide an agenda.

• Confirm client contact details and preferred method of communication.

• Give a verbal explanation of costs issues, including how fees may be charged, billing arrangements, and that you will be better able to provide an estimate of overall costs towards the end of the meeting.

• Ask if the client has already sought any advice (legal or otherwise) on the issue.

• Explain that all information will be treated as confidential and/or explain the implications of disclosing or failing to disclose information at this stage.

• Ask the client if they have any questions or concerns.

Rapport building

Identify problem(s) and objectives

• Use invitations to speak or open questions to encourage the client to identify and describe the problem and clarify their aims/objectives. Encourage the client to be focused and detailed but let them tell their story.

• Actively listen: engage, reflect and paraphrase. Summarise/paraphrase the client’s problem to confirm understanding.

• Demonstrate empathy and compassion, not sympathy – you do not need to feel sorry for the client, just understand their situation and needs. Avoid amateur counselling. Advise them to see a counsellor if necessary.

• Ask yourself – “Is there a subtext?” “What isn’t the client telling me?” “Is the body language consistent with the words?”

• Avoid heavy note taking at this stage.

• Avoid making conclusions too early.

• Get to know the client. Are there any broader strategic or personal issues that this specific matter touches on?

Listening skills



Further information gathering

• Use issues checklist to prompt or cover-off on all potentially relevant areas.

• Use open and closed questions to cover all relevant issues, and manage the expectations and assumptions of both parties.

• Confirm chronology and flesh out facts: dealing with all facts chronologically to ensure all relevant details are covered. Take more detailed notes during this stage.

• Confirm details of all relevant individuals and entities.

• Identify facts that will facilitate accurate time and costs estimates. Consider the time/costs implications of all matter details and probe further as required.

• Summarise and paraphrase to confirm understanding.

• Make notes of all details. Go back to confirm as required.

Questioning skills

Initial advice • Confirm the client problem, client objectives and details of the matter.

• Explain the issues involved in a way that gives the client a sense of understanding and control and reassures them about skills and competence.

• Communicate value – talk about what work will be done, the risks of not doing it, and how all this benefits the client.

• Provide an initial analysis and possible options. Stress that it is provisional and may change over the course of the matter.

• Outline the choices available to the client – both legal and non-legal.

• Discuss the time, benefit, cost and risk implications, pros and cons of different choices.

• Assist the client in making an informed choice of action: as appropriate, make a recommendation about the best course of action.

• Provide an initial time and costs estimate for the work, including as much information on variables that could affect costs.

• Actively manage client expectations about timing, cost, scope of the work, result and level of service.

• Ask the client if they have any questions/concerns.

Communicate value

Manage expectations



Confirming instructions and closing

• Undertake a risk assessment – will the practice accept these instructions?

• If there are risks involved, what arrangements should be put in place to manage the risk?

• If declining the instructions, send out a non-engagement letter.

• Confirm the scope of the matter: what will be done, what won’t be done and what the client needs to do.

• Establish the method of funding, including the availability or suitability of legal aid, insurance, trade union benefits, conditional fee arrangements or similar products.

• Confirm what will happen next, and in what timescale. Consider providing the client with a ‘next steps’ summary sheet.

• Start drafting something with the client/give the client some homework.

• Seek any initial payment as required.

• Introduce additional colleagues who may be working on the matter.

• Ask the client if they have any questions/concerns.

• Say goodbye and show the client out.

Communicate value

Manage expectations

Follow-up • Complete risk assessment and conflict checks.

• Open file or send non-engagement letter.

• Reflect on the information gathered and the issues discussed. Form a more confident view on the course of action, chances of success, time and costs, strengths and weaknesses of any case.

• Calculate any time limits and diarise bring ups to assist yourself in managing the matter.

• Develop a matter plan to assist in project managing the matter.

• Conduct a service assessment: what will add value and support excellent client service during this matter?

• Prepare client agreement and estimate.

• Include as much information discussed in the meeting as possible to cover off the risk of misunderstandings.

• Communicate value.

• Send letter and consider follow-up: (Did they receive it? Read it? Understand it? Any queries or concerns?)

Letter drafting


3.10. The client agreement The client agreement:

• provides a reference resource going forward

• gives the client confidence that their requirements are understood

• gives the client a chance to query or clarify the understanding

• allows confirmation or correction of understanding of client requirements

• guards against future disputes about the nature of the instruction.

The client agreement is a positive opportunity to go beyond regulatory or risk management requirements and ensure that understanding is as high as it can be, increasing client confidence in your services.

Standard client agreements should:

• clearly identify the client and the status of any related entities

• discuss the issues involved and options available to the client

• give the name and status of the person who will be dealing with the matter, together with the name and status of any supervisor

• confirm the solicitor’s understanding of the retainer: what the solicitor is instructed to do and what the solicitor will not do

• identify the client’s objectives • provide accurate cost and time estimates

• include anything discussed in the first meeting which might have been misunderstood

• confirm how fees are calculated

• confirm what the client has agreed to do • provide the name and status of the person who the client can approach in the event of any problem.

An effective client agreement is as readable and accessible as possible with plain, commonly understood English words rather than ‘legalese’, and accessible sections; perhaps with key points highlighted and details in appendices, rather than page after page of heavy text.

Appendix five in the Marketing and Business Development unit suggests some questions to include in your client engagement process and a template to help track the success of your marketing efforts – both are related to client service and can form part of your first meeting and engagement process.

Always follow up on the client agreement. Ask if the client received it, if they have read it, and if they have any concerns or questions. This call can prompt the client to read the material, or to raise concerns or ask questions that they might have left otherwise.


3.10.1. Terms of business

Additional information, including terms of business, should be attached as an appendix. This makes key information on the work and the costs of the matter separate and accessible. Standing terms of business with regular clients should be referred to in the client agreement.

Terms of business should cover arrangements for:

• storage of documents (including IT and cloud security)

• termination of instruction

• communication by email

• outsourcing of work

• hours of business

• service commitment

• payment of interest

• data protection

• quality standards

• complaints.

There may be other items to consider in individual circumstances.

3.10.2. Service commitment

Specific service standards should be outlined, including:

• keep the client regularly informed of progress

• communicate in plain language

• explain the legal work that may be required

• advise the client regularly of the costs/risk benefit of pursuing a matter

• advise the client of the likely timescale involved.

3.10.3. Repeat clients

Failure to provide a client agreement to repeat clients might be because:

• “The client trusts us, knows our terms and rates and doesn’t need an agreement.”

• “It was more important to get on with the matter, than attend to paperwork.”

A client agreement confirming the nature of the instructions should always be provided, even to regular clients. Not providing a client agreement robs the client of the chance to query or clarify any part of the understanding, and takes away protection for the solicitor in a future dispute about the nature of the instruction. It is not ‘safe to assume’ that instructions are the same from one matter to another, and that exactly the same terms and conditions apply.

Even where there are standing terms and conditions with regular clients, the nature of the instruction should always be confirmed.


3.10.4. Writing skills

Written communications do not benefit a client who does not understand them. Here are some tips for increasing the readability of client correspondence.

• Avoid big blocks of text – use headings, paragraphs, bullet points and tables wherever possible.

• Highlight important sections.

• Emphasise the main points at the beginning and/or place secondary detail at the end or in an appendix.

• Write in short sentences and avoid long, intricate paragraphs.

To these can be added all of George Orwell’s five rules for effective writing:

• Never use a metaphor, simile, or other figure of speech which you are used to seeing in print.

• Never use a long word where a short one will do.

• If it is possible to cut a word out, always cut it out.

• Never use the passive where you can use the active.

• Never use a foreign phrase, a scientific word, or a jargon word if you can think of an everyday English equivalent.

Using short sentences and short, commonly understood words increases readability. Research suggests that on first reading:

• 4% of readers understand a sentence of 27 words

• 75% of readers understand a sentence of 17 words

• 95% of readers understand a sentence of 8 words.

In short, too many long words and sentences create an unwieldy document. Beware though, as too many short sentences can sound authoritarian or too simplistic.

3.11. Ending the retainer Clients usually look forward to the end of their matter when they know that everything is resolved, there are no more fees payable and they can walk away from the matter, and related stresses or concerns.

Some solicitors lack the same urgency, perhaps because:

• as natural perfectionists, they are reluctant to close the file until they are 100% sure that everything is in order

• they are distracted from closing files, or collecting costs, by more urgent or exciting work – this can be related to finding billing, or discussing billing, awkward.

Delayed closure of files and collection of costs can affect client satisfaction even if the service provided has been of a high standard. Practices should therefore emphasise the importance of prompt closure of files and ensure that this is handled effectively. A closing checklist can give the billing solicitor support to get the job done, and allow some of the background work to be done by support staff.


Procedures for file closing include:

• report the outcome of all matters

• confirm what action the client needs to take going forward

• confirm any duties or responsibilities the practice will retain

• check if the client has any outstanding expectations

• return any documents or other property of the client, or any other party

• deal with trust monies

• archive or destroy materials as appropriate

• confirm arrangements for storage or retrieval of documents

• advise whether the matter, or any parts of it, should be reviewed in the future.

3.11.1. Closing risk and service assessment

When closing the matter, it is good risk management practice to do a closing risk assessment – a check that everything has been done competently and to address any outstanding issues that could lead to a claim, complaint or client dissatisfaction.

Taking this further, solicitors should also stop to ask themselves:

• Is there anything further I could do to add value to the client service experience?

• Is there anything I did on this matter that I could repeat elsewhere to deliver excellent client service?

• Is there anything I should have done on this matter to deliver excellent client service?

Recording and reviewing the answers to these questions provides a practice specific guide to improving client service.

3.12. Cultural issues How important is client service to your practice?

• Do the partners or team leaders make client service a priority?

• Is excellence in client service recognised and rewarded?

• Are solicitors given time and support to deliver excellent client service?

Culture plays an important role in the delivery of excellent client service. In larger practices, ‘culture’ might be influenced by factors including working hour expectations, the number and diversity of workers, and performance assessment criteria; in smaller practices, ‘culture’ might be more dependent on the behaviour of a single person, such as a principal.

It is important to assess the culture of your practice and decide which elements support or hinder the achievement of your goals.


This table outlines some features that could enhance or restrain efforts to improve client service:

Supportive culture Unsupportive culture

A balanced approach and acknowledgement of the need for a focus on service.

Excessive focus on chargeable time and billable hour targets.

Individual workloads are managed and reasonable.

Long hours, deadline-driven culture.

Co-operation, support, knowledge-sharing and team-working.

Protective, individualist approach to matters and clients.

Success, remuneration and promotion based on broader measures including service, client relationship development and contribution to practice.

Success, remuneration and promotion primarily based on billable hours or personal fees earned.

Investment in training, IT, support staff, etc. Minimal support.

How can we help? Demanding expectations of individuals.

Understanding, supportive. Critical, competitive.

A plan or a framework to focus on cultural concerns will help identify what needs to change and how to think about working on it.

Question Consideration

What is the current practice culture?

Identify the supportive and unsupportive aspects in the practice.

Consider internal discussions and findings from complaints handling and client satisfaction surveys.

What is desirable practice culture?

• What cultural attributes, values and objectives does the practice want?

• Does this fit with clients’ perceptions and requirements?

• Does this fit with current colleagues and staff?

• Communicate the agreed values and cultural objectives.

• Consider offering training.


Modify the existing culture

Some of these actions might help develop the right culture to facilitate service excellence:

• Leadership by example.

• Team building initiatives.

• Change reward, remuneration, promotion arrangements to recognise the importance of service and communication.

• Agree on individual development appraisals and plans.

• Improve internal communication.

• Offer more support for training (team and individual).

• Invest in facilities/IT/support staff.

• Re-evaluate billable hour targets or working hour expectations.

• Move away from reliance on the hourly fee as a basis for both charging and performance assessment.

• Improve work/life balance.

• Increase diversity of staff (age/sex/ethnic origin).

• Change organisational structure.

• Move to more modern office facilities.

• Include service and client care as part of performance assessment.

• Re-evaluate delegation and supervision arrangements.

• Increase respect and dignity at work/reducing bullying.

Review and continuously improve

Client feedback and complaints information, as well as observations, should provide information to identify strengths and weaknesses and to continuously improve practice culture.

3.12.1. Time pressure and the culture of ‘billable hours’

Probably the biggest aspect of culture that affects delivery of a quality service is actual and perceived pressure of time. Performance assessment based purely on hours billed or fees earned can limit motivation to invest in client care and communication. Deadlines and desk work will not go away but practices do need to help solicitors strike a balance that allows them to provide a satisfactory service.

Initiatives to consider include:

• time management training

• increased efficiency through means other than time measurement

• relieving pressure of work by adding staff – for either fee-earning or support

• reducing billable hour targets, or offering a concession in billable hour targets for productive but unbillable client care

• moving away from the hourly rate as a primary billing method so solicitors focus on providing a service rather than just their time.

At least some time pressure relates to the dominance of the culture of billable hours, and the belief that setting targets for billable hours is the best way to ensure productivity.

As discussed elsewhere in this course, it is becoming clear that not only does emphasis on billable hours lower motivation to invest time in non-billable activities, it also limits motivation to improve productivity and introduce time-saving working.


3.12.2. Motivation

For efforts to change the culture and improve standards of service, communication and client care to be effective, staff will need to be motivated to change.

Some cultural changes will be popular on their own merits, especially with the younger generation of solicitors. That said, individual goals and ambitions around pay, promotion or other rewards aren’t likely to go away.

Legal practices traditionally reward, promote and remunerate according to a single, narrow measure – short-term fee-earning record or potential. In these practices, it is unrealistic to expect people to focus on service and communication if that is not recognised or rewarded. Even where service can be improved without the need to compromise fee-earning time, solicitors will tend to work to their strengths, which often are in documents, analysis and legal process rather than client focus.

A practice that is serious about raising its service standards will review its reward and recognition policies, including:

• increasing focus on client service during supervision meetings

• increasing focus on client service during annual appraisal meetings – including making improvements in service a key objective, and measuring a solicitor’s performance in relation to service

• setting time-recording targets for service and client development, as well as for fee-earning – here, give careful consideration to whether targets for fee-earning will be adjusted to reflect the change

• making service skills and performance a criteria for pay reviews

• making service skills, performance and potential a consideration during discussions on promotions.

None of these are a threat to a practice’s fee-earning potential. On the contrary, improved client service can be a key driver of profitability. This long-term and more sustainable approach provides individuals with broader motivations that mirror the practice’s objectives.

3.13. Support staff Support staff are the human face and voice of a legal practice, and have a vital role to play in clients’ experiences. They assist in client care efforts and have communications and relationships with clients that can be as important as those with the solicitor.

Many secretaries, personal assistants and practice managers embrace this, while others take a more minimal role. Whatever the division of duties, the pivotal role of support staff in service and communication should be co-ordinated and recognised.


3.13.1. Handling enquiries

It is very easy to make a bad first impression. There are some common issues around handling of enquiries, and training and review can improve performance. Here are some pointers:

Do Don’t

Thank the person for the call. Act as if the call is a burden.

Speak with a smile. Let personal stresses, moods or frustrations affect the caller experience.

Be prepared – with information on common enquiries (costs, practice areas, etc).

Allow the caller to assume you are disorganised or not interested.

Know about the availability of your solicitors and when you can put calls through.

Act as a defensive gatekeeper.

Be helpful and positive. Give the caller options:

• An appointment?

• Talk to a solicitor now?

• To have a fee-earner call back?

• More information?

Be unhelpful or negative:

• “He’s out.”

• “I don’t know.”

• “No.”

Answer calls quickly and politely, and transfer them efficiently to the right person.

• Let the phone ring more than five times.

• Transfer a call before the caller has finished speaking.

• Leave a caller on hold too long or transfer them around.

Ask open questions and listen to the answers:

“How can I/we help you?”

Only ask closed questions:

“Did you want to speak to the partner?”

Practices should avoid excessive scripting in the handling of initial enquiries. The use of scripts is not only disrespectful and cumbersome for staff, it can also be disengaging and confrontational for clients who would much prefer to engage with a human being and receive personal attention rather than being led through a checklist or process in a robotic manner.

3.13.2. Managing expectations

Support staff should be made aware of not overstepping the mark. Potential problems include:

• in error, advising that the practice is able to assist with the client’s concern

• advising the client about what the solicitor will or won’t do

• providing opinions about time and cost

• commenting about the expected result or outcome of a matter.

Guidance and training for support staff can avoid these risks.


3.13.3. Before the matter starts

People’s perceptions of service start forming even before they meet a solicitor. Poor service or communication by support staff at the enquiry stage can lose the practice an opportunity for an instruction, or lead to negative perceptions about client care at the practice.

3.13.4. During the matter

During the matter, support staff will co-ordinate communications and assist with time, matter and cost updates.

As discussed earlier in this unit, focus on proactive communication as much as possible. Clients prefer it and the communication burden of update requests caused by client restlessness or anxiety is cut. Support staff can assist by:

• allocating time for pro-active updates and having material ready, including preparing cost updates for review

• noting update requirements for each client or matter, and managing these in the same way as other key dates (such as statute of limitations)

• undertaking any other administration which makes it easier to update clients.

Little things like calling clients by their name and remembering refreshment preferences can make a big difference in clients’ perception of service.

Practice tip:

Support staff need to be encouraged to take the initiative and suggest better ways of working with their fee-earners as a team to facilitate better client service.

3.13.5. After the matter

When the matter is closing, support staff can then take a lead role in assessing client satisfaction and identifying any weaknesses in the practice’s service, particularly if solicitors are struggling with this task.

3.14. Review: key points • Delivering excellent client service involves investment in client-focused management

systems, personal skills, and a supportive practice culture – all informed by regular client feedback and the discipline of performance management.

• A solicitor’s ability to deliver excellent client service will only be as good as the support provided by the practice.

• Training in communication skills can significantly improve the quality and effectiveness of first client meetings, and greatly improve the likelihood of providing excellent client service and keeping clients satisfied.

• The client agreement provides the solicitor and the client with the opportunity to confirm understandings and clarify expectations.

• Proactive ongoing communication helps the client retain a sense of control over the matter and is pivotal to the client service effort.


• The management and communication of costs and billing causes more client dissatisfaction than any other issue. Listen to your clients, understand their concerns, and implement appropriate costs and billing arrangements to suit.

• Consider the culture of your practice and how this could be changed to assist in the delivery of excellent client service.

• Consider how support staff can best contribute to the delivery of excellent client service.


4. Exceeding client service expectations and developing deeper relationships

4.1. Introduction For many practices, reducing or eliminating client dissatisfaction is a significant task in itself. To achieve all the benefits of improved client service, expectations must be exceeded, not simply met.

At the end of Part 4 of this unit, you will be able to:

• distinguish between meeting and exceeding client expectations

• identify typical value-adds that exceed client expectations

• explain how to increase understanding of client needs

• assess the strength and potential of client relationships

• explain how to develop ‘trusted advisor’ status with key clients.

4.2. Exceeding client service expectations As discussed in Part 2 of this unit, meeting client expectations in relation to basic service requirements and the key comparative service measures will help you to create confidence and trust. This in turn creates value – for everyone.

To exceed client expectations, provide advice or assistance that clients were not expecting and perhaps did not even know they needed.

Exceeding client expectations in relation to basic requirements and key service measures, and providing added value by identifying additional innovative ways to help your clients, is offering excellent client service.


4.3. Proactive, specific value-adds Consistently delivering service exceeding client expectations is difficult, but brings significant rewards – enhanced reputation, client retention, referrals and higher fees.

Consider the list of additional services in the first table in Part 2.5 of this unit. Each of those exceeds expectations and provides value.

Acts that exceed client expectations require three things:

Know the client Knowing and understanding the client’s needs is critical to meeting them.

Be specific Demonstrate understanding of the client and their needs by offering something that adds value, by dealing with a specific problem or by meeting a specific personal or business need.

Be proactive Initiative in offering something specific is meaningful. Responding positively to requests is expected. Recognising needs before a client articulates them is more impressive and memorable.

4.3.1. Know the client

Exceeding client service expectations requires a relationship with a client that goes beyond the immediate matter at hand – touching on broader business, personal or career concerns. This requires an understanding of personal and professional challenges and opportunities, including the need to impress superiors, career goals, business reorganisations and workplace politics and sensitivities.

Get to know the client:

• Find out about previous matters; do desk research on their company.

• Take some time in the first meeting to discuss business or personal matters not related to the matter at hand. Questions could include:

• So, how’s business?

• How’s work going? How long have you been working there?

• What would happen if …?

• How are you coping with the economic downturn?

• What are the main challenges for your business?

• Apart from this legal matter, what other challenges do you or your company face?

• How else can we help you?

• What else can we help you with?

• As an alternative, consider asking similar questions in a pre-interview form.

• Share some information – either about personal challenges or about challenges other people are facing: they might then share in return.

• Do some research on developments in the client’s industry.

• Make notes about relevant client information to draw on next time or to share with colleagues who might also work with the client.

• Clients might share information with your colleagues, including support staff, and not with you. Talk to your colleagues before client meetings, so you are better able to identify service opportunities.


4.3.2. Client relationship management

Client relationship management is ‘a systematic, managed approach for sustaining and growing loyal and profitable client relationships’. It is dealt with extensively in chapter six of the Marketing and Business Development unit.

Offerings that develop client relationships include:

• client relationship responsibility – the allocation of responsibility for specific client relationships, and the development of client teams

• sharing of client information amongst teams

• client plans – defining client relationship objectives and how these are going to be achieved

• annual client reviews: meetings with clients to discuss the relationship, how recent matters have gone, and any specific service needs or concerns

• tailored training and hospitality

• closer consultation on which staff work is allocated to

• flexible billing arrangements/favourable terms

• offering staff to work on secondment at client premises

• reciprocal referral arrangements

• loyalty discounts – reduction in fees if billing exceeds agreed amount.

4.3.3. Proactive, specific value-adds

Once you have a good understanding of your clients’ hopes, fears and challenges, you are then in a good position to deliver the proactive, specific, value adds, that really impress.

5.


5.1. Becoming a ‘trusted advisor’ As discussed in chapter two of this unit, value can be created through:

• the satisfaction of specific needs by specific legal products

• how services are delivered

• the value of a solicitor-client relationship.

A trusted advisor is someone who a client turns to when any issue – personal or professional, not necessarily legal – first arises. The value of a trusted advisor is not limited to any specific technical expertise or problem solving ability, but is valued as much for an ability to understand the client and their challenges, to put issues in context and to provide perspective.

In their book The Trusted Advisor (Maister et al, 2000), the eponymous trusted advisor is operating at a greater depth of business issues and personal relationship. Here’s how they differentiate between ‘trust-based’ and other relationships:

Focus is on Energy spent on Client receives Indicators of success

Service-based Answers, expertise, input

Explaining Information Timely, high quality

Needs-based Business problem Problem solving Solutions Problems resolved

Relationship-based

Client organisation

Providing insights Ideas Repeat business

Trust-based Client as individual

Understanding the client

Safe haven for hard issues

Varied, eg creative pricing


5.1.1. Trust

The book offers an equation for the development of trust: T = C + R + I / S.

Where:

• T = trustworthiness

• C = credibility

• R = reliability

• I = intimacy

• S = self-orientation.

The trusted advisor demonstrates credibility and reliability, building intimate relationships and putting the client’s interests above their own.

The authors suggest a five-stage framework for developing trust:

Step Action taken What the client feels What the advisor gains

Engage Attention becomes focused.

It may be worth talking to this person about…

Earns the right to tell and hear truths.

Listen Ears bigger than mouth; acknowledge and affirm.

I am being both heard and understood.

Earns the right to suggest a problem statement or definition.

Frame The root issue is stated clearly and openly.

Yes, that is exactly the problem here.

Coalesces issues to move forward.

Envision A vision of an alternative reality is sketched out.

Could we really accomplish that? That could be a really interesting outcome.

Concretises vision; generates clarity of objectives.

Commit Steps are agreed upon; sense of commitment is renewed.

I agree. I understand what needs to be done. I’m with you. Let’s do it.

Allows problem resolution to begin.

The trusted advisor is a coach as much as a professional advisor, offering support and advice on broad issues beyond legal matters and with highly developed questioning, listening and reframing skills. Advice is provided not by telling, but by sharing relevant insights, illustrating and influencing – always with a genuine interest in the other person.


5.1.2. Some tips for building trust-based relationships

• Understand the state of current relationships and actively plan to develop them.

• Don’t ask for the work too quickly. Instead, demonstrate readiness for the work by sharing insights.

• Make regular commitments on small things – and then deliver.

• Don’t make claims. Demonstrate expertise.

• Don’t give the answers. Ask the questions that help clients see things more clearly.

• Listen. Don’t interrupt or respond too soon.

• Focus on creating value for the client.

• Regularly challenge and check any assumptions about the client. Ask permission to ask questions that might seem sensitive/personal.

• Take a personal risk that demonstrates your commitment to client needs.

• Admit a minor failing. Ask questions that shift discussions to the bigger picture.

• Clearly articulate what you will do and won’t do.

• Let clients take control of the conversation.

• When you don’t know or can’t help, say so.

• Take a genuine interest.

• Demonstrate your willingness to learn.

• Ask clients for their views on your relationship.

• Be willing to invest time on the relationship at no cost.

• Read and research anything the client sends or their company releases.

• Remember what the client says – take notes and look at them before the next meeting.

• Be prepared to challenge the client.

• Relax. Stop trying to prove technical competence.

5.2. Review: key points • Clients expect good service. To impress them, exceed their expectations on general

service measures, or add value in ways they weren’t expecting.

• Exceptional client service requires some proactive behaviour specific to an individual client.

• To identify value-adds, you need to know the client.

• Track the health of all major client relationships. How could they be improved?

• For key clients or major prospects, focus on adding relationship value and becoming a ‘trusted advisor’.

• Focus on building trust, reliability, credibility and intimacy, and focus on clients’ needs rather than your own.

• Move discussions onto the bigger picture.


6. Seeking client feedback and managing client dissatisfaction

6.1. Introduction Minimising the likelihood and impact of service risks is critically important. As discussed in chapter two of this unit, clients judge legal practices primarily on their service delivery, and place a disproportional emphasis on service failings compared to examples of good service.

At the end of chapter five of this unit, you will be able to:

• explain how risk management models and systems can be applied to the delivery of client service

• discuss options for gaining client feedback

• identify the key elements of effective complaints handling

• describe how to respond effectively to LSC investigations.

6.2. The risk management process The Risk and Compliance unit deals in depth with more general risk issues.

Poor client service and client dissatisfaction are probably the biggest risks that practices face. Like other risks, they can be managed.

Risk management for solicitors is usually associated with claims and insurance, but poor service and client dissatisfaction can be addressed with the same risk management techniques and processes used to minimise claims. These include systems, arrangements, processes and plans to address specific concerns and limit the likelihood or impact of poor service.

A simple risk management model involves a continuous four-stage process:


Stage Description

Risk identification • Analysis of complaints handling records, client satisfaction research, supervision meetings and file audits.

• Internal discussions involving all staff.

Risk assessment • How would it happen? What are the underlying causes?

• Which risks are most likely to occur?

• What is the likely impact?

• Prioritise which risks can or should be addressed first.

Risk management 0Implement arrangements to manage risks including training, guidelines, changing the culture, new IT systems, new processes, procedures, plans, policies.

Monitor, evaluate and improve

• Neither risk management nor client care are one-off exercises.

• Constantly monitor and evaluate performance.

• Measure results, seek feedback, and continually improve.

Mistakes rarely lead to claims but delay, poor communication, poor administration and poor supervision can cause just as much harm – in terms of client dissatisfaction – as a claim.

Common risk management techniques can be applied to client care and service:

Technique Considerations

Initial risk assessment

Identify problems that might arise during the matter and implement arrangements to eliminate or manage them.

Risk template Document the common service risks that could occur in each type of matter and compare new clients/matters to this template.

Delay and missing deadlines

• Diary, reminder and bring-up systems.

• File inactivity checks.

Supervision and file audits

• Oversight of communication with clients.

• File audits to check on client communications.

Effective first meetings

• Understand and manage the client’s expectations.

• Agree who will do what and what the solicitor won’t do.

Informative client agreements

• Provide all relevant information and make sure the client understands it.

• Encourage the client to raise questions or concerns.

Checklists What has been missed? What is being assumed?

Updates Keep the client informed and involved.

Manage complaints Address client dissatisfaction quickly and efficiently in-house before the client makes a formal complaint, leaves or sues.

Seek feedback Always listen and seek feedback – both informally, and through formal arrangements like client satisfaction surveys.


6.3. Researching client satisfaction Measuring client satisfaction can have a number of benefits:

• It gives clients a chance to voice their concerns and the practice a chance to address them, before clients feel forced to complain or move on to another legal advisor.

• It sends a message that clients’ opinions are valued.

• It might provide positive feedback, which can be used to help with staff morale and motivation, and marketing.

• It provides valuable information about where efforts are required to improve your service.

There are a number of ways to measure client satisfaction and a number of decisions to make. Interviews are more suited to high-value key clients, and postal or online surveys more suited to high volume-low value clients. A mix should identify all relevant service issues.

6.3.1. Annual or ongoing? Paper or face to face?

Ongoing feedback can be collected by including a feedback form with the bill at the end of the matter or sending a link to an online survey. This collects a lot of data on a regular basis, so problems and trends can be identified. Feedback forms can also be used for annual surveys, to give a snapshot of client perceptions on a year-by-year basis. An example client feedback survey is in Appendix 1.

Generic paper surveys can fail to address specific concerns of specific clients. Annual face-to face interviews allow more probing questions. They are also useful as an exercise in managing specific client relationships, and to give information on any areas of service that are particularly important for each client.

6.3.2. Who should conduct interviews?

Independent researchers or consultants are prohibitively expensive but produce more honest and open feedback than if the client were talking to their main contact. Independent interviewers may not have sufficient knowledge of the practice or work type to fully understand the issues.

An alternative is to use an interviewer who knows the work type and the practice, but is not directly involved in the service delivered. This could be another partner or a support manager.

6.3.3. The killer question

The most useful question by which practices can track or assess their levels of client service is:

“Would you be happy to refer us or recommend us to a friend or colleague?”

Followed by:

“If you have answered no to the above question, please give details of your concerns or outline how we could improve.”


The answers provide a measure of the practice’s success in improving client care and identify the most important issues to address. Monitoring the percentage of clients that would be happy to refer them to someone else, not just for the practice as a whole, but for each team, practice area and individual, is a useful tool for tracking progress. A practice that is serious about client service should be aiming for no less than a 95% success rate.

6.3.4. Why do clients leave?

Seeking feedback from departing clients might be uncomfortable or embarrassing, but it provides valuable information that existing clients – who can be expected to be at least reasonably satisfied – cannot.

Once it becomes clear that a client has been lost, try to learn why the relationship broke down. This will be valuable for maintaining other client relationships, and could be the first step towards winning a client back.

6.3.5. Overcoming objections to seeking client feedback

At a strategic level, the advantages of seeking client feedback are obvious. Solicitors are natural pessimists and perfectionists, and avoid the slightest chance of negative feedback. This table details common objections from solicitors on the topic of client feedback, together with ideas for gaining commitment.

Common objections to seeking client feedback

Possible responses

“It suggests that we think we have problems with client service.”

• Research shows that clients rarely infer or assume poor service from a request for feedback. On the contrary, most believe that asking for feedback is an example of commitment to client care and a sign of good service.

• If in doubt as to your client’s response, explain the reasons for the survey – perhaps as a means of improving what is probably already good.

“Solicitors do not like or cope well with criticism and do not want to admit to or recognise problems.”

• Make it clear that negative feedback will not be used to blame or criticise individuals, but to identify systematic failings that can be addressed through new arrangements or activities.

• Whilst criticism might be difficult to cope with, the majority of practices who embark on client research are pleasantly surprised how much feedback is positive.

• What is worse: a bit of criticism or losing a client because dissatisfaction was not addressed?

“It seems like selling.”

• Do not try to cross-sell services when trying to understand client views on service performance.

“It is unprofessional.” • Clients are used to companies seeking feedback and may even do it themselves. Most clients welcome any efforts to improve service.

• It is only ‘unprofessional’ in that it moves away from perceptions of professionals as aloof, arrogant or unresponsive to client needs.

“I’m too busy.” • Emphasise the long-term benefits of client feedback.


6.3.6. Other indicators of client satisfaction

Seeking direct feedback is one way of measuring client satisfaction. Consider combining client feedback with ‘harder’ statistics that also give a measure of client satisfaction:

• Number of complaints (formal or informal).

• Rates of client retention.

• Number of referrals.

• Speed of payment.

• Recovery rate (% of work-in-progress finally recovered).

If statistics show a trend in the wrong direction, it is likely that client care and client service issues need to be addressed. None of the hard statistics identify the specifics of client dissatisfaction, so they are not an alternative to directly seeking client feedback.

6.4. Handling client dissatisfaction Someone must take responsibility for analysing feedback, communicating the results as required, and addressing arising areas of concern. Failure to address weaknesses or areas for improvement identified by clients can lead to further dissatisfaction.

• Does anyone need specific training?

• Is training required on any specific elements of your service?

• Do you need to improve your office systems and procedures?

• Do you need to manage client expectations if they are unrealistic?

Feedback can also be used in performance management. No-one likes to see negative feedback about their levels of service, so discussing client feedback with the fee-earner involved can bring dramatic improvements in performance.

6.4.1. Handling complaints

Even with effective client care arrangements, there will be occasions when things go wrong. Complaints take up valuable time, can be difficult and expensive to resolve, and can damage your practice’s reputation. They are also vital sources of information, and can be turned into a positive if addressed promptly to the client’s satisfaction, particularly if their expectations are exceeded in the process.

A complaints handling process should:

• define what a ‘complaint’ is

• include a complaint handling policy and procedure

• be circulated to all staff so that anyone a client speaks to can provide information about complaints

• identify one person with ultimate responsibility for handling complaints. Ideally, this would be a senior person with authority to settle complaints

• allow the practice to identify the root cause of a complaint and design processes/ procedures to ensure that it doesn’t happen again


• mandate a review of all complaints information at least annually, and foresee the introduction of new client care or risk management arrangements to address areas of weakness.

Consider whether information about the complaints procedure should be offered at the start of the matter. Too much detail might lead to negative perceptions about the likelihood of a complaint. Mentioning that there is a complaints process is sufficient, along with details of how to learn more if required.

One of the key issues is the definition of ‘complaint’. A broad definition (for example, ‘any client dissatisfaction, however expressed’) will gather a lot of information, but will the practice be able to effectively handle so many complaints? A narrow definition might mean that client dissatisfaction goes un-recorded and un-addressed.

Workable definitions of ‘complaint’ include:

• any expression of client dissatisfaction that can’t be resolved immediately

• any expression of client dissatisfaction that, if unresolved, could lead to negative word-of-mouth, loss of client, a complaint to the LSC or a claim

• any expression of client dissatisfaction in writing.

The most effective complaints handling procedures recognise and define ‘complaint’ broadly. This facilitates early formal resolution, eliminating the risk of a more serious complaint or any other client dissatisfaction. A broader definition of ‘complaint’ will also provide more information with which to identify areas for improvement. It is at least as important to get the attitude right as it is to implement effective procedures.


Do: Don’t:

• Be positive, open minded, honest, friendly and sympathetic.

• Be consistent in your handling of complaints.

• Contact the client as soon as possible after the complaint, and tell them what steps are being taken.

• If the complaint is justified, be ready to make a serious offer.

• Think about the costs in time and lost good-will of fighting a complaint.

• Say sorry: sometimes this is all the client wants to hear.

• Make all staff aware of things that have gone wrong and how they should avoid similar problems in the future.

• Learn from the complaint and make changes to eliminate repeats.

• Be aggressive, defensive, combative or patronising.

• Reject the complaint without good reason.

• Forget clients are critical to the success of the practice.

• Let a complaint go unresolved – an unresolved complaint could become a formal complaint to the LSC, or even a claim.

Help to control defensive or adversarial instincts by assisting solicitors in their complaints handling through training, and developing a ‘no-blame’ culture.

6.5. Complaints and role of the LSC

6.5.1. The LSC

The LSC is an independent statutory body created by the Legal Profession Act 2004, which commenced on 1 July 2004. It was repealed and replaced by LPA 2007 on 1 July 2007, which gave LSC additional powers and responsibilities.

The LSC’s core business is to:

• receive and deal with complaints about solicitors, barristers and law practice employees

• commence investigations on its own initiative when it suspects solicitors, barristers and law practice employees have acted improperly

• audit incorporated legal practices to help them develop and maintain ethical workplace cultures

• initiate disciplinary or other regulatory action as appropriate

• communicate what it learns as it goes about its work, contribute to related policy discussion, and undertake relevant and practical projects and research.

Further information on the work of the LSC can be found on their website at lsc.qld.gov.au.


6.5.2. Complaints and avoidable complaints

Statistics about complaints are published in the LSC Annual Review 2012-13, available from lsc.qld.gov.au; the tables are reproduced in chapter 3.4 of the Risk and Compliance unit.

The LSC also records whether complaint respondents could have done something to pre-empt or avoid the consumer dispute or conduct matter.

For 2012-13, the LSC assessed 71.5% of complaints to be avoidable. In these cases, the complaint might have been avoided if the respondent performed better in the following areas:

• Work practices (33%)

• Communication (24%)

• Costs (22%)

• Trust accounts (8%)

• Conflict of interest (4%)

• Timelines (3%)

Unavoidable complaints (30%) included:

• Complainant had unrealistic expectations or made unreasonable demands (26.2%)

• Complainant misunderstood obligations of solicitors acting on the other side (12.83%)

• Complainant had ulterior motives (10.7%)

• Complaint was baseless and could not have been avoided (9.83%)

• The ‘problem’ is inherent in the adversarial system of justice (4.81%)

• Complainant wouldn’t take advice (2.67%)

• Other reason (33.16%)

It is likely that better communication and related risk management, including deciding to decline instructions will mitigate against the risk of unrealistic expectations or misunderstood obligations in some cases.

Although there is some overlap in these percentages, the message is clear: the majority of complaints can be avoided by greater individual and practice focus on client communications, management of costs and investment in work practices and systems.

6.6. Responding to LSC investigations Refer to the LSC factsheet Responding to a complaint available from lsc.qld.gov.au, from which parts of this text are taken.

The respondent is informed in writing when an investigation is commenced into a conduct complaint or an investigation matter. Often a prompt and detailed response will assist the matter to a swift conclusion.

An investigation being commenced does not imply that the complaint is justified or that there has been any impropriety on your part. The first written notice is not an accusation but a request for the respondent’s side of the story. It is therefore suggested that respondents:

• do not get angry or defensive

• do not ignore letters or phone calls from the LSC

• respond as fully and frankly as possible within the stated timeline

• remain courteous at all times

• contact the LSC if they have any doubts as to how to respond.


LPA 2007 requires respondents to provide the LSC with ‘reasonable help’ throughout the course of the investigation. It also states it is an offence to “obstruct an investigator in the exercise of a power (without) a reasonable excuse”.

6.6.1. QLS free legal advice service

QLS provides access to a free, confidential legal advice service for members who are the subject of a complaint investigation or trust account matter. This provides expert advice free of charge for up to six hours from an experienced solicitor with extensive knowledge of professional standards issues.

QLS has six experienced solicitors on the Free Legal Advice Panel available to help. Fees will be paid by QLS for the first six hours. The member seeking advice retains the panel member and usual duties of client confidentiality apply.

Contact details for panel members are available from qls.com.au or 1300 367 757.

6.6.2. Seek a quick resolution

Resolution may be as simple as offering an explanation, an apology, negotiating an account reduction or negotiating a plan for paying by instalments. A speedy resolution to the matter is preferable to a long, time-consuming battle.

6.6.3. Demonstrate a commitment to address issues and show ‘no public interest’

The LSC has the power to dismiss complaints if it believes that the disciplinary issue is of a minor kind only. The public interest is not served by initiating disciplinary proceedings in relation to careless but honest mistakes and poor standards of service if the solicitor involved has done all they reasonably can to put things right with the complainant, including taking remedial action to prevent making the same mistake again.

Many complaints are dismissed on this basis.

QLS’s Practice Support department can assist members in implementing arrangements to avoid future complaints and thus help in reassuring the LSC on the issue. For more information, visit qls.com.au or call 1300 367 757.

6.7. Review: key points • Poor service risks can be managed like any other – by implementing arrangements to

address specific concerns and limiting the likelihood or impact of poor service.

• Identify – assess – manage – evaluate and improve.

• Client satisfaction research provides valuable information about where to focus efforts to improve client service.

• Include the killer question “Would you be happy to refer us or recommend us to a friend or colleague? If not, please give details of your concerns, or outline how we could improve.”

• Be prepared to battle resistance from colleagues in implementing client satisfaction surveys.

• Research lost clients as well as current clients.

• Monitor other measures of client satisfaction such as retention rates, referral rates and recovery rates.


• Most complaints are avoidable if practices invest in client communications, work practices and systems, and costs and billing arrangements.

• If your practice is subject to a complaint investigation from the LSC:

• do not get angry or defensive; remain courteous

• consider using QLS’s Free Legal Advice Service

• look for an opportunity to resolve the matter quickly

• demonstrate a commitment to address service concerns.


7. Making it happen 7.1. Introduction

This unit doesn’t have all the answers for improving client care, service and communication – more ideas will come from your own staff and clients. It has stressed the point that good service and effective communication are not individual attributes only: they can be developed or enhanced through a best practice approach.

7.2. What to do next Consider these suggestions for ensuring that efforts to improve client service are effective.

7.2.1. Get the basics right

The three most important tools in the client service toolkit are:

• the first meeting

• the client agreement

• updates and ongoing communication.

7.2.2. Agree, communicate and keep focused on your objectives

The main objective is to improve client service, and the chances of success will be improved the better these questions can be answered:

• Why?

• How?

• By how much?

• By when?

• How much will it cost?

• What will success look like?

• Are there any related objectives?

• How will this affect profitability? Recruitment? Retention? Fees?

Objectives should be SMART (Specific, Measurable, Achievable, Resourced and Time-based). Do not expect to reach agreement on SMART objectives at the start of the process, but you should be able to gain agreement on the general direction. This will involve being able to discuss some of the anticipated costs and benefits of any plans.


7.2.3. Define responsibility

Client service initiatives lose momentum unless responsibilities are defined. Identify one person or appoint a committee to drive the process – for the practice as a whole or each team. Responsibilities could include:

• communicating objectives

• devising and implementing strategies

• implementing the required changes to management systems and administrative processes

• managing the process of seeking and interpreting client satisfaction feedback.

Ideally, the leader would be a senior or authoritative person who can lead by example. Delegation to a junior person can indicate that the initiative is a low priority for partners or management.

7.2.4. Initial and ongoing client research

Find out what clients think of the practice, what they see as the strengths and weaknesses of the current service and how they think it could be improved. Wherever possible, make research qualitative as well as quantitative, and track progress over time and between teams or individuals.

7.2.5. Maintain the profile

Too often service initiatives lose momentum under the demands of fee-earning. Combat this risk by:

• making service and communications a permanent agenda item at all management team meetings, team meetings, or individual supervision meetings

• posters, screensavers

• ‘service initiative of the month’ awards

• a service orientated ‘employees of the month’ award.

7.2.6. Provide training and guidance

Some people are naturally skilled in service and communication, but skills can nearly always be improved by training. New arrangements, policies or processes are introduced by training and perpetuated by ongoing support. Training and the development of guidance documents should be considered in these areas:

• Handling enquiries.

• First meetings with clients.

• Accurate estimating and managing expectations.

• Client agreements/costs disclosure.

• Updates and avoiding client perceptions of delay.

• Closing files.

No-one should be considered above or below this training.


7.2.7. Review high-level management policies and arrangements

Changing behaviour so as to improve client service can mean changing the policies and understandings about how the practice works. Consider whether changes are needed in areas such as recruitment, performance management, promotion and remuneration.

7.2.8. Systems, arrangements, processes, procedures and work practices

With high-level management policies in place, practices should concentrate on the administrative systems and habits that can affect clients’ perception of service.

Consider each identified activity, and ask:

• How can this be improved to enhance client satisfaction?

• Is there any risk of error, oversight or other failing in this arrangement that could cause client dissatisfaction?

7.2.9. Supervision and performance management

Supervision and performance management are too often focused almost exclusively on the discussion of specific legal points, or on productivity as measured in billable hours. To improve risk management and client care, widen this narrow focus and actively supervise client communication and client service.

7.2.10. Effective complaints handling

Complaints are good. Impressing the client by handling the complaint efficiently and fairly and changing the client’s perception of your service are the optimum outcomes of complaints. They also provide vital information about how to improve service. These tips help you get the most out of your complaints handling process:

• Define ‘complaint’ broadly.

• Appoint a complaints-handling contact with authority to settle complaints and lead the appropriate change.

• Train staff about the complaints handling process so they can advise clients.

• Be ready to say sorry and make amends.

• Avoid a blame culture and look for a solution to ensure that the same mistakes don’t happen again.

7.2.11. Fight complacency and review performance

Delivering excellent client service requires much more than meeting professional obligations and avoiding complaints. Don’t become complacent about successes.

Seek and respond to client feedback. Measure progress against selected indicators, and implement arrangements to ensure changes are made.


Client service performance indicators:

• Claims information.

• Complaints information (both internally and to QLS/LSC).

• Client satisfaction surveys.

• Annual client reviews.

• Staff views.

• Views of other stakeholders.

• Client retention rates.

• Referral rates.

• WIP recovery rates.

• Speed of bill payment.

• Media mentions.

Review performance and respond:

• Regular review of all client service performance data.

• Regular audits or reviews of practice’s management systems.

• Client service best practice agenda item at relevant meetings.

• Client service data discussed at performance appraisals and supervision meetings.

• File audits include client service focus.

• Develop and amend practice management systems.

• Training as required for communication and service skills.


7.3. Summary: Dos and don’ts of client care

Do Don’t

Client care and value

Invest in client care as an effective business development tool.

Don’t underestimate the importance of service delivery or a satisfied client.

Agree and implement a cohesive client care strategy.

Don’t assume client care is limited to ‘being nice’ to clients.

Add value by raising service standards. Don’t assume value means only doing good work or keeping fees low.

Focus on client care as an area for continual improvement.

Don’t become complacent about client care.

Provide a quality service, in line with the client’s requirements.

Don’t run up costs by providing services the client didn’t ask for.

Treat every client as though they are the most important.

Don’t limit attentions to your most profitable clients only.

Client care and practice management

Focus on all areas of practice management to facilitate better client care.

Don’t assume that client care is solely the responsibility of individuals.

Managing expectations

Understand client requirements and expectations as fully as possible, particularly with regard to costs and timescales.

Don’t assume that all cases are the same, or that everything important is known. Don’t ‘tell’ the client what they can expect.

Discuss client expectations and explain when and why some projects might take more time or money.

Don’t over-promise or be too ambitious when giving estimates.

Provide estimates within a range of figures and explain the circumstances that might lead to delay or additional costs.

Don’t quote rigid estimates that you might not be able to keep to.

First meeting

Ask questions to ensure all the required information has been collected.

Don’t give the impression that the client has nothing to offer.

Put the client at ease. Don’t patronise or intimidate the client.

Set aside enough time. Don’t allow interruptions.

If you plan to delegate, bring the person who will do the work into the first meeting.

Don’t give the client the impression that the work will not be delegated.

Advise the client about any costs relating to the first meeting.

Don’t allow client concerns about whether the ‘clock is ticking’ to hinder effective communications.

Advise the client about the cost/benefit merits of any action.

Don’t assume the client is aware of all the costs and consequences.


Do Don’t

Decline instructions if necessary. Don’t assume the client is aware of your specialities.

Discuss the client’s requirements about communication.

Don’t assume you know everything about how to communicate.

Client care and client agreements

Confirm instructions and understandings in writing.

Don’t assume that repeat or return clients don’t need retention letters.

Advise the client of service standards. Don’t fail to live up to quoted service standards.

Complaints handling

Be friendly and empathetic. Don’t be aggressive, defensive, combative or patronising.

Be positive, open minded and honest. If the complaint is justified, be ready to make a serious offer.

Don’t reject the complaint without good reason.

Think about the costs of continuing to fight a complaint.

Don’t forget clients are the practice’s livelihood.

Measuring client satisfaction

Seek regular feedback. Don’t fail to act on the information to improve services.

Cultural issues

Offer training on client care and communication skills.

Don’t assume that client care skills occur naturally, are unnecessary or can’t be learned.

Change the culture of your practice to facilitate higher standards of client care.

Don’t assume that client care is solely the responsibility of individual fee-earners.

Fees and costs information

Offer flexibility of fee structures. Don’t stick rigidly to the hourly fee.

Offer to discuss fees at the outset. Don’t wait for the client to raise the issue of costs.

Update the client with regular interim bills and revised estimates.

Don’t shock the client with unexpected bills at the end of the matter.

Client communication

Discuss the client’s requirements about communication.

Don’t assume you know everything about how to communicate.

Include and involve the client. Don’t assume the client has handed over all responsibility.

Update the client as agreed. Don’t run up costs by over-communicating.

Listen attentively to the client. Don’t interrupt.


Do Don’t

Tailor conversation to the understanding of the client.

Don’t use legal or technical jargon.

Speak in short, manageable chunks. Don’t bore the client with convoluted reasoning.

Invite comment and feedback. Don’t lecture.

When writing, use short words and short sentences to improve readability.

Don’t hide information in long streams of text.

Be proactive in the communication. Don’t wait to be chased for information.

Advise the client of the best times to make contact.

Don’t use a gatekeeper.

Respond to enquiries promptly. Don’t delay communications just because matters have not progressed significantly.

Help the client understand the things they need to understand.

Don’t assume that information is understood.


8. References Douglas, E., The Entrepreneurial Opportunity: MBA Study Guide, University of the Sunshine Coast, 2008.

Levy, S., Legal Project Management: control costs, meet schedules, manage risks and maintain sanity, DayPack Book, Seattle, 2009.

Maister, D., Green, C. & Galford, R., The Trusted Advisor, Free Press, New York, 2000.

CXINLAW, Perfecting Customer Experience in Law Firms, www.cxinlaw.com, 2012.


Appendix 1: Sample complaints handling procedure To be adapted to suit your own practice culture and arrangements.

Our complaints policy

We are committed to providing a quality service and strive to continually improve service standards for all our clients.

To help us identify areas for improvement, we need you to tell us when something goes wrong, or if you have any concerns about our service.

If you have a complaint

If you have a complaint, please contact [ ], our nominated client care officer, at [give contact details] and provide them with the details of your complaint. This information can either be provided in writing or through an interview with either the client care officer, or through a solicitor known to you, depending on your preference.

What will happen next?

1. We will send you a letter acknowledging your complaint and asking you to confirm or explain any details. If it seems appropriate, we will suggest a meeting at this stage. We will also confirm the name and status of the person who will be dealing with your complaint.

2. We will then open a file for your complaint, record your complaint in our central register and investigate your complaint by examining the relevant file(s).

3. If appropriate, and usually within [14?] days, we will then invite you to discuss your complaint. If you would prefer not to meet, or a meeting is inconvenient, we will write confirming our approach to the complaint, and any redress we feel to be appropriate.

4. Within two days of any meeting, we will write to confirm any agreements and, where appropriate, offer an apology, reduction in bill or a repayment.

5. At this stage, if you are still not satisfied, please let us know. We will then arrange to review our decision within [10?] days. The review might be conducted by:

(a) someone in the practice who has not been involved in the complaint

(b) a senior partner.

We will give details of any review and the timescales involved.

6. We will let you know the results of the review within [5?] days of its completion. At this time, we will write to you confirming our final position on your complaint and explaining our reasons.

7. We will also give you contact details of the Legal Services Commission. If you are still not satisfied, you can contact them about your complaint. We very much hope this will not be necessary.


Appendix 2: Sample client feedback survey As part of our commitment to providing high quality service to clients, we conduct a client satisfaction survey.

Tell us about any improvements we can make in our service. Your comments are important to us and can be provided anonymously.

Please take a few minutes to complete and return the form. A reply paid envelope is enclosed.

Thank you for your help. We look forward to providing you with the highest standard of service in the future.

Q1 Which solicitor did you see?

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Q2 Tell us about our service.

Factor Very good Good Average Below average

Listening to your concerns and understanding your needs.

4 3 2 1

Being able to explain information and advice clearly.

4 3 2 1

Providing clear, accessible documentation. 4 3 2 1

Keeping you informed of developments. 4 3 2 1

Keeping you in control of the matter. 4 3 2 1

Costs communication, including initial costs discussion and estimate, any subsequent updates.

4 3 2 1

Q3 Do you have any suggestions for ways your solicitor or the practice could improve service?

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Q4 How would you rate your solicitor’s support staff on these factors?

Factor Very good Good Average Below average

How quickly they responded to your requests 4 3 2 1

Handling your queries or requirements 4 3 2 1

Responding to telephone calls quickly 4 3 2 1

Q5 Are you satisfied with services provided for fees paid? Yes / No

Comments......................................................................................................................................

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Q6 Would you consider recommending this practice? Yes / No

Comments......................................................................................................................................

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Q7 Please provide any other comments you would like to make on the service you received.

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If you would like us to follow up any suggestions with you personally, please include your name and contact details (optional).

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