For small law firms and solo practitioners, a significant portion of malpractice risks can be traced back to poor client intake procedures. Taking on cases without proper vetting, ignoring potential conflict signals, or failing to clarify the scope of representation at the outset can create a breeding ground for future disputes and malpractice complaints.
As an attorney and someone who advises clients, you know that a strong intake process is the first and best opportunity to avoid trouble. Here’s a closer look at how effective client intake procedures can help reduce liability.
Client Intake Matters
Client intake isn’t just administrative; it’s a key risk mitigating tool. A well-structured process lets lawyers:
- Identify and resolve conflicts of interest before representation begins.
- Screen cases for financial viability and legal merit.
- Confirm the client’s goals and expectations, reducing the likelihood of future dissatisfaction.
- Consider whether the representation falls within the firm’s expertise and resources.
Best Practices for Small Firms
Implementing clear procedures from the outset can make a huge difference in avoiding future problems. Here are a few best practices you should advise your firm and your clients to follow:
- Conflict Check – Before signing a new client, perform a thorough conflict check against a database of current and former clients, opposing parties, and related persons. Small firms often rely on memory or spreadsheets, instead of a reliable conflict checking system.
- Client Questionnaire – Using a standardized intake form to gather key information, such as a brief description of their legal issue, and the names of related parties. This can streamline conflict checks and legal evaluations.
- Scope of Representation Letter – Once the engagement is accepted, provide a clear, written engagement letter that specifies:
- The scope of representation
- The basis of fees and expenses
- The responsibilities of the client and the lawyer
- The anticipated length of representation
- Screening Criteria – Small firms should develop criteria to determine whether a prospective matter falls within their expertise and resources. If a case is overly complex, outside their practice area, or simply a poor match for their capabilities, it’s often wiser to refer it elsewhere.
The Attorney’s Role in Risk Reduction
Attorneys play a key role in creating and maintaining strong intake practices. By developing templates for conflict checks, questionnaires, and engagement letters – and ensuring they’re consistently used – you can help instill a culture of diligence and risk awareness within your firm.
Training support staff and junior attorneys to follow intake protocols precisely can further reduce errors and improve efficiency across the board.
First Indemnity’s Take
As a leader in professional liability insurance for attorneys, First Indemnity recognizes that effective client intake is one of the most powerful ways to mitigate malpractice risk. Firms that adopt and maintain strong intake procedures are far better positioned to avoid client dissatisfaction, financial disputes, and legal claims.
By helping your firm establish clear, documented, and repeatable processes, you’re not just reducing liability – you’re building the foundation for a stronger, more resilient practice. First Indemnity specializes in providing tailored professional liability insurance for attorneys and accountants. Let us help you find the right coverage at a competitive price.