Managing Client Expectations

Steve Schwartz

By Steven H. Schwartz

As published in the August 2024 edition of Missouri Lawyers Weekly

Only unsatisfied clients sue their lawyers for malpractice. One way to avoid malpractice is to avoid unsatisfied clients. That seems obvious, but it is easier to say than to do. Lawyers cannot guarantee results, but they can manage client expectations so that the client is not surprised by the result. Avoiding surprises is one way to avoid an unsatisfied client. Here are some suggestions for managing client expectations:

• Clear Communication:  At the start of the relationship, make sure the client understands the legal process, potential outcomes, and associated risks. Explain it in lay terms and avoid legal jargon. Confirm your explanation in writing. As the case moves forward, provide regular updates in writing.
• Active Listening:  Pay attention to the client’s concerns and questions. Ask lots of questions to delve into the facts of the case. Consider the client’s emotions, concerns, and personal situation.
• Clarify Goals:  Understand the client’s desired outcome – what the client hopes to achieve. This can change over time, so follow up with the client during the case to make sure they are still on the same track.
• Set Realistic Expectations:  Provide an honest and objective analysis of the strengths and weaknesses of the case in writing. Talk about the best- and worst-case scenarios. Don’t over promise!
• Discuss Fees Upfront with Transparency:  Clearly communicate fee structures, expected costs and when payment will be expected.
• Manage Timeframes:  Legal proceedings can often take longer than expected.  Be clear about potential delays and explain the reasons behind them.
• Be Proactive:  Anticipate potential challenges and develop strategies to address them.  Present alternative solutions and strategies when possible.

Dealing With an Unexpected Result

Despite your best efforts, unexpected results can happen, and your client may become disenchanted with the process. An unfavorable and unexpected result can quickly change a client’s outlook on the case and on your work. Consider the following suggestions for communicating with your client about an unexpected result:

• Prepare for the Conversation: Before meeting with the client, review all the details of the case and the reasons for the unfavorable outcome. This will help you provide a clear and accurate explanation.
• Be Honest and Direct: Clients appreciate honesty. Clearly explain what happened, why the result was not favorable, and any factors that contributed to the outcome. Avoid using legal jargon.
• Show Empathy: Acknowledge the client’s feelings and frustrations. Let them know you understand their disappointment and that you are there to support them through the process.
• Provide Context: Explain the broader context of the case. Sometimes, understanding the complexities and challenges involved can help the client see that the result was not due to a lack of effort or competence on your part.
• Discuss Next Steps: Outline any possible next steps or options available to the client, such as appeals or alternative solutions. This can help the client feel more in control and hopeful about the future.

What if You Did Something to Cause the Unfavorable Result?

• Acknowledge fault if appropriate: If you believe that the bad result was caused by a mistake you made, be upfront with the client about that. Determine whether continuing to represent the client presents a conflict of interest and offer to help the client find new counsel if that is their choice.
• Assess the impact of the mistake: Evaluate the severity of the mistake and potential impact to determine if the error can be corrected or if the result would have been different absent your mistake.
• Don’t charge for corrective action: If the mistake can be corrected, offer to do so without charge, if you are able to do that.
• Document everything: If you are communicating with your client about a mistake you made, or that another lawyer made, it is especially important to document all your conversations with the client because they may already to be planning to file suit.  If the relationship becomes adversarial, keep in mind that the client may be recording your conversations to see if they can get an admission from you.
• Report the issue to your insurance carrier: Even if you are not sure whether your mistake amounts to malpractice or even if you think the mistake can be cured, report it to your insurance carrier as soon as possible. Insurance companies will not usually hold it against you if you report a claim or potential claim that does not result in a substantial payout in defense costs or indemnity payments.

A client that is fully informed and warned in advance about possible unfavorable results is less likely to sue for malpractice.  Clients who are not prepared for bad news are more likely to blame their lawyer for an unfavorable outcome.

Steven Schwartz is a principal at Brown & James in St. Louis who has defended lawyers in legal malpractice cases, malicious prosecution cases and ethics complaints for more than 30 years. He can be reached at sschwartz@bjpc.com. The views expressed in this article are not intended to be taken as legal advice.