by Jim Calloway
OBA Management Assistance Program
(Originally published Oklahoma Bar Journal March 7, 1998 – Vol. 69; No. 10. Reprinted with permission.)
Note: I’m going to spend the next few days republishing some posts and articles that are difficult to locate and still have some value. I note that this article, originally published in 1998 when I had been on this job less than a year, does not even mention email. I did not update it. Hopefully I caught all the PDF to Word conversion errors. But all the lessons it contains are equally applicable to digital communications with clients today. I’m partial to this one as it was where I announced my formula for the four parts of a File Closing Letter, which is still important today. I kept several references to WordPerfect. Since the piece is so long, I did have ChatGPT create some retro graphics to accompany it.
Most lawyers find themselves in a constant search for new and better forms. We all understand that a good form library can save time and increase practice efficiency. Lawyers typically have outstanding form libraries for pleadings, contracts or other documents that they regularly produce.
Sometimes less thought is given to the forms that most directly affect our client’s perception of our representation--direct communication to the client. Effective use of templates, macros and other document assembly techniques can allow you to greatly improve communications with your client while at the same time streamlining operations and the time it takes to produce these letters.
This is not to suggest that all clients should be treated the same way or that the attorney client relationship can be handled by a series of form letters and documents. What is suggested is that there is a certain sameness to many of the things attorneys do each day. Automating these tasks leaves more time available for individualized attention to clients and their needs.
“Form” communication letters with the clients can be designed with few variables. These are perfect opportunities to create your first word processing templates. With a little thought and effort, a creative lawyer can determine where many “form letters” will assist in improving client communications. Use of a template allows one to create a “form letter” that looks like it was personally drafted for the client. Many lawyers experience the frustration of having to tell clients the same information repeatedly. This will always be a problem because many clients are under some degree of stress or emotional pain when they are initially discussing a case with their lawyer. Further, we all know that retention from orally material is never perfect. Clients are often dealing with unfamiliar terms and concepts. Good form letters can reinforce the advice or instructions given to the client and allow the client a handy reference guide when there is some confusion.
Some attorneys make use of an engagement letter when they begin a new matter for a client. Often, these engagement letters are really an attorney-client contract with a copy for the client to sign and send back. Certainly, every case should have a written fee agreement signed by the attorney and the client. But, an engagement letter can also be used to inform and educate the client about the subject matter of the case or the lawyer’s expectations. These letters can also be used to influence the client’s expectations as well.
For example, if you have a busy litigation practice and have difficulty returning client’s phones calls promptly, consider sending every client the following form letter at an early stage in the proceeding:
| N. E. Lawyer 555 Courthouse Row Oklahoma City, OK 73101 1-800-GOOD LAW February 24, 1998 Mrs. Jane Doe 5555 Any Lane Oklahoma City, OK 73112 Re: Doe v. Doe Case No. JFD-97-9990 Dear Mrs. Doe: I appreciate the confidence that you showed by retaining me as the attorney in your case and enjoyed meeting with you on February 1, 1998. I know that you will be completing the written questionnaire I gave you as soon as possible. As I advised you at that meeting, legal assistant Debi Garner has been assigned to be the legal assistant directly involved with your case. The role of a legal assistant is very important in our office. As a litigator, I have many court appearances, depositions and other matters that require my personal attendance. I am therefore sometimes out of the office for days at a time. Sometimes this makes it difficult for me to promptly return my phone calls. That is why I have assigned Debi to monitor your case. When you are unable to talk with me, you should feel free to discuss your concerns with Debi. She will normally be able to answer your questions or promptly get a message to me even though I may be otherwise involved. Very truly yours, N. E. Lawyer NEL/dg Enclosures |
This letter could be the same for every client with only the address, name and RE: clause differing.
Hopefully such an introductory letter and a good legal assistant can serve to avoid potential future communication problems. No form letter can shield against neglect of a client’s case. But, a client’s perception is an important factor. Many times the client could never conceive of the lawyer’s dilemma of receiving literally dozens of phone messages a day. This letter opens the door for the client effectively working with the legal assistant instead of refusing to talk to “just a secretary.”
In truth, the title of this article should have been “Form Letters You, Your Client and Your Malpractice Carrier Will Love.” Form letters can serve as a critical risk management tool. For example, when you are nearing (or past) a discovery deadline, you often cannot proceed without the client giving you certain information. The same could be true for an impending closing, statute of limitations, response to motion or any of hundreds of tasks to be completed. The client promises to have the needed material to you by a certain time. You make a handwritten notation in the file. If there is a later disaster, it could be your client’s word against yours backed up only by your handwritten note.
In that situation, we would probably all agree that a letter should go out to the client documenting the need for the documents.
| Dear Client: On February 27, 1998, we discussed your case. You agreed that you would provide to our office your state and federal tax returns for 1996 and 1997 by March 6, 1998. As we discussed, furnishing this material is very important and failure to provide this information could negatively impact your case. Please contact me immediately if you have any questions. Sincerely, Your Lawyer |
A simple letter such as this not only protects the attorney but also serves as a helpful reminder to the client. It also protects against a misunderstanding such as the client believing only the federal tax returns were required. Yet all too often, these types of letters are not done because of many reasons. The lawyer may believe that the client will react negatively, especially if there is a charge for the letter. In many offices, by the time the letter is dictated, typed, proofread, signed, mailed and delivered, the deadline would have passed. Most of the time it just seems there is not time to do everything that could be done.
In the above letter, the only variables are what the client needs to provide (“your state and federal tax returns for 1996 and 1997”) and the deadline date the client has agreed to provide the information (“March 6, 1998”). All of the rest is a “form letter.”
(Of course, if your office cannot import the client’s name and mailing information into the form document, that must be typed as well.)
Whether this letter and dozens of similar form letters are completed and mailed is dependant on how quickly and easily they can be done. By simple use of macros, templates and other document assembly techniques, this form letter can be launched by a one or two keystroke combination. A data entry box will appear requesting the two variables. Even a non-typing lawyer can peck out the two entries (or six entries, if you add RE clause, name, address and city- state-zip). The letter is printed and signed while the lawyer is still talking to the client on the phone. Another key combination prints the envelope, using the address already on the letter. (Alt-R then V in WordPerfect) The client will be billed for the phone call, of course, but there is no need for an extra billing for a letter produced during the phone call.
The key is for one person in the office to become proficient at creating these templates, mapping the keyboard, recording or programming macros. Then that person installs the forms on everyone else’s computer. Two mouse clicks or one keystroke combination are all that are required to open a list of all the available templates in WordPerfect. One could go even further and program the keyboard so that a single key combination launches a template or macro. Then the lawyers merely must be given a “cheat sheet” listing the key combinations for the form letters: Alt-1 for the client materials deadline letter, Alt-2 For the nonpayment of bill letter, and so forth.
Most attorneys can easily think of a dozen form letters where this technique can easily be utilized. We already have the letters in our offices now.
“Our records show your last month’s statement was unpaid. Please …”
“Your deadline to respond to discovery passed on <date>. If we do not have…. “
“I have left phone messages with your office the last 3 days, but…. “
“I have had no response to my letter of….. “
But, except in unusual situations, 20 or less of these “instant form letters” might be all that would be required to handle most situations.
Efficient use of computers by attorneys involves making common sense decisions. When computers first started appearing on attorney’s desks, there was a strong reaction from some attorneys. “I’m a lawyer, not a secretary …. My secretary can type faster than me…. I can’t use a computer.” were among the common refrains. But, there many situations, where the variables in a document only number five or 10 words, sometimes five or 10 letters. In that case, even the worst typist can complete the project in less time than it takes to interrupt someone else to ask them to do it. It is the job of the most computer literate person in the office, often the legal assistant or secretary, to set up procedures and forms to allow this efficiency.
Another use of form letters is to give your client lengthy explanations, often reinforcing what they have previously been told personally by you in your office. With a word processing program, it is just as simple to send a three-page letter as a four sentence one if you are using a form. Again, the key to effectively utilizing these form letters is to have as few variables as possible. If you are not using templates, or an automated process and are filling in the blanks manually, then another key is to have all the variables in the first paragraph.
For instance, if your client has a court appearance, is it probably always a good policy to send a letter confirming the date, time and courtroom. But is there any other information that could be helpful to the client? There are often several generic instructions regarding proper attire, timeliness, and demeanor in the courtroom. Should the client bring friends or witnesses? Where should the client meet the attorney? Where is the best parking? Again, with a little creativity, the client can be given an extra measure of comfort and information. If you are worried that a more lengthy letter might cause the client to miss the court date information, put the court date in bold or even in a bigger font.
Should urban attorneys consider providing the clients a map to the courthouse? Well, if you practice in the county seat city of a total population of 6000, it probably is not useful. But if you live in an urban area and you and your staff spends any significant time giving directions to the courthouse, it may be a great idea. In private practice, our maps also included the law firm name, address, phone and practice areas. Some clients probably kept the maps longer than our business cards.
With family law cases, this can be particularly advantageous. If you always want your client to bring pay stubs and a tax return to the temporary order hearing, remind them. There are many things that should go without saying but cannot in a stressful divorce case. “Don’t initiate a conversation in the hall with your estranged spouse unless your spouse approaches you first. Don’t ever discuss what I tell you with your spouse. Don’t tell what we plan to do it court. It is fine and appropriate to discuss your child, their needs and scheduling with your spouse.”
Experienced family lawyers often give their clients pages of this material. Why not put it in a letter that looks more personalized? Perhaps the client will be more likely to read and absorb it.
File Closing Letters
One of the most important form letters that attorneys should use is a file closing letter. This form letter can be both an effective marketing and a risk management tool. Consider including the following areas in your form letter.
Point 1: This letter signifies that our attorney/client relationship on this matter is now concluded. Certainly “concluded” is a nicer sounding word that “terminated” with little legal difference. However, many lawyers have difficulty with using this type of language with a client. They hope that they will have an attorney/client relationship spanning the years and involving many matters and hopefully significant attorney’s fees. While to some it may seem controversial, we believe that it is fair that you give notice to your client that you believe that you have nothing further to do on a particular matter. It may be that you are in error and that there are some things that are still undone. This allows both you and the client the opportunity to correct the situation if this is the case. Furthermore, this represents a legal and appropriate method of limiting a lawyer’s liability for claims occurring after the date of the letter when a client may erroneously believe something that does not comport with the lawyer’s understanding.
Point 2: Does the client have to do anything further? Just as the attorney has set forth in the file closing letter that he or she does not believe any further services are required, it is also helpful to note if there are things that the client needs to do to protect the client’s rights. These days many clients attempt to take part of the workload themselves such as a probate case where orders are required to be filed in 15 different counties. It is important to outline things that the client has agreed to do that are not the attorney’s responsibility. Otherwise, years later there will be no record to support the attorney’s claim that he was not responsible for undertaking a certain action. It is not inappropriate at this time to note things that the client may consider doing, even if they involve future legal services by the attorney, such as drafting a new will, initiating a name change with social security, or other matters.
Point 3: File destruction policy. Does your law firm have a file destruction policy and how are your clients notified of that policy? For all too many attorneys, the file destruction policy is “The executor of my probate case will take care of it”. There is no better time to take care of this matter than right when the file is closed and no better way to do it than with a form letter. Five years after the file is closed is a typical time period. But within five years, the client may move out of state or die or otherwise be unavailable. Now while it is fresh on everyone’s mind, consider handling the situation by stating: “Our policy is to destroy old files after they have been in storage for five years. You will receive no further notification before destruction. If there are any original documents from the file that you have not already received back, please make arrangements to pick them up immediately.” This may seem a bit formal and that is why we suggest that this language not lead your file closing letter. But it beats trying to locate clients years down the road or paying to store every file that you have ever worked on forever. You can then confidently mark on every closed file box “Destroy after 1/1/2004.” If you want to tell your clients five years, but actually wait six years, that might be a prudent business move. The key is to decide on some date, not less than five years after file closing.
Point 4: This is your last chance to sell yourself. Many attorneys are uncomfortable with marketing themselves. But there is no better way for an attorney to get clients than through the referral from other satisfied clients. There is no better chance to remind satisfied clients of the many services you provide than in the file closing letter. If a client is less than satisfied, this may not be as effective. But even in that case you will never have another opportunity to at least attempt the effort. There are far worse statements to make than “I helped you once and would be willing to help you again.” Even the most simple statement can suffice. “We appreciated the opportunity to assist you with this legal matter. Our law firm also handles antitrust litigation, complex environmental matters and international law.” We, perhaps you do not handle such things, but you know what matters that you do handle. List all of your practice areas.
Most lawyers have decided that the law is so complex that they must limit their practices to certain areas. Once result of that may be that a certain repetitiveness and lack of creativity creeps into the practice. Having four new bankruptcy client interviews in an afternoon may be a positive monetary experience, but also may not be as intellectually stimulating and interesting as having four new client interviews in four different areas of law. We all find ourselves saying the same thing over and over again to different clients. Maybe some of the techniques and ideas contained here will at least free us from telling the same thing over and over again to the same client. Most of our clients will no doubt appreciate the additional information as well.
I close with a few suggestions for you to begin drafting your own form letters to clients.
Payment of attorney’s fees by third party
This notice is given to you because you are paying a fee for one of my clients. Both my client and I appreciate your assistance in their hour of need. However, because there could be some confusion about this arrangement, I wanted to make several items clear in advance.
- Once these funds are transferred to me for the use and benefit of my client, then the source of the funds is no longer relevant. Their disposition and use will be controlled by the signed attorney client agreement and the directions of my client.
- Any refunds of fees paid will be made to my client.
- All decisions regarding handling of this matter will be made exclusively by my client in consultation with me.
- If you need information about the status of this matter, you will need to obtain that from my client, not directly from me.
- The attorney-client privilege is a critical important protection. Having a third party in the room when confidential and privileged matters are discussed could destroy the attorney- client privilege. Therefore there will be many times when I am required to meet with my client alone, or only with my staff.
- Absent unusual circumstances, I would only meet with you to discuss the pending matter with the agreement of my client and in the presence of my client.
Please do not take the direct tone of this document as disrespectful or an attempt to minimize your important role in my client’s life. This is all done to protect the client and to make certain that they receive appropriate representation.
Joe Carefullawyer
Receipt of this document is acknowledged on this day of , 20 .
Thirty Day Letter
Dear
In reviewing our accounts receivables I noticed that we have not received your payment in the amount of $ for invoice # , dated .
I am sure this is just an oversight on your part. If, however, you have a problem with the service we have provided, please contact me immediately so we can discuss the matter.
If I do not hear from you I will assume that you have no difficulty with the service or with paying the invoice and will look for payment by (Date).
Sincerely yours,
Solo Law Firm
Sixty Day Letter
Dear
It has been thirty days since my last letter and we have not heard from you regarding payment.
According to our fee agreement, all invoices must be paid within 30 days of receipt of the invoice. If we are to continue to provide you with a high level of service, it is critical that our invoices are paid timely.
Please contact me immediately if you have any problems with the payment of this invoice. If I do not hear from you, we will expect full payment by (Date.)
Sincerely yours,
Solo Law Firm
Ninety Day Letter
Dear
I have not had any response to either of my letters requesting payment of the past due invoice
# in the amount of $ . I regret that I am at the point where I cannot extend any further time to you for the payment of this invoice.
Effective immediately, we will be unable to perform any further work on this matter until the invoice is paid in full. (Optional: We will begin now to prepare a motion to withdraw as your counsel to be presented to the court.)
Please contact me so that we may resolve this matter.
Sincerely yours,
Solo Law Firm
Letter After Client Promises (Some) Payment
Dear
Per our discussion on (Date) you have agreed to pay $ on invoice # by (Date). We know that you will live up to this agreement.
If there are ever any problems or difficulties with payments or invoices, please contact us immediately so that we can resolve the matter quickly. We want to assist you in every way possible and we are here to answer any questions you may have about our policy and procedures.
We look forward to a continued good working relationship.
Sincerely yours,
Solo Law Firm
Letter After Client Promises (Some) Payment and Does Not Send Payment
Dear
Although you had promised to send payment in the amount of $ by (Date) we have not received any payment.
I regret that I am at the point where I cannot extend any further time to you for the payment of this invoice.
Effective immediately, we will be unable to perform any further work on this matter until the invoice is paid in full.
Please contact me immediately so that we may resolve this matter.
Sincerely yours,
Solo Law Firm