Client Interview, Attendance Note and Legal Analysis for SQE2 is the latest title in a new series of books aimed at those preparing for SQE2, providing a comprehensive overview of everything you need to successfully pass the SQE2 advocacy assessment.
This book explains the key principles of oral communication, interview technique, and legal analysis in a clear, concise, and easy-to-understand style. The use of practical examples, from the practice areas set out by the SRA assessment specification, allows such key principles to be effectively introduced and illustrated. The book demonstrates the importance of the three key tenets of listening, questioning, and advising, with a view to ensuring that a matter can be analysed effectively, and effective and appropriate decisions can be made. The book provides a clear and structured approach, with opportunities to apply the relevant principles to the law. Chapters include summaries, key practice cases, practice tips, and exercises to reinforce learning and understanding.
Written by an author team with extensive experience in teaching and practice, this unique book will be essential reading for any candidate wishing to be fully prepared for their SQE2 assessment.
Table of cases xv
Table of statutes xvii
Introduction xix
1 Oral Communication Skills – An Introduction 1
1.1 Statement of Solicitor Competence 1
1.2 The Importance of Oral Communication to the Legal Professional 2
1.3 Combining Oral and Written Communication Skills 3
1.4 A Student-Centred Approach to Skills Development 4
1.5 Finding Your Legal Voice 5
1.6 The Heart of Communication – The Recipient 6
1.7 Clarity and Structure 7
1.8 Two-Way Communication 8
1.8.1 Active Listening 8
1.8.2 Passive Listening 9
1.9 Leading the Narrative 9
1.9.1 Open Questions 9
1.9.2 Closed Questions 10
1.10 Non-Verbal Communication for the Legal Professional 10
1.10.1 Appearance 10
1.10.2 Body Language 11
1.11 The Pervasive Nature of Ethics 11
In Summary 12
Key Practice Case 13
Practice Tips 15
Practice Risks 15
Exercise A 15
Exercise B 16
Self-Reflection Checklist 17
2 Creating the Right Atmosphere 19
2.1 Introduction 19
2.2 An Overview of the Regulatory Framework 21
2.2.1 The Legal Services Board 21
2.2.2 The Law Society 21
2.2.3 The Solicitors Regulation Authority (SRA) 22
2.2.4 The Solicitors Disciplinary Tribunal (SDT) 24
2.2.5 The Legal Ombudsman for England and Wales (LeO) 25
2.3 Principles of Legal Interviewing 26
2.3.1 What Is the Initial Client Interview? 27
2.3.2 Is Eff ective Interviewing an Aptitude or a Skill? 28
2.3.3 Why Is Interviewing Important? 28
2.3.4 Why Is the Initial Client Interview So Important? 29
2.3.5 The Aims and Objectives of the Initial Client Interview 30
2.3.6 What Skills and Competencies Are Needed? 31
2.3.7 The Structure of the Initial Client Interview 31
2.3.8 A Client-Centred Approach to Interviewing 33
2.3.9 A Client-Centred Approach in SQE2 33
2.4 Controlling the Interview Environment 34
2.4.1 Where Should the Initial Client Interview Take Place? 35
2.4.2 Ethical Considerations at the Planning Stage of the
Interview 36
2.4.2.1 The Equality Act 2010 36
2.4.2.2 SRA Principles and Codes of Conduct
(CCS and CCF) 36
2.4.2.3 Areas of Concern in Practice 39
2.4.3 Planning for the Arrival of the Client 41
2.4.4 Preparing the Interview Room 42
2.4.4.1 Minimum Expectations for an Interview Room 42
2.4.4.2 Seating and Table Arrangements 42
2.4.5 Preparing Yourself for the Interview 43
2.4.5.1 How Should You Dress for the Interview? 44
2.5 Barriers to Eff ective Communication 44
2.5.1 The Interview Room and Surrounding Areas 46
2.5.2 Culture Gaps and Inter-Cultural Barriers 47
2.5.3 The Interviewer 48
2.5.4 The Client 50
2.6 Client Bridges 50
2.7 Building Rapport 51
2.7.1 What Is ‘Rapport’? 52
2.7.2 The Importance of Building Rapport 52
2.7.3 How Do You Build Rapport? 52
2.7.4 How Do You Rebuild Rapport? 55
2.8 Balancing Empathy 56
2.9 Equality in Language – The Pitfalls of Sounding Like a Lawyer 57
In Summary 60
Key Practice Case 61
Practice Tips 62
Practice Risks 63
Exercise A 63
Exercise B 64
Self-Refl ection Checklist 65
References 65
3 Listening Skills 67
3.1 Introduction 67
3.2 Listening Skills in SQE2 68
3.3 Listening or Hearing? 68
3.4 Listening and Non-Verbal Communication 69
3.4.1 Auditory Messages – Paralanguage (Prosody) 70
3.4.2 Visual Messages – Body Language 70
3.4.3 Visual Messages – Appearance 72
3.5 The Lost Art of Listening 72
3.6 The Essentials of Professional Listening 73
3.7 Passive Listening 74
3.7.1 Start With an Open Question 74
3.7.2 Silence Is Golden 74
3.7.3 Rescuing a Client From Silence 75
3.8 Active Listening 75
3.8.1 Demonstrating Active Listening by Responding Non-
Verbally 76
3.8.2 Demonstrating Active Listening by Responding Verbally 76
3.9 Note-Taking 78
In Summary 78
Key Practice Case – A complaint to the Legal Ombudsman
(Anonymised) 79
Practice Tips 80
Practice Risks 80
Exercise A – Practise Passive and Active Listening 80
Exercise B – Refl ect on Your Listening Skills 81
Self-Refl ection Checklist 81
References 82
4 Questioning Skills 83
4.1 Introduction 83
4.2 Questioning in the Interview 84
4.3 Questioning Skills in SQE2 84
4.4 The Foundations of Legal Questioning 85
4.5 Question Aims 86
4.6 Asking the Right Questions – Preparation and Response 86
4.7 Types of Questions 87
4.8 The First Question 87
4.9 Open Questions 87
4.10 Probing Responses 88
4.10.1 Interrogatory 88
4.10.2 Keyword 88
4.10.3 Reflective 88
4.11 Closed Questions 89
4.12 The Eff ective Leading Question 89
4.13 Order and Knowledge Transfer – The Information Funnel 90
In Summary 91
Key Practice Cases: Complaints to the Legal Ombudsman
(Anonymised) 91
Practice Tips 92
Practice Risks 93
Exercise A 93
Exercise B 94
Self-Refl ection Checklist 94
5 Analysis, Explanation, and Advice 95
5.1 Introduction 95
5.2 Final Steps 96
5.3 Analysing Information and the Wider Legal Context 96
5.4 What Is Involved in Legal Analysis? 97
5.5 Explaining the Way Forward 97
5.6 Relevant Procedures 98
5.7 Advising 98
5.7.1 General Principles 99
5.7.2 Specifi c Client Advice 99
5.7.3 Should We Advise in Interviews? 99
5.7.4 Helping the Client Decide 101
5.8 Plan of Action/Next Steps 101
5.9 Closing the Interview 102
In Summary 103
Key Practice Case – The Scope and Limits of Legal Duty and
Professional Advice 103
Practice Tips 104
Practice Risks 105
Exercise A 105
Exercise B – Identify the Legal Problem and the Emotions 105
Self-Refl ection Checklist 106
Reference 106
6 When Things Go Wrong 107
6.1 Finding the Pathway 107
6.2 Self-Refl ection During the Interview 109
6.3 Content Issues 110
6.3.1 Too Much Information 111
6.3.2 Too Little Information 113
6.3.3 Client Engagement 115
6.3.4 Client Honesty 117
6.4 Mirroring 120
6.5 Client Issues 120
6.5.1 Confl ict and Aggression 120
6.5.2 Client Distress 122
6.5.3 Dealing With Self-Emotion 123
6.5.4 Referral 124
In Summary 125
Key Practice Case 126
Practice Tips 127
Practice Risks 127
Exercise A 128
Exercise B 129
Self-Refl ection Checklist 130
7 The SQE2 Client Interview 131
7.1 Introduction 131
7.2 The SQE2 Interviewing Assessment 132
7.3 The Process 132
7.4 Assessment Criteria 133
7.5 Preparing for Assessment 134
7.5.1 Pre-Assessment Day 135
7.5.2 Eff ective Use of the 10-Minute Preparation Period 136
7.6 The SQE2 Client 138
7.7 Generic Interview Structures for Assessment 139
7.7.1 Greeting the Client 139
7.7.2 Preliminary Points 141
7.7.3 Initial Questioning and Listening 143
7.7.4 Questioning for Detail 145
7.7.5 The Advice Stage 146
7.7.5.1 The Legal Position 147
7.7.5.2 Procedural Considerations 149
7.7.5.3 Options for Progressing the Case 149
7.7.6 Concluding and Client Care 151
7.8 Eff ective Relationships – The Concept of Trust and
Confi dence 153
7.9 The Pervasive Nature of Ethics and Conduct 154
7.10 Negotiation 154
7.11 Note-Taking in Assessment 1
7.12 Time Factors 155
Exercise A: Example Property Interview 160
Exercise B: Example Interview for Wills and Intestacy, Probate
Administration and Practice 165
Self-Refl ection Checklist 171
8 Legal Analysis and Attendance Notes 173
8.1 Introduction 173
8.2 The SQE2 Attendance Note/Legal Analysis Assessment 174
8.3 Attendance Notes Use and Form 176
8.4 What Requires Recording 177
8.5 Referencing a File 179
8.6 Legal Analysis and Advice 180
8.7 Timing and Billing 180
8.8 Oversights and Errors 181
In Summary 181
Key Practice Case 182
Practice Tips 183
Practice Risks 183
Exercise A 184
Exercise B 184
Self-Refl ection Checklist 185
SUGGESTED ANSWERS 187
Suggested Answers for Chapter 1 189
Exercise A 189
Exercise B 190
Test 1 190
Test 2 190
Suggested Answers for Chapter 2 191
Exercise A 191
Exercise B 192
Test your Knowledge – Multiple Choice Tests 192
Suggested Answers for Chapter 3 193
Exercise A 193
Exercise B 193
Suggested Answers for Chapter 4 195
Exercise A 195
Exercise B 195
Suggested Answers for Chapter 5 197
Exercise A 197
Exercise B 197
Suggested Answers for Chapter 6 199
Exercise A 199
Exercise B 199
Suggested Answers for Chapter 7 201
Exercise A 201
The Advice (In Outline) 201
Exercise B 202
The Advice (In Outline) 202
Validity and Intention 202
Conclusion 203
Reasonable Provision 203
Suggested Answers for Chapter 8 207
Exercise A 207
Exercise B 209
Test 1 209
Test 2 210
Index 211
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