Interview preparation and conduct - Planning, structure, and...

Learning Outcomes

This article covers interview preparation and conduct for SQE2 client meetings, including:

• The objectives of a client interview and how to align them with client care standards
• Practical pre-interview steps: file review, environment setup, time planning, and materials
• Planning and structuring an agenda with clear phases from welcome to conclusion
• Using open, closed, yes/no, and funnelled questioning without leading
• Distinguishing checklists from topic lists and applying each appropriately
• Anticipating sensitive issues, ambiguities, urgency, and critical dates
• Preparing chronologies, diagrams, and document bundles to support information-gathering
• Setting clear client care messages on confidentiality, next steps, timescales, and costs
• Taking accurate contemporaneous notes and explaining their purpose to the client
• Respecting legal professional privilege and navigating AML obligations in practice
• Managing documents and visual aids during the interview to support clarity without distraction
• Setting physical or remote arrangements to ensure privacy, time sufficiency, and rapport

SQE2 Syllabus

For SQE2, you are required to understand the preparation and conduct of client interviews, including interview planning, agenda structure, and pre-interview checklists, with a focus on the following syllabus points:

• understanding the core aims of the client interview and the steps required before the meeting
• planning the interview environment, structure, and written agenda
• identifying client objectives and anticipating risks or sensitivities before the interview
• structuring the meeting to gather information and provide initial advice
• applying professional client care standards to all pre-interview work
• selecting and using effective questioning techniques (open, closed, yes/no, funnelling) without leading
• keeping accurate notes, confirming instructions, and managing confidentiality and legal professional privilege
• recognising urgency, limitation periods, critical dates, and initial risk/option appraisal (including ADR)

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What are three distinct purposes served by a legal client interview?
2. Why should a lawyer consider both environment and timing when arranging an interview?
3. What is the key difference between a checklist and a topic list in interview preparation?
4. True or false? It is good practice to begin advising the client before the main facts have been clarified and confirmed.
5. How does comprehensive pre-interview preparation help client care standards?

Introduction

Effective interview preparation is critical to successful client communication and information gathering. For SQE2, you must show you can plan, structure, and conduct a client meeting professionally—from reviewing the case file in advance to setting an appropriate agenda and ensuring client care throughout.

A legal interview is not just about collecting facts but is also your first opportunity to build trust and demonstrate professional standards. The tone, pace and non-verbal signals you set at the outset influence how much accurate and detailed information the client will share.

Key Term: client interview
A planned discussion with a client in which a lawyer collects relevant information, identifies objectives, gives legal and procedural advice, and agrees next steps.

The Role and Value of Interview Preparation

Thorough interview preparation underpins all further client work. Preparation enables you to:

• identify what is already known and what must be established
• ensure the interview covers all key issues without omitting important facts
• approach potentially sensitive or emotional issues with suitable care
• meet regulatory and professional requirements for client care
• analyse legal and factual issues together so you know what the interview must achieve and how to sequence topics
• avoid premature conclusions and remain objective, non-judgemental and evidence-focused

Sound preparation means you begin with a clear framework: what needs to be proved or established (and to what standard), what procedural stage you are at, where the gaps and ambiguities lie, and what options might be feasible. Clients quickly lose confidence if you appear unclear on facts or law; an organised approach conveys competence.

Key Term: pre-interview preparation
All actions taken before a client meeting to review facts, consider issues, and set the physical and logistical arrangements for the interview.

Planning the Interview: Structure, Environment, and Agenda

Physical and Practical Arrangements

A well-run interview starts with thinking about where and how the meeting will happen. You should:

• ensure privacy and freedom from interruption
• confirm you have time to address all issues properly
• organise necessary documents, writing materials, and any resources you may need

Key Term: interview plan
A written or mental outline for a client meeting, capturing main phases, logical sequence of topics, and any key questions to be asked.

If possible, have a printed appointment or clear calendar invite, a private room, and all relevant documents and correspondence to hand. Control noise and distractions: divert phones, silence notifications, and position chairs to enable clear eye contact. If interviewing at court, enlist ushers to find the quietest space available and be alert to the risk of being overheard by witnesses or the other side. If remote (video or telephone), check connectivity, audio/video quality, and a secure, private location for both participants. Comfort matters: offer water or a short break if fatigue sets in; a tired client will not retain or provide information reliably.

Agenda and Structuring Tools

Structuring the interview gives clarity and keeps the meeting on track. One common format is to divide the interview into clear phases:

• Welcome and introduction: establishing professional rapport, explaining your role
• Information gathering: using open and focused questions to understand the client's circumstances
• Supplying information and initial advice: discussing next steps and likely outcomes
• Summary and conclusion: confirming mutual understanding and follow-up actions

Use questioning deliberately. Open questions invite narrative and breadth (“Tell me what happened after…”); closed or yes/no questions confirm specifics (“Were you present on…”). Funnel from broad to precise: allow the client to tell their story, then progressively narrow to dates, locations, amounts, and identities. Avoid leading questions when facts are disputed—leading can skew or limit the client’s account.

Some lawyers use a written checklist or topic list to ensure all essential matters are addressed. However, a checklist should not become a rigid script.

Key Term: checklist
A preparatory list of issues or questions, used to help ensure that nothing essential is missed in a meeting.

Key Term: topic list
A short list of headings or themes to guide the interview, providing structure without specifying exact questions or sequence.

Relying exclusively on pre-set questions can disrupt natural flow and limit the client's ability to tell their story. A topic list (often kept in a circular layout rather than a numbered sequence) helps you avoid imposing assumptions while still ensuring coverage of all relevant areas. Keep flexibility to move between topics as the client’s account develops.

Anticipating Client Needs and Risks

In preparation, consider what you already know about your client's background, objectives, and any likely sources of anxiety. Review the file for:

• incomplete information requiring clarification
• indicators of urgency, deadlines, or factors affecting the client's situation
• areas that might need extra sensitivity, such as emotional issues or cultural factors

Also plan the legal and factual linkages: what must be proved or established, which rules (substantive or procedural) apply, what ambiguities or conflicts in the papers require careful probing, and what preliminary options may exist (such as ADR, negotiating a settlement, seeking interim relief, or—if criminal—plea options). If information conflicts or is ambiguous, be ready with neutral, non-judgemental questions that let the client clarify without feeling accused. If advance information is sparse, prepare to use open-ended questions and careful listening to clarify essential facts during the interview itself.

Time-sensitivity is common. Identify limitation periods, statutory or contractual deadlines, hearing dates and any urgent steps (preserving evidence, protective notices or applications). Early recognition of urgency is part of good client care and risk management.

Making the Interview Client-Centred

An effective interview adjusts to the client’s priorities and communication style. Key elements include:

• setting a supportive tone from the outset
• confirming your role and the meeting’s purpose
• allowing the client to explain their situation in their own words
• using structured but flexible questioning to elicit details

Ensure you inform the client about note-taking and explain how information will be used confidentially. Clarify how you will update them, likely timescales, costs (where appropriate), and immediate next steps. Check their objectives repeatedly; clients’ aims can change as facts are explored and initial advice is given.

Key Term: client care
The professional obligation to treat clients with respect, keep them informed, and support them in decision-making throughout the legal process.

Listening actively, summarising key points back, and checking for understanding builds confidence and reduces misunderstandings. Non-verbal communication matters: posture, eye contact, and tone all contribute to rapport. Be aware that NVC is context-dependent and can be culturally specific. Aim for congruence—your words and behaviours should align. If a client’s NVC suggests distress, slow down, acknowledge feelings appropriately, and adjust pace or take a break.

Explain any documents you introduce and use visual aids (maps, simple diagrams) sparingly to support clarity. Keep papers and images from becoming distractions by removing them from sight once their purpose is served.

Key Term: legal professional privilege
The protection that preserves the confidentiality of communications between a lawyer and client made for the dominant purpose of giving or obtaining legal advice or for use in litigation. LPP generally prevents compelled disclosure of such communications, subject to limited exceptions (for example, communications furthering a criminal purpose). In the UK, anti-money laundering duties under the Proceeds of Crime Act 2002 and the Money Laundering Regulations 2017 (as amended) apply to the regulated sector, but litigation and advice covered by LPP retain protection. The tipping-off offence and failure-to-disclose duties must be assessed carefully in line with current regulations and guidance.

Before note-taking, seek the client’s consent and briefly explain what you record and why. Take a clear contemporaneous note in a way that does not impede attentive listening. If you need time to capture detail, ask the client to pause or repeat an answer, then resume eye contact and respond empathically where appropriate.

Worked Example 1.1

Your only information before an interview is: "Client, Mr Lee, has a boundary dispute." What practical steps do you take to prepare?

Answer:
Book a private meeting space, allow sufficient time, and assemble basic materials. Prepare a topic list covering background, property details, dispute specifics, and client objectives. Set up to welcome Mr Lee, explain your role, and invite him to lay out his concern in his own words before asking targeted questions.

Worked Example 1.2

You have a list of specific questions about liability but little information about the client's aims. How do you ensure the interview remains client-focused?

Answer:
Use your question list as a reference, not a script. Start with open questions so the client can set out their main concerns. Adjust your sequence of questions to follow the client’s story. Summarise regularly and be alert for issues not anticipated in your checklist.

Worked Example 1.3

A client appears very anxious and is speaking quickly. You need detailed dates and amounts. How do you proceed without losing rapport?

Answer:
Acknowledge their anxiety and slow the pace. Use open invitations (“Please take your time and tell me what happened from the start”) followed by funnelled, concise closed questions to confirm specifics. Explain you will take brief notes and may ask them to pause so you capture key dates and figures accurately.

Worked Example 1.4

During the interview, the client brings a stack of documents and wants you to read them all immediately. What is good practice?

Answer:
Thank the client and set expectations. Explain you will focus on the most relevant items during the interview and review others afterwards. Select, introduce and test each key document with specific questions, then remove it from sight to avoid distraction. Note any items for follow-up and agree how additional documents will be handled.

Worked Example 1.5

Your file shows conflicting accounts of a key event. How should you explore this in the interview?

Answer:
Avoid leading or accusatory phrasing. Use neutral, non-judgemental questions to let the client explain their account in detail, then probe discrepancies with careful, focused questions about time, place, people present, and sequence. Summarise both versions back, invite clarification, and record any reasons for differences (memory, stress, mistaken assumptions).

Flexibility and Professionalism in Conduct

Interview plans and checklists are essential for SQE2, but you must remain flexible. Adjust to the flow of the conversation. Professionalism means maintaining control of the agenda while giving the client every chance to articulate their objectives. Remain objective and non-judgemental, avoiding preconceived ideas about the client or case. Be mindful of potential conflicts of interest and authority to act; where identity or AML checks are required, arrange them promptly and explain the process clearly.

Exam Warning

In SQE2, do not proceed to give specific legal advice before fully clarifying core facts and client objectives. Assessment scenarios penalise inadequate information-gathering before advising.

Revision Tip

Prepare a topic list before each client meeting, but be ready to change order and priorities if the client raises new or unexpected issues.

Key Point Checklist

This article has covered the following key knowledge points:

• The objectives and structure of a legal client interview for SQE2 purposes
• Key steps to pre-interview preparation, including information review and environment setup
• The purpose and proper use of checklists and topic lists in guiding, but not scripting, interviews
• The importance of flexibility, client care, and active listening during client meetings
• Professional standards requiring confirmation of facts and objectives before advising
• Practical questioning strategies (open, closed, yes/no, funnelling) to elicit reliable information
• Managing documents and visual aids in interview without distracting from the client’s account
• Contemporaneous note-taking with client consent and clear explanations about confidentiality
• Awareness of urgency, deadlines and risk, and preliminary option appraisal (including ADR where appropriate)
• Respecting legal professional privilege and understanding its interaction with AML duties

Key Terms and Concepts

• client interview
• pre-interview preparation
• interview plan
• checklist
• topic list
• client care
• legal professional privilege