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Tennessee Commission on
CLE and Specialization
Law
Practice Management Checklist
"The challenge in law
practice management is in motivating ourselves and those with whom we
work to take the time and have the courage to conduct an honest review
of the strengths and weaknesses of our management policies and systems
and to successfully implement needed changes."
Completing this checklist will,
at the least, motivate you to take some time to review your management
policies and systems. The courage to implement needed changes is up to
you.
As you go through this
checklist, remember that its primary purpose is to get you, as a
certified specialist (or applicant) to think carefully about your law
practice management system and that of any firm in which you may
practice. If a particular question is not applicable to you because of
your practice situation (e.g., government attorneys) please simply write
"NA" and attach a letter describing your
practice. Short of indicating a major shortcoming under your ethical
responsibilities (e.g., answering "No" to
item 40), your answers will not keep you from being certified, so use
this as an opportunity for honest analysis. For each item, circle the
response or number which most nearly represents your response.
CLIENTS
There is no such thing as a
lawyer without at least one client. (If you do not agree, look up the
definitions of "lawyer" and "attorney"). As a
"profession," lawyering has special ethical rules, most of
which deal with our responsibilities to our clients, and how conflicts
between those responsibilities and other responsibilities (to courts, to
society) should be resolved. And, without enough (paying) clients, most
attorneys will not be attorneys for long. Thus, law practice management,
like lawyering itself, must focus on clients.
- I have a written statement
of the types of clients I and my staff desire and are prepared to
serve, the nature of the services I am prepared to provide, and the
compensation which I must expect from my clients.
No | Yes
Conflicts
Because of our obligations
to each client, we cannot be "lawyer" to clients whose
interests conflict.
- I have a system which exists
outside of my own head (i.e., written or computerized) to identify
my past and present clients and those of all other attorneys in my
firm.
No | Yes
- My firm's conflict of
interest system identifies opposing parties, persons associated with
or related to clients, corporate officers, directors, and affiliated
entities, as well as potential conflicts of non-attorney employees
of my firm.
No | Yes
- My firm's conflict of
interest system is current to within at least the last:
Year |
Month | Week | Day
- I check my (firm's) conflict
of interest system before accepting employment by a new client or
allowing the client to disclose confidential information.
Never
Always
1
2 3 4 5 6 7
- I place documentation
confirming my check of my (firm's) conflict of interest system in
each new client file or other appropriate file.
Never
Always
1
2 3 4 5 6 7
- In the event of potential
conflicts between the interests of a prospective client and a past
or present client, I inform both the prospective client and the past
or present client of the nature of the conflict and obtain their
consent to representation.
Never
Always
1
2 3 4 5 6 7
- After informing clients and
prospective clients of potential conflicts and obtaining their
consent to representation, I document this consent and any limits on
such consent and file such documentation in the new client file or
other appropriate file.
Never
Always
1
2 3 4 5 6 7
- I understand that informed
consent is only viable for dealing with potential conflicts, and is
never a "cure" for actual conflicts.
No | Yes
Engagement
Because what we sell to
clients is both intangible and to be delivered in the future, it is
easy for misunderstandings to arise as to the exact nature of our
representation, its limits and cost.
- I review with each new
client the subject matter and nature of my representation, the fee
for that representation, and how that fee is to be billed and paid.
Never
Always
1
2 3 4 5 6 7
- My review with each new
client of the subject matter and nature of my representation
includes providing the client with a written description of such
representation, the fee to be paid, and the agreed billing
arrangements.
Never
Always
1
2 3 4 5 6 7
- I obtain each new client's
written consent to the subject matter and nature of my
representation, the fee to be paid, and the agreed billing
arrangements.
Never
Always
1
2 3 4 5 6 7
- If I am not employed by a
potential client after consultation, or if I withdraw from a matter,
I document in writing the fact of non-representation and provide a
copy of such documentation to the client or potential client.
Never
Always
1
2 3 4 5 6 7
- On termination of
representation, I return all documents and materials to the client
and refund any unearned fee.
Never
Always
1
2 3 4 5 6 7
- My non-representation letter
states that no attorney/client relationship exists, warns the
recipient that statutes of limitations may apply, and recommends
that the recipient obtain a legal opinion from other counsel.
No | Yes
Deadlines
The practice of law is
dominated by deadlines. Some are created by statute or court rule,
some are set by our clients, and some we give ourselves. Losing
track of deadlines is the short road to malpractice and discipline.
Fearing you've lost track is almost as bad.
- My firm has a docket/work
control system which tracks statutory and self-imposed deadlines,
adequate reminders of approaching deadlines, client appointments,
shareholder meetings, opposing parties' deadlines, promises made to
others, etc.
No | Yes
- My firm has written,
step-by-step procedures for using our docket/work control system.
No | Yes
- All of my firm's staff have
been trained in the procedures for using our docket/work control
system.
No | Yes
- My firm's docket/work
control system prominently marks all final deadlines so as to draw
immediate attention to them.
No | Yes
- There is at least one
identical, complete backup for my firm's docket/work control system.
No | Yes
- One person is designated to
oversee the docket/work control system for my firm.
No | Yes
- Every open file in my firm's
docket/work control system has at least one follow-up date,
including inactive but unclosed files.
No | Yes
- Every open file in my firm's
docket/work control system has a follow-up date within the next
eight weeks, if only for a status check.
No | Yes
- My firm's docket/work
control system includes procedures to endure that matters are
completed before they are removed from the system.
No | Yes
- My firm's docket/work
control system ensures that deadlines are caught when the
responsible attorney or staff member is absent.
No | Yes
- Matters needing docketing
are entered into my firm's docket/work control system in a regularly
and timely manner.
Never
Always
1
2 3 4 5 6 7
Client Relations
"Clients may not be
experts in the legal arena, but they are extremely capable experts
when it comes to judging the quality of how they are being
treated."
- I regularly communicate to
my staff that I expect our clients to be treated courteously and
professionally at all times.
No | Yes
- I am courteous and
professional in my relations with clients.
Never
Always
1
2 3 4 5 6 7
- I return client's
telephone calls, or have a member of my staff return them, within 24
hours.
Never
Always
1
2 3 4 5 6 7
- I keep clients informed
of developments in their cases, including copies of all
correspondence.
Never
Always
1
2 3 4 5 6 7
- I follow up with
clients by letter or phone call at least every six weeks even when
their cases are inactive.
Never
Always
1
2 3 4 5 6 7
- I meet promptly with
clients at the scheduled time.
Never
Always
1
2 3 4 5 6 7
- I thank clients for the
opportunity to serve them and for any referrals they send.
Never
Always
1
2 3 4 5 6 7
- My firm has a written
policy on the confidentiality of client matters and all the firm's
staff has been trained in accordance with that policy.
Never
Always
1
2 3 4 5 6 7
- I have reviewed Ethical
Consideration 3-6 and DR 3-101 and 3-102 and believe that the use of
legal assistants, paralegals, and secretaries in my firm complies
therewith.
Never
Always
1
2 3 4 5 6 7
- My firm has taken
precautions to protect important original documents and exhibits
from loss, damage or destruction.
No | Yes
Attorney/Staff
Relations
- I have reviewed my
relations with my staff, my firm's policies for staff training,
continuing education and encouragement of professional activities by
staff members and believe that these areas make a positive
contribution to client service for my clients.
No | Yes
Money Matters
Indeed it does. Whether
fees or trust funds, or the firm's money, it must all be handled
correctly.
- I have read Formal
Ethics Opinions 92-F-128, 92-F-128 (a), and 92-F-128 (b) on the
ethical and fiduciary responsibilities relating to retainer fees,
advanced fees, advanced costs and expenses, float fees, pre-paid
fees, and nonrefundable retainer fees and believe that my practices
in this area confirm with these Opinions.
No | Yes
- I have read Formal
Ethics Opinion 89-F-121 on the mechanics of trust accounting and
have reviewed my firm's policies in this area to ensure that they
satisfy my duties for trust accounting.
No | Yes
- My staff has been
trained on Formal Ethics Opinion 89-F-121 and the mechanics of my
firm's trust accounting system.
No | Yes
- I and my staff maintain
adequate records, including, when appropriate, records of time spent
and expenses incurred to document and justify the reasonableness of
all fees and charges.
No | Yes
Continuous
Improvement
- I have reviewed this
checklist and selected one area as the area where I would most like
to see myself, my staff and my firm improve during the next year.
No | Yes
- I have written down at
least one specific action I will take in the next week to begin the
improvement process in the area I have selected.
No | Yes
______________________________________________________
Attorney's signature, Date
For additional information on subjects contained in this checklist:
American Bar
Association
Law Practice Management Section
Alice Tully, Director
750 N. Lake Shore Dr.
Chicago, IL 60611
TEL: 312-988-5619
FAX: 312-988-6281
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Tennessee Bar
Association
Law Practice Management Section
Robin Atwood, Section Director
3622 West End Ave.
Nashville, TN 37205
TEL: 800-899-6993
FAX: 615-297-8058
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Lance B. Bracy
Chief Disciplinary Counsel
Board of Professional Responsibility
1101 Kermit Dr., Ste. 730 .
Nashville, TN 37217
TEL: 800-486-5714
FAX: 615-367-2480
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Nashville Bar
Association
Law Practice Management Committee
221 Fourth Ave., N., Ste. 400
Nashville, TN 37219-2100
TEL: 615-242-9272
FAX: 615-255-3026
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The Commission wishes to
acknowledge Nancy Byerly Jones, Director and Practice Management
Counsel, North Carolina State Bar Law Practice Assistance Program,
for her assistance in developing this checklist. Quotes herein are
from her article, "Law Practice Management: Enhancing Quality
and Disarming Lawyer Bashing", North Carolina State Bar
Quarterly , Fall, 1993, pp.20-25.
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