"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
|
|
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
|
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
|
|
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
|
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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