Practice ManagementFED
Legal practice management guidance, practical tips, and valuable insights, providing everything a lawyer needs to organise and run an efficient and profitable law firm.
3 Matter Plans
Overview
Legal practice management guidance, practical tips, and valuable insights, providing everything a lawyer needs to organise and run an efficient and profitable law firm.
The detailed commentary contains a wealth of knowledge on most aspects of legal practice management, including:
- Ethics;
- Solicitor/client relationship;
- Employer/employee relationship;
- Matter management tools;
- Risk management issues;
- Client communications;
- Costs disclosure and billing;
- Employment including recruitment, training, and retention;
- Financial management.
This publication can help firms make money – and reduce the stress levels of all team members. It is an excellent starting point for those interested in creating a strategic business plan for a new or existing law firm. Also included is the comprehensive Legal Practice Health Check Tool, which allows a firm to readily assess its current performance and set goals for future development.
The related reference manual 101 Staff Handbook contains most of the policies and procedures a small law firm will need. These policies can be adopted completely or used as a framework to establish others. Lawyers can subscribe to this amazing resource today and take control of their legal practice’s future.
Precedents provided with this publication include:
- Library of retainer instructions;
- Library of position descriptions;
- Suite of relevant staff forms;
- Example invoices incorporating notification of client’s rights for each jurisdiction;
- Example policies, business plan, and mission statement;
- Suite of financial management precedents.
Ready To Use Resources
Choose from ready-to-use legal documents within this Publication.
3 Matter Plans Included
101 Staff Handbook“null”This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.
Firm copy for personalisation- Overview“A policy and procedures handbook is designed to provide effective and consistent communication to all members of staff. It reflects the intended practices that are consistent with the firm’s values. An important point to remember about policies is that without procedures, policies mean very little. ...”
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- Accepting property or documents from clients“The firm does not provide a storage facility and will not accept property or documents on behalf of clients other than materials relating to their current matters. Receipt of all client property and documents must be confirmed in writing.”
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- Anti-money laundering procedures“Proof of source of funds In any transaction where a client is providing funds in addition to the firm’s legal costs, staff members should obtain proof of the source of those funds and ask for supporting evidence to confirm the information provided.”
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- Appointments“Getting the detail of appointments is important. When a client calls to make an appointment always check the calendar to ensure the relevant person is available at the time required. If they are, then record the appointment in the calendar along with the name and contact details of the client and ...”
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- Archiving“When a matter is complete:”
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- Artificial intelligence use“Purpose This policy provides for the responsible use of artificial intelligence (AI) within the firm to enhance efficiency and productivity while safeguarding confidentiality, legal integrity, and professional standards.”
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- Assets register“Detail all items of an asset nature, purchased for the office in the asset register. These items would include computers, telephones, furniture and so on. The asset register allows the practice to better manage item replacements under warranty as well as depreciation and the like.”
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- Billing“All invoices will be prepared using LEAP’s accounting function. Invoicing needs to take place at appropriate and agreed times during a matter. Do not allow clients to build up significant unbilled costs. Send interim bills. Invoicing should not exceed the quoted price unless the variation has been ...”
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- Client communications“Our firm strives to deliver the highest level of service and value to our clients. All staff are expected to be well mannered, engaged, and responsive at all times and this applies particularly to communications, whether in person, by email, in writing, or over the phone.”
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- Closing files“On completion of a matter use the File Closing Checklist, which is available on the Practice Management matter plan in The Practice section.”
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- Code of conduct“Our code of conduct represents the vision, mission, and values statement of this firm, and aligns with our obligations under the professional standards. Our firm will:”
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- Computer, email, mobile phone, and internet“Email forwarding Auto-forwarding of emails is one of the most common ways that criminals can monitor a firm and act when the opportunity to steal funds or confidential information presents itself.”
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- Confidentiality“Definition of confidential information Confidential information is:”
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- Conflict of interest checks“As all types of matters have the potential to raise a conflict of interest for the firm, it is important in every new matter to search for the parties in the firm’s database. Do this at the time of opening the file. Treat each client as an individual with care, attention and understanding. The ...”
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- Costs disclosure and billing practices“It is recommended that Retainer Instructions be used during client interviews, both as a reminder of the matters to be considered as well as a record of the instructions given. They also remind us that a discussion around costs is to be had. Disclose costs and disbursements in writing:”
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- Disciplinary procedure“Gross misconduct Some matters are deemed to be so serious that the first violation will normally result in summary dismissal, which is dismissal without notice or money in lieu of notice. Such action will only be taken after a full investigation of the incident and giving the team member the ...”
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- Discrimination, harassment and bullying“Our staff work in an environment free from discrimination, harassment and bullying and we are committed to maintaining a safe workplace. Acts of discrimination or harassment on grounds of gender, race, sexual orientation, pregnancy, disability, HIV status, religious beliefs or marital status are ...”
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- Dress code“As with all things, appropriateness is the key. In an office, staff need to dress in office appropriate attire. For men this usually means tailored trousers, a long-sleeved business shirt, tie, and clean dress shoes. A suit always looks good, but a blazer works just as well.”
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- Drug and alcohol policy“Firm policy”
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- Employment“We provide an equal employment opportunity workplace without discrimination against anyone on the basis of race, gender, religion, colour, disability or impairment. We are committed to:”
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- Engagement management“Matter types This firm accepts instructions in the following matter types:”
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- File colour coding“This firm uses file colour coding to assist with managing files:”
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- File transfers“External If a client moves from one legal firm to another, they will often ask for their file to be transferred. The request can come from the client directly or be made through the new solicitor.”
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- Filing“At court Wherever possible use e-filing and online court services.”
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- Intellectual property“Existing IP Team members must at all times protect, assert and respect the firm’s intellectual property rights, as appropriate. This includes any intellectual property rights of third-party suppliers or clients which the firm has either a contractual right to use or a contractual obligation to ...”
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- Mail“Incoming mail and documents Our receptionist will open and date stamp all the mail.”
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- Meetings“Free and open communication within the team is a key aspect of this firm. We use a daily huddle with all staff members each morning as the mail is handed out. This is a terrific opportunity for the partners to see exactly what is going on and identify any areas that may need attention.”
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- Office security“Security is the responsibility of everyone and therefore our policy puts great emphasis on prevention.”
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- Petty cash“Petty cash is the small amount of cash kept on hand and used to pay expenses too small to merit writing a cheque or using a credit card. Petty cash can be used for various office supplies, cards for customers, flowers, paying for a staff lunch, or reimbursing staff for minor expenses.”
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- Privacy and data protection“Privacy policy”
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- Risk management policy“Perfect the retainer When taking instructions, it is recommended that Retainer Instructions be used which serve both as a reminder of the matters to be considered and as a record of the instructions given.”
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- Safe custody and document register“When requested, this firm holds for safe keeping client documents such as wills, certificates of titles, powers of attorney and so on. When the client requests the documents be returned, it is best they be handed personally to the client AFTER they have been appropriately identified.”
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- Stationery“Our receptionist has been appointed as the stationery officer, and they will ensure we have sufficient stationery supplies. Special orders are to be emailed to them.”
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- Supervision“The managing partner has the ultimate responsibility for the firm and supervises every aspect of the firm’s operations. All staff are required to acquaint themselves with the policies and procedures detailed in this handbook, noting in particular the Engagement policy; and the Risk Management ...”
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- Telephones“The receptionist is responsible for answering calls, however, if they are overloaded or out, then anyone else can answer the phone.”
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- Termination of retainer“When a matter is complete it is important to let the client know. This is best done by using the Letter to Client Finalising the Matter and enclosing the invoice. Files are not to be left to languish. The risk is that while languishing an event may occur that is ignored due to the lack of contact ...”
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- Training and development“Lawyers are required to complete the requisite units of Continuing Legal Education (CLE) or Continuing Professional Development (CPD) each year in accordance with the statutory requirements. In-house seminars will be conducted by professional staff on an ad hoc basis with an emphasis on areas that ...”
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- Travel, entertainment and expenses“Spend the firm’s money like you would spend your own. Spend money on things that provide value to the firm, and only what you would not have spent otherwise.”
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- Trust accounting“Trust money belongs to the client. It does not belong to the firm.”
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- Undertakings“No undertakings, written or verbal, are to be given without the approval of the principal. The giving of an undertaking by a solicitor is a very serious matter and the failure to comply with an undertaking is a breach of the rules and may result in disciplinary proceedings. An undertaking given by ...”
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- Work, health and safety and ergonomics“The safety, health and well-being of our entire team is of the utmost importance. Everyone has a responsibility for the prevention of accidents and health risks in the work environment and all staff are expected to take care of themselves and each other.”
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- Working from home policy“Flexible work arrangements such as working from home, are co-operative arrangements between a team member and the firm. They are entirely at the firm’s discretion and may be terminated on one week’s notice. However, where the requirement to work from home comes about through reasons outside of the ...”
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Our Authors
More than 45 legal professionals have contributed to By Lawyers' Australian publications, all helping to ensure content is updated regularly to reflect changes in legislation, practice and procedure.
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