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DEVELOPING AND MANAGING A SOLO OR SMALL PRACTICE

BARBARA D. NUNNELEYNunneley Family Law Center

1845 Precinct Line Road, Suite 209Hurst, Texas 76054

State Bar of Texas30TH ANNUAL ADVANCED FAMILY LAW COURSE

August 9-12, 2004San Antonio

CHAPTER 47

BARBARA D. NUNNELEY, LAWYERNUNNELEY FAMILY LAW CENTER

1845 Precinct Line Road, Suite 209Hurst, Texas 76054

(817) [email protected]

EDUCATION:

B.A., Texas Woman's UniversityM.A., Southern Methodist UniversityJ.D., Thurgood Marshall School of Law

PROFESSIONAL ACTIVITIES:

Certified Specialist in Family Law - Texas Board of Legal SpecializationFellow of the American Academy of Matrimonial LawyersTexas Chapter, American Academy of Matrimonial Lawyers, TreasurerFamily Law Council - State Bar of TexasTexas Academy of Family Law Specialists, Board of Directors, memberState Bar Form Book Committee, Family Law, former memberState Bar Grievance Committee, Professional Enhancement Program, former memberFounding Member, Child Advocates of Tarrant CountyTarrant County Bar AssociationPast President, Tarrant County Family Law Bar AssociationBoard of Directors, Tarrant County Family Law Bar AssociationPast Chair, Texas Woman’s University FoundationU.S. Marshals PosseTexas Super Lawyer 2003 & 2004Top Attorneys 2003, Fort Worth, Texas Magazine

RECENT LAW RELATED PUBLICATIONS AND SPEAKING ENGAGEMENTS:

“Relocation”, Nunneley, Barbara, Family Law on the Front Lines, University of Texas School of Law, June2004, Galveston, Texas.

“To Move or Not to Move”, Nunneley, Barbara, 27th Annual Marriage Dissolution Institute, April 2004, FortWorth, Texas, State Bar of Texas.

“Managing a Small Practice”, Nunneley, Barbara, American Academy of Matrimonial Lawyers, March2004, Kaanapali Beach (Lahaina) Maui, Hawaii.

“Effective Presentation of the Truth”, Nunneley, Barbara, Advanced Drafting, December 2003, Austin,Texas, State Bar of Texas.

“Practicing Law for Fun and Profit”, Nunneley, Barbara, Nickelson, Gary, King, Heather and Loveless,James, 29th Annual Advanced Family Law Course, August 2003, San Antonio, Texas, State Bar ofTexas.

“Horses and Divorces”, Nunneley, Barbara D. & Ball, J. C., 29th Annual Advanced Family Law Course,August 2003, San Antonio, Texas, State Bar of Texas.

“Homestead: What You Need to Know in the 21st Century”, 26th Annual Marriage Dissolution Institute, May2003, Houston, Texas, State Bar of Texas.

“The Closer”, Houston Bar Association, April 4, 2003, Houston, Texas.

Course Director, 17th Annual Texas Academy of Family Law Specialists Trial Institute (TAFLS), Cancun,Mexico, January 2003.

“Criminal Law and The Family Practice”, Nunneley, Barbara D. & Ball, J. C., 28th Annual Advanced FamilyLaw Course, August 2002, Dallas, Texas, State Bar of Texas.

“Demystifying Economic Contribution”, 25th Annual Marriage Dissolution Institute, May 2002, State Barof Texas.

Assistant Course Director, 16th Annual Texas Academy of Family Law Specialists Trial Institute (TAFLS),Cancun, Mexico, January 2002.

Course Director, New Frontiers - In Marital Property Law, Santa Fe, New Mexico, State Bar of Texas,October 2001.

“Exceeding or Varying from Possession Guidelines”, 27th Annual Advanced Family Law Course, SanAntonio, Texas, August 2001.

“Sex, Lies & Psychologists”, 27th Annual Advanced Family Law Course, San Antonio, Texas, August2001.

“Parental Alienation Syndrome: War and Peace;” DeLipsey, J. M. and Nunneley, B. D., 24th AnnualMarriage Dissolution Course, 2001, Corpus Christi, Texas, May 2001, State Bar of Texas.

“Closing the File”: Family Law on the Front Lines, University of Texas School of Law, Galveston, Texas,April 2001.

“The Motley Fool School - Components/Consequences of the Stock Market”, 26th Annual AdvancedFamily Law Course 2000, San Antonio, Texas, August 2000.

“Family Limited Partnership” TAFLS Trial Institute, Las Vegas Nevada, February 2000.

“Drafting Real Estate Documents” Advanced Family Law Drafting Course, December 1999.

“UIFSA”, 25th Annual Advanced Family Law Course, Dallas, Texas, August 1999.

“Representing the Non-Protecting Parent”, State Bar of Texas Annual Meeting, June 1999.

“Invasion of Privacy and Illegally Gathered Evidence; Wiretapping, Recording Devices, Including CriminalLaw Aspects”, Moderator, 22nd Annual Marriage Dissolution Institute, 1999, State Bar of Texas.

“Daubert Challenge of C.P.A., TAFLS Trial Institute, Las Vegas, Nevada, February 1999.

“Preparation, Preparation, Preparation”, Winning Techniques in Family Law Litigation, State Bar of Texas,December, 1998.

“Tips for Trying the Low Budget Custody Case”, 24th Annual Advanced Family Law Course, San Antonio,Texas, State Bar of Texas, August, 1998.

“Definition of a Protective Order and a Temporary Restraining Order”, 1998 Family Law and DomesticViolence Seminar, Fort Worth, Texas, May 15-16, 1998.

“Contempt and Enforcement of Court Orders”, 8th Annual Family Law Conference for the GeneralPractitioner and Legal Assistant, Houston, February 1998.

“Characterization of Assets and Tracing-All You Ever Needed to Know”, 6th Annual Dallas ChapterTSCPA Divorce Conference, Dallas, Texas, September 25, 1997.

"Interesting Cases", 23rd Annual Advanced Family Law Course, San Antonio, State Bar of Texas,August, 1997.

"Closing the Case", Family Law Trial Skills Seminar, Fort Worth, Lawyers Against Domestic Violence,May 31, 1997.

"Avoiding Pitfalls with Closing Documents", 7th Annual Family Law for General Practitioners Conference,April, 1997.

“Interviewing Children. The Child as a Witness”, Attorney Ad Litem Training Seminar, April, 1997.

“Direct Examination of Mother in Relocation Case”, 10th Annual Trial Institute 1996, Texas Academy ofFamily Law Specialists.

“Interesting Cases”, 22nd Annual Advanced Family Law Course, San Antonio, August 1996. State Barof Texas.

“Enforcement”, 19th Annual Marriage Dissolution Institute, 1996, State Bar of Texas.

“Real Estate Transfer Documents”, Advanced Family Law Drafting Seminar 1995, State Bar of Texas.

“Direct Examination of Mother in Child Custody”, Ninth annual Trial Institute 1995, Texas Academy ofFamily Law Specialists.

“Discovery Ethics and Sanctionable Behavior”, The Ultimate Trial Notebook, 1994.

Developing and Managing a Solo or Small Practice Chapter 47

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TABLE OF CONTENTS

I. LAW OFFICE MANAGEMENT INTRODUCTION ......................................................................................... 1

II. POSITIONING ................................................................................................................................................... 1A. Know your audience. ..................................................................................................................................... 1B. What is your point of difference? .................................................................................................................. 1

III. EMPLOYEES ....................................................................................................................................................... 2A. What to Look For .......................................................................................................................................... 2

1. Training ................................................................................................................................................. 22. Motivating ............................................................................................................................................. 23. Rewarding .............................................................................................................................................. 24. Retaining ................................................................................................................................................ 3

B. Employee Handbook ..................................................................................................................................... 31. Determining the Purpose of the Handbook ........................................................................................... 32. Instructional Information that Everyone can Follow: ........................................................................... 33. Topics Generally Contained In An Employee Handbook ..................................................................... 34. Policies and Procedures ......................................................................................................................... 4

IV. OPERATIONS ...................................................................................................................................................... 5A. Computers ..................................................................................................................................................... 5

1. Checklist ................................................................................................................................................ 52. Conclusion: .......................................................................................................................................... 5

B. Internal Controls ............................................................................................................................................ 61. Practice Management ............................................................................................................................ 62. Production .............................................................................................................................................. 63. Revenue ................................................................................................................................................. 64. Expenditures .......................................................................................................................................... 65. Financial and Management Reporting ................................................................................................... 66. Conclusion ............................................................................................................................................. 6

C. Docket Control .............................................................................................................................................. 71. Docket Control System .......................................................................................................................... 72. File Status Checklist .............................................................................................................................. 73. Amended Pleadings ............................................................................................................................... 84. Trial Court Loses Plenary Jurisdiction .................................................................................................. 95. Designation of Experts TRCP 195.2 ..................................................................................................... 9

D. Conflict of Interest System ............................................................................................................................ 9

V. PROFITABILITY ................................................................................................................................................. 9A. Get the Process Organized ........................................................................................................................... 10B. Evaluate your Competitiveness ................................................................................................................... 10C. Internal Strengths and Weaknesses ............................................................................................................. 10D. Reassess Your Strategy ............................................................................................................................... 10E. Evaluate Your Resources Objectively ........................................................................................................ 10F. Business Projection .................................................................................................................................... 10G. Prepare Your Financial Plan ....................................................................................................................... 10H. Prepare Your Business Plan Document ...................................................................................................... 10I. How to Successfully Implement "The Plan" .............................................................................................. 11J. Documenting Client Expenses and Attorney’s Fees ................................................................................... 11

1. Time Keeping Tips .............................................................................................................................. 112. Time Keeping Methods ....................................................................................................................... 11

a. Manual System ............................................................................................................................ 11b. Automated System ....................................................................................................................... 11

3. Tracking Client Expenses .................................................................................................................... 11


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4. Document Checklist ............................................................................................................................ 11a. Copying Expense ......................................................................................................................... 12b. Facsimile Expense ....................................................................................................................... 12c. Courier Expense ........................................................................................................................... 12d. Postage Expenses ......................................................................................................................... 12e. Overnight Charges (Federal Express, Airborne, UPS) ................................................................ 12

5. Conclusion ........................................................................................................................................... 12

VI. LAW .................................................................................................................................................................... 12A. Client Goals: ............................................................................................................................................... 12B. Client Expectations: ................................................................................................................................... 12C. Preparation: ................................................................................................................................................ 13

VII. ENJOYMENT ..................................................................................................................................................... 13A. Career Satisfaction: ..................................................................................................................................... 13B. Stress: .......................................................................................................................................................... 13C. Balance: ....................................................................................................................................................... 13

APPENDIX A ............................................................................................................................................................. 15


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MANAGING A SOLO OR SMALL LAWPRACTICE

I. L A W O F F I C E M A N A G E M E N TINTRODUCTION You’ve undoubtedly heard the phrase, “People make

the world go around.” Nothing could be more true thansuch a reference to a law office! Your law practice is somuch more than just you practicing law. It takes peopleto make everything happen. People are the foundation ofour practices. In fact, the acronym that aptly describeswhat we’re going to be talking about today in themanagement of the small law practice is indeed:

POSITIONINGEMPLOYEESOPERATIONSPROFITABILITYLAWENJOYMENT

With these six fundamental building blocks you canmanage your law practice and effectively and efficientlyrepresent the interests of your clients.

While I feel like I’m preaching to the choir, try tokeep an open mind and maybe you’ll pick up a tip thatyou can take back to your offices to enhance yourrespective practices.

II. POSITIONING A. Know your audience.

Who is your customer? Who is it that you want torepresent? Half of our battle as solo or small officepractitioners is obtaining and maintaining our clientele.If you have an aversion to representing airline pilots(who can imagine such a thing) then you don’t want to bepositioning your law firm as having expertise with “pilotsfor equal rights.”

If you are more comfortable or interested in womenclients, then you want to position your firm to be visiblein areas where women can learn about your practice andconsider hiring you for her representation.

What type of cases interest you? Are you a“property” kind of divorce lawyer or do you like the“custody” aspects of a divorce? We know lawyers whocan’t stand to be involved in custody litigation and weknow lawyers who simply don’t want to mess with anintricate and time consuming tracing case. Spend a littletime thinking about what it is you really enjoy doing orwhat it is you really aspire to do and go after that type oflawsuit.

What are your capabilities? As a lawyer, are youcompetent to handle a complex custody or property case?Just as importantly in this phase of your legal life, is yourstaff competent to assist you in handling a complex

custody or property case? You will find that the morefamiliarity you have with a type of case, the morecomfortable you are with that type of case; the morecomfortable you are with a particular type of case, thebetter job you will do and the less procrastinating youwill do.

B. What is your point of difference?To paraphrase ol’ Humphrey Bogart, “Out of all the

gin joints in all the world you had to find me...” In otherwords, why on earth would a client choose to interviewand to retain your services? What differentiates youfrom the woman down the street or the man ten minutesaway? Give some serious thought as to why someonewould want you to represent them over your competition. We all know who our competition is, they are the menand women who have been practicing approximately thesame number of years we have, handling the same typesof cases we handle and requiring approximately the sameretainers and fees we request. It is critical that youestablish a point of difference for your firm from yourcompetitors. I’ll give you an example.

My approach is to use my proprietary “whole personapproach.” That is, from the beginning of a client’srepresentation and throughout the case to its conclusion,each lawyer, legal assistant and staff person keeps inmind how we can meet the client’s needs before, duringand after the divorce process. This unique approachdifferentiates me from my competitors. It is a marketingtool that helps define who we are and why a client wouldwant to choose us over another firm.

You have to position your law firm and you have tomarket your skills and those of your firm in order to besuccessful. Once you have given critical thought to thequestions raised above, then you will be ready toillustrate those answers on your own website which initself can be a wonderful marketing tool. Additionally,once you have positioned your firm you may want toventure outside the comfortable family law people withwhom you practice every week and attend activities ofpeople in other areas of practice such as monthlyluncheons or bench-bar conferences. Let people outsidethe family law circle know who you are and what you dobest. They are a marvelous source of referrals andmanaging that all important facet of the practice, gettingand keeping clients!

When people do refer cases to you, be sure and sendthem a thank- you note (with the permission of the client)and include a brief one page CV and/or short article onyourself. That will keep you in the forefront of theirthoughts when the opportunity arises to refer a client toa family law attorney.

Other marketing tips include volunteering so as tomeet an entirely new circle of contacts while doingsomething worthwhile for your community and writing


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articles in your field and submitting them to your localand perhaps national continuing legal educationprograms.

May I suggest the following if you would like toknow more about marketing:

The ABA Guide to Legal Marketing: A Collection of theBest Ideas, Approaches, and Success Stories, edited byGary A. Munneke and Susan Raridon.

Action Steps to Marketing Success: How to Implementyour Marketing Program by Robert W. Denney andCarol Scott James.

The Complete Guide to Marketing your Law Practice byHollis Weishar and James Durham.

Lawyer’s Guide to Marketing on the Internet by GregSiskind.

Marketing and Legal Ethics, 3RD edition by William E.Hornsby, Jr.

III. EMPLOYEESA. What to Look For

Law office employees including the attorneys, legalassistants, secretaries, word processors, receptionists,bookkeeping and billing personnel are the people withwhom your client will deal. Therefore, first impressionsare lasting ones and you must strive to hire personnelwho will complement your practice rather than detractfrom it. It is important to always keep in mind wheninterviewing prospective employees that they must notonly get along with you, but they must get along witheveryone else in the office as well as the clients. In alllikelihood your employees will spend more time withyour client than you will!

Law office chemistry is not an exact science.However, having people from diverse backgrounds withdifferent opinions and ideas need to be prompted at yourvery first interview that it is essential that they “fit in”and that such qualities are equally as important as theirskill sets. One grumpy, unhappy curmudgeon in the lawoffice can wreak havoc and put a damper on everyone inthe workplace. Law firm employees must be selectedcarefully and cared for and protected carefully. Toaccomplish this “feeding and nurturing” of employees,there are four fundamentals: Training, Motivating,Retaining, Rewarding.

1. TrainingAccording to the author of How to Start and Build

a Law Office Practice, 4th Edition, Jay Foonberg,“Failure to provide adequate training is the single worstmistake lawyers make with employees.” Every one of

your employees’ needs to know what is expected of theemployee and should be trained on exactly how toaccomplish the expected tasks. If you haven’t told themwhat their job is and what your expectations are, theycan’t possibly meet up to those expectations and theirfailure to satisfy you will result in friction, hard feelingsand a lack of productivity and quality for the client.

2. MotivatingAsk almost anyone in your office where they would

rather be today and you will get a response of somethingother than “right here in your office working for you.”People take jobs and go to work primarily because theyneed the money. Keep that in mind every time you pileon an assignment to an employee. Employees need morethan a paycheck to stay motivated. Motivation is yourjob and it cannot be simply a once a year token! Tomotivate one in the law office, you must vest theemployee with “ownership” of a client, of a case, or of atask. They need to feel a real reward for the work theydo that results in career satisfaction from the lawyer rightdown to the receptionist. By carefully observing youremployee’s personalities you can ascertain whatmotivates your employees and thereby understand howto inspire them to do the best job possible.

3. RewardingThe employer must step into the shoes of the

employee to evaluate rewarding the employee. Wetypically want to look at an employee and think toourselves, “Golly, we’re paying this person an awful lotof money surely they could do a better job, be morepunctual, be happier, be more friendly, etc.” You haveto step back and think like the employee! “Gee, I barelyget paid enough to make all my bills and she still wantsme to get here early, stay late, put a smile on my face anddeal with all her crazy clients!” You see, the employeealready thinks they’re underpaid and that a paycheck isan expectation and is a perfunctory “given.” Rewardscan come in many varieties. Surprise employees with amonthly chair massage or take the employees out forlunch or drinks after work. Buy lottery tickets anddistribute them one day as a surprise at lunch! All ofthose gestures will excite the employees, but the mostsuccessful reward of all is you expressing appreciationfor the individual employee and letting that person knowhow truly valuable they are to you. Showing yourappreciation is not easy when we are caught up in the dayto day minutia of running our offices and practicing law.However, we can’t practice law without our employeesand we want to keep them satisfied and vested in ourown selfish pursuit of our practices. So go ahead and cutloose one day and let everyone go home an hour early,totally unexpectedly and just see the renewed and


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refreshed attitudes that greet you the next day in youroffice.

4. RetainingIf you have trained the employee adequately,

practiced motivating your employees constantly andrewarded those employees with a sense of ownership,pride and appreciation from you, you will have helpedcreate an employee who is loyal and who won’t go jobhunting elsewhere. As we all know, the learning curvefor a new employee is steep and the down time it takes totrain a new employee to get up to speed, is enormous. Itcosts time and profitability from every aspect of yourpractice. Make a promise to yourself to re-read thissection of the paper at least once a year so that you keepin the forefront what is truly important to your employeeswhich will result in what is truly important to you...anexcellent staff with which to work.

B. Employee HandbookAn Employee Handbook should be tailored to the

individual needs of the employer and the employer'smanagement style. It is to be used as a guideline andshould never be interpreted as a form of an EmploymentContract. These guidelines are utilized by both theemployee and employer as a means to ensure consistencyin matters of office policy.

Your initial steps should include:

1. Determining the Purpose of the Handbook

• Recruitment information • Referral source for employees, ie., history of

the firm, etc. • Standardization of policies and procedures to

ensure consistent application of work rules • Legal compliance with non-discriminatory

laws and Worker's Compensation and OSHA• Brief guidelines providing information to

employees while preserving flexibility

2. Instructional Information that Everyone can Follow:

• Be careful to cover all employees equally • Be clear and concise in developing and

implementing office policies that you and/oryour firm's management can follow

• Clearly define "full-time", "part-time" and"temporary" employees and what benefits mayor may not apply to each. Refrain from usingthe term "permanent employee".

• Remember that Texas is an employment-at-will state, unless a written EmploymentContract is entered into.

• Do not attempt to make policies socomprehensive that they can be assumed tocover every conceivable situation. LeaveFlexibility in your policies and procedures.

• Use accent words such as "may", "can" and"generally", rather than words such as "will" or"must".

3. Topics Generally Contained In An EmployeeHandbook

IntroductionWelcome, Organization of Firm, Mission Statement

Employment Policies Equal Employment Opportunities, Sexual

Harassment & Complaint Procedures, Anti-NepotismPolicy, Orientation Program, Transfer/PromotionsPolicy, Privacy Rights, Personnel Records, Emergencyand Safety Procedures.

Compensation PoliciesClassification of Employment Levels, Provisionary

Status, Work Hours/Office Hours, Part-Time andTemporary Employees, Payroll Procedures, (1) OvertimeProcedures, (2) Bonus Plans, (3) Request for DrivingRecord and Employee Performance Evaluations.

Time-Off BenefitsVacation, Holidays, Personal Time, Sick Leave,

Death/Illness in Family, Jury Duty, Voting/ElectionRights, Military Leave

Group Health & Related BenefitsEmployee Benefit Programs, Health Insurance,

Basic Life Insurance, Disability Plans, WorkersCompensation or Non-Subscriber Status, DentalInsurance, and Retirement Plan.

Employee Conduct Personal appearance, Absenteeism and Tardiness,

Outside Employment, Americans With Disabilities Act,Solicitation, Employment References, Drug-Free WorkPlace and (1) Employers must pay all hourly and non-exempt employees overtime for all hours in excess of 40hours per week. It is important to state if advancedapproval of overtime is needed.(2) Bonus Plans - discussif they are discretionary or non-discretionary(3) Waiverto Obtain a Driving Record of your employee if they areto do any driving during firm hours and/or for firmbusiness.(4) Discipline/Termination of Employment - becertain to include a statement that this is not intended tobe all inclusive, but that these are some of the reasons forimmediate discipline and/or termination.


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Implementation of Policies. Policies that are implemented must be consistently

followed by Management. Termination Provisions should avoid phraseology

such as "for just cause" or "good cause" -- these types ofphrases lend credibility to the fact that an employeecannot be terminated in the absence of "cause" --remember Texas is an employment at-will state.

Disciplinary Procedures. Include a statement that gives you the right to

terminate an employee immediately for certain conductsuch as theft, being under the influence of non-prescription drugs, or alcohol at work. Be sure to includelanguage indicating that the list of termination offensesis not all inclusive.

Probationary Period. Make it understood that even after an employee has

completed their probationary period this does not createa contract or a guarantee of employment for any specificduration.

Employee Benefits. Employers need to be aware that the Employee

Retirement Income Security Act (ERISA) requiresemployers to provide employees a separate SummaryPlan Description. This handbook summarizes all benefitsoffered by the firm.

Include a General DisclaimerExample: This is not intended to be an all inclusive

list of policies and procedures of this firm, however, it isa guide to help answer the most commonly askedquestions and sets forth the guidelines under which thisfirm operates. This firm reserves the right to change anyterms or provisions at any time. Employment with thisfirm is "at will". This means that either you (theemployee) or the firm may terminate the employmentrelationship at any time, for any reason.

Include an Acknowledgment Page for BothEmployee and Management.

Example: I, the undersigned Employee, have readand understand the policies contained in this EmployeeHandbook. I further understand that it is only a generalguide and that the provisions and/or terms may bechanged and/or terminated at any time during myemployment with this Firm. I expressly understand thatthis Employee Handbook does not create nor constitutesa Contract of Employment; furthermore, it does notchange my status as an Employee "at will".

These suggestions on how to draft an employeehandbook are from the State Bar of Texas Law OfficeManagement Program and can be accessed on the web [email protected].

4. Policies and ProceduresSo that every employee knows what is expected of

them and the procedures to follow from the beginning ofa case to the end, your office will need a policies andprocedures manual. An excellent resource is Law OfficeStaff Manual for Solos and Small Law Firms byDemetrious Dimitriou. This manual is a proven modelspecifically directed to solos and small law firm officestaff manual for solos and small law firms and is basedon author Demetrious Dimitriou’s own experience in asmall law firm. It follows the successful law office staffmanual: model policies and procedures for law officepersonnel that has been produced by the ABA LawPractice Management section for twenty years. Adescription of the manual is:

Present a clear accurate statement of who you are.Outlined in the manual is a Resume and missionstatement. When completed, it provides your firm’shistory, a description of its practice, and the reasons forits existence. The statement helps those inside--officelawyers and support staff--to better understand the firmand give more consistent responses to questions fromthose outside-clients, potential clients, and otheraudiences.

Customize personnel guidelines: The Manual helpsyou focus on scheduling problems unique to small firms--work hours, lunch breaks and vacations, telephone andreception coverage and workloads. Also included:general policies and procedures for salary, merit raises,sick leave, termination and holidays.

Ensure confidentiality and the ethical conduct ofemployees: The Model Rules of Professional Conduct, inRule 5.3, impose on lawyers who supervise nonlegal staffresponsibility for ensuring the ethical conduct of theirsubordinates. That’s why regulations regarding theconfidential nature of the firms work and theconfidentiality of client information are clearly spelledout in the Manual for your employees to understand andfollow.

Establish financial record keeping: Like any servicebusiness, a law firm’s time is its money. From trustaccount and billing protocols to petty cash and payrolltaxes/ records--and every related procedure in between--the Manual presents a thorough approach to trackingservices rendered and related costs incurred for clients,the Firm or otherwise.

Maintain your firm’s identity and quality standards:Your image--how you look to others--is important. Inorder to assure that your identity is consistent and qualitydriven, the Manual encourages you to include samples ofall of your office documents-letters, pleadings,memoranda, invoices, wills and trusts, and contracts--andto include format specifications and rules of style.

Install efficient systems: Procedures for the officedocket control system and the office filing system, the


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heart of your operations, are clearly delineated in theManual. The office docket control system documents allincoming and outgoing information and calendarsdeadlines, courtroom appearances, client meetings andother important dates; the filing system keeps theinformation in an organized manner so that it is easilyfound.

Implement standard forms and consistent reporting:Presented in the Manual are a variety of forms essentialto operations. These include: Periodic Time Report,Outgoing Fax Log, Telephone Log, Cost Account/PettyCash Report, Client Data Sheet, Federal Express Form,and many more. Use them according to your needs orreplace them with those you are already using as a part ofyour office procedures.

An additional resource is the Law Office Policy andProcedures Manual by Robert C. Wert and Howard IHatoff.

This is a best selling manual that has beencompleted, updated and expanded. This manual includesmalpractice, marketing, child care, stress management,code of personal and professional conduct, familymedical leave act, diversity, AIDS/HIV policies, ADAcompliance, sexual harassment, and substance abuse.Both of these books are available in looseleaf anddiskettes.

It is important to include your staff, personnel, in thewriting and updating of your policies and proceduresmanual. The staff can meet, think about all the stepsnecessary for handling the daily mail, communicatingwith clients, scheduling depositions, subpoenaingwitnesses, propounding, responding and objecting topretrial discovery. Staff will probably have some prettygood ideas about how to revise or augment the policiesthat are currently in place in your office that will saveeveryone time and make your office more efficient andprofitable.

IV. OPERATIONSLaw office operations consists of all the various

systems on which each of you rely daily. Everythingfrom computers with their servers and networks to thetelephones, from docket control and calendaring andtickling deadlines to weekly meetings on all of yourcases. Operations includes establishing and maintaininga conflict of interest system as well as a filing system forthe office.

A. ComputersHow do you know what you need in the way of

computers for your firm? The world of officeautomation is constantly expanding. It would besenseless to think that anyone could make an effectivedecision regarding technology, without a carefullythought out analysis of need. Following is a list of

questions to ask yourself in the process of determiningwhat fits your practice needs best.

1. Checklist

• Which functions are automated now--whichadditional functions do we wish to automate?

• Are existing pieces of equipment mutuallycompatible?

• Does everyone in the office use the samesoftware?

• Are our word processing proceduresstandardized?

• Is our billing system interfaced withaccounting?

• Are the accounts payable checks computergenerated--or prepared manually?

• Are we keeping track of client expenses, i.e.copies, fax, long distance, postage, etc.?

• Are we getting telephone messages deliveredtimely and accurately?

• Does the office get flooded with interofficememoranda?

• Is the payroll prepared in house? Manually? • Do the attorneys carry boxes to the court

house? • Do the paralegals spend hours preparing

manual document index systems? • How do we check for conflicts of interest? • What type of calendering system do we use for

docket control purposes?

2. Conclusion: The answers to these questions need to be followed

by an examination of reasons to automate. Just becausethere is some wonderful software package on the marketdoes not mean that we have to toss out a perfectly goodmanual system! Therefore, a cost/benefits analysis willgive greater insight to the extent of automation needed.

An implementation schedule will be helpful tobudget for this investment and can be set up toaccommodate several phases of implementation.

While going through this evaluation, thinkexpansively! This article is only meant to begin thethought process of looking at your own practice. Theremay be additional issues and dynamics in your practicethat must be taken into consideration in developing yourneeds analysis. The more time and effort you devote toproperly planning your transition to an automated office,the greater the rewards.

Having gone through this exercise will give you theconfidence to proceed with the decision to plan for thefuture!


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B. Internal ControlsYour law firm will need to implement a good

system of controls and procedures and policies. Aninternal control structure is a system of safeguarding yourfirm’s resources. It provides a way to collect, organize,record and report information that is needed for theefficient operation of your practice. What requiresinternal controls? Among others, practice management,production, revenue, expenditures, and financial andmanagement reporting.

The Law Office Management program of the StateBar of Texas suggests the following extensive list whenconsidering your internal controls.

1. Practice Management

• New clients and/or new matters will beapproved by management before acceptance.

• Contingent fee work will be evaluated andapproved by management.

• Pro bono work will be reviewed and approvedby management

• Written procedures to reduce the risk of aclaim in performing legal work will becommunicated to all firm personnel.

• Billing rates and terms as well as client creditlimits will be set by management andcommunicated to clients and staff.

• Non-standard rates or billing arrangements willbe approved by management.

• Billing and collection problems will beaddressed before they effect the firm'sfinances.

• Legal work as well as attorney and paralegalperformance will be reviewed regularly.

• Write offs of accounts receivable or work inprogress will be evaluated and approved bymanagement.

• Maintenance procedures for a docket controlsystem will be established.

• Background information for purposes ofconflict checking will be established.

2. Production

• A log or some other tracking system will bemaintained in a timely manner to record andreport time.

• All recorded billable time will be charged tothe correct client file.

• All non-billable time will be recorded in theappropriate accounts provided for suchactivities (i.e. CLE, pro-bono work,management, or administrative hours).

3. Revenue

• All recorded time will be billed regularly at thepre-approved rates.

• All bills will be mailed and posted to theclients' file.

• Client advances (third party billings) will bereviewed for pre-approved amounts.

• Direct billing will be initiated for costs inexcess of approved advance amounts.

• All incoming funds are logged in and properlydeposited.

• Any un-billed time and expenses will bereviewed regularly.

• Aged accounts receivable will be reviewed andfollowed up on.

4. Expenditures

• All disbursements All disbursements foroperating or capital expenditures will beauthorized by management.

• Purchasing of goods and services will beauthorized by designated personnel only.

• Check writing and signing procedures will beestablished.

• All goods and services received will beverified against goods and services purchasedand invoices and shipping documents will beattached to the check copy.

• Disbursement transactions will be properlyclassified and recorded for financial andmanagement reporting.

5. Financial and Management Reporting

• Standard accounting policies and procedureswill be established and approved bymanagement.

• Information contained in financial andmanagement reports will be verified foraccuracy , it will be meaningful,understandable and reliable.

• Financial and management reports will beprepared and distributed regularly.

• An annual operating budget will be preparedand approved.

• Discrepancies between budgeted and actualresults will be reviewed regularly.

• All tax returns and other reports will be filedregularly and timely.

6. ConclusionThe written procedures and policies to achieve these

goals will be more detailed and will clarify each


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individual aspect of the control system. The users ofsuch a system will realize that non-compliance with thesepolicies will have a direct effect on the revenue potentialof the firm. A crucial component of internal control isfollow-up. The information contained in the financial andmanagement reports is to be reviewed and compared withmanagement's objectives. This process allows refinementof the operating cycle. Decisions will be made based onthe reported information, therefore the integrity of thereporting system must be preserved and never viewed asa simple clerical exercise.

C. Docket ControlEvery office must have a docket control system.

Since this particular system involves every employee, itis essential that the docket control system be a writtensystem.

Denton, Texas attorney, Mike Gregory, suggeststhat the following procedures be utilized for a docketcontrol system to avoid missing deadlines.

1. Docket Control SystemThe following procedures shall be utilized for

docket control purposes and to avoid missing deadlines:

a. When cases are set for trial or for hearing andwhen cases have discovery deadlines, answerdates or other critical dates, the deadlines and7 and 14 day advance warning notice datesshall be posted on at least two separatecomputer calendars on the specific dates underthe “events” and “to do” sections, and theattorney’s status list shall be updated with thedeadlines indicated. The separate calendarsshall be the calendars of the attorney and thelegal assistant assigned to the case.

b. The calendars shall be checked for deadlinesand response dates daily for the events of eachparticular day and also for one week inadvance.

c. Items shall be placed on the calendars as thecritical dates are received.

d. Each day mail is received, the receptioniststamps the mail with a “Received” date in theupper right hand corner of the document. Anyclient related mail is copied by the receptionistand paper clipped to the original. The mail isthen routed to the legal assistants for review,who then route the appropriate mail to theattorney responsible for that mail. The legalassistants (or legal secretary) will forward allclient related mail to the client. The legalassistant will point out any urgent matters tothe attorney, insure that the attorney is awareof the mail and that a response is made to

urgent matters in a timely manner. Unless thecorrespondence has come from a client, a copyof the correspondence is always sent to theclient. When one of the legal assistants is outof the office, the other legal assistant shallassume the responsibilities of the absent legalassistant. Critical dates received through themail shall be calculated and placed oncalendars upon the date of receipt. Clientsshall be notified by mail of the critical dateswithin 24 hours of receipt of same.

e. Each legal assistant shall maintain a case statuslist of the files assigned to that legal assistant,reflecting the current status of each file and theoutstanding matters needing to be addressed inrelation to each file. The legal assistants shallhave a minimum of two conferences per monthwith the attorneys, with calendars in hand, aswell as their “to do” list, to discuss work to bedone and deadlines to be met. Following eachmeeting, the legal assistant is to update thestatus list and print a copy of same for eachattorney.

f. Maintain a File Status Checklist of criticaldates within the file as follows:

2. File Status Checklist

Petition filed Date:___________60 days up Date:___________Answer Due Date: __________ Date:___________Temporary Orders signed Date:___________Our Inventory & Appraisement due Date:___________Their Inventory & Appraisement due Date:___________ Last Date to Amend I&A’s Date:___________(treat as an amended pleading, at least 8 days prior totrial, must have 7 full days between filing and trial date)

QDROs:

Retirement Authorization sent to our client forsignature Date:___________Retirement Authorization signed by our client Date:___________Retirement Authorization sent to opposingattorney/party for signature Date:___________Retirement Authorization signed by opposing party Date:___________Request for Retirement Authorization sent to PlanAdministrator Date:___________Reminder date for receipt of information from PlanAdministrator Date:___________


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Date retirement info. Received by us Date:___________ Draft of QDRO prepared on Date:___________ Reminder date-has QDRO draft been pre-approved Date:___________ If yes, the final draft by Date:___________ If no, determine why not and get pre-approved Date: ___________Date Judge signed decree Date:___________Deadline for Judge to sign QDRO Date: ___________ (within 30 days decree signed)

Trial Date

Discovery

Discovery Period ends 30 days before trial date Date: ___________ Rule 194 Request Sent: ___________ Date served:___________ Due Date: ___________ Interrogatories Sent: ___________ Date served:___________ Due Date: ___________Request for Production Sent: ___________Date served:___________ Due Date: ___________ Request for Admissions Sent: ___________ Date served:___________ Due Date: ___________

Rule 194 Request received Date: ___________ Rule 194 Request sent to Client Date: ___________Rule 194 Request due back from client Due Date: ___________Actual due date for filing Rule 194 Request Date: ___________Last date to supplement Rule 194 Request Date: ___________

Interrogatories received Date: ___________Interrogatories sent to client Date: ___________Answers to Interrogatories due back from client Date: ___________Actual due date for filing Interrogatories Date: ___________(objections to Interrogatories must be filed by the duedate)Last date to supplement Answer to Interrogatories Date: ___________Request for Production of documents received Date: ___________Request for Production sent to client

Date: ___________ Request for Production due back from client Due Date: ___________

Actual due date for filing production of documents Due Date: ___________ (Objections to Request for Production must be filed bythe due date)Last date to supplement Request for Production Date: ___________

Request for Admissions Received Date: ___________ Request for Admissions sent to client Date: ___________ Request for Admissions due back from client Due Date: ___________ Actual due date for filing production of documents Due Date: ___________ Last date to supplement Admissions Date: ___________

Designation of Experts (TRCP 195.2)

Last day for our client to designate testifying experts Date: ___________

Last day for our client to designate all other experts Date: ___________ Last day for opposing party to designate testifyingexperts Date: ___________ Last day for opposing party to designate all otherexperts Date:___________

Depositions

Date client’s deposition received from court reporter Date: ___________Date deposition sent to our client Date: ___________Date we gave client to get deposition back Reminder Date: ___________ Actual date for corrections to be made and filed Date: ___________

Pleadings, Business Records, AffidavitsLast date to amend pleadings Date:___________ (At least 8 days prior to trial, must have full 7 daysbetween date amended pldg filed and date of trial)Last due date for filing of Business Records Affidavit Date: ___________(Business Records Affidavit - TRE 902(10) for self-authentication must be filed with clerk and notice givento other party at least 14 days prior to date trial begins.)

All pre-trial discovery, interrogatories, production ofdocuments, request for admissions, Rule 194 requests,must be served no later than 30 days before the end of the


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discovery period. The discovery period ends 30 daysprior to the trial date. TRCP 190.3(b)(1)(A).

3. Amended PleadingsAmended pleadings cannot be filed within 7 days of

the trial date without leave of court. TRCP. Therefore,due date to amend pleadings must be at least 8 days priorto trial date.

4. Trial Court Loses Plenary Jurisdiction

1. Trial court loses plenary jurisdiction 30 daysafter the date judgment is signed if a no Motionfor New Trial or Findings of Fact are filed.

2. Trial court loses plenary jurisdiction 120 daysafter the date that judgment is signed if aMotion for New Trial is filed or a Findings ofFact is requested.

3. Day 1 of the 30 days starts on the day after theday the judge signs the judgment.

5. Designation of Experts TRCP 195.2Unless otherwise ordered by the court, a party must

designate experts--that is, furnish information requestedunder Rule 194.2(f)--by the later of the following twodates: 30 days after the request is served, or -

(a) with regard to all experts testifying for a partyseeking affirmative relief, 90 days before theend of the discovery period;

(b) with regard to all other experts, 60 days beforethe end of the discovery period.

D. Conflict of Interest SystemEvery person in the office must know about your

conflict of interest system and how to operate it. Theessential elements of a conflict of interest system consistof a master list of clients and a master list of contacts.Everyone in the office must be able to readily access themaster lists before they ever set an appointment forsomeone and before any staff person or lawyer goes intodetail with a prospective client on the telephone.

So as not to reinvent the wheel, again I turn to MikeGregory and his excellent conflict of interest system foryour consideration.

Conflict of Interest System: For each potential new clientthat calls in and requests an appointment, complete theattached Conflict Memo by writing down the full presentand prior names of both parties in the suit. Before settingthe initial consultation, you must then:

• scan the Master Conflict List file in theforms/interofc directory

• scan the alphabetical listing of retired clientfiles under forms/interofc/retired.lis; and,

• check the alphabetical expandable file formiscellaneous contacts for conflicts, (until saiditems are incorporated into the Master ConflictList).

If the potential name or potential spouse’s name doesappear as a conflict:

• determine whether the party or opposing partycontacted the office;

• determine whether or not appointment waskept or canceled;

• if any doubt or concern about making anappointment, ask the attorney to advisewhether or not appointment should bescheduled; and,

• advise caller that a conflict exists (do NOTgive details), state that an appointment cannotbe made, and refer them to other familylawyers (2-3 names) in their vicinity.

If the potential name or potential spouse’s name does notappear on the conflict list or in the expandable file, theinitial appointment may be scheduled on the respectiveattorney’s calendar.

At the initial appointment, each potential client isgiven a Client Questionnaire form to complete. Uponreceipt of the completed questionnaire at the time of theinitial conference and prior to forwarding the intakedocument to the attorney, the receptionist shall:

• add the names to the Master Conflict List file,including the potential client’s name, name ofopposing party, month and year of contact.

• Mike’s Conflict Memo is attached as appendixA so that you can copy and utilize it in yourown offices.

V. PROFITABILITYNone of us is practicing law for our health! We

intend to work hard and give our clients good, solid legalservices and we expect to be paid well for our efforts.I’ve always heard it said that the client who makes thestatement “Money is no object” truly means that. Inother words, they don’t intend to pay you at all becauseit’s not important to them! Consequently, my mantra inour office is “If I’m not going to be making any moneytoday, I would rather be on the beach than in Courtworking for you.”

Profitability begins with a good, solid business plan.The purpose of business planning is to establish acommon focus for action. This is done by:


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• Clarifying goals • Establishing measures of results • Assessing resource distribution needs • Unifying the firm to commit to a course of

action.

The following are the most important steps to take inpreparing to write your business plan:

A. Get the Process Organized

• Why do it • What is it • Who will do what • Evaluation of the planning process

B. Evaluate your Competitiveness

• Who are our existing clients • What is our fee history • Are we using outside services • Are we recognizing opportunities for cross-

selling • How much do we really collect • What are we capable of • What are our internal resources • Who are our competitors • What is our market • Why are they our competitors (experience,

price, speed, etc.) • How do they affect our clients • What do we do for their clients • What is our technology situation • What type of systems do we use • What can we use our systems for • Do we need to upgrade • Are there any trends developing which may

affect our clients - changing laws, economy,etc.

• Are there any developments affecting currentstructure of our firm

C. Internal Strengths and Weaknesses

Consider the following:

• What is our professional reputation • How do we deliver legal services • What kind of staff do we want in our firm and

how do we train them • What type of office environment (physical

location, appearance, etc.) do we want • What is our culture • How do we manage our practice • Who are the firm leaders and why

• What kind of support services do we have • What are the firm's finances

D. Reassess Your Strategy

• Define primary mission • Set goals • Review your strategy

E. Evaluate Your Resources Objectively Office organization and structure

• What kind of leadership and managementskills do we have

• What kind of tools are we using - i.e.technology, support systems, standardizedforms, etc.

• How do we identify the skills we need torecruit, how do we allocate the work amongattorneys, paralegals, etc.

• How are we doing financially, do we collecteverything we bill, do we need additionalcapital

F. Business Projection

• What kind of revenue and volume of businessdo we project - to work at capacity

• What is our payroll expense now and what willit be in the future

• How much space do we need • What type of technology do we need • What kind of transactional expenses are we

expecting• What are our projected expenses relating to

office relocation, computer conversion, etc. • What is our capital projection (capital sources

less capital needs = net income)

G. Prepare Your Financial Plan

• Balance Sheet • Income Statement • Cash Flow Statement • Policies for financial management• Financing plan

H. Prepare Your Business Plan Document

• Executive Summary • Business and Revenue Forecast • Professional Staffing Plan • Support Staff Requirements • Technology Forecast • Space Requirements


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• Organization and Management Plan • Financial Plan - Operations and Capital

I. How to Successfully Implement "The Plan" Establish a common will and consensus to the plan

• Keep focused on the goals • Recognize established leadership of the

organization • Make the commitment to proper resource

allocation • Expect to give and receive accountability for

results • Reward motivation • Overcome inertia and avoid complacency • Measure and evaluate results and - if

necessary, readjust the plan to coincide withnew developments

There are numerous books on writing your business plan,but the above information taken from the State Bar ofTexas Law Office Management program should suffice.Many thanks to the State Bar of Texas Law OfficeManagement Program for allowing us to utilize some oftheir excellent resources in this paper.

J. Documenting Client Expenses and Attorney’sFeesIn order to accurately account to your client, you

should keep track of client expenditures, your feescharged and fees paid. There are very few, if any, coursesin law school that teach you to keep track of time andclient expenses. Gathering information for billingpurposes is, however, important to the survival of a lawfirm. It is imperative that effective systems are in placeto make sure that all expenses and fees are documented.

1. Time Keeping TipsEveryone in the firm should be taught to keep time

and time records should be kept consistently. It is helpful to have a written timekeeping policy.

Your policy should standardize timekeeping methods, letyour staff know what is expected of them and whatrepercussions will result for noncompliance with thepolicy. It is important that you have a way to track eachclient and case. You should assign each client a numberthat is uniformly used by every timekeeper to designateall time spent on a specific client's case and all expensesassociated with that same case. If you have several casesfor different clients, you can assign each a client numberand a case number. With a two number system you candifferentiate fees and expenses between the differentcases for the same client.

Document all your time. If you want to give adiscount, give it after you have seen your real time

investment. This will help you make an informeddecision about discounting clients' bills.

Document time as you perform the work. Do notwait until the end of the month to reconstruct your workschedule. You will lose time & money!

2. Time Keeping Methodsa. Manual System

If your firm is not automated, or does not have thetechnology available to track the costs related to eachclient, then you may choose to:

Have a client progress sheet placed in the front of allclient files. Make certain all time and expenses arelogged onto the progress sheet.

Have all staff members keep a daily record of anyincoming or outgoing telephone calls performed on aparticular client/case file. This would also include thelength of time spent on the telephone call. A daily recordwill assist in an accurate reflection of expenses and fees.

b. Automated SystemIf your firm is automated, there are numerous

software programs available that can track your client'sfees and expenses for you. This can be very cost and timeeffective in managing your cases, especially in a smallfirm. The savings in time can enable your staff to spendtime on other tasks.

Calendaring, tickler systems, case management,timekeeping and billing functions can sometimes befound in one software program.

3. Tracking Client ExpensesYou can track client expenses manually by writing

down each time you incur an expense. You can createyour own log (log - document that lists certaininformation) that associates the date, client name, clientnumber and/or case number with client expenses. Youcan use one log to track copy expenses, one log to trackpostage expenses, one log to track facsimiletransmissions and one log to track long distanceexpenses.

You can also track client expenses using add ondevices that attach to office equipment (i.e. copiers).Such a device will not allow you to use the equipmentuntil you enter a client number.

You can track long distance calls by using amanually kept log or a "forced account code" system thatis offered by long distance companies. You can use theclient number and/or case number as the account number.You cannot make a long distance call without entering anaccount code. Make sure your client number and/or casenumber can be accommodated by the long distancecarrier's system (i.e. your client number is 9 numbers andthe long distance carrier's system allows for at least a 9number code).


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4. Document ChecklistNew matters should always be assigned a Client

Number and/or Case Number. This number should beutilized by all staff members when any work is done onthe case.

Create a case progress sheet for each case and keepit attached to the file. The case progress sheet shouldhave the date of any activity done on the case, adescription of the activity, and the staff member's initials.

Implement a system where all members of your staffkeep time records for their time spent on each case.

a. Copying ExpenseIn the event your copier does not have a system that

automatically records the client number and/or casenumber with the number of copies made, provide a "copylog" at the copier where the following information can belogged: date, client number and/or case number, numberof copies and staff member's initials.

b. Facsimile ExpenseThis is usually determined per page, however, if

your facsimile machine does not have a system thatautomatically records the client number and/or casenumber with the number of facsimile pages sent, providea "fax log" where the following information can belogged: date, client number and/or case number, longdistance facsimile number, number of pages and staffmember's initials.

c. Courier ExpenseKeep a log of courier expenses available for the

following information to be logged: date servicerequested, when envelope/package was picked up, clientnumber and/or case number and staff member's initials.

d. Postage ExpensesKeep a "postage log" centrally located in your office

where the following information can be logged: dateenvelope/package sent, client number and/or casenumber, amount of postage and staff member's initials.

e. Overnight Charges (Federal Express, Airborne,UPS)Placing the client number and/or case number on the

air bill for your reference is important. At the end of themonth you can accurately factor in these expenses toindividual matters.

5. ConclusionRegardless of how your firm is setup, you should

implement a method of tracking client expenses and havethe ability to charge appropriately. Several methods havebeen suggested to help you set up a fees and expensestracking method. Be reminded that, even if your cases are

contingency fee based, the Courts may require anaccounting and/or justification of client costs andattorney's fees.

Whatever method you choose, you need a detailedaccounting of what your client expenses are and howyour attorney’s fees have been formulated.

Do all of us in our profession a favor and chargewhat you are worth. Sure, you will have your pro-bonocases as we all will and should, but on our “payingclients” demand payment and withdraw fromrepresentation if you’re ethically allowed to do so whenthe client won’t pay for your services. To amplify thispoint, you merely need to count in your head the tens ofthousands of dollars uncollected for work you performedthis past year!

VI. LAWYes, we practice law. In order to do so, we must

stay on the top of our game and that means attendingcontinuing legal education programs. Not only thelawyer, but the paralegals and legal assistants need tohave regular CLE activities. Take your office to yourlocal bar associations monthly luncheons or rent an audioor video of current interesting topics and have anafternoon of CLE in your office. It is a great way tobond with the staff and to conduct quality, inexpensivecontinuing legal education.

A. Client Goals: In your management of the law within your office,

you must likewise manage your client’s goals. You musthave a working understanding of what it is a clientexpects to achieve from his or her case. Begin yourrepresentation with your client by asking the client towrite down his or her goals that he or she seeks toaccomplish with the litigation. Publish that list to thelawyers and staff who will be working on that client’scase. Remind the client periodically about his or hergoals and inquire as to whether they are the same orwhether such goals are a moving target. The client willbe far more satisfied with your representation if they rereminded routinely of the goals for which you have beenhired and it will make your job of achieving those goalsmuch easier.

B. Client Expectations: Clients almost always have an unrealistic

expectation of what the lawyer can accomplish for theclient. The client lets you know about his or herunrealistic expectations in comments they make, emailsthey inundate you with, and comments made to theirfamily and friends outside the courtroom.

It is important to always take the opportunity toaddress the client’s expectations. Any time the clientmakes it known to you or your staff that there particular


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expectations are unrealistic, it is incumbent upon you andstaff to immediately bring to the client’s attention themore realistic expectations and tactfully but firmlyexplain to the client which expectations are unrealisticand why they are unrealistic.

C. Preparation: As a lawyer, we must always be prepared for our

temporary hearings, meditations, negotiations, and trials.Maybe we aren’t the most brilliant lawyer on the face ofthe planet, but no one should out prepare us! Even if wehave less than an optimum result from mediation or trial,if the client recognizes that you were thoroughlyprepared, they will be appreciative. Preparation is one ofthe most important facets of your practice and the carefulmanagement of preparing each attorney and staff personis critical.

VII. ENJOYMENTWe are only on this planet a brief period of time.

Our time should be enjoyed...life should be enjoyed.Here are a couple of hints that have worked well for me:

A. Career Satisfaction: Your employees are your most valuable asset. It is

important to strive to create an atmosphere that will lenditself to career satisfaction for that employee. Alwayskeep in mind that they are not doing it to build an empire,a legacy for future generations or your personalimmortality! Take the time to work with each individualemployee in setting career goals, milestones if you will,for each employee and devise some way to measure thosegoals so that the employee can see real, tangible evidenceof his or her efforts.

As the lawyer, you too should achieve careersatisfaction from all of your hard work and effort.Similarly to what we do in setting New Year’sresolutions at the beginning of each year, set a one, threeand five year goal for yourself, professionally andpersonally. Evaluate those goals every six months so thatyou too can feel real, tangible progress andaccomplishment.

B. Stress: I have a rule in my office for myself that my reach

should not exceed my grasp. Although we want to helpevery single person who comes through our doors and nodoubt we want to make every single dollar available thatwe think could come through our doors, it is simplyimpossible. Don’t undertake more clients than you canreasonably service. When that reach exceeds grasp itwill not only stress you out but every staff person in youroffice! The more stress the staff has, the more stress youhave. The more stress you are under the more stressed

out your staff is. Are you beginning to see a pattern formhere?

Don’t take clients you don’t like. If your legalassistant doesn’t want to work for one of your clientsthen you should give serious thoughts to releasing thatclient. If you don’t like one of your clients, or if at theinitial interview with the prospective client you don’t likethem or get an uneasy feeling about them, don’t takethem. You have good instincts and so do your legalassistants. Listen to those instincts and intuition.

C. Balance: Law cannot and should not be everything to us. To

be a good lawyer means to be a good partner, spouse,parent and friend. The more effort you make in to beinga good friend, parent, spouse or partner, the better lawyeryou will be because you will be a happier person.

• Plan that trip you said you always wanted totake and then do it!

• Take that continuing adult education courseyou were always interested in.

• Do something wonderful for yourself and beselfish about it.

• Read and learn and explore your spirituality.

Whether it means taking up rock climbing, yoga,horseback riding or a foreign language, the point is to doit! When we are gone, no one will remember all of thosepiles of documents on your desk and no one will careabout the balance of your bank account.


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Appendix A

CONFLICT MEMO

Date:

Potential Client: Full name:

Any prior names:

Opposing Party: Full name:

Any prior names:

Any prior Attorneys:

Potential client:

Opposing Party:

Conflicts Check made:

• No conflicts found:

• Conflict found-attorneys referred to:

• Appointment - Kept / Canceled: