law firm manual and policies and procedures
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law firm manual and policies and proceduresReset it here. You’ve gotten into the groove of serving your clients and making it through your day-to-day activities. In fact, you might be on autopilot. To work efficiently, deliver the best client service, and scale your business, however, it’s imperative that you document those processes. Don’t keep them in your head! It’s critical for law office management, thoroughly outlining client acquisition, day-to-day workflows, financial systems, and more. Getting those systems out of your head is going to save you a world of time and money. Think about it: Plus, they’ll help you discover holes in your systems that need filling to improve workflow. Work smarter, not harder, remember. Enhanced client experience. Client-centered processes such as bill payment should be consistent for the best client experience. The only way to ensure consistency across the board is through documentation. Easier delegation and training. Whether you’re currently adding members to your team or plan to in the future, documented law office procedures make it easier to delegate tasks and train new employees. You’ll decrease or even eliminate delays, ensuring you still deliver work to fuel your business and keep your clients satisfied. Fewer mistakes. When you have written procedures for you and your growing team to refer to, people always know what to do, even when you’re not around (you can go relax under a palm tree). Scaling and selling. Growth becomes simpler with documented procedures. Plus, you can ensure your clients are well taken care of in the way they’re accustomed to, should you decide to exit your practice. To create your first law firm operations manual, start with a simple document (we’ll discuss other options later). You can choose to use Microsoft Word, Google Docs, or whatever word processing tool you use in your firm. Just open a blank document right now. Take some time to “brain dump” your processes.
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For example, think about everything you do from the time you start work until the end of the workday. It might be a good idea to carry a notepad with you during the day to take notes. Write down a little “A Day in the Life” here. Consider dictating into your phone, then getting a transcription from a cheap auto-transcription place like Temi.com. After all, you’re a busy attorney with a firm to run. We promise you’ll experience some much-needed clarity once you move past this step, though. Just stick with it! We’ve found that this is one of the most common processes that attorneys start to delegate as they grow. Day-to-day workflows. Now, consider each day-to-day workflow you complete. For example, how do you manage client work and projects. How does client communication happen. How do you send an email. This is the meat of your manual. Financial systems. Consider processes such as billing, accounting, bookkeeping, and payroll. People systems. Your people systems include your processes for hiring, staffing, and overall management of your team. Once complete, follow each process to test their accuracy. You don’t have to get all of this down in one sitting. Small bites, always. If you want a manual that’s easily accessible for all members of your team—remote or in-office—there are options available beyond the traditional word processing document. Plus, video is a perfect training tool for new employees. It’s a win-win. Each of these processes on your list will have its own place inside your manual. This will help you and your team locate procedures quickly. Organizational chart. Lay out an organizational chart that defines each role in your firm. This chart should document who’s responsible for what part of your processes, complete with contact info should an issue arise. Business policies and procedures. The meat of your manual will be your procedures. Add each procedure to its own section, outlining each step, no matter how small. Define the reasoning behind each process to avoid confusion. Cover policies such as payroll, confidentiality, attendance, codes of conduct, etc. Emergency procedures. Don’t forget to include your emergency procedures in your manual. You’ll want to include what to do in the event of a natural disaster or data breach to help protect your firm. Date. Date your manual and update the date any time you make changes. It simply needs to outline your critical business processes. As your firm grows and evolves, you’ll start to see your manual do the same. They can’t read your mind. While we’re in the future, kind of, we still can’t download information from other people’s heads. You need to get your manual in writing and more importantly, update it when things change. This helps avoid messes such as complicated processes, work falling through the cracks and increased frustration amongst your team. We recommend reviewing your procedures at least monthly to ensure everything is correct. In fact, stop reading this, and put 30 minutes on your calendar right now. After all, updates to your procedures happen as you automate and grow. This shouldn’t be a siloed project. One of our Labsters, Justie Nicol, has what she calls a Master Vision Notebook. It’s a business plan, a list of visions and values, and detailed procedures. It’s updated monthly and emailed to the whole team for thoughts and notes. This way, everyone has a stake in how the firm runs. During monthly meetings, take some time to discuss your processes and how you can improve. Discuss what’s working and what isn’t. Any changes you decide to make should then be reflected in your manual. Make it a point to underline the importance of following these procedures to ensure accuracy, efficiency, and client satisfaction. You should also lead by example, keeping a copy of your manual nearby your own desk to stay fresh and to show its’ importance to you.http://www.diamondsinthemaking.com/content/database-systems-the-complete-book-2-e-solutions-manual Yet, make sure you point them to your procedures manual when they have questions about how to complete a process. It’s all about creating a habit of referring to the manual. We know this task is overwhelming with everything else you have to do in a day. We’ve all been where you are, wondering how you’ll ever document every single thing that makes your firm a success. Yet, it can be done. And, when it’s complete, you’ll wonder how you ever worked without it. Grab it today by downloading it from our Insider Library. Click here to join Insider and download the first chapter. Last updated October 5th, 2020. Is it Infringed if it Appears in. Consumer Guarantees to Apply to More. Nevertheless, you need to build a law firm policies and procedures manual for your law firm. It’s an essential part of successfully running a law firm for at least three reasons. They’ll have a reference, so they won’t have to keep asking the same questions again and again. Second, policies and procedures will reduce the amount of variance there is between one staff member to another. Finally, it will allow your law firm to be in compliance with various state and federal agencies that require written procedures. Much of the information below can be found in the guide. The office policies section covers rules and regulations and deals with topics such as employment, behavior and, inclement weather procedures. The office procedures section covers administrative functions and includes file management, conflicts of interest checking, managing the trust account, calendaring and routine activities like opening mail and answering the phone. This is a publication that demands quick reading, almost scanning, so you should avoid lengthy wordiness. Just make it short, simple and to the point. Maintain a positive tone throughout rather than a list of “thou shalt not” commandments. Make sure the law firm policies and procedures manual use the same “voice” throughout. It’s also important to organize content, grouping like with like topics. Finally, have a review process in place. As the guide points out, this is also a good place to make your readers glad they chose your law firm at which to work. In some cases, policies manuals have been determined to be contracts between employers and employees.This is where the bulk of compliance with state and federal laws come into play. Cover topics such as equal opportunity employer, non-discrimination, confidentiality, as well as the office procedure for harassment. This includes dress code, online behavior, a media policy, web browsing and uses of office equipment and supplies. Include instructions on personal space organization so that confidential papers are not scattered on someone’s desk in the event of another client happening upon seeing these papers. Employees should always be aware of confidentiality. Leave policies should be outlined under this section, including policies for jury duty, military leave, bereavement, school leave and holidays. Employees can also reference it for instructions on how to perform their colleague’s duty in case of an absence. Today, there is a huge concern for electronic document security as well as security from hackers in general. Outline procedures for keeping documents safe and give employees information about avoiding being a victim of email hacking. Confidential papers need to be shredded and not put in the general recycle container or trash bin. Outline the procedures for shredding documents. This includes having a list of contacts and a muster point named in case of building emergencies. This section should also address how to handle office accidents and injuries. How to answer the phone, how to greet visitors, and how to not to discuss client business out in the open. In addition, etiquette and timeliness of correspondence fall under this section. To keep the office in order regarding deadlines and meetings, include a detailed description of the law firm calendaring procedure. That’s because done right, building an effective law firm policies and procedures manual is a lot of work. But the outcomes are critical, especially in terms of time savings, accuracy, consistency, and saving the law firm from lawsuits and federal violations. The work is well worth the effort. Is it Infringed if it Appears in a Computer Game? When she's not working at PracticePanther as the Operations Manager or studying, she's hanging out with her English Bulldog named Dumbell, painting, or reading. Jaliz is also strong with the force and belongs to House Slytherin.The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only. Any legal analysis, legislative updates or other content and links should not be construed as legal or professional advice or a substitute for such advice. No attorney-client or confidential relationship is formed by the transmission of information between you and the National Law Review website or any of the law firms, attorneys or other professionals or organizations who include content on the National Law Review website. If you require legal or professional advice, kindly contact an attorney or other suitable professional advisor. The NLR does not wish, nor does it intend, to solicit the business of anyone or to refer anyone to an attorney or other professional. NLR does not answer legal questions nor will we refer you to an attorney or other professional if you request such information from us. The choice of a lawyer or other professional is an important decision and should not be based solely upon advertisements. Attorney Advertising Notice: Prior results do not guarantee a similar outcome. Statement in compliance with Texas Rules of Professional Conduct. Unless otherwise noted, attorneys are not certified by the Texas Board of Legal Specialization, nor can NLR attest to the accuracy of any notation of Legal Specialization or other Professional Credentials. If you would ike to contact us via email please click here. Please upgrade your browser to improve your experience. Top 10 Things to Include In Your Law Office Manual Listen to our Practically Speaking Podcast on this topic: Does your law office have a manual. Do you have an existing manual and feel like there is something missing. A law office manual is a helpful reference tool for your team and can: give step-by-step directions on office processes help train new staff reduce mistakes, misunderstandings or false expectations identify ways to improve client service boost employee performance and more. This “Top 10” list is a starting point to tailor a manual for your firm. Remember to update the manual regularly, and engage colleagues and staff in its development and revision. The Top 10 things to include in your law office manual are: Introduction The introduction should provide employees with a broad understanding of your firm and encourage pride in being part of the team. You might include your firm’s mission statement and company history to emphasize your objectives and track your progress. Also, describe the purpose of the manual and how it should be used. General Policies General policies establish your law office as a safe and respectful workplace. Detail how your firm will deal with confidentiality, security, privacy and harassment. Employment Policies These policies demonstrate compliance with employment laws and set out what employees need to know including expectations, roles and benefits. Consider including classifications of employment (full-time, part-time, casual), probationary periods, evaluation processes, and promotion policies. a. Conduct Clearly set out standards for employees’ behaviour as representatives of your firm. You can regulate, to certain degrees, dress codes, online representation (such as social media profiles and blogging) and web browsing. Consider addressing personal phone calls, audio devices and workspace presentation. Express the policies in ways that support a positive and functional working environment. b. Office Hours, Hours of Work, Holidays and Leave Detail your firm’s hours of operation and when employees are to be in the office. Include overtime policies, time-reporting procedures and windows for lunch and other breaks. Absence reporting for medical, parental, bereavement or other reasons should be addressed. If your firm allows for telecommuting or alternate work arrangements, outline the procedures for approval and implementation. At the start of each year, update your manual with a list of dates during which the office will be closed (statutory holidays, etc.). Don’t forget an emergency closing policy (inclement weather) and an emergency exit plan (with a designated employee gathering site). c. Payroll and Benefits Outline payroll dates and methods of payment. Also discuss applicable benefits (health insurance, profit-sharing, etc.) and procedures for submitting claims. d. Job Descriptions Identify roles and responsibility for tasks including procedures for delegating work and adjusting workloads, including the process for seeking assistance from other staff members. Client Service a. Firm Representation Detail how your staff should deal with the public and clients. Consider including scripts and templates for telephone reception, email inquiries and greeting clients in reception. Uniform guidelines result in a more professional image. Ensure your staff are aware, and continually reminded, of the importance of client confidentiality. b. Client Representation Inform staff about procedures for engaging and declining representation. This includes customer service standards for intake; retainer (and non-retainer) letters; contingency fee agreements; conflict checks; collecting client identification and verification information; billing procedures; and the receipt, retention and return of client documents. c. Communications Excellent client service requires that staff know and implement your processes for all forms of communication. Describe how staff should engage with couriers, process servers and court runners, and how to manage correspondence (faxes, emails, texts and regular mail). Office Procedures a. Filing System Thoroughly describe your filing system including file-opening procedures. Chronicle how to build a file going forward. Detail your preferences on organizing, labeling, and even appending materials to the file folder. Provide procedures for file transfer and closing. Specify how to handle matters with outstanding invoices. b. Security Protecting confidential information is imperative for any practice setting. Include “in advance of” and “follow-up” dates. Appoint a lead staff member for these tasks and designate an alternate to ensure coverage. Diarize dates for the payment of Law Society of Alberta membership fees and insurance, trust accounting uploads, and other reporting requirements (including your CDIC report). d. Work Product Appearance Set out your standards for formatting, font and layout for memoranda, emails, forms and letters produced by your firm. This adds to your firm’s professional image. Finances A clear, descriptive billing statement aids in client satisfaction. Ensure that staff understand the importance of this document. Itemize the information included in time entries, describe the billing statement and list the charges and costs to be billed. Inform your staff about trust and general accounts. Establish and maintain strict procedures for all accounting transactions and highlight the critical need for adherence. Consider reimbursement and petty cash procedures. Technology, Equipment and Supplies Inform your staff about office technology systems, service providers and vendors. This might include ordering procedures, version and warranty information, and payment processes for equipment and supplies. Emergency and Disaster Response Inform your staff how to handle an emergency, such as a natural disaster, including where to access emergency contact numbers, muster points, etc. “Modern” disasters, such as server crashes, are equally important to address. Establish disaster recovery procedures, such as recreating files from server backups and consider establishing alternate worksites and protocols should your office be inaccessible. Keep passwords in secure, off-site places, which can be accessed by a staff member. Updates and Acknowledgment By Employees Upon Review a. Updates Your manual can be in print or electronic form. Ideally, you can easily update it (note dates of amendment on the copy). Revisions can be as needed and an annual review is recommended. b. Employee Acknowledgment Require employees to read the manual as part of their orientation and have them acknowledge that they have done so. Employees should also be notified of any updates to the manual, as well as review it on a regular basis. This facilitates their understanding of the contents and your reliance on the policy. c. Disclaimer Ensure that policies comply with legislation and include a disclaimer explaining that, if there are conflicts between policy and legislation, the legislation prevails. Miscellaneous This is your catch-all. It provides guidance, certainty and can facilitate productivity and morale. The Law Society Practice Review team is happy to provide further tips for the content and organization of your law office manual, but remember, it will be most effective if crafted by, and for, your specific law firm. Donna Moore is Legal Counsel with the Law Society of Alberta’s Practice Review department. Printed from on November 14, 2020 at 7:08:11 AM. Browse on or click to Can not include your user id.The e-book version includes a link to download editable Word Document files of all the included forms, so you can edit the text to produce your own firm's policy and procedures manual and revise it whenever needed. Click here for more information about LexisNexis eBooks.RELX Group and the RE symbol are trade marks of RELX Intellectual Properties SA, used under license. You may not be able to access your members area during this time. We apologize for any inconvenience. Which is why so-few lawyers ever get around to actually doing it. So there it languishes, along with all the opportunities that await you to enjoy all of the benefits that follow when you make your law firm run more like a real business, and less like a fire drill every week. People Manage Systems. And to manage the systems, those people need policies and procedures outlined for them in an easily digestible format. So, we’ve created a cheat sheet for you. Most of the inclusions are boilerplate. And, lawyers being lawyers, and tremendously risk-averse, the emphasis is usually on the policies, and not the procedures. A policies and procedures manual for a law firm, then, becomes something like a dusty shiv, broken out in case of human resources emergency. It’s nothing like a living, breathing manual that gets utilized on a regular basis by staff and attorneys. Here's Why I'm Talking About It Now We are likely just emerging from the earliest stages of transformation in the practice of law. Get More Information Track Partner moves by firm, region, and practice area with your Legal Compass subscription. Log in or get your free trial today. Get More Information This is perfect for attorneys licensed in multiple jurisdictions or for attorneys that have fulfilled their CLE requirement but need to access resourceful information for their practice areas. Each attorney is granted unlimited access to high quality, on-demand premium content from well-respected faculty in the legal industry along with administrative access to easily manage CLE for the entire team. Our Compliance bundles are curated by CLE Counselors and include current legal topics and challenges within the industry. Our second option allows you to build your bundle and strategically select the content that pertains to your needs. Both options are priced the same. Join this webcast to explore what to do with the thorniest of cases when store complaints aren’t the right choice for enforcement. How do you get found, and what happens after you’ve been found? Experience with New York Labor Law Sections 240, 241(6. Get the timely legal news and critical analysis you cannot afford to miss. In your inbox. Every day. These are not material elements of the agreement for legal services, but rather they are guidelines for us to follow in order to have the best possible attorney-client relationship. As a client, you are welcome to suggest changes or additional terms to meet your needs. This consultation is necessary to evaluate your case fully, gather information for a conflict of interest check, verify your personal information, to help you understand the legal process, and to create a solid plan for you. The Agreement will specify the matter for which my services are being retained, the fees, and other essential aspects of the relationship. Absent a signed contract to represent you, I will not be your attorney. You will have the final choice for all decisions regarding bringing suit or settling cases. As well, I believe that a that an involved and educated client can be an asset to their case; therefore, I am happy to educate you about the procedural options we face, to discuss the substantive law that applies to the case, and to hear your perspective on our legal strategy. Moreover, unscheduled phone calls and visits tend to disrupt my other planned activities. Although I maintain an open door policy and try to answer calls when I am in my office, the better practice is to book a time to meet in advance. This practice allows me to focus on working for you uninterrupted, which allows me to meet deadlines and do better work for you. If you wish to book a time to speak, please email me or text me a message at least 48 hours in advance. If you have an epiphany or emergency, please indicate the details clearly in your email or voicemail so that I may prioritize appropriately. If you reach the voice mail, please leave a specific message advising that you have an emergency. If you have access to text messaging or email, you should also send me a message indicating that there’s an emergency, and I will return your call as soon as possible. Although my phone will not normally ring after 5:30PM or before 8:30 AM (my normal business hours), I normally check for text messages and voicemails in the evening and early morning. Should you receive any documents after that point, please immediately fax or scan and e-mail it to me, call me to arrange to drop it off, or call me, explain the contents, and ask whether it is OK to send it by regular mail. The use of social media, mobile devices, unsecured wireless networks, or synchronization among devices, in relation to any litigation-related communication or records, is discouraged. However, unless you make arrangements to use a secure (encrypted) e-mail service, interception by 3rd parties is always a possibility. Nevertheless, no system is impenetrable or perfect, so certain sensitive information may be best conveyed by phone, letter, or in-person communication. I will generally exercise my professional judgment about the number and type of copies made, and whether they are backed-up, as well. If there is something you DO NOT wish me to back up, please let me know. This also allows me to read and evaluate your message effectively, without maintaining an archive of every single e-mail I receive. However, almost all incoming postal mail is routinely scanned and backed-up. Therefore, if there is a particularly important note that you want to be part of your file, I would encourage you to either mail it, or scan it and send it as an attachment. Alternatively, messages sent through MyCase are secure and remain a part of that electronic file automatically. Copies of important documents in your case will also be accessible via the MyCase client portal if you have that set up, and that is a relatively secure way to obtain and maintain copies of your legal file. For cases that are billed hourly, I will make best efforts to always use time-tracking software or a stopwatch to track billable time, in the hopes of having the most accurate and fair billing entries possible. Unless your fee agreement specifies otherwise, I will invoice you monthly, and you will have 30 days to pay any balance and to restore any positive trust account balance (“evergreen trust”) to the contractually-required level. I will ensure that they are properly supervised, and that their work meets the same high quality standards I set for myself.Should you misplace anything, I can provide you with copies of the file or a CD or DVD of the contents of your file. During the course of my representation, I may scan and digitize any documents and retain only the digital copy, except for documents which have independent significance that would be lost by digitization. I will generally make any paper copies available for you to retrieve, if you wish to maintain the physical copies yourself. I will be happy to transfer the file to a subsequent attorney at your request. However, in any event, you must make arrangements for storage of your file after the 7th year, or I will securely shred the file after providing notice to your last known address. Should I ever cease private practice, I will ensure the documents’ safekeeping with a licensed attorney for the duration of your lifetime. However, in order for me to notify you of such a change, you must continue to provide me with your updated contact information. Be aware that I may be unable to take certain actions you direct due to my obligations under the Rules. If you have concerns about how any attorney is behaving, you can investigate the information available on the State Bar’s website at or to report serious matters of attorney misconduct you should call at (919) 828-4620. However, if you genuinely believe that the fees you have been charged are unreasonable, the State Bar has a fee dispute mediation program, with information available at or by calling their number at (919) 828-4620. I cannot knowingly allow you to lie in any documents or oral testimony submitted to the Courts. Many times, it is possible to overcome unfavorable facts by putting on a stronger case in other areas, and many times it is possible to say and do nothing instead of telling a lie. However, if you insist on dishonesty as a course of action, the ethics of my profession and the North Carolina Rules of Professional Conduct may require me to withdraw from representing you. The opposing party is not our client, even if they are a client’s spouse or business partner, and I will not assist any other person in a client’s case. As part of my service to you, I will endeavor to maintain good working relationships with other legal professionals so that I may be credible and persuasive with them. Good lawyers can and will zealously represent their client in court or in negotiations with opposing counsel, but at all other times strive to maintain a perfectly cordial or friendly demeanor. Do not disclose your communications to anyone else. Showing your correspondence to others or discussing your case with family and friends destroys the privilege and may waive all confidentiality.