Law Office Procedures Manual for Solos and Small Firms, Third Edition

Law Office Procedures Manual for Solos and Small Firms, Third Edition

C O N T E N T S

About the Author ...... xi

Author’s Note ...... xiii

About the CD ...... xv

Acknowledgments ...... xvii

Introduction...... 1

0.1.1 Firm Résumé ...... 1

0.1.2 Purpose and Use of the Office Manual ...... 1

0.1.3 Revisions to the Manual ...... 1

0.1.4 Questions Regarding the Office Manual ...... 2

APPENDIX 0.1.1 Firm Résumé ...... 3

SECTION ONE

Personnel

Part 1

General Policies ...... 7

1.1.1 Equal Opportunity Employer ...... 7

1.1.2 Disabilities Policy...... 7

1.1.3 Family and Medical Leave of Absence Policy ...... 7

1.1.4 Immigration Law Compliance ...... 8

1.1.5 Confidentiality Policy ...... 9

1.1.6 Use of Firm Work Product...... 10

1.1.7 Office Privacy ...... 11

1.1.8 Internet, Computer, and Telecommunications Protocols . . . . . 11

1.1.9 Policy Against Harassment ...... 13

APPENDIX 1.1.5 Confidentiality Agreement...... 15

Part 2

Employment ...... 16

1.2.1 Employee Classifications...... 16

1.2.2 Probation Period ...... 16

1.2.3 Personnel Files ...... 16

1.2.4 Periodic Evaluations ...... 17

1.2.5 Termination...... 18

Part 3

Personal Conduct ...... 20

1.3.1 Office Attire ...... 20

1.3.2 Office Dating Policy ...... 20

1.3.3 Keeping a Clean and Orderly Workspace ...... 20

1.3.4 Use of Personal Property...... 21

1.3.5 Personal Cell Phones and Audio Devices ...... 21

1.3.6 Use of Office Equipment and Supplies ...... 21

1.3.7 Firm Web Page ...... 21

1.3.8 Internet E-mail Address...... 21

1.3.9 Suggestions...... 22

Part 4

Hours of Work...... 23

1.4.1 Office Hours ...... 23

1.4.2 Time Reports...... 23

1.4.3 Absence and Tardiness ...... 23

1.4.4 Office Closings and Inclement Weather ...... 24

1.4.5 Daily Notice of Arrival and Departure ...... 24

1.4.6 Lunch Hour ...... 24

1.4.7 Breaks ...... 24

1.4.8 Alternative Work Schedules ...... 25

1.4.9 Telework ...... 25

1.4.10 Adjustment of Workload ...... 25

APPENDIX 1.4.2 Periodic Time Report ...... 26

Part 5

Compensation ...... 27

1.5.1 Salary...... 27

1.5.2 Salary Confidentiality ...... 27

1.5.3 Salary Review...... 27

1.5.4 Merit Raises ...... 27

1.5.5 Overtime ...... 27

1.5.6 Bonuses ...... 28

1.5.7 Gratuities ...... 28

1.5.8 Expense Reimbursement ...... 28

1.5.9 Paydays...... 28

1.5.10 Salary Advances and Loans ...... 29

1.5.11 Employee Payroll Records...... 29

1.5.12 Deductions ...... 29

1.5.13 Annual Payroll Returns ...... 30

Part 6

Benefits ...... 31

1.6.1 Workers’ Compensation Insurance...... 31

1.6.2 Health Insurance ...... 31

1.6.3 Educational and Professional Advancement ...... 31

Part 7

Holidays, Vacations, Sick Leave ...... 32

1.7.1 Religious Observances...... 32

1.7.2 Holidays ...... 32

1.7.3 Jury Duty ...... 33

1.7.4 Personal Time Off...... 33

1.7.5 Vacation Accrual...... 33

1.7.6 Vacation Scheduling...... 33

1.7.7 Holiday Falling During an Employee’s Vacation ...... 34

1.7.8 Leave of Absence ...... 34

1.7.9 Minor Illness or Injury...... 34

1.7.10 Sick Leave ...... 34

1.7.11 Notification of Illness...... 35

1.7.12 Long-Term Illness...... 35

1.7.13 Discharge Due to Illness ...... 35

SECTION TWO

Office Structure

Part 1

Job Descriptions ...... 39

2.1.1 Receptionist ...... 39

APPENDIX 2.1 Sample Job Description Questionnaire...... 40

APPENDIX 2.1.1 Sample Job Description for Receptionist...... 42

Part 2

Office Structure...... 44

2.2.1 Office Map ...... 44

2.2.2 Reception Area ...... 44

2.2.3 Coffee Area ...... 44

2.2.4 Library...... 44

2.2.5 Mail Pickup...... 45

2.2.6 Building Information ...... 45

2.2.7 Building Passes...... 45

2.2.8 Office Keys ...... 45

2.2.9 Parking ...... 45

APPENDIX 2.2.1 Office Map ...... 46

APPENDIX 2.2.6 Building Information ...... 47

Part 3

Supplies and Equipment ...... 48

2.3.1 Office Supplies ...... 48

2.3.2 Office Equipment ...... 48

2.3.3 Computers ...... 49

2.3.4 Copier ...... 50

2.3.5 Copy Services ...... 50

SECTION THREE

Office Procedures

Security ...... 53

3.1.1 Office Opening Procedure...... 53

3.1.2 Office Closing Procedure...... 53

3.1.3 Office Security ...... 53

3.1.4 Office Maintenance ...... 53

3.1.5 Office Access...... 53

3.1.6 Shredding Policy ...... 54

Part 2

Injury, Emergency, or Disaster ...... 55

3.2.1 Work Injuries ...... 55

3.2.2 Disaster Recovery...... 55

Part 3

Representing the Firm ...... 57

3.3.1 Greeting Clients and Visitors ...... 57

3.3.2 Client Confidentiality ...... 57

3.3.3 Telephone Answering ...... 58

APPENDIX 3.3.3 Telephone Message Slip Form ...... 59

Part 4

Representing Clients ...... 60

3.4.1 Referral of Cases...... 60

3.4.2 Referral of Cases Due to Lawyer Illness, Unavailability,

or Emergency ...... 60

3.4.3 Engagement, Confirmation, Disengagement,

and Non-engagement Letters ...... 61

APPENDIX 3.4.2 A Solo Practitioner’s

“Partnership” Agreement ...... 63

Part 5

Office Filing System...... 70

3.5.1 Telephone and E-mail List...... 70

3.5.2 File Numbering and Recording ...... 70

3.5.3 File Management ...... 71

3.5.4 File Labeling ...... 71

3.5.5 Special Categories of Files ...... 71

3.5.6 New File Opening Procedure ...... 71

3.5.7 Conflicts File...... 72

3.5.8 Use of Conflicts File ...... 72

3.5.9 Locations of the Conflicts File...... 72

3.5.10 Responsibility for Maintenance of the Conflicts File ...... 73

3.5.11 Closing Files ...... 73

3.5.12 Closing Electronic Client Files ...... 73

3.5.13 Transfer of Client Files Out of the Office ...... 74

3.5.14 Opinion File ...... 74

3.5.15 Fee Agreement File ...... 75

3.5.16 Miscellaneous File ...... 75

APPENDIX 3.5.2 Alphanumeric File System ...... 76

APPENDIX 3.5.6 Client Data Sheet...... 77

APPENDIX 3.5.7 Conflicts File Memorandum...... 78

APPENDIX 3.5.11 File Retention Protocols ...... 79

APPENDIX 3.5.12 Retention of Electronic Records ...... 84

Part 6

Docket Control System ...... 90

3.6.1 Calendaring Procedure ...... 90

3.6.2 Items to Calendar...... 90

3.6.3 Follow-up Items ...... 90

3.6.4 Responsible Parties ...... 90

APPENDIX 3.6.1 Office Docket Control System ...... 91

Part 7

Communications...... 94

3.7.1 Telephone ...... 94

3.7.2 Faxes ...... 94

3.7.3 E-mail ...... 94

3.7.4 Regular Mail Procedures ...... 94

3.7.5 Express Services ...... 95

3.7.6 Messenger Services ...... 96

3.7.7 Postal ZIP Codes and Abbreviations ...... 97

3.7.8 Document Search Services...... 97

APPENDIX 3.7.4A Receipt for Certified Mail ...... 98

APPENDIX 3.7.4B Express Mail Forms ...... 99

APPENDIX 3.7.5 Federal Express Forms ...... 100

APPENDIX 3.7.6A Sample Court Transmittal Letter ...... 101

APPENDIX 3.7.6B Delivery Service Forms...... 102

APPENDIX 3.7.7 US Postal Service (USPS) State and

Canadian Province Abbreviations ...... 103

Part 8

Finance ...... 105

3.8.1 Introduction ...... 105

3.8.2 Timekeeping ...... 105

3.8.3 Posting Defined ...... 105

3.8.4 Billing Statements...... 106

3.8.5 Client Costs Advanced ...... 106

3.8.6 Fax Charges ...... 106

3.8.7 Copying Charges ...... 106

3.8.8 Postage and Delivery Charges ...... 106

3.8.9 Messenger and Delivery Charges ...... 107

3.8.10 Client Trust Funds ...... 107

3.8.11 Client Noncash Assets ...... 107

3.8.12 Reimbursement Requirements ...... 107

3.8.13 Petty Cash ...... 108

3.8.14 Miscellaneous ...... 108

APPENDIX 3.8.4 Billing Protocols...... 109

APPENDIX 3.8.6 Outgoing Fax Log ...... 110

APPENDIX 3.8.11 Trust Account Protocols...... 111

APPENDIX 3.8.13 Cost Account/Petty Cash Report...... 112

SECTION FOUR

Office Format and Sample Forms

Part 1

Format...... 115

4.1.1 Introduction ...... 115

4.1.2 Quotations...... 115

4.1.3 Paragraph Numbering and Outlining ...... 116

4.1.4 Confusing Dictation, Word Division, and

Hyphenated Words ...... 116

4.1.5 Abbreviations ...... 116

4.1.6 Letters ...... 116

4.1.7 Memoranda...... 116

4.1.8 Pleadings...... 117

4.1.9 Other Documents ...... 117

Part 2

Forms ...... 118

4.2.1 Sample Documents...... 118

4.2.2 Computer Form Files ...... 118

4.2.3 Macros ...... 119

Index...... 121