Run the Firm

Case management is critical for solo and small firms. To responsibly manage a caseload, these procedures must be in place:

The law business is paper-intensive. Beyond efficiency, file management carries ethical and malpractice weight — you have a duty to preserve client confidences and secrets, which extends to protecting the documents and materials of the representation.

Physical file set-up

Name files consistently by name, number, or both. Set up consistent folder divisions for each type of document:

Keep firm-only documents (notes, work product not appropriate to turn over) in a separate folder so the file can be purged quickly if the client requests it.

Electronic file set-up

Adopt a standard save protocol everyone understands, e.g. Attorney/client/matter/correspondence/letter-date.doc. Place the file name at the bottom of documents to aid retrieval, filing, and cost posting. File contemporaneously (by end of day) in reverse-chronological order, and scan incoming documents into the electronic file.

Confidentiality

• File daily.
• House files not being worked on in filing cabinets.
• Never leave client files or documents in public areas or conference rooms.
• Do not let non-firm visitors use offices or conference rooms until purged of client materials.
• Never release client information without written consent and the responsible attorney’s authorization.

File retention

A suggested baseline is 10 years for client records and 5 years for escrow/trust account information — but your state’s rules and the matter type control. Use your discretion based on the client and case facts to defend against future malpractice claims.

Common exceptions to a fixed schedule:

• Will and estate matters — until the person has died and the estate is fully probated.
• Client legal disability (age or incapacity).
• Real estate matters.
• Contracts, mortgages, and agreements still being paid off.
• Uncollected judgments.
• Files showing tax basis in property — until sale or transfer.
• Criminal cases — one year after release from custody.
• Support and custody matters — one year after the last payment is due, or until the youngest child reaches the age of majority, whichever is later.
• Corporate books and records — indefinitely.
• Adoption files — indefinitely.
• Files of problem clients.

At closing, send a file-closing letter (with final bill and originals), copy the file, return originals, assign a closed-file number, record a destruction date, and store offsite. Before destruction, notify the client (your engagement letter should have secured consent), shred in a manner that protects confidentiality, retain a permanent record of what was destroyed, and pull critical originals (retainer, closing letter, client info sheet) to a permanent file.

Inadequate client communication drives a large share of malpractice claims and disciplinary complaints. Implement these procedures:

• Use engagement letters/fee agreements for all new matters; non-engagement letters for declines; file-closing letters at the end.
• Copy the client on all correspondence and documents relating to their matter.
• Confirm in writing substantive issues, process, advice, and choices — especially anything the client may not want to hear. If a client declines your advice on a significant matter, document their choice and their right to decide.
• Respond within seven days when reciprocal communication is required.
• Return calls within 24 hours — have someone do it on your behalf if you cannot, and use out-of-office voicemail with emergency contact instructions.
• Use client surveys to measure satisfaction; address dissatisfaction immediately with a standard complaint procedure.
• Send detailed monthly bills regardless of fee arrangement.

A conflict system is essential — and required by most malpractice carriers. You may remember every party early on, but memory fades. Common conflict areas:

Educational only. Conflict, retention, and file-destruction rules vary by state — confirm against your Rules of Professional Conduct and malpractice carrier requirements.

Floods, tornadoes, fires, and other disasters have leveled law firms across the country. Use this self-audit to gauge your readiness, and the guidance below to recover if disaster strikes. No plan fully prepares you — but planning goes a long way toward protecting your staff and continuing your business.

Safety

• A written disaster response and evacuation plan, distributed to everyone.
• A person or group assigned to evacuate the office/building.
• Everyone knows emergency exits and a regroup location outside the building.
• Periodic evacuation drills; coordination with building management in multi-tenant buildings.
• Emergency equipment on site (extinguishers, walkie-talkies) and employees trained to use it.
• Shelter-in-place supplies (flashlights, radios, batteries, first aid, blankets, food, water).
• First-aid/CPR training and a list of emergency numbers for all personnel.

Business continuity

If you could not access your office, could you continue business?

• A written procedure for communicating with employees and clients in a disaster.
• Every employee keeps a current firm roster at home.
• A current client list (contacts, addresses, phones) maintained offsite.
• An alert-notification telephone tree for employees.

• Current client list with contacts.
• Current docket/master calendar, including opposing and co-counsel.
• Lease, partnership/shareholder agreements, asset inventory.
• Insurance policies with agent contacts.
• Equipment leases, warranties, maintenance agreements, vendor contacts.
• Library/electronic-library provider contacts.
• Client documents: wills, agreements, settlements, corporate documents.

Paper records updated weekly or monthly should be taken offsite at least monthly, preferably weekly.

Back up daily and store offsite:

• Word processing documents.
• Firm accounting and client billing data.
• Spreadsheet and database information.
• Litigation support systems and data.
• Other practice management data.

Also keep the most recent copies of operating and application software offsite:

If your accounting/billing is not automated and not backed up offsite, a disaster can severely hamper cash flow for months. Automate and back up daily.

Does your policy cover:

• Replacement costs of office space, equipment, hardware, software, valuable papers, library, and furnishings.
• Loss of income and extra expense.
• Business interruption — direct damage or loss of access to your building.
• Malpractice coverage for missed actions caused by business disruption.
• Crime insurance and a fidelity bond.

Make sure your policy covers your specific office address (specific floor), not just the building address. Be a loyal customer to your vendors — if disaster strikes, they will be loyal to you.

You sort the mail hoping for checks from happy clients — then an envelope arrives from your state’s attorney disciplinary board. Your hands shake. What do you do?

Educational only. Disciplinary procedure, deadlines, and statistics vary by state — confirm against your jurisdiction’s attorney regulatory authority and rules.