1. A Practical Guide to Practice Management NSWCLC Legal Training Solicitors Rules r.42.1.6.2 1 December 2010 1/12/20101

2. Overview Managing Clients Managing Files Managing Risk Managing Counsel 1/12/20102

3. Introduction You should be familiar with: –Legal Profession Act 2004 –Legal Profession Regulation 2005 –Law Society of NSW, Revised Professional Conduct and Practice Rules ("Solicitors Rules") 1/12/20103

4. Managing Clients Confidentiality (Solicitors Rule 2) Conflicts of Interest (Solicitors Rule 3) Effective Communication –client expectations entry, middle & exit letters –client disclosure costs disclosure (LPA Part 3.2 Div 3) Take written instructions early 1/12/20104

5. Managing Clients Capacity –AGD’s Capacity Toolkit Diversity Services www.lawlink.nsw.gov.au/diversityservices –NSW Law Society When a client’s capacity is in doubt: A Practical Guide for Solicitors (2009) Tutors –Consent to tutor (no adverse interests) –Liable for costs (two grants of legal aid) 1/12/20105

6. Managing Files Opening Files –Solicitor Rules 13 – central register of files name and address date of instructions short description of services to be provided unique identifier –File cover Client address and telephone Limitation date 1/12/20106

7. Managing Files Be consistent across all practices –Centralised storage of electronic files –Correspondence – including emails –Filenotes and internal memos –Accounts –Court documents and court notes –Research and client authorities –Evidence –Brief to barrister and counsel’s advice 1/12/20107

8. Managing Files File maintenance –Keep your file up-to-date –Filenote the duration of a task –Resubmit files every 2 to 3 months Keep things moving Delay is your enemy –Annual File Reviews 1/12/20108

9. Managing Files Closing Files –You are liable while the file remains open –Clearly communicate to the client 1/12/20109

10. Managing Files Archiving files –Bear minimum is 7 years 6 year limitation period for negligence 7 year limitation for trust accounting 7 years after a child attains majority –Best practice is 30 years Ultimate bar in LA s.51 Bruce MacDermott, "LawCover Risk Management: Storage of files and documents" (2006) 44 LSJ 44 1/12/201010

11. Managing Risk Communicate with your client Adverse court costs –Inform your client (don’t be embarrassed!!) –Legal Aid Commission Act s.47 Written policies for file management and trust accounting Solicitors Rules 14: –Safe Custody Register for wills, CT, etc 1/12/201011

12. Managing Risk Reasonable prospects of success –LPA s.347 certificate I certify under section 347 of the Legal Profession Act 2004 that there are reasonable grounds for believing on the basis of provable facts and a reasonably arguable view of the law that the claim for damages in these proceedings has reasonable prospects of success. –LPA s.348: legal practice & practitioner are liable –Counsel’s advice 1/12/201012

13. Managing Risk Limitation Periods –Limitation Act 1969 (and many other Acts) –LawCover Schedule of Limitations Unfair dismissal: 14 days Defamation & discrimination: 1 year Family provision: 1 year Victims compensation: 2 years Personal injury: 3 years (6 years before 1/9/1990) CTTT consumer claims: 3 years Contract & torts (excl. personal injury): 6 years 1/12/201013

14. Managing Risk Limitation Periods (cont.) –Include limitation date in client entry letter –Record limitation date on front cover of file –Record limitation date in central file register –Include limitation date as check in annual file review and resubmits 1/12/201014

15. Managing Risk Providing a copy of client’s file to client –client's file and solicitor's file don't release solicitor's file w/o indemnity insurer's approval –give original to client, keep copy on your file –if instructions from more than one client, then you need written authority of all clients Talk to LawCover 1/12/201015

16. Managing Counsel Communication is key Be clear on: –Scope of work –Your budget and fee scale A good brief makes for happy counsel NSW Law Society: Working With Barristers: A Solicitor's Guide to Relations with the Bar (2nd Edition 2007) 1/12/201016

17. Where to get help NSW Law Society Professional Standards Department: (02) 9926 0390 –costs –trust accounts –complaints –ethics advice line: (02) 9926 0114 / ethics@lawsociety.com.au LawCover - www.lawcover.com.au Riley's Solicitors Manual 1/12/201017