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Practice Management Guidelines

Professional Management

The Guideline is not intended to replace a lawyer's professional judgment or to establish a one-size-fits-all approach to the practice of law. Subject to Guideline provisions that incorporate legal, By-Law or Rules of Professional Conduct requirements, a decision not to follow the Guideline will not, in and of itself, indicate that a member has failed to provide quality service. Conversely, use of the Guideline may not ensure that a lawyer has delivered quality service. Whether a lawyer has provided quality service will depend upon the circumstances of each case.

Table of Contents

6.1 Introduction

As the pace of change and complexity of the legal environment increases, the need to develop, maintain and adapt to changing professional standards is crucial. The Professional Management Guideline highlights the broad range of activities, initiatives and policies lawyers should consider to ensure professionalism.

For example, lawyers must comply with regulatory requirements governing various practice arrangements, their relationship to students, employees or others. Lawyers may consider a variety of individual or firm wide professional development initiatives. The Professional Management Guideline is useful in planning or reviewing existing professional management initiatives.

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6.2 Professional Development

Lawyers should regularly assess their competence to determine if there are or may be potential deficiencies in

  • knowledge, skill, or judgment
  • attention to client interests
  • records, systems, or procedures of their practices, or
  • any other aspect of their practices such that the deficiencies may give rise to reasonable apprehension that the quality of service to clients may be adversely affected.

Lawyers may refer to the following Guidelines for assistance: Client Service and Communication, File Management, Financial Management, Personal Management, Time Management, Technology, Closing Down Your Practice.

Lawyers must take steps or undertake activities or initiatives to ensure that their activities meet the minimum standards of professionalism and competence.

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6.3 Implementing Professional Development, Education and Training Initiatives

6.3.1 Professional Development for Lawyers

To maintain and enhance professional competence and professionalism, lawyers may wish to consider undertaking, on a regular basis, professional development, education or training activities or initiatives

  • for themselves
  • if practicing with others, for all professional members of the firm including partners, firm associates and articling students.

Depending on their particular circumstances or practice areas, lawyers may consider undertaking professional development, education or training to enhance

  • knowledge of general legal principles and procedures
  • knowledge of the substantive law and procedure for the areas of law in which they practise or intend to practise
  • interviewing skills and techniques for interviewing clients and witnesses
  • legal research skills and methods including paper, computer or internet based research
  • problem solving skills, analysis and ability
  • skill in applying the law to relevant facts
  • writing and drafting skills so as to improve accuracy and clarity of expression
  • negotiation skills
  • knowledge of, and skill in, alternative dispute resolution
  • skill in investigation of facts
  • advocacy skills
  • client service and communications skills
  • practice management skills and procedures, including
    • time management
    • file management
    • financial management
  • ability to personally manage their physical, emotional and mental health
  • ability to manage stress
  • knowledge and use of technology in the practice
  • knowledge of professional responsibility requirements contained in the Rules of Professional Conduct
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6.4 Education and Training for Non-lawyer Personnel

Lawyers may consider implementing education and training programs for non-professional law firm personnel such as administrators, secretaries and law clerks to support lawyers' efforts to meet changing professional requirements, standards, techniques and practices. Lawyers may offer development, education or training to non-lawyer firm personnel to enhance their knowledge of

  • procedural requirements in the area of law practised by the firm or by the lawyer
  • the use of technology
  • client service and communications skills
  • time management
  • financial management
  • office procedures.
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6.5 Self-study and Continuing Legal Education

Lawyers may consider a broad range of professional development, education and training activities depending on their particular circumstances and requirements.

Activities related to lawyers' work and directed at enhancing competence may include both self-study and Continuing Legal Education [CLE] components:

6.5.1 Self-study

  • reading or conducting case specific or work related research from
    • legal journals
    • case law
    • statutes and regulations
    • relevant interdisciplinary material
    • CLE materials
    • on-line sources
    • texts
  • listening to CLE and other inter-disciplinary audio tapes
  • watching CLE program videotapes (not in a group setting).

6.5.2 Continuing Legal Education Activities and Programs

  • live CLE programs, workshops, conferences, in-house programs
  • telephone CLE
  • interactive on-line CLE
  • video replay programs in a group setting
  • discussion groups
  • participation in post-LL.B. degree programs
  • preparation for and teaching in CLE, Licensing Process, or law school programs as adjunct faculty
  • writing or publishing texts, articles, or CLE materials.

Lawyers should, in accordance with Minimum Expectation for Professional Development, track the number of hours they devote to professional development, education or training through self-study and CLE activities.

Lawyers should consider implementing professional development, education and training initiatives that consist of, at a minimum

  • 50 hours per year of self-study
  • 12 hours per year of CLE.
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6.6 Memberships in Professional Organizations

Lawyers may consider membership in various professional organizations which offer legal education and training programs and a variety of initiatives which may assist in their professional development and allow for networking and camaraderie amongst members of the local law association.

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6.7 Access to Research Facilities

If lawyers have in-house libraries, they should maintain up-to-date library materials.

If lawyers do not have in-house libraries, they should consider either a membership in the local law association to enable access to current legal material or on-line research available through various legal service providers.

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6.8 Practice Management and Maintaining Professionalism in a Changing Environment

Lawyers may wish to assess and consider, depending on the size of the practice or the lawyer's individual circumstances, whether they have effective leadership and planning in place to adapt to changing legal or economic environments.

6.8.1 Leadership

Depending on the size of the practice or the lawyer's individual circumstances, lawyers may consider activities which assist in

  • building trust among firm member
  • building pride
  • demonstrating leadership character
  • leading results oriented meetings
  • overcoming common roadblocks to conflict resolution
  • sharing authority and responsibility
  • clarifying roles
  • building support networks through firm teams.

6.8.2 Planning

To enable lawyers to manage change and plan for the future, lawyers may wish to enhance their knowledge and make use of

  • standard planning principles related to the business of law
  • strategic planning to chart the future of the practice
  • business plans to realize and enhance profitability
  • budget planning from both a fiscal and strategic perspective
  • project planning to manage firm and practice initiatives.

6.8.3 Coaching and Mentoring

In circumstances where lawyers may be responsible for the performance or productivity of others, lawyers may consider strategies to enhance their coaching or mentoring responsibilities and initiatives. Coaching strategies may include

  • modeling excellence
  • celebrating success
  • generous encouragement
  • use of effective praise
  • constructive criticism.
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6.9 Firm Meetings

Lawyers should consider holding regular meetings with colleagues and firm personnel to

  • keep abreast of developments in the firm
  • monitor the emotional health and satisfaction level of firm members
  • explore the need for professional development or career advancement for firm members
  • promote congeniality among colleagues.

Depending on their circumstances, lawyers may wish to consider the use of regular partnership meetings

  • staff meetings
  • firm retreats
  • social gatherings for all members.

Sole practitioners or smaller firms may consider meeting regularly with other comparable small firms on a formal or informal basis to

  • keep abreast of developments in the legal community
  • monitor the emotional health of fellow colleagues in other firms
  • explore the need for professional development initiatives for smaller firms promote congeniality among lawyers in the local legal community
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6.10 Compliance With Rule 3 The Practice of Law

Lawyers shall ensure that their practice complies with Rule 3 of the Rules of Professional Conduct.

In particular lawyers shall ensure that

  • legal services provided are made available to the public in an efficient and convenient way that commands respect and confidence and is compatible with the integrity and independence of the profession in accordance with Rule 3.01
  • marketing of legal services complies with Rule 3.01 , Rule 3.02 and Rule 3.03.
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6.11 Fees, Records, Insurance and Trust Accounts

Lawyers shall ensure that they comply with all legal and regulatory requirements. In particular, lawyers must

  • maintain current fee paying, record keeping and filing requirements including payment of The Law Society of Upper Canada annual fees in accordance with By‑Law 5
  • filing of forms including the Member's Annual Report in accordance with By‑Law 8
  • keep records in accordance with By‑Law 9, Part V
  • maintain a trust account, if they receive money in trust or other property from clients, in accordance with By‑Law 9, Part IV
  • preserve client property in accordance with Rule 2.07 of the Rules of Professional Conduct
    • a lawyer shall care for a client's property as a careful and prudent owner would when dealing with like property and shall observe all relevant rules and law about the preservation of a client's property entrusted to a lawyer in accordance with Rule 2.07
  • ensure that they maintain professional liability insurance in accordance with By‑Law 6.
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6.12 Practice Arrangements

In addition to the legal and regulatory requirements applicable to all lawyers individually, lawyers shall ensure that they also comply with regulatory and legal requirements specific to their practice arrangement.

Lawyers may include in firm partnership agreements, shareholder agreements or employment contracts, terms to ensure that professionalism, courtesy and good faith are maintained in accordance with Rule 6.01 of the Rules of Professional Conduct particularly respecting client matters when

  • practice arrangements change
  • practice is dissolved
  • there is misconduct by a firm member
  • firm member leaves firm.

The following additional considerations will apply to various practice arrangements:

6.12.1 Sole Practitioners Shared Arrangements

Lawyers practising in various space and or cost sharing arrangements

  • must maintain separate trust accounts
  • absent client waiver, must maintain client confidentiality, within the shared premises
  • must identify and manage potential or actual conflicts of interest arising from the office or expense arrangements.

6.12.2 Sole Practitioners Employing Associates

Sole practitioners who employ associates may wish to consider reducing the employment contract to writing.

6.12.3 Partnerships and Limited Liability Partnerships

Lawyers practising with other lawyers in partnerships may wish to consider reducing to writing the terms of the partnership by way of partnership agreement.

If the partnership is a limited liability partnership, lawyers shall comply with all applicable legal and regulatory requirements, and in particular By‑Law 7, Part I.

6.12.4 Professional Corporations

Lawyers practising in a professional corporation shall ensure compliance with all applicable legal and regulatory requirements and, in particular, By‑Law 7, Part II. Lawyers may wish to consider entering into a written shareholder agreement.

6.12.5 Multi-Disciplinary Practices or Partnerships

A member may, in connection with the member's practice of law (or in partnership or association), provide to a client only the services of an individual who is not a member who practices a profession, trade or occupation, that supports or supplements the practice of law. [By‑Law 7, s.17]

In the event lawyers' practices are multi-disciplinary they shall ensure that

6.12.6 Affiliations

An affiliated entity is any person or group of persons other than a person or group authorized to practise law in or outside Ontario. Rule 1.02 of the Rules of Professional Conduct.

An affiliation is the joining on a regular basis of a lawyer or group of lawyers with an affiliated entity in the delivery or promotion and delivery of the legal services of the lawyer or group of lawyers and the non-legal services of the affiliated entity.

In the event lawyers enter into an affiliation as defined by the Rules of Professional Conduct, lawyers shall comply with

6.12.7 Inter-provincial Practices

Lawyers practising in interprovincial law firms shall ensure that they comply with By‑Law 4, Part VII.

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6.13 Relationship to Students, Employees and Others

6.13.1 Articling and Summer Students

If lawyers employ summer law students or articling students they

  • shall comply with Rule 5: Relationship to Students, Employees, and Others, including
    • Rule 5.01(2) Direct Supervision which requires that a lawyer shall assume complete professional responsibility for all business entrusted to him or her and shall directly supervise staff and assistants to whom particular tasks and functions are delegated, in accordance with Part I of By‑Law 7.1.
    • Rule 5.02(1) Recruitment Procedures requiring that a lawyer observe the procedures of The Law Society of Upper Canada respecting recruitment of articling students and the engagement of summer students
    • Rule 5.02(2) Duties of Principal requiring that a lawyer acting as a principal to a student shall provide the student with meaningful training and exposure to and involvement in work that will provide the student with knowledge and experience of the practical aspects of the law, together with an appreciation of the traditions and ethics of the profession

6.13.2 Supervision of Staff and Assistants

In accordance with the Rules of Professional Conduct and Part I of By‑Law 7.1, lawyers shall

  • assume complete professional responsibility for all business entrusted to him or her and shall directly supervise staff and assistants [Rule 5.01(2)]
  • not permit a non-lawyer to do the functions listed within Rule 5.01(3)(4)(5) and section 4 of By‑Law 7.1.
  • only permit the non-lawyer to do the functions outlined in section 5 of By‑Law 7.1 after providing the non-lawyer with prior express instruction and authorization to do so
  • not send out collection letters over the signature of a lawyer, unless the letter is on the lawyer's letterhead, prepared under the lawyer's supervision, and sent from the lawyer's office [By‑Law 7.1, Part I, s. 7]
  • not delegate to the affiliated entity or the affiliated entity's staff any tasks in connection with the provision of legal services without obtaining the client's informed consent. [By‑Law 7.1, Part I, s. 3(2)]
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Resources

Additional Resources (PDF)

Business Development Workshop, Practice PRO

By‑Law 11, Regulation of Conduct, Capacity and Professional Competence

Continuing Legal Education

Law Society Act, s. 41

Managing a Mentoring Relationship, Practice PRO

Practice Management Workshop, Practice PRO

Practice PRO - Online Coaching Centre

Report to Convocation (PDF), January 24, 2002 at 5, Professional Development & Competence Committee

Rules of Professional Conduct, Rule 2.01

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