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Practice Monitor Guidelines
and
Self-Audit Checklist

ISSUED BY:
Board of Professional Responsibility
of the Supreme Court of Tennessee
10 Cadillac Drive, Suite 220
Brentwood, Tennessee 37027
(615) 361-7500
(615) 367-2480 fax
www.tbpr.org

ACKNOWLEDGEMENTS
Selected portions of these guidelines were adopted, adapted, and/or reprinted from the materials
originally authored by the following jurisdictions with their permission:
The practice monitor guidelines were provided to the Board of Professional Responsibility by the
Colorado Supreme Court Office of Attorney Regulation Counsel.
The self-audit checklist was provided to the Board of Professional Responsibility by the
Washington State Bar Association Practice Management Assistance Program. The Washington
State Bar has compiled such a checklist from a much more extensive and very useful book
entitled, Easy Self-Audits for The Busy Law Office, written by Nancy Byerly Jones who is an
attorney and certified mediator (superior court and family in North Carolina); a national
consultant and coach for lawyers and legal staff, and the author of a monthly column for
Lawyers Weekly USA. The book is published by the ABA Law Management Section. For more
information about the author, please visit www.nbjconsulting.com.

Practice Monitor Guidelines
Pursuant to

Tennessee Supreme

Court

Rule

9

Section 12.9,

duties and

"Self-Audit

Checklist.”

responsibilities of a practice monitor may include:

1.

Respondent

shall

complete

the

attached

Respondent and the practice monitor shall review the checklist together to identify
problems and work on solutions.

2.

The practice monitor shall review Respondent's reminder, or "tickler"

systems, and all calendaring and case monitoring systems used in Respondent's
office. The practice monitor shall verify that Respondent has a workable and
effective tickler system and a dual calendar and case monitoring system in place.

3.

The practice monitor shall review Respondent's billing system,

including respondent's time keeping and time reporting systems, and systems for
tracking and recording costs and expenses incurred on behalf of clients. The practice
monitor shall verify that Respondent has a workable and effective billing system
which accurately, completely and timely communicates to clients the time, fees and
costs incurred in their matter on a regular basis.

4.

Respondent and the practice monitor shall review Respondent's records

management systems, both as they relate to Respondent’s open and closed files and
law office records that must be maintained in the course and scope of the
Respondent's practice (such as, but not limited to, conflicts records, billing records,
financial and banking records).

5.

Respondent and the practice monitor shall discuss Respondent's

caseload generally, and any concerns Respondent has with respect to any of his
client matters. To the extent Respondent and the practice monitor discuss specific clients or
client matters, as required by these Conditions, Respondent and the practice monitor
understand and agree that such matters remain confidential pursuant to Rule 1.6, and that the
attorney client privilege remains intact as to those clients.

6.

Respondent shall provide any additional information the practice

monitor may request concerning the files selected. The practice

monitor

shall

discuss with Respondent any concerns he or she may have concerning the files or
the legal matter contained therein. This audit of Respondent’s files is intended to
increase the effectiveness of the practice monitor in assisting Respondent

to

represent his clients competently and diligently, and to communicate with his clients
on a prompt and appropriate basis.

7.

The practice monitor may make specific suggestions necessary

to

assure that Respondent's caseload is being properly and professionally handled and
that Respondent is diligently pursuing all client matters.

8.

Respondent and the practice monitor will discuss Respondent's systems

and practices for training and supervising nonlawyer staff and subordinate lawyers over
whom Respondent has responsibility.

9.

To the extent the practice monitor has concerns based upon any aspect of

the law office audit conducted pursuant to the above-described procedures, the
practice monitor shall make suggestions or recommendations to Respondent to
alleviate such concerns and to help ensure prudent law office management
procedures.

10.

The practice monitor may prepare a report detailing the steps taken in the

law office audit and verifying that he/she has completed all of the auditing tasks
described above.
Following the completion of the audit, the practice monitor shall monitor the
Respondent’s practice, as set forth below. The monitor shall pay particular shall pay
particular attention to any areas of concern that came apparent during the course of
the practice audit.
Respondent shall comply with, and bear any costs related with, a practice

monitoring program. The practice monitoring program will consist of the following:
I.

A case-load-review meeting shall take place between the

monitoring attorney and Respondent on the schedule outlined in the
order. If no schedule is specified, the following schedule is
suggested:

(1)

First six months: meeting once per month beginning no later
than 40 days after the agreement is fully executed;

II.

(2)

Second six months: meeting every other month;

(3)

Second year: meet quarterly

At each meeting the following will take place:

(1)

Respondent will prepare a list of current and active files, which

will be reviewed by the monitoring attorney, together with Respondent. The
monitoring attorney will take steps to verify that the list is complete.

(2)

The monitoring attorney will make, and the respondent will write

down specific suggestions necessary to assure that the caseload is being properly
and professionally handled and that Respondent is progressing in a satisfactory
manner for the duration of this monitoring period set forth in the agreement.

(3)

The monitoring attorney and Respondent will review the list of

suggestions from the previous meeting to be sure that all suggestions for
improvement have been implemented and that Respondent has complied with them.

(4)

The monitoring attorney shall have access to and monitor, to the

extent he or she deems necessary, all financial accounts of Respondent, including
personal accounts, in order to assure that no commingling of funds occurs.

(5)

The monitoring attorney shall have access to and monitor, to the

extent he or she deems necessary, all fee agreements that Respondent has entered
into with clients, and all monthly billing statements to clients, to ensure that

Respondent's fees comply with the Tennessee Rules of Professional Conduct.
III.

In addition, on a monthly basis the monitoring attorney

may

randomly review Respondent's open files by selecting no fewer than five (5) files and
reviewing the contents thereof. Respondent shall provide any additional information
the monitoring attorney may request concerning the files selected randomly. The
monitoring attorney shall discuss with Respondent any concerns he or she may have
concerning the files or the legal matter contained therein at the next monthly meeting
between the monitor and Respondent. This random audit of the respondent's legal files
is intended to increase the effectiveness of the monitoring attorney in assisting
Respondent to represent his clients competently and diligently, and to communicate
with his clients on a prompt and appropriate basis.
IV.

On a monthly basis, respondent shall submit to the Board of

Professional Responsibility a written report of the meeting, which report shall be
signed by the monitoring attorney.
V.

The monitoring attorney shall immediately disclose to the Board of

Professional Responsibility any matters which are uncorrected, or which represent
significant problems requiring corrective attention. Copies of such correspondence shall
be sent to Respondent.

SELF-AUDIT CHECKLIST
This checklist is a took for the small law office to help identify strengths and weaknesses of office
management practices. It is designed for both lawyers and non- lawyer staff to complete, although nonlawyer staff may only be able to complete portions of the audit. Those completing any portion of the audit
should be candid, so responses may vary between lawyers and the non-lawyers. Use the results to foster a
better mutual understanding of what goes on within the office. This knowledge will enable you to take the
requisite action to ensure that the office is managed properly.

Name of firm:

Members of firm:

Areas of practice:

The areas addressed are: Client Relations, Confidentiality, Conflicts of Interest, Docket/Calendaring,
Records Management, Staff Management, Financial Management (Timekeeping-Billing-BudgetingFinancial Recordkeeping and Reporting), and Professional Practice and Technology.
Please take a few moments to review all of the questions and make note of any areas that you would like to
discuss more thoroughly. The last page allows space for your notes and clarifications. “YES” means all or
most of the time; “NO” means never or rarely. We recommend that all employees in the office also complete
this checklist.

I.

CLIENT RELATIONS

The relationship with the client is a critical consideration for law office management.
Everything that happens in a law firm has a direct or indirect effect on the client. The way a law
firm conducts its business will also influence its relationship with its clients.
Law firms are often set up so that the critical element of administrative support is service to the attorney.
The attorney, in turn, serves the client. Today, a client-centered law firm involves all personnel directly
serving the client. The attorney is a team member involved in providing overall service to the client.
Examine your client relation efforts by asking the following questions:

Yes
Do we return clients' phone calls and email within 24-48
hours?
Do we perform all the work we told the client we
would?
Do we send follow-up letters after a meeting or telephone
conversation in which new decisions have been reached?
Do we complete the work in a timely fashion?
Do we follow up with clients at least every six weeks even
when their cases are inactive?
Do we acknowledge staff members for good client relations?
Do we ask the client for feedback as the matter moves along?
Do we use engagement letters to describe our office practices?
Do we use fee agreements and fee statements to clearly explain
what clients will be charged and when fees will be earned?
Do we use email with client permission?
Is our email marked “Confidential Privileged
Communication?”

No

N/A

II.

CONFIDENTIALITY

Clients depend on their lawyer to safeguard the information they provide. The Rules of Professional
Conduct provide for only limited situations where this trust may be broken. Since trust is very
difficult to reestablish once it has been broken, it is important that you take steps to ensure that every
member of the firm does all they can to safeguard client information.

Yes No

N/A

Do all new employees sign a confidentiality form acknowledging they
have discussed confidentiality with you, read the relevant Rules of
Professional Conduct, and will not breach the confidentiality of any
client during and after their association with the firm?
Do we make sure no client files or other confidential materials are
ever left in the reception area or other public access areas?
While conferring in person with clients, do we avoid taking calls or
otherwise talking with other clients so as to protect client identities?
Are the fax machines and copiers located away from where nonfirm persons may be able to see confidential materials?
If we are in an office-sharing arrangement, have we discussed
confidentiality with the landlord, other tenants and any employees
who may be privy to confidential information (e.g. receptionist, word
processor, etc.)?
Is the office locked every night to discourage theft?
Do we need a password to access date?
Do we have confidentiality agreements for cleaning services, contract
staff and computer maintenance vendors who have access to our
computer systems?
III.

CONFLICTS OF INTEREST

Many law firms rely on the staffs' collective memories to do their conflict of interest checks. This
method rarely works accurately over any period of time. Every case handled cannot be so memorable
that you will never forget every person involved. You should maintain a written electronic conflict of
interest system and keep it up to date. All staff members should be trained to use the system and
conflict checks should be done prior to the discussion of any new matter with a client or potential
client

Examine the effectiveness of your conflict of interest system by answering the following questions:

Yes

No

N/A

Do we maintain and continuously update a master client list of
current clients, former clients, parties, employees and other
individuals with cross references to files to facilitate researching
apparent conflicts of interest?
Do
we get a signed waiver
from the client if
representation is requested after a potential conflict has been
discussed?
Do we request information regarding other names (i.e., maiden,
marital, etc.) that potential clients and adverse parties may have
used in the past?
Do we proper l y identify and record information regardingthe
adverse party?
Do we check our master list for conflicts of interest before
accepting a new client or matter?
If we do not accept a potential client’s case, do we notify the client
in writing?

IV.

DOCKETING and CALENDARING

Missing a filing deadline or court appearance can be extremely damaging to a client as well as
causing embarrassment and a potential malpractice claim for you. Each firm member should
maintain an individual calendar in addition to a master calendar for the entire firm. Answer the
following questions to determine how well you are doing in this area:

Yes
Do we keep individual calendars, i.e. attorney and
secretary/paralegal?
Does your calendar include (as applicable):
a) statutes of limitations?
b) all court appearances?
c) client and other appointments?
e) real estate closing dates?

No

N/A

f) all self-imposed, discretionary deadlines (i.e., promises made to
others, promises made to you and work deadlines you have set for
yourself?
Do we maintain a master calendar?
Do we have a good system for updating and maintaining each
calendar in case of scheduling?
Do we use reminder slips (tickler slips) to prompt attorney?
If the calendar is maintained on the computer, do we frequently print
out a copy to use in case of power failures or other computer
problems?
Do we use a networked (if applicable) calendar program?

V.

RECORDS MANAGEMENT

The client file represents a record of the work you have performed for the client. It also represents
one of the most frequently overlooked tasks in the office. Maintaining the files in an orderly manner
that allows for efficient access to client information will save time and money in the long run. In
addition, the ability to promptly respond to inquiries by having the information at your fingertips will
enhance your professional image. "Clerical" does not mean "unimportant"--especially in a law office.
The following questions should help you determine the current status of your records management
program:

Yes
Do we have a standardized filing system for all client files?
Are all materials filed timely and regularly?
Do we follow a file retention schedule after a case is completed,
i.e. when to close, when to review for destruction, what to return
to client, what to keep and for how long?
Do we keep back-up media of electronic records off-site?
Does each file have a log or diary of all the events of the matter
including commitments to you and your commitments to others?
Do we back up our data at least weekly?
Do we attempt periodic “restores” of data (to check if it works)?
Do we use computer virus filters and a firewall?

No

N/A

Is there an office policy regarding email retention? Are emails saved
to the relevant client file? Is there a policy dictating who is
responsible for saving emails?
Does the firm utilize a cloud system for file storage? Is the security
of this system monitored periodically?
In case of a breach of electronically stored information, does the
firm have a procedure for informing clients?

VI.

STAFF MANAGEMENT

A large part of a client's impression of your law firm will come from the actions of your staff. It is
critical to your success that your staff is well trained and motivated to provide excellent service to
the firm's clients. Working in a law office is much more than just a job. A client's welfare is placed
directly at stake by your choices.
Check your policies and procedures against the following list of questions:

Yes
Do we have a current office policy and procedures manual and do we
follow it?
Do we sufficiently train our employees when first hired as well as
when major procedural changes occur, e.g. automation?
Do we train employees in the ethical requirements of working in alaw
office?
Do we ask all employees to read the Rules of Professional Conduct?
Do we offer our staff any continuing education opportunities?
Do we keep staff members informed and give them an opportunityto
offer input regarding matters affecting them?
Do we properly supervise employees by reviewing their work?
Do we set a good example of our staff by creating, implementing, and
monitoring dependable office policies and systems, (i.e., docket/work
control, conflicts of interests, good documentation,
etc.)?
Do we express appreciation to employees for work well done and
make sure any necessary criticism is shared privately, and in a timely
and constructive manner?

No

N/A

Do we clearly communicate expectations of performance to all firm
employees?
Do we encourage and motivate employees to take pride and
ownership in their work?
Do we provide support and assistance for staff members in the
handling of disrespectful, rude and otherwise out of line clients and
others?
Do we keep our staff informed as to our whereabouts and schedule?
Do we provide a “safe” office environment? This question refers to
both the physical space as well as the office culture that allows for
the questioning of the work by anyone before it leaves the office.
Are attorneys and staff aware of consequences of hitting “reply all”
in responding to emails?
Is there a firm policy as to whether clients can be copied on
communications with opposing counsel? Is there a firm policy
asking opposing counsel not to copy his or her clients on email to
the firm?

VII.

FINANCIAL MANAGEMENT

Timekeeping, billing, budgeting and financial record keeping, and reporting are included under
the financial management umbrella. All of these activities should be coordinated to produce an
efficient accounting and record-keeping
system. Mastering the elements of financial
management should give you a sense of control over the direction of your firm.

Timekeeping:
Yes
Do we have documented timekeeping procedures?
Do we train all timekeepers in proper timekeeping?
Is time recorded at the time the work is performed?

No

N/A

Billing:
Yes

No

N/A

Yes

No

N/A

Are all expense disbursements posted to clients' files on a regular
basis?
Are all internally incurred expenses (postage, long distance, etc.)
posted to clients' files regularly?
Are all payments and credits posted to clients' files?
Are all entries reviewed for accuracy?
Are all bills reviewed and approved?
Are bills sent out on a regularly scheduled basis?
Are the accounts receivable evaluated and followed upon
regularly?
Are client trust funds kept in a IOLTA or other bank trust
account, separate from operating funds in the operating account?
Budgeting:
Do we need a budget?
Do we compare actual results to the budget on a regular basis?
Financial Recordkeeping and Reporting:
Yes

No

N/A

Do we prepare tax returns timely?
Do we have cash handling, and accounting checks and balances in place, i.e.,
division of responsibilities?
Do we generate monthly or other regularly-scheduled financial reports?
Do we share the firm’s state of well being with everyone in the firm?

VIII.

PROFESSIONAL PRACTICE (STAFF RESPONSES NOTNECESSARY)

These questions relate to several of the details of how the lawyers handle daily events on client matters.
Your standards of care should be consistent and timely--that can be difficult with many
interruptions.

Do I give legal advice over the phone if I am not familiar
with the client?

Yes

No

N/A

Do I have a designated back-up attorney for my files?
Do I regularly go to CLEs in my specialty?
Do I discuss the recommended course of action with clients at a time
and place conducive to a good exchange of information and
questions?
Do I document the client's choice of action and so inform the client in
writing?
Do I have a system to follow up on assignments given to others in
the office?
Do I have a system for notifying clients of the results of motions on
their cases and so document the file?
Is the firm website checked periodically for accuracy? (Have
attorneys or staff left the firm? Are current attorney profiles and
contact information accurate?)
Are emails regarding the representation sent through the firm
website responded to in a timely fashion?
IX.

TECHNOLOGY

Office technology is nothing more than the tools to best serve your clients. The challenge is to have
the knowledge to use these tools fully. Indeed, it may soon be that a lawyer’s professional competence
will include the use of technology to benefit clients.

Yes
Do all our lawyers and staff use computers?
Is everyone trained to usefully use our software?
Do we use case management software?
Do we train new employees about our computer system?

No

N/A

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