Relevant. Affordable. Actionable.
If you were to collect everything I (and many others like me) have written on risk management for lawyers, I suspect the collection would fill a tome or two; but sometimes less is more. It is with this sentiment in mind that I offer this brief Malpractice Avoidance Checklist that covers the basics:
Always try to do the following:
____ With an eye toward maintaining client confidences, keep all spaces clients have access to tidied up.
____ Run a preliminary conflict check at first contact with prospective clients.
____ Run a full conflict check prior to accepting a matter.
____ Determine if the prospective client can actually afford your services and clearly identify the client’s goals and objectives.
____ Say no if you don’t have the time, resources, or expertise necessary to competently handle any proffered matter.
____ Don’t ever dabble in practice areas you are not competent in.
____ Find time to take care of yourself and your support systems.
____ Document all declinations.
____ Put all fee agreements in writing.
____ Document scope of representation in every matter.
____ Remember who hired who and act accordingly.
____ Have a second set of eyes check all critical deadlines for calendaring accuracy.
____ Use reminder dates for all critical deadlines.
____ Establish a file review process to make sure no file is ever forgotten about.
____ Have a backup copy of the calendar off-site or online.
____ File suit well in advance of the actual deadline knowing that sometimes unexpected things happen.
____ Make sure all calls are returned promptly and that the client is always aware of the good, the bad, and the ugly.
____ Find time to take care of yourself and your support systems.
____ Maintain a written record of the advice given and the decision-making process.
____ Make sure to keep the status of all files current.
____ Send monthly detailed billing statements.
____ Review all outgoing documents for accuracy.
____ Complete all matters in a timely fashion because procrastination is an enemy.
____ Document the conclusion of representation with a thank you letter.
____ Keep a complete copy of the client file for at least seven years post-closure.
____ Avoid suing for fees.
____ Politely decline to give legal advice to all non-clients.
____ Document all co-counsel and local counsel agreements in writing.
____ If you haven’t already done so, create a succession plan and designate a successor/backup attorney.
____ And in case you missed it the first two times, find time to take care of yourself and your support systems!
Since 1998, Mark Bassingthwaighte, Esq. has been a Risk Manager with ALPS, an attorney’s professional liability insurance carrier. In his tenure with the company, Mr. Bassingthwaighte has conducted over 1200 law firm risk management assessment visits, presented over 600 continuing legal education seminars throughout the United States, and written extensively on risk management, ethics, and technology. Mr. Bassingthwaighte is a member of the State Bar of Montana as well as the American Bar Association where he currently sits on the ABA Center for Professional Responsibility’s Conference Planning Committee. He received his J.D. from Drake University Law School.
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