THE FIRM
DUE DILIGENCE QUESTIONNAIRE
CANDIDATE'S NAME
Thank you for your consideration of the Firm. Your completion and return of this questionnaire is vitally important to us.
Just as we pledge to you candor and openness in the presentation of information regarding the Firm and its operations, we
ask that you complete this questionnaire in the same spirit.
Should a question be inapplicable to you, please respond with “N/A” or “none” so that we know you have considered the
question. Please feel free to expand any response by attaching an additional page to this questionnaire that references the
question number to which you are responding. Similarly, if any question seeks information contained in an attached resume,
please ignore the question and we will secure the information from the resume itself.
A brief word about our process: Our wish is to move your candidacy along as rapidly as possible. Given the size and
breadth of our firm, achievement of that goal requires each party to stay focused on your candidacy and your timing needs.
To that end, we have assigned the persons below to assist you. You can materially assist in moving the process along by
prompt return of information and by letting the Recruitment Coordinator or Practice Group Leader (or his or her delegate)
named below know if things are not moving along fast enough to suit your needs. You may also contact either of these
persons with your questions or concerns, and they will do their best to answer your questions, accommodate your needs or
assist you in any way that is beneficial to the process.
Office
Phone Number
Email Address
_____
_________
____________________________
_____
_________
____________________________
Recruitment Manager
___________________
Practice Group Leader
Chief PD& Recruiting Officer
Attachments to this questionnaire include:
Attachment A – Historical Financial Worksheet (Senior Counsel and Partners only)
Attachment B – Client Conflicts Questionnaire
Attachment C - Firm Top 200 Clients
Attachment D - Authorization to Obtain Consumer Report for Employment Purposes
Attachment E – Sample Business and Marketing Plan
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
A.
CONFIDENTIALITY
1.
Is your interest in joining the Firm confidential?
Yes
No
2.
Specify address for hard copy documents:
Home
Work
3.
Specify email address for communications:
Home
Work
4.
Specify phone number(s) to be used in communications (check all applicable):
Home
Work
Mobile
All information furnished by you to us regarding your candidacy will be held in confidence and used solely for the purpose
of evaluating your candidacy. Similarly, we expect that all information provided about the Firm will be held by you in
confidence and used solely for the purpose of evaluating us. Your signature at the end of this questionnaire will constitute
your agreement to these provisions, just as our presentation of this questionnaire to you is evidence of our agreement to
them.
B.
PERSONAL AND PRACTICE INFORMATION
1.
Full Name:
First
2.
Middle Initial
Last
Home Address:
Street
City
State
Postal Code
State
Postal Code
If at the address above less than three years, please list prior address:
Home Address:
Street
City
3.
Home Phone:
Home Fax:
4.
Home Email Address:
5.
Driver’s License No:
6.
Social Security Number:
7.
Have you been referred to the Firm by a search firm? Yes
No:
If yes, please provide the name of the Search firm and the date you retained them:
8.
Bar Memberships (please list additional on separate sheet):
State:
Admission Date:
State:
Admission Date:
Due Diligence Questionnaire – CANDIDATE'S NAME
Mobile Phone:
State of Issuance:
Bar Number:
Active:
Yes
No:
Bar Number:
Active:
Yes
No:
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
9.
Please list all legal societies or organizations other than state bar associations in which you have membership
(American Bar Association, etc.):
10.
Area(s) of Current Legal Specialization:
11.
Area(s) of Legal Specialization into which you wish to expand:
12.
Current billing rate(s): $
13.
Name of current malpractice carrier:
C.
EDUCATION
1.
Undergraduate College or University:
Date of Graduation:
Degree:
Honors (if any):
2.
Law School:
Date of Graduation:
Degree:
Honors (if any):
3.
Other Graduate School:
Date of Graduation:
Degree:
Honors (if any):
4.
Relevant Skills (Languages, technology expertise, etc.):
D.
POST-GRADUATE EMPLOYMENT
1.
Have you served as a clerk to a state or federal judge: Yes
No:
If yes, please provide the following information:
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
Name of Judge:
Name of Court:
Period of Clerkship:
2.
If you are currently a clerk, please provide a list of all cases currently pending before your court which involve the
Firm or its lawyers:
3.
Please list all employers for whom you have worked since graduation from law school (please list additional on a
separate sheet):
Employer:
Position:
Hire Date:
Departure Date:
Reason for Departure:
Employer:
Position:
Hire Date:
Departure Date:
Reason for Departure:
E.
ARTICLES, SPEECHES, TEACHING AND BAR ACTIVITIES
1.
Please list on a separate sheet all articles authored and published by you in the previous three years. If none, check
here:
2.
Please list on a separate sheet all speeches and/or public presentations given by you in the previous three years. If
none, check here:
3.
Please list on a separate sheet all teaching or faculty positions with colleges, universities or law schools that you
have held since your undergraduate graduation which are not otherwise listed in this questionnaire. If none, check
here:
4.
Please list on a separate sheet any leadership positions (officer, committee chair, etc.) that you have held in any
national, state or local bar association. If none, check here:
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
F.
FINANCIAL INFORMATION
1.
Senior Counsel and Partner candidates should complete the Historical Financial Worksheet attached as Attachment
A and return it with this questionnaire.
2.
Associate candidates should provide the following for the last three (3) years:
Year
Billable Hours:
Collections in respect
Of billable hours:
$
$
$
Originations:
$
$
$
Pro Bono/ Community
Service Hours (estimate):
$
$
$
G.
CONFLICTS OF INTEREST INFORMATION
1.
Please complete Part I of the Client Conflicts Questionnaire attached as Attachment B by furnishing a list of all
clients for whom, in the past 3 years, you have rendered legal services and as to whom you have obtained
information subject to your ethical duties of loyalty or confidentiality. Include both paying and pro bono clients,
regardless of whether a formal engagement was entered into or a file opened during your previous employment.
We urge submission of the Client Conflicts Questionnaire at the earliest possible time to avoid delay, and we
will accept its submission prior to return of this questionnaire.
2.
As to each client on Part I of the Client Conflicts Questionnaire, please complete Parts II and III of the Client
Conflicts Questionnaire as well. Part II asks for further information regarding officers, directors, affiliates, and Part
III seeks certain information regarding the clients.
3.
Please provide Outside Counsel Policy guidelines for any clients that would remain a client should you join the
Firm.
We urge submission of the Outside Counsel Policy guidelines at the earliest possible time in the event that
management will need to approve our acceptance of the guidelines.
4.
Please review the Firm’s Top 200 Client List, attachment C, and list on a separate page any of those Firm clients
who may present a business conflict or a formal conflict of interest with your previous work, affiliations or clients,
and the identity of your client with whom such a conflict may exist. If none, please check here:
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5.
List all matters in which you have served as a judge or other adjudicative officer or law clerk to such a person or as
an arbitrator, mediator or other third-party neutral. Indicate the cases in which you are aware of the Firm has
represented a party. If none, check here:
H.
LOSS PREVENTION QUESTIONS
With respect to any of questions 2 through 10 for which the answer is “yes,” state on a separate sheet (a) the name of any
case, claim or investigating authority, (b) the date the case, claim or investigation was filed or begun, (c) the nature of the
conduct that was the subject of the case, claim or investigation, and (d) the final result of the case, claim or investigation as it
pertained to you.
1.
Have you complied, or is it your intention to comply, fully with all provisions of your current firm's partnership (or
shareholders) agreement applicable to withdrawing partners (or shareholders), e.g., fiduciary duties to your current
firm and its partners, formal withdrawal notice, effective date of withdrawal, non-solicitation of current firm
partners, employees or clients, recordation of all billable time, and billing and collection of all work-in-process and
accounts receivable?
Yes
2.
Have you ever been named as a defendant in litigation in which any claim against you (complaint, counterclaim,
cross-claim or third party complaint) was based on legal services provided by you or a law firm with which you are
now or were associated?
Yes
3.
No
If yes, see preamble to Section H.
No
If yes, see preamble to Section H.
No
If yes, see preamble to Section H.
Have you ever been sanctioned, or are you currently subject to a motion for sanctions, by a court or other tribunal for
violation of its rules or any statute?
Yes
8.
If yes, see preamble to Section H.
Have you ever been the subject of a Bar grievance proceeding?
Yes
7.
No
Have you ever been charged with violation of an employers’ anti-sexual harassment or anti-discrimination policy?
Yes
6.
If yes, see preamble to Section H.
In addition to any litigation described in response to questions 1 or 2, have you ever been named as a defendant in
civil litigation in which the claims against you involved moral turpitude, fraud, theft or violation of a criminal law?
Yes
5.
No
Do you have any reason to believe that a claim may be filed against you after joining the Firm (“Firm”) by any
person, including but not limited to a client or former client, that is based upon legal services provided by you or a
law firm with which you are now or were associated?
Yes
4.
No
No
If yes, see preamble to Section H.
Have you ever been the subject of an investigation by any governmental or regulatory authority (federal, state or
local) for any conduct relating to the practice of law?
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
Yes
9.
No
If yes, see preamble to Section H.
Have you ever been convicted of a crime?
Yes
11.
If yes, see preamble to Section H.
Have you ever been the subject of any investigation by any governmental or regulatory authority (federal, state or
local) for any alleged conduct involving moral turpitude, fraud, theft or violation of a criminal law?
Yes
10.
No
No
If yes, see preamble to Section H.
Are you an officer or director of or a partner in, or do you have any fiduciary responsibility to, any for-profit or nonprofit entity or any charity or community organization?
Yes
No
If “yes,” for each such entity, state on a separate sheet (a) the name of the entity, (b) your position, (c) the kind of
legal services you provide to the entity, if any, (d) whether the entity is a client, and (e) if a client, the annual fees
you believe the Firm would likely earn from the client.
12.
On a separate sheet, please list all federal, state, and local government entities, agencies, departments, commissions,
task forces, etc., on which you have served and all other public positions you have held in the past five (5) years,
including the dates of each affiliation and the title or other description of your position. If none, please check here:
13.
Do you or your spouse have an investment (equity or debt) in any client whom you hope to continue to represent
after you join the Firm that constitutes more than 5% of your personal assets or more than 5% of the value of the
total class of equity or debt of the client in which you have invested?
Yes
No
If “yes,” for each such client, state on a separate sheet (a) the identity of client and (b) the nature and amount of your
investment.
14.
Do you or your spouse have an investment (equity or debt) in any entity that you know to be an existing client of the
Firm that constitutes more than 5% of your personal assets or more than 5% of the value of the total class of equity
or debt of the entity in which you have invested? (Please review Attachment C prior to answering)
Yes
No
If “yes,” for each such client, state on a separate sheet (a) the identity of the client and (b) the nature and amount of
your investment.
15.
Other than income from investments or fees from legal services, do you or your spouse receive any income (in cash
or in kind) from any client whom you hope to continue to represent after you join the Firm which income you intend
to retain for your personal benefit?
Yes
No
If “yes,” for each such client, state on a separate sheet (a) the identity of the client and (b) the nature and amount of
the income you receive from it.
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
16.
In the past three years, have you solicited, promoted, or otherwise assisted any client, other than through the practice
of law, in obtaining investments by others in the business of a client?
Yes
No
If so please provide details on a separate sheet.
17.
Are you under any court order to pay any person or entity including but not limited to alimony, child support,
garnishments, etc.?
Yes
No
If so, please provide details on a separate sheet.
18.
Have you ever filed bankruptcy?
Yes
No
If so, on a separate sheet please provide the date of filing and the nature of the bankruptcy.
19.
Has any malpractice carrier ever canceled a policy covering you due to your personal actions or omissions?
Yes
No
If so, on a separate sheet please provide (a) the name of the carrier, (b) the date of cancellation, and (c) the reasons
for such cancellation.
J.
ATTACHMENTS AND SIGNATURE
1.
Please complete to the best of your ability and return the following as soon as practicable (see attachment list on
page 1):
a.
b.
c.
d.
e.
2.
Please attach copies of the following to your executed copy of this Questionnaire:
a.
b.
3.
Historical Financial Worksheet (if applicable)
Confidential Client Conflicts Questionnaire
Holland & Knight LLP – Top 200 Clients (For your review only)
Authorization to Obtain Consumer Report for Employment Purposes
Business Plan (partner and senior counsel candidates only)
Your resume
All forms W-2 or K-1 related to employment as a lawyer for the previous three years
Please provide the names and addresses of up to three references
By your signature below you certify that (a) you have filed and paid all prior state, federal or other taxes and returns required
of you, or jointly with your spouse, when due, and attach hereto true copies of your W-2s or K-1s for the past three years,
(b) you agree to the confidentiality statement at the top of page 2, and (c) all of the above statements are true and correct to
the best of your knowledge.
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
Date:
(Signature)
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
ATTACHMENT A
HISTORICAL FINANCIAL WORKSHEET
NAME:
PRESENT FIRM:
OFFICE
SECTION
HIRE DATE
SHAREHOLDER APPOINTMENT DATE
YTD thru
___ 2008
WORKING ATTORNEY
2005
2006
2007
2008
Estimates of Production
as an H&K attorney
First
Second
12 Months
12 Months
BILLABLE HOURS
NON-BILLABLE HOURS
TOTAL HOURS
BILLING RATE
FEES BILLED
FEES RECEIVED
BILLING ATTORNEY
FEES BILLED
FEES RECEIVED
REALIZATION RATE
UNBILLED TIME
ACCOUNTS RECEIVABLE
ORIGINATING ATTORNEY
COLLECTIONS ON FEES ORIGINATED
SPECIAL BILLING ARRANGEMENTS
COMPENSATION
2005
2006
2007
2008
MONTHLY SALARY OR DRAW
ANNUAL BASE COMPENSATION
BONUS
TOTAL ANNUAL COMPENSATION
Are you currently W-2? Yes
No
or K-1? Yes
No
Add any qualifying comments:
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
NOTE: Attach copies of W-2 or K-1 for periods covered
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
ATTACHMENT B
CONFLICT CHART FOR ATTORNEYS
PART I
Please complete this schedule pursuant to the instructions contained in G1 above.
Name:
____________________________
Name of Firm[1] :
_______________________________
CLIENT
INFORMATION
(full name of client)
1
MATTER
ADVERSE PARTY
(general type
of matter)
(include full name of all
parties, including
transactional matters)
Dates of Employment:
OPPOSING
COUNSEL
(if known)
____________________
STATUS OF MATTER
(ongoing, settled, closed, etc. – If
over, please provide approximate
date.)
Please use separate charts for each law firm
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
Are you bringing this
client/matter to the Firm?
ATTACHMENT B
PART II
Please complete this schedule pursuant to the instructions contained in G2 above.
Name:
_____________________________
Name of client/matter you are
bringing to the Firm
Affiliates
Due Diligence Questionnaire – CANDIDATE'S NAME
Officers/Directors
Major Shareholders
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
Other Owners, Etc.
ATTACHMENT B
CONFLICT CHART FOR ATTORNEYS
PART III
Please complete this schedule pursuant to the instructions contained in G2 above.
Name:
____________________________
Name of Client
Annual Fees
(Reasonable Estimate)
Can Business be
Expanded at the
Firm?
(Yes or No)
Due Diligence Questionnaire – CANDIDATE'S NAME
Does Portability Require Hiring
of Other Lawyers (Insert name if
known)
Is Client
Currently For
Sale?
(Yes or No)
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PRMS #22 - due diligence questionnaire for lateral entry lawyers - Law Firm 1
If for Sale,
Will You
Likely Retain
Client Post
Sale?
(Yes or No)
THE FIRM
2007 Top 200 Clients
[INSERT LIST OF FIRM'S TOP 200 CLIENTS]
ATTACHMENT D
THE FIRM
AUTHORIZATION TO OBTAIN CONSUMER & EDUCATIONAL REPORT
FOR EMPLOYMENT PURPOSES
I,
__________________, as an applicant for the position of
_____________ with the Firm (“Firm”), agree that the Firm may request and
obtain any written, oral, or other communication of any information bearing on my
credit worthiness, credit standing, credit capacity, character, educational
background, general reputation, personal characteristics, or mode of living, from
any person or agency which assembles or evaluates individual credit information,
individual educational information, or other information on individuals for the
purposes of furnishing that information to third parties.
I understand and agree that this information may include but may not
necessarily be limited to:




my educational background;
my credit history;
any criminal records;
any department of motor vehicles records.
I understand that, if requested and obtained, this information will be
reviewed by the Firm for the purpose of evaluating me for employment.
I expressly authorize any person or agency which assembles or
evaluates individual credit
information,
individual educational
information, or other information on individuals for the purposes of
furnishing that information to third parties to provide the information
described above about me to the Firm. I understand that the Firm may
request this information from more than one such person or agency.
Signed ______________________________________
Printed Name
SSN:
___________________________________
Date of Birth:
Date:
____________________________
___________________________________
___________________________________
ATTACHMENT E
Individual Business and Marketing Plan
[date]
LAWYER:
I.
_______________________
BUSINESS DEVELOPMENT ACTIVITIES
A. Top Clients.
Identify the top five clients for whom you presently do work and identify your
client contact and describe the nature of the work;
Client Name
Contact
Activity
1.
2.
3.
4.
5.
B. Client Development and Retention.
Identify up to five principal existing clients whom you will regularly
visit/contact; describe the type of activity:
Company
Name
Contact
Activity
1.
2.
3.
4.
5.
C. Client Visits.
1. Identify up to five clients who would be realistic targets to invite to visit
one, or more, of our offices to make a presentation:
2. Identify up to five clients who would be realistic targets for a group of
FIRM attorneys to visit the offices of, and make a presentation to, on a timely
issue of interest or concern:
3. Identify clients/contacts who should be invited to our Practice Group
briefings.
D. Cross-selling.
Identify up to five existing clients that you will introduce to another FIRM
attorney for cross-selling purposes:
Client
FIRM
Attorney
Description of Action and
Outcome Goal
1.
2.
3.
4.
5.
E. Prospects and Referrals.
Identify up to five prospects or referral sources whom you will regularly
entertain by way of lunches, dinners, etc.:
Prospect or Referral Source
Activity
1.
2.
3.
4.
5.
F. New Business Development.
Identify up to five target prospects you will seek to develop new business
from during 2008:
Target Prospect
1.
2.
3.
4.
5.
Type of Legal
Work
Activity
II.
EXTERNAL ACTIVITIES
Indicate activities (including costs) that you will personally undertake to
accomplish in (year) in the following categories and identify how those activities
fit within the overall plan for this Practice Group:
A. Memberships.
I will become an active member in:
1. Bar Association Sections
a.
b.
c.
2. Civic or Professional Organizations
a.
b.
c.
B. Leadership.
I will work toward serving in a leadership position in the following:
Association/Organization
Position Desired
Attained
Target
Date
C. Seminars and Presentations.
I will participate in the planning of the following FIRM or outside- sponsored
seminar, as a primary or panel speaker:
Seminar Topic
Target Audience
Target
Date
D. Articles.
I will prepare the following articles as a primary or co-author:
Topic
Target Audience
Target
Date
E. Personal Development.
I will undertake the following activities to help me develop my personal skills
and level of professionalism:
CLE courses, films or tapes:
Teaching or lecturing opportunities:
Other: