Successful
Business Planning:
Serving
the
Moderate Income Client
Successful Business Planning:
Representing the
Moderate Income Client
Colorado Bar Association Modest Means Task Force
Mark Fogg
Colorado Bar Association President 2012 2013
July 2013
Colorado Bar Association
Continuing Legal Education in Colorado, Inc.
Disclaimer:
Much of the information in Successful Business Planning: Representing the Moderate Income Client is based
on current laws and practices in Colorado, as well as policies and programs of the federal government.
However, this handbook does not contain “approved” guidelines or standards. Attorneys should not let
this handbook substitute for their own independent legal judgment based on their specific case and their
review of the relevant Colorado Rules of Professional Conduct.
The Colorado Bar Association is committed to compliance with all federal and state antitrust laws. In
keeping with that commitment, attorneys are reminded that certain topics are not proper subjects for
discussion and consideration by and between competing attorneys. Any action taken to eliminate, restrict,
or govern competition among members may constitute a violation of the antitrust laws. If there is any
discussion relating to significant factors of competition, an inference may be made that such a discussion
is for the purpose of agreeing upon a common course of business conduct. Among the subjects that should
never be discussed are fees; prices; costs, delinquency charges, or fees; conditions, terms, and prices of
service; allocating or sharing customers; or refusing to deal with a particular supplier or class of suppliers.
Agreements among competitors relating to any of these subjects may be per se violations of the antitrust
laws and can lead to criminal and civil penalties.
The views expressed herein have not been approved by the Executive Council or the Board of Governors of the Colorado
Bar Association and, accordingly, should not be construed as representing the policy of the Colorado Bar Association.
© 2013 Colorado Bar Association
All rights reserved. No part of this book may be reproduced in any form or by any means without
permission in writing from the Colorado Bar Association.
Edited by Darlene Johnson
Book design and production by Deb Marnocha
Cover design by Kate Schuster. Gavel photo © istockphoto.com.
Published by:
Colorado Bar Association
1900 Grant Street, #900
Denver, CO 80203
www.cobar.org
Proceeds from the sale of this book support the work and mission of the Colorado Bar Association.
MODEST MEANS
TASK FORCE MEMBERS
• Claire Anderson, Executive Director, El Paso County Bar Association
• John T. Baker, Director, Colorado Attorney Mentoring Program (CAMP)
• Scott Baroway, Baroway Law Firm
• Sarah Clark, Counsel to the Chief Justice, Colorado Supreme Court
• Aaron Clay, Partner, Clay & Dodson PC
• Adam Espinosa, Assistant Regulation Counsel, Colorado Supreme Court Attorney Regulation
• Mark Fogg, General Counsel, COPIC Companies
• James Garts, III, Associate Attorney, Gutterman Griffiths PC
• Nancy N. Lake, Law Office of Nancy Lake
• Greg Martin, Deputy Executive Director, Colorado Bar Association
• Carlos Migoya, Jr., The Migoya Law Firm LLC
• Sharon Mohr, Executive Director, Elder Justice Colorado
• Reba J. Nance, Director, Law Practice Management Department, Colorado Bar Association
• Rebekah Pfahler, Project Coordinator, Colorado Bar Association
• Gerald D. Pratt, Partner, Pratt & Landry LLP
• Chris Radeff, Partner, Pelegrin Radeff & Frazer-Abel PC
• Kathleen Schoen, Director, Access to Justice Department, Colorado Bar Association
• Hon. Daniel Taubman, Judge, Colorado Court of Appeals
• Charles C. Turner, Executive Director, Colorado Bar Association
• William Walters, III, Of Counsel, Heizer Paul Grueskin LLP
• John Zakhem, President, Zakhem Law LLC
iii
PUBLISHER’S NOTE
Successful Business Planning: Representing the Moderate Income Client is designed to provide
attorneys with useful information and guidance on how to maintain a sustainable law practice while
providing competent representation to moderate income clients.
We would like to thank all the members of the CBA Modest Means Task Force (members are
listed on page iii) for their generous contributions of time and their willingness to share their expertise
with attorneys seeking to develop a practice that encompasses representation of moderate income
clients.
We especially thank Mark Fogg, immediate past president of the Colorado Bar Association, for
his vision and guidance, both on the task force and in the development of this book. We would also
like to thank Pete Peterson for his particularly invaluable assistance with Chapter 2, “Finances.”
We welcome all comments regarding Successful Business Planning: Representing the Moderate
Income Client and will continually strive to keep this publication a helpful and informative resource for
Colorado attorneys.
Please note that this is not a manual on opening a law practice. We recommend that you attend
the next available “Hanging Your Shingle” CBA-CLE program to understand the nuances of opening a
law practice.
ACKNOWLEDGMENTS
Successful Business Planning: Representing the Moderate Income Client was made possible by the
contribution of staff and resources of the Colorado Bar Association, as well as a grant from the American
Bar Association Fund for Justice and Education in support of a proposal submitted to the ABA Access
to Justice Commission Expansion Project by the Colorado Access to Justice Commission.
iv
INTRODUCTION
Successful Business Planning: Serving the Moderate Income Client is a business planning tool
designed to assist lawyers in developing a successful and financially viable practice that incorporates
representation of moderate income clients, a population that often is not able to obtain lawyers.
Accordingly, the Modest Means Task Force believes that this “tool kit” will help increase access to justice
for moderate income Coloradans. The manual includes practical and ethical considerations in
developing a business plan and providing representation. Among the tools are sample forms (included
in electronic form on the accompanying CD), such as an interactive spreadsheet that calculates the
amount of income needed to cover overhead, personnel, and lawyer earnings. There also is a discussion
about the value of mentorship and other ways to gain competency, many of which are offered through
membership in the Colorado Bar Association.
In the current legal environment, moderate income people cannot afford lawyers, and there
are too many lawyers who cannot find work. This environment results in a large number of selfrepresented litigants in the Colorado court system, as well as in individuals using the Internet as their
sole legal resource to draft wills, leases, business agreements, and other documents. Statistics from the
State Court Administrator’s Office (SCAO) show that for fiscal year 2012, 58,000 civil cases (not including
tax liens, foreclosure, or small claims) were filed in Colorado courts in which a lawyer never entered an
appearance. For instance, in domestic relations cases, 61% (21,441 of the 34,897 filed) did not have any
representation by a lawyer at any time during the case.
These statistics do not fully tell the tale. Many civil cases in county court involve landlord/tenant
and debtor/creditor issues, where the landlord and the creditor often are represented by lawyers.
However, the tenants and debtors are most often unrepresented. Therefore, these cases are not factored
into the SCAO’s statistics of self-represented litigants. Additionally, business owners and others who
have drafted their own documents become aware of problems and their need for legal advice only
when something goes awry.
Studies indicate that the major reason moderate income people are self-represented is that they
believe they cannot afford a lawyer. In fact, the vast majority of self-represented people find the legal
system confusing, complex, and frustrating, and would prefer the legal assistance of a lawyer.
However, there are plenty of lawyers seeking to practice law. Many recent law school graduates
have found it difficult to obtain legal employment. Many experienced lawyers are underemployed.
Many law firms have downsized the number of attorneys on staff. This manual is designed to give
these and other lawyers the tools they need to develop a successful practice providing legal assistance
to moderate income people.
We thank the Modest Means Task Force for its generous contributions of time and willingness
to share their expertise with other lawyers. (The list of members of the Task Force appears on page iii.)
These individuals, appointed by CBA President Mark Fogg, were tasked with exploring ways to help
lawyers develop a successful practice while providing access to justice to the moderate income
population. The Task Force will continue, and a report with a list of recommendations is scheduled to
be published later this year.
v
We also thank the Colorado Bar Association staff for their time and energy in shepherding this
project. Additionally, we are grateful to the American Bar Association Fund for Justice and Education
in providing a grant to fund the assistance of Project Coordinator Rebekah Pfahler. Through her tireless
efforts, this project has come to fruition.
The practice of law is in a state of flux. This manual is meant to assist lawyers to be successful as
the legal landscape shifts. It also is meant to provide tools to lawyers to assist a large population of
people who need their assistance. This is a win-win situation.
Mark Fogg
President,
Colorado Bar Association
Judge Daniel Taubman
Co-chair, Modest Means
Task Force
June 28, 2013
vi
John Zakhem
Co-chair, Modest Means
Task Force
TABLE OF CONTENTS
Chapter 1: Client Screening and Counseling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Chapter 2: Finances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Chapter 3: Getting Competent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Chapter 4: Unbundling/Limited-Scope Representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Chapter 5: Marketing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Chapter 6: Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Chapter 7: Office Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Chapter 8: Staffing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Chapter 9: Legal Malpractice Insurance/Professional Liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Chapter 10: Ethical Issues in Representing Modest Means Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Appendix: The CBA Lending Library: An Exclusive Resource for CBA Members . . . . . . . . . . . . . . 159
vii
Chapter 1
Chapter
1
CLIENT SCREENING AND COUNSELING
OVERVIEW
Establishing a relationship with a prospective client is a critical part of the practice of
law. First impressions stick, both with the prospective client and the prospective lawyer. The
right process for interviewing clients and screening them for suitability can save hours of grief
later. This chapter includes references to many articles and forms that can give you guidance in
this area.
In considering whether to accept a client, you must consider many factors:
• Is this the kind of legal work I am comfortable with or willing to become educated
about?
• Is this a client I feel comfortable with? Are there personality clashes already? If so,
beware — differences at early stages will be magnified if the representation does not
go exactly as the client expects.
• What are the client’s goals and expectations? Are they reasonable?
• Can the client afford the amount of work necessary to accomplish the task?
• Do you have the necessary time to commit to the project?
• Will other professionals (lawyers, expert witnesses) be needed?
Soon after the first interview, and sometimes during the interview, a check for potential
conflicts of interest must be made. Start early in your practice keeping a conflicts database,
preferably on an easily searchable computer program. Be diligent about updating the database
daily, so it will be trustworthy. When in doubt about a potential conflict, resolve the doubt in
favor of declining representation.
A good intake template is useful for catching conflicts of interest and other “red flags”
about the requested representation. Sample intake questionnaires for clients and attorneys are
included in this chapter. Give the client a copy of the client questionnaire and make it part of
the file; it may come in handy if your recollection of the problem and its preferred resolution
later differs from the client’s recollection.
As soon as the decision to agree to representation is made, a fee agreement should be
drafted and signed by both the lawyer and the client. Not only is this an ethical requirement, it
is good business practice; the client can see up front what he or she will be getting and paying
1
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
for that service. Again, the client gets a copy and a copy goes
in the file.
If you decide not to undertake representation, notify
the client in writing so that there is no doubt that there is no
further attorney/client relationship. Don’t forget to log this
client into the conflicts database!
TIPS
10 Rules of
Client
Screening
1. Establish
reasonable
expectations.
2. Speak frankly
about the case.
• Create case acceptance guidelines and stick to them.
These guidelines could consist of practice areas you
absolutely do not want to work in, types of cases you
will not accept, or facts that must be present in order
for you to accept the case.
• At your first meeting, discuss the client’s expectations
regarding case outcome, time-frame, communication
methods, etc.
• Address cost considerations including legal fees and
other expenses, particularly the client’s ability to pay.
• At the initial meeting, establish reasonable and
realistic expectations for your client. Discuss the
pitfalls of the client’s case before the positives so the
client doesn’t tune out after hearing “you have a good
case.”
• Assess if you have the time, knowledge, skill, and
energy to take on this particular case. If you decide to
venture outside of your “comfort zone,” do you have
resources and a mentor that you can rely on for
assistance?
• Evaluate whether the client’s case is appropriate for
unbundling. How complex is the case? Is the
knowledge required such that the client would be
unable to handle parts of the case on his or her own?
• If the client has had multiple attorneys before you, be
wary. The odds are that you will be no more successful
than the previous attorneys at pleasing this client. Also
be aware that the client may be swapping attorneys
because of an inability to pay accrued legal fees.
• Carefully explain the concept of unbundling to the
client, including the benefits and risks of limitedscope representation as compared to full-service
representation.
2
3. Stick to your
guidelines.
4. Decide how the
attorney-client
relationship
should be
structured.
5. Assess whether
the case is fit for
unbundling, if
appropriate.
6. Talk money and
time.
7. Be wary of the
“attorney
shopping” client.
8. Maintain
meticulous
records.
9. Listen carefully to
the client.
10. Trust your gut.
Client Screening and Counseling
• Discuss in concrete terms what the task breakdown of the case would be. What tasks
will you complete and what tasks are the client’s responsibility?
• Be mindful of the dangers of taking close friends or relatives on as clients. Although
family and friends can be good referral sources, the desire to please them may lead
you into accepting cases you aren’t competent to handle and can create attorney-client
privilege issues.
• Maintain thorough records of prospective clients for conflict-check purposes.
Attorneys who accept unbundled cases tend to have more prospective clients in a
shorter period of time than attorneys who solely provide full-service representation,
thus creating a larger pool of potential conflicts.
• Trust your gut. Don’t talk yourself into taking a client you don’t feel comfortable
representing. You may regret it later when being sued for malpractice.
• Assess how your relationship with the client should be structured. Will you provide
limited-scope representation? Will you provide full representation at a lower fee? Will
you allow the client to make periodic payments or pay with a credit card?
• Listen. Listen. Listen. How the client speaks about his or her case, the opposing side,
and past attorneys says a lot about how he or she will be as your client.
• Every time you speak with a potential client and you decline to represent him or her,
follow up with a non-engagement letter affirmatively stating that you are not
representing him or her. Keep these virtually forever (or at least two years) so you can
prove that no attorney-client relationship was formed. Remember, whether an
attorney-client relationship has been formed is based on what the client believed and
not what you believe.
• Be sure your engagement letters are specific about the scope of the representation.
Clients assume you will handle everything, even when you’ve indicated otherwise.
• Make sure your conflicts check is thorough. Ask potential clients to identify all parties,
interests, and property. Potential clients should also disclose maiden names, previous
names, or any name they were formerly known as. Remember that conflicts are
ongoing — be sure you put new businesses as they are created, or parties as they are
added, into your conflicts database.
WEBSITES
CBA Client Intake and Client Relations Page
• This page contains client information sheets, client intake forms, client interview
checklists, etc., that you can use to create your own forms. It also contains some great
advice about getting and keeping satisfied clients.
• This page is available to CBA members only. Go to www.cobar.org, log in, and search
for “Client Intake.”
3
Chapter
1
Successful Business Planning: Representing the Moderate Income Client
Colorado Attorney Mentoring Program
Chapter
1
• This page lists the objectives, qualifications, curriculum, and benefits of the Colorado
Mentoring Program, as well as information about how to become a mentor or mentee.
• Go to www.cobar.org and search for “Mentoring Program.”
• For more information about the Colorado Attorney Mentoring Program, please see
the “Programs and Resources” section in Chapter 3, “Getting Competent.”
ABA Ethics Opinions
• Visit this page to view ABA Formal Ethics Opinions dating back to 1984. (All opinions
issued before 1984 are available for individual purchase via PDF download.) Past
opinions are searchable by issue date or subject matter.
• Go to www.americanbar.org/groups/professional_responsibility/publications/ethics_
opinions.html.
ABA ETHICSearch
• ABA ETHICSearch is a free legal ethics research service operated by the ABA Center
on Professional Responsibility and available to lawyers, law students, law clerks, and
other legal professionals. If you have ethics questions or concerns, you can contact one
of the experienced research attorneys at the ABA ETHICSearch for guidance.
• Go to www.americanbar.org/groups/professional_responsibility/services/ethicsearch.
html.
ABA “Going Solo” Portal
• The ABA “Going Solo” Portal is a great resource for attorneys opening their own
practice. It contains information about many useful topics, including business
registration/form of entity, computer advice and assistance, commercial general
liability insurance, among others, as well as various links to helpful articles, blogs,
books, and other websites.
• Go to www.americanbar.org/portals/solo_lawyers/going_solo.html.
Forms2Share
• The CBA’s Forms2Share template repository is a joint effort between the CBA’s
Department of Law Practice Management and the Mile High Chapter of Legal
Administrators to provide lawyers and legal professionals with sample forms related
to law practice management issues.
• Go to www.cobar.org and search for “Forms2Share.”
4
Client Screening and Counseling
SUGGESTED READING
Chapter
1
The Colorado Lawyer
• “Difficult Clients — Dedicated Attorneys: Practical Psychology for Effective In-TheTrenches Representation,” Matthew Crouch (Nov. 2008)
• “Getting Hitched: Confirming the Attorney/Client Engagement,” John M. Palmeri and
Franz Hardy (Jan. 2003)
• “The Former and Quiescent Client,” Robert R. Keatinge and David Little (Aug. 2004)
• “When the Attorney-Client Relationship Breaks Down,” David Little and Michael
Canges (July 2003)
• “Malpractice Minute: Clear Communication Necessary in Terminating or Limiting the
Attorney-Client Relationship,” Christopher Buckman (Aug. 2004)
• “Malpractice Minute: Confirming the Attorney/Client Engagement,” Christopher
Buckman (Jan. 2003)
• “How to Keep Our Clients Happy (At Least Most of the Time),” John Astuno (April
2003)
• “Client Science: Advice for Lawyer on Counseling Clients Through Bad News and
Other Legal Realities,” Katharine A. Jensen (Nov. 2012)
Other Periodicals/Sources
Client Intake and Interview
• “In a Tough Economy, the Importance of Effective Client Screening,” Deborah E. Gillis,
Law Practice Today (Nov. 2008)
• “Case Acceptance and Client Screening,” Tennessee Bar Association, Guide to Setting
Up a New Practice
• “Client/Case Screening, Start Off On The Right Foot,” Dan Pinnington, Law Practice
Today (July 2003)
• “Screen Clients First; Avoid Problems Later,” J. Randolph Evans and Shari L. Klevens,
Daily Report, ALM (June 5, 2012)
• “Selective Representation: Malpractice Prevention Through Client Screening,” Texas
Lawyers’ Insurance Exchange Newsletter (Issue 2, 1988)
• “Effective Client Screening Techniques: Ask Yourself These Questions and Learn to
Say ‘No!’,” Alabama State Bar, Practice Management Assistance Program Newsletter
(PMAP) (May 2005)
• “Client Screening: Keeping the Bugs out of Your Practice,” Steven A. Lewis, Lewis &
Bacon (Jan. 2000)
• “Screening for High Risk Clients: Improve Profitability, Reduce Exposure to Claims,”
Margaret Hepper, Los Angeles County Bar Association, County Bar Update (Dec.
2002)
5
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
• “The Expansion of Attorney Conflict Screening,” Douglas J. Brocker, North Carolina
State Bar Ethics Opinion Article (originally published in the Wake County Bar
Association’s Bar Flyer (Oct. 2003))
• “Client Selection & Screening Guide,” Minnesota Lawyers Mutual Insurance Company
• “ABA House OKs Lateral Lawyer Ethics Rule Change,” ABA Journal, ABA Midyear
Meeting 2009
• “The Initial Client Interview,” Jim Calloway, Oklahoma Bar Association Management
Assistance Program Law Practice Tips
• “Ghosts and Goblins Can Haunt Your Practice: Be Careful of Those Implied-in-Fact
Attorney-Client Relationships,” Ellen R. Peck, California Bar Journal (Aug. 2010)
• “How to Screen Clients,” Spojmie Nasiri (June 2012)
• “The Prudent Course: Ethical and Practical Considerations in Client Selection,”
Devarieste Curry (Sept. 2007) (originally published in the Washington Lawyer
(November 2003))
• “Client Screening Form Can Help Avoid Tactical Conflicts,” Dan Pinnington, Slaw
(March 28, 2011)
Setting Client Expectations
• Formal Opinion 2006-2: “Duties to Prospective Clients; Beauty Contests; Advance
Conflict Waivers; Imputation of Conflicts; Screens,” New York City Bar (April
2006)
• “So What Do You Want?” Norm Hulcher, Hulcher & Hays LLC
• “Client Expectations: Discovering Them, Understanding Them, Managing Them,”
Bruce Bikin, Tips From The Trenches, ABA Litigation News
Charge for Initial Consultation
• “Getting the Maximum ROI From the Initial Client Interview,” Michelle Lore, Minnesota
Lawyer (Oct. 2009)
• “Client Intake, Initial Consultation Fees,” Ellen Freedman, Pennsylvania Law Practice
Management
• “Should a Lawyer Charge for Initial Consultation?” John Sheard, Blog from A Toronto
Lawyer Practicing Criminal and Family Law (Jan. 3, 2012)
Managing the Client Expectations
• “Are You Meeting Client Expectations? Do You Know What They Are?” Tom Kane,
Legal Marketing Blog.com (Jan. 20, 2009)
• “Keeping Client Expectations Realistic,” Johnson Johnson Larson & Schaller PC.,
Eugene, Ore.
• “Managing Clients’ Expectations,” Allison Sheilds, Practice Management, Lawyerist.com
(July 19, 2012)
6
Client Screening and Counseling
Dealing with Difficult Clients
Chapter
• “The Client Perjury Problem,” Saul Jay Singer, Speaking of Ethics, DC Bar (Nov. 2009)
• “When Your Client Wants to Lie: How to Protect Yourself, Your Client and the Judicial
System,” David D. Dodge, Arizona Bar Association (Aug./Sept. 1998)
• “When Clients Lie . . . What Must You Do?” Mark Eiglarsh, Law Offices of Mark
Eiglarsh, Miami, Fla.
• “Client as Co-Counsel,” Jimmy L. Verner Jr., ABA GP Solo Magazine (Oct./Nov. 2003)
How to Fire the Client
• “Terminating the Client Relationship Outline,” Kevin J. Kuhn and Julie J. Collett,
Montgomery, Little & McGrew, P.C.
Client Counseling
• “To Plead or Not to Plead: Effective Assistance and Client-Centered Counseling,”
Steven Zeidman, 39 B.C.L. Rev. 841 (1998)
• “The Lawyer as Counselor,” Jack W. Burtch, Jr., 58 Virginia Lawyer (April 2010)
• “The Lawyer as Counselor Representing the Impaired Client,” Timothy David
Edwards, GPSolo Magazine (Oct./Nov. 2004)
• “What Not to Do When Counseling Divorce Clients,” Deanne Katz, Strategist (Aug. 1,
2012)
• “Symposium: Client Counseling and Moral Responsibility,” Robert F. Cochran Jr.,
Deborah L. Rhode, Paul R. Tremblay, Thomas L. Shaffer, 30 Pepperdine Law Review
(April 18, 2012)
• “‘Pre-Negotiation’ Counseling: An Alternative Model,” Paul R. Tremblay, Boston College
Law School Faculty Papers, Paper 128 (Jan. 1, 2006)
• “Good Lawyers Should Be Good Psychologists: Insights for Interviewing and
Counseling Clients,” Jennifer Robbennolt, University of Illinois College of Law, Law
and Economics Working Papers (2008)
Client Counseling Books
• Lawyers as Counselors: A Client-Centered Approach, David A. Binder, Paul Bergman, Susan
C. Price, and Paul R. Tremblay (2d ed. 2004)
• Legal Counseling, Negotiating, and Mediating: A Practical Approach, G. Nicholas Herman
and Jean M. Cary (2d ed. 2009)
• Client Science: Advice For Lawyers on Counseling Clients through Bad News and Other Legal
Realities, Marjorie Corman Aaron (2012)
• Essential Lawyering Skills, Stefan H. Krieger and Richard K. Neumann (4th ed. 2011)
• Fact Investigation: A Practical Guide to Interviewing, Counseling, and Case Theory Development,
Paul J. Zwier and Anthony J. Bocchino (2000)
7
1
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
• Legal Interviewing and Counseling in a Nutshell, Thomas L. Shaffer and James R. Elkins
(3rd ed. 1998)
• The Counselor-at-Law: A Collaborative Approach to Client Interviewing and Counseling,
Robert F. Cochran Jr., John M.A. DiPippa, and Martha M. Peters (2nd ed. 2001)
• The Winning Edge: Effective Communication and Persuasion Techniques for Lawyers, Richard
H. Lucas and K. Byron McCoy (1999)
INTAKE PROCESS QUESTIONNAIRES
Adapted from materials created by Erika Schermerhorn,
Law Clerk in the Office of Robert G. Heiserman. Used with permission.
Client Questions
Experience/Qualifications
1. Do you handle this type of case?
2. How many cases like this have you handled before?
3. Have you been successful?
4. How long have you been in practice?
5. Do you have any special qualifications?
6. What resources do you have at the office to handle this matter?
7. Who in your office will be working on my case?
8. Who will do each stage of the work?
Fees and Costs
1. Is the initial consultation free?
2. What is your hourly rate?
3. How do you charge?
4. Do you charge for telephone calls?
5. Do I get a detailed billing statement?
6. Do you state separately the charges for non-lawyer services? (e.g., paralegal)
7. How often am I billed?
8. Am I billed for each person’s time when more than one person works on my case at
the same time?
9. What types of payments do you accept?
10. Do you require payment in advance?
11. When is payment expected? (e.g., upon receipt? first of month?)
12. Do you notify me before my retainer is used up?
13. Do you charge interest on overdue payments?
8
Client Screening and Counseling
14. How is the relationship affected if I do not pay as scheduled?
15. What is the case likely to cost me?
16. Are there any additional costs?
17. Do you have a fee agreement?
Time Period
1. Do I have a case?
2. How long is this likely to take?
3. What is the process and how long should each stage of the process take?
4. What is the likely outcome of my case?
5. How will my responsibilities as a client affect the time it takes to finish my case?
The Attorney/Client Relationship
1. Will you represent me?
2. What are my obligations as your client?
3. Will you consult with me about what I want done?
4. How will you keep me informed about the progress of my case?
5. Will you respond to my inquiries promptly and clearly?
6. What is your policy on returning phone calls?
7. If you are not available, with whom can I speak about questions or information
regarding my case?
8. How do I contact you if I have an emergency?
9. How do I contact you if I have an emergency outside of office hours?
10. What will you do if I am not satisfied with the best settlement you can obtain and I
am willing to take my chances in court?
11. How will I determine when your services end?
Attorney Questions
Fees and Costs
1. Is our firm’s expense and work necessary for this client?
2. Is my fee reasonable?
3. Have I explained different methods of computing fees/expenses adequately and
clearly?
4. Can I give a fair estimate of range of the total fees and costs?
5. Can I give the cost of the first several steps needed to achieve the client’s goals?
6. Have I explained the total estimated fees and costs accurately and clearly?
7. Am I able to be more efficient and less costly?
8. Will descriptive billing keep my client informed of the status of the case, or will
additional status reports be necessary?
9
Chapter
1
Successful Business Planning: Representing the Moderate Income Client
Experience and Qualifications
Chapter
1
1. Do I have the competence for this engagement?
2. Is this a meritorious claim?
3. Are the client’s goals realistic?
4. Am I or a member of my firm equipped with the skill and experience to handle this
matter for the client and bring it to an acceptable resolution rapidly?
5. Will I need to consult another attorney to handle this case?
6. Will I have to do all the work on this myself, or can an associate, paralegal, or law
clerk assist me?
Time Period
1. Do I have the time to adequately represent this client?
2. Can I handle this engagement efficiently and effectively?
3. Is there a need for expedited handling?
4. How much attention, time, effort and money is the client willing to commit to this
matter?
The Attorney/Client Relationship
1. Do I have any conflicts of interest?
2. Can I work with this client?
3. What are the client’s goals and are they realistic?
4. What role do I expect the client to play?
5. Have I clearly spelled out actions the client must or should take, along with the
reasons for them?
6. Do I fully understand all of the client’s needs with regard to this matter, and can I or
my firm satisfy them?
7. Am I anticipating the client’s needs before the client expresses them and presenting
possible solutions?
8. Am I clear on what the client expects from me?
9. Is the client clear on what is expected of them?
10. Am I prepared to do whatever is necessary to find out and serve the client’s needs
as they change during the course of representation, regardless of what unforeseen
changes occur in my practice?
11. Do my questions show my interest and understanding of the case?
12. Can I make myself available in order to meet this client’s reasonable expectations for
communication?
13. Am I keeping the client adequately informed on a timely basis?
14. Have I introduced the client to people in my office who will work on the case?
15. Have I adequately explained and does the client understand our firm’s procedure
for ending the attorney/client relationship?
10
Client Screening and Counseling
CLIENT ENGAGEMENT LETTER/AGREEMENT CHECKLIST
Chapter
1
Rule 1.5(b) of the Colorado Rules of Professional Conduct provides that a lawyer must
communicate the basis or rate of the fees and expenses except for clients the lawyer regularly
represents. However, even for clients whom the lawyer has regularly represented, it is the best
practice in Colorado that written letters or agreements are given for any hourly fee and flat fee
arrangements. NOTE: In all contingency fee arrangements, the fee agreement must be in writing
and must be in compliance with Chapter 23.3 of the Colorado Rules of Civil Procedure, “Rules
Governing Contingent Fees.”
The following checklist might be helpful. NOTE: This checklist is not an “approved”
guideline or standard. You should familiarize yourself with the current ethical standards and
law relating to fee arrangements. A checklist for what should be included in a written fee
agreement includes, but should not be limited to, the following:
• Scope of Representation — The scope of representation and services to be given needs
to be specified. This is especially important for limited-scope representation
(unbundling).
• Nature of Fee Charged — The nature of the fee charged should be specified, whether
an hourly based fee or a flat fee. NOTE: You should familiarize yourself with the
current ethical standards and law relating to types of flat fees that can be charged. For
example, non-refundable fees are not permissible, and engagement retainers are tricky
and could result in an unreasonable fee. [See In re Sather, 3 P.3d 403 (2000), and Colo.
RPC 1.5(g).] Flat fees need to be placed in the trust account until earned. If a flat fee is
being used, it is recommended to have milestones in the fee agreement.
• Hourly Billing Rate — If the fee involves hourly rate billing, the agreement should
specify the fee or hourly rate for your services, and if rates differ depending on the
service performed, that should be laid out. If paralegal or other staff time is billed, the
agreement should specify the billing rate for these services. NOTE: You should
familiarize yourself with the current ethical standards and law relating to fee
arrangements. For example, if you change the basis or rate of the fee, it must be
communicated in writing. [See Colo. RPC 1.5(b).]
• Expenses and Costs — The nature of expenses or costs to be reimbursed and how they
will be billed should be specified.
• Terms and Method of Payment — How fees are to be paid and consequences of nonpayment should be spelled out, including your right to terminate the relationship and
withdraw in the event payments are delinquent. Any termination by you must be in
strict compliance with court rules and the Colorado Rules of Professional Conduct.
11
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
• Retainers and Handling of Client Moneys — All funds deposited with you, unless
already earned by you, must be deposited in a trust account, separate and apart from
your personal funds. The letter or agreement should provide for the return of
unearned portions of the fee retainer and the disposition of funds in the trust account
upon withdrawal. NOTE: You should familiarize yourself with the current ethical
standards and law relating to retainers and trust accounts. For example, fees are not
earned until you perform a legal service or confer a benefit upon the client. [See In re
Sather, 3 P.3d 403 (2000), and Colo. RPC 1.5(f). In addition, for trust account guidance,
review Colo. RPC 1.15 and consider attending the “Trust Account School” offered by
the Colorado Supreme Court Office of Attorney Regulation Counsel.]
• Termination by the Client — The letter or agreement should specify that any client
may terminate the agreement and representation at any time, specifying notice
requirements by the client and your obligation with respect to the client’s file and any
documents in your possession. NOTE: You should familiarize yourself with the current
ethical standards and law relating to termination by a client. For example, you cannot
punish the client for terminating the attorney-client relationship. [See In re Sather, 3
P.3d 403 (2000); Elliott v. Joyce, 889 P.2d 43 (Colo. 1994); and Colo. RPC 1.5(g), 1.16, and
1.16A.]
• Termination by Lawyer — The letter or agreement should explain the grounds for
withdrawal by the lawyer, the process of withdrawal, the rights of the client, and the
court’s role in withdrawal if the matter involves litigation. NOTE: You should
familiarize yourself with the current ethical standards, court rules, and law relating to
withdrawal.
• Fee Disputes — The type and nature of the remedies open to the client and to you for
disputes should be laid out.
12
Client Screening and Counseling
SAMPLE LETTERS
Chapter
1
The following are sample letters. These documents are being provided as examples of the
provisions other practitioners have used in this type of letter. Persons using these forms
should not rely on the contents of these forms as evidence of the current state of the law
since the law may have changed. The practitioner must first and foremost rely on his or
her own professional judgment and due diligence in determining what to include or
exclude in a letter.
Declination Letter
[Date]
John Q. Client
100 Main Street
Denver, Colorado 80202
RE:
Client v. Jones
Dear Mr. Client:
This will confirm our telephone conversation on [date]. As I discussed with you on the
telephone, I have reviewed your case; however, I regret that I cannot represent you in your
lawsuit against Mr. Jones.
As we discussed at our meeting on [date], and our telephone call of this morning, the
statute of limitations on your claim against Mr. Jones may run as soon as ______________.
[Alternative option: As we discussed at our meeting on [date], and our telephone call of this
morning, there are statutes of limitations that could bar your claim against Mr. Jones if your case
is not filed in time.] Accordingly, I encourage you to seek other counsel if you intend to pursue
this matter further so that your rights may be protected.
You asked me for several referrals to other counsel. You may want to contact Bill Brown,
Bob White, or Jane Black to see if they can represent you.
13
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
While I very much appreciate your thinking of this firm, I regret that I cannot take on
your case. I wish you the best of luck in pursuing your lawsuit against Mr. Jones and again
encourage you to seek counsel as soon as possible, as the statute of limitations is running.
Very truly yours,
Lawyer
FIRM, P.C.
Enclosure
NOTE: This is a sample form only. Use of this letter will help establish clear expectations
regarding the attorney-client relationship and assist in avoiding attorney-client problems. It will
not, however, provide absolute protection against a legal malpractice action.
SOURCE: Michael T. Mihm. Used with permission.
14
Client Screening and Counseling
Declination Letter — Conflict of Interest
Chapter
1
[Date]
John Q. Client
100 Main Street
Denver, Colorado 80202
RE:
Jones v. Client
Dear Mr. Client:
Thank you for your telephone call on [date], in which you asked us to represent you on
the matter of Jones v. Client. As we discussed this morning, this firm cannot represent you. I have
checked my records and it appears that my firm has a conflict. As we discussed this morning,
because this firm has a conflict of interest, it would be inappropriate for us to represent you in
a lawsuit filed by Mr. Jones.
While I very much appreciate your thinking of this firm, we must decline the case. I
encourage you to contact another attorney as soon as possible.
Very truly yours,
Lawyer
FIRM, P.C.
Enclosure
NOTE: This is a sample form only. Use of this letter will help establish clear expectations
regarding the attorney-client relationship and assist in avoiding attorney-client problems. It will
not, however, provide absolute protection against a legal malpractice action.
SOURCE: Michael T. Mihm. Used with permission.
15
Successful Business Planning: Representing the Moderate Income Client
Termination Letter — Representation Complete
Chapter
1
[Date]
John Q. Client
100 Main Street
Denver, Colorado 80202
RE:
Smith v. Client
Dear Mr. Client:
Please find enclosed for your files the [original/fax original/scanned original] of the
General Release that has been signed by the Plaintiff and an Order signed by Judge Brown
dismissing the case against you with prejudice. Please keep both the General Release and the
Order in a safe place, as they are important legal documents and establish that the claims against
you have been dismissed.
This now completes our representation of you. We will be sending you a final bill for
our legal services and we will be closing the file. If there is any reason that you would like access
to the file, please let me know and you will be provided with access to it. You should do so
quickly, as we will soon send the file to storage. As stated in our fee agreement, we are not
obligated to maintain your file after [_____] years of conclusion of your matter, assuming we
have not received information about pending or threatened legal proceedings. We will not
provide you any additional notice beyond this letter. Accordingly, if you wish to have your file,
it is your obligation to contact us within the timeframe listed above. [Our policy is to destroy
closed files after_______ years. We will notify you before the file is destroyed.]
We are pleased to have had the opportunity to represent you on this matter. If there are
any other matters for which you need legal representation, please call me and we will be happy
to meet with you to see if we can be of assistance.
If you have any questions, comments or criticisms about the case, our bill, or our
representation of you, please contact me and I will be happy to sit down and discuss the matter
with you.
Very truly yours,
Lawyer
FIRM, P.C.
16
Client Screening and Counseling
Enclosure
Chapter
NOTE: This is a sample form only. Use of this letter will help establish clear expectations
regarding the attorney-client relationship and assist in avoiding attorney-client problems. It will
not, however, provide absolute protection against a legal malpractice action.
SOURCE: Michael T. Mihm. Used with permission.
17
1
Successful Business Planning: Representing the Moderate Income Client
Chapter
1
Termination Letter — Continued Representation on
Other Matters — Client’s Responsibilities
REGISTERED MAIL
RETURN RECEIPT REQUESTED
John Q. Client
100 Main Street
Denver, Colorado 80202
RE:
Smith Foreclosure
Dear Mr. Client:
Please find enclosed for your files the original of the Settlement Agreement which has
been signed by defendant Smith and the Deed in Lieu of Foreclosure which has also been signed
by Mr. Smith. Please keep the Settlement Agreement in a safe place, as it is an important legal
document and establishes that you have certain rights against Mr. Smith.
This will confirm that you wish to be responsible for filing the Deed in Lieu of
Foreclosure with the Clerk and Recorder for the City and County of Denver. Accordingly, we
will not take any steps to record the Deed. I encourage you to record the Deed as soon as
possible.
This completes our representation of you on this matter. We will be sending you a final
bill for our legal services on this matter, and we will be closing the file. If there is any reason you
would like access to the file, please let me know and you will be provided access to it. You should
do so quickly, as we will soon send the file to storage. As stated in our fee agreement, we are
not obligated to maintain your file after [_____] years of conclusion of your matter, assuming
we have not received information about pending or threatened legal proceedings. We will not
provide you any additional notice beyond this letter. Accordingly, if you wish to have your file,
it is your obligation to contact us within the timeframe listed above. [Our policy is to destroy
closed files after _________ years. We will notify you before the file is destroyed.]
We are also representing you on the matter of Black v. Client. We will continue to
represent you on that matter and continue to bill you separately for that representation. Please
feel free to contact me regarding the status of that representation and I will continue to keep
you informed on how that matter is developing.
We are pleased to have had the opportunity to represent you on this foreclosure. If there
are any other matters for which you need legal representation, please call me and we will be
happy to meet with you to see if we can be of assistance.
18
Client Screening and Counseling
If you have any questions, comments, or criticisms about the foreclosure, our bill, or our
representation of you, please contact me and I will be happy to sit down and discuss the matter
with you.
Very truly yours,
Lawyer
FIRM, P.C.
Enclosure
NOTE: This is a sample form only. Use of this letter will help establish clear expectations
regarding the attorney-client relationship and assist in avoiding attorney-client problems. It will
not, however, provide absolute protection against a legal malpractice action.
SOURCE: Michael T. Mihm. Used with permission.
19
Chapter
1
Successful Business Planning: Representing the Moderate Income Client
Termination Letter — Firing Client
Chapter
1
[Date]
John Q. Client
100 Main Street
Denver, Colorado 80202
RE:
Smith v. Client
Dear Mr. Client:
As we discussed in our meeting on [date], it appears that our relationship has reached
a point where we can no longer work together effectively. Unfortunately, these situations occur
on occasion and it becomes in the best interest of the client and the lawyer for the client to find
new representation.
[This will confirm that you have decided to retain Mary Ann Counsel as your new
lawyer. My staff is in the process of photocopying your file to be immediately transferred to Ms.
Counsel, and I would be happy to meet with Ms. Counsel, at no cost to you, to bring her up to
speed on the case so she can effectively represent you.]
[I encourage you to contact new counsel to represent you in this matter as soon as
possible. You may want to contact Bill Brown, Bob White, or Jane Black to see if they can
represent you.]
Pursuant to our fee agreement, we will be sending you our final bill for legal services. It
is our understanding from our meeting on [date] that you will be taking care of this bill within
two weeks.
We are pleased to have had the opportunity to represent you on this matter. I regret that
we could not continue to represent you. We have filed a [Substitution of Counsel] [Motion to
Withdraw] with the court. A copy is enclosed. I will send you a copy of the Order as soon as we
receive the signed Order.
If you have any questions, comments, or criticisms about the case, our bill or our
representation of you, please contact me and I will be happy to sit down and discuss the matter
with you.
Very truly yours,
Lawyer
FIRM, P.C.
20
Client Screening and Counseling
NOTE: This is a sample form only. Use of this letter will help establish clear expectations
regarding the attorney-client relationship and assist in avoiding attorney-client problems. It will
not, however, provide absolute protection against a legal malpractice action.
NOTE: This letter is not a substitute for and should only supplement the notice requirements
of C.R.C.P. 121, Section 1-1.
SOURCE: Michael T. Mihm. Used with permission.
21
Chapter
1
Successful Business Planning: Representing the Moderate Income Client
Chapter
AUTHORITIES
1
Case Law
• Jones v. Feiger, Collison & Killmer, 903 P.2d 27 (Colo. App. 1994), rev’d on other grounds,
926 P.2d 1244 (Colo. 1996)
• People v. Crews, 901 P.2d 472 (Colo. 1995)
• People v. Tucker, 904 P.2d 1321 (Colo. 1995)
• Olsen and Brown v. City of Englewood, 889 P.2d 673 (Colo. 1995)
• People v. Madigan, 914 P.2d 346 (Colo. 1996)
• People v. Riddle, 35 P.3d 146 (Colo. 1999)
• People v. Tidwell, 35 P.3d 624 (Colo. 2001)
• People v. Pittman, 889 P.2d 678 (Colo. 1995)
• Allen v. Steele, 252 P.3d 476 (Colo. 2011)
• Mehaffy, Rider, Windholz & Wilson v. Central Bank Denver, N.A., 892 P.2d 230 (Colo. 1995)
Colorado Rules of Civil Procedure
• Colorado Rule of Civil Procedure 11(a) – Obligations of Parties and Attorneys
• Colorado Rule of Civil Procedure 11(b) – Limited Representation
• Colorado Rule of Civil Procedure 121 § 1-1(2) – Withdrawal from an Active Case
• Colorado Rule of Civil Procedure 121 § 1-1(3) – Withdrawal from a Completed Case
• Colorado Rule of Civil Procedure 121 § 1-1(5) – Notice of Limited Representation Entry
of Appearance and Withdrawal
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.0(e) – Informed Consent
• Colorado Rule of Professional Conduct 1.2 – Scope of Representation and Allocation
of Authority Between Client and Lawyer
• Colorado Rule of Professional Conduct 1.7 – Conflict of Interest: Current Clients
• Colorado Rule of Professional Conduct 1.8 – Conflict of Interest: Current Clients:
Specific Rules
• Colorado Rule of Professional Conduct 1.10 – Imputation of Conflicts of Interest:
General Rule
• Colorado Rule of Professional Conduct 1.16 – Declining or Terminating Representation
• Colorado Rule of Professional Conduct 1.18 – Duties to Prospective Client
22
Client Screening and Counseling
Colorado Appellate Rules
Chapter
• Colorado Appellate Rule 5(e) – Notice of Limited Representation Entry of Appearance
and Withdrawal
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 40 – Accepting Case Handled By Another
Lawyer
• CBA Ethics Committee Formal Opinion 57 – Conflicts of Interest
• CBA Ethics Committee Formal Opinion 101 – Unbundled Legal Services
• CBA Ethics Committee Formal Opinion 104 – Surrender of Papers to the Client Upon
Termination of the Representation
• CBA Ethics Committee Formal Opinion 117 – Ethical Responsibilities of Attorneys in
Legal Services and Pro Bono Programs Concerning Prospective Clients
ABA Materials
Conflicts of Interest
• Formal Opinion 92-367 – Client as Adverse Witness in Unrelated Matter
• Formal Opinion 08-453 – Consultation Not a Per Se Conflict of Interest with Firm Client
• Formal Opinion 05-436 – Future Conflicts
• Formal Opinion 08-450 – Multiple Representation
• Formal Opinion 93-377 – Positional Conflicts
Prospective Clients
• Formal Opinion 90-358 – Prospective Clients
• Formal Opinion 90-358 – Duty of Confidentiality
Withdrawal from Representation
• Formal Opinion 96-404 – Disabled Client
• Formal Opinion 92-366 – Client Fraud
• Formal Opinion 94-384 – Disciplinary Complaint Filed by Lawyer Against Opposing
Counsel
Other Sources
• ALA (Association of Legal Administrators) study regarding Conflict of Interest and
Client Intake
23
1
Chapter 2
FINANCES
Chapter
2
OVERVIEW
Opening Your Own Practice: Pitfalls and Concerns
The Modest Means Task Force exists to assist and encourage attorneys in the
representation of moderate means clientele. Young and new attorneys often focus on moderate
means clientele. In the current environment of the legal profession, fewer and fewer firms are
offering positions that make such attorneys available to moderate means clientele. Therefore,
the job of pursuing and assisting the moderate means clientele has more frequently fallen upon
sole practitioners and attorneys who may need assistance in developing their practice to be
sustainable, profitable, and, above all, able to provide necessary services to needy clientele.
To that end, you should review the following list of seven cautionary considerations
before you embark on a new practice or branch out into an area with the intention of gaining
competency and, ultimately, valuable expertise.
1. Consider whether you have sufficient savings to make it through a lean year. It may
be that coming out ahead financially will take some time. There is always great risk
where there is an opportunity for great reward.
2. Consider whether you trust the individuals with whom you share an office or are
joining in a law practice partnership. Best friends do not always make the best business
partners.
3. Consider whether you have sufficient insurance coverage and of the correct type to
protect you from malpractice claims. Branching out on your own or into a new field
of law can be risky, especially when one is dealing with unsophisticated clients who
have little experience with the legal system.
4. Consider whether you have an advertising budget. If you do, then consider your
target audience and research the value of such advertising to you.
5. Consider whether you have a billing system and accounting program sufficient to
meet the needs and volume of your practice. There are many options available at a
broad range of pricing and facilities.
6. Consider whether you have an adequate file storage plan. It may involve a computer
hard drive, backup hard drive, boxes, and paper indexes at first, but eventually you
will probably need a commercial file storage program. Similar to the billing and
accounting programs, there are many available at a broad range of pricing and
facilities.
25
Successful Business Planning: Representing the Moderate Income Client
7. Consider whether you will need staff immediately. It may be nice to have a
receptionist and paralegal, but can you afford them? If you can, do you have the
capacity to run payroll and do you need assistance to manage the required insurance,
taxes, notices, and recordkeeping associated with being an employer?
Chapter
2
The solution to all of these considerations may be found through hours of independent
research. However, such research may not provide everything you need. It is always good
practice to associate with other lawyers having extensive personal experience with the issues
confronted by a lawyer opening a sole practice or joining in a firm or office-sharing group.
Acquire a successful and experienced mentor or compile a committee of friends, well-wishers,
and experts whom you may call upon from time to time to assist you with establishing and
managing your firm.
DISCLAIMER: The Colorado Bar Association is committed to compliance with all federal
and state antitrust laws. In keeping with that commitment, attorneys are reminded that certain
topics are not proper subjects for discussion and consideration by and between competing
attorneys. Any action taken to eliminate, restrict, or govern competition among members may
constitute a violation of the antitrust laws. If there is any discussion relating to significant factors
of competition, an inference may be made that such a discussion is for the purpose of agreeing
upon a common course of business conduct. Among the subjects that should never be discussed
are fees; prices; costs; delinquency charges or fees; conditions, terms, and prices of service;
allocating or sharing customers; or refusing to deal with a particular supplier or class of suppliers.
Agreements among competitors relating to any of these subjects may be per se violations of the
antitrust laws and can lead to criminal and civil penalties.
TIPS
• Look at the CBA Economic Surveys to see what the average rate is for certain cases.
But DO NOT discuss fees or charges with other attorneys.
• Experiment with different alternative billing arrangements (such as fixed fee, not-toexceed, value billing, etc.) to determine what works for you your particular client. You
might also look at simply reducing your hourly rate and/or allowing your client to
make monthly payments.
• Be prepared to explain to the client why receiving legal services from an attorney is
more valuable than relying upon an online legal services company.
• Keep backup electronic records of client trust accounts in case of a system crash.
• Stay on top of your trust account management. The rules require that you reconcile
statements at least quarterly. However, monthly reconciliation is best.
• Your trust account should only be used for funds you hold for third parties or clients.
This includes any advances or retainers you received, as well as settlement monies
you may be holding. Absolutely never use your trust account for employee payroll,
rent, etc.
26
Finances
The 10 Rules
of Finances
1. Deposit all
retainers and
unearned fees into
your trust account.
2. Keep detailed
financial and
client records.
3. Keep electronic
backups of all
records.
4. Hire a bookkeeper
with law firm
experience.
5. Create a business
plan.
6. Create a flexible
budget.
7. Do your research
when calculating
your fees.
8. Never transfer any
money into your
own account until
you’ve earned the
fee.
9. Stay organized.
10. Regularly review
financial
statements.
• Be wary of accepting large cash payments from
clients, particularly if you have any inkling that the
money may be illicit.
• Remember that a flat fee cannot be “non-refundable”
or “earned upon receipt.” The client can always fire
you, and any unearned fees must be refunded to the
client. It is best to include milestones so everyone is
clear when you’ve earned a portion of the fee and
you can then transfer it from your trust account to
your operating account. Once you have earned your
retainer, write a letter to the client informing him or
her that you have earned it and divesting the client
of his or her interest in the funds.
• Save time and energy by utilizing case management
programs with integrated bookkeeping, invoicing,
and time-tracking. There are many inexpensive
software programs listed in this section. If the expense
of case management programs doesn’t fit into your
budget, consider using QuickBooks or similar
programs as stand-alone bookkeeping programs.
• Create a business plan that details what services you
are going to offer to clients, who your client base is,
how your services will differ from competing
attorneys, a strategy and implementation plan, and a
financial plan.
• Create a flexible budget that includes, at the very
least, all known and anticipated expenses, their due
dates, a cushion for unexpected expenses, and
anticipated revenue.
• If you hire a bookkeeper (and you should), make sure
he or she has experience working in a law practice
environment so he or she understands the unique
aspects of legal accounting, such as trust accounting
and reporting.
• Make sure every timekeeping transaction includes:
the date the work was performed, who performed
the work, time spent, and a detailed description of
what the work entailed.
• If you accept credit cards as payment, take particular
care to ensure that client confidentiality is
maintained. Be aware that merchant account fees,
wire transfer fees, or any other fee charged by your
bank or credit card company cannot come out of your
COLTAF account.
27
Chapter
2
Successful Business Planning: Representing the Moderate Income Client
Chapter
2
• Remember that the interest that accumulates on funds in client trust accounts can
never go to you as the lawyer. It must go to either COLTAF or the client.
• Clearly define the nature of the services in the limited scope agreement by detailing
what tasks the attorney will accomplish and what tasks the client is responsible for.
• If you and the client decide on a limited-scope (unbundled) agreement, be sure the
client gives his or her informed consent and you have that consent in writing.
• Increase your efficiency and productivity (and your bottom-line) by staying up-todate on the latest technology.
• Be sure to check out the CBA 2012 Economic Survey Snapshot at www.cobar.org/
index.cfm/ID/20002/subID/28162/DPCBA//. The survey report is an excellent resource
for attorneys who are starting or managing their own practice. For example, you can
use this survey to gauge average overhead expenses associated with maintaining a
private practice by office location and firm size, see the average salaries and billing
rates of attorneys in Colorado, and many other law office management practices.
• Gain valuable information and knowledge about client trust accounts by attending
the Trust Account School offered by the Office of Attorney Regulation. For the 2013
Trust Account School Registration Form, go to www.coloradosupremecourt.com/
Regulation/Forms.htm.
• Hire an outside tax specialist to assist you on your employment taxes. Keep in mind
that you can deduct the expense of hiring this specialist on your taxes.
• Although you may feel competent to act as your firm’s bookkeeper, it is highly
advisable that you hire an outside person to assist you in the initial setup of your firm’s
bookkeeping system.
• Your bill is your most important communication with your client. Take your time billing
and be sure to communicate clearly and effectively with your client.
WEBSITES
Budgeting Tools
• Use online financial planning tools such as www.mint.com or www.hellowallet.com
to create budgets, track spending and investments, create graphs, and set goals that
will keep you on track to financial security.
General Business Finance Resources
• Visit www.smallbusinessfinancetips.com for information and advice on managing
your practice’s finances. Topics include finance software, business plans, bookkeeping,
accounting, and many others.
• Visit the U.S. Small Business Administration’s webpage at www.sba.gov for
information about small business loans and other financing options and resources.
28
Finances
ABA Resources
ABA Ethics Opinions
• Visit www.americanbar.org/groups/professional_responsibility/publications/ethics_
opinions.html to view ABA Formal Ethics Opinions dating back to 1984. All opinions
issued before 1984 are available for individual purchase via PDF download. Past
opinions are searchable by issue date or subject matter.
ABA ETHICSearch
• A free legal ethics research service, ABA ETHICSearch, www.americanbar.org/groups/
professional_responsibility/services/ethicsearch.html, is operated by the ABA Center
on Professional Responsibility and available to lawyers, law students, law clerks, and
other legal professionals. If you have ethical questions or concerns, you can contact
one of the experienced research attorneys at the ABA ETHICSearch for guidance.
ABA Going Solo Portal
• The ABA “Going Solo” Portal, www.americanbar.org/portals/solo_lawyers/going_
solo.html, is a great resource for attorneys opening their own practice. It contains
information about many useful topics, including business registration/form of entity,
computer advice and assistance, commercial general liability insurance, among others,
as well as various links to helpful articles, blogs, books, and other websites.
CBA Resources
Practice Management — Finance
• Visit the CBA Practice Management Resources page (www.cobar.org, click on Practice
Management Resources, then on Finance) for resources to help you maintain the
financial health of your firm. Subject areas include: billing rates, accepting credit cards
for fees, trust account management, fee agreements, software for billing and general
ledger, and more.
Forms2Share
• The CBA’s Forms2Share template repository (www.cobar.org, click on Practice
Management Resources, then on Forms2Share) is a joint effort between the CBA’s
Department of Law Practice Management and the Mile High Chapter of the
Association of Legal Administrators to provide lawyers and legal professionals with
sample forms related to law practice management issues.
29
Chapter
2
Successful Business Planning: Representing the Moderate Income Client
Colorado Lawyer Trust Account Foundation (COLTAF)
Chapter
• Visit www.coltaf.org for a list of COLTAF-approved banks that waive monthly service
charges on COLTAF accounts, pay at least 50 basis points (0.50%), or do both. Also
check out this page for information about where the interest on your COLTAF funds
goes to support legal services in Colorado.
2
FORMS
Please refer to the CD-ROM at the back of this book for the following forms. All forms
are Microsoft Excel spreadsheets unless otherwise stated.
• Moderate Income Client Practice – Budget
• 12 Month Cash Flow
• 12 Month Profit and Loss Projection
• 12 Month Revenue Forecast
• Breakeven Analysis
• Business Plan for a Startup Law Office (Microsoft Word document)
• Four Year Profit Projection
• Opening Day Balance Sheet
• Personal Financial Statement
• Projected Balance Sheet
• Startup Expenses
• Ch. 23.3 Contingent Fees Form 1 (Microsoft Word document)
• Ch. 23.3 Contingent Fees Form 2 (Microsoft Word document)
• Ch. 23.3 Rule 7 (Microsoft Word document)
ARTICLES/BOOKS
The Colorado Lawyer
• “Ethical Considerations of Accepting Credit Card Payments for Legal Services,” Nicole
S. Schram (Dec. 2006)
• “On Retainers, Flat Fees, and Commingling,” Alec Rothrock (Nov. 1997)
• “Contingent Fees: You Bet Your Life and Contingent Plans,” Fotios M. Burtzos and L.
Dan Rector (Aug. 2005)
• “Attorney Fee Awards: Assessing the Reasonableness of the Number of Hours
Claimed,” Jessica Lee (June 2001)
30
Finances
• “Fee Agreements: Types, Provisions, Ethical Boundaries, and Other Considerations —
Part I,” G. Michael Schuyler (March 2002)
• “Fee Agreements: Types, Provisions, Ethical Boundaries, and Other Considerations —
Part II,” G. Michael Schuyler (April 2002)
• “Time and Billing Processes That Improve Law Firm Economic Performance — Part
I,” Ronald L. Seigneur and Dena R. Prom (June 2003)
• “Time and Billing Processes That Improve Law Firm Economic Performance — Part
II, Collections,” Richard D. Cavaliero (July 2003)
• “Alternative Billing Methods: Not Just by the Hour Anymore,” Laurel L. Burke (April
1999)
• “LPM Tips for Marketing, Practice Management, Technology, and Finance,” Reba J.
Nance and Michelle Gersic (December 2007)
• “Tips for Marketing, Practice Management, Technology, and Finance,” Reba J. Nance
and Michelle Gersic (April 2008)
• “Problems with Trust Accounts that Come to the Attention of Regulation Counsel,”
Jamie Sudler (April 2005)
• “Midstream Fee and Expense Modifications Under the Colorado Ethics Rules,” Marcy
G. Glenn (Aug. 2011)
• “The Federal Income Tax Treatment of Contingent Legal Fees in Personal Injury Cases,”
James Serven (March 2001)
• “Recent Developments in the Tax Treatment of Attorney Fees,” James Serven (May
2005)
• “Update to ‘The Federal Income Tax Treatment of Contingent Legal Fees in Personal
Injury Cases,’” James Serven (March 2002)
• “Trust Accounting Made Easy with Software,” Daphne A. Salone (May 2005)
• “Engagement Letters and Common Conflicts of Interest in Joint Representation,”
Constance Tromble Eyster (Feb. 2009)
• “Malpractice Minute: Taking Stock in Lieu of Fees Can Create Real or Perceived
Conflict,” Christopher Buckman (Jan. 2006)
• “Billing Solutions Can Prevent Legal Malpractice Claims and Disciplinary Matters,”
Christopher M. Buckman (Dec. 2006)
• “Disengagement,” E. Michael Canges and Jerre Dixon (May 2004)
• “Malpractice Minute: Clarifying Attorney Responsibilities in Disengagement Letters,”
Christopher Buckman (May 2004)
• “Litigation Funding — A Hypothetical Claim,” Christopher M. Buckman (April 2011)
• “Billable Hours: Point/Counterpoint — In Defense of the Billable Hour,” Joseph T.
Bernstein (Dec. 2007)
• “Billable Hours: Point/Counterpoint — Life Without an Hourly Rate,” Mark E. Lacis
(Dec. 2007)
• “The Pernicious Ripple Effects of Unrealistic Billable-Hour Expectations,” Steve C.
Briggs (March 2005)
31
Chapter
2
Successful Business Planning: Representing the Moderate Income Client
CLE Materials
Chapter
2
• “Developing a Business Plan,” excerpt from Serving the Moderate Income Client CLE
held in October 2012 (CBA CLE)
• “The Wherefore’s and Why’s of Creating a Business Plan,” excerpt from Business Plan
CLE held in 2007 (CBA CLE)
• “Fee Agreements: The Gamut,” excerpt from CLE held in July 2012 (CBA CLE)
Other Periodicals/Sources
Developing a Business Plan
• “Law Firm Recruits Lawyers to Provide a la Carte Divorce Services in Cafe Setting,”
Debra Cassens Weiss, ABA Journal News (Nov. 2012)
• “Key Points to Consider When Borrowing Money,” U.S. Small Business Administration,
FindLaw (March 2008)
• “Are You Ready to Fly Solo?,” Ed Poll, Law Practice Today (March 2011)
• “Building a Great Business Plan for Your New Law Practice,” Freya Allen Shoffner of
Shoffner & Associates, Boston, MA, Massachusetts Bar Association LOMAP
• “Six Tips to Take Charge of Your Own Economy,” Cynthia Sharp, GP Solo (Jan./Feb.
2013)
Developing a Budget
• “Fundamentals of Law Firm Budgeting,” Kim Marren, Legal Management (October
2009)
• “Budget Essentials for Law Firm Business Development,” Deborah C. Scaringi, Legal
Marketing Reader (Oct. 2010)
• “Budgeting is the Key to Effective Alternative Billing,” Ed Poll, LawBiz (Oct. 2012)
• “A Business Plan and Budget: The Foundation of a Successful and Profitable Practice,”
Dave Bilinsky and Dan Pinnington, Law Practice Today (July 2007)
• “Financing a Law Practice,” Laura A. Calloway and David J. Bilinsky, GP Solo (July/Aug.
2011)
• “Increasing Profit by Decreasing Costs,” K. William Gibson, Law Practice Magazine
(July/Aug. 2012)
Retainer Agreements
• “Simplify Your Retainer Agreement,” Sam Glover, Lawyerist.com (Sept. 2010)
• “Get It Right: Retainer Agreement Do’s and Don’ts,” Dolores Dorsainvil, The Young
Lawyer (Oct. 2009)
32
Finances
How Much to Charge/Setting a Fee
• “Pricing Legal Services,” FindLaw (June 2012)
• “Types of Pricing for Legal Services: Hourly Billing,” FindLaw (June 2012)
• “Types of Pricing for Legal Services: Contingency Fees,” FindLaw (June 2012)
Chapter
2
Alternative Billing
• “Marketing and Alternative Fee Arrangements in a Fragile Economy,” Mark Robertson,
Robertson & Williams, Oklahoma City, Okla. and Jim Calloway, Director of the
Oklahoma Bar Association Management Assistance Program
• “A Case for Alternative Billing,” Mark A. Robertson, Law Practice Magazine (July/Aug.
2012)
Setting Up Payment Plans
• “How You Can Afford a Lawyer: Payment Plans for Every Budget,” Antonio B. Mari,
Antonio B. Mari, Attorney at Law, WordPress Blog (Oct. 2010)
Collecting Your Fee
• “Getting Paid: A New Look at Fee Collection,” Edward Poll, Law Practice Today
(September 2006)
• “Collecting Your Fee,” Steven A. Harms, Chapter 3 from Attorney Fee Agreements in
Michigan (2006)
• “Collecting Your Fee Begins at the Intake, Ed Poll, LawBiz, (July 2011)
Taking Credit Cards
• “Give Credit Where It’s Due — By Accepting Credit Cards in Payment,” Ed Poll, Law
Practice Today (May 2008)
• “Should Lawyers Take Credit Cards?,” Andrea Goldman and John W. Marshall, 12
Section Review No. 2 (2010)
• “Do You Accept Credit Cards?,” Jim Calloway, 74 Oklahoma Bar Journal (April 12, 2003)
• “What Attorneys Should Know About Accepting Credit Cards,” Chris Rempel of
Accept by Phone, Inc., FindLaw (March 2008)
• “Credit Card Processing Tips for Lawyers — Don’t Get Ripped Off,” Stella Fayman,
Lawyerist.com, (July 2010)
33
Successful Business Planning: Representing the Moderate Income Client
Managing Your Trust Account
Chapter
2
• “Trust Accounting 101,” Alec Rothrock, Trial Talk (Aug./Sept. 1999)
• “Managing Your Client Trust Account: Where the Buck Stops,” Sheila M. Blackford,
Law Practice Magazine (Jan./Feb. 2011)
• Managing Your Client Trust Account: Manual and Workbook, Office of Lawyer Regulation,
Wisconsin (Jan. 2011)
• “Practice Pointer: Managing Your Trust Account,” Kate A. Toomey, Utah Bar Journal
(Dec. 2004)
• Lawyer’s Trust Account Handbook, The North Carolina State Bar, revised May 2011
AUTHORITIES
Case Law
• Elliott v. Joyce, 889 P.2d 43 (Colo. 1994): Unless provided in the contingent fee
agreement, quantum meruit recovery is not enforceable.
• Dudding v. Norton Frickey & Associates, 11 P.3d 441 (Colo. 2000): Attorneys may seek
quantum meruit recovery even when a contingent fee agreement fails as long as the
attorney gave written notice to the client of the possibility of a quantum meruit claim.
• Mullens v. Hansel-Henderson, 65 P.3d 992 (Colo. 2002): An attorney is entitled to fees
under quantum meruit when the agreed-upon services are successfully completed but
the contingent fee agreement is not in writing. The Dudding rule only applies when
the attorney-client relationship terminates before the agreed-upon services are
completed.
• Fasing v. LaFond, 944 P.2d 608 (Colo. App. 1997): Attorneys are solely responsible for
ensuring the validity of a contingent fee agreement and cannot rely upon a client’s
representations.
• In re Sather, 3 P.3d 403 (Colo. 2000): Advance fees, including flat fees, cannot be “nonrefundable” and must be placed in trust accounts to be withdrawn only after the
attorney has earned them.
• Jenkins v. District Court, 676 P.2d 1201 (Colo. 1984): When a lawyer has chosen to seek
judicial aid in collecting his or her fees and obtains a judgment, the lawyer can assert
the full range of a judgment creditor’s remedies.
• Enyart v. Orr, 238 P. 29 (Colo. 1925); see also Rupp v. Cool, 362 P.2d 396 (Colo. 1961): When
an attorney sues a client for unpaid legal fees, the attorney must show, in addition to
proof of contract and performance, that the contract was “fair and reasonable under
the circumstances” and that the services to be performed were “reasonably worth the
amount” stated in the contract.
• In re Marriage of Swink, 807 P.2d 1245 (Colo. App. 1991): Under the Uniform Dissolution
of Marriage Act, the court can order a party to pay a reasonable sum for legal services
rendered to the other party by a pro bono attorney in dissolution of marriage
proceedings.
34
Finances
• Olsen and Brown v. City of Englewood, 867 P.2d 96 (Colo. App. 1993), aff ’d, 899 P.2d 673
(Colo. 1995): An attorney’s quantum meruit recovery is limited to the value of services
rendered as of the date the attorney-client relationship terminated.
• People v. Banman, 901 P.2d 469 (Colo. 1995): Upon request, an attorney should provide
an accounting of fees.
• Jones v. Feiger, Collison & Kilmer, 903 P.2d 27 (Colo. App. 1994), rev’d on other grounds,
Feiger, Collison & Kilmer v. Jones, 926 P.2d 1244 (Colo. 1996): Any provision in a legal
services agreement that would deprive a client of the absolute and unqualified right
to accept or reject a settlement is void as against public policy.
• Law Offices of J. E. Losavio, Jr. v. Law Firm of Michael W. McDivitt, P.C., 865 P.2d 934 (Colo.
App. 1993): The reasonableness of attorney fees is still subject to scrutiny by the court
even if the parties have agreed to the amount, rate, or terms of the fee.
• People v. Radinsky, 490 P.2d 951 (Colo. 1971): Excessive fees can be a basis for disciplinary
action.
Colorado Rules of Civil Procedure
• Chapter 23.3 – Rules Governing Contingent Fees
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.0(e) – Informed Consent
• Colorado Rule of Professional Conduct 1.5 – Fees
• Colorado Rule of Professional Conduct 1.15 – Safekeeping Property
• Colorado Rule of Professional Conduct 1.16A – Client File Retention
• Colorado Rule of Professional Conduct 1.16(d) – Upon Termination of Representation
• Colorado Rule of Professional Conduct 5.4(a) – Legal Fee Sharing
• Colorado Rule of Professional Conduct 7.1(d) – Communication Re: Fees/Costs
• Colorado Rule of Professional Conduct 8.4 – Misconduct
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 20 – Fee Collection
• CBA Ethics Committee Formal Opinion 34 – Advancement of Living Expenses for
Personal Injury Client
• CBA Ethics Committee Formal Opinion 38 – Referral Fees
• CBA Ethics Committee Formal Opinion 40 – Accepting Case Handled By Another
Lawyer
• CBA Ethics Committee Formal Opinion 54 – Fees Charged in Foreclosure or
Redemption
• CBA Ethics Committee Formal Opinion 66 – Imposition of Interest or Finance Charges
on Client Accounts
35
Chapter
2
Successful Business Planning: Representing the Moderate Income Client
Chapter
2
• CBA Ethics Committee Formal Opinion 67 – Contingent Fee Arrangement in Child
Support and Spousal Maintenance Cases
• CBA Ethics Committee Formal Opinion 72 – Recovery of Attorney Fee by Lender
Using In-House Counsel
• CBA Ethics Committee Formal Opinion 82 – Assertion of Attorney’s Retaining Lien
on Client Papers
• CBA Ethics Committee Formal Opinion 94 – Ethical Duties Relating to a Client’s
Property Held by a Lawyer in Which a Third Party Has an Interest
• CBA Ethics Committee Formal Opinion 95 – Funds of Missing Clients
• CBA Ethics Committee Formal Opinion 99 – Use of Credit Cards to Pay for Legal
Services
• CBA Ethics Committee Formal Opinion 100 – Use of Conversion Clauses in Contingent
Fee Agreements
• CBA Ethics Committee Formal Opinion 104 – Surrender of Papers to the Client Upon
Termination of the Representation
• CBA Ethics Committee Formal Opinion 106 – Referrals Fees and Networking
Organizations
• CBA Ethics Committee Formal Opinion 109 – Acquiring an Ownership Interest in a
Client
• CBA Ethics Committee Formal Opinion 110 – Assertion of Attorney’s Charging Lien
and Taking Security Interest in Client Property to Protect Fees
• CBA Ethics Committee Formal Opinion 118 – Handling of Funds Disputed After
Proper Withdrawal from Trust Account
ABA Materials
Fee Agreements
• Formal Opinion 11-458 – Changing Fee Arrangements During Representation
• Formal Opinion 02-425 – Provision that Fee Disputes Arbitrated
Billing
• Formal Opinion 00-420 – Contract Lawyers, Surcharge to Client for Use
• Formal Opinion 93-379 – Itemizing Services and Disbursements
Business Transactions with Client
• Formal Opinion 00-416 – Purchase of Client’s Accounts Receivable from Client
• Formal Opinion 00-418 – Stock Ownership as Compensation
36
Finances
Contingent Fees
• Formal Opinion 87-354 – As Payment Arrangement with Medical-Legal Consulting
Firm
• Formal Opinion 94-389 – Recovery and Liability Certain
• Formal Opinion 93-373 – Reverse Contingent Fee
Chapter
2
Division of Fees
• Formal Opinion 95-392 – In-House Counsel Sharing Fee Award with For-Profit
Corporate Employer
• Formal Opinion 87-355 – Prepaid Legal Services
• Formal Opinion 93-374 – Pro Bono Organizations, Sharing Court-Awarded Fees with
Sponsoring Pro Bono Organizations
Fees Paid by Third Party
• Formal Opinion 08-450 – Multiple Representation
37
Chapter 3
GETTING COMPETENT
OVERVIEW
Chapter
3
Although the concept sounds simple, competency in this type of practice involves much
more than a license to practice law and hanging your shingle. Becoming competent in a modest
means practice requires being familiar with the local court systems in which you plan on
practicing, becoming comfortable in the courtroom, and understanding the variety of human
emotions that may arise in the extreme stress your clients endure as litigants in the justice
system.
The Law
Continuing Legal Education
• You should attend regular CLE seminars on multiple areas of practice, as your clients
will seek advice on many different topics. Colorado Bar Association CLE, the
educational arm of the CBA, provides many such programs throughout the year, and
CBA members receive substantial discounts. You should have a basic understanding
of family law, criminal law, simple wills, collection law, simple real estate transactions,
and auto-accident-related personal injury.
• In addition to seminars, it is a good idea to build a library of informational resources.
CBA-CLE publishes books in many areas of the law. Also, subscribe to the online
opinions from the Colorado Court of Appeals and Colorado Supreme Court and
review the relevant opinions as they are released. The combination of publications
and online opinions will keep you current for your clients.
Mentoring
• One of the best resources is to locate an attorney in an office-sharing group or a lawyer
who is willing to serve as a mentor for the first year or two of your practice. You should
plan on meeting once a month to discuss your various cases and practice issues. A
mentor can also provide you valuable advice when you cannot find the answer to a
problem. However, you should always research the issue, draft the pleading, and
check other online resources before reaching out to your mentor. His or her time is
valuable as well, so do not expect your mentor to provide you unlimited advice, forms,
or drafting assistance.
39
Successful Business Planning: Representing the Moderate Income Client
Co-Counsel
• If you have a case in an area of law that you are very unfamiliar with, never hesitate
to co-counsel with an experienced attorney. You should not be concerned with sharing
your fee because the experience of co-counseling will provide you with the education
needed to handle the matter solo next time it comes through the door.
List-Servs and Practice Sections of the Bar
Chapter
3
• The Internet has made the bar community closer and quicker to respond to help those
looking for a second opinion. The ABA has many great resources, including numerous
list-servs on specific topics of interest. Additionally, practice sections of the CBA also
have list-servs within which many lawyers are willing to offer advice and input on a
wide range of topics.
Court System
Physical Location
• When beginning your practice, you should physically go to every courthouse in the
jurisdiction in which you practice and walk around. Where are the courtrooms, the
clerks’ offices, the conference rooms, the cafeterias, and the restrooms? You want to
be proficient in moving around these buildings, as well as being able to direct your
clients ahead of time. Your familiarity with the courthouse will provide your client
with a level of comfort that this is not your first rodeo — even if it is.
Local Staff
• You should introduce yourself to the local staff at the courthouses. Always be nice,
respectful, and understand the limits of their assistance. Courthouse personnel,
including judges, talk a lot about the lawyers they deal with. A positive and friendly
reputation in every courthouse will serve you well when you need their help in the
future. These are the people who can get you out of a scheduling jam, move you up
on a crowded docket, or move your file to the top of the judge’s pile of paperwork.
• A good way to get to know them is to personally introduce yourself, indicating that
you are new to the area. To the staff in the general clerk’s office, ask if there are any
published local rules you should be aware of. Most courts do have them, and the staff
can provide you a copy. Do not forget to ask the same question of each specialized
clerk that a larger court system may have (probate, domestic, criminal, general civil).
Most judges run their courtroom practice as they choose. So to the staff in each
courtroom, make the same introduction and ask if they have any preference in how
they set hearings in their division. Some will do them only on certain days or at certain
times. Do not forget to take notes while they are talking, as you will need them later
on. Finally, when you do have a chance to talk to them on the phone, a short few
minutes of small talk is usually appreciated.
40
Getting Competent
Local Rules
• Now that you have copies of the local rules from each court after your personal visits,
read them. It is also a good idea to make copies of each and put the applicable one in
the front of your client’s case folder for quick reference while working on his or her
matter.
Courtroom Comfort
• If you are going to engage in modest means practice, you are going to be in the
courtroom and will be expected to be proficient at small trials and hearings. As such,
you must be comfortable and proficient in courtroom/trial procedure and the rules of
evidence (your law school class and the bar exam are NOT enough). Aside from the
obvious CLEs on these topics, you should push your comfort levels by taking roleplaying programs. NITA, CBA, ABA, and local bar associations all offer classes that
force you to practice these skills in front of people. Additionally, you should go to the
courthouse and watch cases in action. Spend a few hours at different courts watching
mass arraignment misdemeanor dockets, a domestic relations docket, a dependency
& neglect docket, and a couple of district court trials. In addition to the lawyer ’s
presentation, pay careful attention to how the staff interacts with the cases and the
lawyers, as well as how the judge handles large-volume case loads.
People Skills
• This often-underappreciated area of study and practice cannot be over-emphasized.
Modest means practice is about being responsible for helping real people through
what is often the most stressful event that has occurred in their lives. This does not
imply that you are their therapist, but rather that you react appropriately with them
given the situation. You need to gain their trust and confidence while properly
managing their emotions through the process. A client who trusts you will generally
be satisfied with your representation on his or her case, come back with other problems
in the future, and refer you to friends and family. This is probably one of the largest
areas of self-study that will pay off in the growth of your practice. Although the Bar in
general has offered some education on this, it is still overlooked by the legal industry
as a whole. However, there are numerous online sites and printed periodicals, such as
Psychology Today, that are worth their small subscription fees.
Client Management Competence
• You should have an organizational system for your client management process from
the first meeting to the closure/termination letter. The process should follow a
paperwork pattern that is repeated for almost every case to create good file
documentation. Documents should include a client intake questionnaire, fee
agreements, descriptions of services to be provided, conflict-of-interest checklist,
income and employment information, contact information, and documentation
41
Chapter
3
Successful Business Planning: Representing the Moderate Income Client
regarding any particular time frames for deadlines
that must be met for the client. Additional systems in
place should include billing, case management
software, calendaring, tickler systems, and automated
case law update systems.
1. Attend CLEs
regularly.
TIPS
Chapter
3
10 Rules of
Getting
Competent
• Attend regular CLEs on multiple areas of practice.
Your clients will likely seek advice on issues that
encompass multiple areas of the law, and it’s best to
be competent in more than one practice area.
• Subscribe to the online opinions from the Colorado
Court of Appeals and Supreme Court and review
relevant opinions as they are released.
• Locate an attorney who is willing to serve as your
mentor. E-mail Melissa Nicoletti with the CBA at
[email protected] or contact John T. Baker, Director
of CAMP (Colorado Attorney Mentoring Program),
at [email protected] for assistance in getting
connected with a mentor.
• Remember that your mentor’s time is valuable and
do not rely upon him or her for unlimited assistance
or fail to do your own research ahead of time on a
particular issue.
• Co-counsel with an experienced attorney if you
accept a case that is outside your experience or
knowledge.
• Take advantage of online resources such as list-servs
or newsletters available through both the ABA and
the CBA. Read The Colorado Lawyer monthly.
• Familiarize yourself with every courthouse in your
jurisdiction so you will be knowledgeable about the
physical layout of the courthouse and be able to
direct your client ahead of time.
• Always be respectful and courteous to the local staff
at the courthouse. Remember that, like you, court
staff members are legal professionals committed to
the judicial system and thus deserve to be treated
with the same consideration you afford to fellow
attorneys and judicial officers. Also, at some point
you will need their invaluable assistance.
42
2. Develop skills in
multiple areas of
the law.
3. Find a mentor.
4. Stay current on
the latest case
law updates.
5. Develop client
management
skills.
6. Take advantage
of online
resources.
7. Learn the local
rules and court
procedure.
8. Be courteous to
court staff.
9. Hone your
courtroom skills.
10. Develop people
skills.
Getting Competent
• Read the local rules for your jurisdiction and place a copy of them in each client’s case
folder for quick reference.
• Become comfortable in the courtroom and with trial procedure. Enroll in role-playing
trial advocacy workshops such as NITA. Spend time at the courthouse watching trials
and hearings on various dockets.
• Develop your people skills. In order to have a successful practice as an attorney who
provides limited-scope representation, you must be able to gain the trust and
confidence of your clients while guiding them through what is one of the most
stressful times of their lives.
• Develop client management competence. Create and follow an organizational system
of client management from the first meeting to the closure/termination of the
representation. Implement billing, calendaring, “tickler,” and automated case law
update systems.
RESOURCES FOR CBA MEMBERS
• Members receive substantial discounts on high-quality, live CLE programs and
webcasts, video replays, audio home study, and law practice manuals through CBACLE.
• Legal research and technology tools available to CBA members include Casemaker
Online, members-only areas of the CBA website, information list-servs, eSlips, and
online access to The Colorado Lawyer.
• Financial services and savings opportunities available to CBA members include ABA
Retirement Funds retirement plan, mortgages with Cherry Creek Mortgage Company,
banking and loans through the Legal Community Credit Union of Colorado, payroll
processing with Paychex, banking and credit card processing with Wells Fargo, and a
WorldPoints Mastercard.
• CBA members can receive various insurance benefits through Anthem Blue Cross &
Blue Shield, BIG, GEICO, Golenda Insurance/Benefits Consulting, Guardian, Hofgard
& Co., LTC Global, Marsh Affinity Group Services, and Pinnacol Assurance.
• The CBA partners with the following organizations to provide office service tools and
discounts to CBA members: ABA Webstore, Costco, FedEx, OfficeMax, Metadata
Assistant, Clio, Brief-Lynx, EasySoft, ESQ Sites, Flatiron Web Marketing, Mozy, Rocket
Matter, Ruby Receptionists, and SurePayroll.
• The CBA partners with the following organizations to provide discounts on personal
services to CBA members: Alamo, Avis, Hertz, and National; Brooks Brothers; Colorado
Athletic Clubs; Corepower Yoga; GoNext; RMFA; T-Mobile; Warwick Hotel Denver;
YMCA; and various magazine subscription services.
• The Law Practice Management (LPM) Section of the CBA website includes the Lending
Library, information on software training discounts, Casemaker Hotline, and Practice
Management Hotline.
43
Chapter
3
Successful Business Planning: Representing the Moderate Income Client
Chapter
3
• The LPM Section of the CBA website also provides
resource information on opening a practice,
computer software and training, hiring staff, choosing
malpractice insurance, file retention, choice of entity
for the practice of law, ethics, marketing, finance,
technology, and much more. The LPM Department
has recently launched a monthly newsletter sent out
the third Wednesday of every month. This newsletter
keeps members up to date with timely information
that will help them practice law more efficiently.
• LPM also provides information on malpractice
prevention and insurance, including tips on how to
choose a carrier, a list of carriers who can write
policies in Colorado, the Whoops! newsletter, and links
to various other helpful websites.
• Check out Tech Tuesdays on the fourth Tuesday of each
month, from noon to 12:30 p.m. to help you learn
new technology to practice more efficiently and
better serve your clients. Each short session is
designed to give you some practical take-aways to
apply in your practice. Participate in Tech Tuesdays
without leaving your office by visiting www.
cobar.org/index.cfm/ID/22586/CLPE/Tech-Tuesdays for
recordings and archives of past presentations.
• The Ethics HotLine is available for attorneys with
immediate ethical dilemmas or questions. HotLine
inquiries are handled by individual members of the
Ethics Committee. Attorneys are asked to do their
own research prior to calling the HotLine and limit
their questions to 10 minutes per call. To contact the
HotLine members, call the Colorado Bar Association
office at (303) 860-1115 or (800) 332-6736 (in-state
only).
• Through the joint committees and sections of the
CBA, you can keep up in your area of practice, attend
symposia and CLE topical programs, subscribe to listservs, get referrals, get advice, avoid the feeling of
isolation, and network with peers.
• The Colorado Lawyer is an award-winning publication
available to CBA members that is searchable online
(back to November 1971). The CBA website contains
indices by author, title, and column. Columns cover
topics such as ethics, legal research, law practice
management, law office technology, and substantive
law.
44
10 Things to
Remember
About
CBA Resources
1. Members receive
substantial discounts
on CLE seminars.
2. Casemaker 2.2
makes legal research
more affordable.
3. Members receive a
variety of discounts
on financial,
personal, and office
services.
4. Resources specifically
geared toward solo
and small-firm
lawyers are available
on the website.
5. Read The Colorado
Lawyer to stay “in the
know.”
6. Take advantage of
the Ethics HotLine.
7. Become a mentor or
mentee with the CBA
Mentoring Program.
8. The Joint
Committees and
Sections are great
information and
networking
resources.
9. Don’t forget to use
the LPM Section of
the website!
10. Tuition and dues
assistance are
available to assist
attorneys facing
financial hardships.
Getting Competent
• The CBA website includes information and links to employment listings, eSlip
opinions, court forms, Colorado Revised Statutes, the CBA-CLE Legal Connection, the
Judicial Vacancies Listserv, ethics opinions, the Rules of Professional Conduct, weekly
C-Brief, D-Brief, and CLE newsletters, Law Practice Management Department
resources, and the Find a Lawyer member directory.
• Through Casemaker 2.2, CBA members can conduct legal research in Colorado Court
of Appeals and Supreme Court cases dating back to 1862, annotated statutes, session
laws, The Colorado Lawyer, annotated court rules, the Colorado Federal Rules, Workers’
Compensation ICAP decisions, Attorney General opinions, the Constitution, Tenth
Circuit opinions, the Colorado Code of Regulations, as well as case law for all 50 states.
Casemaker 2.2 has enhanced functionality, available mobile apps, the Casemaker
Digest, the CaseCheck+.
• Become a mentor or mentee with a Colorado mentoring program. Participating in a
Colorado mentoring program as a mentee is a great way to network and gain valuable
advice on starting your legal career or developing your career in a different area of
practice, such as moderate-income representation. For additional information on the
programs, go to www.cobar.org/mentoring or e-mail Melissa Nicoletti at milissan@
cobar.org. Or contact John T. Baker, Director of CAMP (Colorado Attorney Mentoring
Program), at [email protected]. More information is also included in the
“Programs and Resources” section, below.
• CBA members can access recent economic surveys that break down relevant
information by billing rates, years in practice, geographic area, practice area, overhead
expenses, salaries and billing rates for paralegals and secretaries, and much more.
• Resources specifically geared toward solo and small-firm lawyers available on the CBA
website include the Solo List-serv; the SoloInColo blog; the Small Firms, BIG SUCCESS
seminar series; mentoring programs; and much more.
• CBA members can participate in bar-sponsored events and programs such as Law Day,
Law Line 9, Mock Trials, Court Tours, Barrister’s Benefit Ball, the Ethics HotLine, the
People’s Fair, the Community Action Network (CAN), DPS Guest Teacher Program,
the Speakers’ Bureau, and the Metro Volunteer Lawyers’ Family Court Program (and
other pro bono opportunities).
• Various other resources and opportunities available to CBA members include career
opportunities, Confidential Assistance for Attorneys (CLHL), legislative services, and
volunteer and networking opportunities.
• The CBA’s Dues Assistance Program allows any prospective or current member of the
CBA who is unemployed or facing other financial hardships to apply for a partial or
full dues waiver of general CBA dues. Tuition Assistance is also provided for CBA-CLE
programs to members who are unemployed or facing other financial hardships.
• The CBA offers a comprehensive package of services and discounts for its members.
The bar association is always adding and updating offerings to give you the greatest
value for your membership. For more information, contact Membership Services at
(303) 860-1115 or (800) 332-6736, [email protected], or visit www.cobar.org.
45
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Successful Business Planning: Representing the Moderate Income Client
WEBSITES
ABA Resources
Chapter
3
• The Lawyer’s Resource Center:
www.americanbar.org/resources_for_lawyers/careercenter.html
• Young Lawyers Division: www.americanbar.org/groups/young_lawyers.html
• Solo and Small Firm Resource Center: www.americanbar.org/portals/solo_home.html
• Center for Professional Responsibility:
www.americanbar.org/groups/professional_responsibility.html
CBA Resources
Information on the following CBA resources is available by going to www.cobar.org and
clicking on “For Lawyers”:
• Resources for Professionalism
• Practice Management Resources
• Opinions/Rules/Statutes
• Ethics Committee
• Colorado Lawyer Assistance Program (COLAP) (under Confidential Assistance for
Attorneys)
• Continuing Legal Education
• Section Membership (under Inside the Bar)
• Colorado Mentoring Program
• The Litigator’s Handbook
General Resources
• www.myShingle.com
• Legal Information Institute at Cornell University Law School: www.law.cornell.edu
• www.probono.net
Colorado Courts Website Resources
• Colorado Courts Forms Page: www.courts.state.co.us, click on “Forms”
46
Getting Competent
CBA LENDING LIBRARY
Many of the materials in the CBA Lending Library include helpful tips for getting and
maintaining competency in the legal field. More information about the CBA Lending Library is
included in the Appendix at the back of this book.
ARTICLES/PUBLICATIONS
Chapter
3
The Colorado Lawyer
• “Ethical Considerations When Providing Unbundled Legal Services,” Adam J. Espinosa
(Sept. 2011)
• “The Colorado Mentor Program — How it Works,” Mark Fogg (Aug. 2012)
• “Limited Scope Representation Under the Proposed Amendment to C.R.C.P. 121, § 11,” Adam J. Espinosa and Daniel M. Taubman (Nov. 2011)
• “Limited Representation in Criminal Defense Cases,” Gerald D. Pratt (Oct. 2000)
• “Unbundling Family Law Practice Creates Pro Bono Opportunities,” Melody Kay
Fuller (Sept. 1998)
• “Fostering Civility, Respect for Lawyers, and Respect for the Law Through Mentoring,”
David L. Masters (Sept. 2011)
• “Mentoring Helps Set a Professional Example,” Diane H. Mauriello (April 2000)
• “Mentoring: An Unmet Challenge,” A. Bruce Campbell (July 2011)
• “The Rewards of Mentoring,” W. Robert Montgomery (Dec. 1999)
CLE Materials
• “Immigration Law Basics and Hot Topics,” presented by The Rocky Mountain
Immigrant Advocacy Network (RMIAN), original program date: May 21, 2010
• “Family Law Basic Skills 2011,” presented by a panel of judges from throughout
Colorado, original program date: Feb. 17, 2011
• “Family Law Basic Skills 2012,” presented by a panel of judges from throughout
Colorado, original program date: Feb. 24, 2012
• “Ethics 7.0,” presented by Bennett S. Aisenberg, Gerald D. Pratt, Brian R. Reynolds,
and Alexander R. Rothrock, original program date: Oct. 8, 2009
ABA Materials
• Example Co-Counsel Agreement from the American Bar Association: www.
americanbar.org, search for “Example Co-Counsel Agreement”
47
Successful Business Planning: Representing the Moderate Income Client
CLE Practice-Specific Books
In addition to providing excellent programs, CBA-CLE publishes Colorado-based
practice books and treatises on many areas of the law. The books are supplemented to keep
them up to date on case law, regulatory, and statutory developments. Complete book
information and ordering details are on the CBA-CLE website: http://cle.cobar.org.
Other Periodicals/Sources
Chapter
3
• “What Does Competent Representation Really Mean?” J.R. Phelps, The Florida Bar
(March 2002)
• “Negotiating Co-Counsel Arrangements,” Susan Minsberg, www.lawyerist.com (Nov.
16, 2010)
• “Managing CoCounsel Relationships,” Gary Jackson, Litigation Commentary & Rev. 25
(Jan./Feb. 2010)
• “The Liability and Ethical Considerations for ‘Of Counsel’ Relationships,” Alan M.
Petrov and Patrick O. Peters, LawyerCare by ProNational Insurance Company
(May 2007)
• “How to Co-Counsel without Getting Screwed,” Sam Glover, www.lawyerist.com
(Aug. 10, 2012)
• “Managing Co-Counsel Relationships,” Gary Jackson, TRIAL (Oct. 2009)
• “Competency Models and the ‘New Normal’ Market,” Neil Hamilton, The Minnesota
Lawyer (April 2011)
PROGRAMS AND RESOURCES
Colorado Mentoring Programs
Colorado Bar Association Mentoring Program
Overview
• Objectives
• The objectives of the Mentoring Program can be viewed broadly as promoting
pride in the profession, excellence in service, and strong relationships with the
bar, courts, clients, and the public, through teaching the core values and ideals
of the legal profession and the best practices for meeting those ideals.
48
Getting Competent
• Qualifications
• To qualify as a mentee in the Program, you are not required to be a member of
a bar association, but you must be in your first three years of practice following
admission to practice law in Colorado or within your first year of practice in
Colorado if you have been in practice three or more years in another
jurisdiction. Mentees can petition for inclusion in the program if they do not
fit into either of these two categories.
• Curriculum
• The 12-month Mentoring Plan curriculum is developed by the mentee and
mentor, but must cover certain subject areas, including an initial planning
meeting between the mentee and mentor, personal and professional
development, the Colorado Bar and legal community, history and importance
of the legal profession, and professionalism and civility. The typical Mentoring
Plan involves monthly in-person meetings between the mentee and mentor,
which last 1-2 hours. The Mentoring Plan can be developed by the mentee and
mentor to best suit their schedules and needs.
• Benefits
• The Mentoring Program has been endorsed by the Chief Justice Commission
on the Legal Profession and the Colorado Bar Association. Each mentee and
mentor will receive 15 free CLE credits, including 2 ethics credits (at NO
CHARGE) upon successful completion of the Program. While the Program has
components that include group activities, an emphasis is placed on the oneon-one professional relationship between the experienced lawyer and the new
lawyer because this is one of the best ways to pass on the values, ideals, and
best practices of the profession.
• Participating Organizations and Contacts
• Denver Bar Association, Melissa Nicoletti, (303) 824-5321, [email protected]
• Seventeenth Judicial District DA’s Office, Justin Moore, (303) 659-7720
• CU Law School, Darrell Jackson, (303) 492-5186, [email protected];
Melissa Hart, (303) 735-6344
• Minori Yasui Inn of Court, Margrit Lent Parker, (720) 946-3594, mparker@
kennedychilds.com
• Seventh Judicial District, Seth Ryan, (970) 252-4260, seth.ryan@seventh
districtda.com
• Larimer County Bar Association, Ian D. McCargar, (970) 482-0212, Ext. 303,
[email protected]
• Boulder County Bar Association, Sarah Flinn, (303) 440-4758
49
Chapter
3
Successful Business Planning: Representing the Moderate Income Client
Colorado Attorney Mentoring Program
Chapter
3
• Overview
• Created by the Chief Justice Commission on the Legal Profession and housed
within the Office of the Attorney Regulation Counsel, this program is designed
to increase the training of and provide more support for new lawyers, one of
the main goals of the Commission.
• Pilot programs in Denver and Adams County have already started.
• Objectives
• Experienced lawyers will be teamed with new lawyers in their first three years
of practice.
• Objectives of the program include promoting pride in the profession,
excellence in service, and fostering strong relationships among the bar, courts,
clients, and the public.
• Modest Means Subgroup (coming soon)
CBA List-Servs and E-Newsletters
Colorado Bar Association C-Brief
• The CBA C-Brief is sent on Thursdays (except the last Thursday of the month). This
e-newsletter serves the needs of all CBA members. It is the source for CLE programs,
special events, and meetings relevant to legal practices across the state.
• Open to all CBA members.
E-Slips (Colorado Supreme Court and Court of Appeals Opinions)
• E-slips delivers the announcement sheets, published opinions and opinion summaries
for the Colorado Supreme Court every Monday and Colorado Court of Appeals on
Thursday. Case summaries are posted and e-mailed to the list as soon as they are
available.
• Open to all CBA members.
CBA/DBA Young Lawyers Division E-News
• The Colorado Bar Association and the Denver Bar Association Young Lawyers
Divisions have a newsletter for their members and other interested young lawyers.
The YLDs hope to use the list-serv to notify members of upcoming YLD events and to
provide a source of referrals and networking for substantive law questions, ethical
issues, mentoring and job hunters; announcements about new resources for practice;
and other issues of concern for young lawyers.
• Open to all CBA members.
50
Getting Competent
Solo/Small Firm Practitioner’s Section List-Serv
• This list-serv is open to Solo/Small Firm Practitioner’s Section members only.
• The Solo/Small Firm Practitioner’s Section list-serv is designed to serve the needs of
solo practitioners and those in small firms who are members of the Colorado Bar
Association. To participate as a list-serv member, you must be a currently active
member of the Colorado Bar Association and its Solo/Small Firm Practitioner’s Section.
The list-serv will allow for an active and ongoing dialogue between members of the
Colorado Bar Association Section on issues ranging from the simple to the complex,
on many various topics, such as practice-specific issues and issues regarding the
business of law, such as employee issues, law office software and hardware,
malpractice insurance, ethics considerations, and marketing. It is hoped that the
section’s more experienced members will assist those less experienced by adding their
thoughts to this list.
Business Law Section Newsletter
• This newsletter is open to Business Law Section members only.
• All section members are invited to contribute to the newsletter. Articles, practice
pointers, and other contributions should be submitted in MS Word via e-mail to Edwin
A. Naylor, Editor, at [email protected].
Environmental Law Section Newsletter
• The Colorado Bar Association Environmental Law Section list-serv is designed to
facilitate communication among all individuals interested in environmental law. It will
list information on our monthly topical luncheons and other upcoming events. Please
note that subscribers will not be allowed to post messages to this list-serv — it is a newsletter
only. If you are interested in posting a notice to the list, contact CBA Staff Liaison
Andrea Mueller Arias, [email protected].
Immigration Law Section Discussion List-serv
• This list-serv is open to Immigration Law Section members only.
Real Estate Law Section Newsletter
• This newsletter is open to Real Estate Section members only.
Real Estate Law Section “High Altitude” Discussion List-serv
• This list-serv is open to Real Estate Section members only.
51
Chapter
3
Successful Business Planning: Representing the Moderate Income Client
Trust and Estate Section Council Notes
Chapter
3
• This newsletter is open to Trust and Estate Section members only.
• Published quarterly, this newsletter is concerned primarily with current items and
issues of general interest. Each member of the section receives one free copy of each
issue of Council Notes. Generally, the content covers the following:
• Legal Articles: These are articles on substantive legal topics of broad interest.
Sometimes, these articles deal with specific areas of law that are worthy of
special treatment or not generally well covered elsewhere.
• Feature Articles: Feature articles cover a variety of topics not on substantive law.
Section programs and projects, as well as legal services available to section
members are often highlighted in these columns.
• Specialty Columns: These columns are generally more technical and detailed,
and the focus is usually on informing the reader of problems and solutions,
new laws, or new problems with the existing laws.
• Miscellaneous: Other material appearing in Council Notes includes short notices
and announcements.
• If you are a member of the Trust and Estate Section, you will automatically receive
Council Notes via e-mail unless you opt out.
Trust and Estate Section Discussion List
• This discussion list is open to Trust and Estate Section members only and is hosted
outside of the CBA.
• This is a section-sponsored list. The section reserves the right to close this list to all but
members of the Trust and Estate Section at any time and without any advance notice.
For more information on how to subscribe, visit the Trust and Estate Section webpage
at www.cobar.org.
• CBA-TES is a list-serv originated and sponsored by the Trust and Estate Section to
promote discussion of issues involving estate planning and estate administration. It
will also be used to discuss issues involving the section that cross committee
boundaries. Issues on this list-serv are limited to those parameters, and other unrelated
issues should be taken to other forums. Membership in this list is currently limited to
lawyers and court personnel who are also members of the CBA. Membership in the
list may be restricted or enlarged at any time by the Trust and Estate Section Council.
Family Law Section Newsletter
• This newsletter is open to Family Law Section members only.
• The Family Law Section newsletter list-serv is designed to serve the needs of Colorado
family law practitioners who are members of the Colorado Bar Association. To sign up
to be a list-serv member, you must be a currently active member of the Colorado Bar
Association and its Family Law Section. The newsletter list-serv will allow the Family
Law Section to distribute current information in a timely fashion to its members.
52
Getting Competent
Family Law Section Discussion List-serv
• This list-serv is open to Family Law Section members only.
• The Law Office of Stephen J. Harhai sponsors a discussion list-serv for family law
practitioners in an effort to provide a forum for discussion of all issues related to
Colorado family law. The list-serv is available to licensed Colorado attorneys and their
staff; there are several hundred active subscribers who regularly contribute to
discussion of a wide range of family law topics, from the most basic to very advanced.
• If you are interested in joining the family law discussion list-serv, contact Jennifer
Hazheer at (303) 329-8300 or [email protected].
Government Counsel Section List-serv
• This list-serv is open to Government Counsel Section members only.
• The Government Counsel Section list-serv provides a forum for lawyers who are
members of the Colorado Bar Association representing local, state, or federal
governments to share information and expertise that is common to their practices,
whether they serve as in-house counsel or in private practice. Some attorneys who
represent private clients who work regularly with local, state, or federal governments
also find the list-serv to be of interest.
Health Law Section List-serv
• This list-serv is open to Health Law Section members only.
• The list-serv allows the Health Law Section to distribute current information in a
timely fashion to its members. Additionally, the list-serv will allow for an active and
ongoing dialogue among members of the Colorado Bar Association Health Law
Section on various current issues of interest to health lawyers and health care
professionals and facilities.
Inns of Court
Inns of Court are professional organizations that generally meet monthly to provide
opportunities for practicing attorneys to meet and network. The stated goals of the American
Inns of Court Foundation are:
• To promote the American Inns of Court mission by encouraging members of the legal
profession to participate in an American Inn of Court;
• To help ensure the vitality and continuity of local inns;
• To communicate a culture of excellence in professionalism, ethics, civility, and skills to
the legal community and generally;
• To ensure the long-term financial viability and growth of the American Inns of Court.
53
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Each Inn of Court establishes its own criteria for membership and its own procedures
for admitting new members. If you are interested in joining an Inn of Court in your community,
contact the Inn directly and they will instruct you on how to apply for membership.
Chapter
3
• The Alfred A. Arraj American Inn of Court
• http://arraj.com/
• Meets in Denver
• The Ben S. Wendelken American Inn of Court
• www.innsofcourt.org/inns/wendelkeninn
• Meets in Colorado Springs
• The Byron R. White American Inn of Court
• www.innsofcourt.org/inns/brwhiteinn
• Meets in Windsor
• The Colorado Intellectual Property American Inn of Court
• www.innsofcourt.org/inns/coloradoipinn
• Meets in Denver
• Specialty: Intellectual Property
• The Judge William E. Doyle American Inn of Court
• www.innsofcourt.org/inns/doyleinn
• Meets in Denver
• The Minoru Yasui American Inn of Court
• www.minoruyasui.com
• Meets in Denver
• The Robert C. Rhone Ava M. Brackett American Inn of Court
• http://rhonebrackett.wordpress.com
• Meets in Denver
• The Thompson G. Marsh American Inn of Court
• www.innsofcourt.org/inns/marshinn/
• Meets in Denver
For a personal perspective on the benefits of joining an Inn of Court, see “‘Inn’side the
Denver Inns of Court,” Becky Bye, Judge Alfred Harrell, and Natalie Lucas, The Docket (Oct.
2010).
“Consult a Colleague” Program (Coming Soon)
The “Consult a Colleague” program is still in the initial planning stages, but the intent
is to create a system of professional communication and informal consultation among members
of the legal profession. For example, if an attorney becomes involved in a client representation
that may present an unusual problem, perhaps something the lawyer is not entirely familiar
with or an unexpected development, the lawyer would be able to make contact with another
54
Getting Competent
lawyer who may have more experience or familiarity with the situation and get some
suggestions or guidance on how to deal with the situation or what to do to manage it. This
program would provide a convenient opportunity for Colorado attorneys to be able to access
information and experience from other members of the Colorado bar concerning legal services.
AUTHORITIES
Colorado Rules of Civil Procedure
• Chapter 4 – Disclosure and Discovery
• Chapter 17A – Practice Standards and Local Court Rules
• Chapter 20 – Colorado Rules of Procedure Regarding Attorney Discipline and Disability
Proceedings, Colorado Attorneys’ Fund for Client Protection, and Mandatory
Continuing Legal Education and Judicial Education
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.1 – Competence
• Colorado Rule of Professional Conduct 1.3 – Diligence
• Colorado Rule of Professional Conduct 1.4 – Communication
• Colorado Rule of Professional Conduct 1.6 – Confidentiality of Information
• Colorado Rule of Professional Conduct 1.7 – Conflict of Interest: Current Clients
• Colorado Rule of Professional Conduct 1.8 – Conflict of Interest: Current Clients:
Specific Rules
• Colorado Rule of Professional Conduct 1.9 – Duties to Former Clients
• Colorado Rule of Professional Conduct 1.16A – Client File Retention
• Colorado Rule of Professional Conduct 2.1 – Advisor
• Colorado Rule of Professional Conduct 3.1 – Meritorious Claims and Contentions
• Colorado Rule of Professional Conduct 3.2 – Expediting Litigation
• Colorado Rule of Professional Conduct 3.3 – Candor Toward the Tribunal
• Colorado Rule of Professional Conduct 3.4 – Fairness to Opposing Party and Counsel
• Colorado Rule of Professional Conduct Rule 4.1 – Truthfulness in Statements to Others
• Colorado Rule of Professional Conduct Rule 4.2 – Communication with Person
Represented by Counsel
• Colorado Rule of Professional Conduct Rule 4.3 – Dealing with Unrepresented Person
• Colorado Rule of Professional Conduct Rule 5.5 – Unauthorized Practice of Law;
Multijurisdictional Practice of Law
• Colorado Rule of Professional Conduct 8.4 – Misconduct
55
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Successful Business Planning: Representing the Moderate Income Client
Colorado Ethics Opinions
Chapter
3
• CBA Ethics Committee Formal Opinion 40 – Accepting Case Handled by Another
Lawyer
• CBA Ethics Committee Formal Opinion 47 – Attorney Representation in Dissolution
of Marriage
• CBA Ethics Committee Formal Opinion 52 – Spouse-Attorneys Representing Clients,
Conflicts of Interest
• CBA Ethics Committee Formal Opinion 57 – Conflicts of Interest
• CBA Ethics Committee Formal Opinion 62 – Duty of Attorney to Report an Ethical
Violation
• CBA Ethics Committee Formal Opinion 68 – Conflicts of Interest: Propriety of Multiple
Representation
• CBA Ethics Committee Formal Opinion 79 – Use of Legal Assistants in Client
Representation
• CBA Ethics Committee Formal Opinion 98 – Dual Practice
• CBA Ethics Committee Formal Opinion 113 – Ethical Duty of Attorney to Disclose
Errors to Clients
• CBA Ethics Committee Formal Opinion 123 – Candor to the Tribunal and Remedial
Measures in Civil Proceedings
ABA Materials
Co-Counsel
• Formal Opinion 95-395 – Joint Defense Consortium
Competence
• Formal Opinion 06-441 – Criminal Defense
56
Chapter 4
UNBUNDLING/LIMITED-SCOPE
REPRESENTATION
OVERVIEW
What Are Unbundled Legal Services?
Legal representation has traditionally included the “full bundle” of legal services such as:
• Gathering facts from the client;
• Gathering facts from third parties;
• Discovering facts from the opposing party if litigation is involved;
• Researching the law;
• Advising and counseling the client;
• Drafting correspondence and documents;
• Drafting and filing pleadings if litigation is involved;
• Negotiating on behalf of the client;
• Representing the client in court or other proceedings, such as a deposition.
With unbundled legal services, an attorney is providing the client with certain
components of the full bundle of legal services. Unbundled legal services may involve litigation
or they may involve transactional services where there is no litigation. The services could be
provided, for example, in the non-litigation setting of negotiating a contract. Unbundled legal
services are also referred to as “discrete-task representation” or “limited-scope representation.”
For a more expansive explanation of unbundled legal services, please refer to the articles by
Assistant Regulation Counsel Adam J. Espinosa and Colorado Court of Appeals Judge Daniel
M. Taubman, listed under “Articles,” below.
Why Provide Unbundled Legal Services for Clients?
The reality is that the vast majority of the American population cannot afford the full
bundle of legal services in the average-size case. Cases with amounts at issue of less than
$100,000 or even greater amounts are often not worth the cost of litigation within the legal
system. Many cases are simply not filed or the involved parties represent themselves pro se.
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Successful Business Planning: Representing the Moderate Income Client
Individuals involved in potential transactions are concerned about the cost of retaining an
attorney for all of the negotiations and drafting of documents and, therefore, do not seek legal
counsel.
As a result, the parties and the legal system suffer greatly from the lack of attorney
participation. A court hearing involving an issue such as obtaining an order for child support
payments, which should often take only a few minutes with a competent attorney, consumes
extended court time. This results in a waste of judicial resources and poor results for the pro se
participant. Transactional lawyers are not involved in a final review of documents that could
avoid costly litigation for a party. Unbundled legal services are based upon the premise that
some form of competent legal representation is better than no legal representation.
Chapter
4
The legislature has recently funded several pro se self-help centers, which will be located
in courthouses in various parts of the state. Unbundled legal services can provide a focused
complement to assist clients who are able to perform many of the necessary tasks themselves.
The Advantages of Unbundled
Legal Services in Your Practice
Unbundled legal services increase economic diversity in your client base. Because such
cases will have greater predictability of the estimated time involved due to the limited scope of
representation, you can make better evaluations about reasonable retainers. Predictability also
increases the opportunity for more flexible alternative fee arrangements. Also, because less time
commitment will usually be involved, there is less financial exposure if a client fails to meet his
or her fee obligations.
There is the potential to improve cash flow. Because the representation will usually
involve discrete services that can be accomplished fairly quickly and invoices can be generated
throughout the month, there will be a greater number of closed files where invoices can be
generated.
There is often a great use of courtroom skills with a practice that includes unbundled
legal services. Due to the nature of limited-scope representation, many lawyers who provide
unbundled legal services report that there is an increase in the number of court appearances
they make. This means more exposure to judges, courthouses, and courtroom staff and an
increase in time “on your feet.”
There is also an opportunity for exposure to several practices areas. Of course, an
attorney must be competent in an area of practice before agreeing to represent a client, whether
the services are bundled or the full bundle of legal services is provided. However, in practice
areas where an attorney wishes to gain more experience, unbundled legal services can
sometimes be more practical in affiliating with co-counsel and mentoring. Performing discrete
tasks with a newer lawyer can also be good mentoring experiences in working with clients and
observing how particular tasks should be performed.
58
Unbundling/Limited Scope Representation
Unbundled legal services can be a good focus for a part-time practice. At various times
in an attorney’s career, a part-time practice makes the most sense. Many attorneys provide
limited-scope representation in a practice where it may be difficult to make multiple-year
commitments to individual cases.
Attorneys can develop an economically successful practice using unbundled legal
services as part of the services they provide to clients. This also results in assisting a large
segment of the population who otherwise would not be able to retain some form of competent
legal representation.
Words of Advice Regarding the Benefits and
Risks of Unbundled Legal Representation
Discrete-task representation can be a benefit to lawyers and clients. Yet, this method of
representation also carries with it a risk of miscommunication or lack of communication. Those
gaps can cause real risk to the outcome of litigation or, at a minimum, that the litigation will be
more difficult and time consuming for the party and the court.
Initial Meeting
• The client may want a deal and be willing to try self-representation to avoid paying a
full retainer fee for an attorney to enter an appearance as counsel of record. You must
be careful and assess whether that person has the ability to direct his or her own
litigation. Some parties have problems that are too complicated or a personality that
is just not suited for discrete-task representation.
Practical Aspects
• Make sure the client knows the practical aspects of filing and service. Although the
client should know that he or she is taking on nearly all the practical tasks of the
litigation as a discrete-task client, some are just not prepared for the volume of extra
work they are taking on in their life. Discrete-task clients need a thorough education
on service of process and continuing obligations of disclosure under the rules.
Communication
• Even if your discrete-task client has not called you for weeks and you may not be able
to bill for just thinking about his or her case, you must think about the case regularly.
Until you are released from the discrete-task representation agreement, you should
make sure to stay current on the progress of the case and check in from time to time
with your client. Maintaining communication is important to avoid surprises for both
the client and the attorney.
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Limited Representation Is Not Litigation Insurance
• Watch out for discrete-task clients who are really just trying to buy some protection
rather than legal advice. A discrete-task client should know and be clearly informed
that the attorney is there to provide advice and not insure the client’s litigation. Even
by following the advice of counsel, the client still has risk in litigation.
Deadlines
Chapter
4
• The discrete-task client should be repeatedly warned to be careful with deadlines and
to be aware that he or she must manage his or her own deadlines. You will not be
calling the client to remind him or her of the deadlines in the case. It does not hurt to
point out those deadlines, but the discrete-task client needs to know how very
important deadlines are to successful litigation.
Conversion to Full Representation
• Be careful when converting from discrete-task representation to full representation.
Such clients who are ready to upgrade may not be willing to divulge how they
behaved at the last hearing or how many deadlines have passed when they come back
seeking an entry of appearance. Those aspects of the case that you can no longer
manage and maintain because they happened when you had no control over the
strategy can have a great impact upon the risks and expense of the remainder of the
litigation.
Experience and Foresight
• As with any new dispute, transaction, or source of litigation, before engaging with a
discrete-task client, try to foresee the problems this person is likely to face. Remind
the client verbally and in writing of those problems and the client’s independent
responsibility to manage the issue. For example, where a party has complicated
evidentiary issues, he or she must be made aware in advance and advised of the risk
of pursuing the claim without counsel of record.
Discrete-task or unbundled representation can be a gift to the lawyer and litigant where
there is insufficient work to necessitate a full retainer and entry of appearance. However, where
insufficient advice is provided or there is not enough forethought in that advice, the party’s
litigation can be made worse.
You should have sufficient experience to foresee the risks associated with a specific
course of action and have developed protocols for dealing with them. Clients are not trained or
used to abrupt changes in the course of litigation, so despite the initial value of e-mails and
telephone calls before trial, there is little to protect a client from unfavorable rulings at trial when
the lawyer is not present. Discrete-task representation is not a means by which an attorney can
get his or her feet wet with little risk. In fact, discrete-task representation may carry a greater
60
Unbundling/Limited Scope Representation
The 10 Rules
of
Unbundling
risk of disappointment to a client who just does not know the
importance of various aspects of the case or an attorney who is
not sufficiently experienced to know potential negative
consequences presented by the client’s strategy or proposed
course of action.
1. Know the rules.
2. Get informed
consent from your
client.
3. File the
appropriate entry
of appearance
form, if necessary.
4. Lay out exactly
what you will and
will not do for the
client in the fee
agreement.
5. Stay within the
scope of your
agreement.
6. Make sure the
client understands
what tasks he or
she is responsible
for.
7. Utilize checklists
and handouts to
educate your
client.
8. Keep thorough
records.
9. Talk to the
opposing side
about your role.
10. Don’t forget your
termination letter!
TIPS
• Be very acquainted with the rules governing
unbundled legal services practice (see “Authorities,”
below).
• Be aware that ghostwriting of pleadings is allowed in
state court, but not in federal court.
• Consider advising the opposing attorney or party of
the scope of your representation in the case.
• Advise the client of his or her right to seek advice on
issues outside the scope of the limited assignment. It
is probably a good idea to include a statement that the
client has been advised of the right to seek counsel on
other issues in your intake sheet or client handouts.
• Utilize checklists throughout the representation as a
way to document who will do what before the next
meeting or event. Be sure to provide copies of any
checklists to the client.
• Make sure that your fee agreement details exactly
what you are doing for the client, what you are not
doing for the client, and what the representation will
cost.
• Remember that, as the attorney, you have a duty to
inform your clients of the pros and cons of this type
of representation, prior to entering into an agreement.
• Advise your clients that under Chief Justice Directive
98-01, filing fees may be paid in two or three
installments.
• Consider including a separate engagement letter that
discusses client responsibilities throughout the
representation, when/how the representation
terminates, and includes an informed consent letter.
• Create handouts that explain to the client what
unbundled services are, and what they are not.
Handouts are particularly helpful in ensuring that the
client understands the risk and benefits of unbundled
services.
61
Chapter
4
Successful Business Planning: Representing the Moderate Income Client
• Never do work that is outside the scope of the original agreement without amending
the scope first.
• After completing the unbundled representation, be sure to send the client a
termination letter that explicitly states that you have fulfilled your responsibilities
detailed in the engagement letter. Doing so will ensure the client understands that
your representation has finished and he or she is responsible for whatever steps are
left to complete in the case.
• If you are providing unbundled representation, it is highly recommended (although
not required) that you utilize the three Colorado Supreme Court-approved forms.
These forms can be found at the Colorado Judicial Branch website: www.courts.
state.co.us, click on “Forms.” They also are included in the section of this chapter titled
“Colorado Judicial Branch Forms for Limited Appearance,” below.
Chapter
4
WEBSITES
ABA Resources
To find the following helpful resources, search individually by name on the American
Bar Association website, www.americanbar.org:
• The Lawyer’s Resource Center
• Unbundling/Discrete Task Representation Clearinghouse
• ABA Handbook on Limited Scope Legal Assistance
• Pro Se/Unbundling Resource Center
• ABA Standing Committee on the Delivery of Legal Services
CBA Resources
• Forms2Share: The CBA’s Department of Law Practice Management and the Mile High
Chapter of the Association of Legal Administrators worked together to develop this forms
database. These forms have been contributed anonymously by firms and individual lawyers.
These forms are limited to law practice management issues. Forms dealing with substantive law
issues are not included. All forms have been redacted to remove any information regarding the
names of firms or lawyers. They have been scrubbed for metadata. More forms will be added
as they are received.
Colorado Courts Website Resources
• The Colorado Court Forms Page, www.courts.state.co.us
62
Unbundling/Limited Scope Representation
ARTICLES
The Colorado Lawyer
• “Ethical Considerations When Providing Unbundled Legal Services,” Adam J. Espinosa
(Sept. 2011)
• “Limited Scope Representation Under the Proposed Amendment to C.R.C.P. 121, § 11,” Adam J. Espinosa and Judge Daniel M. Taubman (Nov. 2011)
CLE Materials
Chapter
• “Unbundled Legal Services and Billing Practices,” excerpt from 2012 Modest Means
CLE, presented by Adam J. Espinosa, Office of Attorney Regulation Counsel
Other Periodicals/Sources
• “The Ethics of Unbundling,” Stephanie L. Kimbro, GPSolo eReport (October 2011)
• “Unbundle Your Law Practice: How to Deliver Legal Services a la Carte for Improved
Service and Profits,” Forrest S. Mosten, Unbundling Legal Practices, Ch. 6, ABA
Section on Law Practice Management (2000)
• “Ethics Reminder for Unbundling Legal Services Online,” Stephanie L. Kimbro, Virtual
Law Practice (May 2010)
• “A Nation of Do-It-Yourself Lawyers,” John T. Broderick, Jr. and Ronald M. George, The
New York Times (January 1, 2010)
• “Stop Selling Eight-Tracks and Start Unbundling,” Stephanie L. Kimbro, Daily Dispatch,
attorneyatwork.com, (August 27, 2012)
63
4
Successful Business Planning: Representing the Moderate Income Client
LIMITED SCOPE REPRESENTATION
FLOW CHART FOR ATTORNEYS
Adapted from the California Commission on Access to Justice’s Family Law Limited Scope
Representation – Risk Management Materials. Reprinted with permission of author M. Sue
Talia and Nexus Publishing Company.
Consult client,
Discuss issues and
Options for limited scope
Chapter
Select full service
Select limited scope
4
•
•
Render limited scope services
without going of record
Discuss issues and tasks to be
apportioned
Designate responsibilities
•
•
Send informed consent
letter to be signed
Obtain written fee
agreement
Perform agreed tasks
File limited appearance
pleading (see JDF Limited
Appearance forms following)
Perform agreed tasks
Client needs additional services
outside the initial scope and/or new
issues emerge
Send client closing
letter
Return to the top and start over
with new issues and apportionment
of tasks
64
File withdrawal
Unbundling/Limited Scope Representation
LIMITED SCOPE REPRESENTATION
FLOW CHART FOR CLIENTS
Adapted from the California Commission on Access to Justice’s Family Law Limited Scope
Representation – Risk Management Materials. Reprinted with permission of author M. Sue
Talia and Nexus Publishing Company.
Consult attorney,
discuss issues and
options for limited scope
Select full service
Select limited scope
Chapter
4
•
Discuss issues and tasks to be
apportioned between you and
attorney
Decide who is going to do which
parts
•
Attorney performs services
without appearing in court on
your behalf
You
perform
tasks you
agreed to
do
•
•
Receive informed consent
letter
Sign written fee agreement
and keep a copy
Attorney
performs
tasks s/he
agreed to
do
Attorney
performs
tasks s/he
agreed to
do
Attorney sends you closing
letter and you advise
attorney immediately if you
don’t think all agreed
services have been
completed
Attorney appears in court on
your behalf for a limited
purpose
You
perform
tasks you
agreed to
do
You need additional services outside
the initial scope and/or new issues
emerge
Return to the top and start over with
new issues and apportionment of
tasks
65
Attorney sends you
copy of withdrawal
pleading
Successful Business Planning: Representing the Moderate Income Client
COLORADO JUDICIAL BRANCH FORMS
FOR LIMITED APPEARANCE
‰District Court ‰County Court
___________________ County, Colorado
Court Address:
Plaintiff:
and
Defendant:
Chapter
Attorney
COURT USE ONLY
Case Number:
(Name and Address):
4
Phone Number:
FAX Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
NOTICE OF LIMITED APPEARANCE BY ATTORNEY WITH CONSENT OF PRO SE
PARTY UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A CIVIL MATTER
COMES NOW
(name of attorney), and enters a limited
appearance as counsel for ______________________________ (the pro se party in
interest to this notice) and as grounds therefore, counsel states:
1. The pro se party in interest to this notice has requested and consented to this
limited appearance for the following proceeding(s): _____________________________
______________________________________________________________________.
2. I have advised the pro se party in interest that the Court retains jurisdiction over
the pro se party in interest to this case. That at the conclusion of this limited appearance
he/she has the burden of keeping the Court and the other parties informed where later
notices, pleadings, and other papers may be served; that he/she has the obligation to
prepare for trial or have other counsel prepare for trial; and that failure or refusal to meet
these burdens may subject him/her to a possible default and that the dates of any
proceedings including trial and holding of such proceedings will not be affected by the
completion of the limited appearance of counsel.
Service of process may be served upon the pro se party in interest to this case at the last
known address which is:
_____________________________________________________, Phone:___________
The following hearings or other Court settings have been scheduled in this case:
____________________________________________________________________.
DATE: __________, 20__
Attorney Signature: ___________________________
Name:
Registration No: _____________________________
Address:
_________________________________
Phone:
________________________________
JDF 630 Civil Notc of Limited Appr w Cert of Svc 10-11
66
Unbundling/Limited Scope Representation
‰District Court ‰County Court
___________________ County, Colorado
Court Address:
Plaintiff:
and
Defendant:
Attorney
COURT USE ONLY
Case Number:
(Name and Address):
Phone Number:
FAX Number:
Chapter
E-mail:
Atty. Reg. #:
Division
Courtroom
CERTIFICATE OF SERVICE OF
NOTICE OF LIMITED APPEARANCE BY ATTORNEY WITH CONSENT OF PRO SE
PARTY UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A CIVIL MATTER
I certify that on ____________________________ (date) a true and accurate copy of the Notice
of Limited Appearance by Attorney with Consent of Pro Se Party Under C.R.C.P. 11(b) and 121,
Section 1-1(5) in a Civil Matter was served on the client and all other counsel or parties of
record by:
‰
‰
‰
‰
Hand Delivery,
E-filed,
Faxed to this number _________________________, or
Placing it in the United States mail, postage pre-paid, and addressed to the
following:
To: ______________________________________
______________________________________
______________________________________
______________________________________
______________________________________
Date: __________________________
___________________________________
Print Name
___________________________________
Signature
JDF 630 Civil Notc of Limited Appr w Cert of Svc 10-11
67
4
Successful Business Planning: Representing the Moderate Income Client
‰District Court ‰County Court
___________________ County, Colorado
Court Address:
Plaintiff:
and
Defendant:
COURT USE ONLY
Attorney (Name and Address):
Chapter
4
Phone Number:
FAX Number:
Case Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
CONSENT TO LIMITED APPEARANCE BY AN ATTORNEY
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A CIVIL MATTER
I, ____________________________, (Pro se party name) do hereby consent to granting
a limited entry of appearance to (name of counsel) ___________________________ for
permission to represent me for the following proceeding(s):
______________________________________________________________________.
I understand that the Court retains jurisdiction over me as the pro se party in interest to this
case. That at the conclusion of this limited appearance I have the burden of keeping the
Court and the other parties informed where later notices, pleadings, and other papers may
be served; that I have the obligation to prepare for trial or have other counsel prepare for
trial; and that failure or refusal to meet these burdens may subject me to a possible default
and that the dates of any proceedings including trial and holding of such proceedings will
not be affected by the completion of the limited appearance of counsel.
Service of process may be served upon me as the pro se party in interest to this case at
my address which is______________________________________________________
_______________________________________________________________________.
DATE: ________________
_________________________________
Signature
Name:
Address:
Telephone:
JDF 631 Consent to Limited Appearance 10-11
68
Unbundling/Limited Scope Representation
‰District Court ‰County Court
___________________ County, Colorado
Court Address:
Plaintiff:
and
Defendant:
Attorney (Name and Address):
COURT USE ONLY
Case Number:
Phone Number:
FAX Number:
Division
E-mail:
Atty. Reg. #:
Courtroom
NOTICE OF COMPLETION OF LIMITED APPEARANCE
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A CIVIL MATTER
COMES NOW_______
(name of attorney), and enters a
notice of completion of limited appearance as counsel for ________________________ (the pro
se party in interest to the Notice of Limited Appearance dated: ________________), as grounds
therefore, counsel states:
I have advised the pro se party in interest that the Court retains jurisdiction over the pro se party
in interest to this notice. That he/she has the burden of keeping the Court and the other parties
informed where later notices, pleadings, and other papers may be served; that he/she has the
obligation to prepare for trial or have other counsel prepare for trial; and that failure or refusal to
meet these burdens may subject him/her to a possible default and that the dates of any
proceedings including trial and holding of such proceedings will not be affected by this completion
of the limited appearance of counsel.
Service of process may be served upon the pro se party in interest to this notice at the last known
address which is: _____________________________________________________________,
Phone:_____________________.
The following hearings or other Court settings have been scheduled in this case:
____________________________________________________________________.
DATE: __________, 20__
Attorney Signature: ___________________________
Name:
Registration No: _____________________________
Address:
_________________________________
Phone:
________________________________
JDF 632 Civil Notc of Completion of Limited Appr w cert of svc 10-11
69
Chapter
4
Successful Business Planning: Representing the Moderate Income Client
‰District Court ‰County Court
___________________ County, Colorado
Court Address:
Plaintiff:
and
Defendant:
Chapter
4
Attorney (Name and Address):
COURT USE ONLY
Case Number:
Phone Number:
FAX Number:
Division
E-mail:
Atty. Reg. #:
Courtroom
CERTIFICATE OF SERVICE OF NOTICE OF COMPLETION OF LIMITED APPEARANCE
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A CIVIL MATTER
I certify that on ____________________________ (date) a true and accurate copy of the Notice of
Completion of Limited Appearance Under C.R.C.P. 11(b) and 121, Section 1-1(5) in a Civil Matter was
served on the client and all other counsel or parties of record by:
‰ Hand Delivery,
‰ E-filed,
‰ Faxed to this number _________________________, or
‰ Placing it in the United States mail, postage pre-paid, and addressed to the following:
To: ______________________________________
______________________________________
______________________________________
______________________________________
______________________________________
Date: __________________________
___________________________________
Print Name
___________________________________
Signature
JDF 632 Civil Notc of Completion of Limited Appr w cert of svc 10-11
70
Unbundling/Limited Scope Representation
‰District Court ‰Denver Juvenile Court
___________________ County, Colorado
Court Address:
In re:
‰The Marriage of:
‰Parental Responsibilities concerning:
______________________________________________________
Petitioner:
and
COURT USE ONLY
Co-Petitioner/Respondent:
Attorney (Name and Address):
Case Number:
Chapter
Phone Number:
FAX Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
NOTICE OF LIMITED APPEARANCE BY AN ATTORNEY WITH CONSENT OF PRO SE
PARTY UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A FAMILY LAW MATTER
COMES NOW
(name of attorney), and enters a limited
appearance as counsel for ______________________________ (the pro se party in interest to
this notice) for the following proceeding(s):
______________________________________________________________________.
As grounds therefore, counsel states:
1. The pro se party in interest to this notice has requested and consented to this limited
appearance.
2. I have advised the pro se party in interest that the Court retains jurisdiction over the pro
se party in interest to this notice. That at the conclusion of this limited appearance he/she has the
burden of keeping the Court informed where later notices, pleadings, and other papers may be
served; that he/she has the obligation to prepare for trial or have other counsel prepare for trial;
and that failure or refusal to meet these burdens may subject him/her to a possible default and that
the dates of any proceedings including trial and holding of such proceedings will not be affected by
the completion of the limited appearance of counsel.
Service of process may be served upon the pro se party in interest to this notice at the last known
address which is:
________________________________________________________, Phone: ______________.
The following hearings or other Court settings have been scheduled in this case:
_____________________________________________________________________________.
DATE: __________, 20__
Attorney Signature: _________________________
Name:
Registration No.: ___________________________
Address: _________________________________
Phone: _________________________________
Telephone:
JDF 1334 Domestic Notc of Limited Appr w cert of svc 10-11
71
4
Successful Business Planning: Representing the Moderate Income Client
‰District Court ‰Denver Juvenile Court
___________________ County, Colorado
Court Address:
In re:
‰The Marriage of:
‰Parental Responsibilities concerning:
______________________________________________________
Petitioner:
and
COURT USE ONLY
Co-Petitioner/Respondent:
Attorney (Name and Address):
Case Number:
Chapter
4
Phone Number:
FAX Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
CERTIFICATE OF SERVICE OF
NOTICE OF LIMITED APPEARANCE BY AN ATTORNEY WITH CONSENT OF PRO SE
PARTY UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A FAMILY LAW MATTER
I certify that on ____________________________ (date) a true and accurate copy of the Notice
of Limited Appearance by an Attorney with Consent of Pro Se Party Under C.R.C.P. 11(b) and
121, Section 1-1(5) in a Family Law Matter was served on the client and all other counsel or
parties of record by:
‰
‰
‰
‰
Hand Delivery,
E-filed,
Faxed to this number _________________________, or
Placing it in the United States mail, postage pre-paid, and addressed to the
following:
To: ______________________________________
______________________________________
______________________________________
______________________________________
______________________________________
Date: __________________________
___________________________________
Print Name
___________________________________
Signature
JDF 1334 Domestic Notc of Limited Appr w cert of svc 10-11
72
Unbundling/Limited Scope Representation
‰District Court ‰Denver Juvenile Court
___________________ County, Colorado
Court Address:
In re:
‰The Marriage of:
‰Parental Responsibilities concerning:
______________________________________________________
Petitioner:
and
COURT USE ONLY
Co-Petitioner/Respondent:
Attorney (Name and Address):
Case Number:
Chapter
Phone Number:
FAX Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
CONSENT TO LIMITED APPEARANCE BY AN ATTORNEY
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A FAMILY LAW MATTER
I,
consent
, (Pro se party in interest to the case) do hereby
entry of appearance for (name of counsel)
_ to represent me for the following proceeding(s):
______________________________________________________________________.
to
a
limited
I understand that the Court retains jurisdiction over me as the pro se party in interest to this
case. That at the conclusion of this limited appearance I have the burden of keeping the
Court and the other parties informed where later notices, pleadings, and other papers may
be served; that I have the obligation to prepare for trial or have other counsel prepare for
trial; and that failure or refusal to meet these burdens may subject me to a possible default
and that the dates of any proceedings including trial and holding of such proceedings will
not be affected by the completion of the limited appearance of counsel.
Service of process may be served upon me at my address which is:
______________________________________________________________________
_______________________________________________________________________.
DATE: ________________
________________________________
Signature
Name:
Address:
Telephone:
JDF 1335 Domestic Consent to Limited Appearance 10 11
73
4
Successful Business Planning: Representing the Moderate Income Client
‰District Court ‰Denver Juvenile Court
___________________ County, Colorado
Court Address:
In re:
‰The Marriage of:
‰Parental Responsibilities concerning:
______________________________________________________
Petitioner:
and
COURT USE ONLY
Co-Petitioner/Respondent:
Attorney (Name and Address):
Case Number:
Chapter
4
Phone Number:
FAX Number:
E-mail:
Atty. Reg. #:
Division
Courtroom
NOTICE OF COMPLETION OF LIMITED APPEARANCE BY ATTORNEY
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A FAMILY LAW MATTER
COMES NOW_______
(name of attorney), and enters
a notice of completion of limited appearance as counsel for ________________________
(the pro se party in interest to the notice of limited appearance dated:
_______________________), as grounds therefore, counsel states:
I have advised the pro se party in interest that the Court retains jurisdiction over the pro se
party in interest to this notice. That he/she has the burden of keeping the Court and the
other parties informed where later notices, pleadings, and other papers may be served;
that he/she has the obligation to prepare for trial or have other counsel prepare for trial;
and that failure or refusal to meet these burdens may subject him/her to a possible default
and that the dates of any proceedings including trial and holding of such proceedings will
not be affected by this completion of limited appearance of counsel.
Service of process may be served upon the pro se party in interest to this notice at the last
known address which is:
________________________________________________, Phone:________________
The following hearings or other Court settings have been scheduled in this case:
_____________________________________________________________________.
DATE: __________, 20__
Attorney Signature: _________________________
Name:
Registration No.: ___________________________
Address: _________________________________
Phone: _________________________________
Telephone:
JDF 1336 Domestic Notc of Compl of Limit appr w cert of svc 10-11
74
Unbundling/Limited Scope Representation
‰District Court ‰Denver Juvenile Court
___________________ County, Colorado
Court Address:
In re:
‰The Marriage of:
‰Parental Responsibilities concerning:
______________________________________________________
Petitioner:
and
COURT USE ONLY
Co-Petitioner/Respondent:
Attorney (Name and Address):
Phone Number:
FAX Number:
Case Number:
Chapter
4
E-mail:
Atty. Reg. #:
Division
Courtroom
CERTIFICATE OF SERVICE OF NOTICE OF COMPLETION OF LIMITED
APPEARANCE BY ATTORNEY
UNDER C.R.C.P. 11(b) AND 121, SECTION 1-1(5) IN A FAMILY LAW MATTER
I certify that on ____________________________ (date) a true and accurate copy of the Notice
of Completion of Limited Appearance by Attorney Under C.R.C.P. 11(b) and 121, Section 1-1(5)
in a Family Law Matter was served on the client and all other counsel or parties of record by:
‰ Hand Delivery,
‰ E-filed,
‰ Faxed to this number _________________________, or
‰ Placing it in the United States mail, postage pre-paid, and addressed to the
following:
To: ______________________________________
______________________________________
______________________________________
______________________________________
______________________________________
Date: __________________________
___________________________________
Print Name
___________________________________
Signature
JDF 1336 Domestic Notc of Compl of Limit appr w cert of svc 10-11
75
Successful Business Planning: Representing the Moderate Income Client
AUTHORITIES
Colorado Rules of Civil Procedure
• Rule 11(b) – Signing of Pleadings
• Rule 121 § 1-1 (5) – Local Rules – Statewide Practice Standards
• Rule 311(b) – Signing of Pleadings
Colorado Rules of Professional Conduct
Chapter
4
• Colorado Rule of Professional Conduct 1.0(e) – Informed Consent
• Colorado Rule of Professional Conduct 1.2(c) – Scope of Representation and Allocation
of Authority Between Client and Lawyer
• Colorado Rule of Professional Conduct 1.5(b) – Fees
• Colorado Rule of Professional Conduct 4.2 – Communication With Person Represented
by Counsel
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 101 – Unbundled Legal Services
ABA Materials
• Formal Opinion 07-446 – Undisclosed Legal Assistance to Pro Se Litigants
76
Chapter 5
MARKETING
OVERVIEW
Identify Your Goals and Objectives
Every lawyer needs a strategy and plan to communicate and promote his or her legal
services to potential clients. One trap that many lawyers fall into is spending an exorbitant
amount of money on marketing and advertising without first developing a list of desired clients
and client types to form the basis for evaluating various marketing and advertising options
available to reach target clients. Putting pen to paper about your practice areas, basic services,
and ideal clients will better concentrate your marketing and advertising dollars.
Lawyers are often seduced by the promises of print, radio, or television advertising;
direct mail or e-mail marketing; brand and website development; Internet search optimization;
and even social media content creation. Experienced and inexperienced lawyers alike commit
themselves to expensive, year- and multiyear-long contracts without any evaluation of their
expected return on investment or, put more plainly, whether anticipated revenue will exceed
the expense of a long-term vendor, marketing contract.
Pound the Pavement
Developing new business is often tedious and implicates our most basic fears of failure
and rejection, so the opportunity to outsource the task is alluring. Resist the temptation! This is
not to say that third-party marketing and advertising is never worthwhile, but as a lawyer your
best and most important asset is you and your relationships with colleagues and clients. This
means that if you’re just starting out and don’t have any clients, your priority should be
cultivating an active source of referrals.
Leverage your network of peers, get involved with your local bar association, and do
pro bono work. Participating in these types of activities will put you in contact with individuals
who can refer potential clients to you if they know what legal services you offer and believe
that you will do good work and give good customer service. CONSTANTLY PRACTICE your
“elevator speech” so that you can quickly and succinctly summarize your niche as it relates to
representation of moderate-income clients. (E.g., “I represent small business entrepreneurs who
share my sense of individual responsibility, precision in operations, and community
77
Chapter
5
Successful Business Planning: Representing the Moderate Income Client
involvement by providing exceptional client-centered services at rates the big law firms can’t
match.”) Identify your areas of practice, explain your general business model, and highlight flatfee or alternative billing methods that you have in place. Following up with new contacts, even
if it’s just sending them a quick e-mail to say that it was nice to meet them, will show that you
are conscientious and serious about developing your practice.
Rank your network contacts and ensure that your more productive or higher potential
referral sources get the attention they deserve. It will take numerous contacts to develop an
awareness of your ability to provide legal services within your network. Make sure to seize the
opportunity let your contacts know about developments in your practice, expansion of practice
areas, successes, added staff, etc.
Chapter
5
Since 2010, Colorado’s state courts have been establishing self-help centers in
courthouses throughout the state. The purpose of these self-help centers is to facilitate access to
the courts by providing basic information about court procedures and practices to litigants who
are not represented by lawyers. Although the courts are prohibited from recommending a
specific lawyer or law firm, many of these self-help centers collect contact and practice
information from lawyers who are interested in having their information made available to
these litigants. Because each self-help center facilitates the collection and distribution of this
information in its own way, each courthouse must be contacted separately to determine the
process for getting on that court’s lawyer information list.
Once you’ve begun to develop your client base, be sure to treat former clients as a source
for referrals as well. Keep former clients updated on your practice, services, and expertise via
social media. Facebook, Twitter, and LinkedIn can be some of the most cost-effective means to
communicate and promote your legal services and practice. Ask clients for feedback about why
they hired you and what you can do to improve. Use their constructive criticism to improve.
Clients will be more likely to refer their family and friends to you later if they feel like you helped
them.
Develop a Marketing Calendar and Budget
To keep yourself disciplined about building an active source of referrals, develop a
marketing calendar in which you identify and schedule potential development opportunities,
such as attending a local bar association function; teaching a case-specific education class (e.g.,
the basics of divorce) at a self-help center; participating in list-servs related to your areas of
practice; writing bylined articles in publications, newsletters, and blogs read by other lawyers
who practice in your areas of practice; and following up with new contacts.
You should also develop a marketing budget to incorporate into your overall budget
and be realistic about all expenditures. Be sure to evaluate every expense to determine your
expected return and to reevaluate expenses a year later to determine whether the expected
return was realized. If you decide to advertise in print or on radio or TV, or to undertake a direct
mail or e-mail marketing campaign, be sure that your ad and mailers are unique and eye-
78
Marketing
catching. Consider how you treat unsolicited ads, mailers, and e-mails, and remind yourself
that most people will treat your unsolicited ad, mailer, or e-mail that same way.
Although it was not developed specifically for the modest means practice, the
“Marketing and Business Development Planning Template” that appears later in this chapter
offers excellent suggestions and forms to use in marketing your services. It can be easily
customized and is a good starting point for any law firm.
Commonly Implicated Rules of Professional Conduct
Colo. RPC 7.1 — Communications Concerning a Lawyer’s Services
Rule 7.1 governs all communications about a lawyer’s services, including rules regarding
all mailings. The rule’s touchstone is truthfulness, and its comments warn that “characterizations
of a lawyer’s fees such as ‘cut-rate,’ ‘lowest,’ and ‘cheap’ are likely to be misleading if those
statements cannot be factually substantiated. . . . Equally problematic are factually
unsubstantiated characterizations of the results that a lawyer has in the past obtained.”1
Colo. RPC 7.2 — Advertising
Rule 7.2 permits lawyers to advertise services through any written, recorded, or
electronic communication, and permits lawyers to accept referrals so long as the lawyer does
not give anything of value to a person for recommending the lawyer’s services. The rule also
permits lawyer-referral agreements so long as such agreements are not exclusive and the client
is informed of the existence and nature of any such agreement.
Colo. RPC 7.3 — Direct Contact with Prospective Clients
Rule 7.3 prohibits lawyers from soliciting professional employment from a prospective
client in person, via telephone, or via real-time electronic contact “when a significant motive for
the lawyer’s doing so is the lawyer’s pecuniary gain” unless the person contacted is a lawyer
or has a family, close personal, or prior professional relationship with the lawyer.
Colo. RPC 7.4 — Communication of Fields of Practice
Rule 7.4 allows lawyers “to communicate the fact that the lawyer does or does not
practice in particular fields of law or that the lawyer is a specialist in particular fields of law,”
but prohibits a lawyer from stating or implying that he or she is certified as a specialist unless
such certification is granted by an organization approved by an appropriate state authority or
accredited by the American Bar Association or other organization that has been approved by
the state authority to accredit organizations that certify lawyers as specialists.
1
See Colo. RPC 7.1, cmt. [5].
79
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Successful Business Planning: Representing the Moderate Income Client
Colo. RPC 7.5 — Firm Names and Letterheads
Rule 7.5 permits a lawyer’s firm to be “designated by
the names of all or some of its members, by the names of
deceased members where there has been a continuing
succession in the firm’s identity or by a trade name such as the
‘ABC Legal Clinic.’ A lawyer or law firm may also be designated
by a distinctive website address or comparable professional
designation.”2
• Set specific and realistic marketing goals every year.
Review them accordingly to make sure you’re on
track and make adjustments as necessary.
• Do at least one marketing activity a day. You could
write a blog entry, attend a bar association function,
read an article on marketing, send a thank-you card
to a past client, etc.
• Request feedback from clients about why they hired
you and what you could do to improve. Be prepared
for constructive criticism.
• Do pro bono work. Not only will you provide a
community benefit, but you will also gain knowledge
that you otherwise would never have learned
through your paid work.
• Develop professional relationships with your
colleagues. Your colleagues can be one of your best
referral sources.
• Subscribe to newsletters, list-servs, and magazines
that serve your target market. Keep updated on the
latest developments, including new marketing
strategies.
• Be social-media savvy. Facebook, Twitter, and
LinkedIn are some of the best (and most costeffective) strategies to connect with potential clients
and market your practice.
5
1. Do at least one
marketing activity
a day.
2. Set marketing
goals.
TIPS
Chapter
The 10 Rules
of Marketing
3. Join a local bar
association.
4. Utilize social
media.
5. Develop
professional
relationships.
6. Write articles and
blog entries
regularly.
7. Create
eye-catching
advertisements.
8. Set aside money
to spend on
marketing.
9. Request client
feedback.
10. Provide
outstanding
customer service.
2
See, Colo. RPC 7.5, cmt. [1].
80
Marketing
• Carry your business cards with you every day and hand them out whenever possible.
• Provide outstanding customer service to your clients. Clients will remember that time
you went out of your way to assist them and will be more likely to refer their friends
and family to you later.
• Get involved with your bar association — whether at the local, state, or national level.
Your colleagues can play a large role in sending business to you. Take every
opportunity to associate, socialize, and work with your fellow bar members.
• Grow your practice by writing bylined articles. This is one of the most effective ways
to market your practice and can make you a better lawyer. You will establish a
reputation of having expertise in a particular practice area, increase your visibility in
the legal community, and create and build relationships with staff at publications read
by your peers.
• If you advertise, make sure your ad is unique and eye-catching. Consider using the
services of sites such as http://redjackal.com to assist you.
• Hit the pavement. Schedule lunches or meet for drinks with past clients, colleagues,
potential referrals, and new contacts. Nothing beats person-to-person contact when
you’re marketing yourself.
• Set aside money in your annual budget to use solely for marketing.
• Become a visible presence in the community. Appear on TV or radio, lecture at CLEs,
lead seminars.
• Create an “elevator speech.” Know what you do and be able to explain it in 30 seconds
or less.
• Remember that your current clients are your best marketing resource. Keep them
happy and you’ll keep new clients coming.
• Keep your website accurate and updated. Make sure that your website adheres to
Colorado’s Rules of Professional Conduct re: advertising.
• If you are in the Denver metro area, consider joining the Metropolitan Lawyer Referral
Service (MLRS) by visiting www.mlrsonline.org. Becoming an attorney to whom
potential clients will be referred through MLRS can help you build your practice.
• Contact your county’s Self-Represented Litigant Coordinator or visit your local
courthouse’s Self-Help Center to find out how to become a listed attorney on the
Lawyer Information Database.
• If you are a CBA member, increase the usefulness of your listing on the CBA’s “Find a
Lawyer ” registry by including a photo, any additional languages you speak, your
practice areas, prior experience, etc.
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WEBSITES
ABA Resources
• The American Bar Association Solo Small Firm Resource Center provides information
on marketing, technology, practice management, CLE, and substantive law resources
for solo lawyers and small firms.
• Go to www.americanbar.org/portals/solo_home/practice_management/marketing.html.
CBA Resources
Chapter
5
• Check out the CBA Law Practice Management’s section on Marketing for quick links
to Colorado Rules of Professional Conduct related to marketing and web hosting
companies, as well as a link to Bothwell Marketing, a comprehensive resource for
marketing and business development support.
• CBA members can go to www.cobar.org and click on Practice Management Resources,
then on Marketing.
Legal Marketing Blogs
Blogs are a great resource for getting current and relevant information from other
practicing attorneys about new developments in the law and practice tips, as well as providing
an avenue for attorneys to connect with one another and share stories. Check out the following
blogs and consider starting your own.
• Legal Marketing Blog, www.legalmarketingblog.com
•The Rainmaker Blog, www.therainmakerblog.com
• Lexis/Nexis Law Firm Marketing Solutions, www.lexisnexis.com/law-firm-marketing/
why-lexisnexis
• Law Marketing Monitor, www.lawmarketingmonitor.com
• The Attorney Marketing Blog, www.the-attorneys-atm.com/attorney-marketing-blog
• Practice Smarter, www.abacuslaw.com
• Social Media Marketing for Law Firms, http://socialmediamarketingforlawfirms.com
• Certified Practice Advisor’s Blog, www.copleycoaching.com/blog
• Real Lawyers Have Blogs, http://kevin.lexblog.com
• Zen & the Art of Legal Networking, www.zenlegalnetworking.com
• CaseDetails, www.casedetails.com
• Technology and Marketing Law Blog, http://blog.ericgoldman.org
• AttorneyBoost, www.attorneyboost.com/legal-marketing-blog.html
• AttorneySync, www.attorneysync.com/blog/law-firm-marketing-plan-2013-2
82
Marketing
MARKETING AND BUSINESS DEVELOPMENT
PLANNING TEMPLATE
Provided by Martha Cusick Eddy, Global Director of Marketing, RGL Forensics,
and Phil Nugent, Managing Director, NCG Marketing. Used with permission.
Contact Martha at [email protected], www.mapgrowth.com.
Contact Phil at [email protected], www.ncgmarketing.com.
Firm Name:
Prepared By:
Date:
EXECUTIVE SUMMARY
Chapter
5
Vision Satement
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
SITUATION ANALYSIS
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
83
Successful Business Planning: Representing the Moderate Income Client
SWOT Analysis
Look at the internal factors and list out your strengths and weaknesses. Then look at the external
environment affecting your office and list out opportunities and threats in your market.
Strengths
Weaknesses
Opportunities
Threats
Chapter
5
External
Market Analysis
Which markets does your office serve? What is the overall market situation? What are the
changes in the market? What percentage of your work goes to which market? How would you
like to diversify your work in the future?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
84
Marketing
Percentage of Revenue By Market Area
Market
2010
x%
x%
x%
x%
2011
x%
x%
x%
x%
2012
x%
x%
x%
x%
2013
x%
x%
x%
x%
Competitive Analysis
Who are your competitors? How do they market their services? What are their competitive
advantages? Disadvantages?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
85
Chapter
5
Successful Business Planning: Representing the Moderate Income Client
OBJECTIVES
Define your annual objectives.
• Profit
• Revenue mix objectives
• Days in AR
• Realization rate
• Business Development - average number of activities weekly, monthly / Impact of
activities
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Chapter
5
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
MARKETING STRATEGIES
Target Market and Client Segments
How will you reach your market goals? What specific clients will you target? What current
clients will you continue to develop? Who can they introduce you to? What potential clients
will you develop? What specific companies can you target?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
86
Marketing
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Client Characteristics
WHO IS YOUR CLIENT - What are the demographics of your clients? Be specific - title,
experience, etc. What are your client’s needs? What influences their buying decision? What is
the lifecycle of your client? How often does he or she give you work? How often could he or
she give you work?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Service Strategy
Existing services
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
87
Chapter
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Successful Business Planning: Representing the Moderate Income Client
New services
Are there any new services that could be added?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
INTEGRATED MARKETING COMMUNICATIONS STRATEGY
Contacts & Your Network
Chapter
5
1. Create contact list of family, friends, contacts – in Outlook or other contact management
tool
2. Develop wish list of prospects
3. Rate your contact list on a 1, 2, 3 tiered basis
4. Keep in touch through events, newsletters, holiday & birthday cards, lunch, coffee, calls,
e-mails, personal events, etc.
5. Contact Frequency:
1’s: Quarterly in person
2’s: Twice a year (once in person)
3’s: Once a year
Professional Development
1. Join one local association and get actively involved in one targeted community
2. Update your bio annually
3. Bio Improvement – Include some niche orientation
4. Bio Improvement – Add some success stories
5. Set up a leads group with other professionals
Industry & Niche Development
1. Target an industry that has specific interest to you
2. Join one industry trade association – attend local meetings and one national meeting
3. Subscribe to and read the Wall Street Journal, Forbes, and Fortune
4. Subscribe to the primary trade journal for your niche industry
88
Marketing
Internal Development
1. Identify three colleagues that you want to strengthen your relationships with
2. Present once per year internally
Community Development
1. Identify one community organization that you have strong passion for
2. Join and get involved with one committee
3. Attend quarterly meetings
4. Seek out leadership role
Visibility
1. Write one article per year for a professional or industry publication
2. Present one speech per year for a professional or industry publication
3. Participate in a firm seminar to clients and prospects
Chapter
Client Development
1. Develop a list of the critical issues to your client and that client’s industry
2. Visit client’s offices, facilities, factories, stores, etc.
ACTIONS & TACTICS
Most Effective
 Speaking engagements, especially at industry forums/client industry meetings
 Published articles — articles in client/industry trade press — information pieces published
for industry forums — published in general business sources, blogs
 Seminars (small scale — executive briefings with proper follow up)
 Proprietary research
 Web 2.0 Tactics
 Referrals from clients (with follow-up calls)
 Warm calls (follow up on referrals and from marketing activities listed above)
Somewhat Effective
 Conference participation
 Trade and professional associations
 Community/civic activities
 Networking with referral sources
 Targeted direct mail and newsletters — electronic and paper based
 Cold calling (follow up from direct mail and events)
 PR and media relations with industry press, business press, and analysts
 Client surveys
89
5
Successful Business Planning: Representing the Moderate Income Client
Least Effective & Expensive
 Brochures
 Seminars (ballroom size)
 Sponsorships
 Advertising
ACTIONS AND TACTICS
What steps must you take to meet your goals and objectives
Initial meetings with prospective clients
Public speaking in front of clients and targets
Give and receive referrals
Organize a seminar
Chapter
5
Attend conferences and events
Contact and set meetings/schedule meals with your Circles of Influence/Network
Identify and send value-added information
Public relations events and articles detailing client successes
Relationship-building trips to firm offices to lead to cross-selling
Write and publish articles targeted toward client issues
Attend networking events to meet influencers and decision makers
Secure leadership position in association or group
Active participation in associations
Invite targets to entertainment or sporting event
Proactively offer office advice or presentation
Introduce a colleague into a client relationship
Conduct a needs assessment
Follow up after key client/prospect interactions
Research client’s business, key stakeholders, industry and key issues
Offer training to client’s in-house team
Productize your services
Invite a key contact to sit on a panel
Other
90
Marketing
BUDGET
Item
Schedule
Cost
Chapter
5
TOTAL
IMPLEMENTATION EVALUATION AND CONTROL
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
91
92
Total
$0
Online/Social Media Marketing
Offline Marketing
Client Referrals
$0
$0
Mar.
$0
Apr.
$0
$0
MONTHLY BUDGET
Jun.
Jul.
$0
May
5
Feb.
Chapter
Jan.
Centers of Influence Referrals
Worksheet: Construct a Marketing Budget
$0
Aug.
$0
Sep.
$0
Oct.
$0
Nov.
$0
Dec.
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Total
Successful Business Planning: Representing the Moderate Income Client
Marketing
Name:
Week of:
Goal for the Week:
Weekly Action Items
 Make 3 to 5 Direct Contacts with Referral Sources, Past Clients and/or Prospects
• Name / Outcome: __________________________________________________________
• Name / Outcome: __________________________________________________________
• Name / Outcome: __________________________________________________________
 Meet with 1 Client for Purpose of Relationship Building / Exploring Additional Needs /
Satisfaction
• Name/Outcome: _______________________________________________________
 Make 2 Direct Contacts with Firm Colleagues to Assist in Business Development
• Name/Outcome: _______________________________________________________
• Name/Outcome: _______________________________________________________
 Add __________ New Contacts to My Database
 Connect with __________ New Contacts on LinkedIn
 Attend __________ Networking Events
• Name/Outcome: _______________________________________________________
 Maintain Involvement with Targeted Trade Group
• Name/Engagement: _______________________________________________________
 Participate in __________ Discussion Groups or Social Media Groups
Special Activities
 Write a Thank You Note
 Send a Referral
 Offer an In-House Seminar for a Client or Contact
 Get a Group of Contacts Together to Talk about Business and Partnering Opportunities
 Think Broadly About Business Development – It’s Not Just About Referrals, Leads and Sales
Status Report
Hours Invested This Week: __________
Overall Impression of Effectiveness & Outcomes: ________________________________________
93
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Successful Business Planning: Representing the Moderate Income Client
ARTICLES
The Colorado Lawyer
Chapter
• “Fatal Marketing Mistakes Lawyers Make,” Trey Ryder (August 1997)
• “The Complete Guide to Marketing Your Law Practice and Marketing and Legal Ethics:
The Boundaries of Promoting Legal Services,” Larry C. Smith (June 2001)
• “The Little Black Book: A Lawyer’s Guide to Creating a Marketing Habit in 21 Days,”
Heather R. Younger (Dec. 2009)
• “LPM Tips for Marketing, Practice Management, Technology, and Practice,” Reba J.
Nance and Michelle Gersic (Dec. 2007)
• “LPM Tips for Marketing, Practice Management, Technology, and Practice,” Reba J.
Nance and Michelle Gersic (April 2008)
• “Updating Your Marketing Strategy,” Debra Bruce (Sept. 2007)
• “Marketing Plus Referrals for a Fee — Feeder Operations By Any Other Name,”
Stephen G. Masciocchi (July 2007)
5
Other Periodicals/Sources
• “Marketing Unbundled Legal Services in a DIY Economy,” Steph Kimbro, Lawyerist.com
(June 16, 2010)
• “Marketing Your Practice Today: Does Your Firm Need a Marketing Director? The Skills
and Benefits to Look for in the Right Pro,” Mary K. Young, Law Practice, “Smart
Marketing: Ideas You Can Use to get Your Firm Back in the Game” (May/June
2010)
• “50 Ways to Market Your Practice,” Margaret Graham, ABA Journal (Oct. 1, 2007)
• “Ten Keys to Success in a Small Law Practice,” Ward Bower, Law Practice Today (Feb.
2004)
• “‘Do It Yourself ’ Marketing for Small Law Firms,” John O. Cunningham, Legal
Marketing Reader (Sept. 2009)
• “Developing a Marketing Budget: Dollars and Sense,” Sally J. Schmidt, Law Practice,
“Maverick At Law: How Do You Get Inspired?” (Dec. 2006)
• “Attorney Marketing: How to Get Clients to Say Yes,” Dave Lorenzo, Attorney Journal
(Nov. 1, 2012)
• “Legal Fees: How to Address the Client Pressure to Lower Fees,” Ed Poll, Law Practice
Today (May 2009)
• “Offering Legal Services a la Carte,” Your ABA (Nov. 2012)
• “Law Firm Marketing Rules for 2013: Out with the Old, In with the New,” Larry
Bodine, LawMarketing Blog (Dec. 31, 2012)
• “50 Ways to Market Your Practice,” Margaret Graham Tebo, ABA Journal – Solo Network
(Oct. 1, 2007)
94
Marketing
• “Developing a Law Firm Marketing Strategy,” Cheryl Wickham, 9 NYSBA NY Business
Law Journal (Fall 2005)
• “Internet Marketing Basics for Lawyers: Website Considerations,” William Peacock,
Esq., Strategist (Feb. 21, 2013)
• “Do-It-Yourself Marketing: Tips for Solo and Small Firm Lawyers,” Michelle R.J.
Allinotte, Law Practice Magazine (Jan./Feb. 2011)
• “Twenty Marketing Tips for Solo and Small Firm Lawyers,” Larry Bodine, Law Practice
Today (May 2004)
AUTHORITIES
Case Law
• People v. Smith, 830 P.2d 1003 (Colo. 1992)
• Letterhead cannot include statements or claims that are false, fraudulent,
misleading, or deceptive.
• Crowe v. Tull, 126 P.3d 196 (Colo. 2006)
• Attorneys may be held liable for violations of the Colorado Consumer
Protection Act (CCPA). The complainant must allege that “the attorney or law
firm knowingly engaged in a deceptive trade practice, which occurred in the
course of the attorney or firm’s business, vocation, or occupation, significantly
impacting the public as actual or potential consumers of legal services, and
causing injury in fact to a legally protected interest of the plaintiff.”
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 7.1 – Communications Concerning a Lawyer’s
Services
• Colorado Rule of Professional Conduct 7.2 – Advertising
• Colorado Rule of Professional Conduct 7.3 – Direct Contact with Prospective Clients
• Colorado Rule of Professional Conduct 7.4 – Communication of Fields of Practice
• Colorado Rule of Professional Conduct 7.5 – Firm Names and Letterheads
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Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 38 – Referral Fees
• CBA Ethics Committee Formal Opinion 74 – Lawyer Newsletters
• CBA Ethics Committee Formal Opinion 76 – Lawyer Advertising Guidelines
• CBA Ethics Committee Formal Opinion 83 – Lawyer Advertising, Solicitation, and
Publicity
• CBA Ethics Committee Formal Opinion 106 – Referral Fees and Networking
Organizations
• CBA Ethics Committee Formal Opinion 122 – The Applicability of Colo. RPC 7.2 to
Internet-based Lawyer Marketing Programs
Chapter
5
96
Chapter 6
TECHNOLOGY
OVERVIEW
Technology can be a tremendous boon to law firms. There are many routine functions
in a law firm that can be standardized and more easily accomplished using technology. By taking
time up front to set it up, the investment is well worth it. Accuracy is improved, and things don’t
fall through the cracks. There’s no doubt about it — technology enables firms of all sizes to do
what they do, only better.
There is much more free or low-cost technology available now than ever before — and
the cost typically goes down, not up. Lawyers also need to invest in training. Studies show that
people only use a small portion of the functionality of software. To maximize the benefits, you
must set aside the time and pay for training. Fortunately, there are more no-cost or low-cost
options than ever before.
Document Assembly
Fortunately for lawyers, document assembly programs are easier to use and less
expensive than ever. Document assembly allows you to take forms you use frequently and set
them up so you can easily modify them for new clients. Unlike searching for “Suzanne Smith”
and replacing it with “Tom Jones,” document assembly programs also take care of changing
“she” to “he” and the singular to the plural (“he” to “they”). They will insert discretionary text,
such as an optional paragraph for deposits for pets in a lease agreement if a tenant has a pet.
Software that is on the market now does a lot of this at no cost. For a nominal fee, there are even
more sophisticated functions available.
Scanners
The use of scanners is on the rise. They are much smaller than ever, and the cost has
dropped. Using scanners, with Adobe Acrobat, will allow you to go with less paper. This cuts
down on the cost to store files and allows you to easily search documents by keywords, etc.
97
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Successful Business Planning: Representing the Moderate Income Client
Software
There’s more specialty software than ever before. Software designed for family law
allows you to easily and quickly calculate child support, draft financial affidavits, and divide
property. Bankruptcy software can enable a solo practitioner to handle a much higher volume
of clients and do it better. There is specialty software for almost any practice area. Check out the
CBA’s website at www.cobar.org/index.cfm/ID/422 for a list by practice area.
PCs — Laptops — Net Books — MACs
More lawyers are opting for mobile computing. They want to travel with a laptop or
work remotely from home or elsewhere. New machines are faster and hard drives are bigger.
E-Mail
Chapter
It can be overwhelming to manage the sheer volume of e-mails we all receive daily. The
key is setting up procedures and getting training in the features that will help you keep on top
of the deluge. The CBA has information on its website (www.cobar.org) with tips to get your
inbox to zero and keep it that way.
6
Calendar and Docketing
There are more software programs than ever that allow you to compute deadlines based
on the rules. Check out CBA member benefits on www.cobar.org for a list of software and
services for which CBA members receive a discount.
Practice Management Software
Practice management software (also known as case management software) helps you
manage your practice. You can track deadlines, manage documents, check for conflicts, manage
your trust account, and more.
Using technology allows you to level the playing field. You can be more efficient and
your clients are better served if you invest in techology.
98
Technology
The 10 Rules
of
Technology
1. Become well
versed in how
your current
tools work.
2. Think twice
before you buy.
3. Stay in the loop
on the newest
advances.
4. Save money by
buying
refurbished
products.
5. Wait to upgrade
until all bugs
have been fixed.
6. Find good tech
support.
7. Do your research.
8. Check out
“Tech Tips”
regularly.
9. Keep it simple.
10. Think outside the
box.
TIPS
• Training is essential. Don’t underestimate how
important it is to set aside the time for training and to
figure in the cost of training in your technology
budget. There are easy, inexpensive options. Check
out www.lynda.com for unlimited software trainings.
The cost is $25 a month for unlimited use, and they
boast over 1,576 courses. They even offer a free sevenday trial.
• Think in terms of “needs,” not “wants”: you may want
an iPad, but do you really need one? What will you
be able to do with a new gadget or program that you
couldn’t otherwise do?
• Whenever you can, remove the human element. Set
backups to be done automatically. If you have to
do it manually something will interfere and it won’t
get done on time. Also, if it’s done automatically
you eliminate the possibility that it will be done
incorrectly.
• Do you have a good tech support person? The best
way to find a good one is through word of mouth.
Check with your colleagues. Call and ask the CBA’s
Law Practice Management department for a list of
folks who have been recommended by others.
• “Just Say No to Version 0.” Don’t be the first person
on your block to upgrade to the latest and greatest.
Wait a while. Every new product or new version of
an existing product is guaranteed to have bugs. Wait
until those bugs have been discovered and fixed by
others — then upgrade.
• Be sure to install service packs as they come out.
Again, software will have bugs. Service packs will
ensure that known problems have been taken care of.
• Free is good, but sometimes you get what you pay for.
There are plenty of free pieces of software, utilities,
etc. Make a list of what you need and then see if it
makes sense to pay a little more for a more fullfeatured piece of software.
• Technology can allow you to do things faster, better,
and more accurately. Conversely, technology that is
not thought through simply allows you to make
mistakes faster and on a much grander scale.
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• Check the CBA member benefits page at www.cobar.org. The CBA has a number of
member benefits with technology companies, and each provides some sort of discount
for CBA members. Check back often. The CBA also announces new member benefits
in the weekly C-Brief electronic newsletter that comes out every Thursday.
• Check out the C-Brief every Thursday for Tech Tips. There’s always a quick, easy tip
to use technology to be more efficient. The tips are also archived at www.cobar.org/
index.cfm/ID/22044/DPCOM/C-Brief-Tips-of-the-Week.
• Don’t forget to Google any questions you have. Sometimes the Help in software
programs isn’t very helpful. If you’re having trouble figuring out how to do something,
try Googling it. Chances are someone has the same questions. And there are resources
you would never know about that will give you step-by-step instructions that are often
easier to understand than the instructions in Help.
• Get on a list-serv such as SSF for referrals, questions about technology, etc., and make
sure you stay up-to-date on ethics opinion changes.
• Before buying the newest piece of technology, consider what you already have and
whether you are utilizing it to its fullest potential. Make sure you are fully trained on
your current programs and tools. It may be that your existing tools can provide you
with the same benefits as a newer gadget, but without the added expense.
• Keep it simple. Decide what jobs you need done and find the least complicated tool
to do it. Fancier and more complicated doesn’t necessarily equal better.
• Make sure you have a metadata scrubber and use it to clear the metadata from any
documents before you send them. If you don’t clear the metadata from your
documents, other parties (including opposing counsel!) can see who created the
document, what changes were made to the document, the name of the network the
file was created on, etc. Please refer to CBA Ethics Committee Formal Opinion 119 —
Disclosure, Review, and Use of Metadata (all CBA Formal Ethics Opinions are available
on www.cobar.org).
CBA LENDING LIBRARY BOOKS
Many of the materials in the CBA Lending Library include information on technology
issues in the practice of law. Details about the CBA Lending Library and how members can
access it are included in Appendix A at the back of this manual.
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Technology
ARTICLES
The Colorado Lawyer
• “But Judge, I Got it From the ‘Net’! — The Admissibility of Internet Evidence,” Steve
C. Posner (Oct. 2002)
• “2005 Case Management: The Most Effective Solutions for Small, Medium, and Large
Firms,” Natalie R. Thornwell (March 2005)
• “Best Practices for Backups,” Susan H. Borgos (July 2005)
• “Doing Business with the Business Division of the Colorado Department of State —
Part I,” Keith Whitelaw (July 2002)
• “Doing Business with the Business Division of the Colorado Department of State —
Part II,” Keith Whitelaw (Sept. 2002)
• “Law Office Security, Part I: The Threat from Within,” Susan H. Borgos (April 2003)
• “Law Office Security, Part II: Building the Castle Moat,” Sharon D. Nelson and John
W. Simek (June 2003)
• “Law Office Software 101: An Overview of Software Solutions for Law Firms,” Brock
R. Wood (March 2006)
• “Less Paper for Lawyers is Profitable Technology,” Halston T. Davis (Aug. 2003)
• “Obsolete Computer Equipment — What to Do,” Robert B. Holt and Larry C. Smith
(March 2002)
• “Scanning Solutions for the Law Office,” Susan H. Borgos (Dec. 2002)
• “Trust Accounting Made Easy with Software,” Daphne A. Salone (May 2005)
• “Utilities for the New-Millenium Law Practice,” Garry R. Appel, Susan H. Borgos, and
Brock R. Wood (July 2006)
• “Virtual Law Office: The ASP Model,” John C. Hanley and Susan H. Borgos (May 2002)
• “Ethical Considerations of Cloud Computing,” Katrin Miller Rothgery (April 2012)
• “Practical Considerations of Cloud Computing,” Jeffrey L. Weeden (April 2012)
• “Getting the Most Out of an iPhone — Apps for Lawyers and More,” Andrew M.
Woods (Dec. 2009)
• “Informal Internet Research: Need, Reliability, and Admissibility,” Jessica C. Collier,
(Aug. 2009)
• “The Practical Paperless Office,” Garry R. Appel (Jan. 2008)
• “What’s the Matter with Metadata?” Charles F. Luce, Jr. (Nov. 2007)
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Other Periodicals/Sources
Free and Low-Cost Software and Legal Research
• “Collaborative Technologies for Solos and Small Firms,” Dennis Kennedy, Tom Mighell,
and Grace Kennedy, GP Solo Magazine (June 2010)
• “Becoming a Cost-Effective Researcher,” Shawn G. Nevers, The Student Lawyer (Dec.
2012)
• “Using Technology to Improve Client Services,” Catherine Sanders Reach, GP Solo
Magazine (Sept. 2011)
Inexpensive Hardware
Chapter
6
• “Affordable Portables,” Jeffrey M. Allen and Alan Pearlman, GP Solo Magazine (June
2001)
• “Turbocharge Your Office for $5,000,” Nerino J. Petro Jr., GP Solo Magazine (Dec. 2011)
• “Turbocharge Your Office for $1,000,” Rodney S. Dowell, GP Solo Magazine (Dec. 2011)
• “Turbocharge Your Office for $2,000,” Andrew W. Simpson, GP Solo Magazine (Dec.
2011)
• “Why Pay More? Buying Refurbished Office Equipment,” Wells H. Anderson, GP Solo
Magazine (Dec. 2010)
Cloud Backup
• “Popular Cloud Computing Services for Lawyers: Practice Management Online,”
Stephanie L. Kimbro and Tom Mighell, Law Practice Magazine (Sept./Oct. 2011)
• “Is Cloud Computing Green Computing?” Jack Newton, GP Solo Magazine (Dec. 2010)
• “Cloud Computing: An Ideal Disaster Recovery Plan,” Nicole Black, GP Solo eReport
(Dec. 2012)
SOFTWARE AND HARDWARE SPREADSHEETS
The CBA Law Practice Management Department has developed detailed spreadsheets
describing both hardware and software programs that are available to help practitioners run
their law firms efficiently and effectively. These spreadsheets are available on the CBA website
at www.cobar.org/index.cfm/ID/422.
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Technology
AUTHORITIES
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.6 – Confidentiality of Information
• Colorado Rule of Professional Conduct 8.4 – Misconduct
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 90 – Preservation of Client Confidences in
View of Modern Communications Technology
• CBA Ethics Committee Formal Opinion 119 – Disclosure, Review, and Use of Metadata
ABA Formal Ethics Opinions
• ABA Formal Ethics Opinion 10-457 – Lawyer Websites
• ABA Formal Ethics Opinion 08-451 – Lawyer’s Obligations When Outsourcing Legal
and Nonlegal Support Services
• ABA Formal Ethics Opinion 06-442 – Review and Use of Metadata
• ABA Formal Ethics Opinion 99-413 – Protecting the Confidentiality of Unencrypted
E-Mail
• ABA Formal Ethics Opinion 95-398 – Access of Nonlawyers to a Lawyer’s Data Base
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Chapter 7
OFFICE SPACE
OVERVIEW
Where Should I Hang My Shingle?
When selecting office space for your practice, you need to consider all options. Whatever
setting you select, you should strive for flexibility, so that as your law practice evolves, the office
space can evolve. Avoid long-term leases or agreements. Most importantly, what does the office
cost in good times and in lean times? You should not get in over your head.
What Are the Basic Considerations and Questions?
You should explore office options such as working from home, virtual office space, office
sharing, and individual office rental. When selecting office space, you need to consider your
needs, the needs of your clients, the needs of the public, and the needs of your staff. You should
think simply and ask practical questions, such as:
• How will your client pay fees and costs in person?
• How will your client drop off signed documents or evidence?
• How will client confidences be kept confidential?
• How will other parties hand-deliver pleadings and documents?
• What meeting space is needed?
• Where does privacy of the attorney and his or her family factor in?
• What kind of lease or office-sharing agreements are needed?
• How often will a meeting room be needed?
• Who answers telephones?
• How will copying and faxing needs be met?
• What are the ethical considerations for sharing offices?
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What Are the Office Space Options?
Office space needs can vary depending of type of practice. For example, if your practice
includes face-to-face contact with clients, attorneys, and others, an office presence with
conference room and meeting space will be necessary. Even if you work from home, alternative
arrangements can be made for space rentals on a short-term basis or on an as-needed basis.
• Keys to Working from Home: Working from a home office can be the least expensive
option. With a home office you need to balance serving the client with personal and
family privacy. It is critical to provide clients a secure, professional place to drop off
payments, documents, and evidence. Virtual office vendors, as discussed below,
provide drop-box services, phone answering, and as-needed meeting room space for
the home office attorney. Online communication options such as Google Voice can be
the answer to communication issues.
As noted under “Tips,” below, you will need to get tax advice before writing off or
deducting home office space.
• Keys to Virtual Offices: Virtual office space opportunities are flourishing. The
opportunities and costs are both variable, so comparison shopping and negotiating a
deal are essential. There is a smorgasbord of services, terms of the agreement, and
flexibility of expanding or contracting services. “Office Space Options,” below, includes
several virtual office companies. Online searches will likely reveal more.
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Note: Even virtual office space use requires scrutiny of ethical issues involving
confidentiality and conflicts of interest.
• Keys to Office-Sharing Arrangements: Office sharing with other attorneys requires
detailed planning. An office-sharing agreement is necessary to address not only
business concerns, but also ethical issues. Business concerns involve paying for sharing
of equipment, reception services, common space, and sometimes staff.
Note: Office sharing requires special scrutiny of ethical issues involving confidentiality,
conflicts of interest, and misleading clients on lawyer relationships.
• Keys to Renting Individual Office Space: It’s all in the lease and terms of the tenancy.
Negotiate terms to avoid getting locked into a long-term and expensive lease,
especially when your law practice experiences peaks and valleys. During negotiation
of a lease you should be aware of hidden costs, such as parking, utilities, premises
liability insurance, etc. You should lease only the space that is needed and that your
practice will support. Seek references from other tenants and former tenants.
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Office Space
• Consider Combinations of the Options: Attorneys often rent individual space, then as the
practice expands, use virtual office space or satellite office space. This option is an
alternative to leasing more space than you need for growth potential. For expanding
staff needs, consider distance working arrangements for clerks and paralegals, who
can complete tasks remotely.
What Are Ethical Considerations of
Office Space Selection?
First, see CBA Ethics Committee Formal Opinion 89, available on the CBA website:
www.cobar.org.
You need to be continually concerned about ethical duties to the client and ethical duties
to the court and profession. Your office space choice involves all of these concerns, plus what
will be the public’s perception of the office space selection, especially in office-sharing
arrangements.
Some key Colorado Rules of Professional Conduct include:
• Firm Names and Signage: Colo. RPC 7.1 and 7.5 control how lawyers in an office-sharing
situation should designate their individual practices to avoid misrepresenting the
relationship among the lawyers in the suite.
• Confidentiality of Information: Colo. RPC 1.6 requires every lawyer to keep clients’
information confidential, even in office-sharing or virtual office situations. Special care
needs to be observed with phone messages, mail, storage of files, and technology.
• Conflicts of Interest: As with lawyers in the same law firm, Colo. RPC 1.7, 1.8, and 1.10
apply to imputation of conflicts of interest between office suite lawyers who are on
the opposite sides of a dispute. The potential is there for the appearance of impropriety
and for actual disclosure of confidential information.
• Sharing of Fees and Cases: Office-sharing financial arrangements can create fee-sharing
issues raised by Colo. RPC 1.5(d), when space-sharing costs involve a percentage of
fees generated. In addition, written fee agreements should list all lawyers working on
the case, especially in a contingency fee case under Chapter 23.3, Rules 1-7.
• Shared Lawyers, Paralegal and Clerical Staff: When lawyers not in the same firm are
sharing office space and also share lawyers, law clerks, paralegals, investigators, and
clerical staff, all of the issues of confidentiality and conflict of interest are heightened.
In addition, the supervisory ethical issues under Colo. RPC 5.1, 5.3, and 5.4 come into
play.
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TIPS
Chapter
7
• When deciding what type of office space would be
best for your practice, consider all of the possibilities,
including, but not limited to, virtual office space,
office sharing, home office, and individual office
rental.
• Working from home can be the least expensive
option. Consider using Google Voice (or other phone
answering services) and renting an office presence
and mail drop for client visits and correspondence.
• Before you write off your home office on your taxes,
be sure to consult with your accountant about IRS
regulations. For instance, you can only deduct your
home office if you regularly use part of your home
exclusively for conducting business. If you also watch
TV in the room, etc., it will not qualify. Visit www.irs.
gov/Businesses/Small-Businesses-&-Self-Employed/
Home-Office-Deduction for information on home
office deductions and www.irs.gov/Businesses/SmallBusinesses-&-Self-Employed / Deducting-BusinessExpenses for information on deducting business
expenses.
• If you are sharing space with another attorney, make
sure you have a written office-sharing agreement.
• Office-sharing arrangements can range from $250/
month to over $800/month. Generally, lawyers share
a common space, conference rooms, reception area,
copy space, copiers, phone services, and a receptionist.
Be mindful that ethical issues surrounding confidentiality, conflict of interest, and misleading
appearance of partnership/affiliation of lawyers are
more likely to arise with office sharing. See CBA
Formal Ethics Opinion 89.
• Virtual office space prices depend upon the services
and amenities offered, but can range from as little as
$75/month to over $1,000/month. Some virtual office
vendors allow tenants to pay for just what they use.
Vendors to consider include Regis and LawBank,
both of which offer the ability to rent everything from
just the address and mailbox, to cubicle space,
conference room use, individual office space, staffing,
phones, receptionist, and other amenities.
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The 10 Rules
of Office Space
1. Consider all your
options.
2. Know the tax
code for
write-offs.
3. Avoid the
appearance of a
partnership if
office-sharing.
4. Make sure your
office budget
includes collateral
expenses.
5. Only rent what
you need.
6. Be prepared to
negotiate for the
best rate.
7. Have office-share
agreements in
writing.
8. Don’t forget
about insurance!
9. Account for
hidden or
unexpected costs
in your budget.
10. Check out the
CBA’s Office
Management
page for more
tips (www.cobar.
org).
Office Space
• If you are considering renting individual office space, keep in mind that additional
costs for parking, electricity and other utilities, phone service, and common area costs
are common. Also, the individual office usually requires a yearly lease that can tie your
resources down for a longer period of time.
• When creating your office space budget, don’t forget about the collateral expenses of
running a law office. These can include: stationery and office supplies, office furniture,
website and broadband costs, and taxes and fees.
• Regardless of whether you have employees or not, you must include payroll tax and
income tax withholding in the monthly costs of operating a law practice. Remember
that you always have at least one employee — yourself!
• Depending upon the type of practice, premises liability insurance, general liability
insurance, fire insurance coverage, and other types of person-to-person liability
insurance will be needed. The single largest cost may well be professional liability
insurance.
• Visit www.cobar.org/page.cfm/ID/2511 for more office management tips from the CBA’s
Law Practice Management Department.
• If renting office space, be sure to negotiate with your landlord for the best rate and
don’t rent more space than you need.
OFFICE SPACE OPTIONS
• Boardroom Denver, http://boardroomdenver.com
• The Boardroom Executive Suites® is an alternative workspace provider in
Denver that provides ready-to-use office space, virtual office services,
conference room rentals, advanced telecommunications, and administrative
support services. Each day the Boardroom team strives to provide their clients
with a workplace environment where they feel comfortable to conduct
business and proud to meet with their clients.
• Your Office Denver, http://yourofficedenver.com
• Contact Sarah DeWitt, Your Office Denver Operations Manager, (303) 260-6400,
fax (303) 260-6450; [email protected].
• Your Office provides executive suite office rentals, virtual office services, and
conference rooms for the business professional in search of the highest quality
at affordable prices.
• LawBank, http://law-bank.com
• Contact Cassie Hulse, LawBank Manager, 3900 E. Mexico Ave., Ste. 300, Denver,
CO 80210; (303) 927-0010.
• LawBank provides a modern co-working space for today’s entrepreneurial
lawyers, as well as membership to an exclusive network of peers and a
collaborative work environment.
• LawBank is a CBA member benefit.
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7
• Regus, www.regus.com
• Get all the benefits of a full-time office, without the expense or commitment.
A Regus Virtual Office gives you a great business address to use as your own,
plus someone to manage your business calls and mail.
• 955 Bannock Street and 1544 Race Street, Denver
• Both physical office space and virtual office space available.
• Contact Tom Hammond, Thomas J. Hammond, PC, 1544 Race St., Denver, CO
80206; (303) 321-7902, fax (303) 329-5871; [email protected].
• Downtown Executive Center – Executive Office Suites, Colorado Springs, www.
cosdec.com/virtual_offices.html
• Colorado Springs virtual office space is affordable at the DEC. For $150, the
Virtual Office package includes use of the Downtown Executive Center
address for mailing, receipt of mail, and full use of the conference room for 8
hours per month. DEC can even receive a call for you here, answer with your
company name, and transfer your call to wherever you are without your client
knowing you are out of the office. This is a perfect alternative for start-up
businesses, or if you need a professional profile for your home business.
• Davinci Virtual Office Solutions, www.davincivirtual.com
• With Davinci’s virtual offices and virtual office services, you can grow your
business the smart way. Davinci is the affordable, no hassle alternative to
leasing full-time office space or hiring an in-house receptionist. Not only will
Davinci reduce your cost of doing business, they can actually improve your
bottom line. Their live receptionist services, virtual office assistants, and virtual
office location products are designed to project the best possible image for your
business, all without the overhead.
• SmartSpace, www.smartspaceco.com
• The purpose of SmartSpace is simple: minimize overhead while maximizing
professional image and flexibility to work however, wherever, and whenever
you want while having less impact on the earth and its resources. Your worklife will begin to feel less like work and more like life.
• Cloud VO – Virtual Offices and Touchdown Space, www.cloudvirtualoffice.com
• Cloud VO is well positioned to assist and amplify trends toward a more
distributed workforce, increased flexibility, outsourcing of non-core office
space, telecommuting, sustainability, and a growing demand from professional
firms, startups, and enterprise workers for on-demand workplaces. Cloud VO
is a proud member of the Global Workspace Association.
• eSuite 360, www.esuite360.com
• Executive, virtual, or conference space, daysuites, or temporary office space
for your convenience in Colorado Springs. They provide perfect solutions for
your business needs.
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Office Space
SAMPLE OFFICE SHARE AGREEMENT
Excerpt from ABA Formbook
Used with permission from Lawrence P. Hartlaub, Esq.
SAMPLE OFFICE SHARE AGREEMENT
Excerpt from ABA Formbook
Used with permission from Lawrence P. Hartlaub, Esq.
Note: Throughout there are paragraphs with the same number but with (a) and (b) versions. The
(a) version applies where the group of office sharers together lease the space. The (b) version applies
where the one party leases the space and then sublets to his/her office sharers.
OFFICE SHARING AGREEMENT
This is an agreement among the undersigned attorneys ("parties") licensed to practice law in the State
of Colorado pertaining to the practice of law at (address) ("premises").
This is not a partnership agreement. This is not an employment agreement. Each of the parties shall
practice under his/her own name or business entity.
1.
Tenancy:
1.1 (a) The parties are co tenants with respect to the premises and shall equally, and jointly and severally,
share among themselves the rights and obligations relating to the co tenancy except as expressly set out
below.
1.1 (b) The parties are in the relationship of tenant and subtenant with respect to the premises.
(party) is hereafter called the tenant and _______________ (party) is hereafter called
the subtenant. Subtenant has no rights from nor obligations to the landlord, other than to conform to the
stated rules of the landlord, and, except as expressly set out below, or in the companion sublease, is not
obligated to make any payments to the landlord. Tenant shall be responsible for all matters under the lease
with landlord.
1 2 Additional co tenants or sub tenants shall be approved by all of the parties.
2.
Insurance:
2.1 The managing attorney of tenant hereunder shall purchase a comprehensive general liability and
casualty policy in the amount of at least $ _______ for the premises and contents, which policy shall list
all parties as named insureds, including subtenant. The policy shall comply with any pertinent terms of
the lease of the premises.
[Alternate: The tenant shall purchase and maintain in effect a comprehensive general liability and
casualty policy in the amount of at least $ for the premises, which policy shall list subtenant as named
insured. Tenant does not carry contents coverage for subtenant. Subtenant shall purchase contents
coverage if desired.]
2.2 Each party shall maintain professional malpractice insurance. No party shall at any time hold himself
out as "partner," "shareholder," "officer," "director," "associate," or "employee" of any other party nor do
any other thing which would create professional liability on the part of another party (except as may occur
by reason of two or more of the parties acting as co counsel with respect to a client or as a “back up”
attorney for the other solo practitioner).
2 3 Each party shall maintain workers' compensation coverage with respect to his/her own employees, and
employees whose services may be shared.
2.4 Each party may select life, health, accident, disability, business interruption, and motor vehicle
insurance of his/her own choosing at his/her own expense.
Used with permission from Lawrence P. Hartlaub, Esq.
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3.
Management:
3.1 The parties shall meet at _____ o'clock on the first weekday of the month and from time to decide
matters of shared concern. With respect to such matters each of the parties shall have one vote.
3.2 Tenant is designated to conduct the day to day operations of the office and with respect to office
operation and pursuant to this agreement collect and disburse funds on behalf of the parties, purchase
common supplies, library, furnishings, equipment and services; and hire, fire and supervise employees.
3.3 Once each year the tenant shall propose a budget for the coming year for office operation and the
parties shall unanimously adopt a budget. Adoption of the budget authorizes expenditures for the budget
items; other expenditures over shall be approved by the parties.
3.4 The tenant shall employ a receptionist for the office.
3.5 The parties shall adopt written office personnel policies, and each party shall require his/her
employees to be trained in and to abide by the policies adopted.
4.
Office Property:
4.1 Exhibit A (attached) lists as of this date the furniture, equipment and library owned by each party, as
well as furniture, equipment and library jointly owned by the parties.
4.2 (a) Each party shall provide at his/her own expense the furniture, file cabinets, equipment including
computer, typewriter, calculator, etc., and personalized supplies including letterhead stationery, used by
the party and his/her employees. All additional furniture, file cabinets, equipment, including photocopy
machine, printer, fax machine, and telephone system, and library, and all rugs, drapes, wall coverings and
decorations in common and employee areas, and supplies shall be jointly owned or leased by the parties.
4.2 (b) Subtenant shall provide the furnishings for his/her own office and any personalized supplies
including letterhead stationery. All additional office furnishings, equipment (computer, printer, fax
machine), supplies and library shall be owned or leased by the tenant.
Chapter
7
4.3 The library shall be updated as necessary.
5.
Accounts:
5.1 Each of the parties shall maintain his/her own books and accounts, bill and receive his/her own fees
and expenses, and handle trust fund and escrow accounts of his/her own clients. Each of the parties shall
make his/her own federal, state and local tax deposits and each of the parties shall pay his/her own
employees.
5.2 The managing attorney shall establish an office account and credit card and shall assess each of the
parties monthly for the past month's joint office expenses on the basis set out below. Upon execution of
this agreement, each party shall deposit to the office account the estimated amount of three months' joint
office expenses as a reserve.
6.
Expenses:
6.1 Joint office expenses are expenses not assigned to individual parties by this agreement and as
otherwise agreed by the parties.
(Pick one of the 6.2 paragraphs)
6.2 (a) (1) All joint office expenses shall be shared equally. These amounts shall be recalculated on an
annual basis on each anniversary date.
Used with permission from Lawrence P. Hartlaub, Esq.
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Office Space
6.2 (a) (2) All joint office expenses shall be based upon the relation the exclusive square footage of the
party bears to the total exclusive square footage of all the parties. (Exclusive square footage is that part of
the office space used and reserved for use exclusively by one of the parties and his/her employees. These
amounts shall be recalculated on an annual basis on each anniversary date.
6.2 (a) (3) All joint office expenses shall be based upon the following percentages: Party 1___ %, Party 2
___ %, Party 3 ___ %. These amounts shall be recalculated on an annual basis on each anniversary date.
6.2 (a) (4) Joint office expenses shall be accounted for according to the following categories and shall be
shared according to the following percentages (These amounts shall be recalculated on an annual basis on
each anniversary date):
Party 1
_____%
Party 2
_____%
Party 3
_____%
_____%
_____%
_____%
_____%
_____%
_____%
Library (including updates, replacement, additions
and reception area magazines)
_____%
_____%
_____%
Jointly used employees (including receptionist,
typist, messenger, law clerk and including salary,
taxes and benefits)
_____%
_____%
_____%
Supplies (including refreshments)
_____%
_____%
_____%
Advertising
_____%
_____%
_____%
Computerized Legal Research (including on line
and printer costs)
_____%
_____%
_____%
Miscellaneous (including __________________)
_____%
_____%
_____%
Group medical/dental insurance for all attorneys
and employees
_____%
_____%
_____%
Space (including rent, utilities, leasehold
improvements, general, comprehensive, liability
and casualty insurance, maintenance, repair and
cleaning)
Furnishings (including furniture, file cabinets,
drapes, wall covering, carpet, decoration)
Equipment (including copier, word processors,
word processing software, typewriters, phone
system, refrigerator and kitchen)
Chapter
6.2 (b) Subtenant shall pay tenant a charge of $ _____ per month, which includes rent, utilities, leasehold
improvements, general comprehensive liability and casualty insurance, maintenance, repair, cleaning,
furnishings, equipment, library, computerized legal research time, receptionist, and all other office
expense except use of tenant's employees. Subtenant will pay tenant $___ per hour for services provided
by tenant's secretary and legal assistant.
6.3 All payments under this agreement are due the ___ day of each month. A penalty of $ ___ per day
shall be paid with late payments.
Used with permission from Lawrence P. Hartlaub, Esq.
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7.
Clients:
7.1 Each party is responsible for legal services to his/her own clients. If and when the parties decide to act
as co counsel or to consult with another party hereto, there shall be agreement in advance with respect to
the splitting of fees and billing of the client. Each party will comply with Colorado Supreme Court Rules
Governing Contingent Fees, Fee Agreements and division of fees if the matter is being handled on a
contingent fee arrangement.
7.2 The receptionist will rotate unspecified telephone and walk in inquiries among the parties.
8.
Conflicts and Confidentiality:
8.1 The parties recognize that Formal Opinion No. 89 was adopted by the Colorado Bar Association
Ethics Committee on September 21, 1991, entitled "Office Sharing Conflicts, Confidentiality,
Letterhead and Names." The parties acknowledge that they have each read this Opinion and are cognizant
of the potential conflicts of interest and confidentiality violations that may occur in an office sharing
arrangement.
8.2 The parties agree to immediately implement conflict checking procedures with respect to all of the
parties' past, current and future clients.
8.3 For the purpose of compliance with ethical requirements, the client files of each party shall be labeled
numerically and by attorney and, except for conflict checking procedures, be confidential to other parties
hereto and their employees. All employees shall be instructed as to the strict confidentiality of client
matters and the constant separation of client matters by attorney. All employees shall also be instructed
not to open or read, unless directed by the attorney to whom addressed, any mail, deliveries, express mail,
faxes, or other communications directed to any attorney or client. Each party shall keep his or her client
files in separate and access restricted locations (such as lockable file cabinets, or an attorney’s lockable
office). This provision may be avoided if all parties hereto in the office sharing are “back up” counsel to
all other parties for which clients have consented as provided in 8.4 below.
8.4 All fee arrangements shall include a disclosure to the client of the existence of the office sharing
arrangement and a waiver by the client of the client's confidential identity as to other parties to this Office
Sharing Agreement for the purpose of checking conflicts of interest. Further, if any party has agreed to act
as "back up" counsel to another party (as for vacations, illnesses, or death), the fee agreement shall
include client approval for such arrangement and attendant disclosure of client’s confidences to such
“back up” attorney when the need arises.
Chapter
7
8.5 If and when any actual or potential conflicts of interest become apparent to any of the parties, no party
shall represent (or continue representation of) any client for which a conflict would exist unless the
affected parties so agree, the client consents to such representation and waives such conflict after full
disclosure, and such representation would not be a clear violation of any ethical requirement.
9.
Termination:
9.1 (a) This agreement shall terminate upon death of a party or upon 60 days after written notice is given
of termination by any party or as may be agreed by the parties. Each party shall remain liable for on going
joint obligations, including leases, subscriptions, and taxes, unless otherwise agreed. Other expenses
arising after termination shall become the obligation of any parties which continue an office sharing
arrangement. All property listed as jointly owned in Exhibit A, property jointly purchased during the term
of the agreement, and the office account established under Section 5.2, shall be divided fairly based on the
fair market value of the property and in accord with the "Expenses" provisions above. The right to future
use of a joint phone number shall be determined by lot. The party receiving property on termination takes
the property subject to any debt on that property.
Used with permission from Lawrence P. Hartlaub, Esq.
114
Office Space
9.1 (b) This agreement shall terminate upon death of subtenant or upon 60 days after written notice is
given of termination by any party as may be agreed by the parties. Upon termination, subtenant shall no
longer be obligated for ongoing expenses under this agreement, except as may be agreed.
9.2 Upon violation of this agreement, including failure to pay expenses within 15 days of the due date,
this agreement shall terminate upon 10 days after written notice is given by the nonviolating parties.
9.3 Upon termination, each party shall retain the property listed under his/her name in Exhibit A, and
updates of the libraries in Exhibit A shall be the property of the party owning the original library.
10. Dispute Resolution:
10.1 I Should the parties be unable to themselves resolve disputes under this agreement, then any
controversy, dispute or claim arising out of or relating to this agreement, or the breach thereof, shall be
settled by arbitration in accordance with the Commercial Arbitration Rules of the American Arbitration
Association, and judgment upon the award rendered by the Arbitrator(s) may be entered in any Court
having jurisdiction thereof. The loser of the arbitration shall pay the costs, and experts and attorneys' fees
of the winner.
11. Modification:
This agreement may he modified from time to time by amendments in writing signed by all the parties.
12. Additional Provisions:
13. Effective Date:
This agreement is effective as of the _________ day of ______________, 20___
_____________________ (Signature)
_____________________ (Signature)
_____________________ (Signature)
Chapter
7
Used with permission from Lawrence P. Hartlaub, Esq.
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EXHIBIT A
LIST OF FURNITURE, EQUIPMENT AND LIBRARIES
Party #l
Chapter
Party #2
Jointly Owned by All Parties
7
Used with permission from Lawrence P. Hartlaub, Esq.
116
Party #3
Office Space
ARTICLES
The Colorado Lawyer
• “The Practical Paperless Office,” Garry R. Appel (Jan. 2008)
• “Options for Office Space and Using a Broker to Get the Best Deal,” Randy S. Lewis
(June 2005)
• “Law Office Security, Part I: The Threat from Within,” Susan H. Borgos (April 2003)
• “Law Office Security, Part II: Building the Castle Moat,” Sharon D. Nelson and John
W. Simek (June 2003)
• “The Virtual Law Office: The ASP Model,” John C. Hanley and Susan H. Borgos (May
2002)
• “The Digital Office,” Garry R. Appel and Peter J. Lucas (Feb. 2001)
• “Home Alone: Working from a Home Office,” Tracy Varnadore (May 1999)
• “Space Quest: Finding Office Space and Using it Effectively,” Gregory D. Holm (Nov.
1999)
• “Developing New Office Space with an Interior Designer,” Carol Koplin (Jan. 1998)
Other Periodicals/Sources
Bricks and Mortar
• “Trimming Facilities Costs: Creating Leverage with Your Landlord,” Luke Raimondo,
Law Practice (Nov./Dec. 2009)
• “Small Spaces: A Planning Primer for Solo and Small Firm Office Design,” Suzette S.
Schultz and Jon S. Schultz, Law Practice (April/May 2005)
Office Sharing
• “How to Protect Client Confidences in a Shared Office Space,” Wells Anderson and
Joseph M. Hartley (2002)
• “The Essentials of Office Sharing and Executive Suites,” Mark Robertson, Law Practice
Today (May 2009)
• “Keeping Your Office Sharing Arrangements with Other Lawyers Squeaky Clean
Under the Ethics Rules,” Kathryn A. Thompson, Center for Professional
Responsibility (May 2007)
• “Techno Ethics: Sharing Real (and Virtual) Offices,” GP Solo (Sept./Oct. 2012)
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Successful Business Planning: Representing the Moderate Income Client
Virtual Offices
• “Turbocharge with a Virtual Office,” Wanda J.R. Nuxoll, GP Solo (Dec. 2011)
• “Virtual Law Practice: A Passing Trend or Wave of the Future?” Aviva Cuyler and
Nicole Black, GP Solo (June 2009)
• “Building a Virtual Law Firm — Changes and Opportunities,” Joe Kashi, Law Practice
Today (Jan. 2004)
Home Office
• “Working From Home: Is It For You?” Jan Matthew Tamanini, GP Solo (Oct./Nov. 2011)
• “Working From Home: Ten Tax and Legal Tips,” Kelly Phillips Erb, SP Solo (Oct./Nov.
2011)
AUTHORITIES
Colorado Rules of Professional Conduct
Chapter
• Colorado Rule of Professional Conduct 7.1 – Communications Concerning a Lawyer’s
Services
• Colorado Rule of Professional Conduct 7.2 – Advertising
• Colorado Rule of Professional Conduct 7.4 – Communication of Fields of Practice
• Colorado Rule of Professional Conduct 7.5 – Firm Names and Letterheads
7
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 8 – Office Sharing – “Associates”
• CBA Ethics Committee Formal Opinion 9 – Office Sharing – “Associates”
• CBA Ethics Committee Formal Opinion 13 – Office Sharing – Municipal Judge
• CBA Ethics Committee Formal Opinion 50 – Definition of Associates as Applied to
Lawyers
• CBA Ethics Committee Formal Opinion 88 – Use and Misuse of “Confidentiality Walls”
• CBA Ethics Committee Formal Opinion 89 – Office Sharing – Conflicts, Confidentiality,
Letterheads and Names
ABA Formal Ethics Opinions
• ABA Formal Ethics Opinion 84-351 – Letterhead Designation of “Affiliated” or
“Associated” Law Firms
• ABA Formal Ethics Opinion 94-338 – Relationships Among Law Firms
• ABA Formal Ethics Opinion 96-401 – Limited Liability Partnerships
118
Chapter 8
STAFFING
OVERVIEW
What Staff Do I Need for My Law Practice?
Strategic and appropriate staffing for any law practice is the key to getting you the help
you need to adequately represent clients. The components of successful staffing include
recruitment, hiring, retaining, supervising, and evaluating the staff. Whether staff members are
full-time, part-time, contract workers, or paid interns, these components still apply. Just like all
of the other “business aspects” of law practice, what the practice needs and what the practice
can realistically afford are key factors.
What Are the Effective Steps to
Recruiting Appropriate Staff?
The first step to successful recruiting of strategic and appropriate staff is for the attorney
to accurately determine what the practice needs. Key factors in this assessment include the
following:
Chapter
Identify Tasks
8
Look at the type of cases, clients, and nature of your practice to identify the tasks that
need to be completed. For example, a civil practice requires more “paper shuffling” than a
criminal practice. A trial practice requires more scheduling of meetings, depositions, and
testimony times than most transactional practices.
Identify Who Needs to Accomplish the Tasks
Determine which tasks need to be completed by you as the lawyer, by paralegals, or by
other staff. For example, court appearances and signing of pleadings must be done by lawyers.
Organization of files should be delegated to skilled staff members. Interviewing witnesses and
clients can be accomplished by either lawyers or staff. You need to think, “Delegate, delegate,
delegate!” Remember, when delegating tasks, that you are responsible for the ethics and the
competence of the work, so it is essential to train your staff to complete the delegated tasks and
to evaluate their competence. (See Colo. RPC 5.3.)
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Successful Business Planning: Representing the Moderate Income Client
Create Job Descriptions
After identifying the tasks and determining what skills are needed for the tasks, you
should draft job descriptions to advertise or post the job notices. Local bar associations, paralegal
organizations, or staffing organizations may provide information on licenses, degrees, and
salaries.
Advertising Jobs and Screening Applicants
Traditionally, law firm jobs have been posted at bar associations or paralegal/legal
secretary organizations. Those options are still available. However, online listing entities, such
as CraigsList, are options. Likely the current economic conditions will bring in large numbers
of applications, so careful screening of applications and resumes will be necessary. You should
consider pricing staffing companies or agencies and using one for this screening effort.
References
Ask for references and make the calls to check those references.
What Goes Into Hiring Staff?
Hiring staff for your law office should involve a thorough and thoughtful process of
matching the right applicant to the right job. This requires knowledge, patience, and
interviewing skills. In addition, you need to master several key concepts:
Chapter
8
• Understanding Differences in Employment Status: What is a full-time employee? What is
a part-time employee? What is an independent contractor? What is outsourced
staffing? Where do interns fit into the staffing? What is the difference between exempt
staff and non-exempt staff?
• Understanding Differences in Tax and Benefit Packages for Each Employment Status: Who
qualifies for which benefits? What taxes need to be withheld for which type of staff?
• Understanding Who Is Responsible for Staff Work: As the attorney, you are ultimately
responsible for ethically and legally running the law practice. You need to know tax
law, human resource law, and your ethical responsibilities (see “What Are the Ethical
Considerations for Law Practice Staffing?” below).
• Using Probationary or Try-Out Periods: You need to hire new staff for probationary
periods to see if they work out.
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Staffing
How Do I Keep Staff Working for the Law Office?
Salary is not the only thing that keeps staff members happy! You should work hard at
keeping the staff satisfied that their work is interesting, necessary, and fulfilling. Ways to keep
staff satisfied include:
• Reward staff for work well done. Thank them often!
• Do not push them out on a limb beyond their capabilities.
• Encourage structure through checklists and procedure manuals.
• Give them feedback! Honest and detailed feedback should be given on a regular basis.
• Recognize potential for advancement!
• Seek human resource help and information.
• Provide a safe and non-discriminatory work environment.
What Are Elements of Effective Supervision and Evaluation?
In the law office special care needs to be taken for the supervision and evaluation of
staff. Some suggestions for supervision and evaluation include:
• Provide Job Training and Orientation: You should encourage and help provide job
training to new employees and to employees who are promoted.
• Checklists and Manuals: Create procedure and process manuals. Encourage staff
members to help keep manuals current and up-to-date.
• Regular Feedback Systems: Construct a regular feedback system for staff to report to you
on the progress of their projects. The system should include oral and written progress
reports from staff members.
• Encourage Questions: You may understandably like the “self-starter” staff member, but
encourage questions about the nature and extent of tasks.
• Emphasize Confidentiality Responsibilities: Have a confidentiality agreement for all
employees, whether part-time, full-time, or independent contractors. Make sure that
staff is aware of the special confidentiality concerns of the practice of law.
• Seek Help: You should seek help and information from Colorado Bar Association CLE
and bar association committees and sections about the staffing area of law practice. If
you are a new attorney, you should seek mentoring from more experienced lawyers
on these topics. For more information on mentoring programs in Colorado, see
Chapter 3, “Getting Competent.”
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Successful Business Planning: Representing the Moderate Income Client
What Are the Ethical Considerations for
Law Practice Staffing?
The commonly encountered issues include:
• Letterhead and Signage: Letterhead and signage must clearly identify non-lawyer staff.
• Confidentiality of Information: Colo. RPC 1.6 requires every lawyer and law office staff
member to keep clients’ information confidential. Special care needs to be observed
with phone messages, mail, storage of files, and technology.
• Office Sharing for Lawyers, Paralegal, and Clerical Staff: When lawyers not in the same
firm are sharing office space and also share lawyers, law clerks, paralegal, investigators,
and clerical staff, all of the issues of confidentiality and conflict of interest are
heightened.
• See CBA Ethics Committee Formal Opinion No. 89.
• Attorney’s Responsibilities for Supervision of Staff: The supervisory ethical issues under
Colo. RPC 5.3 are paramount with all full-time staff, part-time staff, independent
contractors, interns, and outsourced staffing tasks.
TIPS
Chapter
8
• Delegate, delegate, delegate. If you think you can’t delegate anything, think again.
There’s probably some part of a project you can delegate.
• Use Microsoft Outlook’s “Tasks” feature. Some people don’t delegate because they’re
afraid the person to whom they’ve delegated won’t finish the task and it will be
forgotten entirely. Outlook allows you to delegate a task but keep it on your own ToDo list so you won’t forget about it.
• Good staff members are worth their weight in gold. Once you get someone good, do
everything you can to keep him or her.
• Train your staff to be the “go-to” person for clients. That way, clients aren’t bothering
you with questions that staff could answer instead.
• Studies show that while a good salary is important, it’s not necessarily what makes a
staff person stay. It’s important for staff members to know that they are valued, and
to do interesting, challenging work. Do what you can to make sure they are invested
in their jobs.
• The rules of professional conduct say that you are responsible for supervising staff.
Make sure you stress the importance of confidentiality. Have staff members sign a
confidentiality agreement so they understand that you take it very seriously.
Remember that YOU are responsible for your staff ’s conduct!
• Develop a procedures manual for staff. It’s a great opportunity for you to put down
everything only you know (e.g., where the closest FedEx dropoff is located) on paper,
and it will be a huge help when you get a new staff person on board. Be careful about
creating policy manuals, though. These can be viewed as contracts.
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Staffing
The 10 Rules
of Staffing
1. Delegate.
2. Take time to train
your staff.
3. Know the
difference
between
independent
contractors and
employees.
4. Consider
outsourcing for
specialized tasks.
5. Treat your staff
with respect and
appreciation.
6. Create a
procedures
manual.
7. Educate your
staff about
confidentiality
concerns.
8. Supervise your
staff.
9. Know the relevant
Rule of
Professional
Conduct.
10. Encourage and
listen to staff
feedback.
• Consider using a staffing company to screen
applicants. They can do background checks, check
references, and give basic skills tests (such as typing
and spelling tests). If you can’t afford to hire a
company (or you don’t want to), there are various
websites where you can find timed typing tests, etc.,
at no charge.
• Make sure your staff members always sign letters,
e-mails, etc. with their full titles. Otherwise, your
clients (and others) may assume they are an associate.
• Work with staff members so they understand what
they can and cannot tell your clients. You need to
stress to them that they cannot give legal advice and
to do so is the unauthorized practice of law.
• Caution staff members against such things as talking
about client matters in the elevators with other staff
members who are not employed solely by you.
• The CBA Lending Library contains a number of
books relating to human resources. The list of books
is broken down by topics, so you can easily find what
you need. Check out the Lending Library under
“Practice Management Resources” at www.cobar.org.
• You may not be in a position to pay top dollar for staff
members, so consider other ways of rewarding them.
For instance, you could give them their birthday off
with pay, bring in bagels for breakfast, give them a
title and their own business cards. Be careful of this,
though. Make sure they’re with you a while before
you get printed business cards.
• If you use shared staff and you are office sharing,
make sure they answer the phone correctly. Ideally,
they will answer with the name of your firm — “Law
Offices of Suzanne Smith” — or “Law Offices” if
they’re answering one line for multiple lawyers.
• It’s a good idea to establish a probationary period for
staff members. That way, you can easily terminate
their services at the end of 90 days (or whatever
period you select), rather than having to jump
through the hoops of firing them.
• Be sure you understand the difference between staff
that is “exempt” and “non-exempt” with respect to
overtime. There are specific guidelines promulgated
for the IRS. Those guidelines can be found at www.
irs.gov.
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Successful Business Planning: Representing the Moderate Income Client
• Before you decide to hire staff as contractors instead of as employees, make sure you
are following the rules. You may need to bring on a staff person as an employee instead
of a contractor. For more information, go to www.irs.gov/Businesses/Small-Business-&Self-Employed/Independent-Contractor-(Self-Employed)-or-Employee%3F.
• Thank staff for what they do — and thank them often. A heartfelt thanks will go a
long way.
• Consider using a placement service to find short-term paralegals or other office staff.
You’ll have to pay a fee in addition to wages, but you won’t have to check references,
pay benefits, or take care of taxes. And you can cancel their services at a moment’s
notice.
• Outsourcing can be the answer in situations where you need specialized work done
but you don’t want to commit to an employee. Payroll, bookkeeping, and IT support
are perfect examples of services you can outsource.
• Make clear to staff that their work e-mail should only be used for work. They should
not use it for shopping on the Internet, sending jokes to their friends, etc.
• Inform staff that they are not to download any software or images from the Internet
without your express permission and knowledge. You don’t want to be responsible
for any claim of copyright violation, nor do you want to subject your firm equipment
to viruses or malware, etc.
• For the sake of convenience, you might want to allow a trusted staff person to be a
signatory on your business account. If you do, be sure to put safeguards in place. For
instance, state on your checks something like “Amounts over $350 require two
signatures.” Have all bank statements sent to your home rather than the office. That
way, staff cannot alter statements to cover up wrong-doing. As a general rule, however,
it is best not to allow staff to be a signatory on your trust account.
• Make sure you know the rules about listing staff on your letterhead.
Chapter
8
ONLINE RESOURCES
IRS Resources
• Small Business and Self-Employed Tax Center, www.irs.gov/Businesses/SmallBusinesses-&-Self-Employed/Self-Employed-Individuals-Tax-Center
• Small Business and Self-Employed Online Learning and Educational Products,
www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Online-Learning-andEducational-Products
• Independent Contractor (Self-Employed) or Employee?, www.irs.gov/Businesses/SmallBusiness-&-Self-Employed/Independent-Contractor-(Self-Employed)-or-Employee%3F
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Staffing
U.S. Department of Labor Resources
• Fair Labor Standards Act (FLSA) Advisor, http://ipv6.dol.gov/elaws/esa/flsa/
hoursworked/default.asp
• Fact Sheet #17A: Exemption for Executive, Administrative, Professional, Computer &
Outside Sales Employees Under the FLSA, www.dol.gov/whd/regs/compliance/
fairpay/fs17a_overview.pdf
• Fact Sheet #17G: Salary Basis Requirement and the Part 541 Exemptions Under the
FLSA, www.dol.gov/whd/regs/compliance/fairpay/fs17g_salary.pdf
Virtual Assistant Services
• CyberSecretaries, www.youdictate.com/main.htm
• Fancy Hands, www.fancyhands.com
• My Business Assistant, www.mybusinessassistant.com
Miscellaneous Resources
• FLSA Checklist: Exempt vs. Non-exempt Status, www.nibmimages.com/nibm/AuditTestYourCompliance.pdf
CBA LENDING LIBRARY
Many of the materials in the CBA Lending Library include information on staffing and
other office management issues in the practice of law. Details about the CBA Lending Library
and how members can access it are included in Appendix A at the back of this book.
ARTICLES
The Colorado Lawyer
• “Employee Rights and Social Media,” Lynn Feiger and Stephen E. Kapnik (Nov. 2012)
• “Disclosure to Clients of the Use of Temporary Lawyers and Outsourcing,” Eli Wald
(April 2012)
• “The Common Law Employee Versus the Independent Contractor: A Legal Primer,”
Diane Vaksdal Smith (Feb. 2010)
• “Virtual Performance: Employment Issues in the Electronic Age,” Tanya E. Milligan
(Feb. 2009)
125
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8
Successful Business Planning: Representing the Moderate Income Client
• “Contract Lawyering: Benefits and Obstacles,” David C. Little (Jan. 2008)
• “Legal Malpractice and the Contract Lawyer: A Hypothetical Scenario,” Christopher
M. Buckman (Jan. 2008)
• “The Colorado Wage Act, Employee Status, and Terms of Compensation,” Michael J.
Guyerson and Christian C. Onsager (May 2007)
• “Colorado’s Lawful Activities Statute: Balancing Employee Privacy and the Rights of
Employers,” Keynen J. Wall, Jr. and Jacqueline Johnson (Dec. 2006)
• “Independent Contractors in Colorado,” Bradley S. Abramson (Dec. 2005)
• “Smart Staffing: How Administrative Staff Can Boost Your Bottom Line,” Sharon L.
Davis and Larry C. Smith (Jan. 2003)
• “Hiring, Maintaining, and Retaining the Best Employees,” Lorri Salyards and Mary
Matthies (Jan. 2002)
• “Overtime for Law Firm Employees: The Fair Labor Standards Act,” Brent P. Benrud
and Bill C. Berger (Sept. 1999)
• “Alternative Staffing Option: Freelance Paralegals,” Eileen M. Siemek and Katherine
Sheehy Hussey (April 1998)
Other Periodicals/Sources
Shared Staff
• “Sharing Office Staff,” Ellen Freedman, Freedman Consulting, Inc. (2005)
• “Share Staff, Space to Boost Bottom Line,” Kelly Johnson, Sacramento Business Journal
(Sept. 14, 2012)
Independent Contractors vs. Employees
Chapter
8
• “Hiring an Independent Contractor,”Joan E. Lisante, Entrepreneur (July 3, 2003)
• “The Fundamentals of Independent Contractors,” Sarah B. Bryan, ABA YLD 101
Practice Series (2010)
• “Defining Employees and Independent Contractors,” Robert W. Wood, Business Law
Today (May/June 2008)
• “Do’s and Don’ts When Using Independent Contractors,” Robert W. Wood, Business
Law Today (June 2011)
• “Hire a Contractor or an Employee?” SBA.gov
• “Hiring Contractors Without Getting Into Trouble,” Katherine Reynolds Lewis, The
New York Times (Feb. 1, 2012)
Virtual Assistants
• “Working with a Virtual Assistant: What Lawyers and Administrators Should Know,”
Andrea Cannavina, Law Practice Today (Sept. 2008)
• “Virtual Assistants Can Be Online Lifesavers,” Jodie Torpey, Denver Business Journal
(Sept. 9, 2001)
126
Staffing
• “When Your Personal Assistant is Virtual,” Verne Kopytoff, Bloomberg Business Week
(Sept. 4, 2012)
• “The Virtual Assistant: Every Lawyers Needs One!” J. Liz Saunders-McManus and
Erica L. James, Law Practice Today (July 2007)
Contract Lawyers
• “Litigation 101: Ethics Related to the Use of Contract Attorneys,” Gregory M. Boyle
and J.H. Jennifer Lee, Pretrial Practice and Discovery Litigation (Nov. 12, 2012)
• “Hiring a Part-Time, Contract, or New Attorney,” Wendy L. Werner, Law Practice
Magazine (Sept./Oct. 2012)
• “Ethics Opinion 352 Stresses Risks Associated with Temporary Attorneys,” Robert C.
Rodriguez, Litigation News (April 29, 2010)
Outsourcing Jobs
• “Finance and Accounting Outsourcing: Making an Informed Decision,” Eric Krell,
Members in Business and Industry (May 2008)
• “Outsourcing Legal Support Services,” Ed Poll, Law Practice Today (Feb. 2010)
• “Outsourcing Support Services Domestically and Globally,” Channing Migner and
Rodney Dowell, Law Practice Today (Jan. 2011)
• “The Pros and Cons of Outsourcing,” Keith Lowe, Entrepreneur (March 4, 2002)
Sample Letters/Forms
• The Complete Guide to Contract Lawyering, Deborah Arron and Deborah Guyol (Niche
Press, Nov. 2003); see especially the following sample forms: Independent Contractor
Agreement, Engagement Letter from Hiring Lawyer to Contract Lawyer, Engagement
Letter from Contract Lawyer to Hiring Lawyer, Retention Agreement, and Optional
Retention Agreement Provisions
AUTHORITIES
Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.5(d) – Fees
• Colorado Rule of Professional Conduct 1.6 – Confidentiality of Information
• Colorado Rule of Professional Conduct 1.7 – Conflict of Interest: Current Clients
• Colorado Rule of Professional Conduct 1.8 – Conflict of Interest: Current Clients:
Specific Rules
• Colorado Rule of Professional Conduct 1.10 – Imputation of Conflicts of Interest:
General Rule
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8
Successful Business Planning: Representing the Moderate Income Client
• Colorado Rule of Professional Conduct 5.1 – Responsibilities of a Partner or
Supervisory Lawyer
• Colorado Rule of Professional Conduct 5.3 – Responsibilities Regarding Nonlawyer
Assistants
• Colorado Rule of Professional Conduct 5.5 – Unauthorized Practice of Law
• Colorado Rule of Professional Conduct 5.4 – Professional Independence of a Lawyer
• Colorado Rule of Professional Conduct 7.1 – Communications Concerning a Lawyer’s
Services
• Colorado Rule of Professional Conduct 7.5 – Firm Names and Letterheads
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 9 – Office Sharing – “Associates”
• CBA Ethics Committee Formal Opinion 50 – Definition of Associates as Applied to
Lawyers
• CBA Ethics Committee Formal Opinion 61 – Legal Assistants
• CBA Ethics Committee Formal Opinion 79 – Use of Legal Assistants in Client
Representation
• CBA Ethics Committee Formal Opinion 84 – Listing of Support Personnel Names on
Letterhead and Business Cards
• CBA Ethics Committee Formal Opinion 87 – Collaboration with Non-Lawyers in
Preparation and Marketing of Estate Planning Documents
• CBA Ethics Committee Formal Opinion 88 – Use and Misuse of “Confidentiality Walls”
• CBA Ethics Committee Formal Opinion 105 – Opinion on Temporary Lawyers
• CBA Ethics Committee Formal Opinion 121 – Use of Temporary Lawyers and Other
Professionals Not Admitted to Practice Law in Colorado (“Outsourcing”)
Chapter
8
ABA Formal Ethics Opinions
• ABA Formal Ethics Opinion 87-354 – Lawyers’ Use of Medical-Legal Consulting Firm
• ABA Formal Ethics Opinion 88-356 – Temporary Lawyers
• ABA Formal Ethics Opinion 90-357 – Use of Designation “Of Counsel”
• ABA Formal Ethics Opinion 00-420 – Surcharge to Client for Use of a Contract Lawyer
128
Chapter 9
LEGAL MALPRACTICE INSURANCE/
PROFESSIONAL LIABILITY
OVERVIEW
Obtaining legal malpractice insurance for any type of law practice is highly
recommended. Not only does such insurance help protect the client should malpractice occur,
it also diminishes exposure of your personal assets and defrays the large expense costs of
defending a malpractice suit even if it is determined that no malpractice occurred. C.R.C.P. 265
also contains important protections for lawyer/owners of professional service companies as long
as prescribed minimums of liability insurance are in place. Many legal malpractice carriers have
special scaled pricing programs based upon your income and years of practice. Insurance may
cost much less than you anticipate and can be of critical importance should the need arise.
Best practices for a modest means practice are the same as in any legal practice. Limited
scope of representation should not mean less competent or lower-quality legal services.
Currently, legal malpractice carriers do not require attorneys to identify on any insurance
applications that they engage in a modest means practice or provide unbundled legal services.
Annual applications may require you to identify primary areas of practice, but carriers currently
do not require lawyers to identify new areas of practice within an insurance policy year.
Application information is based upon a “snapshot” of your practice at the time you apply.
However, you may need to identify new areas of practice on renewal applications. Therefore,
assuming you fulfill the ethical requirement of becoming competent in an area of practice before
undertaking services or associating with an attorney who is competent, there is no requirement
from a legal malpractice standpoint to provide notice to a carrier when providing unbundled
legal services in new areas of law. Of course, you should always check with individual carriers
as to their notice requirements because they can vary or change.
Professional liability issues are addressed throughout this tool kit, and you should
consult specific sections on issues that may arise in the area. In general, it is very important
when providing unbundled legal services that there is clear communication with the client as
to engagement, informed consent, scope of services, and termination of the attorney-client
relationship when appropriate. These are key to limiting exposure to potential legal malpractice
claims.
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ONLINE RESOURCES
ABA Resources
Standing Committee on Lawyers’ Professional Liability Home Page
• The ABA’s Standing Committee on Lawyers’ Professional Liability provides
information on legal malpractice claim statistics, insurance for lawyers, and malpractice
prevention and help.
• Go to www.americanbar.org/groups/lawyers_professional_liability.html.
Professional Liability Insurance Directory – Colorado
• Visit this page for a complete list of professional liability insurance carriers throughout
Colorado, including contact information for each carrier and information about
deductibles and coverage.
• Go to http://apps.americanbar.org/legalservices/lpl/directory/states/co.html.
Risk Management Resources
• The Risk Management Resources provided by the ABA include Practice Pointers to
manage your practice and minimize risk, tips on making the most of your insurance
coverage, guidance regarding ethical issues that can lead to professional responsibility
problems, and links to various ABA Professional Responsibility publications.
• Go to www.americanbar.org/groups/lawyers_professional_liability/resources/risk_
management_resources.html#modelrules.
Lawyers Professional Liability Insurance Information
Chapter
9
• Visit this ABA page for guidance on understanding your professional liability
insurance coverage, tips on avoiding coverage gaps, a directory of carriers, information
on the cost of coverage, coverage problems, how to file claims, and a checklist for
purchasers.
• Go to www.americanbar.org/groups/lawyers_professional_liability/resources/lpl_
insurance_hotline_resources.html.
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CBA Resources
Lawyers’ Professional Liability Committee
• The Lawyers’ Professional Liability Committee conducts educational programs and
provides educational resources aimed at improving the quality of legal practice and
avoiding legal malpractice claims. It also publishes materials pertaining to risk
management and legal malpractice prevention, examines the market for professional
liability insurance as required, and recommends to the Colorado Bar Association
members an insurance program to cover professional malpractice claims or suits.
• Go to www.cobar.org/index.cfm/ID/20110/CPLI/Lawyers-Professional-Liability.
Confidential Assistance for Attorneys
• By rule of the Colorado Supreme Court, there are two programs that offer assistance
to attorneys. Both the Colorado Lawyers Assistance Program (COLAP) and Colorado
Lawyers Helping Lawyers (CLHL), a peer assistance program, are confidential and,
as such, are exempt from reporting to the Office of Attorney Regulation Counsel.
Additionally, both programs offer information regarding additional resources that are
available to attorneys. Financial assistance for attorneys may also be available through
the Waterman Fund.
• For information on COLAP, CLHL, and the Waterman Fund, go to www.cobar.org/
index.cfm/ID/1875/dpmem/Confidential-Assistance-for-Attorneys. Further information
is also provided in Chapter 10 under “Confidential Assistance for Attorneys in
Colorado.”
ARTICLES
Unbundled Yet Covered: Taking On an Unbundled
Representation Practice Without Losing Your Shirt
Submitted by the First Judicial District Access to Justice (ATJ) Committee, Beth L. Andersen,
ATJ Committee Member. For more information on one practitioner’s benefits in handling unbundled
legal actions in family law, contact Beth Andersen at Johnson & Associates, Attorneys at Law, PC,
4611 Plettner Lane, Ste. 200, Evergreen, CO 80439; (303) 674-4414; [email protected].
As the percentage of pro se litigants continues to grow, both the Colorado Supreme Court
and the Colorado Bar Association encourage alternate types of representation. They urge, for
example, “unbundled” legal services. Unbundling allows the client to choose which “discrete
tasks” of a legal action the attorney handles, the client handling the rest pro se. Affordable.
Flexible. Sounds like a win/win.
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Not so fast, protest attorneys who are reluctant to take on unbundled representation.
A major concern is whether practicing unbundled legal services will result in skyrocketing
malpractice costs or even a law practice’s inability to obtain malpractice insurance coverage.
Good news for the fearful: in civil state court actions, such as domestic relations,
malpractice insurance coverage should NOT be an obstacle to an unbundled practice. At least
that is what the latest evidence indicates.
Attorneys who are currently practicing unbundled representation have not seen a
distinction in terms of coverage, even when they disclose handling such cases to insurers. Chris
Radeff of Pelegrin Radeff & Frazer-Abel, PC in Lakewood says that as long as her firm’s
unbundled representation falls within the realm of practice areas already covered by insurance,
the firm is not even questioned as to whether the actions are traditional full-service cases or
unbundled cases.
Chris Buckman of Marsh Affinity Group Services, endorsed by the CBA for lawyers’
professional liability insurance, similarly observes no distinction between firms handling
unbundled cases and those doing exclusively full-service representation. Unbundled
representation should not hinder coverage, he notes. Nor are insurance agents, such as Duane
Crone of Main Street Lawyers Insurance, encountering queries about unbundled representation.
In Mr. Crone’s experience, practitioners should be able to acquire professional insurance whether
or not they practice unbundled representation. Only underwriters know whether it is a factor,
but there is no discernible difference among Mr. Crone’s clients — at least not yet.
Nor is there clear-cut evidence of increased exposure in the ethics venue. Adam Espinosa
of the Colorado Supreme Court Office of Attorney Regulation has not observed a distinction
between unbundled representation and full-service representation in terms of the number of
grievances filed. In fact, having traveled the state soliciting feedback about unbundled
representation, Mr. Espinosa is encountering positive feedback from practitioners in fields
ranging from family law to eviction to collections.
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Obviously, a practitioner must be competent in practicing unbundled services, just as
he or she must be competent in any practice. An attorney cannot take a case that is “over her
head” and then dump the client when things get confusing on the pretext of unbundled
representation. Separate concerns arise in areas such as criminal law, where permission of the
court continues to be required before withdrawing from representation, and federal bankruptcy
court, where unbundled representation is not permitted.
Common sense continues to apply. Rules of ethics continue to apply. But as long as an
attorney is otherwise ethical and competent, the mere fact that representation is unbundled is
not enough to make coverage unavailable.
For those who are still too uncomfortable to take on an unbundled case, one way to test
the waters of unbundled representation is to handle such cases on a pro bono basis, thereby
obtaining the nonprofit agency’s coverage.
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Attorneys handling unbundled cases find many advantages: receivables can be 100
percent if clients pay in advance, no complaints about excess billing, client or counsel can “walk
away” from the relationship with relative ease, and the feeling of satisfaction and gratitude
inherent in providing a much-needed service to the underserved. David Aarons, of Family Legal
Help, a national unbundled referral agency, points out that more and more attorneys are
adopting this option because they can represent clients who cannot afford a retainer, they can
work with clients outside their immediate geographic area, and they can attract retainer clients
satisfied with the initial discrete representation.
It’s not hard to imagine, for these reasons and others, that the inherent risks in
unbundled representation are sometimes less than those of unlimited representation. So go
ahead and unbundle your practice. Based on collective experience so far, it’s promising that you
won’t go “uncovered” in the process.
The Colorado Lawyer
• “Malpractice Minute: Clarifying Attorney Responsibilities in Disengagement Letters,”
Christopher M. Buckman (May 2004)
• “Malpractice Minute: Clear Communication Necessary in Terminating or Limiting the
Attorney-Client Relationship,” Christopher M. Buckman (Aug. 2004)
• “Malpractice Minute: Confirming the Attorney/Client Engagement,” Christopher M.
Buckman (Jan. 2003)
• “Legal Malpractice and the Contract Lawyer: A Hypothetical Scenario,” Christopher
M. Buckman (Jan. 2008)
• “Informed Consent Under the Rules of Professional Conduct,” David C. Little (July
2011)
• “Protecting Your Law Practice: Malpractice Insurance Basics,” John M. Palmeri and
Franz Hardy (April 2005)
• “Whoops — Legal Malpractice Prevention,” Nancy L. Cohen (July 2012)
• “Breach of Fiduciary Duty in the Lawyer’s Professional Liability Claim,” Chris Little
(Nov. 2000)
• “Contract Lawyering: Benefits and Obstacles,” David C. Little (Jan. 2008)
• “Claims of Professional Misconduct: What to Do When You’ve Been Grieved and
Sued,” Christopher B. Little (June 2008)
• “Colorado’s New Rule on Mandatory Professional Liability Insurance Disclosure,”
Andrew R. McLetchie (Feb. 2009)
• “Non-Monetary Compensation for Legal Services — How Many Chickens Am I
Worth?” Gerald D. Pratt (Jan. 2006)
• “Know Your LPL Policy,” Christopher M. Buckman (Feb. 2009)
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Other Periodicals/Sources
• “The Risks of Limited Representation ‘Unbundled Legal Services,’” Christian
Stiegemeyer, The Bar Plan Mutual Insurance Company
• “Avoiding Malpractice Risks When Providing Unbundled Legal Services Online,”
Steph Kimbro, Lawyerist.com (Feb. 8, 2010)
• “Hey, Legal Malpractice Insurers — How ’Bout a Little Help to Us Solos?” Carolyn
Elefant, myShingle.com (Oct. 4, 2011)
• “A Nation of Do-It-Yourself Lawyers,” John T. Broderick, Jr. and Ronald M. George,
New York Times (Jan. 1, 2010)
• “2009 Changes to Rule 265 and C.R.C.P. 54,” David C. Little
• “50 Tips to Manage Your Practice (And Reduce Your Malpractice Exposure!),” Reba J.
Nance, 13th Judicial District Bar Visit (Feb. 2, 2002)
• “How (Not) to Commit Malpractice Using Your Computer,” Reba Nance, Presentation
on Tuesday, October 28, 2008
• “Risky Business — Some Thoughts on Legal Malpractice Insurance,” Ed Poll, Law
Practice Today (Feb. 2007)
• “Professional Liability Insurance — How Much Will It Cost?” ABA Standing
Committee on Lawyers’ Professional Liability
• “Unbundling and Law School Clinics: Where’s the Pedagogy?” Mary Helen McNeal,
7 Clinical L. Rev. 341 (2001)
• “Having One Oar or Being Without a Boat: Reflections on the Fordham
Recommendations on Limited Legal Assistance,” Mary Helen McNeal, 67
Fordham L. Rev. 2617 (1999)
• “Redefining Attorney-Client Roles: Unbundling and Moderate-Income Elderly
Clients,” Mary Helen McNeal, 32 Wake Forest L. Rev. 295 (1997)
AUTHORITIES
Chapter
9
Colorado Rules of Civil Procedure
• Rule 11(b) – Signing of Pleadings
• Rule 121 § 1-1 (5) – Local Rules – Statewide Practice Standards
• Rule 265 – Professional Service Companies
• Rule 311(b) – Signing of Pleadings
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Colorado Rules of Professional Conduct
• Colorado Rule of Professional Conduct 1.0(e) – Informed Consent
• Colorado Rule of Professional Conduct 1.2(c) – Scope of Representation and Allocation
of Authority Between Client and Lawyer
• Colorado Rule of Professional Conduct 7.1(d) – Communication re: Fees/Costs
• Colorado Rule of Professional Conduct 8.3 – Reporting Professional Misconduct
• Colorado Rule of Professional Conduct 8.4 – Misconduct
• Colorado Rule of Professional Conduct 8.5 – Disciplinary Authority; Choice of Law
Colorado Ethics Opinions
• CBA Ethics Committee Formal Opinion 56 – Settlement of Lawyer Malpractice,
Withdrawal of Grievance Complaint
• CBA Ethics Committee Formal Opinion 85 – Release and Settlement of Legal
Malpractice Claims
• CBA Ethics Committee Formal Opinion 101 – Unbundled Legal Services
ABA Materials
• Formal Opinion 07-446 – Undisclosed Legal Assistance to Pro Se Litigants
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Chapter 10
ETHICAL ISSUES IN REPRESENTING
MODEST MEANS CLIENTS
OVERVIEW
The decision to represent clients of modest means is a decision each lawyer must make
based on his or her own particular circumstances. Certainly, there are benefits to engaging in
modest means representation, both professionally and financially. However, regardless of your
decision, you must still comply with the Colorado Rules of Professional Conduct and your
ethical obligations to your client. You cannot simply limit your ethical obligations based on your
decision to engage in modest means representation, limited scope representation, or some other
form of discrete task representation.
While all the Rules of Professional Conduct apply to modest means representation, you
may find yourself considering various Rules relating to limited representation, competence, and
fee agreements. Below is a brief summary of each of these Rules and issues to consider. Also, a
quick reference to all of the Rules of Professional Conduct is included under “Tips,” below.
Remember, nothing substitutes for your own review of the Rules of Professional Conduct and
the Comments associated with each Rule.
Commonly Implicated Rules of Professional Conduct
Colo. RPC. 1.1 — Competence
• Rule 1.1 states, “A lawyer shall provide competent representation to a client.
Competent representation requires the legal knowledge, skill, thoroughness and
preparation reasonably necessary for the representation.”
• In determining whether a lawyer employs the requisite knowledge and skill in a
particular matter, relevant factors include the relative complexity and specialized
nature of the matter, the lawyer’s general experience, the lawyer’s training, and the
lawyer ’s experience in the field in question.1 A lawyer who decides to represent a
1
See Colo. RPC 1.1, cmt. [1].
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modest means client in an area of law that the lawyer does not regularly practice in
needs to get competent in the area of law through necessary study or associate with
another lawyer who is competent in the area of law in question.2
Colo. RPC 1.2 — Scope of Representation
• Rule 1.2(c) states, “A lawyer may limit the scope or objectives, or both, of the
representation if the limitation is reasonable under the circumstances and the client
gives informed consent. A lawyer may provide limited representation to pro se parties
as permitted by C.R.C.P 11(b) and C.R.C.P. 311(b).”
• Rule 1.2(c), along with various other Rules of Civil, Criminal, and Appellate Procedure,
permits a lawyer to engage in limited representation in various civil, criminal, and
appellate matters when it is reasonable and if the client gives informed consent.3 A
lawyer must review each Rule and the specific facts of the client’s case to determine
whether the limited representation is reasonable under the circumstances. A lawyer
cannot limit the scope of his or her representation to avoid the obligation of providing
competent representation or circumvent the consequences of his or her negligent
action.
• The reasonableness of the limited representation involves a case-by-case analysis and
requires a close look at the facts. However, it’s possible to imagine an instance where
it would be unreasonable to assist a modest means client in a limited capacity. For
example, an attorney could not limit the scope of representation in a criminal matter
by defending only one of several charges for a client.4 Informed consent “denotes the
agreement by a person to a proposed course of conduct after the lawyer has
communicated adequate information and explanation about the material risks of, and
reasonably available alternatives to, the proposed course of conduct.”5
Colo. RPC 1.4 — Communication
• Rule 1.4 is comprised of several parts, but generally, the Rule requires a lawyer to
reasonably communicate with the client about the client’s case. This includes
consultation on the “means by which the client’s objectives are to be accomplished,”
communication about the status of the case, and promptly complying with reasonable
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10
2
See Colo. RPC 1.1, cmt. [2].
See C.R.C.P. 11(b), C.R.C.P. 311(b), C.R.C.P. 121, 1-1(5), C.A.R. 5(e), and Colo. R. Crim.P. 57(b).
4
See Colo. RPC 1.2, cmt. [7], for an example of an unreasonable limited representation. See also People v.
Jerry Lee Stevens, O.P.D.J. (No. IOPDJ002, Oct. 7, 2010), where the respondent alleged he agreed to provide
the defendant a “preliminary defense” against a sexual assault charge and then withdraw, leaving the
defendant facing several other serious criminal charges, including habitual criminal charges. The
respondent was suspended from the practice of law for this conduct, and other conduct, for one year
and one day.
5
See Colo. RPC 1.0(e).
3
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Ethical Issues in Representing Modest Means Clients
requests for information.6 A lawyer representing a client of modest means in a limited
capacity has the same obligations to communicate with the client as a lawyer engaged
in full representation of a client.
Colo. RPC 1.5 — Fees
• Rule 1.5(a) states, “A lawyer shall not make an agreement for, charge, or collect an
unreasonable fee or an unreasonable amount of expenses.”
• Rule 1.5 prohibits unreasonable fees and expenses from being assessed by an attorney
to a client. The Rule describes eight factors to be considered when determining the
reasonableness of the fee, including the time and labor required; the fee customarily
charged in the locality for similar legal services; and the experience, reputation, and
ability of the lawyer.7
• In addition to prohibiting unreasonable fees, Rule 1.5 also prohibits referral fees, nonrefundable fees and retainers, and “earned upon receipt” fees. The Rule specifically
states, “Fees are not earned until a lawyer confers a benefit on the client or performs
a legal service for the client. Advances of unearned fees are the property of the client
and advances shall be deposited in the lawyer ’s trust account pursuant to Rule
1.15(f)(l) until earned.”8
• Above are only a few Rules that you may encounter when representing clients of
modest means. These Rules are not a barrier to representation of modest means clients,
but are part of your ethical obligations to the client and the court.
TIPS FOR FOLLOWING THE ETHICS RULES
Everyday Ethics for Busy Lawyers
Adapted and used with permission from John M. Tanner, Esq.
Rule 1.0: Terminology
• “Confirmed in writing” means signed by the client or you sent the writing close in
time to the oral conversation.
• The writing cannot be assumed (i.e., “If I do not hear from you, I will take that as a
waiver of the conflict I have described above.”).
• “Informed consent” means the lawyer has to explain to the client the consequences of
the action sought, the material risks, and the alternatives.
6
See Colo. RPC 1.4.
See Colo. RPC 1.5(a)(1)-(8), inclusive.
8
See also In re Sather, 3 P.3d 403 (Colo. 2002).
7
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Rule 1.1: Competence
• You have to be competent. Do not take on work you cannot and do not have anyone
to train you to do.
Rule 1.2: Scope
• The client decides the aims; the lawyer decides the means and methods.
• Under Rule 1.2(c), unbundling is okay when it is reasonable and there is informed
consent from your client.
• State court — you can “ghost write” pleadings as long as the pro se litigant discloses to
the court the aid of a lawyer.
• Federal court — you cannot ghost write pleadings.
Rules 1.3 & 1.4: Diligence/Communication
• It is a good idea to put everything on your calendar.
• Keep your client apprised! Send copies of all pleadings, letters, and e-mails in or out
of your office to your client. Return your clients’ phone calls and e-mails promptly
(same day if you can). Besides complying with the Rule, this practice is a good idea:
• It keeps the client informed.
• The client will know why when he or she gets a big bill.
• If a dispute later arises, you can show that the client was apprised.
Rule 1.5: Fees
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• Fee agreements generally need to be communicated in writing. However, fee
agreements do not have to be signed by the client, with the exception of contingency
fee agreements. Contingency fee agreements must be signed by the client, according
to C.R.C.P. Chapter 23.3.
• Rule 1.5(b) requires you to provide the basis or rate of the fee and expenses in writing
to the client, unless you have regularly represented the client. The basis or rate of your
fee and expenses can be communicated in writing pursuant to a written fee agreement
or an engagement letter or some other writing. (While the Rule does not specifically
address the scope of the representation, it is best practice to include the scope of the
representation in your writing to the client.)
• You cannot accept proceeds of criminal activity as fees.
• A note and deed of trust for unpaid fees is a business transaction with a client, which
means it is prohibited by Rule 1.8 unless you go through the steps in CBA Formal
Ethics Opinion 109.
• Fees and costs have to be reasonable.
• You cannot mark up costs, except a nominal amount to cover administrative overhead
relating to them.
• You must return unearned fees immediately at the end of the engagement.
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Ethical Issues in Representing Modest Means Clients
• Do not move money out of your trust account into your operating account until you
have earned it.
• Promptly inform the client of any change in fee amount. Put in your engagement letter
that you can change your rates at any time.
Rule 1.6: Confidentiality
• Do not disclose “information relating to the representation of a client” absent client
consent or other narrow exceptions.
• This includes any client information, not just “confidential” information.
• The rule bars disclosure of clients’ names to third parties.
• It also prohibits disclosure of information in court pleading files.
• Exception: former clients can be acknowledged when representation is generally
known.
• A few modest tips on how to avoid violating Rule 1.6:
• Do not “drop names” of clients, especially on social media where, once it is out
in cyberspace, you can never retrieve it.
• Do not discuss clients or client matters in public places, including buses,
airplanes, bars, restaurants, elevators, on social media, etc.
• Do not discuss client matters on cordless phones (cell phones are okay). (CBA
Ethics Committee Formal Opinion 90.)
• Do not leave work unattended and in plain view in public places (e.g., laptop
screen, lying on a table at a coffee shop, or even face-up in a public hallway at
your firm).
• All contemporaneous soft documents (not discovery production) going to the
other side have to go through a meta-data scrubber.
• Use encrypted Ethernet connections when available.
Rule 1.7: Conflicts of Interest — General Rule
• There are two types of conflicts: directly adverse (cannot be opposite your client) and
material limitation (business conflict, personal conflict, etc.).
• Material limitation is just as real a conflict as a directly adverse situation, and the same
steps have to be taken to avoid it.
• If you are hanging up your own shingle, put a conflicts check system in place from
Day 1 — do not rely on your memory.
• Always run a conflicts check before having even the briefest conversation about a case.
Rule 1.8: Conflicts — Current Clients — Specific Rules
• This rule used to be called “prohibited transactions.”
• Getting paid in anything other than fees is a “business transaction” with a client, and
you have to go through the steps in CBA Ethics Opinion 109.
• No sex with a client unless you had a sexual relationship with that individual before
he or she became your client.
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Rule 1.9: Duties to Former Clients
• If a new matter is unrelated to a matter with a former client, no conflict waiver is
necessary, but you still cannot use Rule 1.6 information against your former client
(which may beg the question as to whether it is a truly “unrelated” matter).
• If a new matter is related to a matter with a former client, a Rule 1.7 conflict analysis
is required.
• It is extremely difficult, if not impossible, to use information gained during
representation against a client (including a former client) without violating Rule 1.6.
Rule 1.10: Imputation of Conflicts of Interest — General Rule
• Typically, if one person at a firm is disqualified for a business reason, then the whole
firm is generally disqualified. If one person is disqualified for a personal reason (e.g., a
personal relationship with opposing counsel, giving rise to a material limitation
conflict), then the entire firm is not usually disqualified.
• “Confidentiality walls” should be in place before the first day of the conflict.
Rule 1.13: Organization as Client
• Obligations are to the organization itself.
• If your contact at the organization is violating his or her duty to the organization, or if
the organization is pursuing a criminal course of action, then you generally have a
duty to report “up the ladder.” This does not apply to past conduct.
Rule 1.14: Client with Diminished Capacity
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• Maintain a normal attorney-client relationship with your client, as much as reasonably
possible, if your client’s capacity to make adequately considered decisions in
connection with his or her case is diminished.
• If you reasonably believe that:
• Your client has diminished capacity,
• Your client is at risk of substantial physical, financial, or other harm unless action
is taken, AND
• Your client cannot adequately act in his or her own interest, you may take
reasonably necessary protective action.
• If you are taking protective action for a client with diminished capacity, you are
impliedly authorized to reveal information about the client but only to the extent
reasonably necessary to protect the client’s interests.
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Ethical Issues in Representing Modest Means Clients
Rule 1.15: Safekeeping Property
• Do not move money out of your trust account and into your operating account until
it is earned.
• Do not let your trust account go below zero (no excuses).
• There is no such thing as an “earned retainer.”
• The use of credit cards is complicated — see CBA Formal Ethics Opinion 99.
• Return unearned fees promptly at the end of your representation of the client.
Rule 1.16: Declining or Terminating Representation
• In litigation, you are in until the court lets you out. You cannot “go on strike” because
you are not getting paid. See also C.R.C.P. 121. However, in unbundling situations, you
can withdraw automatically without court approval under C.R.C.P. 121, § 1-1(5).
• Do not say more than necessary in your motion to withdraw. “Client has failed to abide
by retainer agreement” is usually enough.
• The file belongs to the client and must be returned upon request. You can keep your
notes or your own firm’s internal administrative processes (such as conflicts check).
See Ethics Opinion 104. It is a good idea to keep your own copy, but you have to pay
for it.
• An attorneys’ lien can allow you to keep the file until you are paid.
• When a case is over, send a letter saying so.
• When you turn down an engagement, send a letter saying you are not the potential
client’s lawyer and mentioning that there could be statute of limitations or other delayrelated issues, and urge the potential client to find a lawyer promptly.
Rule 1.16A: File Retention
• Civil cases — you can destroy files after 10 years or, with notice, 30 days.
• Criminal cases — it depends on the length of the sentence.
Rule 1.18: Duties to Prospective Clients
• You owe most of the same duties regarding confidentiality to a prospective client that
you owe to an actual client.
Chapter
Rule 2.1: Advisor
10
• Exercise independent professional judgment and render candid advice to your client.
• When giving advice, you may refer to moral, economic, social, and political factors as
well as the law itself, if they are relevant to the case.
• If your case is likely going to involve litigation, you should advise your client of
alternative forms of dispute resolution.
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Rule 2.3: Evaluation for Use by Third Persons
• You can give an evaluation of your client’s case to someone other than the client if you
reasonably believe that doing so is compatible with other aspects of your attorneyclient relationship.
• Don’t provide such an evaluation if you know or reasonably should know that it is
likely to materially and adversely affect your client’s interest unless your client gives
informed consent.
• Except as related to the evaluations above, all other information is otherwise protected
by Rule 1.6.
Rule 2.4: Lawyer Serving as Third-Party Neutral
• A third-party neutral is a lawyer who assists two or more people (not clients) to reach
a resolution in a dispute between them. Example: arbitrator or mediator.
• If you act as a third-party neutral, you must inform unrepresented parties that you
are not representing them. If you know or reasonably should know that one of the
parties doesn’t understand your role in the matter, you must explain the difference
between your role as a third-party neutral and your role if you were representing that
party.
Rule 3.1: Meritorious Claims and Contentions
• You can’t bring or defend a proceeding, or assert an issue, unless there is a basis in law
and fact for doing so that is not frivolous. This includes a good faith argument for an
extension, modification, or reversal of existing law.
• However, a defense attorney in a criminal proceeding or the respondent in a
proceeding that could result in jail, can defend the proceeding to require that every
element of the case is established.
• In a dependency and neglect appeal, you may raise issues the client wants the court
to address, even if you believe they are not otherwise meritorious.
Rule 3.2: Expediting Litigation
• Make all reasonable efforts to speed up litigation with your client’s interests in mind.
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Rule 3.3: Candor to the Tribunal
• You must reveal to the court adverse controlling authority.
• The court will appreciate if you say, “This appears to be controlling, but here is why it
is not.”
• If a witness or the client offers false information (Ethics Opinion 123):
• Try to get him or her to withdraw evidence;
• If that fails, you can notify the court (Rule 3.3 trumps Rule 1.6).
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Rule 3.4: Fairness to Opposing Party and Counsel
• Don’t unlawfully obstruct another person’s access to evidence or unlawfully alter,
destroy, or conceal any evidence with potential evidentiary value. You also can’t assist
somebody else in doing the same.
• Don’t falsify evidence, counsel or assist a witness to testify falsely, or induce a witness
illegally.
• Don’t knowingly disobey an obligation under court rules unless you openly assert
that no valid obligation exists.
• Don’t make a frivolous discovery request in pretrial procedure, or fail to make a
reasonably diligent effort to comply with a proper discovery request.
• Don’t, while in trial, allude to any matter that you don’t reasonably believe is relevant
or won’t be supported by admissible evidence, assert personal knowledge of facts at
issue unless you are a witness, or state a personal opinion as to the justness of a cause,
credibility of a witness, culpability of a civil litigant, or guilt or innocence of the
accused.
• Don’t request someone other than the client to not voluntarily give relevant
information to another party unless:
• The person is a relative or an employee/agent of a client and you are not
prohibited by law from making such a request, and
• You reasonably believe that the person’s interests will not be adversely affected
by not giving such information.
Rule 3.5: Impartiality and Decorum of the Tribunal
• Don’t try to influence a judge, juror, prospective juror, or any other official illegally.
• Don’t communicate ex parte with any of the above persons during a proceeding unless
allowed to do so by law or court order, or unless a judge initiates the communication
and you reasonably believe that the subject matter of the communication is within the
judge’s authority under a rule of judicial conduct.
• Don’t communicate with a juror or prospective juror after the jury is discharged if:
• It is prohibited by law or court order,
• The juror has told you he or she doesn’t want to communicate,
• It involves misrepresentation, coercion, duress, or harassment,
• You intend or are reasonably likely to demean, embarrass, or criticize the jurors
or the verdicts.
• Don’t try to disrupt the court.
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Rule 3.6: Trial Publicity
• If you are involved with a particular case, do not make extrajudicial statements that
will have a substantial likelihood of materially prejudicing the judicial proceedings.
• You may state the claim, offense, or defense involved and, if not prohibited by
law, the identity of the person involved. You may also state information
contained in the public record, the schedule of the litigation, or the result of a
particular step in litigation.
• Review this rule, and consider your client’s position and the type and nature of your
case, before making any extrajudicial statements about your client’s case.
Rule 3.7: Lawyer as Witness
• You can’t be a lawyer at a trial if you are likely to be a necessary witness, unless:
• Your testimony would relate to an uncontested issue,
• Your testimony would relate to the nature and value of legal services rendered
in the case, or
• Your disqualification would cause substantial hardship to the client.
• You may act as the attorney in a trial in which another lawyer in your firm is likely to
be called as a witness, unless Rule 1.7 or Rule 1.9 doesn’t allow it.
Rule 4.1: Truthfulness in Statements to Others
• You can’t lie about a material fact or law to a third person OR fail to disclose a material
fact to a third person when disclosure is necessary to avoid assisting a criminal or
fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.
Rule 4.2: Communication with Person Represented by Counsel
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• Do not communicate with a person represented by counsel without the other counsel’s
consent.
• Where an organization is involved, representation of the organization covers:
• One who supervises, directs, or regularly consults with a lawyer regarding the
matter;
• One who can bind the organization regarding the matter; or
• One whose acts are attributable to the organization regarding the matter. Also
see CBA Ethics Opinion 69 (revised 2010).
• It does not matter who initiates the conversation.
• It is okay to go around outside counsel to in-house counsel (ABA opinion on point).
• It is okay to inform the client that this is an ethics rule for lawyers and that the client
can directly contact the other side, but be careful.
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Rule 4.3: Dealing with Unrepresented Person
• Be very careful not to even come close to giving legal advice. Remind the other side
often and in writing that you are the lawyer only for your client.
Rule 4.4: Respect for Rights of Third Parties (Ethics Opinion 108)
• If you receive what appears to be a privileged document, your only duty is notice to
the other side.
• If you get such a notice, run — do not walk — to the court to get some kind of order.
Rule 4.5: Threatening Prosecution
• You cannot threaten criminal prosecution or grievance to get the advantage in a civil
case.
• You can simply inform the other side that its conduct may violate this rule.
Rule 5.1: Responsibilities of Supervising Lawyer
• Managing partners — have protocols in place so all lawyers in the firm comply with
the Rules.
• Any supervising attorney — make sure subordinate attorneys comply with the Rules.
Rule 5.2: Responsibilities of Subordinate Lawyer
• Ultimately, you are responsible for your ethical violations, even if a partner tells you
that you have to do it.
Rule 5.3: Supervisory Duties to Nonlawyers
• Make sure you have protocols in place consistent with the Rules, particularly
confidentiality and conflicts, that apply to paralegals, secretaries, and other staff.
Rule 5.4: Professional Independence of a Lawyer
• This Rule describes the limitations on sharing fees.
• The Rule was created to protect the lawyer’s professional independence of judgment
on behalf of his or her client.
• A lawyer may not share legal fees with a nonlawyer, with some specific exceptions.
• A lawyer may not form a partnership with a nonlawyer if any of the activities of the
partnership include the practice of law.
• If you find yourself in a situation where a fee may be shared for whatever reasons,
review this Rule first.
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Rule 5.5: Unauthorized Practice of Law; Multijurisdictional Practice of Law
• You shall not engage in the practice of law without an active license to practice law
issued by the Colorado Supreme Court.
• Suspended or disbarred lawyers cannot practice law in Colorado.
• Nonlawyers cannot engage in the practice of law.
• You shall not assist a person in the unauthorized practice of law.
• You can hire a suspended or disbarred lawyer to perform paralegal work with proper
notice to clients and with certain exceptions. Review the Rule prior to engaging in this
activity.
Rule 5.6: Restrictions on Right to Practice
• It is unethical to sign a covenant not to compete, except as part of retirement.
Rule 5.7: Responsibilities Regarding Law-Related Services
• When not acting as a lawyer, you have an ethical duty to inform a customer that you
are not acting as a lawyer and that the attorney-client privilege does not apply.
Rule 6.1: Voluntary Pro Bono Public Service
• You should try to provide at least 50 hours of pro bono legal services per year, a
substantial majority of which is for representing poor people or organizations that
help poor people. Consider pledging to participate in the Colorado Supreme Court’s
Pro Bono Recognition Program.
Rule 6.3: Membership in Legal Services Organization
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• You can be a director, officer, or member of a legal services organization (apart from
your own law firm) even if that organization serves persons with interests adverse to
a client of yours. However, you can’t knowingly participate in a decision or act of the
organization if:
• Participating in the decision or act would be incompatible with your obligations
to your client under Rule 1.7, OR
• The decision or act could have a material adverse effect on the representation
of a client of a lawyer provided by the organization whose interests are adverse
to one of your clients.
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Rule 6.5: Nonprofit and Court-Annexed Limited Legal Services Programs
• If you provide short-term limited legal services to a client through a nonprofit
organization or the court, and both you and the client understand that you will not
be providing continuing representation:
• You are subject to Rules 1.7 and 1.9(a) only if you know that the representation
involves a conflict of interest.
• You are subject to Rule 1.10 only if you know that another lawyer associated
with you in your law firm is disqualified by Rule 1.7 or 1.9(a). Thus, you can
provide short-term pro bono representation without a conflicts check, but if
you know there’s a conflict of interest, you can’t do it.
• Rule 1.10 is inapplicable to representation under this Rule, except as provided directly
above.
Rules 7.1, 7.2, 7.3, & 7.4: Advertising
• A lawyer always must be truthful.
• Do not hold yourself out as an “expert” or “certified,” with a few exceptions.
• It is okay to pay for advertising, but not okay to pay for referrals — see CBA Ethics
Opinion 122 for this distinction.
• It is not okay to “cold call” a lay person you do not know to get his or her legal work,
unless you do it in writing and put “Advertising Material” on the writing.
• It is no longer required that you keep a copy of every advertisement you make, but it
still may be a good idea.
• Social networking is very tricky; you should assume it will be viewed with 20/20
hindsight by a disgruntled client/jury/attorney regulation counsel.
Rule 7.5: Firm Names and Letterhead
• You can’t use a firm name, letterhead, or other professional designation that violates
Rule 7.1. If you are in private practice, you can only use a trade name if it does not
imply a connection with a government agency or a legal services organization, and
does not otherwise violate Rule 7.1.
• Firms with locations in more than one jurisdiction may use the same name in each
jurisdiction, as long as it is clearly identified what jurisdictions each attorney can and
cannot practice in.
• If you are holding a public office, your name cannot be used in the name of the law
firm, or in communications on its behalf, during any substantial period you are not
actively and regularly practicing with the firm.
• Don’t lie, or falsely imply, that you practice in a partnership or organization when you
don’t.
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Rule 8.3: Reporting Misconduct
• This is only required when it reflects on a lawyer’s fitness to practice law, which is
generally viewed as applying to substance abuse issues or misuse of client funds.
• If not required, reporting misconduct is generally a bad idea while litigation is pending.
Rule 8.4: Deceitful Conduct
• This rule always applies — even if you are not acting as a lawyer.
• Lawyers have been disbarred for deceitful conduct that had nothing to do with their
work as a lawyer.
• Do not secretly tape conversations, CBA Ethics Opinion 112 notwithstanding.
Rule 8.5: Jurisdiction
• The Colorado Supreme Court has jurisdiction over lawyers who are admitted in
Colorado, or who “provide or offer to provide legal services in” Colorado.
If you have questions, call the CBA Ethics Committee Hotline at (303) 860-1115.
TRUST ACCOUNT TIPS
Trust Account Issues Related to Representation of the
Low-Income Client
Adapted from a presentation given by Margaret Funk, Esq. of the
Office of Attorney Regulation Counsel at the October 2012 CLE,
“Serving the Moderate Income Client.” Used with permission.
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• Maintain two separate accounts – a Trust Account and an Office Account.
• Trust Account
• Always place the following funds into the Trust Account:
• The client’s money,
• Advanced retainers,
• Advanced costs,
• Flat fees,
• Settlement proceeds,
• Funds given (entrusted) to you by others.
• Office Account
• Place all earned fees or cash paid for earned fees into the Office Account
(also called the Professional or Operating Account).
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• If you deal with cash, you need to keep a cash receipts journal.
• A check register for a Trust Account or Office Account could serve as this
journal.
• Give a receipt to the client or whoever pays the cash.
• Earned retainer fees should be disbursed out of the Trust Account into the Office
Account on a regular billing cycle — 30 days — but can be done more often unless
your fee agreement restricts you to billing only once a month.
• Be mindful that not disbursing earned fees to the Office Account could result
in commingling!
• You have a duty to provide an accounting regarding property held by you belonging
to a client or third party upon that client or third party’s request. See Colo. RPC 1.15(b).
• Whenever you make a disbursement from the Trust Account to the Office Account,
notify the client in writing, i.e., send the client a bill showing the disbursal.
• Create a financial plan for your moderate-income representation that:
• Clearly defines the scope and the means by which the objectives will be
accomplished;
• Explains how the plan may change due to unforeseeable changes;
• Defines whether you are in litigation or transactional representation and
whether you will handle an appeal or other related legal issues.
• If you agree to the representation on a contingent fee basis, you must have a written
fee agreement per Chapter 23.3 of the Colorado Rules of Civil Procedure.
• The written fee agreement must be signed by both the attorney and the client.
• Do not front anticipated settlement funds to needy clients.
• Fronting anticipated funds, even after settlement but before the check
arrives or clears, violates Rule 1.8(c);
• Loaning your client money in anticipation of repayment from the
settlement also violates Rule 1.8(c) and (i).
• In all other cases, it is highly recommended that your fee agreement be in writing.
• Never label any fee as “nonrefundable.” Nonrefundable fees and nonrefundable
retainers are prohibited, no matter how discounted your services are.
• Any agreement that purports to restrict a client’s right to terminate the
representation, or one that unreasonably restricts a client’s right to obtain a
refund of unearned or unreasonable fees, is prohibited under Rule 1.5(g).
• Keep in mind that conversion clauses in flat or contingency fee
agreements may violate Rule 1.5(g).
• Flat fees must be placed in the Trust Account. They are not earned until the lawyer
conveys a benefit on the client or performs legal service for the client.
• Advances of unearned fees are the property of the client and shall be deposited
in the lawyer’s Trust Account pursuant to Rule 1.5(f)(1) until earned.
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• When disbursing a flat fee, you must define the tasks (milestones) and how much
money will be withdrawn or define events when portions of the fee will be earned.
• If the flat fee is earned on an hourly basis, disburse the flat fee according to
the hourly rate times hours worked.
• Keep in mind that milestones in flat fee agreements are difficult to track, and
leave much room for error.
• Example: If one of the milestones is a disposition hearing, make sure
that the disposition hearing was actually held (not continued) before
disbursing the funds into the Office Account.
PROGRAMS AND ONLINE RESOURCES
CBA Resources
CBA Ethics Web Portal (www.cobar.org/ethics)
• This website has been established to facilitate immediate access to many legal
ethics/professional responsibility resources available on the Internet.
• These resources range from the Colorado Rules of Professional Conduct, to Formal
Ethics Opinions of the CBA Ethics Committee, to links to ethics websites hosted by
other states’ courts and bar associations. No endorsement of any particular website or
resource is intended. It is strongly recommended that there be independent
verification of the accuracy of information obtained from any website.
CBA Ethics Hotline
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• Certain members of the CBA Ethics Committee are available for brief discussion of
attorneys’ own immediate ethical dilemmas or questions. Attorneys are asked to do
their own research prior to calling the Hotline. Hotline inquiries are handled by
individual members of the Committee to help identify ethical issues and do not
necessarily reflect the thinking of the Committee as a whole. Please remember these
practicing attorneys are doing this for free and can’t spend more than about 10 minutes
per call and are not there to do research for you. CBA members can contact the Hotline
by calling the Colorado Bar Association office at (303) 860-1115 or (800) 332-6736 (instate only).
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Colorado Ethics Handbook
• The Colorado Ethics Handbook, published by Colorado Bar Association CLE, contains
the Colorado Rules of Professional Conduct (1993 and 2008 versions, with comparative
tables), all of the CBA Formal Ethics Opinions, CBA Ethics Committee informal
opinions, abstracts of responses to letter inquiries, the Code of Judicial Conduct, and
Colorado Judicial Ethics Advisory Board Opinions. The book is available by calling
CBA-CLE at (303) 860-0608 or online at www.cobarcle.org.
ABA Resources
ETHICSearch
• ETHICSearch is a free legal ethics research service provided by the ABA Center for
Professional Responsibility to make information and resources in legal ethics available
to lawyers and legal professionals.
ABA Center for Professional Responsibility
• The Center “provides national leadership in developing and interpreting standards
and scholarly resources in legal and judicial ethics, professional regulation,
professionalism, and client protection,” according to the ABA website. Various
committees provide consultative services and assistance in local policy
implementation. The Center also maintains the National Lawyer Regulatory Data
Bank, the only national repository of information concerning public regulatory actions
and reinstatements throughout the United States.
Confidential Assistance for Attorneys in Colorado
Colorado Lawyer Assistance Program (COLAP)
• In June 2011, the Colorado Supreme Court adopted Rule 254, which established the
Colorado Lawyer Assistance Program (COLAP) to provide immediate and continuing
confidential assistance to members of the legal profession (judges, lawyers, and law
students) who suffer from physical or mental disabilities that result from disease,
disorder, trauma. or age, and that impair their ability to practice. COLAP will provide
educational programs to the bench, bar, and law schools to increase awareness and
understanding of the causes and remedies for impairments (physical or mental
disabilities that result from disease, disorder, trauma, or age) affecting members of the
legal profession and to convey an understanding of appropriate ways of interacting
with affected individuals. COLAP will also provide services such as: investigation,
planning, and participation in interventions; aftercare services upon request, by order,
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or under contract to include appropriate aftercare planning, professional peer support
meetings; assistance in obtaining local peer counselors, mentors, or sponsors; and
monitoring services to include tracking aftercare, peer support, and twelve-step
meeting attendance; documentation of compliance; and other monitoring
requirements deemed appropriate.
• For more information or to schedule an educational presentation, contact Barbara Ezyk
at (303) 986-3345; toll free, (855) 208-1168; cell, (303) 906-2940; or via e-mail at
[email protected]. The website is www.coloradolap.org.
Colorado Lawyers Helping Lawyers, Inc.
• The Peer Assistance Program is provided by Colorado Lawyers Helping Lawyers, Inc.
(CLHL). This is a lawyer-to-lawyer program supported by the Colorado Bar
Association and is available to all lawyers, judges, law school students, and graduates.
The focus of the Peer Assistance Program is on helping those who are experiencing
alcohol, substance abuse, and mental health issues. This is achieved through
confidential peer support, education, referral, and outreach. The peer support program
offered through CLHL does not provide treatment or evaluation services. Rather,
CLHL provides peer support groups in Denver and a statewide “virtual” telephone
support group. All groups preserve the confidentiality of participants.
• In addition, the following attorneys are available for direct phone contact to discuss the
individual’s personal issues and strategies for dealing with those problems: Paul Quinn,
(720) 218-2001, [email protected]; Scott Meiklejohn, (303) 257-2438,
[email protected]; and Emily Anderson, (303) 669-4940, [email protected].
These calls are not for emergencies — for those, people should contact 911.
The Waterman Fund
• The Waterman Fund provides financial assistance to Colorado lawyers who have
practiced law in Colorado for at least 10 years and are “aged, infirm or otherwise
incapacitated [and are] in good repute and standing.”
• An application can be downloaded from the CBA website at www.cobar.org, search
for “Waterman Fund.” All information about applicants and awards are confidential.
Please direct your questions or a completed application to Janet Bauer at (303) 8245319 or [email protected].
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Miscellaneous Resources
American Legal Ethics Library (www.law.cornell.edu/ethics)
• This webpage is a section of the Cornell Law School where you can find state rules,
codes and ethics opinions.
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Legalethics.com
• This site offers articles and updates on legal ethical issues.
National Organization of Bar Counsel (www.nobc.org)
• This site contains attorney discipline case summaries.
SUGGESTED READING
CBA Lending Library
Many of the materials in the CBA Lending Library include information on ethics issues
in the practice of law. Details about the CBA Lending Library and how members can access it
are included in Appendix A at the back of this book.
Print and Online Publications
The Colorado Lawyer Articles
• “Ethical Considerations When Providing Unbundled Legal Services,” Adam J. Espinosa
(September 2011)
• “Limited Scope Representation Under the Proposed Amendment to C.R.C.P. 121,
§ 1-1,” Adam J. Espinosa and Judge Daniel M. Taubman (November 2011)
• “Limited Representation in Criminal Defense Cases,” Gerald D. Pratt (October 2000)
• “On Retainers, Flat Fees, and Commingling,” Alec Rothrock (November 1997)
• “Policing the Legal System: The Duty to Report Misconduct,” Jane G. Ebisch
(September 2001)
• “A Practical Approach to Conflicts of Interest,” Scott Krob (September 1997)
• “Fee Agreements: Types, Provisions, Ethical Boundaries, and Other Considerations —
Part I,” G. Michael Schuyler (March 2002)
• “Fee Agreements: Types, Provisions, Ethical Boundaries, and Other Considerations —
Part II,” G. Michael Schuyler (April 2002)
• “Colorado Legal Ethics: Guide to Resources,” Robert M. Linz (August 2010)
• “Disclosure to Clients of the Use of Temporary Lawyers and Outsourcing,” Eli Wald
(April 2012)
• “Ethical Considerations in Using Blogs, Lawyer Websites, and Social Media,” Amy C.
DeVan (January 2012)
• “Ten of the Easiest Ethics Violations for Honest Lawyers,” Forrest W. Lewis (August
1998)
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For more articles concerning ethics issues in various areas of the law, see the individual
columns in The Colorado Lawyer: www.cobar.org.
Other Periodicals/Sources
• “Ethics Reminder for Unbundling Legal Services Online,” Stephanie L. Kimbro, Virtual
Law Practice (May 2010)
• “The Ethics of Unbundling,” Stephanie L. Kimbro, GPSolo eReport (October 2011)
• “Attorney Fees: Five Keys to Ethical Compliance,” David Cameron Carr, GPSolo
(October/November 2010)
AUTHORITIES
Case Law
People v. Jerry Lee Stevens, O.P.D.J. (No. 10PDJ002. Oct. 7, 2010)
• The respondent alleged that he agreed to provide the defendant a “preliminary
defense” against a sexual assault charge and then withdrew, leaving the defendant
facing several other serious criminal charges, including habitual criminal charges. The
respondent was suspended from the practice of law for this conduct, and other
conduct, for one year and one day.
In re Sather, 3 P.3d 403 (Colo. 2002)
• Advance fees, including flat fees, cannot be “non-refundable” and must be placed in
trust accounts to be withdrawn only after the attorney has earned them.
For more case law regarding finances and ethical issues, see the “Authorities” section of
Chapter 2, Finances.
Colorado Rules of Professional Conduct
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• Colorado Rule of Professional Conduct 1.1 – Competence
• Colorado Rule of Professional Conduct 1.2 – Scope of Representation
• Colorado Rule of Professional Conduct 1.4 – Communication
• Colorado Rule of Professional Conduct 1.5 – Fees
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Colorado Rules of Civil Procedure
• Colorado Rule of Civil Procedure 11(b) – Signing of Pleadings
• Colorado Rule of Civil Procedure 311(b) – Signing of Pleadings
• Colorado Rule of Civil Procedure 121, 1-1(5) – Local Rules — Statewide Practice
Standards
Colorado Appellate Rules
• Colorado Appellate Rule 5(e) – Notice of Limited Representation Entry of Appearance
and Withdrawal
Colorado Rules of Criminal Procedure
• Colorado Rule of Criminal Procedure 57(b) – Procedure Not Otherwise Specified
Colorado Ethics Opinions
• Please see the individual chapters in this book for Colorado Ethics Opinions regarding
specific areas.
ABA Ethics Opinions
• Please see the individual chapters in this book for ABA Ethics Opinions regarding
specific areas.
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Appendix
THE CBA LENDING LIBRARY:
AN EXCLUSIVE RESOURCE
FOR CBA MEMBERS
The Colorado Bar Association owns and maintains an extensive collection of resources
pertaining to the law, its practice, and its role in our society. There are no substantive law materials
in the Lending Library. The Lending Library contains books, pamphlets, videos, and other resources, such as ABA publications, ALA (Association of Legal Administrator) publications, and
other practice management, finance, marketing, and technology-oriented publications.
The CBA Lending Library is an exclusive CBA member benefit. A complete catalog of
books and materials is available through the CBA website: www.cobar.org/index.cfm/ID/17/
CLPE/Lending-Library. Lending privileges are extended to members in good standing of the
Colorado Bar Association who sign its Checkout Form and Agreement. Materials may be borrowed for a period of three weeks at no charge (although there is a nominal shipping and handling fee if materials must be mailed).
Details about the Lending Library’s borrowing policies and procedures can be found at
the web address above, along with links to the following topics:
• Career Development
• Closing/Merging/Selling/Buying a Practice
• Finance
• Human Resources
• Marketing
• Opening a New Practice
• Paralegals and Law Office Support Staff
• Practice Management
• Practice Specific
• Records Management
• Solo-Small Firm
• Technology
• Time and Stress Management
• Videos, CDs, and Software
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Appendix