Acknowledgments
About the Authors
Foreword
Introduction
Part 1 Law Firm Management in a Hostile Environment-A Guide to Risk Management 1
Chapter 1 What Is "Risk Management" (or "Loss Prevention") Anyway? 3
Risk 3
Risk Management 4
Loss Prevention 4
Case Study-How Risk Management Could Have Helped Kaye, Scholer 4
The Main Elements of Risk Management for Lawyers 10
Chapter 2 The Role of Law Firm Audits Generally and Self-Audits Particularly 25
The Fundamental Purpose-The Prophylactic Audit 25
Additional Uses for Law Firm Audits 26
Why Self-Audits? 29
Chapter 3 What Is a Self-Audit? 31
What Is Involved in Administering a Self-Audit? 31
What Can a Self-Audit Accomplish? 32
When Not to Do It Yourself 33
Chapter 4 How to Conduct a Self-Audit 35
Phase 1 Selecting the Partner or Administrator to Conduct the Audit 35
Phase 2 Deciding on the Scope and Timing of the Audit 35
Phase 3 Distributing and Completing Questionnaires 43
Phase 4 Distributing Answer and Analysis Sheets and Conducting Review Sessions 43
Phase 5 Preparing a Report 44
Phase 6 Implementing the Report Recommendations 45
Chapter 5 Follow-Up and Implementation 47
Internally or Externally Directed Reforms 47
The Elements of Effective Implementation 48
Timing and Implementation 50
What Will an Integrated Risk Management Program Look Like? 50
A Tool, Not a Pancea 50
Bibliography 52
Part 2 Quality/In Control (QUIC) Survey for Law Firms Questionnaires 53
Questionnaire 1 Management Structure Questionnaire 57
Questionnaire 2 Risk Management Oversight Questionnaire 59
Questionnaire 3 New Client/Matter Intake Questionnaire 65
Questionnaire 4 Client RelationsQuestionnaire 73
Questionnaire 5 Docket (i.e., Tickler/Critical Date Reminder) and Calendar Systems Questionnaire 77
Questionnaire 6 Practice and Human Resource Management Questionnaire 81
Questionnaire 7 Trust Accounts Questionnaire 87
Questionnaire 8 Disaster Recovery Planning Questionnaire 89
Part 3 Quality/In Control (QUIC) Survey for Law Firms Answer and Analysis ("Crib") Sheets 93
Answer and Analysis Sheet 1 Management Structure Questionnaire 95
Answer and Analysis Sheet 2 Risk Management Oversight Questionnaire 99
Answer and Analysis Sheet 3 New Client/Matter Intake Questionnaire 105
Answer and Analysis Sheet 4 Client Relations Questionnaire 117
Answer and Analysis Sheet 5 Docket (i.e., Tickler/Critical Date Reminder) and Calendar Systems Questionnaire 123
Answer and Analysis Sheet 6 Practice and Human Resource Management Questionnaire 129
Answer and Analysis Sheet 7 Trust Accounts Questionnaire 137
Answer and Analysis Sheet 8 Disaster Recovery Planning Questionnaire 141
Index 149
About the CD 157
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