PRACTICE MANAGEMENT
COURSE
9 SEPTEMBER 2020
INTRODUCTION
Welcome to the LIV's Practice Management Course (PMC). The course has been expertly designed to
provide the essential business and financial knowledge and skills to help lawyers transition to principal of
their own practice or move into partnership, identify practice improvements, risks, and develop strategies to
mitigate them.
Workshop program:
The workshops for the following three days will include the following:
Day 1 – 2 September - Start up: introduction to practice management, business strategy and
succession
planning, financial management and client service
Day 2 – 9 September - Legal fundamentals operations: leadership, practice management systems,
professional standards and ethics and trust accounting
Day 3 – 16 September - Growth and transition: people management and leadership, business
development and
marketing, managing technology and innovation and assessment briefing.
You will find your daily schedule for Wednesday 9 September 2020, facilitator information and workbook
materials and exercises. The course materials and pre-reading are accessible through the LMS:
www.pmc.liv.asn.au throughout the program please refer to the precourse email for login details.
Access to digital workshops: How to get online
You can register with zoom in advance of the meeting by clicking the below link. Please ensure that your name
and email match the ones you have registered with LIV for compliance. After registering, you will receive a
confirmation email containing information about joining the meeting. Alternatively click the below link on the day 10
minutes before start time fill in your details and then click join meeting in progress.
This session will be run through zoom, and access will be enabled 10 minutes prior to the scheduled start time.
Click on the following link:
Access link: https://us02web.zoom.us/j/82580347867?pwd=bWM3VXUrckwrcnNMSU5uUGJJNldlQT09
Password:
558633
Meeting ID:
825 8034 7867
WEBINAR ACCESS
USING YOUR MOBILE PHONE OR TABLET
USING YOUR DESKTOP COMPUTER
• For best results use google chrome or firefox • Download the Zoom app from the app store
and not internet explorer
• Select join meeting and follow instructions by
• Depending on your browser settings, the
entering your name and email when
webinar may not connect automatically, and
requested
you may need to click the link in the pop-up
• Enter meeting ID and Password when
box that appears in order to connect. If
prompted
unsuccessful, click on ‘join from browser’ in
the pop-up. Alternatively, you can click
download and run and install the desktop
app.
DIALLING IN FROM YOUR PHONE (Audio only)
• Within Australia call one of the below numbers based on your current location:
− 03 7018 2005
− 02 8015 6011
− 07 3185 3730
− 08 6119 3900
− 08 7150 1149
• Follow phone prompts & enter in the meeting ID followed by #
• You will not have a participant ID so just enter #
• Other International numbers are available here
•
Please ensure that you have a reliable internet connection with speakers turned on and/or headphones
plugged in prior to the webinar. For the best sound, we recommend the use of headphones.
•
There will be a LIV host on the webinar to interact with you and communicate any questions to the
presenter.
•
The LIV representative cannot provide technical support.
•
If you experience any technical difficulties please call Zoom Support at any time on Toll Free 02
80152088 quoting meeting number 897 4667 7865 Australia
•
Enjoy your viewing.
Assistance throughout the program:
LIV staff members are available to assist though out the program, please contact either:
Sue White, LIV Events on: 03 9607 9473 or swhite@liv.asn.au
Elissa Cohan, Program Manager on: 03 9607 9460 or ecohan@liv.asn.au
DAY 2: WEDNESDAY 9 SEPTEMBER
Time
8.30am
Item
Registration and zoom login –
https://us02web.zoom.us/j/82580347867?pwd=bWM3VXUrckwrcnNMSU5uUGJJNldl
QT09
9.00am
9.00 – 9.50am
Welcome and opening
Session 1: Leadership Part 1
Presenter: Kath McCarthy
9.50 – 10.05am
Morning Tea Break (15 minutes)
10.05-10.45am
Session 1: Leadership Part 2
Presenter: Kath McCarthy
10.45am-11.00am
Break (15 minutes)
11.00am – 12.00pm Session
2: Practice Management Systems
Presenter: Stephen Tyndall
12.00 -12.30pm
Lunch Break (30 Minutes)
12.30pm- 12.45pm
Session 3: LIV Practice Support – COVID-19
Presenter: Peter Docherty & Duncan Pittard
12.45-1.45pm
Session 4: Ethics
Presenter: Pam Morton
1.45 - 2.00pm
2.00 – 3.00pm
Break (15 minutes)
Session 5: Trust Accounting – Part 1 Workshop
Presenter: Marco Zanon
3.00-3.15pm
3.15-4.15pm
Break (15 minutes)
Session 5: Trust Accounting – Part 2 – Online Examination
Via LMS: http://www.pmc.liv.asn.au/mod/quiz/view.php?id=172
PRACTICE MANAGEMENT
COURSE
LEADERSHIP WORKBOOK
INTRODUCTION
The core objective of this program is to strengthen participants’ capacity to effectively lead people through
ambiguity and uncertainty. This will be achieved through the lens of coaching. Using the GROW model as a
foundation, participants will broaden their coaching repertoire of ‘powerful’ coaching questions to identify
those relevant to people experiencing change. they will also deepen your understanding of the process of
change by exploring a number of contemporary frameworks and methodologies relating to uncertainty, trust,
loss and purpose.
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
LEARNING OUTCOMES
At the completion of the program, participants should:
• To have identified and reflected upon the leadership expectations and demands within the participant’s
unique context
• To have identified leadership style, strengths and gaps
• To increased awareness of power and rank dynamics within the firm context
• To provide tools to navigate and build trust as a leadership imperative.
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
BREAKING OPEN LEADERSHIP
Group Discussion
What makes a good leader in your firm?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
SELF REFLECTION REVIEW
According to Zenger and Folkman’s research there are six pathways to strong leadership.
Visionary –
• providing a clear picture of the future and being able to communicate that to the team.
Enhancing –
• creating positive one-on-one relationships along with team relationships by being a great listener and
connecting emotionally with people.
Driver –
• displaying a focused pursuit to make the numbers and complete things on time and generally being
accountable for personal and group performance.
Principled –
• providing a powerful role model of doing the right things in the right way.
Enthusiast –
• exuding passion and energy about the organization, its goals, and the work itself.
Expert –
• providing a strong technical direction that comes from deep expertise.
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
My leadership strengths
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My leadership gaps
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
POWER & RANK
Click or tap her e to enter text.
What does this mean for me?
TRACING POWER
Power of
Expert
Knowledge
Positional
Power
Personal
Internal
Power
Information
in the
Moment
Social
Power
10
Once the
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
What does this mean for me?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
TRUST BUILDING & LEADERSHIP
What role does Trust play in effective leadership?
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
What does this mean for me?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
STRATEGIC PERSPECTIVE
The four quadrant model
Self awareness
Other awareness
Perspective
Taking
Business Awareness
Market Awareness
14
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
What does this mean for me?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
What does this mean for me?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
Trust Tips During COVID-19
Trust is essential to high engagement of staff. In the Covid19 environment, where fear and
uncertainty are strong undercurrents, trust is even more important, but more challenging to
maintain.
Uncertainty often produces behaviours associated with protection from threat (i.e. fight, flight
and freeze reactions), so leaders may see changes in their teams during this period of social
distancing. There may be more reactivity or more passivity. There may be more withdrawal or
more agitation. There is likely to be challenges to productivity and more risks to maintaining
connections between team members.
Reactions to uncertainty can create a risk to
maintaining trust, and therefore intentional trust building efforts will be necessary during this
period of time.
Teams that have walked into this period with high levels of pre-existing trust are well placed to
navigate the challenges of uncertainty in a more agile manner. However, even these teams
cannot be complacent, and leaders would be well advised to consciously increase deliberate
measures to bolster and enhance trust whenever possible.
This challenge of facing uncertainty with agility, is exacerbated by the need for many
businesses to move into a remote working environment. Remoteness does not diminish the
importance of trust. It does, however remove the usual pathways and behaviours that are
typically relied on to do this. These may be stopping by a desk to check for understanding, the
quick phone call across the office floor, saying hello in the morning, offering to grab a coffee,
eating lunch together, or simply smiling as you pass in the corridor.
Leaders will need to be
creative about how to build and maintain workplace trust when the usual methods are not
available to them.
The following tips may help leaders continue to maintain trust in remote working environments
in the current context.
Managing Self in Uncertainty
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Manage your own triggers. Fear is not your friend. In uncertain environments, leaders need
to find ways to maintain high levels of curiosity and high levels of empathy rather than be
overwhelmed by their own instinct to self-protect.
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Bring a growth mindset to the current challenges of uncertainty and remoteness
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Glance backwards in order to look ahead. There is no point conducting an inquiry into every
error if it is not oriented to learning. Blame and judgement will undermine trust and performance
faster than any impact of remoteness.
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Accept perfection is impossible.
Standards can still be high. Goals can still be stretch.
However, what is realistic needs to be clear and constantly managed.
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Keep an eye on fixed points. What hasn’t changed? What remains important and enduring?
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Move between different perspectives in your thinking – the short term AND the long term; the
people AND the task; the internal AND the external; the tactical AND the strategic. The more
information you can observe and absorb, the more you can navigate the changes as they
emerge from an uncertain context.
•
Be willing to act and be decisive, but at the same time, build in feedback loops so you can
check if you are on the right path. Think of action steps as prototyping, testing, piloting, and
experimenting with solutions and ideas.
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Be humble and embrace vulnerability. It is OK not to have the answers, just be willing to work
towards finding them.
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Don’t get fixated on ONE idea of how things will work. You could blind yourself to a better
idea.
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If an idea doesn’t work or is no longer working – change it!
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Care for yourself. Be appreciative and consciously exercise gratitude.
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Have compassion for yourself. This is a difficult time. Retreat can sometimes be the best path
forward.
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Don’t make the mistake of thinking that trust building is something you don’t have time for. As
a leader, attending to your staff IS your work.
Managing Others in Uncertainty
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Ensure your intent is understood – the purpose, the key tasks, the key steps and the end state.
This involves being clear about the WHY, even though you may not be able to dictate or control
the HOW and the WHAT of a task.
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You cannot micromanage in a remote working environment, so stop trying!
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Give tightly scoped assignments (who and when to consult, who and when to inform, what is
out of scope, what is in scope, what are expectations around time, cost and quality).
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Coach staff to prioritise and reprioritise their areas of focus as things change.
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Delegation may not be a ‘set and forget’ exercise. In high uncertainty there is good reason to
come together to calibrate and ensure that the original plans remain responsive to changes in
the context, even for the most capable and engaged staff members.
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Be willing to listen with presence, openness, curiosity and no judgement.
This is deeper
listening than you may typically use in a business-as-usual context.
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Communicate clearly – small words, short sentences, 2-3 ideas at a time, dot point, no lingo,
no metaphors.
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Exercise empathy – seek to understand fears, worries and anxieties even if you can’t solve
them.
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Gives lots of genuine and authentic praise and appreciation.
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Look for opportunities to collaborate and connect with others.
Managing Remoteness
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One of the challenges of remoteness is that the non-verbal cues, taken for granted in a faceto-face context, are not as readily available to aid communication. Therefore, look for
opportunities where these cues can still be present. Phone is better than email and video is
better than phone.
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Tame the email warrior. Your message may be lost in an avalanche of email. Develop email
protocols with your team (signals of urgency in the subject line, not cc-ing in people, response
expectations, length, use of headings, upfront statement of what action is required (eg for
noting, for decision, fyi).
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Don’t get locked into one mode of connection – you have documents, phone, email, skype,
slack, zoom, recording messages then sending, recording videos then sending, summary
document text, video-conference). Be intentional and creative about which mode(s) will be
support the communication.
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In an effort to be efficient with communication, don’t forget to be also be connected. People
still need to be in relationship with you. Start interactions by checking in with the team on to
see how they are doing and what’s on their mind. Connect with people before task. Deal with
emotion before calling on logic.
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Talk openly about how remoteness is going to work, then experiment and change it if needed.
Even try deliberately looking for what isn’t working and extract the learnings from it.
•
Remember to ensure communication doesn’t just occur at the group level. You may not be
able to have a coffee catch up with a person at the moment, but a 10 min check-in is still
possible.
PRACTICE MANAGEMENT
COURSE
PROFESSIONAL STANDARDS & ETHICS WORKBOOK
INTRODUCTION
This workbook is designed to be used in conjunction with the course materials and provides you with a range
of Ethical scenario's which you will workshop with the facilitators and other participants.
Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 1
I have been instructed to act unethically…
Sam is a junior partner in a medium sized law firm. The general counsel of a very large client of Sam’s firm
has just called Sam to advise that her employer’s managing director has instructed her to act for the
company in pursuing a damages claim for breach of IP rights against a former senior employee. The GC
knows the former employee very well and acted for him personally over the previous 3 years in several
pieces of commercial litigation in which he was involved. The GC had told the MD that she believed she was
conflicted in the matter and suggested that the company secretary brief external solicitors to act for the
company without her involvement. The MD and the company chairman are now insisting that the GC must
proceed as instructed. The GC fears that she may be dismissed from her employment if she refuses to
comply with those instructions. The GC asks Sam for legal and ethics advice as to what she should do.
Can Sam advise the GC? If so, what should be Sam’s advice?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 2
Click or tap her e to enter text.
We want all your files and records in court!
Sam is a partner in a law firm which has been served with a subpoena to produce documents in a dispute
between a vendor and a purchaser about a piece of real estate. The purchaser had issued SCV proceedings
seeking to restrain the vendors from exercising their rights of termination under a contract of sale. The
purchaser has contended that the vendors had lost their right to terminate. The purchaser’s solicitors issued
the subpoena addressed to Sam’s firm requiring production in court of “all files, records and documents held
by your firm in respect of (the piece of land)”. It has become clear to Sam that a lot of work will need to be
undertaken by Sam and his firm to enable compliance with the subpoena. The return date of the subpoena is
two days away as the matter is in trial.
What should Sam do in response to receipt of the subpoena?
Reference: Hera Project Pty Ltd v Bisognin (No 4) [2017] VSC 270 [paras 43 – 44]
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 3
Look what I’ve discovered…
Sam is a partner in a law firm which acts for the insurer of a surgeon in a personal injury professional
negligence action in the Supreme Court. An investigators’ report relating to the plaintiff indicates that she has
not been entirely truthful in her description of her ongoing disabilities outlined in the statement of claim. Sam
instructs her paralegal to investigate the plaintiff’s social media channels. The paralegal reports to Sam that
she looked at the plaintiff’s public Facebook page and there is material which slightly supports the
investigator’s reports. The paralegal keeps an eye on the FB page and finds that the privacy settings have
been changed. She sends a FB “friend request” to the plaintiff without disclosing her identity and affiliation.
More information prejudicial to the plaintiff’s case is found. The paralegal advises the insurer of this
information which instructs her to immediately commission further investigations to ascertain whether the
information can be confirmed with hard evidence. The paralegal contacts the investigator and authorises a
second investigation. She later tells Sam what she has done.
What, if any, ethical issues may arise for Sam and her firm?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 4
Can I employ my opponent?
Sam is a commercial litigation partner in a large law firm which wants to employ a solicitor, Anne, who left the
employment of another law firm a few months ago. Anne is currently unemployed. Until leaving her firm,
Anne had had the day to day carriage of a major commercial/insurance court action against a current client
of Sam’s firm over a period of about 9 months. Sam was very impressed by Anne’s ability as a tough litigator
in the court action and wants to offer her employment at his firm as a Senior Associate in commercial
litigation. Anne will have nothing to do with the above litigation.
Can Sam employ Anne whilst the case is ongoing? If so how?
Reference: EC Ruling R4766 – October 2015
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 5
Look what I found near the copier
Sam’s firm in the previous scenario has put in place an effective information barrier to quarantine Anne from
anything to do with the court action in which she previously acted for the other side. A compliance officer
from another part of the firm has been appointed. A protocol is in place and relevant undertakings have been
signed. The barrier has included all relevant files and papers being kept in a locked office with a prominent
sign barring entry to Anne and also containing its own dedicated printer and photocopier. Anne went to the
general office photocopier and discovered some quarantined documents left there by an administrative
assistant.
What are Anne’s and Sam’s ethical obligations?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 6
A tricky conflict of interest issue
For the past 10 years Sam’s medium sized law firm has acted for an overseas company A which wholly
owns an Australian subsidiary B. A year ago the CEO of B accepted an appointment as CEO of C which is a
direct competitor of B. Since then, three solicitors in Sam’s firm have provided employment and commercial
legal advice to C where C’s interests were not in conflict in any way with B. A now wishes to sell B to C. A
has asked Sam’s firm to act for it in the sale of B to C. Another law firm will act for C in the transaction.
Can Sam’s firm act for A in the sale of B to C?
Reference: EC Ruling R4917 – February 2017
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 7
What a mess we’ve got ourselves into!
Sam has provided commercial law advice for a long time to company A which manufactures widgets.
Company C comes to see one of Sam’s partners wanting to sue company B (not a client of Sam’s firm) that
also manufactures widgets. The outcome of the matter at issue between C and B would have a very
significant impact on the whole widget manufacturing industry. If C is successful in the litigation, this could
cause enormous difficulty vicariously for client A. Sam’s partner wants to act for C as this will greatly assist
her in meeting her annual fees budget. Obviously, Sam does not want to be involved with anything which
may harm client A’s business.
What does Sam’s firm say to C which only wants to pursue B?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 8
Are you sure you want me to do this?
Sam is a partner in a medium size law firm acting for the respondent in a bitterly contested Federal Court of
Australia commercial dispute. Upon receipt of the applicant’s statement of claim Sam realises that the
applicant’s solicitors have pleaded their client’s case under State legislation which had been repealed. It is
obvious to Sam that the claim should have been pleaded under different State legislation. Sam mentions the
matter to his managing partner who instructs him to say nothing and brief counsel to appear at the first
directions hearing to apply to strike out the claim. Sam is uncomfortable about this direction, but values his
interest in the law firm.
What ethical obligations does Sam have in these circumstances?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 9
I think I may be called as a material witness
Sam is a partner in a law firm acting in a deceased estate in which probate has been granted. Sam prepared
the Will. The deceased was a wealthy bachelor who left large gifts to charities. He had two brothers one of
whom predeceased him leaving 3 adult children. The residue of his estate was left to his two brothers
equally with a provision that the each of the brothers’ children would take their father’s share if their father
died before him. There were two previous Wills also made in substantially similar terms by Sam. The
deceased brother’s 3 children have applied to the SCV to nullify all 3 Wills on the ground that the deceased
had lacked testamentary capacity at all relevant times.
Can Sam or his law firm act for the estate in the SCV application?
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
ETHICS CASE STUDY 10
Can I continue to act?
Sam acted for a plaintiff in a common law personal injury damages action. There were two defendants one of
which was indemnified and represented by a statutory authority. The solicitors for the statutory authority
inadvertently forwarded an email to Sam which was actually meant for their own client. The email “provided
opinion as to quantum, liability, apportionment between defendants and negotiation tactics”. At the request of
the solicitors for the statutory authority Sam destroyed the email, but did not inform her client of the
inadvertent disclosure of confidential information.
Can Sam continue to act for the plaintiff in the action?
Reference: EC Ruling R4872 – November 2015
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Practice Management Course
Copyright Law Institute of Victoria Ltd 2018
PRACTICE MANAGEMENT
COURSE
TRUST ACCOUNTING
WORKSHOP SCENARIO
Smith & Partners – Property Conveyance
Smith & Partners act for some large property developers. Transactions by Smith & Partners clients in this
area include purchasing and selling of properties, subdivision legal work, and sales of apartments “off the
plan of subdivision”.
In this matter they are acting for, Bell Properties Pty Ltd, whose representative is Andrew Bell, the owner and
managing director. The secondary contact is Mr Bell’s wife, Angela, who is also a director of the company.
All bills of cost have to be approved by Mr Bell or his wife before they can be paid.
Each client is given a Costs Disclosure with an estimate of total costs, and an update as the matter
proceeds. In this matter the Costs Disclosure is signed and returned by the client. This Costs Disclosure
includes an estimate for costs of legal work on the subdivision of $40,000.00 and an estimate for the cost of
each sale of an apartment of $2,000.00. There are 40 apartments in the proposed plan of subdivision. The
total legal costs for this project should equal $120,000.00.
In this matter the senior partner is Mr Graeme Smith and the junior solicitor is Ms Dianne Jones.
A costs advance of $20,000.00 is paid by Bell Properties Pty Ltd to cover initial legal work on the plan of
subdivision.
These apartments will be sold off the plan with a clause in the contract of sale specifying that the deposit
money will be held in a controlled money account of Smith & Partners on behalf of both parties in the
contract until the plan is registered.
Smith & Partners submit an $8,000.00 interim bill (Bell 001) to Mr Bell for legal work done on the plan of
subdivision.
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The interim bill (Bell 001) is paid with a company cheque from Bell Properties for $8,000.00.
5 apartments are sold off the plan for a total of $1,500,000.00 ($300,000.00 each). The deposits for these
sales totalling $300,000.00 (20% each) are paid to Smith & Partners by the agents.
Smith & Partners submit another interim bill (Bell 002) to Mr Bell of $20,000.00 for further legal work
completed on the plan of subdivision. The bill was prepared on 31 May XXXX.
A bill of costs of $10,000.00 (Bell 003) for legal work completed on the sales of 5 apartments is submitted to
Mr Bell ($2,000.00 each).
Smith & Partners withdraw $20,000.00 from the trust account on 4 June XXXX transferring funds to the office
account as payment of interim bill (Bell 002).
5 more apartments are sold off the plan for a total of $2,000,000.00 ($400,000.00 each). The deposits for
these sales totalling $400,000.00 (20% each are paid to Smith & Partners by the agents.
Smith & Partners submit a final bill (Bell 004) of $12,000.00 for the remainder of the legal work completed on
the plan of subdivision.
A bill of costs of $10,000.00 (Bell 005) for legal work completed on the sales of another 5 apartments is
submitted to Mr Bell ($2,000.00 each).
The final bill (Bell 004) is paid with a company cheque from Bell Properties Pty Ltd for $12,000.00. This is
banked into the trust bank account by Smith & Partners.
Two bills (Bell 003 and Bell 005) totalling $20,000.00 are paid with a company cheque from Bell Properties
Pty Ltd.
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QUESTIONS
In your tables, workshop responses to the following questions:
1. Identify any trust money arising from the handling of claims by Smith and
Partners as defined in the Legal Profession Uniform Application Act 2014 (the Act),
and the reason(s) the amounts satisfy the definition of trust money.
2. Identify any other Act or Rule considerations in the handling of trust money by
Smith & Partners.
3. What sections of the Act or Rule numbers would be covered by the trust activities
of Smith and Partners in this case?
Click or tap her e to enter text.
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