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FOREWORD
This manual is primarily intended to guide present and future
employees of the company. This shall serve as a guide in
operation and administration of the office. This Office
Procedures Manual outlines the detail of proper office function
fromanswering the phone to using the computer systems. Procedure
used in the law office is described as well as who is responsible
for them. One of its purpose is to eliminate any confusion about
procedures andresponsibilities. This addresses issues such as use
of technology and proper attire to avoid problems in the future.
This Office Procedures Manual also includes personnel employment
policy and benefits. The office holiday schedule, office hours,
and protocols for requesting time are specified in the policy.
Study this handbook and keep it with you always. Make it is a
constant guide as you continue performing your duties and
responsibilities in the company.
Antonio &Encanto Law Offices
Room 107 Sterling CentreDela Rosa St. Legaspi Village
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TABLE OF CONTENTS
Title 1
Foreword 2
Table of Contents 3
Section 1 Personnel 8
Part 1 General Policies 8
1.1.1 Equal Opportunity Employer
8
1.1.2 Family and Medical Leave of Absence Policy
8
1.1.3 Confidentiality Policy
9
4
1.1.4 Internet, computer, and telecommunication’s protocol
9
1.1.5 Policy against Sexual Harassment
10
Part 2 Employment 12
1.2.1 Employee Classification 12
1.2.2 Probation Period 13
1.2.3 Personnel Records 13
1.2.4 Termination of Employment
14
Part 3 Personal Conduct 14
1.3.1 Personal Attire 14
1.3.2 Cleanliness and Orderliness at Work:
15
1.3.3 Office supplies and equipment 15
Part 4 Hours of Work 15
1.4.1 Regular work schedule 15
1.4.2 Timekeeping reports 15
1.4.3 Tardiness 16
1.4.4 Lunch and Coffee breaks 16
Part 5 Compensation 16
1.5.1 Salary 16
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1.5.2 Payment of salary 16
1.5.3 Overtime 17
1.5.4 Bonuses 17
1.5.5 Expense reimbursement 17
1.5.6 Annual Income Tax Returns
18
Part 6 Benefits 19
1.6.1 Group Medical Insurance Plan for Employees
19
1.6.2 Recreation Programs 19
Part 7 Holidays, Vacations, Sick Leave
19
1.7.1 Availment of Vacation Leaves 19
1.7.2 Availment of Sick leave 19
1.7.3 Availment of Maternity Leave 20
1.7.4 Availment of Paternity Leave
20
Section 2 Office Structure 21
Part 1 Job Descriptions 21
2.1.1 Secretary’s Duties and Responsibilities
21
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2.1.2 Receptionist’s Duties and Responsibilities
22
2.1.3 Office Assistant’s Duties and Responsibilities
22
2.1.4 Messenger Clerk’s Duties and Responsibilities
23
Part 2 Office Structure 24
2.2.1 Office Map 24
2.2.2 Reception Area 25
2.2.3 Beverages Area 25
2.2.4 Library 25
2.2.5 Mail Pickup 25
2.2.6 Building Information
25
2.2.7 Parking 25
Part 3 Supplies and Equipment 25
2.3.1 Office Supplies 25
2.3.2 Office Equipment and machineries
26
Section 3 Office Procedures 27
Part 1 Security 27
3.1.1 Office Access 27
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3.1.2 Shredding Policy 27
Part 2 Representing the Firm 27
3.2.1 Greeting Clients and Visitors
27
3.2.2 Informing the Client 28
3.2.3 Client Confidentiality
28
3.2.4 Telephone Answering 29
Part 3 Representing Clients
29
3.3.1 Engagement Letters 29
3.3.2 Non-engagement Letters 29
3.3.3 Disengagement Letters 30
Part 4 Office Filing System
30
3.4.1 Telephone and E-mail List. 30
3.4.2 File Management 31
3.4.3 File Numbering, Recording and Labeling 31
3.4.4 Special Categories of Files 32
3.4.5 Taking Out Files 32
3.4.6 New File Opening Procedure
32
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3.4.7 Conflicts File 33
3.4.8 Responsibility for Maintenance of the Conflicts File
34
3.4.9 Closed Files 34
3.4.10 Bill and Fee Agreement Files
34
3.4.11 Confidential Files 34
3.4.12 Opinion Files and Miscellaneous File
35
Part 5 Docket Control System 35
3.5.1 Calendaring Procedure 35
3.5.2 Tickler System 35
3.5.3 How to use the Tickler System 36
3.5.4 Items to Calendar 36
3.5.5 Responsible Parties 37
3.5.6 Making Appointments 37
Part 6 Communications 37
3.6.1 Telephone, Faxes, E-mail 37
3.6.2 Regular Mail Procedures 38
Part 7 Finance 39
3.7.1 Introduction 39
3.7.2 Timekeeping 39
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3.7.3. Billing Statements 40
3.7.4 Clients Cost Advanced 40
3.7.6 Client Trust Funds 41
3.7.7 Cash advances and Reimbursement of Expenses
43
3.7.8 Petty Cash 43
Section 4 OFFICE FORMAT AND SAMPLE FORMS 47
Part 1 Samples of Office Format 47
4.1.1 Introduction 47
4.1.7 Memoranda 47
Part 2 Samples of Office Forms 48
4.1.1 Introduction 48
4.1.9 Confidentiality Forms 49
4.1.9 Other Office Sample Forms 50
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Section 1 PERSONNEL
Part 1 General Policies
1.1.6 Equal Opportunity Employer
It always has been and continues to be Partnership’s policy
that employees should beable to enjoy a work environment
free from all forms of unlawful employment discrimination.
All decisions regarding recruiting, hiring, promotion,
assignment, training, termination, and other terms and
conditions of employment will be made without unlawful
discrimination on the basis of race, color, national origin,
ancestry, sex, sexual orientation, gender identity or
expression, religion, age, pregnancy, disability, work-
related injury, covered veteran status, political ideology,
genetic information, marital status, or any other factor
that the law protects from employment discrimination.
Individuals will be selected for promotion based on skill
and ability. Where skill and ability are equal, then length
of continuous employment will be the determining factor.
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1.1.7 Family and Medical Leave of Absence Policy
Vacation Leaves
The Partnership recognizes that an employee needs respite
from work regularly to recharge or rejuvenate, or to attend
some personal matters. For this purpose the Partnership
grants vacation leaves to its employees. The employee is
entitled to receive a Vacation leave credit for every month
of service or a total of twelve (12) paid vacation leave
credits calendar per year. Vacation leave credits are earned
from hiring date but may be used only on the 7th month of
employment.
Sick Leave Policies
The company grants sick leave credits to enable an employee
to recover from illness and to earn benefits including
salary despite absence from work. All employees including
those on probation are entitled to sick leave credits for
every calendar year. Accumulation of unused sick leave
credits is allowed up to a maximum of three (3) years.
However, unused sick leave credits are not commutable or
convertible to cash.
1.1.8 Confidentiality Policy
Every member of a law office, from partners to the file
clerk, is under a strict obligation to protect the privacy
and secrets of clients. Disclosure of a client confidence is
one of the most serious errors you can make. Penalties could
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include immediate termination of employment and other
disciplinary actions.
1.1.9 Internet, computer, and telecommunication’s protocol
Playing music, watching tv, using personal videos within the
office premises
Playing loud music, listening to radio, watching TV or
personal videos within the office premises using the
Partnership’s equipment/facilities at anytime are strictly
not allowed by the Partnership at all times (except during
social activities sponsored by the Partnership for its
employees or clients/guests).
Use of the Telephone
The telephone is our best public relations tool. It is a
very convenient instrument for doing our transactions. Yet
it can also be detrimental to the Partnership if not handled
properly. More often than not, the impression created by way
of our response over the telephone will project the image of
what our Partnership is.
It is because of this concern that one is required, as an
employee to practice telephone ethics. The employee is
expected to communicate a sense of professionalism, tact and
diplomacy whenever you use this medium. As such, the
employee will be taking advantage of every opportunity to
create Partnership goodwill.
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Always remember to relay a positive disposition whenever you
are talking with somebody in the telephone. Cordial
greetings such as “Good Morning”, “How May I Help You”, will
aid you in communicating an air of pride and desire to be of
service.
To maximize its use, the telephone should be used for
official business only. The phone is intended for business
use. Personal calls are discouraged unless necessary and
should be with prior approval from the immediate superior.
Electronic Mail Policy
Email is a business tool which should be used for business
communication among employees and other authorized users.
All users are required to use this resource in an efficient,
ethical and lawful manner and solely for business purposes
only. All users are required to adhere to the same standards
for email as expected for written business communications or
public meetings. All email communication, including
information stored, transmitted and received or contained in
the Company’s mails systems are the sole property of the
Partnership.
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No user is entitled to an expectation of privacy with
respect to email communications. The Partnership reserved
the right to monitor, disclose, and product copies of email
transmissions at any time without notice. The Partnership
reserved the right to monitor the use of its email systems
and equipment including phone lines, computers, and software
and storage devices.
1.1.10 Policy against Sexual Harassment
This policy is implanted in compliance with Republic Act No.
7877 (Anti Sexual Harassment Act of 1995)
Declaration of Policy. - The State shall value the dignity of
every individual, enhance the development of its human
resources, guarantee full respect for human rights, and
uphold the dignity of workers, employees, applicants for
employment, students or those undergoing training,
instruction or education. Towards this end, all forms of
sexual harassment in the employment, education or training
environment are hereby declared unlawful.
Work, Education or Training -Related, Sexual Harassment Defined. - Work,
education or training-related sexual harassment is committed
by an employer, employee, manager, supervisor, agent of the
employer, teacher, instructor, professor, coach, trainor, or
any other person who, having authority, influence or moral
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ascendancy over another in a work or training or education
environment, demands, requests or otherwise requires any
sexual favor from the other, regardless of whether the
demand, request or requirement for submission is accepted by
the object of said Act.
(a) In a work-related or employment environment, sexual
harassment is committed when:
(1) The sexual favor is made as a condition in the
hiring or in the employment, re-employment or
continued employment of said individual, or in
granting said individual favorable compensation,
terms of conditions, promotions, or privileges; or
the refusal to grant the sexual favor results in
limiting, segregating or classifying the employee
which in any way would discriminate, deprive
ordiminish employment opportunities or otherwise
adversely affect said employee;
(2) The above acts would impair the employee's
rights or privileges under existing labor laws; or
(3) The above acts would result in an
intimidating, hostile, or offensive environment
for the employee.
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(b) In an education or training environment, sexual
harassment is committed:
(1) Against one who is under the care, custody or
supervision of the offender;
(2) Against one whose education, training,
apprenticeship or tutorship is entrusted to the
offender;
(3) When the sexual favor is made a condition to the
giving of a passing grade, or the granting of honors
and scholarships, or the payment of a stipend,
allowance or other benefits, privileges, or
consideration; or
(4) When the sexual advances result in an intimidating,
hostile or offensive environment for the student,
trainee or apprentice.
Any person who directs or induces another to commit any act
of sexual harassment as herein defined, or who cooperates in
the commission thereof by another without which it would not
have been committed, shall also be held liable under this
Act.
Employees who believe they have been subjected to any form
of prohibited harassment by any staff in the Partnership
should immediately notify the Chief Human Resources Officer
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or to the attention of someone in the position of
responsibility.
Sexual harassment amounts to disgraceful and immoral
conduct. Such conduct is punishable with suspension or
dismissal depending on the gravity of the act committed.
Part 2 Employment
1.2.1 Employee Classification
Probationary Employment
Probationary employment shall not exceed six (6) months from
the date the employee started working, unless it is covered
by an apprenticeship agreement stipulating a longer period.
The services of an employee who has been engaged on a
probationary basis may be terminated for a just cause or
when he fails to qualify as a regular employee in accordance
with reasonable standards made known by the employer to the
employee at the time of his engagement. An employee who is
allowed to work after a probationary period shall be
considered a regular employee.
Regular Employee
An employee who has completed the probationary period and
allowed to continue shall be a regular employee. A regular
employee shall enjoy all the benefits Labor Law provides as
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well as additional benefits the company grants its regular
employee, in accordance with his position and employment
contract.
1.2.2 Probation Period
It is customary for any employee to require some time to
adjust to a new work environment, regardless of the amount
of experience and training gained from other companies.
Thus, the effective performance on the job will not only
depend on the abilities and skills of the employee but also
on the ease by which you are able to adjust to the existing
system and work within it. With this in mind the Partnership
has provided for an adjustment period of 6 months referred
to as the probationary period.
After the completion of the probationary period, the
employee’s performance will be reviewed and if the
performance is satisfactory, employment will be made
regular.
The services of a probationary employee may be terminated
when employee fails to qualify as a regular employee based
on the Partnership’s performance standards which were made
known to the employee at the time of employment engagement.
1.2.3 Personnel Records
Employees are required to submit certain personal records to
the Partnership. Such information shall remain confidential.
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The employees should inform the Partnership of any changes
in his/her personal status for the following reasons:
Correct personal information will ensure updated,
complete and accurate coverage in insurance,
healthcare and other benefit plans.
The Partnership may need to use the information
on the employee’s behalf in case of emergencies.
The following information should always be updated:
Name
Home Address
Marital Status
Number and names of qualified dependents for
statutory tax and benefits programs
Beneficiaries, if any of employee for health and
insurance plans
Name of person to notify in case of emergency
1.2.4 Termination of Employment
Resignation
If for one reason or another, the employee decide to leave
the Partnership, the employee is required to submit a letter
of resignation addressed to the Managing Partner at least
thirty (30) days before the effective date of the
resignation.
Termination for just causes
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The Partnership may terminate employment service of an
employee for any of the following just causes:
1. Violation of Partnership Policies.
2. Other lawful cases as enumerated in the Labor Code.
3. Serious misconduct or wilful disobedience by the
employee of the lawful orders of his/her employer or
representative in connection with the work.
4. Gross and habitual neglect by the employee of
his/her duties.
5. Fraud or wilful breach by the employee of the trust
reposed in him/her by the employer or duly
authorized representative.
6. Commission of a crime or offense by the employee.
7. Other causes analogous to the foregoing.
Part 3 Personal Conduct
1.3.1 Personal Attire
The Partnership encourages employees to dress comfortable
with consideration given to maintain a professional
appearance. Appropriate attire should be worn at all times
in keeping with commonly recognized standards. It is
expected that all employees report to work in the proper
attire, neat, and well groomed. Personal cleanliness is a
MUST for all employees for the health and well-being of all
whom the employees transact with. The Institution is
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concerned with the health and well-being of each person
entrusted to its care. Each employee is expected to show
similar concern for his health and the health of others.
1.3.2 Cleanliness and Orderliness at Work:
Always maintain your work stations safe, clean and neat at
all times.
The Partnership discourages employees to display the
following personal items in their work stations:
Cosmetics, makeup and makeup kits
Stuffed toys
Toiletries
Soiled clothes, socks, handkerchiefs
Blankets, pillows
Personal items such as picture frames, calendars, figurines,
table clocks are allowed provided they do not distract other
employees in their work performance. As much as possible,
personal effects should be used minimally and placed on top
of tables and not mixed with official files.
1.3.3 Office supplies and equipment
All office supplies and equipment should be used for
official purposes only.
Part 4 Hours of Work
1.4.1 Regular work schedule
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The Partnership observes a regular work schedule that runs
for eight hours a day. 5 days work week.
Monday to Friday 8:00 am to 12:00 noon, 1:00 pm
to 5:00 pm
1.4.2 Timekeeping reports
All employees are required to submit a Timekeeping report to
the Managing Partner every payroll period, following this
submission schedule:
Payroll period 1-15 = Submit TR on or before 18th of
the current month
Payroll period 16-31 = Submit TR on or before
3rd of the following month
The timekeeping report shall be the sole basis for the
payment of the employee’s salary.
1.4.3 Tardiness
The partnership requires all employees to register their
time-in into the timekeeping log book to record daily
attendance and arrival and departure time.
The company recognizes the fact that there are factors which
can affect an employee’s attendance in the office. As such,
the Partnership allows employees to incur tardiness up to
six (6) times during the month
Tardiness is charged against the employees' payroll for the
period covered. If the time-in exceeds 8:15 am, salary
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deduction charges to be computed from 8:16 am. Excessive
tardiness of an employee may be a cause for imposing
disciplinary action.
1.4.4 Lunch and Coffee breaks
Every employee is entitled to a one-hour lunch break
everyday.
Going out of the office premises or overstaying in
designated dining area/pantry to eat late breakfast, early
lunch/dinner or snacks which exceeds the allowable 15-minute
allowable period should be avoided.
Part 5 Compensation
1.5.1 Salary
It is the policy of the Partnership to give just, fair and
equitable salary to its employees. The Partnership’s
compensation practices are regularly reviewed and maintained
to ensure these clearly reflect the requirements of the law
as enumerated in the Labor Code and other relevant wage
regulations.
1.5.2 Payment of salary
The Partnership will pay the employees’ salary every two
weeks through an automatic teller machine (ATM) account
which the employee is required to open in a bank the
Partnership will specify. The net salary of the employee
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will be credited to the bank account every 15th and 31st of
the month, unless management specifies other pay date as it
deems necessary.
1.5.3 Overtime
Overtime is work authorized by the Partnership to be
performed beyond the employee’s regular work hours. On
regular working day, overtime is work beyond the eight hour
regular work hours.
Such work shall be compensated according to what the law
provides.
1.5.4 Bonuses
All employees will receive a 13th month pay on or before
December 25 of each year. The 13th month pay is equivalent
to 1/12 of the total basic salary earned by the employee
within a calendar year. If an employee worked less than one
(1) full year, employee will still earn 1/12 of what was
earned during the year.
All employees are entitled to receive a 14th month bonus
which is payable every May 15th of each year. The 14th month
pay is equivalent to one month basic salary of the employee
as of May 15. However, the 14th month bonus is pro-rated if
employee has less than 1 year tenure with the Partnership as
of May 15.
1.5.5 Expense reimbursement
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The Partnership will reimburse covered out-of-pocket
expenses to the extent they are reasonable, necessary, and
otherwise not recoverable as set forth herein. The
appropriateness of reimbursements will be determined on a
case-by-case basis.
The Partnership will consider paying for certain
activities such as membership dues, conferences, seminars,
sponsorships, or attendance at events that meet the
following criteria:
1. If joining an organization, the organization should
meet on a regular basis, preferably no less than
eight times per year. The attorney must attend all
regularly conducted meetings of the organization.
2. Within six months of joining an organization, the
attorney must become an active member in the
organization by taking a leadership role or joining
a committee.
3. The organization’s membership should consist of
individuals who are potential clients or referral
sources for the attorney or firm.
4. The attorney must report on whether the money spent
by the firm for the attorney’s business development
activity has been worthwhile. Associate attorneys
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should report to their mentor during the semi-annual
and annual associate review process, and
shareholders should report to the executive
committee prior to approval of the annual budget.
Attorneys should consider reporting on the following
1.5.6 Annual Income Tax Returns
Employees who are qualified for substituted filings are no
longer required to file Income Tax Return with the Bureau of
Internal Revenue (BIR). However, the employer should furnish
the employees with the original and duplicate copies of BIR
Form No. 2316 or Certificate of Compensation Payment/Tax
Withheld on or before January 31 of the succeeding calendar
year, or if employment is terminated before the close of
such calendar year, on the day on which the last payment of
compensation was made.
Substituted filing applies only if all of the following
circumstances are present:
The employee receives purely compensation income
(regardless of amount) during the taxable year;
The employee receives income only from one employer
during the taxable year;
The amount of tax due from the employee at the end of
the year equals the amount of tax withheld by the
employer;
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The employee’s spouse also complies with all three
conditions stated above.
Part 6 Benefits
1.6.1 Group Medical Insurance Plan for Employees
Upon hiring, the employee is provided with automatic
coverage to the company-provided group medical insurance
plan. The group medical insurance plan for employees is non-
contributory, thus, the Partnership pays for the full
premium cost.
1.6.2 Recreation Programs
The Partnership will offer regular recreation programs
designed to promote personal growth and development to
refine leadership skills through a comprehensive and diverse
recreation opportunities. These consist of informal
gatherings to celebrate significant Partnership milestones
and some structured activities and programs such as the
annual excursion and Christmas party.
Part 7 Holidays, Vacations, Sick Leave
1.7.1 Availment of Vacation Leaves
An employee may start using vacation leave credits after
completing six months of continuous service or during the
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seventh month of employment. An employee may submit the
application for leave form two weeks before the scheduled
date of vacation. An employee may be asked to change the
date of vacation leave if the work schedule does not permit
the employee to go on leave during the preferred leave
dates.
1.7.2 Availment of Sick leave
An employee earns one paid sick leave credit per month of
service or a total of twelve (12) sick leave credits per
calendar year. Sick leave credits are earned from date of
hire but may only be used on the second month of employment.
An employee can only charge sick leave if reasons is due to
employee’s illness/sickness or any medical related
conditions which prevented employee from reporting to
office.
Sick leaves are normally unplanned and unscheduled. In cases
unplanned sick leaves, it is the responsibility of the
employee to notify the immediate superior about such leave
within 24 hours of start of leave. Three consecutive sick
leaves incurred will require employee to present
substantiating documents as evidence of sickness/medical
illness such as medical certificate from attending
physician.
1.7.3 Availment of Maternity Leave
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Female employees who are covered by the Social Security
System (SSS) law are entitled to avail of maternity leave as
stipulated in the provisions of Presidential Decree no. 1202
(issued in September 1997)
The maternity leave period of an employee may enjoy is based
on existing SSS laws. For normal delivery, 60 calendar days
while for caesarean section delivery is 78 calendar days.
The Partnership will grant female employee maternity leave
benefits up to four maternity cases, as approved by SSS.
1.7.4 Availment of Paternity Leave
Paternity leave is extended by the Partnership to any
married male employees, cohabiting with his legitimate/legal
wife at the time of child’s birth. It is available only for
the first four deliveries/miscarriages. The leave shall be
for seven work days with full pay consisting of basic salary
and mandatory allowance.
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Section 2 OFFICE STRUCTURE
Part 1 Job Descriptions
2.1.1 Secretary’s Duties and Responsibilities
The Secretary is responsible for assisting attorneys in the
law office by performing clerical and administrative duties.
The Secretary is be responsible for the following:
Support attorneys in a legal setting.
Prepare correspondence and legal papers such as
summonses, complaints, motions, and responses, under
the supervision of an attorney.
Review legal journals and assist with legal research.
Prepare documents for submission to the courts.
Takes and transcribes dictation.
Arrange appointments, schedule meetings and arrange
conference rooms.
Alert attorneys about cancelations or new meetings and
appointments.
Update calendars and docket.
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Handle information requests.
Prepare correspondence and stuff mail into envelopes.
Prepare confidential and sensitive documents.
Coordinates office management activities.
Determine matters of top priority and handle
accordingly.
Prepare agenda for meetings.
Operate office equipment, such as photocopy machine and
scanner.
Receive and relay telephone messages.
2.1.2 Receptionist’s Duties and Responsibilities
The Receptionist is responsible for handling front office
reception and clerical duties, including greeting guests and
offering them a beverage, answering phones, handling company
inquiries, and sorting and distributing mail.
The Receptionist is responsible for the following:
Greet visitors warmly and make sure they are
comfortable.
Answer phones and route calls to specific people.
Answer inquiries about company.
Coordinate mail flow in and out of office and arrange
for outgoing mail and packages to be picked up.
Validate parking tickets and issue parking passes.
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Sort and collate mail.
Place mail in proper buckets for distribution, open
envelopes and dispose of junk mail.
Date stamp all incoming mail.
Sort mail such as returned letters, adjustments, bills,
orders, and payments.
Receive outgoing mail and apply correct postage.
Assist in the filing, and other clerical duties.
Ensure reception area is tidy.
2.1.3 Office Assistant’s Duties and Responsibilities
The Office Assistant’s is responsible for performing an
office's administrative activities and managing the office's
information database.
The Office Assistant is responsible for the following:
Operate file management system.
Compiles, stores, and retrieves company information.
Retrieve files for personnel.
Organize and maintain paper and electronic files.
Utilize office equipment, including fax machines,
photocopiers, scanners, and telephone systems.
Create spreadsheets and input data, and perform data
entry.
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Review incoming memos, submissions, and reports and
respond appropriately.
Maintain hard copy and electronic filing system.
Answer phones and greet clients warmly.
Perform basic bookkeeping duties.
Restock supply closet with printing paper, ink, pens,
paper clips, staplers, files and folders, and
correction fluid and ensure office is adequately
stocked with mail supplies.
2.1.4 Messenger Clerk’s Duties and Responsibilities
The Messenger Clerks is responsible for delivering documents
and other effects and must ensure that documents are handled
with care and delivered in a time efficient manner as well
as run other errands such as paying bills.
The Messenger Clerk is responsible for the following:
Deliver letters/correspondence forms, billings and
other related official business documents
Delivers check payments to PLDT, MERALCO, BIR, and
other governing entities.
Coordinate with the Receptionist in collecting,
receiving, sorting and distributing incoming and
outgoing mails.
Assist in the filing and retrieval of correspondence
and documents.
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Performing any other duties as assigned by the
partners.
Part 2 Office Structure
2.2.1 Office Map
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The receptionist is responsible of ensuring that the
reception is tidy and comfortable for waiting client.
Magazines and newspapers shall be updated for clients to
read while waiting.
2.2.3 Beverages Area
There’s a coffee maker and water dispenser in the conference
room. Coffee and water are available of the personnel,
clients and visitors. The receptionist is responsible for
monitoring the supply coffee and water.
2.2.4 Library
There’s a mini library at the corner left side of the main
office.
2.2.5 Mail Pickup
The receptionist shall be responsible in receiving mails.
Mails and packages required to be picked up shall be the
responsibility of the messenger clerk whether at the lobby
of the building, the postal office, or other locations.
2.2.6 Building Information
The entrance of the office building opens at 7:00am and
closes at 9:00pm from Monday to Saturday. It is closed on
Sunday. The exit on the left side of the building is open 24
hours seven days a week. The building has common toilet for
tenants and visitors. The Men’s toilet is at the left end of
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the hallway and the women’s toilet is at the right end of
the hallway.
2.2.7 Parking
The company is leasing a parking space at basement of the
building. The building provides parking area paid on hourly
basis for visitors. The receptionist is responsible for
validating parking tickets and issuing parking passes.
Part 3 Supplies and Equipment
2.3.1 Office Supplies
It is the office assistant’s responsibility to restock
supply closet with printing paper, ink, pens, paper clips,
staplers, files and folders, and correction fluid, and to
ensure office is adequately stocked with mail supplies. The
office assistant shall keep an inventory of the office
supply which shall be updated on a weekly basis.
2.3.2 Office Equipment and machineries
It is the office assistant who is responsible in maintaining
and operating office equipment and machineries. For other
personnel, make sure to read the manuals of the equipment
and machineries before operating them.
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Section 3 OFFICE PROCEDURE
Part 1 Security
3.1.1 Office Access
All employees shall be given a door access card which will
be used in gaining entry to and /or leaving the office
premises. For employees who have no door access card or have
not yet been issued with, the entrance to and exit from the
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office premises will be administered by the receptionist or
security personnel assigned at the lobby.
Employees are not allowed to lend their door access card to
their colleagues anytime. In case of defective door access
card, employee should report it immediately in writing. In
case of resignation, an employee is required to surrender
the door access card to the Partnership.
3.1.2 Shredding Policy
It is important to shred all documents that contain any of
confidential information. A locked shredding container is
located in a strategic location in the office. Documents to
be shredded should be place in the appropriate container and
should not be left to accumulate. The decision to “shred or
not to shred” should be answered by the statement: if you
can’t decide and it is no longer being used, shred it. As
containers are filled, maintenance staff will replace with
an empty bag and the filled bag will be emptied into locked
bins.
Shredding bins are for confidential information only,
recycling guidelines are provided for documents that do not
contain confidential information.
Part 2 Representing the Firm
3.2.1 Greeting Clients and Visitors
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It is the duty of the receptionist to greet clients and
visitors as pleasant as possible. Immediately attend to the
visitors and guide them to the proper person or offer the
couch in the reception are and the magazines and newspapers
if they have to wait. Coffee or water shall be offered for
the convenience of the clients or visitors. The
receptionist, as well as the other personnel shall make the
clients or visitors feel welcome and comfortable while
visiting the office. Office personnel shall be courteous and
understanding to the client’s situation.
3.2.2 Informing the Client
It is the duty of the lawyer with the assistance of the
secretary to keep the client informed. Send the client
copies of correspondence and/or pleadings. He/she may not
understand them, but will be happy you sent them anyway. The
secretary shall take notice of dormant cases. If the case is
to remain dormant for quite some time, notify the client and
explain the reason for the delay.
3.2.3 Client Confidentiality
Every member of the law office, partners and personnel, is
under a strict obligation to protectthe privacy and secrets
of clients. Disclosure of a client confidence is one of the
most serious errors one can make.
The law office is an exciting place. You’re privy to
information others don’t have. You learn interesting things
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about prominent people. Do not to share this news with
outsiders, including friends and family.
Following are some guidelines to remember in maintaining
client confidentiality:
• Don’t discuss business outside the office.
• Never discuss one client’s business with another
client.
• Remember that your duty of confidentiality continues
even after the case is closed. It also continues after
you leave the firm.
• Be wary when clients or strangers want to use your
office or an attorney’s office to make a fewtelephone
calls. Make sure no client files or documents are
visible.
• Never release information to callers such as a
client’s accountant or an insurance adjuster without
authorization.
• Be careful when disposing of confidential papers,
including rough drafts or duplicates. Use shredders or
other secure disposal methods for sensitive materials.
All employees are required to sign the confidentiality
forms, at the beginning of their employment which shall be
included in their personnel files.
3.2.4 Telephone Answering
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Whether the new potential client is a referral or someone
who has seen your marketing material, take care in the
manner in which you conduct initial telephone interviews.
Follow the standard form to gather necessary information to
conduct a proper conflicts of interest check. Remember that
confidential information gathered during a telephone inquiry
in which a potential client in good faith is seeking legal
counsel could disqualify the office from representing a
current client with a conflict of interest. However, it is
also important that the potential client feels like you
consider them a person and not just a potential case.
Part 3 Representing Clients
3.3.1 Engagement Letters
Once one of the partners has agreed to represent a client,
the secretary shall execute an engagement letter that
establishes the attorney’s duties and fees. The purpose of
the engagement letter is to avoid misunderstandings,
providing the client with written documentation of the
services that the attorney will provide and expectations of
the client.
3.3.2 Non-engagement Letters
If, for any reason the attorneys decide not to pursue
representation the secretary shall follow it up with a non-
engagement letter. This letter will serve to protect you in
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the office in the future. A non-engagement letter should be
courteous and thank the potential client for visiting your
office and acknowledge the reason for not taking the case.
Without commenting on the merit of the case, advise the
client of the right to seek a second opinion and that time
limitations will apply.
Retain copies of non-engagement letters to rebut any
potential claim of representation that may arise.
3.3.3 Disengagement Letters
When the matter comes to a close, it is important to
terminate representation properly so that all parties are
aware that the relationship has concluded. The secretary
shall send a dis-engagement letter indicating to a client
that representation has concluded. State clearly the reason
for terminating the representation and that no further
actions will be taken on the client’s behalf. If there is an
unresolved related issue not covered by the representation,
indicate such information as well. Informing the client of
any related unresolved issues and that time limitations
apply will assist in preventing future claim that the client
considered all matters resolved or covered by the
representation.
Include the final bill with the dis-engagement letter, even
if there is a zero balance. If a refund is due to the client
for unearned fees, include it as well. This allows the
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attorney to settle the account with the client in a timely
manner.
Return original documentation to the client with the dis-
engagement letter. This includes all belongings that the
client provided you for the representation. Thank the client
for the opportunity to assist them with their matter.
For the repeat client, send a dis-engagement letter for each
matter to ensure that they know that this particular case is
concluded, and open any subsequent cases with the
appropriate engagement letter.
Again, copies of dis-engagement letters should be kept in
the client file.
After your letters have been sent, confirm with the persons
that they actually received it, and document this fact.
Part 4 Office Filing System
3.4.1 Telephone and E-mail List.
A separate telephone and e-mail list of all clients and
contact shall be kept and updated by the receptionist. The
receptionist is in-charge of monitoring and filing the
telephone log, fax log and e-mail log.
3.4.2 File Management
The Office Assistant shall be responsible in operating the
filing system. The office adopts centralized filing system.
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The office maintains a permanent client list in a Microsoft
excel with the names of former and present clients,
including one time consultations, arranged alphabetically. A
hard copy shall be printed regularly.
3.4.3 File Numbering, Recording and Labeling
The Office Assistant shall be responsible in operating the
filing system. The office adopts centralized filing system.
Documents are filed by assigned permanent file numbers. Each
new client is assigned a permanent client number, according
to the date of their first consultation and the number of
possible new clients on the said date, then followed by a
dash and a sequential number for each new file opened for
that client.
Year Month Date Number 15013106
First File 15013106-1
Second File 15013106-2
Third File 15013106-3
Example:
Arlene Mabuti’s first consultation is on December 5,
2014, and she is the second possible new client on that
date, her file number is 14120503.
14- stands for 2014,
12 - for December,
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05 - for the date of the day, and
03 - for being the third possible new client.
Her first file, legal separation, is 14120503-1.
Her second file partition, is 14120503-2.
3.4.4 Special Categories of Files
The office uses color coded expanding file envelopes and the
documents are separated into files and sub-files within the
pockets using color coded manila folders. It’s yellow for
civil case, red for criminal case, and green for
administrative case. Sub-files and labeled according to class
or type of documents. Each client file may contain sub-files
for:
Communications, including: correspondence; memorandums to
file or notes of conversations; meetings; or telephone
calls arranged chronologically
Substantive memorandums and investigations
Original documents
Retainer letter
Rirm accounts and billing information
Legal research
Undertakings to be satisfied
Others, as appropriate to the file.
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3.4.5 Taking Out Files
There office has a sign out system which make use of blue
file folders labeled “out” with columns on the cover for the
date, the name and number of the file or part of file
removed, and the name of the person who took it out to avoid
annoying, time-consuming, and money-wasting problem looking
for lost documents, files, or missing portions of a file.
3.4.6 New File Opening Procedure
Open a separate file for each new client matter. Each
client matter shall be individually opened as a file,
recorded in the officesystems, documented, and followed up.
The first and most important document for a file is the file
opening sheet. It shall be filled out by the responsible
lawyer at the initial client interview.
Once completed, the file opening sheet is then given to the
office assistant responsible for opening files and is
fastened to the communications side of the file. That person
should then do a conflicts check and, if the result is
negative, enter the information in all the appropriate
systems file, opening book, computer list or client index
card, opposing party database or index cards, accounting
system, and limitation date system.
One-time consultations clients shall be entered into the
files for case management and conflicts system even if
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nowork is done or confidential information received to allow
you to search for thename of the potential client associated
with a file.
3.4.7 Conflicts File
A conflict of interest is a compromising influence that is
likely to negatively affect the advice which a lawyer would
otherwise give to a particular client. There is a database
from MS access which contains the following fields, date
opened, matter name, file number, client name, lawyer or
paralegal, description of matter, conflicts name, date
closed, closed file number, and date destroyed, and status
of our client. It shall be used for conflict checking.
The process would be before the initial consultation.
Potential clients shall be required to disclose information
including their other names, spouse’s name, opposing
parties’ name, and associated person or entities’ name. The
information provided by the prospective client is entered in
the database to be able to check if there is a potential
conflict before allowing a consultation.
After the initial consultation the responsible person shall
review the database again. Conflicts search memo would then
be circulated between the members of the law office. If
there is a conflict of interest, the lawyer must then
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determine whether he or she can act. A non-engagement letter
will be given to the client, if it is found that the
conflict of interest cannot be managed. If it shall be
accepted the prospective client, disclosure on the potential
conflict shall be made.
Every time a new client or party enters the law office, a
conflicts check shall be performed.
3.4.8 Responsibility for Maintenance of the Conflicts File
The office assistant shall be responsible for conflict
checking. However, it is important that everyone be familiar
with the system and use it. The secretary shall be
responsible for conflict checking in the absence of the
office assistant.
3.4.9 Closed Files
Closed files are kept in a drawer in the filing cabinet,
separated from active files. Closed Electronic Client Files
are transferred and saved in a separate folder labeled all
closed files.
3.4.10 Bill and Fee Agreement Files
Billable time must be accurately recorded and done so on a
daily basis using the preprinted forms. It is the duty of
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the secretary to collect time sheet or record billable time
as dictated by the attorney, on a daily basis. Make daily
entries on the computer. Statement shall be itemized to let
the client know what have been doing on his/her case.
Refer to the fee agreement before billing the clients. It is
the duty of the office assistant to prepare and send
statements periodically as the case progresses.
The bill and fee agreement file shall be included in the
clients file on a separate sub-folder. The office assistant
shall monitor and keep records of the billing in the
computer.
Billing
Acceptance Fee
An acceptance fee is a fee for accepting a case or a client.
It is generally not considered a fee for services rendered
(or work performed) as these services are, as a rule,
charged separately. Upon payment, the client is entitled to
representation by the lawyer or law firm and the assurance
that the lawyer or law firm shall not engage other clients
or espouse other interests that are in conflict with the
client’s.
Retainer Fee
A retainer fee is usually a monthly fee of a fixed amount
for a buffet of advisory and other services, including,
review of contracts and agreements, drafting of legal
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opinions and other legal documents in the ordinary course of
business. Corporate housekeeping and corporate secretary
services may also be included in such fee. A retainer fee
does not usually include prosecuting or defending against
criminal, civil or administrative cases, or those before
quasi-judicial agencies (such as the Department of Justice
and the NLRC), which are billed hourly.
Services build hourly
Prosecuting or defending against criminal, civil or
administrative cases, or those before quasi-judicial
agencies, commonly referred to as litigation, is typically
billed by the hour or at an hourly rate. Extensive studies,
drafting of lengthy opinions, preparation of voluminous
documents or submissions requiring considerable amounts of
time, manpower or effort may also be billed by the hour.
The hourly-billing arrangement is the customary fee
structure employed by lawyers because it is generally
regarded as the most fair for both the lawyer and the
client. This is because the amount of fees is directly
proportional to the amount of work performed as it is based
only on the actual time spent on the matter.
Bill by output
Bill by output (a pleading, motion or any other document) at
a fixed rate that disregards the amount of time required to
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prepare the same. A fixed rate for court appearances or
meetings may also be agreed upon.
Stage-Billing Arrangement
A packaged or stage-billing arrangement is an alternative
(like output billing) to hourly billing in that a client is
charged a fixed amount for representation in a case, usually
billed at certain stages of the case. The amount billed may
be based on the money value of the legal claim prosecuted or
defended against, in which case, it is sometimes referred to
as “value-billing”.
Hourly Capped arrangement
An hourly-capped arrangement is a variation of the hourly
billing arrangement in that a limit or cap, whether in terms
of money or time, is agreed upon, such that even if a
lawyer’s services take more time than expected, the client
is not billed over the limit or cap
Contingency or success fee
Instead of billing by the hour or per output/appearance, a
lawyer may bill a client equivalent to a percentage (usually
10% or more) of the amount received by the client from an
award by a court or tribunal in case of a victory. Note,
however, that contingency fees are not popular among
reputable lawyers as it places a pecuniary interest in the
outcome of the case and encourages a mercenary attitude
among lawyers.
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A success fee is a variation of the contingency fee in that
while a lawyer may be compensated by the hour or per output,
he or she is entitled to collect a fixed fee in case of a
victory.
3.4.11 Confidential Files
The highly sensitive client documents like original will,
title deeds, and securities are locked in a safety vault
where its physical security and confidentiality are secured.
The partners shall have the exclusive access to the safety
vault.
3.4.12 Opinion Files and Miscellaneous File
Non-client files such as precedents, research and opinions,
office administration and personnel are on a separate
lateral filing cabinet. These are organized with care and a
general index of all these files is kept and contents index
for highly valuable files.
Part 5 Docket Control System
3.5.1 Calendaring Procedure
Anyone can enter information into the docket system by using
the tickler cards. The cards shall be completed and given to
the docket coordinator. Or the information can be given
directly to the docket coordinator, who actually prepares
the tickler and files in the system. Each day, the docket
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coordinator shall distribute the tickler cards that appear
in the docket system for that date. A monthly back up
calendar shall be maintained by the docket coordinator. The
deadline coordinator shall also enter the deadline date of
each item on the back-up monthly calendar. Each day, the
coordinator pulls all files requiring activity that day.
After the activity has been completed, the files should be
immediately returned to their storage cabinets and a new
tickler date should be established.
Never file or shelve a client file until the next activity
date is tickled.
The docket coordinator shall prepare a weekly calendar and
monthly calendar for the office. The calendars shall show
all upcoming deadlines and activities. The calendars shall
be given to the attorneys and support staffs on Monday so
they know what must be accomplished during the week.
3.5.2 Tickler System
A tickler file system is a collection of date-labeled cards
organized in a way that allows time-sensitive documents to
be filed according to the future date on which each document
needs action.
In a tickler file system, two boxes are used to store the
index cards. One box will be used for the day to day
reminders and the other box for client control box.
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In the first box, there are 12 tab dividers, indicating the
months of January to December, another 62 tab dividers
labelled one to thirty one representing the day for each
month. They are placed on the current month and the
following month. There are another 9 tab dividers indicating
the following years.
In the second box, there are tab dividers with letters a to
z, that will be our client control box. Tickler cards will
be placed both on the 1st box as a reminder and the second
box for the record of the client.
The tickler card can be printed directly using our word
processing software. It contains basic details like the date
when it was initiated, due date, client name, the subject,
law who handles the case, and comments.
3.5.3 How to use the Tickler System
The secretary shall check the files for the reminders on a
daily basis.
Tickler cards shall be accomplished in three copies. Put the
1st copy on the client control box. To have ideas of the
deadlines, directly go to the tab under the client’s name to
check the details. The 2nd copy shall be placed on the
actual date of the deadline. It is color red to signify the
deadline. While the 3rd copy shall be placed on a two week
advanced date to serve as a reminder, then it shall be
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transferred to a week advance in order not to miss the
deadline.
3.5.4 Items to Calendar
Appointments, meetings
Court Appearances
Litigation deadlines
Filing deadlines
Follow up dates
Self-imposed deadlines
3.5.5 Responsible Parties
The secretary shall be responsible for docket control.
However, it is important that everyone be familiar with the
system and use it. The office assistant shall be responsible
for docket control in the absence of the Secretary.
3.5.6 Making Appointments
A weekly calendar that allows enough space for appointments
and meetings to be listed legibly shall be used. The
secretary shall always keep a duplicate of the attorney’s
calendar. At the beginning of each day, the attorney’s and
secretary’s calendars should be checked against each other
to make sure they coincide.
The person making the appointments must obtain all of the
necessary information from the client. One of the most
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important items you will need is a phone number where the
client can be reached during the day. Emergency situations
often arise and it may be necessary to contact the client to
reschedule an appointment. Ask clients where they would
prefer to receive their mail and telephone calls. Some would
prefer to be contacted at home, others at work. Ask for
convenient times of day.
Ask what the consultation is in reference to. The type of
case determines the type of information you need. For
example, in a domestic matter, the attorney will need
information regarding the client’s financial situation. For
a will update, the client should provide a copy of his/her
existing will, as well as the correct names and addresses of
the people who will be named in the will. Having the
necessary information up front will speed up the process and
eliminate unnecessary delays.
Be sure to allot ample time for each appointment. More often
than not appointments run longer than their scheduled time
limit. Depending on the circumstances, you should allow
approximately 1/2 – 1 hour for office conferences, 2 or more
days for a trial, and 1/2 - 1 day for depositions.
Part 6 Communications
3.6.1 Telephone, Faxes, E-mail
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Office procedures for returning telephone calls shall be
discussed with clients at the beginning ofthe
representation. Voicemail should be checked daily and
returned accordingly. It is important that all office
personnel follow the same telephone policy.
All calls should be documented in the file, including any
attempts to return phone calls that resulted in busy signals
or voicemail. Documentation of phone conversations should be
very specific, and provide details of what was discussed.
Follow up any instructions provided by the client or
attorney with a letter confirming actions to be taken. If
multiple attempts are made to return a phone call with no
success, send an email or letter documenting these attempts
and requesting the client contact you.
Telephone calls made and received related to the
administration of the office and management of the cases
shall be logged. Facsimile, outgoing and incoming shall be
logged. E-mails relevant to the office procedures and client
files shall be printed and included in the files. E-mail log
for each partners and personnel shall be maintained.
The receptionist is in-charge of monitoring and filing the
telephone log, fax log and e-mail log.
3.6.2 Regular Mail Procedures
The receptionist is responsible for picking up, opening and
date stamping all the mail. Everyitem received in the office
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shall be stamped with a receipt date. The receptionist shall
review the mail for dates and items of importance. The male
shall be separated into three different stacks:
legal periodicals and newsletters;
junk mail; and
correspondence and pleadings that require immediate
attention.
Legal periodicals and newsletters and correspondence and
pleadings that require immediate attention shall be
forwarded to the secretary.
The junk mail shall be reviewed by the receptionist to
determine whether to disposed or forward to the secretary.
The secretary shall look for correspondence requiring a
response, receipt of information which the attorney has been
waiting for, notices of important dates for meetings and
hearings, depositions, trials, etc. Such correspondence
should be flagged, either by highlighting the important
information or by attaching a note to the correspondence so
that the attorney recognizes it right away.
The secretary shall make notation on the calendar and make
an entry in the docket control system for deadlines.
The correspondence with documents requiring review and
signature shall be given directly to the attorney or put in
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the outgoing tray. Place post-it notes on the documents to
show when they must go out.
Pull the file and refer to it when preparing correspondence.
This way, you’ll get the correct names and addresses. Also,
the file should indicate if copies are to be sent to a
particular person such as co-counsel. If additional copies
of the letter and enclosures are to be mailed, make a
notation on the file copy of the persons to whom copies were
sent.
Part 7 Finance
3.7.1 Introduction
All of the Partnership’s day to day financial activities are
conducted by the accounting department under the direction
of the Controller. All of the Partnership’s time and
financial records are maintained by the accounting
department.
No one other than the accounting department is authorized to
engage in any activity that directly affects the
Partnership’s financial affairs such as billing and
collecting, check writing, depositing of funds.
3.7.2 Timekeeping
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The Partnership’s income is generated, for the most part
through direct charges to clients for time spent on their
behalf by the Partnership’s professional staff.
The timekeeping records are prepared as follows:
1. All timekeepers shall enter their own time directly
into the office’s system. It should be done on a
regular basis.
2. In the absence of a direct entry to the system, each
timekeeper shall prepare a daily handwritten time
sheet.
3. The secretary shall prepare a typewritten daily time
record from the data of the timekeeper’s daily time
sheet. It will be used by the accounting department
as the input document for the billing to be
prepared.
The daily time sheet shall contain the following:
1. Lawyer: the initials of the timekeeper are entered
here.
2. Number: the billing number of the initials of the
timekeeper is entered here.
3. Date: the date of the performance of the services
listed on the time sheet is entered here.
4. Annotation instructions
5. Time sections: this is the area used to describe in
detail the services performed, the amount of time
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expended, the client for whom the service was
performed, and the matter to which the time is to be
charged.
6. Firm matter numbers: these matter numbers are used
to account for nonchargeable time accumulated under
the firm as the client.
3.7.4. Billing Statements
Our fees, costs, and other charges will be reflected on
Invoices and summarized Statements. Fees and Costs are
ordinarily billed monthly. Payment is expected within thirty
(30) days of your receipt of the statement. Amounts
outstanding more thanthirty days from the date of the
invoice bear interest at the rate reflected on the invoice.
Dates for payment of fixed fees andcontingent fees will be
reflected in the Representation Letter.
3.7.5 Clients Cost Advanced
Amounts advanced or paid to third parties by us on behalf of
our clients for expenditures such as photocopying and
telecopying charges, postage charges, shipping and delivery
charges, courier expenses, travel expenses, printing costs,
filing fees, computer research costs, court reporter fees,
expert witness fees, employee overtime and expense
reimbursement costs and the like are considered to be
reimbursable by our clients unless otherwise agreed in
particular instances and are generally included in the
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statement sent to the client for the month in which such
amounts are advanced or incurred. Certain costs which are
incurred internally for items such as photocopying,
telecopying and long distance telephone costs may be billed
to our clients at rates comparable to third-party charges,
which do not necessarily reflect the firm's direct out-of-
pocket expenses and may include amounts which represent
recovery of the administrative costs and investment expenses
which the firm has incurred in making such services
available and accounting for such expenses.
Unless otherwise agreed in connection with specific
engagements, it is understood that our firm has no
obligation to advance any of the foregoing costs on behalf
of our clients. We may require that the clients make
arrangements in advance to fund such expenses either by
means of an escrow deposit with our firm or by means of
direct arrangements with third-party vendors or a
combination of such arrangements.
3.7.6 Client Trust Funds
The trust account is a separate bank account established for
deposit of funds delivered to the Partnership in a fiduciary
capacity. The purpose of a trust account is to safeguard
client and third party funds from loss. The fiduciary nature
of the relationship and the need for public confidence in
the legal profession require attorneys to maintain trust
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accounts separate from the attorney’s personal or business
operating account and from other fiduciary accounts.
The following are guidelines to better manage a trust
account
Always remember that money that belongs to your client
belongs in your trust account—and until you've actually
earned the money, it continues to belong to your client.
Explain in your fee agreement how you apply money held in
your trust account toward the legal fees and costs
incurred. Also explain that a statement will be provided
showing these charges, along with the balance and any
amount that's needed to replenish the trust account
balance to a required minimum balance.
Only use funds in the trust account for client's
expenses. Write a trust account check payable to your
firm and deposit it into your general account and then
write a general account check to pay for your associated
overhead expenses.
Keep a clear, detailed "paper trail" of all trust account
deposits and withdrawals.
Wait an appropriate amount of time for deposits to clear
before writing a trust account check. Be careful to
verify that funds have been collected and are in the
account first.
Watch out for fraudulent cashier checks. Ditto for scams
involving wire transfers. And take extra steps to protect
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your trust account check supply and checkbook from
getting into the hands of an embezzler or thief. Lock
them in a drawer or in your office safe.
Plan ahead to protect your clients' funds in the event of
your death, impairment or disability. Who will sign a
trust account check to refund money belonging to each of
your clients.
Maintain your trust account records for the proper time
as required in your jurisdiction, likely five years from
the date the matter is closed. Be sure to back up your
computer to preserve any electronic records, too
The following records are need to be maintained:
Monthly bank statements
Receipts and disbursements journal
Client ledger
Reconciliation records
Retainer agreements and fee or compensation agreements
Copies of accountings to clients or third persons
showing all disbursements
Copies of records showing disbursements on behalf of
the clients
Physical or electronic equivalent of deposit slips or
cancelled checks
Record of all electronic transfers from client trust
accounts
3.7.7 Cash advances and Reimbursement of Expenses
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Cash advances for expenses will be provided when necessary.
Requests for cash advance must be approved by the Managing
Partner.
Reimbursement of expenses
The Partnership will reimburse all personnel for expenses
incurred in connection with the Partnership’s business
through the use of a reimbursement request form.
The following are reimbursable expenses:
1. Automobile expenses: for reimbursement of local
travel expenses unrelated to client activity, should
be recorded as an automobile expense.
2. Business gifts: no one is authorized to make
business gifts to a client or otherwise without
prior approval of the managing partner.
3. Business meals: for meals in which a business
discussion takes place, such as a lunch with a
client during which the legal matter or when two or
more lawyers discuss a clients’ business problems. A
business lunch with a client should be recorded as a
business meal and not as a client related expense.
4. Client contact, promotion, and entertainment: these
items include but are not limited to expenses
incurred in restaurants, sporting events, theaters,
etc.
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5. Miscellaneous expense: for expenses not otherwise
categorized for which reimbursement authorization is
requested.
3.7.8 Petty Cash
The Partnership maintains a nominal amount as petty cash.
Use of Petty Cash Funds is encouraged for purchases of low-
priced items from local vendors where the costs of
establishing a purchase order, processing an invoice, and
writing a check would substantially increase the cost of the
transaction. The maximum limit for purchases from petty cash
funds is P1,000.00 per purchase unless the Accounting
Department provides prior written approval. Petty Cash Funds
may not be used to avoid other established purchasing
procedures, nor may total orders be split into smaller
increments to avoid this P1,000.00 limit. As with all
expenditures, Petty Cash may only be used to obtain goods
and services necessary to carry out official Partnership
functions. Petty Cash Funds may not be used to:
Cash checks
Make loans
Make advances
Reimburse travel-related expenditures or to make travel
advances
Pay wages for temporary employees, or pay overtime for
any employee
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Pay expenses relating to the use of private motor
vehicles, including mileage and fuel
Provide floral tributes, small gifts and other tokens
of appreciation, or prizes and awards
Make purchases that would not be approved under normal
policies and procedures
Petty cash fund must be secured at all times. The funds must
remain on the premises of the office in a locked boxes and
in a locked location. It is the direct responsibility of the
petty cash custodian to ensure that proper safeguards are
established.
Reimbursements for petty cash funds should be requested as
needed but not later than the 15th of each month. The petty
cash custodian must complete the petty cash reimbursement
form and sign, date, and attach all receipts to the request
for reimbursement.
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Section 4 OFFICE FORMAT AND SAMPLE FORMS
Part 1 Samples of Office Format
4.1.1 Introduction
There are some sample format provided in this manual. All the necessary formats needed in the office administration and management of cases are stored in the company’s computerdata base in the folder Office Formats
4.1.7 Memoranda
According to a resolution submitted by the Court in aparticular case, the memorandum shall contain thefollowing:
(a) A "Statement of the Case," which is a clear and concisestatement of the nature of the action, a summary of theproceedings, the challenged decision, resolution or order of thecourt below, the nature of the judgment and other mattersnecessary to an understanding of the nature of the controversy;
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(b) A "Statement of the Facts," which is a clear and concisestatement in a narrative form of the established facts;
(c) A "Statement of the Issues," which is a clear and concisestatement of the issues to be submitted to the Court for itsresolution;
(d) The "Argument," which is a clear and concise presentation ofthe argument in support of each issue; and
(e) The "Relief," or Prayer, which is a specification of theorder of judgment which the party seeks to obtain.
Part 2 Samples of Office Forms
4.1.1 Introduction
There are some sample form provided in this manual. All the necessary formas needed in the office administration and management of cases are stored in the company’s computer data base in the folder Office Formats
4.1.9 Confidentiality Forms
CONFIDENTIALITY FORM
It is the policy of __________________ that matters related to thefirm and its practice are not to be discussed in the presence of any
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unauthorized persons. It is understood that some of the matters in theoffice are sufficiently interesting to tempt personnel to engage inconversation that may breach the rule of confidentiality. Therefore,it is extremely important that everyone exercise extreme care in thisarea. The information received in the office is the private propertyof the client and aside from the embarrassment that would result fromany unauthorized disclosure, there is the likelihood of creating legalliability and prejudice to the client’s case. Additionally, attorneyskeep sensitive material that may be of a confidential nature, eitheras to the firm, its personnel, to themselves, or to their clients. Toavoid any violations of that confidentiality in the attorney’sabsence, under no circumstances should an attorney’s office be offeredfor use to a client, vendor, or other unauthorized person without theconsent of the attorney or his or her administrative secretary. Inaddition to the client matters, some personnel must routinely handlepay and personnel information as a result of their normal duties. Thisinformation must be treated with the utmost sensitivity andconfidentiality, A breach of confidentiality with respect to anyclient matter or internal matters, including pay or personnel, will beconsidered reason for immediate dismissal.
Name of firm: ______________________________________
This will confirm that I, the undersigned, have read and agree toabide by the provisions of the foregoing stated policy as it relates
to the confidentiality and the law firm.
This the __________ day of _______________________________, 20___.
_____________________________________________________
Signature
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4.1.9 Leave of Absence Forms
All employees requesting a leave of absence or medical leave with or without salary are required to apply with this form.
Date of request for leave of absence: ___________________
Employee name: __________________________________
Employee number: ________________________________
Job title: ________________________________________
Department: __________________________
Supervisor/Manager: ____________________
Start date of employment: __________________
Years of service: ___________________________
Employee is Full-time Part-time Casual employee
I hereby request a leave of absence as follows:
Reason for leave of absence:
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Is the leave:
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Unpaid
Paid
Duration:
Leave of absence begins: ___________________
Leave of absence ends: ____________________
# of days on leave: ________________
Return date from leave of absence: ___________________
Return date undetermined at the moment but will be confirmed at alater date by employee on ______________ (such date may be duringthe leave i.e. medical leave with doctor’s note after a follow upmedical appointment
4.1.9 Other Office Sample Forms
Calendar Notice and Docket Information
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