General Solo & Small Firm Section Newsletter
March 2002
Message from the Chair
Russell Anne Swafford
Young Lawyer Mentoring
by John A. Turnbull, Circuit Judge, 13th Judicial District
Guidelines for Mentees: 13th District Mentor Program
A project of the Circuit, Criminal and Chancery Judges of the 13th Judicial District
An Extra Safety Net: Good Communication Skills
by Jill Wells, Risk Management Attorney, ANLIR
Message from the Chair
Some of the most powerful tools we have as attorneys are other attorneys. We all use this resource on an informal basis, whether it is a lunch conversation, telephone calls about other cases, or on the golf course. I used this resource even while I was in law school and have always found other attorneys willing to assist and advise.
Two years ago I attended a joint Bench and Bar seminar in Memphis and had the pleasure of hearing Judge John Turnbull, Circuit Judge for Part 1 of the Thirteenth Judicial District, speak about the mentoring program set up by their local Bench and Bar. Judge Turnbull was gracious enough to agree to submit the article featured in this newsletter. He also included a list of guidelines. I hope you enjoy his article and consider establishing a similar program in your area. Our profession can only benefit from the improvement of all members.
Russell Anne Swafford
Young Lawyer Mentoring
by John A. Turnbull, Circuit Judge, 13th Judicial District
Here are comments I have received from mentors and mentees in the mentoring program in our district:
“My mentor has been of invaluable assistance to me, and I have made a friend in the process. I appreciate the program.”
“I have found my mentor to be a very insightful source of information whenever I run into an area I am unfamiliar with. I have found him to be readily available and more than eager to assist when I request guidance.”
“I have found that the mentor gets as much from this relationship as the young attorney. I have found my mentee to be an extremely bright, energetic and principled young man, which in turn invigorates my practice. I’ve discovered that these young lawyers have a lot of up-to-date insights that the older attorneys don’t, and there seems to be a mutual benefit in this program that I really had not anticipated.”
“I do try to limit the times I call my mentor so as not to interfere with his practice, but he is always encouraging me to call … I appreciate his commitment to the program and I only hope other mentors are helping their mentees as much as mine is helping me.”
“First, I want to thank you for asking me to serve as a mentor. I think the idea is excellent. I remember all too well how absolutely lost I was when I began practicing. The theory then seemed to be to throw you into the melee and see how you survived. While I survived the process, it could have been much easier and less painful. The program has rewards for both sides. It is nice to have a peer look to us for advice and counsel.”
These are but a few of the positive responses received from participants in the 13th District Young Lawyer Mentoring Program, which has been in operation for almost three years. The effort on the part of judges, experienced lawyers and young lawyers has paid great dividends. The judges in our district have noticed members of our bar are becoming more professional, civil and collegial. Hearings having their root in pique and anger are less frequent. Deposition rooms and telephone conversations between lawyers are more civil.
The idea of mentors for young lawyers is not new. It has been tried across the nation. One serious problem encountered in other mentoring programs has been the difficulty in locating and matching mentors and mentees. Since lawyers are usually anxious to please the judges of the district, and since judges take the lead in this program, we believe the structure of our successful mentoring program will work across the state.
The 13th District Young Lawyer Mentoring Program works like this:
1. The judges of the district met and picked out 40 lawyers in the district who had experience and practiced in an ethical and professional manner. We requested that they serve as mentors. Almost every one of them volunteered. We then identified 34 young lawyers in the district who might benefit from mentoring, and almost all agreed to participate.
2. The judges of the district then matched mentors with mentees. Each mentor was requested to meet face to face with the assigned mentee at least one hour per month. The initial mentoring relationship was to last at least one year, but most mentors continue until reassigned as new lawyers come into the district.
3. New young lawyers who come into the district are advised of the program and asked to participate. Where young lawyers are coming into an established firm, that firm is contacted first to see if the firm objects to an outside mentor.
4. The program has an emphasis on ethics and professionalism, as well as practical problems faced by young lawyers.
5. Both mentors and mentees are furnished guidelines to prevent conflicts of interest and taking undue advantage of the relationship. Participants are also furnished materials to review and discuss during mentoring sessions.
6. One judge in the district is assigned each year to administer the program, receive reports, certify CLE, and make assignments and re-assignments.
Our program has now been certified for CLE credit. The Bench/Bar Relations Committee of the Judicial Conference has made the establishment of a state-wide mentoring program, administered by trial judges, as one of its goals. The judges of the 10th and 15th Judicial Districts are in the process of setting up mentoring programs. I encourage you to ask your judges if they would establish a mentoring program for your district. n
Judge John Turnbull is Circuit Judge for Part 1 of the Thirteenth Judicial District, which includes the counties of Clay, Cumberland, Dekalb, Overton, Pickett, Putnam, and White.
Guidelines for Mentees: 13th District Mentor Program
A project of the Circuit, Criminal and Chancery Judges of the 13th Judicial District
The purpose of the Mentor Program is to help newer lawyers learn the things they need to know about the practice of law and which they might not have learned in law school. Below are some points to keep in mind when working with Mentors.
1. Mentors serve on a voluntary basis. Therefore, Mentees should not abuse the relationship by making excessive demands upon the mentor’s time.
2. The Mentor Program does not contemplate Mentors rendering professional services to Mentee’s clients, and Mentees must ultimately exercise their own independent professional judgment on behalf of their clients.
3. When discussing a particular case, Mentees should pose their questions in the form of “fact patterns,” to avoid disclosing their clients identities and to avoid any potential conflicts of interest. If a client’s identity must be disclosed, the Mentor shall ascertain that no conflict of interest exists before responding to the inquiring Mentee.
4. Mentees should not: [a] ask Mentors to perform any legal research as a result of inquiry; [b] ask Mentors to accept employment as co-counsel; or [c] refer clients to Mentors to handle their cases. Mentors are cautioned that they should take appropriate steps to avoid even the appearance of the existence of an attorney/client relationship between Mentors and Mentee’s clients.
5. Mentees are reminded that any detailed conversation about the specifics of the problem and situation of a client may require prior consent from the client before making such disclosure. Failure to obtain this consent may violate the Rules of Professional Conduct.
6. Mentors are also reminded that any attempts to exonerate themselves from or limit liability to one’s clients for possible malpractice claims is prohibited. This program is intended to provide general assistance, but it is not a means to provide Mentees with answers to case specific questions or to protect Mentees from their own professional responsibility.
7. Mentees are encouraged to ask questions regarding substantive, practical or ethical issues that they may encounter. Mentees should not be afraid to ask even the most basic questions. Remember that Mentors probably had similar experiences when they began the practice of law and that Mentors will be more than happy to answer questions.
8. The Mentor program is designed to last 12 months; however, this period may be extended upon mutual consent.
An Extra Safety Net: Good Communication Skills
by Jill Wells, Risk Management Attorney, ANLIR
The claims attorneys and risk managers at ANLIR will certainly agree that attorneys’ communication skills are directly related to the number of malpractice claims. Specifically, good communication skills will help prevent claims as well as help defend (or even settle) what claims that do arise.
Below are some suggestions to take into account as you communicate (in writing and verbally) with your clients:
1. Explain how the relationship will work to your clients as soon as possible. Document this in your engagement letter. Cover these items in your engagement letter: a) scope of responsibility, b) client identification, c) client responsibilities, d) identification of case staffing, e) course of matter, f) fees and costs.
2. Allow the client the opportunity to learn about you professionally by providing a written biography or history on yourself and the firm.
3. Introduce your staff to your clients. Advise the client of the various roles of staff on the case who will be available to answer questions (attorneys) and receive information (paralegals and secretaries).
4. Give clients written resources to further educate them on the matter you are addressing. (Examples: case law, written periodicals, pamphlets from the state bar). Also, provide written instructions for such events as depositions or court hearings or trials. Confirm court dates and appointments by letter with date, time and place of meeting. Also include a list of any documents or materials to be brought by client.
5. Determine client’s preferred modes of communication (e-mail, phone, fax, mail, etc.) and where that site is located (home vs. work) to evaluate confidentiality. Also assess whether client has special communication needs such as illiteracy, foreign language, age, sophistication, etc., which should be identified and considered throughout the representation.
6. Try to have a live body available to answer phones during business hours. Give clients the option of being transferred to voice mail or having a message taken.
7. Return phone calls promptly. If you are unavailable for a long period of time, ask your staff to assist you in contacting your clients, but don’t use your staff as a substitute for personal contact. Avoid client’s perceptions that you are neglecting them. Returning phone calls within 24 hours is a good rule of thumb.
8. Emphasize to your staff the importance of treating each client with patience and respect, even if (or when) the client is rude to them. Staff should be encouraged always to report exchanges from abusive or rude clients to you so that you may speak to the client about the situation.
9. Use monthly detailed billing slips to keep your client informed of the actions you have taken on their behalf.
10. Use a monthly or bi-monthly status letter, sent with the bills, to keep clients appraised of the developments in their case.
11. Follow the 33¢ rule by copying your client on all correspondence and court pleadings involving their case.
12. Make time to meet with the client face to face at critical junctures in the representation. Whenever making a decision in the case, first determine whether you need the client’s consent and whether you have it.
13. Always thoroughly explain the client’s options to them (verbally and in writing), outlining the risks and benefits to each choice in detail. This is very important when discussing settlement offers. Document in writing the client’s decision if it is contrary to your legal advice.
14. Good communication skills within the office are also important. Keep copies of all e-mails, sent or received, in the file. Encourage written phone messages and notes, which should be placed in the file. Monthly staff meetings also facilitate communication of office policies and procedures.
Good communication skills are critically important to building a successful practice and avoiding the most common source of ethical complaints.
Nearly 15% of malpractice claims between 1990 and 1995 were caused by failure to obtain consent, failure to inform clients or failure to follow a client’s instructions. Communication is vital at every stage of representation. Keep in mind that while a case represents one of many for the lawyer, it is usually the only one for the client. Make time for your clients — not just their business. A proactive stance on communication can and will save you precious time and money in the long run.
Interested in becoming involved?
Welcome to the TBA’s General, Solo and Small Firm Practitioners Section. If you have any questions or are interested in becoming involved in this group's leadership, please contact TBA Section Coordinator, Lynn Pointer by e-mail at lpointer@tnbar.org or by fax at (615) 297-8058 or if you have questions, contact Lynn at 1-800-899-6993 or in Nashville at 383-7421. Thanks!