TL;DR
- Every law firm needs a documented policies and procedures manual, and most don’t have one
- A good one covers client intake, communication standards, billing, file management, marketing, and staff conduct
- Having documented procedures is directly tied to how well your firm converts leads into clients
- We’ve included a ready-to-use law firm policies and procedures template you can adapt today
- Missing intake or follow-up procedures is one of the most common reasons law firms lose cases before they start
If you’ve been running your law firm on institutional knowledge and verbal agreements, you already know the problem. Someone doesn’t follow up with a lead. A new hire mishandles a client call. A file gets closed without the right sign-off. And when it happens, there’s no written procedure to point to.
A law firm policies and procedures template doesn’t solve everything. But it creates the foundation that every well-run firm is built on, and it’s one of the first things we look at when a firm tells us their marketing isn’t converting.
Because here’s the thing: your marketing can be generating calls every day, but if your intake process isn’t documented and followed consistently, those leads are leaking out before they ever become signed cases. We cover this at length in our law firm intake analysis if you want to dig deeper.
Why Most Law Firms Don’t Have a Written Policy Manual
It usually comes down to time. Attorneys build practices by doing, not by documenting. The processes that exist are locked inside the heads of senior staff. When those people leave, the knowledge walks out with them.
The other reason is that policies feel like something for big firms. A 50-attorney corporate practice, sure. A three-attorney family law firm? Seems like overkill.
It isn’t.
If your firm has more than one employee, more than one client at a time, or more than one phone line, you need written procedures. Not a 200-page manual. Just clear documentation of how things work so that everyone on your team is doing the same thing.
What a Law Firm Policies and Procedures Manual Should Include
Here’s a practical breakdown of the sections every manual should cover. After this, we’ll give you the actual template.
1. Client Intake and Onboarding
This is the highest-stakes section. Who answers the phone? What do they say? What questions do they ask? What happens after a consultation? If your intake process isn’t documented, it’s inconsistent, and inconsistent intake means you’re signing fewer cases than you should be.
This section should cover how leads come in (phone, form, referral), who handles them, what the script or talking points are, what information gets collected, and what follow-up looks like if the person doesn’t hire you on the first call.
2. Client Communication Standards
How quickly does your firm return calls or emails? What’s the standard for updating clients on case status? Who is the client’s primary point of contact? These things seem obvious until a client complains that nobody called them back for three days.
3. Billing and Financial Procedures
This section should cover your fee agreements, invoicing schedule, how you handle trust accounts, what happens when a bill is overdue, and who is authorized to offer fee modifications. Clear billing procedures prevent disputes and protect your firm.
4. File Management and Retention
How are files organized? What gets saved and where? What are the retention timelines? What’s the process for closing a file? This section matters both for malpractice protection and for state bar compliance.
5. Marketing and Business Development
Your law firm marketing efforts are only as consistent as your procedures around them. This section covers how your firm handles reviews (and who asks for them), how referral sources are tracked and nurtured, who is authorized to post on social media, what the approval process is for advertising, and how your firm tracks marketing ROI.
If you’re running Google PPC campaigns or SEO, there should be someone in your firm who owns that relationship and is accountable for reviewing results.
6. Staff Conduct and HR Basics
Attendance policies, confidentiality requirements, how to handle conflicts of interest, social media usage at work, and what happens when something goes wrong. This section protects your firm and sets expectations clearly.
7. Technology and Data Security
What software is approved? How are passwords managed? What’s the protocol if a device is lost or stolen? Who has access to what client data? As law firms handle sensitive client information, this section is increasingly important.
8. Emergency and Continuity Procedures
What happens if the managing partner is unexpectedly unavailable? Who is authorized to make decisions? How do clients get notified if the firm can’t operate for a period of time?
Law Firm Policies and Procedures Template
Below is a working template. It’s written to be adapted, not used verbatim. Replace anything in brackets with your firm’s specific information, names, and preferences. You should have your own attorney review it before distributing it to staff.
[YOUR FIRM NAME] POLICIES AND PROCEDURES MANUAL
Effective Date: [DATE] Version: 1.0 Approved By: [MANAGING PARTNER NAME]
SECTION 1: CLIENT INTAKE AND ONBOARDING
1.1 Initial Contact
All incoming calls, emails, and web form submissions from prospective clients must be acknowledged within [TIMEFRAME, e.g., one business hour] during business hours. After-hours contacts must be followed up no later than [TIMEFRAME, e.g., 9 AM the following business day].
The designated intake coordinator is [NAME/ROLE]. In their absence, [BACKUP NAME/ROLE] assumes responsibility.
1.2 Intake Screening
During the initial contact, intake staff must collect the following information:
- Full legal name and preferred contact method
- Brief description of the legal matter
- Jurisdiction where the matter occurred
- Whether the prospective client has been represented by other counsel
- Conflict check information (opposing parties, related entities)
1.3 Conflict Check
No engagement may proceed until a conflict check has been completed using [SOFTWARE/METHOD]. Conflict checks must be documented in [SYSTEM] and approved by [NAME/ROLE].
1.4 Consultation Process
Consultations must be scheduled within [TIMEFRAME] of initial contact where possible. Following a consultation, the assigned attorney must update the prospective client’s status in [CRM/SYSTEM] within 24 hours.
1.5 Non-Engagement Letters
If the firm declines representation, a non-engagement letter must be sent within [TIMEFRAME] using the approved template located at [FILE LOCATION].
1.6 Engagement and Onboarding
Once a client agrees to hire the firm:
- Fee agreement must be signed before work begins
- Client must receive a welcome email or letter explaining their primary contact, communication standards, and billing process
- File must be opened in [SYSTEM] within [TIMEFRAME]
SECTION 2: CLIENT COMMUNICATION STANDARDS
2.1 Response Times
The firm’s standard for responding to client communications is as follows:
- Phone calls: Returned within [TIMEFRAME, e.g., 4 business hours]
- Emails: Responded to within [TIMEFRAME, e.g., 1 business day]
- Urgent matters: [DEFINE WHAT QUALIFIES AND THE EXPECTED RESPONSE]
2.2 Case Status Updates
Clients must receive a proactive status update no less than [FREQUENCY, e.g., once per month] regardless of whether there are significant developments. The assigned attorney or paralegal is responsible for these updates.
2.3 Documentation
All client communications must be logged in [SYSTEM] within [TIMEFRAME] of the communication occurring.
2.4 Client Portal
[If applicable: Clients will be given access to [PORTAL NAME] upon engagement. Staff should direct clients to the portal for document sharing and status inquiries where possible.]
SECTION 3: BILLING AND FINANCIAL PROCEDURES
3.1 Fee Agreements
All fee agreements must be reviewed by [NAME/ROLE] before presentation to the client. Fee modifications require approval from [NAME/ROLE].
3.2 Invoicing
Invoices are generated on the [FREQUENCY, e.g., first business day of each month] and sent to clients via [METHOD]. Invoice review is the responsibility of [NAME/ROLE].
3.3 Trust Accounts
Trust account management must comply with [YOUR STATE] Rules of Professional Conduct. Deposits and withdrawals must be documented in [SYSTEM] by [NAME/ROLE]. The trust account is reconciled [FREQUENCY, e.g., monthly] by [NAME/ROLE].
3.4 Collections
Outstanding balances older than [TIMEFRAME] will be escalated to [NAME/ROLE] for follow-up. The firm’s policy on referral to collections is [DESCRIBE POLICY].
SECTION 4: FILE MANAGEMENT AND RETENTION
4.1 File Opening
All new client files must be opened in [SYSTEM] within [TIMEFRAME] of engagement. Physical files, if used, follow the naming convention: [DESCRIBE CONVENTION].
4.2 Document Management
All case documents must be saved to [SYSTEM/LOCATION] using the following naming convention: [DESCRIBE CONVENTION]. No case documents may be saved exclusively to a local device.
4.3 File Closing
Upon matter resolution, the assigned attorney initiates the file closing process. File closing requires:
- Final invoice sent and resolved
- Client notified in writing that the matter is closed
- Client provided with copies of key documents per [STATE] rules
- File transferred to closed storage [SYSTEM/LOCATION]
4.4 Retention Policy
Closed files are retained for a minimum of [TIMEFRAME, typically 7 years, but verify your state bar requirements]. Electronic files are backed up per the schedule in Section 7. After the retention period, files are destroyed in accordance with client confidentiality requirements using [METHOD].
SECTION 5: MARKETING AND BUSINESS DEVELOPMENT
5.1 Advertising Standards
All advertising and marketing materials must comply with the advertising rules of the [STATE] Rules of Professional Conduct. All new marketing materials must be reviewed by [NAME/ROLE] before publication.
5.2 Online Presence
The firm’s website, Google Business Profile, and social media accounts are managed by [NAME/ROLE] in coordination with [MARKETING VENDOR, if applicable]. Any changes to these platforms require [APPROVAL PROCESS].
5.3 Client Reviews
Requesting reviews from satisfied clients is encouraged and should follow this process: [DESCRIBE PROCESS, e.g., the intake coordinator sends a review request email 14 days after case closure using the approved template]. Staff may not offer incentives for reviews.
5.4 Referral Tracking
Referral sources must be logged in [SYSTEM] at intake. [NAME/ROLE] is responsible for maintaining referral relationships and sending appropriate acknowledgments.
5.5 Marketing Performance Review
Marketing performance is reviewed [FREQUENCY, e.g., quarterly] by [NAME/ROLE]. Key metrics reviewed include: new leads by source, consultations completed, cases signed, and cost per signed case.
SECTION 6: STAFF CONDUCT
6.1 Confidentiality
All staff must maintain strict confidentiality of client information, consistent with [STATE] Rules of Professional Conduct. This obligation continues after employment ends. A confidentiality agreement must be signed as part of onboarding.
6.2 Conflicts of Interest
Staff must disclose any potential personal conflicts of interest to [NAME/ROLE] immediately. Undisclosed conflicts are grounds for disciplinary action.
6.3 Social Media
Staff may not post information about firm clients or cases on personal social media, including information that could identify a client even without naming them. Questions about what’s appropriate should be directed to [NAME/ROLE].
6.4 Attendance and Availability
Expected working hours are [HOURS]. Absences must be reported to [NAME/ROLE] by [TIME] on the day of the absence. [DESCRIBE PTO/SICK LEAVE POLICY OR REFERENCE EMPLOYEE HANDBOOK].
SECTION 7: TECHNOLOGY AND DATA SECURITY
7.1 Approved Software
Only firm-approved software may be used to handle client data. The current list of approved tools is maintained by [NAME/ROLE] and available at [LOCATION].
7.2 Password Management
All accounts containing client data must use strong passwords and, where available, two-factor authentication. Passwords must be managed using [APPROVED PASSWORD MANAGER]. Passwords may not be shared between staff.
7.3 Device Policy
Firm data may only be accessed on [DEFINE: firm-owned devices / approved personal devices]. Lost or stolen devices must be reported to [NAME/ROLE] within [TIMEFRAME].
7.4 Data Backup
Client files and firm data are backed up [FREQUENCY] using [SYSTEM]. [NAME/ROLE] is responsible for verifying backup integrity [FREQUENCY].
SECTION 8: CONTINUITY AND EMERGENCY PROCEDURES**
8.1 Key Contact Unavailability
If the managing partner or primary attorney is unexpectedly unavailable for more than [TIMEFRAME], [NAME/ROLE] assumes decision-making authority for [DEFINE SCOPE]. Active client matters are reviewed immediately to identify any pending deadlines.
8.2 Firm Closure
In the event of temporary firm closure, [NAME/ROLE] is responsible for notifying active clients within [TIMEFRAME] using [METHOD] and making arrangements to protect their matters.
8.3 Disaster Recovery
In the event of a data loss or system failure, [NAME/ROLE] initiates the recovery process using [BACKUP SYSTEM/VENDOR]. Recovery time objective is [TIMEFRAME].
Manual Review and Update Policy
This manual is reviewed and updated no less than [FREQUENCY, e.g., annually]. The current version is maintained at [LOCATION]. Staff will be notified of material changes in writing.
How to Actually Get Your Team to Use It
A policy manual that lives in a shared folder and never gets opened is almost as useless as not having one. Here’s what works:
Review it during onboarding. Every new hire should read the manual on their first day and sign an acknowledgment.
Assign ownership of each section. Someone specific is responsible for each area. Diffuse responsibility means nothing gets done.
Tie procedures to real events. When something goes wrong (and it will), use the manual to identify what procedure wasn’t followed and update it if needed.
Review it once a year. Set a calendar reminder. Practices change, software changes, staff changes. The manual should keep up.
The Connection Between Procedures and Marketing Performance
This is where it gets interesting from a marketing standpoint.
The most common reason law firm marketing doesn’t produce results isn’t the marketing itself. It’s what happens after the phone rings. An underfunded intake process, inconsistent follow-up, or no documented lead nurturing workflow means you’re paying to generate interest that never converts.
If your law firm SEO is ranking and your PPC campaigns are running but your caseload isn’t growing the way you expect, the procedures around intake, follow-up, and client communication are worth examining before you increase ad spend.
We do a free intake analysis for law firms if you want a second set of eyes on how leads move through your firm. You can request that at lawyersmarketer.com/law-firm-intake-analysis.
Parting Thoughts on Our Law Firm Policies And Procedures Template
A law firm policies and procedures template is not a compliance exercise. It is a business operations tool that makes your marketing more effective, your staff more consistent, and your firm more resilient.
Use the template above as your starting point. Customize it for your practice, get the important parts reviewed by counsel familiar with your state bar rules, and actually put it in front of your team.
If you want help evaluating where your firm’s intake and marketing processes have gaps, that’s a conversation worth having. Reach out here.
