Entry-Level Solicitor Competencies

A. Ethical and Professional Responsibilities
Ethics and Professionalism

B. Knowledge of the Law: Ontario and Federal Legislation and Case Law Policy, Procedures and Forms
Knowledge of General Statutes, Common Law, Policy, Procedures and Forms
Real Estate
Wills, Trusts, and Estate Administration and Planning
Business Law

C. Establishing and Maintaining the Solicitor-Client Relationship
Client Identification
Conflicts of Interest
Interviewing Principles
The Retainer
Client Communications  

D. Fulfilling the Retainer
Administering the File
Gathering Information and Analyzing the File
Developing the Action Plan
Executing the Action Plan
Completing the Retainer

E. Practice Management Issues


A. Ethical and Professional Responsibilities

Ethics and Professionalism

  1. declines to act or seeks appropriate assistance and/or educational resources when the matter is beyond current abilities and knowledge (Section 3.1) (e.g., consults senior counsel, specialists, mentors, Law Society Practice Management Helpline).
  2. declines to act on matters that are incapable of performance.
  3. avoids or manages conflicts of interest (e.g., clarifies joint retainers, acting against a client, doing business with a client, borrowing from a client, acting for client with whom the lawyer has a personal or sexual relationship).
  4. charges fair and reasonable fees and disbursements which are disclosed in a timely manner.
  5. fulfils duties relating to confidentiality (Section 3.3).
  6. obtains all necessary consents respecting disclosure (e.g., pursuant to relevant privacy legislation).
  7. delegates and supervises appropriately (Section 6.1 and By-Law 7.1).
  8. withdraws from representation only in compliance with the Rules of Professional Conduct (Section 3.7).
  9. fulfils all practice-related promises, undertakings, and trust conditions and does not make or accept promises, undertakings or trust conditions that cannot be fulfilled.
  10. does not engage in sharp practice (Rule 7.2-2).
  11. identifies and fulfils any fiduciary obligations.
  12. encourages public respect for and promotes the effective administration of justice.
  13. complies with requirements of the Law Society related to books and records (e.g., manages trust funds, preserves the client's property).
  14. does not become the tool or dupe of an unscrupulous client or persons associated with such a client (Rule 3.2-7).
  15. does not knowingly assist in or encourage any dishonesty, fraud, crime or illegal conduct (Rule 3.2-7).
  16. acts with integrity in dealings with others (e.g., clients, other lawyers, the Law Society, the court or tribunal, staff members, law students, the public).
  17. markets and advertises ethically and in accordance with the Rules of Professional Conduct.
  18. maintains appropriate professional relationships with lawyers, employees, students, clients and others (e.g., treats others with courtesy, civility and respect).
  19. respects human rights (e.g., does not engage in sexual harassment, discrimination or other human rights violations) (Rules 6.3-0 and 6.3.1). (Part of 24)
  20. respects the relationship of the opposing lawyer and his or her client (Section 7.2). (Part of 24)
  21. fulfils obligations in cases of dishonesty and fraud when the client is an organization (Rule 3.2-8).
  22. complies with the cash transactions requirements of By-Law 9.
  23. complies with duties with respect to unrepresented persons (Rule 7.2-9).

B. Knowledge of the Law: Ontario and Federal Legislation and Case Law Policy, Procedures and Forms

Knowledge of General Statutes, Common Law, Policy, Procedures and Forms

  1. demonstrates knowledge of legislation of general application and principles of statutory interpretation.
  2. demonstrates knowledge of fundamental common law principles (e.g., law of contracts, agency law, trusts law, torts law, property law).
  3. demonstrates knowledge of purposes of, and procedures and forms related to, substantive law.
  4. demonstrates a general awareness of specialty areas.

Real Estate

  1. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: a. Commercial Tenancies Act.
  2. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: b. Condominium Act, 1998.
  3. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: c. Construction Lien Act.
  4. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: d. Conveyancing and Law of Property Act.
  5. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: e. Estates Administration Act.
  6. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: f. Excise Tax Act (Part 9/HST).
  7. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: g. Execution Act.
  8. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: h. Family Law Act.
  9. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: i. Income Tax Act (Federal and Ontario) (i.e., Section 116, capital gains)
  10. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: j. Land Registration Reform Act.
  11. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: k. Land Titles Act.
  12. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: l. Land Transfer Tax Act.
  13. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: m. Mortgages Act.
  14. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: n. Ontario New Home Warranties Plan Act.
  15. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: o. Partition Act.
  16. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: p. Personal Property Security Act.
  17. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: q. Planning Act (other than Section 50).
  18. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: r. Real Property Limitations Act.
  19. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: s. Registry Act.
  20. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: t. Residential Tenancies Act, 2006.
  21. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: u. Road Access Act.
  22. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: v. Substitute Decisions Act, 1992.
  23. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: w. Succession Law Reform Act.
  24. demonstrates knowledge of substantive real estate law including the following primary statutes and related regulations and case law: x. Vendors and Purchasers Act.
  25. demonstrates knowledge of secondary real estate statutes and related regulations and case law (e.g., Beds of Navigable Waters Act; Building Code Act, 1992; Business Corporations Act; Canada Business Corporations Act; Cemeteries Act (Revised); Conservation Authorities Act; Criminal Code, Section 347; Environmental Protection Act; Extra-Provincial Corporations Act; Fraudulent Conveyances Act; Indian Act; Interest Act; Line Fences Act; Municipal Act, 2001; Ontario Water Resources Act; Power Corporation Act; Public Utilities Act; Religious Organizations' Lands Act; Statute of Frauds; Surveys Act; Technical Standards and Safety Act, 2000).
  26. demonstrates an understanding of agreements of purchase and sale.
  27. demonstrates an understanding of various types of conveyancing/transactions (e.g., rural, agricultural, waterfront, vacant land, fractional ownership agreements).
  28. demonstrates an understanding of property insurance.
  29. demonstrates an understanding of the land registration systems in Ontario.
  30. demonstrates an understanding of title searching (i.e., in electronic and non-electronic systems).
  31. demonstrates an understanding of off-title due diligence.
  32. demonstrates an understanding of subdivision control: Planning Act, Section 50.
  33. demonstrates an understanding of plans and surveys.
  34. demonstrates an understanding of requisitions on title and off-title matters.
  35. demonstrates an understanding of mortgage/charge transactions.
  36. demonstrates an understanding of enforcement of mortgage/charge security.
  37. demonstrates an understanding of preparation for closing, closing and post-closing procedures.
  38. demonstrates an understanding of special concerns for residential rental properties (e.g., single unit and multiple unit).
  39. demonstrates an understanding of remedies (e.g., vendors and purchasers applications, conditions, repudiation, rescission, specific performance, damages, rectification).
  40. demonstrates an understanding of title insurance.
  41. demonstrates an understanding of commercial real estate transactions.
  42. demonstrates an understanding of electronic registration and issues involving electronic registration (e.g., not sharing diskettes/keys, privacy issues, understanding technology).
  43. demonstrates an understanding of obtaining appropriate authorizations to register electronically.
  44. demonstrates an awareness of Aboriginal property issues.
  45. demonstrates an understanding of the use of trusts and related liability issues.
  46. demonstrates an understanding of commercial leasing (e.g., priority issues, non-disturbance agreements).
  47. demonstrates an understanding of residential leasehold interests including life leases.
  48. demonstrates an understanding of priority of claims.
  49. demonstrates an understanding of municipal law applications (e.g., zoning, minor variances).
  50. demonstrates an understanding of estate conveyancing.
  51. demonstrates an understanding of new and resale residential transactions.
  52. demonstrates an understanding of condominium transactions and the different types of condominiums.
  53. demonstrates an awareness of different options for holding title.
  54. does not act for both the transferor and the transferee with respect to the transfer of title except in accordance with Rules 3.4-16.7 to 3.4-16.9.
  55. demonstrates an awareness of the "red flags" and warning signs of real estate fraud.
  56. demonstrates an understanding of the Law Society requirements regarding private mortgages.
  57. demonstrates an understanding of document registration agreements.
  58. obtains and retains appropriate documentation in support of law statements.
  59. demonstrates awareness of the Law Society Guidelines regarding real estate.
  60. follows the Law Society procedures for discharges of mortgages.
  61. demonstrates an awareness of environmental issues in real estate transactions.
  62. demonstrates an understanding of powers of attorney in the practice of real estate.
  63. demonstrates an understanding of personal property matters as they relate to real estate transactions (e.g., mobile homes).

Wills, Trusts, and Estate Administration and Planning

  1. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: a. Accumulations Act.
  2. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: b. Estate Administration Tax Act, 1998.
  3. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: c. Estates Act.
  4. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: d. Estates Administration Act.
  5. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: e. Family Law Act.
  6. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: f. Health Care Consent Act, 1996.
  7. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: g. Income Tax Act (Federal)
  8. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: h. Perpetuities Act.
  9. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: i. Rules of Civil Procedure (Rules 74 and 75).
  10. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: j. Substitute Decisions Act, 1992.
  11. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: k. Succession Law Reform Act.
  12. demonstrates knowledge of substantive will and estate law including the following primary statutes and related regulations and case law: l. Trustee Act.
  13. demonstrates knowledge of secondary statutes and related regulations and case law related to wills, trusts and estates (e.g., Child and Family Services Act; Children's Law Reform Act; Crown Administration of Estates Act; Indian Act; Insurance Act; Mental Health Act; Powers of Attorney Act; Trillium Gift of Life Network Act; Variation of Trusts Act).
  14. demonstrates an understanding of trusts in estate planning.
  15. demonstrates an understanding of drafting and the execution of wills.
  16. demonstrates an understanding of capacity law.
  17. demonstrates an understanding of taxation at death.
  18. demonstrates an understanding of the impact of the Family Law Act on estate planning, administration and litigation.
  19. demonstrates an understanding of intestate estates (e.g., beneficiary entitlement, priority of appointment of estate trustee).
  20. demonstrates an understanding of estate litigation and mediation (e.g., will challenges, interpretation applications, variation of trusts, dependant support, claims against an estate, equalization applications).
  21. demonstrates an understanding of fiduciary obligations (e.g., the powers and duties of estate trustees, trustees and attorneys).
  22. demonstrates an awareness of inter-jurisdictional estate issues (e.g., income and other tax issues, conflicts of law).
  23. demonstrates an understanding of drafting and the execution of powers of attorney.
  24. demonstrates an understanding of drafting and the execution of trusts.
  25. demonstrates an awareness of issues involving multiple wills, mutual wills, alter-ego trusts, joint spousal trusts, inter vivos trusts, Henson trusts, joint ownership of assets, beneficiary designations and Saunders v. Vautier.
  26. demonstrates an understanding of the taxation of trusts (e.g., accumulation of income, capital gains, implications of non-residency).
  27. demonstrates an understanding of the administration of estates (e.g., estate trustee duties and potential personal liabilities, asset administration, income tax, accounting).
  28. demonstrates an understanding of the issues involved in maintaining or passing accounts.
  29. demonstrates an understanding of the basis of the compensation of estate trustees, trustees and attorneys under powers of attorney.
  30. demonstrates an understanding of the differences in the roles of the solicitor and the estate trustee.
  31. demonstrates an understanding of the issues involving joint estate trustees.
  32. demonstrates an awareness of the issues dealing with insolvent estates.
  33. demonstrates an understanding of dependant support claims under the Succession Law Reform Act.
  34. demonstrates an awareness of other claims in an estate context (e.g., promissory estoppel, quantum meruit, unjust enrichment, constructive or resulting trust claims).

Business Law

  1. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: a. Arthur Wishart Act (Franchise Disclosure), 2000.
  2. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: b. Bulk Sales Act.
  3. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: c. Business Corporations Act.
  4. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: d. Business Names Act.
  5. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: e. Canada Business Corporations Act.
  6. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: f. Canada Not-for-profit Corporations Act/Canada Corporations Act.
  7. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: g. Income Tax Act (Federal)
  8. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: h. Limited Partnerships Act.
  9. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: i. Not-For-Profit Corporations Act, 2010/Corporations Act.
  10. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: j. Partnerships Act.
  11. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: k. Personal Property Security Act.
  12. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: l. Securities Act.
  13. demonstrates knowledge of substantive business law including the following primary statutes and related regulations and case law: m. Securities Transfer Act, 2006.
  14. demonstrates knowledge of secondary business law statutes and related regulations and case law (e.g., Arbitration Act, 1991; Assignments and Preferences Act; Bank Act; Bankruptcy and Insolvency Act; Companies' Creditors Arrangement Act; Competition Act; Consumer Protection Act, 2002; Copyright Act; Corporations Information Act; Criminal Code; Electronic Commerce Act, 2000; Employment Standards Act, 2000; Excise Tax Act; Extra-Provincial Corporations Act; Fraudulent Conveyances Act; Interest Act; Investment Canada Act; Limitations Act, 2002; Patent Act; Retail Sales Tax Act; Trade-marks Act).
  15. demonstrates an understanding of the different methods of carrying on business (e.g., the advantages and disadvantages of sole proprietorships, partnerships, limited partnerships, corporations, co-ownerships, joint ventures).
  16. demonstrates an understanding of partnership agreements.
  17. demonstrates an understanding of taxation of different business structures.
  18. demonstrates an awareness of the advantages and disadvantages of incorporating in other jurisdictions.
  19. demonstrates an awareness of the impact of employment and labour law in the context of business operations.
  20. demonstrates an understanding of the creation and maintenance of the corporation (e.g., incorporation procedure, organization, amendments, annual filings).
  21. demonstrates an understanding of the roles and duties of directors, officers, and shareholders of a corporation (e.g., fiduciary duty, standard of care, election, rights and powers, meetings, shareholder remedies, directors' and officers' liabilities and insurance).
  22. demonstrates an understanding of shareholder agreements.
  23. demonstrates an understanding of the corporate capital structure: share capitalization (e.g., stated capital, rights, conditions and restrictions on shares).
  24. demonstrates an awareness of effecting corporate changes (e.g., Section 85 rollovers, Section 86 reorganization, fundamental changes, amalgamations, reorganizations, wind-up, dissolution).
  25. demonstrates an awareness of securities law implications for private issuers.
  26. demonstrates an understanding of due diligence in corporate and commercial transactions (e.g., appropriate searches, inquiries and investigations).
  27. demonstrates an understanding of debt financing and secured transactions.
  28. demonstrates an understanding of debtors' and creditors' rights and remedies (e.g., secured and unsecured).
  29. demonstrates an awareness of Aboriginal issues in business transactions.
  30. demonstrates an understanding of the purchase and sale of the business (i.e., shares or assets).
  31. demonstrates an understanding of commodities and sales taxes on commercial transactions.
  32. demonstrates an understanding of charities and not-for-profit law.
  33. demonstrates an understanding of franchising and licensing.
  34. demonstrates an awareness of inter-jurisdictional issues (e.g., Extra-Provincial Corporations Act, International Sale of Goods Act, Sale of Goods Act, income tax, business immigration).
  35. demonstrates an awareness of intellectual property issues (e.g., patents, copyrights, trade-marks).
  36. demonstrates an understanding of the impact of the Personal Information Protection and Electronic Documents Act on business transactions.
  37. demonstrates an understanding of the creation and maintenance of partnerships and sole proprietorships.
  38. demonstrates an awareness of family law issues in business transactions.
  39. demonstrates an understanding of the issues surrounding the role of the lawyer as a director.

C. Establishing and Maintaining the Solicitor-Client Relationship

Client Identification

  1. takes appropriate steps to determine who the client is and the client's role (e.g., multiple parties, spouses/family members, business partners, trustee vs. beneficiary, attorney vs. donor of a power of attorney, officers/directors/shareholders vs. corporation, authority to bind and give instructions).
  2. takes appropriate steps to avoid problems associated with phantom clients (e.g., non-engagement letters).
  3. complies with the Law Society client identification and verification requirements.
  4. attempts to identify whether a potential client is a front for a fraudulent scheme.

Conflicts of Interest

  1. uses a conflicts of interest checking system.
  2. identifies potential conflicts of interest before acquiring confidential information.
  3. takes appropriate action in situations where a potential conflict of interest is identified (e.g., refers out for independent legal advice, declines to act, discloses the conflict to the client and obtains consent, establishes reasonable measures to ensure non-disclosure of confidential information, advises the client of the consequences in the event the potential conflict materializes, documents the steps taken when a potential conflict of interest has been identified, properly withdraws).

Interviewing Principles

  1. determines the client's goals, objectives and expectations.
  2. makes an initial assessment of whether the client's goals, objectives and expectations can be met ethically through legal processes.
  3. asks questions to determine whether the client is capable of giving instructions (e.g., mental capacity, authority, duress, undue influence).
  4. considers confidentiality, privacy and privilege issues related to third parties present during interviews.

The Retainer

  1. establishes the scope of the retainer or confirms the absence of a retainer.
  2. identifies the instructing client (i.e., who has the authority to provide instructions).
  3. confirms the actions to be taken by the lawyer and the client(s) in the retainer.
  4. sets out and explains the basis for fees and disbursements in the retainer (e.g., rates for various personnel performing the work, hourly vs. alternative rates, periodic rate increases, contingency arrangements).
  5. outlines any delegation of responsibilities in the retainer.
  6. confirms the acceptable forms of client communication in the retainer (e.g., medium, timeframes, advises on the risks of communicating by electronic means).
  7. addresses solicitor-client privilege and privacy issues in the retainer.
  8. addresses conflicts of interest issues in a joint retainer (e.g., termination, confidentiality, consent).
  9. addresses termination issues in the retainer (e.g., non-payment of fees, no instructions, loss of confidence, conflicts of interest).
  10. confirms, in writing, any limitations to the retainer.
  11. obtains a monetary retainer as appropriate.
  12. confirms, in writing where appropriate, changes to the retainer.
  13. completes all obligations under the retainer.
  14. demonstrates familiarity with referral fees and splitting fees.
  15. demonstrates an awareness and understanding of the rules pertaining to limited scope retainers.

Client Communications

  1. communicates with clients in a timely and effective manner (Section 3.1) (e.g., formal reporting, returns phone calls in a timely manner, copies the client on correspondence as appropriate, advises on developments).
  2. manages and updates the client's expectations with respect to timeframes, results and costs.
  3. recognizes and is sensitive to clients' circumstances, special needs and intellectual capacity (e.g., diversity, language, illiteracy, socioeconomic status, disability, health).
  4. understands the risk of communicating by means of electronic media.
  5. establishes reasonable and effective means of communication for dealing with difficult clients.
  6. considers and communicates to the client the costs and consequences of various courses of action.
  7. recommends and obtains instructions from the client regarding the most effective tools to achieve desired results.

D. Fulfilling the Retainer

Administering the File

  1. maintains an electronic or written record for each matter for which the lawyer is retained.

Gathering Information and Analyzing the File

  1. identifies, obtains and reviews relevant facts and documents.
  2. recognizes urgency and takes emergency steps where necessary (e.g., registers a caution on title, construction liens, security registrations).
  3. assesses the completeness of documentation and responds appropriately.
  4. identifies the relevant factual and legal issues.
  5. identifies and obtains additional information and/or resources as needed (e.g., experts, accountants, actuaries, legal research, specialized counsel, valuators, other advisors)
  6. conducts or delegates research and investigations related to the matter as appropriate.
  7. identifies and uses appropriate research sources.

Developing the Action Plan

  1. develops options and recommendations and presents them to the client.
  2. identifies the risks and costs of various options.
  3. confirms client instructions with respect to options and recommendations.

Executing the Action Plan

  1. conducts due diligence as appropriate.
  2. prepares and/or reviews documentation, searches, and plans as appropriate.
  3. communicates with the other parties in a timely manner.
  4. uses and revises checklists where appropriate.
  5. determines and satisfies third party requirements where appropriate.
  6. identifies problems and solutions/options and obtains client instructions.
  7. conducts negotiations related to the matter as appropriate.

Completing the Retainer

  1. prepares and follows a closing agenda/checklist as appropriate.
  2. provides interim reports on a timely basis as required.
  3. reviews and explains documentation to the client and ensures proper execution.
  4. updates searches and certificates and obtains necessary pre-closing clearances and consents as appropriate.
  5. reviews remedies with the client and takes appropriate steps when the transaction is at risk of failing or fails to close.
  6. completes the matter in a timely and appropriate manner.
  7. complies with the Law Society requirements regarding the receipt and disbursement of trust funds.
  8. ensures capacity of the client to execute documents.
  9. ensures undertakings, both given and received, are completed and any escrow requirements are observed.
  10. advises all necessary parties of the closing or completion of the matter as appropriate.
  11. obtains documents to complete the file.
  12. provides final reports and accounting to clients and third parties in a timely manner.
  13. conducts a final review of the file prior to making the file inactive.
  14. retains or returns file documentation and electronic data appropriately.

E. Practice Management Issues

  1. manages time effectively.
  2. ensures safe storage of all original client documents retained by the lawyer (e.g., wills, share certificates, powers of attorney, trust deeds).
  3. makes appropriate arrangements for practice absences and maintains appropriate powers of attorney respecting the practice.
  4. makes appropriate arrangements for succession/contingency planning (e.g., death, disability, business interruption, disaster).
  5. transfers files appropriately to another lawyer on discharge (Section 3.7).
  6. demonstrates an awareness of the ongoing costs of managing a practice.
  7. possesses appropriate practice-related equipment and licensed software.
  8. meets obligations to file required documentation with, and pay fees and levies to, the Law Society and LawPRO.
  9. develops and follows policies regarding the retention and destruction of files.
  10. maintains a file management system.
  11. complies with continuing professional development requirements.
  12. develops and maintains time-planning and reminder systems and time-docketing or recording systems.