1 chapter 13 file and records management. types of filing systems 2 centralized - located in one...
TRANSCRIPT
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Chapter 13
File and Records Management
Types of Filing Systems
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Centralized - Located in one area of office
Decentralized/Satellite - Located in various areas of office
Automated – Electronically stored files and records – “Paperless Office”
Coding/Numbering of Files
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AlphabeticNumericAlphanumeric
Straight Numbering
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Color indicates type of case, responsible attorney, or other.
Olson, James F. v. Ripley, Robert D. 102
Straight numbering is consecutive numbering: 102, 103, etc.
Calendar Numbering
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Color indicates type of case, responsible attorney, or other.
Olson, James F. v. Ripley, Robert D. 0811-341
Year and month
File No.
Calendar numbering reveals the age of a case and keeps all files opened in a year together.
Account Numbering
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Color indicates type of case, responsible attorney, or other.
Olson, James F. v. Ripley, Robert D. 862-104
Account File No.
An account numbering system is used by firms that represent clients with a number of cases, such as collection cases.
Combination Numbering
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Color indicates type of case, responsible attorney, or other.
Olson, James F. v. Ripley, Robert D. 0807-4-23.321/3
Year & Mo.
Attny
Type of Case
File No.
Volume No.
Alphanumeric
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Color indicates type of case, responsible attorney, or other.
Olson, James F. v. Ripley, Robert D. LA 123
Initials indicate type of case, attorney or branch office
Alphanumeric Numbering
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Olson, James F. v. Ripley, Robert D. 15-12-19-15-14
15 = O 12 = L 19 = S 15 = O 14 = N OLSON
File Opening Procedures
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New client intake sheet is completed
File is assigned a number in the firm’s system
Information is entered in billing and calendaring systems
Conflict check.
NEVER open a file without calendar or tickler entry
Prospective Client Files
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Opened when a prospective client consults an attorney
Contains notes of interviewMust be entered into firm’s conflict checking system
In a large case, documents are further categorized by type.
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File 1 - PleadingsComplaintsCross-ComplaintsAnswers
File 2 - DiscoveryInterrogatoriesRequests for AdmissionsProduction of Documents
File 3 – Motions
Circulation ControlCheck-out system
File audit system
Ethical walls to prevent unauthorized access
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File Retention Policy
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Factors to consider:Statute of limitationsType of fileAge of clientState and/or federal retention requirements
Cost of storage
Records Destruction
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Client must be afforded reasonable time to retrieve file prior to destruction
Method of destruction – protection of confidentialityShreddingIncineration
Maintain record of all destroyed files
Records DestructionDocuments not appropriate for destruction
Original will, trusts, estate planning documents
Original agreements which are of ongoing natureSettlement AgreementsCorporate documentsAdoption filesReal Estate documents – deeds of trust, notes,
title documentsDocuments with intrinsic value
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