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Version: 2017-001 December 4, 2017

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Where are we now 3/3

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Client File Management Course

Introduce yourself:

• Name

• Place of business

• Number of years in the business

Activity

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What questions do you have

about managing your client files?

Activity

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This course consists of three modules:

1. Client File Management Requirements

2. Client File Management Systems

3. Shared Practice

� Networking opportunities

Course Overview


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Course Schedule

Module Content/Learning Objective Time Morning Afternoon

Registration Networking Opportunity 30 mins 8:30-9:00 1:00-1:30

Opening Welcome and course overview 30 mins 9:00-9:30 1:30-2:00

#1 Client File Management

Requirements

40 mins 9:30-10:10 2:00-2:40

Break Networking Opportunity 5 mins 10:10-10:15 2:40-2:45

#1 Client File Management

Requirements (cont’d)

25 mins 10:15-10:40 2:45-3:10

Break Networking Opportunity 10 mins 10:40-10:50 3:10-3:20

#2 Client File Management Systems 45 mins 10:50-11:35 3:20-4:05

#3 Shared Practice 40 mins 11:35-12:15 4:05-4:45

Q&A Q&A Session 10 mins 12:15-12:25 4:45-4:55

Closing Wrap-up 5 mins 12:25-12:30 4:55-5:00


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� Course completion

� Attend entire course

� Contribute to learning process

� Member feedback

� Questions are encouraged

� Learning environment

� Interactive

� Undivided attention

� Mutual respect

� Respect diversity

Course Expectations


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Poll members on:

I rate my current client file management systems as:

a. (highly organized and efficient)

b. (mostly organized and efficient)

c. (somewhat organized and efficient)

d. (poorly organized and inefficient)

e. (what system?)

Polling

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MODULE 1: CLIENT FILE MANAGEMENT REQUIREMENTS

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Module 1: Client Records Requirements

At the end of this module, participants will be able to:

� Define key client file management terms

� Recall ICCRC’s requirements for managing client files

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Module 1 Objectives


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Q1. Who is responsible for maintaining client records?

a. Member

b. Member and clients of member

c. Member and agents of member

d. Member, agents, and employees of member

Your Response


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Who is responsible for maintaining client records?

� Member is responsible for all work and must supervise employees and agents (A.6.3.1)

� Member who signs initial consultation agreement/ retainer agreement (s.4.2)

� Member performing any function on a retainer agreement signed by another authorized representative

(s.4.3)

Who?

Q2. What is client property?

a. Everything the client gives the member to fulfill the scope of service

b. Original client documents only

c. Original client documents and all other documents, information and data provided by the client

d. Original documents and documents prepared for the client’s benefit which the member has been retained by the client to prepare

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Your Response (cont’d)


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What is client property?

� Original documents and documents prepared for the client’s benefit which the member has been retained by

the client to prepare (s.3.2.f)

What?

Q3. According to the Client File Management Regulation, what is member property?

a. Everything the member creates or produces

b. Anything in the member’s possession prior to signing the retainer agreement

c. Documents a member has prepared for his/her own benefit

d. All monies in the member’s general account and all items belonging to the member’s office and practice

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What is member property?

� The documents a member has prepared for his/her own

benefit

� Must be kept as part of client file (s.3.2.n)

What? (cont’d)


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Q4. What are client records?

a. The member’s personal notes and summaries on a client’s case

b. Documents that provide evidence of activities performed, events occurred, results achieved, or statements made as a result of the initial consultation agreement or retainer agreement

c. Copies of the client’s original documents and correspondence

d. Documents that provide evidence of results achieved only

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What are client records?

� Documents that provide evidence of activities

performed, events occurred, results achieved, or statements made as a result of the initial consultation

agreement/retainer agreement (s.3.2.g)

What? (cont’d)

Q5. What is the client file?

a. The physical paper folder containing the information related to the retainer agreement

b. The electronic folder containing the information related to the initial consultation agreement

c. The physical paper folder and/or electronic folder or

directory containing the files, data or information related to the initial consultation agreement and/or

retainer agreement for a particular client

d. The client’s personal records of the case

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What is the client file?

� The physical paper folder containing the physical

documents and/or the electronic folder or directory containing the electronic files, data or information

related to the initial consultation agreement and/or

retainer agreement for a particular client (s.3.2.e)

What? (cont’d)


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Q6. What must the client file contain?

a. Copy of the retainer agreement and other relevant agreements

b. Copies of all supporting documents to the immigration/citizenship application

c. Copies of correspondence between/about the client and the member

d. All of the above



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What must the client file contain?

� Copy of the retainer agreement and other relevant

agreements (s.5.2.a )

� Copies of all supporting documents to the

immigration/citizenship application (s.5.2.b)

� Copies of correspondence between/about the client, or

his or designate, and the member (s.5.2.c)

� Copies of client property (s.5.2.d)

� Billing documentation (s.5.2.e)

What? (cont’d)


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What must the client file contain? (cont’d)

� Client’s written authorization of designate (s.5.2.f)

� Copies of draft documents (s.5.2.g)

� Copies of immigration/citizenship applications or submissions on behalf of client (s.5.2.h)

� A paper/electronic record that includes:

� List of client property (s.5.3.a)

� Date the client property was received and returned (s.5.3.b)

� Acknowledgement of receipt of property (s.5.3.c)

What? (cont’d)


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Q7. What must a member’s system be able to do?

a. Open and maintain active files

b. Label and identify client property

c. Close, retain, destroy and dispose of closed files

d. All of the above



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What must a member’s system be able to do?

� Open and maintain active files (s.4.4.a)

� Label and identify client property (s.4.4.b)

� Store and easily retrieve active and closed files (s.4.4.c)

� Place client property in safekeeping (s.4.4.d)

� Close, retain, destroy, and dispose of closed files

(s.4.4.e)

What? (cont’d)


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What else is required for record keeping?

� Maintain a list of closed files including the date the file

was closed (s.7.3)

� Establish a projected file destruction date once the file

is closed, and record the date in the file (s.7.4)

� Maintain a record of destroyed files, including: client’s

name and address, description of service, file closing

date, and actual file destruction date (s.10.1.a-d)

What? (cont’d)


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What must a member account for and return to the client upon request?

� Any client property in the member’s custody (s.8.2)

What? (cont’d)


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Q8: What is required to ensure confidentiality?

a. Member must ensure that client’s personal information and documentation is protected

b. The client’s name must not appear on the outside of the client file

c. Member must use a client code on all documentation and correspondence

d. Employees must sign out and sign in any client files removed from filing cabinet



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What is required to ensure confidentiality?

� Maintained at all times (s.11.1)

� Protect client personal information and documentation

(s.11.2)

� Preserve client confidentiality indefinitely, even after finished acting for client (A.8.2.1)

What? (cont’d)


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Q9. Where must a member store closed files?

a. In a secure off-site location

b. Separately from active files and in a secure and accessible location

c. In the member’s main office

d. In a fireproof, locked filing cabinet (hard copy files) or in an encrypted, password protected electronic directory (soft copy files)



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Where must a member store closed files?

� Separately from active files (s.5.4)

� In a secure and accessible location (s.7.2)

Where?


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Break


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Q10. When must a member open a client file?

a. Upon signing the initial consultation agreement

b. Upon signing the retainer agreement

c. Upon commencing work on the file

d. Upon receiving documents from the client



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When must a member open a client file?

� At the time of signing the retainer agreement (s.5.1)

� Members engaged in paid and/or pro bono service must

comply with Client File Management Regulation (s.4.1)

When?


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Q11. When may a member close a client file?

a. After all outstanding fees or refunds have been settled

b. After all client property has been returned

c. After the client has been notified that the retainer agreement has been terminated and that all property belonging to the client has been returned

d. All of the above



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When may a member close a client file?

� After all outstanding fees or refunds have been settled

between member and client, or designate (s.7.1.a)

� After all client property has been returned to client or designate (s.7.1.b)

� After client has been notified in writing that retainer

agreement is terminated and all documents and

property belonging to client returned (s.7.1.c)

When? (cont’d)


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Q12. When may a member destroy a client file?

a. Upon closing the file

b. 6 years after the file is closed

c. 10 years after the file is closed

d. 15 years after the file is closed



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When may a member destroy a client file?

� 6 years after the file has been closed (s.7.2)

When? (cont’d)

Why maintain client files?Discussion

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Why maintain client files?

� To ensure client property is kept safe and distinguished

from member property (s.2.1)

Why?


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Q13. Which of the following does not illustrate proper safekeeping and storage of client files?

a. b.

c. d.



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How must a member safe-keep and store client property?

� Keep client and member property distinguishable

(s.8.1)

� In strict confidence, at all times (A.8.1.1)

� Take all reasonable steps to ensure privacy and safekeeping of a client’s confidential information

(A.8.3.1)

How?


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How must a member safe-keep and store client records?

� Physically secure manner, maintain client

confidentiality, protect against damage and loss (s.6.1)

� Obtain client records from agent, as per agent

agreement (s.6.2)

How? (cont’d)


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Q14. How long does a member have to account for client property and deliver it to the client?

a. Promptly, but no later than 14 and 30 calendar days, respectively

b. Within 14 and 30 calendar days, respectively, unless otherwise agreed upon

c. Promptly and within 14 and 30 calendar days, respectively, unless otherwise agreed upon

d. Immediately, upon request



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How long does a member have to account for client property?

� Promptly and within 14 calendar days (s.8.2)

� Or reasonable timeframe negotiated between parties

How long does a member have to deliver client property to the client?

� Promptly and within 30 calendar days (s.8.2)

� Or reasonable timeframe negotiated between parties

How? (cont’d)


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Q15. How must a member return client property?

a. Securely and confidentially

b. Registered courier at the member’s expense

c. Registered courier at the client’s expense

d. In-person



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How must a member return client property?

� Securely and confidentially (s.8.3)

How must a member transfer a client file?

� Withdraw representation (A.11.5.1)

� Return client property and co-operate with successor (s.9.1)

� Complete the Release Form prior to transferring client property (s.9.2, Planned or Unplanned Absence Regulation)

How? (cont’d)


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Q16. How must a member destroy a client file?

a. In a manner that preserves client confidentiality

b. Using an independent paper shredder service

c. Using an in-house or independent paper shredder service

d. In a manner that ensures that no trace of the files remain



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How must a member destroy a client file?

� In a manner that preserves client confidentiality (s.10.2)

How? (cont’d)


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Questions?


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Break

MODULE 2: CLIENT FILE MANAGEMENT SYSTEMS

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Module 2: Record Keeping SYstems


� Identify various client file management systems

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Module 2 Objective

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Client File Contents

Client file contains:

Client Records

Member Property

Client Property

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Client File Formats

Client File

(Client Records, Member Property, Client Property)

Hard copy

E.g., paper documents,

passport, marriage certificate, etc.

Combination

E.g., paper documents, PDFs, jpegs, e-mails, etc.

Soft copy

E.g., Word documents, PDFs, jpegs, e-mails, etc.


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Hard copy

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Client File Management Systems

� Labelling client file

� Organizing hard copy files, e.g.,:

� File folders in filing

cabinet

� File folders in bankers

box

� File folders in

accordion folder

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Client File Management Systems (cont’d)

and/or

▪ Assign a distinct file name and number to each file▪ File name should include the name of the client and the

reference or matter number

▪ Label electronic files with as much detail as possible

▪ Label side or top edge of file

Alphabeticalclient name and category of

representation code

e.g. Smith, C_SW

Numerical1. straight numerical sequence

2. permanent file number

3. calendar numbering 4. location code

Client file labelling systems:

Hard copy organized by subfolders:

� Billing/expenses

� RCIC’s notes

� Draft documents

� Correspondence

� Documents from clients

� Agreements

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Hard copy storage options:

� Filing cabinet

� Accordion folder

� Binder

� Bankers box

� Cabinet

+

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Soft copy

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http://www.goodhacker.in/?p=406

� Labelling client file

� Organizing soft copy files, e.g.,:

� Word document in

electronic folder saved to PC/Mac hard drive

and external hard drive

� E-mail message in

subfolder on e-mail

server and network

� PDF in electronic folder

saved to USB key and

Cloud

Jai_N_FSW

Soft copy organized by subfolders:

� Agreements

� Billing/expenses

� Correspondence� Client/RCIC discussions� Client instructions� Client questions� RCIC instructions� Third party correspondence

� Documents from client

� Draft documents

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Client File Managements Systems (cont’d)


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Soft copy storage options:

� PC/Mac hard drive/external hard drive

� External server

� Network

� Cloud

� E-mail server

� USB key

� CD or DVD

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� Contain the breach

� Evaluate the risks

� Notification

� Prevention

� Personal Information Protection and Electronic

Documents Act (PIPEDA) is Canada’s private

sector privacy law

� Information & Privacy Commissioner

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Responding to a Privacy Breach

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Client File Storage Considerations

Consider…

FORMAT (primary and

backup)

Hard copy—e.g., fireproof and locked filing cabinet, locked

cabinet, bankers boxes in locked room, etc.

Soft copy—e.g., hard drive, network, offsite

server, Cloud, CD/DVD, USB key, e-mail folders,

etc.

PHYSICAL LOCATION

Onsite/offsite (security)

Access by public/staff (confidentiality)


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When deciding on a client file management system that works for you, what factors should you consider?

Discussion

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Module 2: Record Keeping SYstems

Factors impacting your chosen client file management system:

� Size of practice

� Number of jurisdiction(s)

� Location of jurisdiction(s)

� Available resources (space, time, money)

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Client File Management System Factors

Which client file management tips are most useful in your practice?

Resource

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Client File Management Tips


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Opening/Maintaining Client Files

� Client File Content Checklist Template (s.5.2-3)

� Active Client File Register Template (s.4.4.a & c)

� Client Property Register Template (s.4.4.b, s.5.3.a- c)

� Client Communication Register Template (s.5.2.c)

� Client File Deadline Reminder Systems Resource (A.6.1.1.i)

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Client File Management Tools

Closing Client Files

� Closing/Transfer Client File Register Template (s.4.4.e, s.7.3)

� Ownership of Client File Contents Resource (s.7.1.b)

Destroying Client Files

� Steps for Storing, Closing and Destroying Client Files Resource (s.7.1.a- c)

� Destruction of Client File Register Template (s.4.4.e, s.7.3-4, s.10.1.a- d)

� Master Client File Register Template (s.4.4.a, s.4.4.c, s.4.4.e)

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Client File Management Tools (cont’d)

MODULE 3: SHARED PRACTICE

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Module 3: Shared practice


� Verify their chosen client file management system

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Module 3 Objective

In small groups, share your:

1. Client file management system

2. Benefits of your system

3. Challenges of your system

4. Solutions to overcoming these challenges

Group

Activity

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Client file management system recommendations for the

group?

Discussion

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Reflect on your current practice and verify your chosen client file

management system

Activity

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Questions

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Member Feedback Survey

� Feedback for ICCRC on course and instructor

� Online survey – link e-mailed to you today

� Anonymous – be honest and constructive

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Wrap-up


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Webinar Invitation

� Optional

� Online session – audio and data

� Headset with built-in microphone required

� E-mail client file management questions in advance

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Wrap-up (cont’d)

Member Support

� E-mail your instructor with PME course-related questions

� [email protected] for all other queries

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Wrap-up (cont’d)


Morris, J. & Myers, G. (2006). Opening and Maintaining Client Files—Practice Resources. Retrieved fromwww.lawsociety.bc.ca/docs/practice/resources/ClientFiles.pdf.

National Council of Social Service. (2007). Documentation and Record Keeping-A Guide for Service Providers. Retrieved from http://www.ncss.gov.sg/documents/Documentation_Record_Keeping_Guide5.pdf.

The Law Society of Upper Canada. (2011). Record Keeping Requirements. Retrieved from http://www.lsuc.on.ca/WorkArea/DownloadAsset.aspx?id=2147485024.

The Law Society of Upper Canada. (2012). Guide to Retention and Destruction of Closed Client Files—For Lawyers. Retrieved fromhttp://rc.lsuc.on.ca/pdf/practiceGuides/retentionDestructionGuide.pdf .

The Law Society of Upper Canada. (2012). Practice Management Guidelines. Retrievedfrom http://rc.lsuc.on.ca/pdf/pmg/pmg.pdf.

WebDesignDev. (2008). 10 Tips to Organizing your Client Records. Retrieved from http://www.webdesigndev.com/web-development/10-tips-on-organizing-your-client-records.

WebDesignDev. (2009). Tips for Good Record Keeping. Retrieved from http://freelancewich.com/freelancing essentials/7-tips-for-good-record-keeping/.

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Bibliography


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Thank you!

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