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File Management (continued)

Establish Protocols for Opening New Files and File Classification

All lawyers should adopt a policy that describes when and how to open new client files.  This policy should outline the actual steps to follow.  Consider the following:
  • Create a checklist for opening and closing files.  Include guidelines on how material will get filed, and create file-opening and file-closing sheets.
  • Create a file-opening book that includes:
    • sequential file numbering;
    • the file name;
    • the date the file opened;
    • in a multiple-lawyer firm, the name of the responsible lawyer;
    • the name of the client, along with contact information;
    • the subject matter/reference;
    • the name of opposing counsel and interested parties; and
    • a space for the file closing date, along with retention and destruction instructions.
  • Enter the client and new file information in your file-opening book, or your computerized list of clients and files, upon completion of the file-opening sheet.
  • Open a new file for each new client matter, as well as for each new client.
  • Create accounting records for each new file matter upon opening the file.
  • Establish cards or databases for clients and opposing parties. This step will provide:
    • a quick contact list, which is useful both during the life of a file and if you would like to follow up with clients;
    • a record to assist in managing your practice; and
    • a useful tool for checking conflicts.
  • How will you deal with individuals whom you only meet for a one-time consultation?  At a minimum, you should ensure that you enter their names into your accounting and case management systems to catch potential conflicts.
  • All documents should be reviewed before placing them in their file.
  • Establish a system that keeps files moving along and getting filed in a timely manner, rather than allowing for a backlog of filing to build up. Once you have dealt with the matter, create the appropriate bring forward on the file and in your system, then return the file to the file cabinet.

Separate files into “active files,” “closed files”, and “non-client files”.

Create an active file list, and ensure that it is regularly updated. File lists may be organized alphabetically, but it is also useful to put the date the file opened on the list. Active file lists:
  • provide a current record of all open files;
  • provide a reminder of the files you have for purposes of workload, billing and obligations; and
  • provide a framework document for delegating work to staff and following-up on files.
 
Consider which automated accounting programs best assist you in producing active file lists to chart unbilled work in progress, unbilled disbursements, the amount of money in trust, etc.  Until your file load gets to a certain size, it might be more economical to keep both active and closed files at your office, but it is advisable to separate them from one another. At some point, you will probably need to consider off-site storage options for closed files.
 
Your files relating to the operation of the firm, such as precedents and employee records, should be stored in a separate location and you should create a user-friendly, general index that allows people in your firm to access the documents and add new ones to the system.