Best Practices for Law Firm Digital File Management

This guide by our digital office specialist, Allison Gibson, provides best practices for law firms of all sizes and applies to most practice areas.

As law office organizing specialists, we’ve see a lot when it comes to case management and file management. One of the most common challenges can be putting your hand on a critical document immediately, when you need it, without wading through several files.

File Naming in the Digital Law Office

Most office now have a system for incoming documents: they’re scanned, logged, and dropped into the right digital file. Sometimes, however, file naming conventions aren’t met by the entire team or, guidance is needed on file naming best practices.

Step 1:

In advance, decide on the file naming convention that works best for your practice area.

Step 2:

Document the file naming rules and publish them along with your file structure requirements.  Place a copy of your file naming rules in every digital new client template folder.

Step 3:

Use these Guidelines:

• Include the date in a predetermined format (e.g., August 23, 2016 = 160823 or 2016-08-23) for chronological searching

• Include relevant dates (e.g., the date executed, created, identified, received, signed, etc.)

• Use abbreviations (e.g., EXE = Executed, DEPO = Deposition, DISCO = Discovery, etc.)

• Identify documents, if stamped, e.g., FILED, ISSUED, RECEIVED, etc.

• Include the matter number OR the case name (Johnson-v-Smith)

• Don’t use special characters.

• Avoid using spaces. But, if you do, the spaces should be consistent every time they’re used.

Here’s an example of how an incoming signed fee agreement would be named:

2021-08-23_M089456-B_FEE-AGREEMENT_EXE-by-Johnson.pdf

When filing the document digitally…

• Tag the file to include the client’s last name, the type of document and even the matter number, if you wish.

• Use descriptive names in subfolders. If necessary, include a very concise description of the file (i.e., for correspondence).

File Folder Structure and Organization

Organize folders by client name AND either the matter or case number, and the date the file was opened.  Another method includes the lawyer’s name or a numeric indexing system, but this is not recommended here as it provides too much room for error and lacks descriptive text.

Folders: High Level Structure Example

1. ARCHIVES

2. CLIENT FILES

3. CLOSED CLIENT FILES

4. DECLINED

Client Files Structure - Subfolders 

After the file structure is established, create an empty template of the folders which can be copied quickly for new cases.

Numbering:

Use double digit numbering for all of the primary folders so that they appear consistently in every tree. For example:

01-Admin

02-Attorney Notes and Research

03-Billing and Expenses

Inevitably, some matters will require a special folder that’s not a part of the template, so it needs to stand out. Numbering the special folder “00” for example, will put at the top of the directory and draw attention to it.

Document Index:

If you generate large volumes of documents for matters, consider incorporating a master file index spreadsheet into your subfolders. Although it will take a couple of minutes longer to log new documents into the spreadsheet, it will be an invaluable time saver when attempting to locate specific documents with specific information, especially when a matter has become complex and involves numerous documents. (I’ll provide a sample of the file index in a another post.)

File Tagging:

Consider adding tags to Word documents and PDFs. Tags are often read by practice / case management software when imported, and tags will give you more specific search terms.

Here’s our favorite example of client files structure from RocketMatter.com, which I’ve modified to include other key items, such as instructions and a file index.

CLIENT FILES

• [client name]

  • [matter name]

    1. 1. ADMIN

       • File naming and structure guidelines - Place these digital file management instructions - or your own - inside this folder

       • Intake checklist

       • Opening file checklist

       • Contacts

       • File Index

       • Other examples: labels, etc.

    2. 2. ATTY NOTES AND RESEARCH

       • Handwritten notes from client consults

       • Research (statutes, cases, etc.)

    3. 3. BILLING AND EXPENSES

       • Capture invoices, receipts, etc. here.

    4. 4. CLIENT DOCS

       • Any documents obtained from the client, including electronic copies of original client documents.

    5. 5. CORRESPONDENCE

       • All letters, faxes, emails, phone transcriptions/logs

    6. 6. COSTS

       • All costs that may be recoverable by your client

    7. 7. DISCOVERY & EVIDENCE

       • One separate folder for each independently represented party(ies)

       • Within each party’s folder is the discovery propounded by that party and the responses thereto

       • Evidence

       • Depositions

There is a separate folder for each deposition, containing the notice/subpoena, correspondence regarding the depo, examination outlines, exhibits, etc.

1. 8. DRAFTS

   • All draft documents remain in this folder until filed, submitted or sent

   • Final documents, whether created electronically, or printed and scanned, go elsewhere in this structure.

   • Mostly MS Word docs. Use file linking to attach to other relevant docs.

2. 9. PLEADINGS

   • All documents that are filed with the court

   • Should all be in PDF format

   • Should not be any MS Word docs

3. 10. RETAINER

   • Agreements

4. 11. TRIAL PREP

   • Many items in this folder will be duplicates but will be easier to locate quickly by placing them together in a trial prep or trial folder.

   • Copies of all documents that may be used as evidence at trial, including charts and timelines

   • Subpoenas

   • Signed “on-call” agreements.

   • Court information – court directory, research about the court, special court rules and procedures, and judge’s preferences

Download Best Practices for Law Firm Digital File Management.

About the Author

Allison Gibson provides administrative consulting and focuses on leveraging software technology to streamline and automate workflows and procedures.

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Looking Beyond the Hiring Process: 5 Simple & Important Steps to Retain New Staff

This article by Cynthia Thomas provides five simple, yet important, steps to follow in order to retain your staff member after hire.  Reprinted from Law Practice Today.

Hiring the right staff members can be challenging. The average cost per hire is $4,129, and it takes approximately 42 days to fill a position, according to the Society of Human Resource Management’s (SHRM) 2016 Human Capital Benchmark Report.

This cost per hire does not include the potential cost of a bad hire. Most companies, especially law firms are not aware of the costs involved in a subpar hire. However, solo attorneys and those who practice in small-midsize firms will most certainly feel the results of an inauspicious hire. Whether it is the costs of recruitment and training fees, the disruption of projects or the loss of current employees’ morale, a bad hire can be devastating to a law firm of any size.

In some cases, a bad hire can lead to losing clients. For example, I had a former client who was the managing partner of a 12-attorney insurance defense firm. Over the course of one year, attorney Doe had six different secretaries. One day, Doe wondered why he was not receiving any new matters from one of the firm’s major insurance defense clients, despite his amazing trial and settlement record. It turned out that the vice president of that client became frustrated because each time he called Doe’s office, a different individual answered the telephone, and that person did not know simple details about his various cases. As a result, the vice president stopped sending new cases to the firm. This loss of new cases eventually caused Doe’s firm to lay off two associates.

The turnover of Doe’s secretarial staff was not because he made poor hiring decisions; rather, he failed to take the proper steps to retain them. Here are five simple, yet important, steps to follow in order to retain your staff member after hire.

Step One: Hire Slow to Find the Right Person

Clearly, the first step in retaining a new employee is to hire the right person. Although this might seem to be a no brainer, it can often be taken for granted. In the past, employees would start and end their career with one employer. Today, this is rare. It is not just the millennial employees who change jobs frequently. Across the generational spectrum, employees and potential employees have seen layoffs, company collapses and nationwide uncertainty. As a result, the attraction of keeping one job until retirement is long gone, and often employees, especially millennials, begin looking for their next job as soon as they start one.

These serial job-seeking individuals place huge value on personal growth and development, and are always looking for the next chance to build their resumes and enhance their marketability. Take time during the interview process and go beyond what is on a candidate’s resume, and ask the right questions to make sure your potential candidate values and beliefs are akin with the firm’s.

Rather than asking a series of skill set questions, ask questions to determine personality traits and cultural fit. For example, ask your potential employee to describe the work environment or culture that makes him or her the most productive and happy. Or ask what is the single most important factor that must be present in the work environment for him or her to be successfully and happily employed. Asking these types of questions can help you get a better understanding of your potential employee’s personality and work ethic.

Step Two: Take Time to Train

After you have found and hired the right person, it is important to train and onboard your new hire during the first 90 days. This goes beyond a welcome email blast to all members of the firm announcing the new hire, or even hosting a breakfast/lunch meeting to introduce the person. Although a breakfast/lunch meeting is nice, it is imperative during the first 90 days for your new hire to assimilate well into your firm.

Even the most experienced paralegal may know how to do the substantive work and e-file documents in his or her sleep, may find it challenging in the beginning ‘getting up to speed’ and learning how things are done at your firm. Remember, every firm is unique regarding how and where it saves it documents. Something as simple as document naming conventions and saving files, or how the firm uses its management and case management program may seem minor and routine to those who know it, but a new employee wanting to make a good impression may find it time-consuming and frustrating, especially if the firm lacks a procedural manual.

It is a good practice to have a policy and procedure manual on how things are done. In the event your firm does not have a procedure or desk manual, perhaps it is time to develop one. A manual on how documents are saved, where they are saved, etc. in within your firm can simplify the cost of training. This manual is not only helpful for new employees but helpful when an employee is out sick and another person is covering that individual’s job.

In addition to having a procedure manual, assign your new hire a mentor or “peer buddy.” Assigning a mentor for the first 90 days will help your new hire feel comfortable asking “stupid questions” without feeling incompetent or asking the ‘wrong’ person. Additionally, your new hire can learn more about your firm by having a colleague to chat with and make this individual feel less like an outsider, and more comfortable/welcomed into his or her new employment environment.

Step Three: Keep Your New Hire Engaged and Excited

To retain your new employee, you need to beware of what employees are looking for when they change jobs. Assuming you do not overwork or take advantage of your staff members, one main reason why employees leave their current position is for an opportunity to gain more and/or different types of experience or training.

It is important to encourage professional development and diversification of skills for non-attorney staff. Allowing and paying for your staff members to join professional legal associations and/or take time off from work to attend training workshops and seminars communicates to your employees that you have a vested interest in their professional and career growth. This allows your current employees not only to expand their avenues for growth and learn the latest trends within the legal industry, but can also enable them to contribute to the advancement of the firm’s business goals.

For example, by paying for your secretary to attend a workshop on tricks and tips for Adobe Acrobat, he or she will be well-versed on how correct OCR errors and removing metadata, and as a result lead to efficiencies and cost saving. Now your secretary will have not only have a new marketable skill, but will realize his or her talents are recognized and are supporting firm’s goals for improved efficiency. In addition, he or she may now have the possibly of advancement either up the ladder or laterally across within your firm.

Another reason why employees leave their current position is boredom. Employees want to do work that feels meaningful. This can be challenging depending on the practice areas within your law firm. In addition to your daily duties and assignments, try to find projects that will allow your staff employees the freedom to work through problems and find solutions. This can be as simple as enlisting a file clerk to work with the records manager on researching a new cost-effective document shredding service. Employees who believe they are integral part of the organization are more loyal and will work harder.

Step Four: Show Recognition and Reward

Forget the annual performance review. Annual reviews are stressful and requires both the manager and employee to recall events and details on good and bad job performance events. Instead focus on providing consistent and constructive feedback on a regular basis. Through regular dialogue, your employee knows how he or she is doing, and how he or she needs to do to improve. This will keep your staff member informed and happy. As an added bonus, it alleviates the nerve-wracking end of the year performance raise/bonus evaluation meetings.

Remember, most employees genuinely want to know how they are doing on a day-to-day basis, not just once a year. A little compliment can go a long way. Staff members like to be rewarded when a task is well done. When your secretary comes in early and puts all of his or her effort into completing a given task to the best of their ability, and within the confines of a filing deadline, it is not necessary to throw him or her a party, but a genuine, sincere thank you, and/or perhaps a Starbucks gift card acknowledging his or her efforts, can make a world of difference. Attorneys often fail to acknowledge the time, effort and work it takes to complete such tasks.

Step Five: Be Caring and Compassionate

Good employees quit when they work for an uncaring boss. No one wants to spend every day working hard for someone who is cold and impersonal. This goes beyond a simple ‘how is your day’ before unleashing a series of demands and assignments. Showing genuine concern about your staff’s health and well-being is important.

Today, everyone is trying to find the perfect work-life balance. Allowing or embracing flexible work arrangements shows your employee that you care about his or her family and personal commitments. This is not about providing favors to some and not others, nor is it about working less hours. Rather, simply permitting staff members to come in an hour early, leave an hour early, or take a shorter lunch to attend a child’s sporting event or school function or attend a special social event communicates to your staff that you want them to be able to enjoy family and fun. All work and no play leads to burnout/stress and unhealthy employees. Employees want to be successful within their careers as well as their personal lives.

Non-attorney staff are vital members of a successful law firm. As technology and clients’ demands change the way lawyers practice law, it is important that law firms recognize and invest the proper time and training of its all team members of the firm.

 

About the Author

Cynthia Thomas is the founder of PLMC & Associates, a management consulting firm for small and midsize law firms. She is the associate editor and member of the American Bar Association Law Practice magazine editorial board and the Chair Person of the Lawyer Leadership and Management Committee. She was also a firm administrator for law firms in Los Angeles and San Francisco.

Cynthia is also a member of the Mims Business Consulting team.  Read more about Cynthia.

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The Changing Role of Legal Support Staff

Recent advancements in technology used by law firms have blurred the lines between legal assistants/paralegals and legal secretaries. What were once two separate and distinct positions now overlap, and both jobs have changed significantly.

Traditionally, the terms legal assistant and paralegal were used interchangeably, with both referring to a nonlawyer legal support staff member who, after education and training, performed substantive legal tasks. Legal assistants generally have an advanced understanding of the law and legal proceedings, and routinely perform tasks such as researching cases, preparing discovery, interviewing people involved in cases, preparing case summaries and general case management. These tasks are generally performed independently and are billed to the client. A legal secretary, on the other hand, performs clerical and administrative tasks under the supervision of an attorney or a paralegal. Historically, the legal secretary’s tasks commonly include word processing, dictation, handling incoming and outgoing mail, court filings and answering an attorney’s telephone. These tasks are not billed to the client. While serving very different functions and having distinct job requirements and responsibilities, legal assistants/paralegals and legal secretaries work very closely together and often rely on each other to play instrumental roles in providing support to attorneys and to the practice of law.

WHAT’S HAPPENING TO LEGAL SECRETARIES?

Times are changing. Goodbye typewriter; hello laptops, smartphones and tablets. The increased use of these electronic devices in law firms allows attorneys to work independently anywhere, any time. These devices, along with voice recognition software, are just a few of the technological advancements that have vastly affected legal secretaries’ duties. More attorneys type their own correspondence and use email rather than having a secretary type a letter and send it by U.S. mail. Younger tech-savvy associates need no encouragement to adopt the new technology and, as new generations enter the workplace, it will become the norm. A decrease in traditional clerical duties is also causing a major change in the role of legal secretaries.

Some law firms, wanting to cut costs and increase efficiency, are eliminating legal support staff positions, including secretaries. Those remaining secretaries, who once supported one or two attorneys, are now often supporting five or more, especially when assigned to younger lawyers. In addition, some law firms have retitled “legal secretaries” as “legal assistants,” not only so they can bill certain tasks of the secretary (such as drafting correspondence or organizing documents) to clients, but also to entice a new generation of entry-level college-degree workers who view a secretarial job as temporary or transitional.

LEGAL ASSISTANTS/PARALEGALS?

Legal secretaries, however, are not the only legal support staff affected by computer technology. The role of the legal assistant/paralegal is changing as well. Legal assistants are now required to perform legal research—another activity that the firm can bill the client for doing. This requires that a legal assistant know precisely where to go for any necessary information. Twenty years ago, this would often require going into the law firm’s law library and searching through books, spending countless (billable) hours reading and Shepardizing cases. Today most firms have discarded their books in favor of online services such as Westlaw and Lexis for legal research, not to mention the use of the Internet. This allows a legal assistant to perform the research in less than half the time, and with this faster technology the answer is often expected within minutes.

Another major change in the role of legal assistants involves the handling of discovery. Paralegals play a critical role in assisting attorneys with discovery. They help manage the discovery process, especially when large volumes of documents are involved. These documents are no longer housed in banker boxes with spreadsheets. Instead, through the use of computer technology, digital scanners and document management software, discovery documents are stored in electronic format. This use of document management software is another major technological change affecting legal support staff.

Therefore, the traditional role of a legal assistant has transformed into a more tech-savvy one, and paralegals are now training and working with IT personnel to assist in managing the discovery process. Thus, successful litigation legal assistants must now be familiar with document management software, and state and federal e-discovery rules, and they must be able to coordinate with outside litigation support vendors. As a result, the evolution of document management technology has created a new legal support staff member who merges the skills of a paralegal and a computer specialist into a legal technology specialist.

LEGAL TECHNOLOGY SPECIALISTS

A legal technology specialist provides technical support for large e-discovery projects, document production and document reviews. This position did not exist 15 years ago. If a specialized database was needed, the firm’s IT technician or department would assist a legal assistant in creating one. However, a legal technology specialist not only requires advanced knowledge of document management software programs and database manipulation, but also a thorough understanding of federal and state rules of civil procedure. Not to mention attention to detail, multitasking, analytical skills and great customer service skills. And let’s not forget someone who works well with attorneys, legal assistants and legal secretaries.

MOVING FORWARD

So what is the future role of legal secretaries and legal assistants? As technology continues to develop, legal and litigation support staff will continue to grow and remain to fill a vital function within law firms. For current legal secretaries and legal assistants to remain gainfully employed in the legal field today, they must first embrace technology as a survival tool and be willing to become proficient at the emerging software. Second, legal secretaries and legal assistants must adapt to change, demonstrate flexibility, be receptive to new projects and responsibilities, be willing to take on challenges to gain experience, and exhibit a desire for continuous learning and professional development. Third, to accommodate new technology and workflows, they will need to adjust their communications with lawyers so that more information can be shared regarding current projects and clients. Finally, they must be willing to work together and in teams.Therefore, law firms need to begin to reclassify and create new job descriptions, duties and titles to better reflect the support staff’s actual responsibilities. In addition, they must reorganize and restructure their organization to deliver the best client services. One possible new support structure is the development of client service teams. A client service team is based upon all members working collectively as a group. The team is comprised of partners, associates, paralegals and legal secretaries dedicated to performing the necessary tasks to provide quality services to clients and to ensure that the firm is running in a highly efficient and cost-effective manner. In a client service team concept, three roles dominate: (1) the client service coordinator, (2) the production coordinator, and (3) the production assistant. However, a team concept is only effective and successful if training programs assist all team members to retool and shift their thinking and approach to work in a more technologically advanced law firm world.

 

About the Author

Cynthia Thomas is the founder of PLMC & Associates, a management consulting firm for small and midsize law firms, and is the associate editor and member of the American Bar Association Law Practice magazine editorial board and the Chair Person of the Lawyer Leadership and Management Committee. She was also a firm administrator for law firms in Los Angeles and San Francisco.

Cynthia is also a member of the Mims Business Consulting team.  Read more about Cynthia.

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