Legal Office Procedure

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Filing and Records Management

Welcome Notes:

WELCOME BSOA STUDENTS!

I. INTRODUCTION

This module covers the procedure and helpful tools for making the law office automated. Different
apps and skills that the students must learn to become proficient in handling different office work load.

II. OBJECTIVES

At the end of this module, you should be able to:

● Definition of Filing;
● Types of Records;
● Record Retention and Disposition;
● Systems of Filing;
● Tips to Establish an Efficient Filing System
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III. PRELIMINARY ACTIVITY

Before you proceed to the main lesson, challenge yourself first with this
activity.

INSTRUCTION: WORDSCAPES. Form a word using the Jumbled letters in the circle below. Use the dashes
as the clue for each word.

G E M
A A
MT N
E NE
1. __ __ __ 4. __ __ __ __
2. __ __ __ 5. __ __ __ __ __
3. __ __ __ __ 6. __ __ __ __ __ __ __ __ __ __

Answer: Age, ant, team, neat, meant, management

AMAZING!!!
You may now proceed to the main lesson.

Based on the preliminary activity, what did you notice about it?

CONGRATULATION!
You may now proceed to the lesson
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IV. LESSON PROPER

4.1 What is Filing

Filing is a system of arranging and storing business papers in an orderly and efficient manner so
that they can be located easily and quickly when they are needed.
Before setting up a law office filing systems, it is essential to determine the types of records that will
be kept. There is usually a master card file, which indicates client information for all the actions every attorney
in the firm is involved. There are individual files for each legal action every attorney is working on. There are
also individual files for client matters which are no longer active. Also, there are many other records that must
be filed which do not pertain to a specific client or a specific action.

4.2 Types of Records

1. Active Client Card File. These cards provide space for the name, address and telephone number of the
client. Most law offices need to cross index some client cards. If the matter involves a lawsuit, it also provides
space for the adverse party in the suit and for the type of action and the name of attorney in charge. If the
client is a corporation, the office representing the corporation is included.

2. Inactive Client Record. When the legal matter has been concluded or a lawsuit settled, the file for that
matter is removed from the current file and placed in the inactive file. The file can be located if needed by
determining its file number.

3. Master Card File. This indicates client information for all the actions every attorney in the firm is involved
in.

4. Miscellaneous File. This include such items as general correspondence, purchase orders, statements of
purchase, statements to send to clients, records of income, payroll records, income tax records, cancelled
checks and insurance policies.

5. Personal File. This includes members, committee reports, expenses related to professional organization
activities, copies of speeches, and copies of articles written for professional journals.

Where to Locate Files

There are two general options for file locations, centralized and decentralized.
Centralized filing is the location of all active files under the control of one or more staff.
Decentralized filing occurs when files are located in a number of locations under the control of a
number of people.

4.3 Records Retention and Disposition

Retention scheduling is the process of determining the life of a record in each stage of the information
life cycle (from creation through disposition). Scheduling takes into consideration not only the practical
business life of records (satisfying administrative, fiscal, and research needs) but also state and local
regulatory requirements.
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The length of time a record must be kept to meet these requirements is referred to as its retention
period. Records retention schedules are a critical component of a records and information management
program. In its most basic form, a records retention schedule identifies the records to be managed and
communicates how long the records are to be retained. A records retention schedule provides direction and
guidance on recordkeeping requirements and conditions.

The records retention schedule is typically compiled and maintained by a records and information
management (RIM) professional (sometimes called a Records Manager) - using best practices, industry
standards and methodologies, The process of creating a retention schedule begins with gathering information
by conducting a records inventory to determine among other things: what records exist, their formats, their
origin, and who accesses them. In the end, the retention schedule is usually reviewed and approved by
appropriate departments and signed off by the leadership of the organization. If the organization is a state-
funding entity, it is possible that state law will require the retention schedule to be approved by another state
agency - an agency that has legal authority over records and information management issues state-wide.

Record Disposition

Records disposition is a critical element of records management and is the final operational action
taken in the records lifecycle. Disposition may include the destruction of records or the transfer of records to
another entity (most commonly an Archive) for permanent preservation. An organization's records disposition
program provides approved routine procedures to dispose or transfer records that are no longer needed in
the office for current agency business.

During the disposition process, records are approved for destruction or transfer according to the
policies and procedures of the organization. One goal of this process is to consistently and properly
disposition records during the normal course of business. Records that contain information that is sensitive
(e.g. FERPA or HIPAA protected information) should be destroyed in a secure manner that protects privacy
such as shredding, incineration, or secure digital destruction Records containing non-sensitive information
may be disposed of in the trash, recycling, or less secure digital destruction. Another goal of the disposition
process is to provide proof that records have been consistently and properly dispositional. This point is
extremely important in light of the most recent revisions to the Federal Rules of Civil Procedures which deal
with the process of discovery and production of evidence in response to potential litigation.

Retention Periods

The assignment of retention periods must be carefully considered and crafted in a meaningful way
to support the organization, its functions, and its information management responsibilities. Retention periods
are determined by appraising the associated records' usefulness or value in the following four areas:
1. Operational - the usefulness of a record in the conduct of an organization's business; the value of a
record for the purpose for which it was created. (Also referred to as Administrative value.)

2. Legal - the usefulness of a record in complying with statutes and regulations as evidence in legal
proceedings.

3. Fiscal - the usefulness of a record in serving as documentation of the financial transactions of an

organization.
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4. Research - the usefulness of a record in providing research value.

5. Historical - the determination that records possess current or future value in clarifying the history of
an organization and are thus worthy of permanent preservation.

Steps in a Record Retention Program

1. Take an inventory of records.

2. Review the types and value of current records.

a. Operational/administrative value

b. Legal value

c. Fiscal value

d. Historical value

e. Research value

3. Review the laws and regulations for each type of records.

4. Develop a records retention policy and/or schedule.

5. Protect the vital records of the organization

6. Continue to apply the retention schedule to archive and dispose of records at least annually

7. Review records retention policy/schedule periodically for compliance with new or revised laws and
regulations.

Vital Records that should be kept permanently and preserved

1. Birth Record

2. Marriage Record

3. Death Record

4. Divorce Records

5. Student records

6. Active court records

Records Kept for 6 or 7 Years

Records in this category facilitate routine business operations and are replaceable only at
considerable cost and delay.
1. Contracts, leases, and agreement
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2. Accounts receivables

3. Schedule of fire and other insurance

4. Inventories of materials

5. Sales records

6. Collection records

Records Kept for One Year or Less

Records in this classification are often destroyed after they have served their purpose.
1. Announcement

2. Memorandum

3. Congratulations

4. Condolences

5. Form letters

6. Transmittal letters

Birth records are typically filed in the country/municipality where a person was born, and may contain
various information; this all depends upon the practices in that locale and at the time of birth. Typically, the
full names of the parents and the mother's maiden name are included, as well as the baby's name, his or her
date of birth and the location where the birth took place. Birth certificates are often helpful when conducting
genealogical research if you want to learn about a past generation, or if you simply need to verify your own
identity.
Records of death often are also filed in the corresponding county where the individual died. Depending
upon the practices of that county, the full name of the deceased, the date of his or her death, where they are
buried and possibly the cause of death are included in this record. Additional information such as the person's
date of birth and who reported their death may also be found on a death certificate. This information could
lead you to a family burial plot or further understand where your family originated from
Marriage records can afford a wide range of information to the public, including the date of marriage and
where it occurred, the full names of the bride and groom, and even the full names of their parents. Birthplaces
and dates are included in the marriage certificate, providing further assistance in verifying you are examining
the correct record and gathering useful information. You will need copies of your own marriage records in
order to legally change your name or claim life and disability benefits for your spouse.
Divorce decrees are filed with the local government office where the final divorce was approved.
Certificates are also kept at the state level, but contain only general information. The names of the parties
involved in the divorce, the date the divorce was finalized, and details of property and debt division, custody
and support arrangements as well as any temporary restraining orders are included in the decree. This
information can help you to verify a potential mate's marital status or even track down missing ancestors'
information.
Depending upon whether you are directly named in these records, you may not be able to access some
of the personal information included in them. Each state maintains their own laws and practices regarding
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maintaining these files, but will still allow the general public to verify names, dates and locations where these
events took place. Consider using these records to your advantage the next time you want to search for long-
lost relatives or perform a simple background check, and you'll have a general understanding of whether
someone is telling you the truth or where you may be able to track them down.
Different types of court records available for public review and research can be accessed in a variety of
ways for a variety of purposes. If you are trying to learn a little more about someone in your or your loved
one's life, need to perform a background check or are simply trying to find a long-lost family member, these
records may come in handy. In addition, any records that may directly relate to a situation you currently find
yourself in or pertain to your past may be of interest to you. Perhaps you want to research similar cases to
yours, or you need to obtain copies of your own records for employment purposes, special permit applications
or even college admission. Adoption records may also be of interest to you, but these are typically not
available without a court order.
Filing needs
1. Filing Cabinets. Various sizes are needed. These cabinets must be at least 14 inches wide

2. Filing supplies - client folders, dividers, labels, guides, cardboard, out guide, tabs.

3. Expandable files - custom expandable files, pockets, envelopes, wallets.

4.4 Systems of Filing

Law offices generally use four basic filing procedures or a combination of the three.
Alphabetic Filing
Files are stored alphabetically. To arrange words or names in correct alphabetical order, you must
perform three steps: Indexing, dividing into filing units, and alphabetizing. Indexing is the arrangement of the
parts of a name in order so that the name can be alphabetized. The second step in alphabetizing is to divide
the name into filing units. The general rule is that each word, initial, or abbreviation in a name is a separate
filing unit. Once names are indexed and divided into filing units, you can alphabetize them - that is, arrange
the names in order from A to Z.
Inspecting
Before filing a document, you must be certain that it has been released for filing. You do not want to
make the mistake of filing a document that has not been seen or processed yet. On incoming corresponding,
check for the release mark that indicates that the addressee is finished with the document. A release mark
is a person's initial, a "file" stamp, or some other methods of marking to indicate that a document is ready to
be filed.
Coding
Coding is the process of underlining or highlighting the name that is used for filing. In some
companies, coding may also include marking the indexing order. Usually, coding is marked on the face of
the document in colored pencil.
Cross Referencing
When a document may be requested by more than one name or subject, you should file it under the
most appropriate caption and place cross-references in the other file locations. Cross references save time
by leading you directly to the location of the record you are looking for.
Numeric Filing. Records are arranged in numerical order. This method of filing is very useful when
the records are already numerically sequenced. Purchase orders, invoices, and requisitions, for example,
are often printed with numbers.
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Subject Filing. A method of storing records in alphabetical order by subject matter rather than by
individual or company name. Subject filing system may be very simple or very complex, depending on the
subject categories used.
Geographic Filing. A method by which records are stored according to the
geographic location they refer to. The caption that determines filing order in a
geographic filing system is the name of the city, county, state or region.
Other Filing Systems
Tickler File. It is a reminder system to keep track of deadlines, similar to a calendar, with notation
each day about what needs to be done that day. This is considered most worthwhile to the legal secretary in
helping her remember important dates and deadlines

4.5 Tips to Establish an Efficient Filing System

Accessing files easily and finding documents on short notice is important to a lawyer and establishing
a reliable filing system is crucial. Although the methods out there are countless, picking one and consistently
using it is of the utmost importance to the organized lawyer.
1. Establish a logical numbered or alphabetized system. One popular method is to use client-matter
numbers, which usually allows for easy integration into other office systems and software.

2. Separate your administrative and litigation files.

3. Consider color-coding folders and/or tabs for litigation files (e.g. green for pleadings, red for
discovery, plain manila for correspondence)

4. Be ordered chronologically, with the recent material most accessible.

5. Establish a system for file storage, tracking, and destruction in accordance with applicable rules

6. The filing should be updated daily. Do NOT let it pile up!

7. Ensure you and all staffs' familiarity with the filing system.

It is not impressive to have a law office wherein you scramble around for half a day looking
for a particular piece of missing correspondence or pleading prior to a deadline. The efficient law
office will have an established, well-defined, and logical filing system that can be understood with
minimal effort by any new hired staff.

We had just finished the discussion on Law Office Automation!

Let’s move on to the next higher level of activities or exercises that
demonstrate your potential skills/knowledge of what you have learned.
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V. ANALYSIS, APPLICATION AND EXPLORATION

Name: ______________________________________________ Course & Section: _________________

How Much Did You Learn? Take this short survey to see how much you really know. Answer TRUE or
FALSE to each of the statements. Write legibly your answers to the space provided before each number.

_______1. Before setting up a law office filing systems, it is essential to determine the types of records that
will be kept.

_______2. Sales records are vital records that should be kept permanently and preserved.

_______3. Record disposition is the final operational action taken in the records lifecycle.

_______4. Centralized filing are files located in a number of locations under the control of many people.

_______5. Administrative and litigation files should be separated.

Finally, let us summarize the lesson of what we discussed today.

VI. GENERALIZATION
Office records are vital to the company that, improper storage and management of it may lead
to high value loss to the company. What do you think are the things that may lead to records being
damage?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________

KUDOS!
You have come to an end of Module 8.
OOPS! Don’t forget that you still have an assignment to do.
Here it is…
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VII. ASSIGNMENT

Name: ______________________________________________Course & Section: _________________

Direction/Instruction:

For your assignment, review terminologies. Then, match the following items accordingly. Write the letter of
your answer on the space provided before each number.

_____1. Filing supplies A. records arrange in numerical order

_____2. Master Card file B. client folders, dividers, labels

_____3. Records Manager C. records containing financial information

_____4. Numeric filing D. includes client information by every attorney

_____5. Fiscal value E. a records & information management professional

After your long journey of reading and accomplishing the

module, let us now challenge your mind by answering the evaluation
part of this module.
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VIII. EVALUATION

Name: ______________________________________________ Course & Section: _________________

Direction/Instruction:
Multiple Choice: Encircle the letter of the BEST answer.
(This evaluation will be submitted on ________________.)

1. A method of storing records in alphabetical order by subject matter rather than by individual or
company name.
a. Numeric filing
b. Geographic filing
c. Subject filing
d. Cross referencing
2. A _______ is a person's initial or some other methods of marking to indicate that a document is ready
to be filed.
a. Release mark
b. Point mark
c. Period mark
d. None of the above
3. It is a reminder system to keep track of deadlines, similar to a calendar, with notation each day about
what needs to be done that day
a. Numeric filing
b. Tickler file
c. Geographic file
d. Subject file
4. Which of the following should be kept and stored permanently?
a. Active court record
b. Collection record
c. Accounts receivable
d. Memorandum
5. ______ is the arrangement of the parts of a name in order so that the name can be alphabetized
a. Alphabetizing
b. Dividing
c. Indexing
d. Inspecting
6. When a document may be requested by more than one name or subject, you should file it under the
most appropriate caption and place cross-references in the other file locations. This method is called:
a. Tickler filing
b. Coding
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c. Inspecting
d. Cross referencing
7. _____ is the process of underlining or highlighting the name that is used for filing.
a. Coding
b. Inspecting
c. Cross referencing
d. Alphabetizing
8. Which among these records should be kept for one year or less?
a. Student records
b. Transmittal letters
c. Sales records
d. Inventories of material
9. This includes members, committee reports, expenses related to professional organization activities,
copies of speeches, and copies of articles written for professional journals.
a. Inactive client file
b. Personal file
c. Miscellaneous file
d. Master card file
10. ____is a system of arranging and storing business papers in an orderly and efficient manner so that
they can be located easily and quickly when they are needed.
a. Recording
b. Storing
c. Filing
d. Baking

CONGRATULATIONS on reaching the end of this module!

You may now proceed to the next module.
Don’t forget to submit all the exercises, activities and portfolio
on ___________________.
KEEP UP THE GOOD WORK.

Prepared by:
Eugenio P. Bayani, Jr., LPT, MBA

Noted by: Joan O. Bayani, LPT,MBA

ASTP/ABM&BSOA STRAND HEAD