Module 5

FILING and RECORDS MANAGEMENT IN A LAW OFFICE

 WHAT ARE RECORDS?

• It is a memory of any business organization.

• Any material thing which serves to perpetuate or preserve knowledge of
acts, events, facts or ideas.
Why is it important to have a well- planned
and well-organized filing system?
Why is this particularly significant in a law
office?
Why is it important for a legal office
assistant to know how to handle
confidential records in a law office?
FILING - is the systematic storage of
office records to make them readily
accessible when they are needed.
 TASKS INVOLVED IN PREPARING PAPER
RECORDS FOR FILING

1. Collecting
2. Inspecting
3. Indexing/Coding
4. Cross Referencing
5. Sorting
• HOW ARE RECORDS BEING FILE?
1. by the name of individual or organization.
2. by the subject matter they contain.
3. by the location or geographical area a record may cover.
4. by a number assigned to a record
5. by date
 Different Types of Records:

Master Card File – which indicates client information for all actions every
attorney in the firm is involved in.
* Active Files – containing individual files for each legal action every
attorney is working on.
* Inactive Files – containing individual files for client matters which are no
longer active.
* Miscellaneous Files – These are the many other records that must be
filed which do not pertain specific client or a specific action.
 The Use of Client Card File

• You may use a very simple system for client cards by making use of standard
3 by 5 index card for each client. The following information to be placed in
the index card for reference.
Name of the client is printed about ½ inch from the top of the
card and about ½ inch in from the left edge.
Double space below the name is the client’s address and
telephone number.
If the client is corporation, the officer representing the
corporation in the matter must be included.
 How to handle Active Client Records

1. Client files are generally maintained in folders with

the client’s name or the names of persons involved in
a lawsuit.
2. These client folders contain all the information
pertaining to a specific legal matter, such as all
documents, correspondence, evidence, notes and the
like.
 How to handle inactive client records?
• The inactive file at this time is marked closed, assigned a number, and placed
numerically in storage files.
• The file can be located if needed by determining its file number.

Coding the Master Card File

The code number is obtained from the File Code Book containing a list of
numbers arranged sequentially.
When a number is assigned, the secretary writes the client’s name following
the number.
Then she records the number on the client index card and types the word
CLOSED at the top of the card.
VALUABLE USE OF THE OUT GUIDE:
The out guide serves as a reminder for you
that a certain file folder or document has been
borrowed.
The out guide indicates the name of the
person who borrowed the file folder.
The out guide should be updated one the
document or file folder has been returned.
• The information on the OUT GUIDE are as follows:
- DATE
- NAME OF FILE
- PERSON WHO BORROWED
- SIGNATURE
- REMARKS
 BASIC FILING PROCEDURES

1. Alphabetic Name File – filing by the name of a person, firm or

organization. Records that are referred to by the name of an individuals
organization be arranged by name in strict alphabetic sequence or success
continuity.
2. Alphabetic Subject Title (by subject) – records which are referred to by the
subject matter they contain should be arranged alphabetically by subject
or caption.
3. Alphabetic Location File – are referred to by geographical location be
alphabetically arranged by location name which may be by country, region,
province, city/municipality, barrio or barangay.
4. Numerical File – records which are identified by numbers assigned to them
and are referred to by their respective number should be arranged in
numerical sequence.
5. Chronological File – records to which primary reference is made by date of
the record should be filed chronologically (in order of time) by year, month, or
day as reference indicates.
 MODERN ALPHABETIC INDEXING RULES FOR
FILING
Rule 1: Indexing Order of Units
A. PERSONAL NAMES is indexed in this order (1) Surname (2) First Name and (3) Middle
Name.

Filing Segment Unit 1 Unit 2 Unit 3

Imelda A. Raut Raut Imelda A
Janice N. SipinSipin Janice N
Delfin J. Enargan Enargan Delfin J
B. BUSINESS NAMES – Each word in a business name is a separate unit.
Filing Segment Unit 1 Unit 2
Unit 3 Unit 4
Reyna Dalde Photography Reyna Dalde Photography

Monarch Elective Service Company Monarch Elective Service

Company
Rule 2: Minor Words and Symbols in business names – articles, prepositions,
conjunctions, and symbols are considered separate indexing units. Symbols are spelled in
full. When the word “The” appears as the first word of a business name. It is considered the
last indexing unit.

Filing Segment Unit 1 Unit 2 Unit 3

Unit 4
At the Point Grocery At the Point
Grocery
Mamayabay and Mamayabay and Cebuco
Corporation
Cebuco Corporation

The Montero Corporation Montero Corporation The

Rule 3: PUNCTUATION and POSSESIVES – disregard all punctuation when indexing personal and
business names.
Filing Segment Unit 1 Unit 2 Unit 3 Unit 4
Baba’s Foundation Babas Foundation

House-Life HouseLife

Pizarras’ Foundation Pizzarras Foundation Correction

Correction

New-Trend Drive ThruNewTrend Drive Thru MiniMart

Mini-Mart
RULE 4: SINGLE LETTERS AND ABBREVIATIONS
A. Personal Names – initials in personal names are considered separate indexing units.
Abbreviations of personal names and brief names or nicknames are indexed as written.
Filing Segment Unit 1 Unit 2 Unit 3
Unit 4
Jas R. Edwards Edwards Jas R
Dick W. CastroCastro Dick W
B. Business Names – Single letters in business names are indexed as written. If single
letters are separated by spaces, index each letter as a separate unit. Index acronyms
(words formed from the first few letters of several words) and radio and television
station call letters as one word. Abbreviated words (Corp., Co) and names (AT&T) are
indexed as one unit regardless of punctuation or spacing.
Filing Segment Unit 1 Unit 2 Unit 3 Unit 4
J.M. Guzman Guzman J M
Josefina Maria Guzman Guzman Josefina Maria

L M N Corp. L M N
Corp
LRO Radio Station LRO Radio Station
PTK PTK
RULE 5: Titles and Suffixes
A. Personal Names – A title before name (Dr., Mr., Mrs.), Seniority (II, III, Jr) or a professional suffix
(PhD, MD, EdD) after a name is the last indexing unit. Numeric suffixes (II, III) are filed before
alphabetic suffixes (Jr., Sr.). If a name contains both a title and a suffix, the title is the last unit. Royal
and religious titles followed either a given name or a surname only are indexed and filed as written.
If a person’s professional title comes after the name it is referred to a suffix.
Filing Segment Unit 1 Unit 2 Unit 3 Unit
4
Jhop D. Aleria II Aleria Jhop D II
Jhop D. Aleria III Aleria Jhop D III
Jhop D. Aleria Jr. Aleria Jhop D. Jr.
Michelle A. Pilos, MD Pilos Michelle A MD
Sister Jeanylen Sister Jeanylen
Ms. Janeza Pilones, RN Pilones Janeza RN Ms