3. Consistent File Naming Conventions
One foundational element to file naming is having the entire team clear on the proper way to name all documents. “First, there is the integrity of the information we want to quickly convey in a naming structure,” says Kristen David, a legal and medical malpractice defense attorney, and Chief Executive Officer of Upleveling Your Business. “Often that will include a date, information regarding the type of document (letter, memo, etc.), and specific information relating to what the document is about,” she says.
Setting up a framework of best practices creates clarity for everyone on the team and reduces wasted energy searching for documents. “From whether to include hyphens, periods, spaces or capitalization to clarity on whether to use acronyms and abbreviations, having set protocols in place are vital to every business,” says David.
4. File Organization
The next piece of the framework is to create a structure for when and where to save records.
“Having a clear system for saving correspondence in one folder, internal memorandums in another folder, discovery in a separate folder, and any pleadings or final documents in a final folder can immediately create a high-level organization schematic,” says David.
“Processes, in general, are unsung heroes, and they are often labeled as boring and easily overlooked.”
From there, David adds that breaking down drafts versus finals or using version controls to clarify which draft is the most recent can save dozens of hours per month. In addition, lawyers should mirror the law practice management software wherever they can to reduce mental energy in trying to remember the organizational schematic in a folder such as Dropbox versus in the software.
“Bringing the team together to create that clear vision gives everyone a sense of understanding and confidence to put things in the right places,” David says.
5. Discovery and Records Management
Discovery and managing the records is especially important in fields where documents are received from the client in raw format, Bates stamped by the legal team, and ultimately a portion produced to opposing counsel in informal or formal litigation.
Confidential information can be stored in separate subfolders with password protections to create greater safety for financial data, medical records or other highly confidential information.
6. Retention Schedule and Processes
Your retention schedule and processes will go hand in hand.
“To identify a retention schedule, we first have to think about the kind of processes you want in place. How long do you want to keep the records? Do you want to follow ABA regulations or something more conservative? Does your state have specific requirements? Are there any federal regulations (for the attorneys who practice in federal court)?” says Simpson. “Processes, in general, are unsung heroes, and they are often labeled as boring and easily overlooked.”
The industry standard for retaining records is five years from the end of the engagement date.
“Creating a clear retention policy that outlines the timeline for keeping different types of documents is essential. This policy should be regularly reviewed and updated to reflect changes in legal requirements or firm practices.”
However, retention schedules define how long each type of document should be kept before it can be archived or destroyed. These schedules are often dictated by a combination of legal requirements and the firm’s internal policies.
“Creating a clear retention policy that outlines the timeline for keeping different types of documents is essential,” says Khan. This policy should be regularly reviewed and updated to reflect changes in legal requirements or firm practices.
7. File Destruction
File destruction can be … difficult for some.
“I have found that lawyers struggle with purging records, and I often wonder if being a records hoarder is a prerequisite for registering for law school,” says Simpson. “I even had a boss once who grappled with letting go of the physical file cabinet we had in the office, even though we digitized all the documents electronically.”
According to the American Bar Association, lawyers must preserve client records for five years from the date their representation of the client ends. “So, as a best practice, I ask my clients to purge the records the month following that fifth year,” says Simpson.
Simpson sets up a rule or automation in the practice management system to email clients electronic copies of their files and schedules a task to purge them.
For digital files, software that ensures permanent deletion — beyond the capability of standard recovery tools — is recommended. For physical documents, shredding is the most secure method.
“Establishing a documented procedure for file deletion, including obtaining the necessary approvals and maintaining a log of destroyed records, is a best practice that helps in maintaining accountability and traceability,” says Khan.
8. Don’t overlook staff training
Processes only work if staff know how to use them. That means training staff regularly on records management policies and best practices is equally important as the processes you follow, ensuring that everyone in the firm knows their responsibilities and the proper procedures.
