The How-tos of setting up a filing system

1. MANAGING YOUR PRACTICE
Setting Up an Effective Filing System
By Beverly Michaelis
notebooks when files are closed and
Organizing and maintaining a filing In numeric or numeric combination
put binder contents into a folder for
system that meets your firm’s needs filing systems, file numbers can be
easier storage.)
can be a frustrating endeavor. What assigned in sequential order, with or
works well in one practice area may without a year designation. For
What about size? In the battle of
not translate to another. This article example, the Jones corporate file
letter vs. legal, economy wins out
examines the most common could be No. 100 (a sequential
again. Letter-size files are less
approaches to organizing file number without a year) or 07-100 if
expensive and make the best use of
material and provides tips that can it was file number 100 opened in
space in the majority of filing
be applied in virtually every office. 2007. Alternatively, you could
cabinet systems. With the scaling
assign each client a permanent
Filing Systems: down of documents from 14 inches
number with sequential numbers for
to 11 inches in length, legal-size
each matter file opened on the
Alpha vs. Numeric
folders are no longer necessary.
client’s behalf. If John Jones’
If you find the subject of file
permanent client number was 1000,
management baffling, you are not
Color Coding
his matter files would be 1000-01
alone. If you are a newer lawyer,
(real property), 1000-02 (corporate), Color-coding of files can be a very
your exposure to office systems
1000-03 (litigation) and 1000-04 effective way to improve the
may be limited, depending on
(tax). efficiency of your filing system. By
previous work experience. If you
associating a color with a given
are a seasoned lawyer who has left a
If you elect to number your files, category of main file or subfile, you
firm to set up a solo practice or
remember these two tips. First, use can easily locate the information
partnership, you may feel
the least number of digits possible. you are looking for. For example, a
compelled to mimic your old firm’s
The longer your number sequences, general practice might use color-
file structure. Before doing so,
the greater the likelihood of filing coding for main files: red for
carefully consider which system is
errors. Second, keep a master domestic relations, green for real
best for you and your type of
client/matter list on your computer property, yellow for personal injury,
clientele: numbering client files or
to minimize duplicate file numbers blue for wills and estates. When
organizing them alphabetically.
and other mistakes. Although such Ms. Smith calls about her divorce, it
lists can be set up in word is easy to pick out the red file sitting
For the typical small law office, the
processing programs such as Word on the associate’s credenza. Color
alphabet can’t be beat. It is the
or WordPerfect, a database or case association is an advantage at filing
most straightforward and efficient
management program is preferable. time for the same reason. If
approach to organizing client files.
documents need to be filed in the
When “John Jones” calls to ask a
File Media: Folders vs. Taylor real property and personal
question about his case, the Jones
Binders injury cases, the appropriate green
file is easily located without the
and yellow files can easily be
need to refer to a list or index that Now that you have decided upon a
distinguished.
cross-references file numbers to filing system, how should the file
client names. This approach works material itself be stored? File
If you prefer, you can use plain
well for lawyers who tend to have folders? Notebook binders? If you
clients with one-time matters. i folders for your main file and color-
use file folders, should they be
code your subfiles: blue for legal
letter-size or legal? Different
If, however, you work in a multi-
research, yellow for pleadings, red
practices lend themselves to
attorney office, or have single
for discovery, and so forth. Use the
different methods of organization,
clients with many matters, a
method that works best for you and
but file folders are generally the
numeric or combination alpha-
your cases.
better choice for most practitioners.
numeric system will serve you well.
Cost is the primary reason—folders
When “John Jones” calls about the
Files and Client Relations
are usually cheaper and easily fit
lease agreement you are drafting, a
When you are setting up a file for
into existing desk drawers, cabinets,
numeric or alpha-numeric system
yourself, don’t forget about the
and bookcases. In addition, filing
will help you distinguish his real
client. Giving the client his or her
into folders is usually faster and less
property file from the corporate,
own file folder in which to place the
of a struggle. Binders work best for
litigation, and tax matters also
signed fee agreement and other
trial notebooks or other special
attributable to “Jones.”
correspondence and materials he or
document organization projects. (If
she will be receiving from you
you use binders, recycle the

2. MANAGING YOUR PRACTICE
promotes positive client relations. 9 Annual Reports Client
The folder should include one of 10 Officers 10 Other Injury Claims
your business cards so the client 11 Securities Issued (Workers comp, prior
always has your address, phone, 12 Securities to be Issued injury claims or suits)
fax, e-mail, etc. readily available. 13 Audits/Financial 11 Economic Damages
Providing clients with a folder helps Statements (Medical bills, funeral
to keep them organized and lessens 14a Taxes—Federal expenses)
the chance that documents will be 14b Taxes—State 12 Lost Wages/Tax
lost or misplaced. Instruct the client 14c Taxes—Local Returns/Personnel
to bring his or her file to each of 14d Taxes—Foreign Records
your meetings, and if appropriate, 15a Regulatory Agencies—
use the file to record notes or Federal Damages--Miscellaneous
questions for future appointments. 15b Regulatory Agencies— 13a Plaintiff’s Insurance
State (UIM/PIP/Health)
Sample Practice Area File 15c Regulatory Agencies— 13b Liens (Health, PIP,
Local Hospital, Physician,
Structures
15d Regulatory Agencies— Comp, AFS, Medicare)
Does your office have a standard
Foreign 13c Authorizations
subfile structure for each practice
16a Real Property Owned 13d Settlement/Mediation
area? Creating such a framework
16b Real Property Leased 13e Litigation Expenses
ensures consistency—files are set
17a Acquisitions and
up the same way each time—and
Mergers—completed Pleadings
makes filing and retrieval of
17b Acquisitions and 14a Pleadings (Trial notices
documents more efficient. Start by
Mergers—future and all pleadings,
looking for common patterns in
18a Equipment Contracts— including discovery)
existing files. Do you find yourself
company 14b Legal Research
setting up subfolders for
18b Employment Contracts— 15 Produced to Plaintiff (All
Correspondence, Pleadings, and
company documents produced to
Legal Research in each of your
18c Other Contracts—to plaintiff and defendant’s
client files? This could be the
company response to plaintiff’s
beginning of your firm’s subfile
18d Contracts from Company request(s) for production;
framework. To implement a
19 Trade Association copies of relevant
framework for your filing system,
20 Pension and Profit documents should be
create an index. To ensure that
Sharing—current cross-filed in appropriate
folders are always organized in the
21 Personnel Forms places, e.g., medical
proper order for each file, assign
22 Labor Agreements— records to subfile 8,
numbers to each of your subfiles or
current personnel records to
file sections. Here are sample
Labor casesii
23 subfile 12.)
structures for three types of files:
16a Defendant’s Discovery
corporate, personal injury, and
(separate defendants)
Personal Injury
domestic relations.
(Includes defendant’s
Subfile requests and plaintiff’s
Corporate
Number Name of Subfile responses.
Correspondence that
Subfile
Investigation constitutes a request or
Number Name of Subfile
1 Witnesses/Investigative reply to discovery should
Reports be copied and cross-filed
1 Correspondence and
2 Police Reports/Police to the appropriate
General—this year
Photos discovery subfile; original
2 Correspondence and
3 Defendants (Corporate) correspondence should be
General—last year
4 Technical Research placed in the main client
3 Board of Directors
5 Medical Research file.)
Minutes
6 Experts/Consultants 16b Produced to Defendant
4 Directors Meetings,
7 Demonstrative Evidence (Make a working copy of
General
(Photos, sketches, repair defendant’s request, bind
5 Articles and By-laws
estimates, maps, audio or all documents produced in
(current)
videotapes, etc.) response, file here.)
6 Corporate Documents/
Damages
Incorporations
8 Plaintiff’s Treating
7 Shareholder Minutes
Physicians
8 Shareholder Meetings,
9 Client’s Diary/Notes from
general (this year)

3. MANAGING YOUR PRACTICE
Trial received, documents produced, and
the date of production.vii Expanded
17 Pretrial (Motions in Bookstore, Non-Members Store, then to
Limine, witness list, trial file pockets are used for bulky Filing Basics.
ii
schedule) items. How to Manage Your Law Office,
Altman Weil, § 10.03, pp. 10-26, 10-27
18 Trial Memo and
(Matthew Bender & Co., Inc. Rel. 22-
Evidentiary Memos Trial exhibits are organized in
7/95 Pub. 356.)
19 Voir Dire similar fashion. An exhibit index iii
Personal injury subfile structure
20 Exhibits tracks the items offered and
adapted courtesy of Linda J. Rudnick,
admitted into evidence.viii
21 Opening Statement Esq., Beaverton, Oregon.
22 Lay Witnesses/Liability iv
Domestic relations file structure
and Damage To successfully implement a supplied courtesy of Beth Mason &
23 Plaintiff’s Expert framework for your subfiles, create Associates, Beaverton, Oregon, with
Witnesses a master subfile index. To ensure special thanks to James Jensen. The
pressboard file folders described in the
24 Offers of Proof that folders are always organized in
article are available from Oxford
25 Defendant’s Case-in- the proper order for each file, assign
(Oxford Classifolders, number 1257) or
Chief subfile numbers to each of your
Smead (Smead UPC 14075-C402-5A-
26 Motions for Directed subfile names, as in the above 2D).
Verdict examples. v
The pleading index is a word
27 Closing processing document with four columns:
28 Rebuttal Pulling the Whole Package Number (the chronological number
29 Jury Instructions and Together assigned to each pleading document as it
Verdictiii is received); Party (the name of the party
In addition to the above, effective
who generated the pleading); Pleading
file management also involves
(title of the pleading); and Date. All
establishing and following file
Domestic Relations
pleadings are assigned a number, filed
This sample system uses a opening and file closing procedures
behind an 8.5 x 11 divider sheet with the
combination of file folders, three- and using tools such as client intake appropriate numbered tab, and added to
ring binders and expandable file forms, fee agreements, engagement, the index. The tab sets are from Kleer-
pockets. The file folders are made nonengagement and disengagement Fax and come in sets of 25. (Kleer-Fax
of durable pressboard and come letters, and a file closing checklist. #8000 series, stock number 81170.) The
index is best set up in a table.
with two interior dividers, providing Many sample forms, letters, and
vi
Deposition transcripts are stored in a
a total of 6 filing tabs within the checklists are available at no charge
manila envelope which is hole punched
folder to file documents.iv from the Professional Liability
to fit in the file. This portion of the file
Fund, www.osbplf.org. We also
may also contain Requests for
File Folder Contents encourage practitioners from all Production.
firms—small or large—who have vii
All discovery documents are tabbed,
File Folder office system questions to contact assigned a number, filed by number, and
Tab Contents our practice management team. added to the index. Because binders are
Pleading Indexv used to organize discovery, the Kleer-
1 Office and phone consultations are
Fax tab sets are three-hole punched.
Tabs free and confidential. For more viii
The exhibit index is a word
Pleadings information about the PLF’s
processing document with five columns:
2 Correspondence practice management program,
Petitioner, Respondent, Description,
(Including fax transmittals contact the PLF at 503-639-6911 or Offered, Admitted. This allows the
and confirmations) 800-452-1639. attorney to track each exhibit as it is
3 Reports (Custody reports, offered and to note whether it is
reports from physicians, The author is a lawyer and practice admitted. The Petitioner and
etc.) management advisor with the Respondent columns are used to note the
Depositionsvi exhibit numbers (1-100 for the
4 Professional Liability Fund.
petitioner, 101 and up for the
5 Client’s Notes (Any
respondent.) As with the pleading index,
material received from the i
The Association for Information the exhibit index is best set up as a table.
client) Management Professionals (ARMA
6 Attorney’s Notes (Notes International) is a tremendous resource This article originally appeared in the
generated by firm for those interested in the latest in record OSB Bulletin June 2000; updated April
attorneys or staff) management information and 2007.
technology. 4200 Somerset Drive, Suite
215, Prairie Village, Kansas 66208.
Color-coded three-ring notebooks
(913) 341-0339. Publications available
are used to manage discovery and
to non-members include: Alphabetic
trial exhibits. Discovery documents
Filing Rules, Filing Procedures—A
are filed in two binders, one for the Guideline, and Numeric Filing—A
petitioner, and one for the Guideline. From the home page,
respondent. A discovery index in www.arma.org, click on Publications
each binder tracks documents and follow the links to ARMA