A firm s filing and records system is the nerve center of a law office. The management and organization

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "A firm s filing and records system is the nerve center of a law office. The management and organization"

Transcription

1 CHAPTER 13 SUMMARY A firm s filing and records system is the nerve center of a law office. The management and organization of a firm s filing system are essential to the smooth operation of a law firm. There are three types of filing systems: centralized, decentralized, and automated. A centralized filing system has all the files located in one area and is normally managed by a file coordinator or clerk. A decentralized system has files located in various areas, usually near the responsible attorney s office. An automated filing system electronically stores files and records. A filing system, whether centralized, decentralized, or automated, consists of a logical division of categories of records. Records are divided into categories that have a logical connection to one another. A coding system is a method used to store files in a specified sequence. An alphabetical coding system is the most common coding system used by small firms. In this system, a law firm s records are arranged in alphabetical order according to a client s surname. Although this coding system seems easy, problems occur when employees have not been instructed in its rules. Files may also be coded with numeric coding according to a particular numbering pattern. Six different types of numeric systems are used: straight, coded, calendar, standard, account, and combination. An alphanumeric system is also used, which is a combination of an alphabetical and numeric system. A cross-index is a cross-reference of records. All files and subfiles must be included on a crossindex. A numeric index must also be maintained. Color coding is a common method of categorizing files. Some records managers maintain that color coding increases speed and accuracy in filing. Color may be applied to any system and may be used for paper or computer records. A file retrieval system must allow for easy access to files. Firms employ file personnel who are responsible for maintaining a retrieval system. File requests are initiated by a requisition form.

2 A file must be accessible before it is retrieved. When a file is removed from a filing system, its location must be traceable and monitored. One method used to trace files is an out card. An out card is the size of a file folder, made of heavy vinyl, and has lines on the front on which to put names and dates. Whenever someone removes a file, an out card is inserted in its place. Out folders are also used. Bar codes are used to monitor files. Bar codes are a fast, easy, and accurate data entry method used in the process known as automatic data collection. Bar coding technology is used by universities and libraries to manage the circulation of books and journals. A bar coding system automates records management. A bar code is put on a label that is attached to a file. Large and medium-sized firms especially benefit from using bar code technology for their files. Radio frequency identification is a generic term for technologies that use radio waves to identify people or objects. It may eventually replace bar code technology for records management. The big difference between RFID and bar codes is that a bar code is a line of sight technology. Not all potential clients retain a firm: Some interview many attorneys before choosing a lawyer, and some just need some quick legal advice. A firm keeps information about each person who consults with an attorney. As we learned in Chapter 4, an attorney-client relationship is formed whenever an attorney gives a person legal advice. A client file is opened immediately after a client retains a firm. When a clerk or secretary opens a file, she or he must do a conflict check for a possible conflict of interest. A database is maintained that includes the names of clients and all parties to a proceeding in which a firm was involved. A conflict check is the most important aspect of file-opening procedures but is not limited to file opening. A conflict check must be performed as each new party enters a case. Most firms require some type of written record that a conflict check was made. If a firm has no conflict of interest in representing a client, a client file may be opened. A paralegal is responsible for maintaining clients files in good order. The first step in file maintenance is categorizing the documents. Correspondence, pleadings, notes, and all other documents are

3 filed in chronological order unless the case is large. In a large case, documents are further categorized by type. Case cover sheets are used to monitor the status of a case. Indexes are used to direct a person to a document s exact location in a file. Each document is given a number that is put on a tab so that it can be found quickly. A document is inserted behind its divider so that it can be located by lifting up the tabbed divider. The number, title of document, date, and party are inserted on an index sheet that is placed on top of the divider sheets. Indexes should be developed for every category of a case, except correspondence and miscellaneous notes. Every document has a life cycle and lives only as long as it serves its purpose. To determine the life cycle of a document, one must first identify the document s value. After its value has been determined, a decision regarding its future must be made. Time management experts advise that document management decisions be made as soon as a document is received. Filing experts have estimated that correspondence constitutes most of the documents received. Promotional documents are a form of correspondence. The person to whom correspondence is sent is responsible for deciding whether to keep the material. No document pertaining to a client s case may be discarded. Notes taken in a meeting with a client or on a client s behalf are always retained. Complex agreements require many drafts that should be retained until the final agreement is signed. Some firms have a policy to keep all rough drafts of agreements. Rough drafts of correspondence or pleadings are destroyed when the final document is completed. When magazine and newspaper articles are kept, they should be clipped rather than retaining the entire magazine or newspaper. If it is beneficial to retain each issue of a particular magazine, firms then file these in magazine files. There are many types of documents: , word processing, spreadsheets, graphics, video clips, voice mail, and document images. After you have read an electronic document such as , you make a decision to do one or more of the following: copy it, file it, write comments on it, forward it to someone in the firm, or dispose of it. The files and subfiles into which electronic documents are stored must

4 be similar in structure to the filing system for paper documents. Electronic documents remain on the network s hard drive until they are no longer needed, until they can be disposed of, or until the need to recoup hard drive space occurs. An automated document management system is an electronic filing system containing a database of documents that is updated automatically every time a document is created, retrieved, edited, printed, archived, or deleted. A document management system tracks and manages every legal document created in a law office. Once prepared, a document is saved on the firm s network or intranet. When a case is completed, certain procedures must be followed before a file is a candidate for closing. When a case has been completed, a file must be double-checked to ensure that all documents have been completed and filed. If the appeal period has not expired, a case may not be closed. The final bill must be paid before a case is closed. Some firms send a disengagement letter with the final bill, and others wait until the bill has been paid. Pruning a file prepares a file for closing by eliminating unnecessary documents. Each firm has specific pruning policies for closed files. Changing the status of a case from active to inactive involves changing a master client list and inserting the file on a closed-file list. Original documents that are vital to a client, such as a will or deed, should be returned to the client. Electronic documents that are stored in a client s file on the firm s computer system are deleted from the system. A file-closing memorandum is prepared and acts as a checklist for file-closing procedures. Inactive records are records that are seldom needed for the business of an office. Inactive records are usually stored in filing cabinets or storage boxes outside the main storage area. An alternative method for storing inactive files is to microfilm or image them. Large and mediumsized firms may image or microfilm their inactive records, but sole proprietors and small firms with smaller storage needs often cannot justify the expense. The best evidence rule, which requires a court to admit the best evidence that is available to a party under the existing situation, directly applies to imaged and microfilmed records.

5 When inactive records are stored, they still must be accessible for retrieval. Most firms have a separate coding system for closed files. Some firms that use numeric coding for active files change the file number when the file is closed. A closed-file index is kept on the computer, and a hard copy closed-file index log is maintained as a backup in case of computer failure. Information for the closed-file index is obtained from a closed-file index form. Records retention is the time period during which records must be maintained by an organization because they may be needed for legal, operational, historical, or other purposes. A retention schedule is a list of retention periods categorized according to type of document or case. A retention schedule integrated into a firm s computer system will automatically calculate a file s retention period. However, human involvement is necessary to establish a file s retention period. For business records, management must consider statutes and regulations, any future need for the records, and the statute of limitations. Considerations for the retention period for clients records are statutes and regulations, any future need for the records, statute of limitations if minors are involved, applicable age of majority, appeal period, and malpractice and business concerns. When a file s retention period has expired, the file and its contents are destroyed by following established procedures. Today, documents are shredded in a shredder machine. Before records can be shredded, they must be properly prepared. Some state bar associations require that attorneys notify their clients by letter before destroying their files. Some firms insert their file-closing and destruction policy into their retainer agreement. A law firm s personnel must be aware of five ethical considerations when managing files and records: preserve a client s property, diligently perform conflict-of-interest checks, promptly return a client s property, retain records according to government regulations, and preserve a client s confidentiality.

RECORDS AND INFORMATION MANAGEMENT AND RETENTION

RECORDS AND INFORMATION MANAGEMENT AND RETENTION RECORDS AND INFORMATION MANAGEMENT AND RETENTION Policy The Health Science Center recognizes the need for orderly management and retrieval of all official records and a documented records retention and

More information

OFFICE ADMINISTRATION Section 1, Records Management Chapter 1, Filing Systems

OFFICE ADMINISTRATION Section 1, Records Management Chapter 1, Filing Systems OFFICE ADMINISTRATION Section 1, Records Management Chapter 1, Filing Systems The basic premise for establishing filing systems within an organization is the ability to retrieve records. Appropriate storage

More information

University Employee Guide to: Moving and University Records. UW-Madison Archives and Record Management

University Employee Guide to: Moving and University Records. UW-Madison Archives and Record Management 9 Recommendations and Guidance for Document Imaging and Capture of University Records UW-Madison Archives and Record Management 2014 University Employee Guide to: Moving and University Records Making a

More information

WHEREAS, the City of Shavano Park wishes to clarify the procedures for the organization, maintenance, disposition and destruction of City Records;

WHEREAS, the City of Shavano Park wishes to clarify the procedures for the organization, maintenance, disposition and destruction of City Records; RESOLUTION R-2015-024 A RESOLUTION ESTABLISHING POLICY FOR THE ORGANIZATION, MAINTENANCE, DISPOSITION AND DESTRUCTION OF CITY OF SHAVANO PARK RECORDS; AS CONSISTENT WITH THE REQUIREMENTS OF THE TEXAS LOCAL

More information

Glossary of Records Management Terms

Glossary of Records Management Terms Glossary of Records Management Terms Active record: A record referenced often in the conduct of current departmental business. Administrative record: Records documenting the day to day operation and administration

More information

RUTGERS POLICY. Approval Authority: Executive Vice President for Academic Affairs and Senior Vice President for Administration

RUTGERS POLICY. Approval Authority: Executive Vice President for Academic Affairs and Senior Vice President for Administration RUTGERS POLICY Section: 30.4.5 Section Title: Business Services Policy Name: Records Management Formerly Book: Formerly Policy 50.3.10 Approval Authority: Executive Vice President for Academic Affairs

More information

Guideline. January User Guide to Retention Schedule Implementation

Guideline. January User Guide to Retention Schedule Implementation Guideline January 2012 User Guide to Retention Schedule Implementation Approved by: Bridget Sisk Approval date: 2008 Contact:frasera@un.org Review date: 2012 1 Guideline Using Records Retention Schedule

More information

Kansas State Historical Society

Kansas State Historical Society Kansas State Historical Society Justin Dragosani-Brantingham, Government Records Archivist Jdragosani@kshs.org 1-785-272-8681 ext. 287 www.kshs.org Background Newspaper editors and publishers founded The

More information

Records Management. Objectives. With the person sitting next to you, Presented by: Rachel Martin. After this workshop, you ll be able to:

Records Management. Objectives. With the person sitting next to you, Presented by: Rachel Martin. After this workshop, you ll be able to: Records Management Presented by: Rachel Martin Objectives After this workshop, you ll be able to: Implement a new records management system Perfect filing techniques Streamline and improve records management

More information

To provide efficient, economical and effective controls for the maintenance, use and destruction of all College records

To provide efficient, economical and effective controls for the maintenance, use and destruction of all College records Records Management Storage and Destruction Procedures Definitions and Responsibilities Purpose To provide efficient, economical and effective controls for the maintenance, use and destruction of all College

More information

DEFENSE RESEARCH INSTITUTE RECOMMENDED CASE HANDLING GUIDELINES FOR INSURERS

DEFENSE RESEARCH INSTITUTE RECOMMENDED CASE HANDLING GUIDELINES FOR INSURERS DEFENSE RESEARCH INSTITUTE RECOMMENDED CASE HANDLING GUIDELINES FOR INSURERS I. PREFACE Philosophy [Insurer] expects to work with the Firm and the insured to achieve the best result for the insured in

More information

Viad Corp Records Management Policy

Viad Corp Records Management Policy Viad Corp Records Management Policy TABLE OF CONTENTS 1. PURPOSE... 2 Definitions... 3 2. PROCEDURES... 3 Management of Records.... 3 Retention in the Event of Dispute, Litigation, Subpoena, or Inquiry...

More information

DATA RETENTION, STORAGE & DISPOSAL POLICY

DATA RETENTION, STORAGE & DISPOSAL POLICY THE COUNCIL OF THE INNS OF COURT The Bar Tribunals & Adjudication Service DATA RETENTION, STORAGE & DISPOSAL POLICY Date of implementation: November 2013 Date of last review: April 2015 Date of next review:

More information

Health Information Technology and Management

Health Information Technology and Management Health Information Technology and Management 6 CHAPTER Organization, Storage, and Management of Health Records Pretest (True/False) Professional responsibilities often require an individual to move beyond

More information

The Basics Archival and Records Management Services Division

The Basics Archival and Records Management Services Division Records Management 101 The Basics Archival and Records Management Services Division What is a Record? "Public record" or "record" means recorded information that documents a transaction or activity by

More information

Practice Resource. Loss prevention planning checklist. Preface

Practice Resource. Loss prevention planning checklist. Preface Practice Resource Loss prevention planning checklist Preface This checklist is designed to promote the use of effective office systems, and flag potential problem areas, within a legal practice. Depending

More information

Program Title: Office Administration

Program Title: Office Administration July 2006 Florida Department of Education Outcomes Standards Program Title: Office Administration CIP Number 0507060300 Length 63 Credits AS INTENDED OUTCOMES: After successfully completing this program,

More information

RECORDS MANAGEMENT TRAINING

RECORDS MANAGEMENT TRAINING RECORDS MANAGEMENT TRAINING EVERYONES RESPONSIBILITY Marine Corps Community Services MCAS, Cherry Point, North Carolina COURSE INFORMATION Course Information Goal The goal of this training is to provide

More information

SARAWAK CIVIL SERVICE RECORDS MANAGEMENT: GUIDELINES AND TOOL KIT

SARAWAK CIVIL SERVICE RECORDS MANAGEMENT: GUIDELINES AND TOOL KIT SARAWAK CIVIL SERVICE RECORDS MANAGEMENT: GUIDELINES AND TOOL KIT Content Page No. Contents Page 1.0 General Introduction 1 2.0 Effective Records Management Practices 2 3.0 Retention Schedules 7 4.0 Filing

More information

HCAOG Records Retention Policies & Procedures

HCAOG Records Retention Policies & Procedures HCAOG Records Retention Policies & Procedures Draft September 2015 HUMBOLDT COUNTY ASSOCIATION OF GOVERNMENTS 611 I Street, Suite B Eureka, CA 95501 www.hcaog.net RECORDS MANAGEMENT These procedures are

More information

CIVIL RECORDS OF THE SUPREME AND COUNTY COURTS FILING STRATEGIES

CIVIL RECORDS OF THE SUPREME AND COUNTY COURTS FILING STRATEGIES CIVIL RECORDS OF THE SUPREME AND COUNTY COURTS FILING STRATEGIES July 1997 The filing strategies that follow are intended to improve the management of civil case files by (1) facilitating the purging and

More information

Health Information Technology & Management Chapter 4 ORGANIZATION, STORAGE, AND MANAGEMENT OF HEALTH RECORDS BY : NOHA ALAGGAD

Health Information Technology & Management Chapter 4 ORGANIZATION, STORAGE, AND MANAGEMENT OF HEALTH RECORDS BY : NOHA ALAGGAD Health Information Technology & Management Chapter 4 ORGANIZATION, STORAGE, AND MANAGEMENT OF HEALTH RECORDS BY : NOHA ALAGGAD PAPER CHARTS Consist of one or more file folders containing handwritten notes,

More information

INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY

INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY INTRODUCTION Under the Freedom of Information Acts, 1997 and 2003 the Institute is obliged to comply with legislation and publish a

More information

Fundamentals. of Records & Information. Management

Fundamentals. of Records & Information. Management Fundamentals of Records & Information Management Records & Information Management Two Major Objectives: To manage the creation, growth, duplication, maintenance, retention and disposition of records. (Records

More information

Part 3 Records Systems, Storage and Retrieval

Part 3 Records Systems, Storage and Retrieval Part 3 Records Systems, Storage and Retrieval Part 3: Records Systems, Storage and Retrieval Basic Concepts Filing Systems Filing System Design Records Storage and Retrieval File Conversions Records Storage

More information

POLICY FOR PRESERVATION / ARCHIVAL OF DOCUMENTS

POLICY FOR PRESERVATION / ARCHIVAL OF DOCUMENTS POLICY FOR PRESERVATION / ARCHIVAL OF DOCUMENTS (As approved by the board at its meeting held on 27 th October 2015) 1. Introduction Securities and Exchange Board of India (SEBI) has introduced SEBI (Listing

More information

CORPORATE POLICY AND PROCEDURE

CORPORATE POLICY AND PROCEDURE CORPORATE POLICY AND PROCEDURE POLICY CATEGORY AUTHORITY RELATED POLICIES APPROVED BY EFFECTIVE DATE REVISION DATE Municipal Records Management Administration Municipal Act, 2001 (the Act),as amended Personal

More information

COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES

COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES Page 1 of 6 SP 3-125d COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES EFFECTIVE: June 14, 2009 REFERENCE: BP 3-125; Electronic

More information

Table of Contents. Chapter No. 1. Introduction 1. 2. Objective 1. 3. E-mail Use Compliance 1. 4. Definitions 2. 5. Roles and Responsibilities 2

Table of Contents. Chapter No. 1. Introduction 1. 2. Objective 1. 3. E-mail Use Compliance 1. 4. Definitions 2. 5. Roles and Responsibilities 2 Table of Contents Chapter Subject Page No. 1. Introduction 1 2. Objective 1 3. E-mail Use Compliance 1 4. Definitions 2 5. Roles and Responsibilities 2 6. Creation and Use of E-mails 3 7. Managing E-mails

More information

WASHINGTON STATE BAR ASSOCIATION

WASHINGTON STATE BAR ASSOCIATION WASHINGTON STATE BAR ASSOCIATION GUIDE TO BEST PRACTICES FOR CLIENT FILE RETENTION AND MANAGEMENT Prepared by Law Office Management Assistance Program (LOMAP) and Professional Responsibility Counsel March

More information

AAfPE Core Competencies for Paralegal Programs

AAfPE Core Competencies for Paralegal Programs AAfPE Core Competencies for Paralegal Programs CRITICAL THINKING SKILLS 1. Analyze a problem; identify and evaluate alternative solutions; 2. Formulate logical solutions to problems; construct logical

More information

4) Suspension of Record Disposal In Event of Litigation or Claims

4) Suspension of Record Disposal In Event of Litigation or Claims Appendix X(z) RECORD RETENTION AND DESTRUCTION POLICY 1) Purpose The purpose of this Policy is to ensure that necessary records and documents of are adequately protected and maintained and to ensure that

More information

HOW TO DEVELOP A RECORDS PROCEDURES MANUAL. New York State Unified Court System Division of Court Operations Office of Records Management

HOW TO DEVELOP A RECORDS PROCEDURES MANUAL. New York State Unified Court System Division of Court Operations Office of Records Management HOW TO DEVELOP A RECORDS PROCEDURES MANUAL New York State Unified Court System Division of Court Operations Office of Records Management June 2003 HOW TO DEVELOP A RECORDS PROCEDURES MANUAL PURPOSE OF

More information

RECORDS MANAGEMENT POLICY

RECORDS MANAGEMENT POLICY RECORDS MANAGEMENT POLICY 1. POLICY OBJECTIVE 1.1 The University of South Africa (Unisa) has the responsibility to manage, store and retain certain documentation, records and other forms of information

More information

Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY

Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY 1) Purpose The purpose of this Policy is to ensure that necessary records of CSF which are of no value are discarded at

More information

Administration Department. {Insert Name of Organization} Operating Policy Record Retention and Destruction

Administration Department. {Insert Name of Organization} Operating Policy Record Retention and Destruction RECORD RETENTION AND DESTRUCTION POLICY 1) Purpose Administration Department Policy #: Total pages: 10 Attachments: Approved by: Effective Date: Date Revised: Date to be reviewed: The purpose of this Policy

More information

NCI-Frederick Safety and Environmental Compliance Manual 03/2013

NCI-Frederick Safety and Environmental Compliance Manual 03/2013 E-1. Records Management I. Scope The Records Management Office maintains a comprehensive records management system meeting regulatory and contractual requirements ensuring documentation is readily accessible.

More information

Practical tips for managing e mail

Practical tips for managing e mail E MAIL MANAGEMENT E mail messages both sent and received that provide evidence of a government transaction are considered public records. Agencies and locality Records Officers must ensure that e mail

More information

CLIENT FILE MANAGEMENT REGULATION

CLIENT FILE MANAGEMENT REGULATION CLIENT FILE MANAGEMENT REGULATION 2015 www.iccrc-crcic.ca Version: 2015-002 Last Modified: July 13, 2015 Page 2 of 9 Table of Contents SECTION 1 PURPOSE... 4 SECTION 2 DEFINITIONS... 4 SECTION 3 INTERPRETATION...

More information

BASIC STEPS IN A RECORDS MANAGEMENT PROGRAM. The basic steps in implementing a records management program are: Inventory Appraisal Scheduling

BASIC STEPS IN A RECORDS MANAGEMENT PROGRAM. The basic steps in implementing a records management program are: Inventory Appraisal Scheduling INTRODUCTION Records are indispensable in the efficient and economical operation of state government. They serve as the memory; they are the evidence of past events and the basis for future actions. When

More information

Presented by Vickie Swam, Director of University Compliance. Records Management is one of the functions supported by the University Compliance Office.

Presented by Vickie Swam, Director of University Compliance. Records Management is one of the functions supported by the University Compliance Office. Presented by Vickie Swam, Director of University Compliance. Records Management is one of the functions supported by the University Compliance Office. 1 Texas Government Code (TAC), Section 441 requires

More information

POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS

POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS 1. Purpose Establish and clarify a records management policy for municipal officers with respect

More information

Administrative Assisting

Administrative Assisting Measuring What Matters in Job Ready Assessment Blueprint Administrative Assisting Test Code: 4101 / Version: 01 Copyright 2012 General Assessment Information Blueprint Contents General Assessment Information

More information

University of Louisiana System

University of Louisiana System Policy Number: M-17 University of Louisiana System Title: RECORDS RETENTION & Effective Date: OCTOBER 10, 2012 Cancellation: None Chapter: Miscellaneous Policy and Procedures Memorandum Each institution

More information

SDS Retention and Disposal Policy. February 2014

SDS Retention and Disposal Policy. February 2014 SDS Retention and Disposal Policy February 2014 Title SDS Retention and Disposal Policy Prepared By PRSA Executive Reviewed By Head of Corporate Office Signed off By ELG (March 2014) Version Number 1.0

More information

Policy on Preservation of Documents and archival of documents in its website

Policy on Preservation of Documents and archival of documents in its website Policy on Preservation of Documents and archival of documents in its website 1. Purpose and Scope The purpose of this documents to present a high level policy statement for Intellect Design Arena Limited

More information

Montana Local Government Records Management Guidelines

Montana Local Government Records Management Guidelines Montana Local Government Records Management Guidelines Prepared and Published by the Montana Local Government Records Committee Rev 3.0 Sep 2010 TABLE OF CONTENTS Introduction i Authority...ii Definitions...

More information

File Management: Retention and Destruction

File Management: Retention and Destruction File Management: Retention and Destruction R ISK MANAGEMENT PRACTICE GUIDES OF LAWYERS MUTUAL 5020 Weston Parkway, Suite 200, Cary, North Carolina 27513 Post Office Box 1929, Cary, North Carolina 27512-1929

More information

PSAB Supplement 21 Records Retention and Disposition

PSAB Supplement 21 Records Retention and Disposition PSAB Supplement 21 Records Retention and Disposition KEY WORDS INDEX... I TABLE OF AUTHORITIES... II PSAB Supplement 21 Records, Retention and Disposition MANUAL OF PROCEDURES PSAB SUPPLEMENT 21 RECORDS,

More information

Demographics QUESTIONS COMMENTS

Demographics QUESTIONS COMMENTS DOI SURVEY Name: Bureau: Department: Location: Telephone: Email: Date of Interview: Defining Requirements for an Electronic Records Management Solution A series of fact finding questions will be presented

More information

Saskatchewan Records Management Guidelines

Saskatchewan Records Management Guidelines Saskatchewan Archives Board Saskatchewan Records Management Guidelines NOTE: These Records Management Guidelines are intended to guide the development of specific policies and procedures that recognize

More information

UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY

UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY DOC. T99-061 Passed by the BoT 8/4/99 UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY The President of the University shall adopt guidelines to require that each campus

More information

State of Florida RECORDS MANAGEMENT SELF-EVALUATION GUIDE. Published September 1999. Division of Library and Information Services

State of Florida RECORDS MANAGEMENT SELF-EVALUATION GUIDE. Published September 1999. Division of Library and Information Services State of Florida RECORDS MANAGEMENT SELF-EVALUATION GUIDE Published September 1999 Division of Library and Information Services Bureau of Archives and Records Management The Capitol Tallahassee, Florida

More information

Managing Shared Electronic Workspace

Managing Shared Electronic Workspace i Information Management Managing Shared Electronic Workspace (Non-EIM Environment) Business Rules December 2005 Produced by: Records and Information Management Branch Information Services Division Service

More information

CENTRAL KY RIDING FOR HOPE, INC.

CENTRAL KY RIDING FOR HOPE, INC. CENTRAL KY RIDING FOR HOPE, INC. RECORD RETENTION AND DESTRUCTION POLICY 1) Purpose The purpose of this Policy is to ensure that necessary records and documents of Central KY Riding For Hope, Inc. are

More information

Records Center Services

Records Center Services Records Center Services Introduction Records Center Services, a unit of the State and Local Records Management Division, provides state agencies in the Austin area with costeffective storage of inactive

More information

AAfPE Core Competencies for Paralegal Programs (October 2013)

AAfPE Core Competencies for Paralegal Programs (October 2013) AAfPE Core Competencies for Paralegal Programs (October 2013) CRITICAL THINKING SKILLS 1. Analyze a problem and identify issues relevant to a potential solution; 2. Determine which areas of law are relevant

More information

2. Ease of sharing and dissemination through the internet makes collaboration with off-site parties (including your clients) much easier;

2. Ease of sharing and dissemination through the internet makes collaboration with off-site parties (including your clients) much easier; THE PAPER-LESS LAW OFFICE HOW TO MAKE IT WORK FOR YOU After Word Processing, EFS, and implementing a practice management system for file opening, billing and accounts management, what is the next step

More information

CIVIL LITIGATION PRACTICE FOR PARALEGALS. Many attorneys, paralegals and legal assistants refer to pleadings as all

CIVIL LITIGATION PRACTICE FOR PARALEGALS. Many attorneys, paralegals and legal assistants refer to pleadings as all CIVIL LITIGATION PRACTICE FOR PARALEGALS III. PREPARATION OF PLEADINGS Many attorneys, paralegals and legal assistants refer to pleadings as all court papers in the case. Technically speaking, the pleadings

More information

West Chester University Records Management Policy

West Chester University Records Management Policy 1. Introduction West Chester University is committed to effective records management to preserve its history, meet legal standards, optimize the use of space, minimize the cost of record retention, and

More information

The E-Discovery Process

The E-Discovery Process POOLING PROVISIONS The E-Discovery Process A publication of Nevada Public Agency Insurance Pool The e- discovery process the search of electronic records for use as legal evidence can cost thousands of

More information

Hillsborough County Records Management

Hillsborough County Records Management Hillsborough County Records Management General Schedule GS1-SL Compliance and Tony Anderson, Records Manager OCA Records Center 813-635-8350 Office 813-601-3792 Cell Email: andersont@hillsboroughcounty.org

More information

5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS

5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS 5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS (CT:IM-158; 12-29-2014) (Office of Origin: A/GIS/IPS) NOTE: In October, 2014, the Department issued an interim directive superseding

More information

ADMINISTRATIVE ASSISTANT/ DEPUTY SECRETARY TO THE BOARD

ADMINISTRATIVE ASSISTANT/ DEPUTY SECRETARY TO THE BOARD ADMINISTRATIVE ASSISTANT/ DEPUTY SECRETARY TO THE BOARD FLSA Status: Non-Exempt Adopted: Class specifications are intended to present a descriptive list of the range of duties performed by employees in

More information

LEAPP Case Management Tips

LEAPP Case Management Tips LEAPP Case Management Tips Courtney Kennaday Practice Management Advisor South Carolina Bar Practice Management Assistance Program = PMAP Advice on managing your practice from start- up to finish Technology

More information

A Model Electronic File Policy For The Law Office (With Form)

A Model Electronic File Policy For The Law Office (With Form) Published by American Law Institute-American Bar Association Continuing Professional Education six times a year A Model Electronic File Policy For The Law Office (With Form) A Model Electronic File Policy

More information

MICHIGAN CIVIL SERVICE COMMISSION JOB SPECIFICATION LEGAL SECRETARY

MICHIGAN CIVIL SERVICE COMMISSION JOB SPECIFICATION LEGAL SECRETARY JOB DESCRIPTION MICHIGAN CIVIL SERVICE COMMISSION JOB SPECIFICATION LEGAL SECRETARY Employees in this job coordinate office activities for Attorneys or Administrative Law Examiners, performing a variety

More information

STATE RECORDS ADMINISTRATOR

STATE RECORDS ADMINISTRATOR STATE OF NEBRASKA STATE RECORDS ADMINISTRATOR WEB PAGE GUIDELINES MARCH 2003 Following is a voluntary guideline issued by the State Records Administrator (Secretary of State) for use by state and local

More information

ACCESS, PRODUCTION AND RETENTION OF CITY RECORDS

ACCESS, PRODUCTION AND RETENTION OF CITY RECORDS 1.05-3 1 of 6 I. PURPOSE This directive prescribes the rules regarding access, production, and retention of City records. II. POLICY A. All records and other matters in City offices are presumed to be

More information

SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT POLICY

SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT POLICY SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT POLICY Statement of Intent This policy establishes the general responsibilities for management, retention, and disposition of SOUTHWEST VIRGINIA

More information

9/12/2014. Part 3: Records Systems, Storage and Retrieval. Basic Concepts

9/12/2014. Part 3: Records Systems, Storage and Retrieval. Basic Concepts Records Systems, Storage and Retrieval Part 3: Records Systems, Storage and Retrieval Basic Concepts Filing Systems Filing System Design Records Storage and Retrieval File Conversions Records Storage Facilities

More information

Records Management Self-Evaluation Guide

Records Management Self-Evaluation Guide Records Management Self-Evaluation Guide Introduction University of Cincinnati Records Management has developed this self-evaluation guide for departments to use as an overview of the basic components

More information

BRIDGEVALLEY COMMUNITY AND TECHNICAL COLLEGE OPERATING POLICY

BRIDGEVALLEY COMMUNITY AND TECHNICAL COLLEGE OPERATING POLICY BRIDGEVALLEY COMMUNITY AND TECHNICAL COLLEGE OPERATING POLICY Effective Date Subject Number Page September 14, 2014 RECORDS RETENTION GUIDELINES E-OP-8-14 1 of 11 Supersedes/Supplements: Reference: BC

More information

Interstate Commission for Adult Offender Supervision

Interstate Commission for Adult Offender Supervision 1 I. Authority The Executive Committee is vested with the power to adopt a policy on behalf of the Interstate Commission during periods when the Interstate Commission is not in session. The Executive Committee

More information

Electronic Records Management Guidelines

Electronic Records Management Guidelines Electronic Records Management Guidelines I. Objectives The employees of the Fort Bend Independent School District (the District ) routinely create, use, and manage information electronically in their daily

More information

Massachusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm

Massachusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm Massa achusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm Summary of Contents About This Supplement... 7 Revisions to the Current Edition...

More information

Non-Profit Records Management Tool Kit

Non-Profit Records Management Tool Kit Non-Profit Records Management Tool Kit January 2013 Contents Introduction.... 3 Generally Accepted Record Keeping Principles.... 4 What is a Record?.... 5 File Maintenance.... 6 Classifying a Record.....8

More information

Records Management Manual

Records Management Manual Records Management Manual Park District of Oak Park 218 Madison St Oak Park, Illinois 60302 Last Review: February 23, 2015 1 Contents Introduction... 3 Quick Start Guide Three Basic Steps of Records Management

More information

Introduction Thanks Survey of attendees Questions at the end

Introduction Thanks Survey of attendees Questions at the end Introduction Thanks Survey of attendees Questions at the end 1 Electronic records come in a variety of shapes and sizes and are stored in a multitude of ways. Just what are you managing? Video Cloud computing

More information

Computer System Retirement Guidelines

Computer System Retirement Guidelines DOE Systems Engineering Methodology (SEM) Computer System Retirement Guidelines Version 3 September 2002 U.S. Department of Energy Office of the Chief Information Officer Table of Contents Section Page

More information

Managing Records in an Office Environment June 2, 2009. Wess Jolley, CRM, Records Manager 1

Managing Records in an Office Environment June 2, 2009. Wess Jolley, CRM, Records Manager 1 Pre-Session Handouts Sign in sheet Business Card Slides Record Series Worksheet Filing System Analysis Tool Document Analysis Tool Retention and Disposition Policy Documentation In-House Disposition Documentation

More information

ARCHIVING FREQUENTLY ASKED QUESTIONS

ARCHIVING FREQUENTLY ASKED QUESTIONS ARCHIVING FREQUENTLY ASKED QUESTIONS 1. Do I need to archive both incoming and outgoing record e-mail? Yes, if an e-mail constitutes a record it must be retained for its complete retention period under

More information

GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM

GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM Approved: September 17, 2002 Purpose of Program: GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM In accordance with the National Credit Union Administration ( NCUA ) Rules and Regulations

More information

5.3. Train@ CQUniversity records and information will be captured and managed within one of the following corporate systems:

5.3. Train@ CQUniversity records and information will be captured and managed within one of the following corporate systems: POLICY AND PROCEDURE RECORDS MANAGEMENT 1 PURPOSE This policy and procedure provide a framework for the creation, management, retention and disposal of Train@ CQUniversity records in accordance with the

More information

Idaho Records Center A Program of the Idaho State Archives

Idaho Records Center A Program of the Idaho State Archives Idaho s Center A Program of the Idaho Archives Administrative s Schedule of the s Management Guide (This Schedule Revised April, 2008) C.L. BUTCH OTTER, GOVERNOR Idaho Historical Society Janet Gallimore,

More information

Records Management Policy

Records Management Policy Records Management Policy Business Records exist in a variety of forms, including physical and electronic form. The foundation produces, receives, stores and destroys a large number of Business Records

More information

Program Overview: Program Benefits, Components, Responsibilities, and History

Program Overview: Program Benefits, Components, Responsibilities, and History Orange County Records Management Program Program Overview: Program Benefits, Components, Responsibilities, and History Why Records Management? Records make up the memory of the organization. They document

More information

Records Management Procedure Procedure No.: 6701 PR1

Records Management Procedure Procedure No.: 6701 PR1 Records Management No.: 6701 PR1 Policy Reference: 6701 Category: Records Management Department Responsible: Records Management and Privacy Current Approved Date: 2011 Dec 15 Objectives This procedure

More information

Setting Up, Keeping Up and Maintaining Files

Setting Up, Keeping Up and Maintaining Files Setting Up, Keeping Up and Maintaining Files by Jeffrey S. Krause, Esq. Introduction How Bad File Management Can Get You in Trouble Many of the most common complaints (and malpractice claims) are the result

More information

CHAPTER 4 ELECTRONIC RECORDKEEPING

CHAPTER 4 ELECTRONIC RECORDKEEPING CHAPTER 4 ELECTRONIC RECORDKEEPING The increased use of personal computers and other office equipment results in more employees, ranging from senior program officials to clerks, making decisions concerning

More information

Evidence additional element appendix 47. Records Management Guidance for the management of emails

Evidence additional element appendix 47. Records Management Guidance for the management of emails Records Management Guidance for the management of emails 2010 1 Document Control Sheet Name of Document: Guidelines for the Management of Emails as Records 2010 Author: Consultees Description of Content:

More information

Records Management Services We re not just paper. We are compliance.

Records Management Services We re not just paper. We are compliance. Information compliance is everyone s responsibility. But for us it s a job. Records Management Services We re not just paper. We are compliance. Call Records Management Services for assistance if you have

More information

Temporary Records Procedure

Temporary Records Procedure Procedure Temporary Records Procedure Please note this procedure is mandatory and staff are required to adhere to the content DECD 07/6197 Summary That DECD Central Office, Regional Offices and sites will

More information

II. MUNICIPAL RECORDS MANAGEMENT

II. MUNICIPAL RECORDS MANAGEMENT II. MUNICIPAL RECORDS MANAGEMENT Why Records Management? The administration of local government has grown steadily more complex in recent times. Public demands for increased efficiency, improved services,

More information

Retention & Destruction of Medical Records

Retention & Destruction of Medical Records Retention & Destruction of Medical Records Maryland Law and Regulations Stephen H. Johnson, MedChi September 15, 2015 HIPAA Always turn to HIPAA and its companion regulations first when looking issues

More information

RECORD RETENTION & DESTRUCTION POLICY

RECORD RETENTION & DESTRUCTION POLICY City & County of San Francisco BOARD OF APPEALS RECORD RETENTION & DESTRUCTION POLICY The Board of Appeals Record Retention and Destruction Policy is adopted pursuant to Chapter 8 of the San Francisco

More information

Life Cycle of Records

Life Cycle of Records Discard Create Inactive Life Cycle of Records Current Retain Use Semi-current Records Management Policy April 2014 Document title Records Management Policy April 2014 Document author and department Responsible

More information

Employee Files and Records Management

Employee Files and Records Management Employee Files and Records Management Frequently Asked Questions *For the rest of this document, the term department will be used to cover the terms department, unit and area. 1. What is my department

More information

E-MAIL RETENTION BEST PRACTICE. Issue Date: April 20, 2011. Intent and Purpose:

E-MAIL RETENTION BEST PRACTICE. Issue Date: April 20, 2011. Intent and Purpose: E-MAIL RETENTION BEST PRACTICE Issue Date: April 20, 2011 Intent and Purpose: The intent of this best practice is for county officials to have an educational mechanism to explain requirements for maintaining

More information

12543 Westella, Suite 100, Houston, Texas 77077, 281-293-0101. Recount Procedures

12543 Westella, Suite 100, Houston, Texas 77077, 281-293-0101. Recount Procedures 5 12543 Westella, Suite 100, Houston, Texas 77077, 281-293-0101 Recount Procedures Prepare and Organize. Conduct every election as if it will be recounted. Public Perception is vital in conducting a recount.

More information