TOPIC 6:
Records Management
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.
Types of Records
1. Active Client Card File These cards provides space for the name, address and telephone
number of the client.
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 indicated 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 be sent to client records of income, payroll records,
income tax records, cancelled checks and insurance policies.
5. Personal File. This include 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.
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).
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.
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 period are determined by appraising the associated record’s
usefulness of 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.
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.
4.Research – the usefulness of a record in providing research value.
5.Historical – the determination that records possess current or future value in classifying the
history of an organization and are thus worthy of permanent preservation.
Steps in a Record Retention Program
Take an inventory of records
Review the types and value of current records
Operational/administrative value
Legal value
Fiscal value
Historical value
Research value
Review the laws and regulations for each type of records.
Develop a records retention policy and, or schedule.
Protect the vital records of the organization
Continue to apply the retention schedule to archive and dispose of records at least annually.
Review records retention policy/schedule periodically for compliance with new or revised
laws and regulations.
Vital Records that should be kept permanently and preserved
Birth record
Marriage record
Death record
Divorce record
Student record
Active court record
Records Kept for 6 or 7 Years
Records in this category facilitates routine business operations and are replaceable only at
considerable cost and delay.
Contracts, leases, and agreement
Accounts receivables
Schedule of fire and other insurance
Inventories of materials
Sales records
Collection records
Records Kept for One Year or Less
Records in this classification are often destroyed after they have served their purpose.
Announcement
Memorandum
Congratulations
Condolences
Form letters
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.
Records of death often are also filled in the corresponding county where the individual died.
Depending upon the practices of that country, 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.
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
name 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.
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 arrangement as well as any
temporary restraining orders are included in the decree.
Different type 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 case are typically not available without a court order.
Filing Needs
Filing Cabinets. Various sizes are needed. These cabinets must be at least 14 inches wide.
Filing supplies. Client folders, dividers, labels, guides, cardboard, out guide, tabs.
Expandable files. Customs expandable files, pockets, envelopes, wallets.
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 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.
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.
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.
Subject Filing. A method of storing records in alphabetic 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, 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
Tips to Established 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 a new hired staff.
Topic 7:
Handling Financial Records in a Law Office
Fees and Retainers Paid to Lawyers
Contingency Fees. A percentage of the award received in a civil case that is paid to the
attorney for his or her fee.
Project Fees. Attorney’s fees that are set based on the work the attorney performs such as
writing a will or preparing a trust agreement.
Retainer Fees. Fees paid at the outset of the case by the client for use only in the particular
case.
Statutory Fees. Attorney fees set by statute, such as for the probate of an estate.
Legal Fees. Fees paid by clients for the services rendered by the lawyer.
Your Responsibilities in Handling Financial Records
Billing the Client
Preparing Docket sheet for each client
Updating the disbursement record
Handling petty cash fund
Preparing check disbursement
Docket
It is a list of cases usually with file numbers, scheduled for trial in a court.
The Docket Sheet
A docket sheet is a document kept in a case file at the courthouse. It lists all papers filed and
actions taken in a case. The judge may also note on it any action taken during a hearing or
trial. Except for juvenile court and certain other types of confidential matters (such as
adoptions), case files and docket sheets are public records and can be inspected by anyone.
Information Needed in the Docket Sheet
Client’s Name
Names of other parties to the action, if any
Type of action
Each activity performed by the attorney and the time he devoted to each.
All disbursements made by the form in connection with the proceeding.
Petty Cash Fund
Petty cash fund is an amount of cash on to pay for incidental expenses and the immediate
cash requirement of the lawyers. These expenses might include anything from lunch with a
client to buying office supplies.
What You Should Know About Escrow Account
In many legal situations, funds must be paid out by one party, but these funds cannot be
touched or delivered until some specific action is taken or document delivered. The funds are
given to the lawyer who deposits them in account known as ESCROW ACCOUNT or special
account.
Remember that every transaction dealing with money, especially money that belongs to
other people, must be recorded completely and accurately.
Honesty and Trustworthiness are the values you have to practice when you are entrusted
with money matters in the workplace.
Topic 8: Legal Terminologies for Legal Secretary
Acknowledgment- A statement of acceptance of responsibility. The short declaration at the
end of a legal paper showing that the paper was duly accepted and acknowledge.
Acquiescence- The state of giving consent by failing to make objection.
Acquisition- The act by which a person gains possession of property.
Acquittal- The setting free of a person who had been charged with a crime
Action- Proceedings at law.
Actionable- That which furnished legal grounds for an action.
Act of God- An inevitable accident
Act of negligence- A failure to behave with the level of care that someone of ordinary
prudence would have exercised under the same circumstances. The behavior usually consists
of actions, but can also consist of omissions when there is some duty to act
Actuary- An officer of an insurance company who calculates risks and premiums.
Ademption- Extinction or withdrawal of legacy by estator’s act, equivalent to revocation or
indicating intention to revoke.
Adjective law- The portion of the law that deals with the rules of procedure governing
evidence, pleading, and practice
Adjudicate- To decide or settle by law.
Administrative- Relating to the management of a company, school, or other organization.
Administrator- A person legally vested with the right of administration of an estate.
Admiralty- The law governing maritime matters.
Admiralty court- A court having jurisdiction over maritime offenses.
Adverse possession- The possession of real property, continued for a certain number of
years, which gives the holder undeniable right of possession.
Affidavit- A sworn statement in writing made especially under oath or on affirmation before
an authorized magistrate or officer
Agent- One that acts or exerts power
Aggrieved- Having a feeling that one has been wronged or thwarted in one's ambitions.
Agrarian- Of or pertaining to fields or to a division or distribution of land.
Agreement- A mutual understanding; also the writing or instrument that is evidence thereof.
Alias- Otherwise; also called; as formerly
Alibi- The plea of having been elsewhere than at the scene of a crime at the time of its
commission
Alien- An unnaturalised person of foreign birth
Alienation of Affections- An action is brought by a spouse against a third party alleged to be
responsible for damaging the marriage, most often resulting in divorce
Alimony- Money paid by a husband for the support of a wife legally separated from him.
Allege- To make a statement of fact; to state positively.
Allocate-To allow an appropriate proportion; to allot.
Amendment- A minor change or addition designed to improve a text, piece of legislation,
etc.
Amicable action- An action entered into by free agreement of the parties
Amnesty- An act by which a government grants a general pardon for an offense,
Amortize- To provide for payment of a debt by creating sinking fund or paying in
instalments
