File opening and control of files procedure

File opening and control of files procedure

LAW 9000 – Legal Best Practice

Clause 4.2.6.1 Control of matter files

1. Purpose

This procedure establishes guidelines for opening and control of matter files.

2. Scope

The procedures starts with contacting a potential client for first conflict of interest check and finishes

with instructions on storage and access to active files.

3. Persons affected

All professional and support staff.

4. Policy

The policy of [Practice Name] is to open a separate file for each new matter for new, current and

former clients. It is our policy to open a new matter file for “one-time consultations”, even if no work

was done or confidential information received, to facilitate conflict checking.

5. Definitions

Consultation - the giving of a formal opinion regarding the substance or procedure of the law by a

lawyer. It includes “one time” consultation.

 

6. Responsibilities

a. All lawyers and administrative staff are responsible for ensuring compliance to this procedure.

b. All lawyers and administrative staff are expected to adhere to the guidelines of this procedure

when a client has retained the services of [Practice Name] and a decision has been made to

open a matter file.

c. The [Name of Person] has authority to open a file.

7. Procedure for opening files

a. [Name/Role of support staff] should contact a potential client before the first interview to

perform a conflict check. Follow conflict of interest check procedure.

b. At the initial interview the interviewing lawyer (the lawyer) should use a blank file prepared

ahead of time for each area of law. The blank file should contain the file opening form (the

2File opening and control of files procedure

form), procedural checklists, interview forms/questionnaires, and any other forms or

documents needed.

c. At the interview the lawyer should take care to correctly identify the client on the form. Follow

client identification procedure.

d. At the interview the lawyer should also establish client’s capacity and note on the form.

Follow establishing of client’s capacity procedure.

e. At the interview a lawyer who wishes to open a client’s file must complete the form.

f. The lawyer must complete the following fields on the form:

For individual clients

Name of client

Previous name or alias

Home address

Home phone, mobile number and email address

Occupation

Work telephone number and address

Alternate addresses or telephone numbers (for keeping contact with some family and

criminal clients)

Mailing address if different from home address

Opposing party name(s)

Address of opposing party

Phone and/or mobile and/or email of opposing party

The opposing lawyer’s name, telephone and fax number

Subject matter of the file

Matter description – requires short description of matter

The interviewing lawyer’s name

The date the file is opened

Agreed charge out rate

Amount of money requested on account

Person who took the instructions

Any limitation dates

Referral sources

Client’s capacity

For company clients

Corporate and business names

Any trade or alternative names under which the entity carries on business

Names of the parent or controlling shareholder of a corporate client

Proper and business names of other relevant affiliated companies

Issue Date: Author: Val AntoffReview date: Approved by: Val Antoff

3File opening and control of files procedure

Names of officers and directors of the corporate client, any subsidiaries and the parent

company

Partners’ names of a partnership client

g. The lawyer must note any limitation periods on the form and advise client if imminent.

h. The lawyer should then do a second conflict of interest check.

i. If the result is negative, the lawyer will then prepare a retainer agreement and forward to

client for review and signature.

j. Once the practice receives the signed retainer agreement and the deposit on account of costs

and disbursements then the lawyer will give the form to the staff member responsible for

opening files.

k. If the form has not been filled in it should be returned to the lawyer for completion.

l. Before opening the file a search should be performed by the responsible person to identify

any requirements for linking files where more than one file is relevant to the client’s matter.

m. The responsible person will enter the information in all the appropriate systems:

i. file opening book

ii. case management system

iii. accounting system

iv. limitation date system

n. The file should be named with the client’s name, followed by a reference and assigned file

numbers (or an allocated by the case management system unique identifier).

o. The opening form should be fastened to the paper file (or scanned into the client electronic

documents file).

p. A file cover page will be printed out and stuck on the front of the client paper file.

q. The cover page should contain the client’s name, file number, the subject matter of the file

and the initials of the acting lawyer, limitation dates or other important time frames, and the

client’s address and phone number for easy reference.

r. After that all relevant materials will be filed in the newly opened file.

s. The file will then be handed to the acting lawyer.

t. Every paper file must have as a minimum the following sections:

Court documents

Correspondence

File notes

Client documents

[Include any regulations or legal profession rules relevant to file opening.]

8. Central file registry and control of files

All active files are stored in a [name location]

Issue Date: Author: Val AntoffReview date: Approved by: Val Antoff

4File opening and control of files procedure

Files should remain in the file storage area at all times unless work is carried out on the file

out

Files that are currently used should remain on the desk of the lawyer, legal assistant or

secretary doing the work

Files should be checked in and out using a [name system for checking files in and out]

When work is completed, the file should be returned to the file storage and checked in using

[name system for checking files in and out]

Staff are not permitted to take files home

Individual documents should not be separated from the file. If a document must be removed,

it should be copied and then returned to the client’s file.

[The central file registry section may not be relevant for firms with paperless/electronic files.]

9. Essential quality control

A weekly/monthly report will be produced by [Name/Role of person] which will include all newly

opened files and the status of the conflict of interest check, client identification, client’s capacity,

retainer agreement and money requested on account of costs. It is the lawyer’s responsibility to fill in

any identified gaps.

10. Quality measure

a. The file opening and control of files process will be reviewed by the management team

annually at our quality management system annual review meeting.

b. Any issues with this process identified by a staff member must be communicated by that

person to the quality systems manager/principal through the corrective action process.

Issue Date: Author: Val AntoffReview date: Approved by: Val Antoff