Benchmark Institute is a training and performance development
organization dedicated to increasing the quality and quantity of
legal services to low-income communities.
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Filing system needs will vary from program to program;
however, general discussion of a model system design might be helpful as a
foundation for your filing system planning.
A good model for organizing client files, especially larger ones, uses
file backs for separating and organizing documents. A file back is a half
or one side of a regular legal size folder. It can have a pre-attached rem
clip on it a file folder can be cut in half and an ACCO fastener added.
These fasteners are used to attach items in the client file to each file
back.
This file system also uses file folders and, where large files are used,
"file pockets," which can range in expandable width from two to five
inches. Since these can be reused, it is wise to invest in the best
quality available. Those with cloth-reinforced edges are the most durable.
Here are some basic file back designations for small, medium, and large
client files:
a. Small Client Files
• addresses, intake records, and case records
• correspondence
• legal pleadings
b. Medium Client Files
• addresses, intake records, and case records
• correspondence
• legal pleadings
• research
• client's papers
c. Large Client Files
• addresses, intake records, and case records
• correspondence
• legal pleadings
• research
• client's papers
• publicity
• affidavits, depositions and transcripts
• work papers and drafts
• hold
• extra copies
Many of the smallest files, particularly "advice only" matters, you may
need only one file back, or two at the most.
Here is a brief description of the types of documents each file back would
hold:
a. Addresses, Intake Records, and Case Records. This file back goes
in the front of the file folder and contain the intake form, the client
authorization form, parties' addresses and/or telephone numbers, copies of
client trust account receipts, other cost receipts, and finally the case
record sheet which is always on top. In advice only cases or cases in
which there are five or less documents, this is the only file back in the
folder.
Every action taken in a case should be noted on a case record sheet. There
should be enough information so that anyone can reconstruct easily the
case history.
The case record sheet should be an historical index to the client file. It
is the first and last line of defense in protecting your clients. A sample
case record sheet is shown in Figure 32-1.
b. Correspondence. The correspondence file back contains the case
narrative story. Any time the case is discussed, it is noted on the
correspondence file back. All letters, telephone notes, interview notes,
and other documents are cross-referenced to attachments in other file
sections. All documents are filed in chronological order with the most
recent documents on top. In small client files, all other documents, such
as research notes and news clippings, also are filed here. In large files,
you might have several correspondence file backs, which should be
designated on the file label as shown below:
Sample "A"
_________________________________
Legal Services Client v. The World
Correspondence # 1
June, 20XX - April, 20XX+2
Sample "B"
_________________________________
Legal Services Client v. The World
Correspondence #2
May 2004-Present
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CASE RECORD
SHEET
(To be kept
in Client's file)
Name of
Client: Claudine -Jackson Wellman File No: 1000XX
Intake Date: 6/20/XX
Date Issue Resolved: 8/30/XX
Date Description of
Activity Staff
6/20/XX Interviewed Claudine Wellman/accepted
case P. Paralegal
6/24/XX Filed Notice of Appeal re TANF PP
7/08/XX
Called Welfare Dept. (Ms. Cutter) re:
access to file; granted for 7/15/XX PP
7/15/XX
Reviewed file/made copies/called Ms. W.
Wellman to report findings PP
7/20/XX
Spoke with Steve Wellman, set up interview
appointment for 7/27/XX PP
7/27/XX
Interviewed Steve Wellman, he confirmed
inability to support children, called Welfare
re: appt. (Ms. Cutter) granted for 8/10/XX PP
8/10/XX
Research TANF regs favorable to
Ms. Wellman. Interviewed Ms. Cutter at
Welfare/her position weak. Set up client
conference for Ms. Wellman 8/25/XX PP
8/25/XX
Client conference, Ms. Wellman gave
PP & S Supervisor
permission to proceed
8/30/XX
Negotiation session/Welfare Dept./TANF
PP
rights reinstated
9/15/XX Called Ms. Wellman; she had received back
payments as well as current check. I told her to call
if there were any further problems. File may be closed PP
Figure 32-2
Case
Number______________________________
Court _________________ Cause No. ____________
___________________________________________________________________
Tab No.
Document Description
Document Date
Date Filed
Order
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c. Legal Pleadings The legal pleading file back
includes all documents introduced into court or before an administrative
agency. If there are more than five legal pleadings, they should be
preceded
by a dated index of all documents, and documents should be tabbed on
divider sheets. Use a cheap grade of colored offset paper for these
divider sheets. The file back label should designate the court name and
case number.
In cases where there are many legal pleadings that may involve more than
one court, use a hard-cover, cloth-bound file protector made of
pressboard. Using this type of file folder with an index and index tabs
allows rapid retrieval of facts in trials and hearings.
d. Research. The research file back may be a single file back or,
in large cases, several. File back designations can include historical
documents, related cases, interoffice memoranda, statistical data,
depending on the case's particular needs. The case handler should select
these categories.
e. Client's Papers. The client's papers file back is for the
client's documents, such as original birth and marriage certificates,
photographs, and cancelled checks. All such papers are returned to the
client when the file is closed. They should not be punched. Attach a
manila envelope to this file back and place the client's papers in this
envelope.
f. Publicity. The publicity file back should include all press
releases from your office, as well as newspaper clippings and magazine
articles relating to the case or matter.
g. Affidavits/Declarations, Depositions and Transcripts. As the
case proceeds, other major file backs may be added for affidavits,
declarations, depositions, and transcripts. In very large cases, each of
these designations may require a separate file pocket for bound
transcripts and depositions.
h. Reports. A file back for reports and exhibits can include such
items as statistical surveys, impact statements, maps, and other items
which have not been introduced into court but which are critical to the
client's legal position.
i. Work Papers and Drafts. This includes drafts of all complaints
and memoranda that the case handler wants to save for later use.
j. Hold. This should be a complete file folder used for
photographs, large maps, originals, or other documents which should not be
punched and which do not belong to the client.
k. Extra Copies. This file folder may be used when there are a
number of copies of certain documents, pleadings, and reports.
As an alternative to the above system, staple all permanent client data --
intake sheet, case record, addresses -- on the left side of a folder. Clip
or fasten other documents that may have to be removed -- correspondence,
memos, pleadings -- on the right side of the folder in chronological
order.
Whatever system you design, minimize unfastened documents in files. Loose
documents cause the greatest problem in most filing systems.
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