Creating a Records Policy and Schedule in a Legal Environment

Creating a Records Policy and Schedule in a Legal Environment Doug Rollo Asst. Director of Records Management

Why Records and storage costs Out of space Where are the records Do the records exist Reduces risk Reduces waste and duplication

New Business Needs Malpractice insurance Client demands Protects assets

Research Lexis/Westlaw ABA publications and website State/local bar publications and web sites Internet Law libraries Firm interviews Interviewed other firms

Bar Sites Stats 51 Bar sites reviewed 5 has in-depth information 6 had articles on records retention 18 had minimal information 22 had no mention of records retention

Michigan Bar www.michbar.org R-5 Duty to establish retention plan R-12Notice to clients RI-86 Availability of records to clients

Michigan Bar (cont.) RI-100 Retirement RI-109 Damage to records RI-178 Lawyer referral services RI-240 Disposition of older records

Other Good Bar Sites Alabama – www.alabar.org Connecticut – www.ctbar.org Florida – www.flabar.org

Bar Sites Quotes Although the guidelines establish standards of practice, the bar association articulated that such guidelines are not a safe harbor for the retention of client files.

Another Bar Quote It is not possible to state a definite time as to when a closed file may be destroyed. The retention is a matter of good judgment.

One More Bar Quote A client’s files [should] be preserved for a reasonable time before they can be destroyed

Last Bar Site Quote Opinion 20000082 suggests that an attorney should express to the client that the file will be held for a reasonable period of time (usually several years).

The Basics Records retention policy Records retention schedule Records Records series

Retention Policy • Policy • Client Records vs. Firm Records vs. Admin. • Paper vs. E Records • Provisions • Schedules • Procedures

Provisions Definitions Client Disclosure Client Notifications Minors Automatic Review

More Provisions Review Disposition Delays Transfer of Records Permanent Records

More Writing Client Involvement Consistency No Response from the Attorney Attorneys no Longer With the Firm Can’t find the Client

And More Writing Whose call is it Do all files need to be kept the same amount of time Firm Culture Acceptance Updates

DSBA Guidance Records Retention Committee Policy vs. Mandate vs. Rule vs. Guideline vs. Principle 10 Year Rule Delaware Supreme Court

Revisions Patience More Patience And Even More Patience

Retention Schedule • Dates to Consider • Review functions and recordkeeping requirements practices • Collect the information • Review and Analyze

More Things to Do Evaluate for disposition the records contained in each series by determining their uses and values Research Draft retention schedule

Approval Section Leaders Specific Attorneys Management Committee

Publish Policy & Schedule Policy book Internal web page Firm website

Implementation Goals Procedures Quick Action

Results Destroyed over 1700 boxes Disposed over of 9000 client files Inventoried all the semi-active records Inventoried all active records New software

Questions Questions? Questions? Questions? Questions? Questions? Questions? Questions? Questions?

Contact Info. Doug Rollo Asst. Director of Records Management 404.756.4866 doug.rollo@usg.edu

Creating a Records Policy and Schedule in a Legal Environment

Creating a Records Policy and Schedule in a Legal Environment

Presentation Transcript

Creating a Productive Learning Environment

Creating a calm office environment

Creating a Literate Environment

Creating a Favorable Policy Environment for Young Adult Reproductive Health: a Legal and Regulatory Framework

Creating a Learning Environment

Creating Help in a Wiki Environment

Creating , Monitoring and Evaluating a Master Schedule

Creating a Foreign Policy

Tutorial 2: Creating a Project Schedule

Creating a Literate Environment

Creating Clusters in a Virtual Environment

Creating a Legal Web Site

Creating a “Literate” Environment: Hidden Dimensions and Policy Implications

Creating and Implementing a Sacramental Records Handbook

Developing a Records Retention Schedule

Authority Records in a Networked Environment

Creating a Foreign Policy

Creating a Foreign Policy

Creating a DCD Classroom Schedule

Tutorial 2: Creating a Project Schedule

Creating a Creative Environment

Creating a Positive Learning Environment