Management Tips from a Solo Practitioner
By Marilyn D. Barringer-Thomson

After graduating from law school, I worked for a law firm for two years and experienced all of the benefits of practicing with other attorneys and with full administrative support personnel — office manager, file clerks, secretaries, law clerks and runners. Lawyers rarely controlled the location and retrieval of computer data. Secretaries usually saved documents, retrieved documents and created file folders. Computers were usually not located on lawyers’ desks, dictating equipment and tablets were the tools utilized by the lawyer. The secretaries typed and saved all data files. Clerks filed pleadings, correspondence and discovery. Attorneys’ handwritten time sheets were given to support staff to bill clients.

All of this changed in 1988 when I became a solo practitioner. With a computer at my desk, I faced the world of law office management and organization! An experienced administrative assistant set up the office filing system which has been modified over the years to accommodate technological advances.

Computer software is critical to the successful operation of a solo practice. A solo practitioner should have a working knowledge of all computer software utilized at the law office and should be cross-trained with support employees on the software. Billing and docketing software must be utilized with regular backups performed. A paper calendar for docketing of deadlines may also be utilized in addition to the computerized docketing system.

Two critical consultants are vital to the survival of a solo practice: an accountant who utilizes the same computer software as the law office; and, a reliable, dependable, trustworthy person with significant knowledge of computers, scanners, software, networking and technological advances. Many law firms have in-house information technologists who oversee the operation of computers, software and the network for the attorneys and support staff. A solo practitioner will have a minimum of two computers to maintain and must have an information technologist available to address equipment issues when they arise.

All computers should be on a network to expedite retrieval of data and to perform regular backup of data. No one wants to be confronted with — Where’s the file? Where’s the document? On what computer did you save the brief? I can’t find the document!

One computer should be designated as the file server and all data should be saved to the server by the attorney and all support staff. This fundamental office procedure will result in expeditious location of data files and complete backups of the office files. The attorney should be able to locate and retrieve data without assistance from support staff. Saving data, locating data and retrieving data is at the heart of the law office.

Computers will malfunction for numerous reasons. Therefore, preservation of data stored on the server is mandatory and must be performed regularly. Data may be backed up to CDs, DVDs, zip drives or external hard drives. Backups of the office server should be consistently performed and the backups stored at a location away from the office. The most recent backup of the system is priceless in the event that computer data on the server is lost and must be restored.

Not only must a backup be made, you must also verify that it can actually be restored to operation and data can be retrieved. The drop-in price of hard drives now makes it convenient to back up the entire drive, either through a mobile removable rack that allows swapping of backup drives or through a USB to hard drive interface. Cloning software like Ghost or Casper XP allow you to make an exact duplicate of your hard drive.

Additionally, an automatic time backup feature is available to users of Microsoft Office and Corel Word Perfect Office. The automatic backup feature must be activated on each computer for work to be automatically saved at timed intervals to a designated location on your hard drive. Interruption of computer work by an unexpected power outage will not result in the loss of work in process provided that the timed backup feature is activated. This brings up the necessity of purchasing uninterruptible power supplies (UPS) for each computer capable of keeping your computer running for at least 15 minutes in the event of power interruption.

How will files be stored on the file server? A folder designated as “active” is recommended where a folder exists for each active client. Each client’s folder may be labeled with the name of the client (or an assigned billing number). Each client’s main file folder may contain sub-file folders appropriate for the legal services rendered. Sub-file folders for clients may be labeled as letters, pleadings, legal research and drafts. In the event that the client has multiple cases, then the case number may be used as the label for the file folder and pleadings filed to the particular case file folder. All pleadings are indexed and filed in paper pleading file folders and in the pleading file folders contained on the computer for the client. When work is completed for a client, the file is moved into an “inactive” or “closed” file folder on the server.

Telephone calls from potential clients should be documented with established computer intake procedures. Data is entered into and saved on the server during the initial telephone interview with a prospective client. The data should include pertinent facts such as the date of contact, legal services sought, dates of events to enable the attorney to identify statutes of limitations, anticipated opposing parties to enable the attorney to check for conflicts and related personal information such as address, e-mail addresses and telephone numbers. An introductory or engagement letter can then be generated to the potential client. A file folder labeled: “ICI (and the year)” shorthand for “initial client interview 2005” — should be maintained to enable the attorney and staff to search the server computer to locate information regarding a potential client.

A uniform, consistent practice should be established for saving documents at the law office. Documents may be saved by date and by name, such as: “8_29_05 Res MTD (Res MTD means response to motion to dismiss);” “8-29-05 MSJ (MSJ means motion for summary judgment); or “8-29-05 letter Dr. Smith.” Word Perfect allows either the label file name; or, file path and file name to be inserted into a document by the preparer of the document. The preparer clicks on the insert tab, goes to and
highlights “other” and clicks on either file path to exact location: C:\Documents and
Settings\melissab\Local Settings\Temporary Internet Files\OLK8B\11-14-05 Final File Management OBA.wpd, or, file name 11-14-05 Final File Management OBA.wpd. A document may be assigned a number to expedite retrieval. It is recommended that the least number of characters be used in the name of documents. Forms utilized by the attorney should be located in a “forms” file folder with designated sub-file folders so they are readily accessible for revision by the attorney and support staff. An established procedure will enable the attorney and staff to quickly locate documents.

Although technology is moving toward a digital, “paperless” law office, the paper copy of pleadings and orders should be made and retained for various tasks for an appropriate period of time. The federal district courts in Oklahoma and in other states have digital, electronic filing. Pleadings and proposed orders are saved on the attorney’s file server as a portable document file (“pdf”), filed electronically and subsequently returned by the court’s computerized filing system as a filed document to counsel of record. Notice of pleadings electronically filed by an opposing party are automatically electronically transmitted to attorneys of record by the court’s computerized filing system and then downloaded. Orders are electronically distributed to all attorneys of record and then downloaded. Documents offered as exhibits to pleadings, motions and briefs must be scanned, converted to pdf format and filed at the law office and with the federal court. The electronic filing heightens the significance of pleading file folders on the law office’s server for document management, retention and retrieval.

The benefits of electronic filing can be extended to the electronic storage of all paperwork you receive. This requires investment in a high-speed, sheet-fed scanner or flatbed scanner with an ADF (automatic document feeder). It is much easier to dig through a computer file for a document rather than turn a file box upside down looking for it. Having a good quality 300 dpi scan also allows you to generate later exhibits from the original scan and not to rely upon a “copy of a copy” if the original is misplaced.

If you do not use scanned electronic document storage, it is recommended that the attorney print the pleadings and orders for the client’s file and also save them to the attorney’s file server because a paper copy will be needed to prepare an appendix in the event that an appeal is taken from a federal district court to the U.S. Court of Appeals for the Tenth Circuit. Under the current rules for the U.S. Court of Appeals for the Tenth Circuit, paper filing of briefs and appendices is required along with e-mail submissions of briefs and appendices in pdf format.

In Oklahoma state courts, some (but not all) pleadings, orders and other documents filed with court clerks for select counties in Oklahoma may be available in electronic format through the Oklahoma Supreme Court Network. One can anticipate that electronic filing will eventually be implemented for all proceedings in Oklahoma (municipal, county and appellate) courts. The transition will be simplified if files are organized on the server at the law office.

Hurricanes, tornadoes, fires, thefts, terrorists, equipment failures and other events threaten office and client equipment, data and documents. The 2005 hurricane season resulted in destruction of court files and law office files in Louisiana. Prior to the 2005 hurricane season, a safe deposit box at a bank located near the lawyer’s office was considered as a secure location for computer backups. The age-old practice of providing copies to clients of pleadings, documents, orders and correspondence to clients combined with regular backups of the law offices computer system (to include scanned documents of clients) may expedite recovery, replacement, or retrieval of destroyed computers, papers and data for the geographic region. Clients who use e-mail will appreciate receiving electronic copies of documents in their case. The unanswered questions are: how many backups should be made and at what locations should backups be stored? However, the bottom line continues to be maintaining a regular backup of your computer system. Daily backups to CDs, DVDs or an external hard drive are recommended.

During my 20 years as a lawyer in the private practice of law, I have been trained by the best administrative assistants (formerly called secretaries), information technologists and attorneys in Oklahoma in the very fine art of document and file management for complex litigation. I am forever grateful to each and every one of them.

About the Author
Marilyn D. Barringer-Thomson graduated from Oklahoma City University School of Law in 1984. She holds a master of science degree from Duquesne University. Her practice consists of complex civil litigation in federal and state courts in Oklahoma. Her areas of practice include employment, labor, civil rights, probate, collection and fraud. She also presently serves as an administrative law judge for the Oklahoma Department of Labor.