Have you ever felt like your client files are out of control? Client file materials are often scattered throughout various locations and saved in multiple types of formats. Gone are the days of a single paper file stored neatly in your filing cabinet (See Oregon Ethics Opinion No. 2017-192 (Microsoft Word - 2017-192.docx) for a detailed explanation of what should be maintained in a client file.). Multiple locations, different formats, inconsistent naming conventions, and lack of strategic file saving methods can lead to incredible frustration when trying to find and manage your client file information. But there are ways to take back and maintain control of your files. So, if you are ready to push past the fear and find your way out of the maze, read on.
The first step is to understand the importance of file management. Managing client files effectively isn’t just about staying organized—it’s also about boosting efficiency, ensuring compliance, and delivering top-tier client service. A well-structured file management system can mean the difference between a seamless workflow and a stressful, chaotic office. Whether you're a solo practitioner, part of a large firm, or somewhere in between, these best practices will help you keep client files in check and your firm running smoothly.
Create a Foolproof and Consistent File and Folder Naming System
Imagine trying to find a critical case document—only to be met with a jumble of vague file names like "doc_final_version3" or "Smith_Case_NEW.doc." Avoid this nightmare with a standardized naming convention, such as:
To keep things clear, stick to a concise and consistent format firm wide. Avoid special characters that may cause software hiccups and use YYYYMMDD for dates to keep everything in perfect order. The goal is to be able to find documents easily, whether scrolling through the known location or searching by keyword.
Organize Files to Fit Your Firm’s Needs
A well-structured filing system saves time and frustration. Consider organizing files in one of these ways:
- By Client Name or Case Number—Ensures quick retrieval.
- By Document Type—Keeps documents like pleadings, contracts, discovery materials, and correspondence separate.
- By Case Stage—Helps track progress (e.g., intake, litigation, settlement, closed cases).
Then whenever you open a new matter, copy and paste the folder template and rename it as the new client file.
Choose the Right Storage Solutions
Law firms today have a wealth of storage options, each with its own advantages and disadvantages. It is inevitable that you will be storing information in multiple locations. To be most efficient, analyze your firm’s needs and determine which storage options make the most sense. Some storage options include:
- Physical File Cabinets—Avoid storing original documents unless absolutely necessary (e.g., short-term storage of original estate planning documents before signing). Make an electronic copy of the file and return the original to the client or third-party upon receipt or at the conclusion of the matter. Many firms still print documents or keep handwritten notes. Just be sure to keep any paper in a clearly labeled folder and maintain a consistent location in your office for ease of access. Also make sure any handwritten notes, especially relating to deadlines or other important information, are entered into their appropriate location. For example, be sure to enter important information, like deadlines, into your calendar before storing handwritten notes.
- Local Hard Drives—Storage on local hard drives usually makes sense only for true solo practitioners. Otherwise, you miss out on the opportunity for shared access and collaboration with other attorneys and staff in your firm, and you risk difficulty finding and managing documents.
- On-Premises File Servers—A server is designed to compute, store, and manage data, devices, and systems over a network. In a law firm, servers usually store, manage, and share files and applications between computers belonging to attorneys and staff in the firm. It can be expensive to install and maintain and usually requires IT support, but it’s an option for firms that want to retain information on-site.
- Cloud Storage—Cloud storage refers to storage of information on a third-party’s remote server. You can then access the information over the internet. Popular cloud storage options include Box, Dropbox, and Microsoft OneDrive. Before using any cloud storage application, be mindful of your ethical obligations to maintain client confidentiality. Review Oregon Rules of Professional Conduct 1.6 (orpc.pdf) and Oregon Ethics Opinion No. 2011-188 (Microsoft Word - ops_2011-188.docx) for guidance on ensuring that your client’s data remains secure in the cloud.
- Document Management System (DMS)—DMS is a software program, usually cloud-based, that stores electronic documents, such as PDFs, word processing files, or digital images. Most DMS programs offer more features than regular storage programs, like automatic optical character recognition, version control, check-in/check-out system, portal sharing with external parties, advanced searching, and email management that connects to your email program. DMS options include NetDocuments, iManage, and Uptime LexWorkplace. These can be expensive and may require a minimum number of users.
- Practice Management Software (PMS)—PMS is a software program, usually cloud-based, which contains many if not all the details of your client matters to provide front- and back-end management for your firm. PMS streamlines your firm’s daily operations and acts as a central database, reducing the number of programs you need to use. Common functions include calendaring, conflict checking, task management, document storage, timekeeping, billing, and accounting. PMS options include Clio, mycase, Smokeball, and PracticePanther. Depending on the program, they are usually reasonably priced and charge on a subscription basis.
Create and Follow Security Protocol for Storing Client Information
Client confidentiality is non-negotiable. A single data breach can cost your firm more than just money—it can put you at risk for ethical complaints and malpractice claims. Stay ahead of threats with proactive security measures. Protect sensitive information with:
- Encryption—Protects files from unauthorized access.
- Access Controls—Limits file access based on roles.
- Regular Backups—Prevents catastrophic data loss.
- Physical Security Measures—Includes lockable cabinets, secure shredding, and restricted file room access.
Follow a Smart Document Retention Policy
Keeping files forever is a fast track to digital (or physical) clutter. You can find more information in our practice aid “File Retention and Destruction Guidelines” on the PLF website at https://www.osbplf.org/services/resources/ > Practice Aids > Firm Operations > File Management. Use it as a foundation to create your own document retention policy that:
- Specifies how long closed files are kept.
- Adheres to ethical and legal requirements for document retention and destruction.
- Ensures old files are securely disposed of when no longer needed.
Train Your Team and Conduct Regular Audits
Even the best system falls apart without proper training. Keep everyone on the same page by:
- Running initial and ongoing training sessions on file management.
- Assigning a point person or team to oversee compliance.
- Conducting periodic audits to ensure files are labeled correctly, securely stored, and up to date.
