Documenting: Who, What, Where, When, and Why – and How!

Stacey Gerrard LL.B.LIANS Counsel

www.lians.ca

Tell me a little about yourself …• In what areas do you practice?• Are you solo or small firm?• Where do you practice?• How many years?• What do you like about practice?

What do you not like?• Challenges?

Who we are: LIANS and RPM Program

• Mandatory NS liability insurance in 1972• LIANS is a member of the Canadian Lawyers’

Insurance Association (CLIA), an insurance reciprocal that acts as insurer for the program

• RPM was created in 2005 to: Reduce the frequency and severity of our claims Develop practice management resources and tools

This session is interactive!

• Ask questions• Make comments• Provide suggestions and ideas • Let’s share and compare so we can all benefit!

Who should document the file?

• YOU! • Your associates• Your assistant(s)

Anyone who works on the file should be thinking about properly documenting it

What type of documents or information should you be

capturing?• Retainer letters• Declination letters• Instructions or advice given or received• Client’s refusal of instructions• Write it down; memos to file re:• Conversations or meetings• Pleadings and correspondence

When? Contemporaneously!

• Dictate a memo to file or a letter to the client following any interactions

• Take notes during your meeting and conversation

• Bring a template retainer letter with you to your first meeting and fill it in as you go

• Bring a checklist to ensure everything is covered and captured

Notes to FileUse these forms located under

‘Resources’ on LIANS.ca:• File Notes - version one• File Notes - version two• Meeting Notes• Telephone/Personal Exchange• Stamp templates to document your file (can

be copied and pasted)

Documenting Real Estate advice re: survey

This sample precedent can be found on LIANS.ca under Solo and Small Firm Conference 2010

Confirmation and Waiver of Advice (location certificate and title insurance)

Precedents/Checklists/Sample letters under ‘Resources’ on LIANS.ca

• Confidentiality Agreement - General• Confidentiality Agreement - Service Provider• Contingency fee agreement• Departing lawyers (General checklist)• Departing lawyers (File transfer checklist)• Engagement letter for client as residential purchaser• Engagement letter for client as residential vendor• Form of demand• Personal injury instructions• Personal injury retainer - may be sent with a Contingency Fee Agreement• Personal injury settlement• Probate questionnaire• Probate questionnaire (testator is deceased)• Sample retainer agreement - 1 (short)• Sample retainer agreement - 2 (long)• Sample retainer agreement - 3• Statutory declaration

Why?

Last SSFC, it was reported that 33% of claims result from communications errors; followed by time management at 15%

• Failure to follow client’s instructions• Failure to obtain consent or inform the client• Poor communication with client

We see things as we are, not as they are! Anais Nin

Where and How?It’s all about document management!

Proper documenting includes saving it in the appropriate places.

• Don’t think “papering the file”• Create a document management system that works

for you

Use a Stamp, Champ …

• Prompt a client to confirm that they are aware of third party use of a property and describe its use

• Meet the requirements under the Client ID Regulations• Advise the client that they are not certifying “title, taxes,

zoning subdivision approval or any other encumbrances”• Confirm the graphics match the legal description

Copies of these stamps can be found on the LIANS website at http://lians.ca/rpm/resources/notes_to_file/

How?

• One-time purchase: PC Law; Amicus Attorney; Worldox

• Monthly subscription: CLIO and Rocket Matter, but …

• Free web-based = cloud computing

DIY with a Common Drive

• Naming conventions date created; name; three letter description: ltr; eml

• Scan everything that comes in!

DIY with a Common Drive, con’t

Establish protocols: • Mirror your client’s physical files – create an electronic

version of correspondence folder, accounts folders, etc.• Accounting • Firm Administration (HR)• Publicity• Library: research, forms, precedents, manuals

DIY with a Common Drive, con’t• Keep your subfolders alphabetical• Files that are already opened, continue the

“old” way• Designate someone to be the “scanner” or

establish a protocol to allow all scanners to know the document has been scanned e.g. a scan stamp

DIY with a Common Drive, con’tTeam effort – buy in!

100% compliance to make this work

Three easy steps to DIY• Step 1: Brainstorm• Step 2: Develop the basic structure• Step 3: Divide and Conquer!

Communication with Team

When delegating, be specific and clear about the expected results

Questions?

Shameless plug time!!

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Stacey Gerrard LL.B., LIANS CounselLawyers´ Insurance Association of Nova Scotia

sgerrard@lians.ca 423 1300 x345

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