Client Records are important documents held by a law firm on behalf of their client. These are signed original documents which typically are Wills and Deeds but can be any type of document.
These records are traditionally held in ‘packets’ which are stored in a fire proof location. LegalOffice refers to these packets as containers.
The LegalOffice Records system helps firms manage their clients’ records with each client able to have multiple packets containing an unlimited number of records.
Scanned images of the records can be stored in the Document Management system and associated with the individual client records. This allows authors to view a scanned image of the document rather than retrieve the physical file when they need to look at it.
To help track files that are removed from the store, a file location function allows the firm to record by whom and when the file was taken and where it is has been relocated to.
Managing Containers
Before any records can be added, a container must be created for the client. Open client inquiry and select the Records tab.
To create a new container, right click on the empty grid and select New Container. If you are maintaining an existing container, just right click on the container record and select edit container. There are multiple fields available when adding a container and it depends on your firms circumstances as to whether you use them all. At a minimum you must add a reference, type and client number.
| Field | Description |
| ID | N/A This is an system generated database key, |
| Type | The type of container being created – these can be defined by the firm and typical examples are ‘Deeds Packets’, ‘Archive Box’ and ‘Matter File’. |
| Reference | This is a system generated reference for the container. You can manually add a reference if you wish or use the system generated number. |
| Client | The client number for which the container relates to. |
| Parent Container | Used when the container is held in another container. An example could be when a Deeds Packet container is stored in an Archive Box. The Archive Box would have its own reference number and location. |
| Archive Reference | Used to hold an extra reference for the container. |
| Location | Used to describe the container location. Typically a ‘Deeds Packet’ location would be the ‘Deeds Safe’ or a ‘Matter File’ would be ‘Archive’. Also can be used to tag the container as being with a particular author or team or even as ‘Uplifted’ by the client or another firm. |
| Requested By | Used to track that an author has requested the container be sent to them. This is a request and tracking system to ensure the location of a container is always known. Once the container is retrieved and sent to the author, the location of the container should be altered to the author initials. When the container is returned by the author, the location should be altered to reflect the container has been returned. |
| Notes | Free text notes field. |
Click the Save button when you have finished adding the container information
The client Records screen will display the container you have created and you can now add a document (record) to this container.
Managing Records
To add a new record into a container, right click on the container record and select ‘new document’. To edit an existing record, expand the container, right click on the record and select ‘edit record’,
There are multiple fields available when adding a record and it depends on your firms circumstances as to whether you use them all. At a minimum you must add a type, description and date.
| Field | Description |
| ID | N/A This is an system generated database key. |
| Type | Used to describe the type of record – these are defined by the firm and typical examples are ‘Will’, ‘EPOA’, ‘Trust Deed’. |
| Description | Used to give a full description of the record. |
| Date | The physical date of the record. |
| Container | The reference of the container where the record is held. |
| Location | Used to track the location of the record. Typically a records location is in the container in which it is held. Therefore no separate location is need. However, if a record is taken out of the container then this field can be used to show where or by whom the record currently is held. |
| Author Responsible | Used to show which author is responsible for the record. Generally this field is only used when the author responsible is not the client partner. |
| Next Action | Used to note when another action needs undertaking. An example for a ‘Will’ type document would be ‘Will Review’. If the Task System is being used this Next Action will display as a task on the author Task List. |
| Next Action Date | The date on which the Next Action needs to be completed. The Next Action will be displayed on the client author Task list with the Next Action date being the due date |
| Lead Days | The Next Action will be displayed on the client author Task list with the Next Action date being the due date. Lead days provides the author advance warning of this impending task and the task will appear on the authors Task list xx days in advance of the due date. |
| Requested by | Used to track that an author has requested the record be sent to them. This is a request and tracking system to ensure the location of a record is always known. Once the record is retrieved and sent to the author, the location of the record should be altered to the author initials. When the record is returned by the author, the location should be altered to reflect the record has been returned. |
| Old Other Parties | This field has been superseded by Other Parties. It will be removed at a future date. |
| Notes | Free text notes field. |
| Other Parties | Used to record other parties associated with this record. These can be unlimited in number and given a period for which they are associated. If a firms staff member is associated with the record e.g. an author is a trustee of a Will, the system will report this as required by the Law Society. |
To add an Other party;
Open Client/Records, expand the packet containing the record, right click on the record you are adding other parties against.
To add an other party, click the + button at the bottom left of the screen. Enter the type of of party for the drop down menu e.g. Executor.
Enter the other party name, this can be free style or use the menu to select an existing client name or author name.
The To and From dates are used to record the periods when this person was an active Other party.
The Firm box indicates the other party is a member of staff.
Notes is a free text field of unlimited size.
Click Update to save your changes.
Associating a client record with a DMS document
After the client record has been added, you can associate it with either an existing, or a new to be added scanned copy of the original signed document. Once the association has been made, users can view the digital document from the client records tab.
Associate an existing DMS document Open the client records tab and expand the container to display the document list. Select the document you are working on and click into the field ‘DMS ID’. Select the scan copy from the list of available documents that displays
Associate a new document with a client record Scan your original document and save this to your DMSWatch folder. The standard DMS import screen will display. Add the document to your client as you do normally but use the ‘record’ field to associate this document with an existing client record.
Tracking containers and records that are removed from your store
Authors and staff can request the physical container, or individual record directly from Client Inquiry.
To request a container, open the Client Inquiry/Records tab, right click on the container required and select Request Container.
To request an individual record, open the Client Inquiry/Records tab, locate and right click on the document required and select Request Document.
The Deeds administrator will be notified of the request via the Records Processing app. The deeds administrator should then action the request and deliver the physical container or document
The Client Inquiry/Records tab will display the location of the container/document as being with the requester.
Once the file is returned, the administrator will reset the container/document location to being in the original store
Deeds Administration
All Containers, records and requests can be managed from the Records Processing app.
All containers can be displayed on the main screen with an additional details tab available to review the selected containers contents.
Also available on an additional tab are any requests that require action.
Requests displayed can be for a container or record and are received from staff wanting the physical container or record. One you have delivered the files to the staff member, use the Complete button to mark the file as being now held by that person.
When the container is returned to you, use Container tab to reset the location back to the original store. Place the physical container back in store.
When a record is returned to you, use Details tab to reset the location back to the original store. Place the physical document back in its container.