Tort Reform
EFFECTIVE DOCUMENT CONTROL AND ORGANIZATION
I. Introduction
Document control and organization begins at the opening of every case. It is at the beginning of the case that you must consider the related variables which could increase the complexity and affect the way you organize for trial. Obviously, there is no “perfect” way to organize a case and no specific trial technique works equally well in all cases. The document control and organization process begins with the initial client meeting and ends with trial and/or settlement. Some of the issues you will need to consider at the outset of the case are the type of action, the court level (i.e., state, federal, administrative), scope and complexity of the issues, persons and entities involved (i.e., corporate defendant, minors, political subdivisions, family purpose doctrine), time factors, value of case and resources available, and logistics. These issues will help you determine whether your organizational efforts should be based upon a small, simple case or a large, detailed case. Even the simplest case requires organization to ensure a smooth litigation process. As the case progresses, it is our job as Paralegals to assist the Attorneys in “building” the case which will be presented at trial. Assume that every case will go to trial and you will be prepared and fully organized.
II. How to Organize Your Case Documents
Organizing your case documents begins when you sign a case. Every Firm has their own processes and procedures set up for organization of files. In our Firm, we set up a file as soon as the initial meeting with the client has been completed. At the initial meeting, valuable facts of the case are established and it is based upon those facts that we set up our files. I have found it important to organize files based on basic sections, specific areas of interest; and in the simplest terms. This means that it is important not to make the organization of your file any more difficult than it must be. However, even in a basic file, it is important for the Attorney to know where they will be able to find specific information. Every one of our signed files includes a three-ring binder with sections for statements, investigation, correspondence, pleadings, and medical. We also have a separate bill and subrogation folder that is included with every file. This offers a basic start for the organization of the file. Remember to keep your organization of documents standard so that anyone who picks up the file in the Firm knows where to find what they are looking for. As the case progresses, the organization of a file can and probably will change, depending on the complexity of issues, number of parties, and venue of the case.
Once a case is filed and you begin the discovery process, your file will begin to get larger and it will become necessary to expand your organization, especially in large files. This can be done by a number of methods, including the hard file, scanning documents into an electronic file or onto a CD-Rom or server, or utilizing legal software, such as Time Matters, Summation, or CaseMap. It is important that you know exactly what is in your file and its purpose. Before organizing your case for discovery, you should review the Complaint and Answer and know what the issues of the case are. This will help you organize your file and answer the discovery. Depending upon the size of your case, you may want to use a “privilege log” and/or “document inventory” to make it simpler for others to know what you have produced. Often Firms use bates stamping. There are programs that are being sold now, including “Easy Bates” which are useful if your Firm has entered the electronic age and has begun scanning your documents. Bates stamping is an effective way of determining that you are, in fact, referring to the same document when you speak with opposing counsel.
As your trial date nears, it becomes even more important to be organized. This includes building your trial notebook and setting up the trial “box”, should your Firm utilize these procedures. Trial notebooks are organized in different ways, and many times, different Attorneys in the same Firm may prefer their trial notebooks to be organized differently. However, as a general rule, you should have your trial notebook organized in the same form that the trial will progress. My trial notebooks include Voir Dire, Opening Argument, Pretrial Orders/Motions, Plaintiff’s Witness List with separate tabs for each witness, Defendant’s Witness List with separate tabs for each witness, Plaintiff’s Exhibit List, Defendant’s Exhibit List, Closing Argument, Jury Instructions, and Settlement. Under each witness tab, we include a condensed version of their deposition, if they have given one, and the Attorney will place his question list/notes. Under the Settlement tab, we include a list of all damages so if your Attorney receives an offer during trial, they are able to effectively communicate numbers to the client. I also prepare a separate Exhibits Notebook which includes a copy of each and every exhibit we will produce, as well as creating an electronic Exhibits folder in the computer file with a scanned copy of each exhibit of each party. Once we are ready for trial, the entire scanned file gets copied onto the Attorney’s laptop for trial. This dual organization makes it easy to obtain just about any document you wish to look at with minimal effort. Many times at trial, an Attorney has no time to “look” for documents. The power and flexibility of the computer will enhance your ability to quickly retrieve and update information with each trial.
III. Developing Information Retrieval Systems
The organization of your Firm will determine how detailed your information retrieval systems will be. Utilize the word processing and database functions of your Firm to store and index key reference information for your case, including contacts, events, exhibits, and trial preparation. Often the best way to do this is through legal software, if your Firm utilizes it, or through word processing or file management. If your Firm is still on a hard file only basis, you will want to make sure your file is organized and precise. This may include using logs, indexes, and summaries. You are not expected to know every fact of a case, but you should know how to locate it, quickly and efficiently, for your Attorney. There are many benefits to using a computerized case management system. The first, of course, is the ability to share files. This allows for not only different people in different offices to work on the same file, you can also work remotely and e-mail documents with redlined changes. This keeps your document organization even more precise because you can follow the changes in the draft from Paralegal to Attorney to client. Additionally, case management systems generally have calendar functions. This is especially important if you are deadline based and need several days to prepare for an event or deadline. Our Firm uses Time Matters, which organizes both our calendar (“Events”) and our tasks (“ToDos”). I can then synchronize that program with my palm pilot and have my deadlines at my fingertips at all times. Additionally, I make use of my laptop and synchronize these deadlines to Microsoft Outlook as well. This is an effective back-up system in the event that your computer/server crashes. The alternative, if you do not have a case management system, is to organize deadlines using index cards in a dated box or folder. This, of course, is not as effective as an electronic system, but it will keep your deadlines organized. At the beginning of each day, you would pull the deadlines for that day out of the box/folder and work your deadlines. Obviously, a computerized system is preferable. You may also use Microsoft Outlook to organize your calendar and your deadlines. Most Firms do, however, have a calendar system.
IV. Digesting, Abstracting and Indexing Documents
When it comes to digesting, abstracting and indexing documents, you need to be organized and detailed and begin this process as early as possible. You will need to determine the amount of time necessary to keep the case documents and organization as simple as possible. With a small case, this may not take much time at all. Larger cases could take hours, or even days to completely organize and index. This process will make depositions and trial preparation smoother. You will need to keep in mind the Supreme Court Rule regarding the numbering of exhibits and begin this process with the first deposition. See Neb. Ct. R. Of Prac. 5(B)(6)(c). Indexing and labeling of documents may seem like a small, time-consuming task, but in most cases a small advance of time and effort pays off with an efficient indexing and document retrieval system. Again, utilize your computer management and word processing software to assist you in this process. You will ultimately have files which will have boxes of documents. In these large files, it is extremely important to organize the file by box, labeling each box and each file in the box, and setting up a “Master Box” showing an index of what each box contains.
When dealing with voluminous documents, separate the materials into stacks, making is much easier to organize, index, and classify the information. Where you can consolidate similar areas, such as “Research” and “Attorney Notes”, make one file and include both on the label. Put all the pleadings and court papers together and in chronological order. All deposition transcripts should be stored in the same place as well. If you are utilizing your computer system, rearrange subfiles so they are grouped under general headings matching the physical file. In extremely large files, you may also need to index materials within the individual subfiles. Always keep in mind while digesting, abstracting and indexing the documents, the issues of the case. Make sure you have the correct documents to prove your case; i.e., expert narrative reports, wage loss records, and medical bills.
V. Using Technology in Document Control
Obviously, the easiest way to implement technology into document control is to use what is already available to you. All Firms have telephone, fax, computers, and copiers. Most Firms have file servers, scanners, laptops and PDAs. As electronic discovery becomes more prevalent, the use of technology in document control will become even more important. It is already crucial in maintaining deadlines and statute of limitations. Speed and accuracy are essential in litigation and is important to be able to make a quick determination of what data is relevant in a case and preserve that information for trial. The Courts have indicated that electronic documents are discoverable. In fact the Federal Rules of Procedure 26(a) (1) (B) states in part:
“. . . a copy of, or a description by category and location of, all documents, data compilations, and tangible things in the possession, custody, or control of the party and that the disclosing party may use to support its claims or defenses, unless solely for impeachment.” Documents include all forms of computer data.
This information could be found on e-mail servers, file and print servers, computers, PDAs, flash drives, compact disks, cellular phones, and/or MP3 players. You need to consider the three main types of data: active data, archival data, and forensic data. Active data is used in the course of business and is easily retrievable. Archival data can be found on back-up tapes or other media, and forensic data is information that has been deleted from a hard drive or needs special tools to retrieve and/or restore the files. It may be expensive to obtain forensic data, as it may require a professional collection team to collect the data, so when you ask for something, make sure you need it. The easiest way to obtain this information is to use your discovery requests.
The information superhighway (internet) is also a wonderful resource for both Attorneys and Paralegals. There are numerous websites you can use to find the information you will use every day as a Paralegal. Additionally, you can utilize the list serves your Firm subscribes to. Joining local or national professional associations will often give you more access to list serves, and also helps you network with other professionals, giving you unlimited access to information. I keep an excel spreadsheet of commonly used websites. Having this information at your fingertips by setting internet bookmarks will keep you more organized and save valuable time searching for information. Remember; use what you have access to.
VI. Conclusion
Learning to effectively control the documents of your case and maintaining organization will help you assist your Attorney from the beginning of your case, all the way to trial. From initializing a file to using available technology to prepare for trial, it is your job to keep your Attorney organized and apprised of the details of the case. This better prepares you and your client for trial. Review and analyze your file, develop a plan, and implement a smooth litigation strategy through document control.
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