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FILE MANAGEMENT
Ann Phillips, Q.C.. Ann Phillips Law Office
2022 CornwallSt Suite 205Regina, Sask. S4P2K5
Ph: 791-2.626 Fax: 352-2020
Janice HillAnn Phillips Law Office
2022 Cornwall St. Suite 205Regina, Sask. S4P2K5
Ph: 791-2626 Fax: 352-2020
BIOGRAPHICAL INFORMATION
Ann Phillips, Q.C.·
Ann earned aB.A.from McGill in 1962 and an LL.B. from the University of Toronto in.1971. Shewas calledto the Ontario Bar in 1973, the Quebec Bar in 1977, and the Saskatchewan Bar in.1982. Ann. practices inthe areas of civil litigation and intellectual property. Since 1994 she has presented at the Bar AdmissionCourse and was a presenter at SKLESI's Intellectual Property seminar in 1995. Ann has also been apresenter for the Canadian Bar Association.and·Saskatchewan Trial Lawyers Association. In 1993 shewas appointed to the Law Foundation of Saskatchewan. Ann has her own firm, Ann Phillips Law Office inRegina..
BIOGRAPHICAL INFORMATION
Janice Hill
Janice earned a Business and Scholastic Diploma from Weyburn .Comprehensive in 1978. She hascompeted numerous computer course and has over 15 years' experience in the legal field. Janice workswith Ann Phillips Law Office in Regina.
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TABLE OF CONTENTS)
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lI. OPENING THE FILE 1
)A. GENERAL 1
)B. IDENTIFICATION 1
)C. CONFLICTS CHECK 2
)D. LIMITATION PERIOD NOTATION 3
)II. ORGANIZATION~) 7
)A. ORGANIZING YOUR FILE 7
)B. TYPE OF FOLDER 8
)C. HOLD TOGETHER 8
)D. DIVISION OF MATERIAL 8
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) III. MOVING THE FILE ALONG 9
) A. "BRING FORWARD" OR "TICKLER" SYSTEM 10) B. CLIENT RELATIONS 12
C. RECORD KEEPING 13
IV. FILE CLOSING 15A. HAs EVERYTHING BEEN DONE? 15B. CLOSING LETTER AND ENCLOSURES 16C. DESTROY UNNECESSARY DOCUMENTS 16
) D. THE CLOSED FILE 16) E. REVIEW DATES 17) F. REVIEW PROCESS 17)
) v. OFFICE MANUAL 17)
) VI. BILLING>
18) A. COMPLETE, DETAILED 18) B. USE ACTIVE VERBS 18) C. THE VEXED "ATTENDANCE" PROBLEM 18) D. FORMATTING THE BILL 18
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) SAMPLE DOCUMENTS 20~
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ACKNOWLEDGMENTS
The writers wish to acknowledge with thanks the assistance ofthe following, who also gavepennission to use materials developed by them:
Patricia Rogerson, Director, Practice Advisory Service, Law Society ofUpper Canada
Barry Vogel, Q.C. and Paul McLaughlin, Practice Advisor and Practice ManagementConsultant, respectively, Law Society ofAlberta
Allan Snell, Q.C., Law Society of Saskatchewan
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A.
OPENING THE FILE
GENERAL
FILE MANAGEMENT
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It is the lawyer who is responsible for obtaining the required information to allow support staff to
open the file in the system. The information serves several minimum purposes:
(a) file management;(b) bookkeeping and accounting;(c) conflict identification;(d) flagging any deadlines.
Too often, in the intellectual excitement of a new problem, the lawyer will forget to obtain the
most basic of information. Use ofa "New File" memo to be completed by the lawyer when first
meeting client or receiving instructions by telephone is a good idea. (See pages 20-21)
Accounting software programs require detailed client information. The "New File" memo must
encompass all that information. The example shown on pages 20-21, together with the "area of
law" codes, includes the information required by ESILaw/ Safeguard.
We have included on pages 22-25 a elaborate system that appears designed for a large finn with
a central filing system. l We think it would eventually break down under its own weight. There
are too many steps which would eventually have staff skipping certain procedures. Don't make
the filing system/opening procedure too complex. Strike a balance between getting enough
information vs. information overload.
B. IDENTIFICATION
1. Numbering systems
Maybe it isn't necessary to number every file or new matter. All those lawyers could be wrong,
couldn't they?
l"How your secretary can set up an efficient and accurate filing system", Prentice-Hall, Manual for Managing theLaw Office, 1975.
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Why not pure alphabetical? Or chronological? Think about it. In the meantime, let's talk about
numbering systems: there are numerous (pun intended) possibilities. Consider what type of
system you need to meet your requirements:
• Simply assign a new number for each new file2• (A side benefit is that you can keeptrack of the number of files opened in a certain period.)
• Assign another number for each major clients to be included at the end of the filenumber, e.g. 1186-02, where 02 is General Motors. .
• Assign another number for a certain area of law to be included at the end of the filenumber, e.g. 1186-02-100, is a General Motors labour law file (100 being the code forlabour law).
• You could also show the year the file was opened in the file number, e.g. 1186-96(year). (Make sure that the early years of the millennium don't overlap major clientor area of law codes.)
• You can add letters identifying the lawyer at the end of the file number, which may beunnecessary for internal purposes, but very helpful when used by outsiders to enablestaff to direct mail, telephone inquiries to the right lawyer.
2. Colour
Some firms use different coloured file folders or coloured labels for different areas of law. This
enables you to ascertain what type of file it is simply by the colour of folder or label; it could
also facilitate filing if you wish to separate areas of law into different file cabinets.3
C. CONFLICTS CHECK
THIS MUST BE PART OF THE FILE OPENING ROUTINE; WHETHER OR NOTTHERE HAS BEEN AN EARLIER CHECK.
The purpose is to alert the firm as soon as possible that a lawyer is taking on a client whose
interest is adverse to an existing firm client. It's not just a question ofhurt feelings: the whole
structure of client confidentiality depends on it.
You can use a manual or computerized system.4
2Law Society ofUpper Canada "Start-up Workshop", March, 1996, paragraph 1.
3Ibid.
40p. cit., paragraph 2.
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A manual system could be used with a manual filing system - the basic index card for clients;
another card in a separate card file (alphabetical) for each adverse party and related party. Cards
could be filed together if you use different colours for clients and non-clients. You will either
need a separate card for each matter, or have to note each file number involving the person on
his, her or its card.
A computerized system is best implemented with a database program where clients and adverse
parties or related parties are entered. Word processing software programs with string-searching
capabilities ("Find") are another possibility.
Support staff check the database or index system for possible conflict with current clients, old
clients and adverse parties. If any "hits" are found, the results are sent back to the lawyer(s)
involved to make a decision as to whether there is a conflict and what to do about it.
Information to be included so it can be searched for: all name particulars as shown in the "New
File" memo shown on pages 20-21, the file number and the closed file number. A database entry
form could contain information as shown in the example of a computerized index card shown on
attached page 26. It ispreferable if the database is also your client listing (central file system) as
well as the conflict search system. There is less chance for errors as the information is only
entered once. It would be even better if the database was part of your accounting software.
ESILaw/Safeguard accounting software does have a "conflict of interest report" which
alphabetically lists all client and matter description in the system. However, there is no means to
conduct a search by computer - it only prints out a list of all files and you manually have to
search the enormous list.
D. LIMITATION PERIOD NOTATION)
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1. How handled
(a) Initially by lawyer
It is the lawyer's responsibility to determine at the outset if action must be taken: within a
certain time if legal rights are not to be lost. This usually arises in civil litigation, but
often occurs in other areas of law. Examples are:
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(b)
• Ordinary civil actions• Civil actions requiring notice before the claim can be brought, e.g. against
municipalities• Builders' liens and builders' lien actions• Insurance claims• Options to be exercised - often buried in lengthy leases• Conditions precedent to be complied with• Real estate closings• Tax filings, e.g. deceased taxpayer's income tax returns
Secondary deadlines
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These are also the lawyer's responsibility and arise during the course of the work being
done. They cannot be determined at the outset, but are dependent on something else
being done first. Examples are:
• Serve statement of claim (This must be done within a fixed time after thestatement of claim is issued.)
• Renewals ofPPR registrations or writs of execution (depends on when thesewere registered or filed)
• Corporate filing deadlines, related to incorporation dates or fiscal year ends• Other government filing deadlines, e.g. filing tax returns based on fiscal year
ends.
(c) Initial follow-up by support staff
It is the support staffs responsibility to see that the lawyer has carried out the legal
determination. One of the recommended ways is to get a signed statement from the
lawyer to be placed on the file that there aren't any limitation periods or what they are.5
To stress the importance of this step, it could be separate from the New File memo.
Staff then enter all limitation periods into the lawyer's personal system and the firm
system.
Staff can also mark the file conspicuously - the outside file cover is a good way.6
5Safe and Effective Practice, Barry Vogel, Q.C., editor, Legal Education Society of Alberta ("SEAP"), p. 100.
6SAEP, p. 99, paragraph 2.
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(d) System7
The limitation period reminder system for the firm should be separate and apart from all
other diary/reminder systems.8 The purpose ofa central office system is to ensure
uniformity ofprocedure; it is recommended that it be maintained by one individual in the
office for all lawyers.
It can be computerized or manual or both ofthese. My preference would be for a
computerized system as the primary resource, as the repetitive work required in the
manual systems can be handled more efficiently. Earlier concerns about computerized
systems seem to be based on fears of hardware or software crashes (which should be
handled by proper backup practices) and the limitations in then-existing software. If your
firm is still nervous about a wholly-computerized system, use your software to print out
reports or "pages" or "cards" corresponding to the manual system.
Any central limitation period system will have the following features:
(i) Statement of the task to be performed, e.g. issue Statement of Claim, filebuilder's lien.
(ii) The "expiry date".(iii) Earlier reminder dates to give enough time for the task to be perfonned.(iv) Continuing reminders at appropriate intervals until the task is completed.(v) Method ofsigning the task off.
ESILaw/Safeguard accounting software has an "Integrated Diary". It is designed for
litigation files but could be used for other files. The software allows for many limitation
dates to be noted on a file (but only one per date). Reports can be printed for a specified
time frame, by responsible lawyer/secretary, etc. However, there is no alarm system in
the software and therefore it must be manually monitored.
Amicus Lawyer software does has an alarm system. It allows you to enter a limitation
date plus schedule reminder dates at whatever interval you chose prior to the limitation
date.
You could also use any database program, e.g. Q&A and design your own system.
7SAEP, p. 100-101.
8SAEP, p. 99.
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An example of "Limitation Card Index" is attached at pages 27-28. It could be used in a
manual or database system.
Book. looseleaf binder. Set up a looseleaf binder with a separate page for each day of the
year. For future years, it may be sufficient to have a page for each year or month. The
secretary in charge of the system notes file particulars and the limitation date on
(obviously) the limitation date and at intervals before that.
Card Index. In one approach;9 your card index tray or box, with 3" x 5" cards, has 12
monthly separators, and two sets ofday separators from 1 to 31. You should also provide
for future years.
The secretary in charge of the system notes file particulars and the limitation date on two
cards (one ofwhich is a different colour).
One card - say, the coloured card - is filed on the limitation date. The other - say the
plain card - is filed on the first date it is to be acted on. This card keeps going back into
the box to come up at frequent intervals "until the work has been done and the secretary in
charge receives written advice to this effect.
Another card index systemlO contemplates several cards: the card is actually distributed
to the lawyers responsible (but photocopied before). Three duplicates are used:
• One month before expiry• One week before expiry• One day before expiry
Desk diary. The lawyer notes the limitation period and file in a desk diary, with a "start
date" set sufficiently ahead, and reminders at short intervals before the limitation date.
Disadvantages of this system - used by itself- is that limitation periods get mixed in
with less important dates/appointments, and may be too informal to ensure compliance.
9SAEP, p. 100.
lOLaw Society ofUpper Canada, "Start-up Workshop", March, 1996, p. 20.
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(e) Subsequent follow-up
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What does the secretary in charge do? First ofall, she (or he) must maintain the integrity
of the system. (There should be a deputy also thoroughly familiar with the system.) This
means not letting anybody else remove cards, looseleafpages, or mess with the database.
Secondly, she must notify the lawyers on a timely basis, whether by sending out a card, a
memo or an e-mail message (with confirmation ofreceipt!). Notification can be done on
a daily basis, weekly in advance, or monthly in advance.
Once the task is completed, the lawyer notes this appropriately: on the card distributed
and on any file copy, on the memo, or bye-mail. The secretary in charge then notes this
on any original.
As the deadline approaches, further scheduled reminders can be sent out, and the
secretary can check informally to see if the task is done.. If so, she can note and initial the
date this advice is received.
It may be preferable to have the lawyer's signature on a statement that the task has been
done. I I
If confirmation of completion is not received, then the secretary should have instructions
to bring this to the attention of the managing partner (or other heavy hitter) to make sure
the job gets done in time.
II. ORGANIZATION
A. ORGANIZING YOUR FILE
You can and should do anything that will make it easier for you and the lawyer to immediately
put your hands on what you need. For example:
• Sub-files within files• Numbering of sub-files• Colour-coding
llSAEP, p. 100.
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• Different colour paper within files• Looseleaf or other binders for a part of a file• Cross-references within the file• Index of all sub-files within file• Notations as to location ofcertain documents, i.e. videotape, maps, etc. which are
inconvenient to have filed in the cabinet.
B. TYPE OF FOLDER
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(a) Size - Is there a reason to choose something other than the standard 8W' x 14"manila folder? Accordion expansion folders of different widths are handy.
(b) Colour - Whatever turns you on.
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(c) Specialized- "Classification folders" have dividers with individuals tabs toseparate material and hold them on spikes into as many as 6 categories.
C. HOLD TOGETHER
File contents should NOT be left loose, particularly correspondence, pleadings, etc. Fasten the
contents together with a spike or Acco® fastener. Accidents do happen - drop the file and you
could waste time having to put it back in order. If you do not use fasteners, you and the lawyer
will drop the file more frequently.
Civil Litigation files - Some sub-files could be placed in a binder, i.e. pleadings, production!
privilege documents, expert opinions/reports.
Corporate files - Using one spike for correspondence and another for documents filed at
Corporations Branch may be desirable.
Attach material to both sides ofthe file folder firmly, e.g. with Acco® spikes. I've seen one side
for correspondence received, the other for correspondence sent. I thought it was weird, but it
may work for you.
D. DIVISION OF MATERIAL
1. Chronological
Many files use this system along effectively. It tends to break down as the file gets bigger.
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2. Subject matter
This works well with larger files. Each sub-file has the same number and file name, and a
supplementary name.12 Put these on both the front and on the tab of the folder.
Civil Litigation files can be divided as follows: pleadings, correspondence, documents,
discovery, etc.
Estate files can be divided as follows: probate documents, correspondence, assets listings, estate
accounts, information on liquidation of assets, transfer documents, income tax
It helps ifyou are logical and consistent within a file and for the same kind of files.
Set up a "master" index for sub-files for certain areas of practice. See attached example at page
29.
To help you fmd your way through the file and sub-file jungle, try:
• Different colour file folders, labels or stripes according to area of law or by lawyer (ifyou don't have many)
• Colour coding of sub-files within a file. Coding should be consistent across all files,e.g. green for correspondence, red for pleadings/court documents, etc.
• Internal numbering of sub-files again should be consistent.
III. MOVING THE FILE ALONG
Three aspects of what goes on in the course of handling a legal file are discussed here:
"Bring forward" or "tickler" system - These are designed to make sure things move along
smoothly, and as swiftly as possible in a legal environment which is often - pokey? And to make
sure files don't get forgotten, or ignored.
Client Relations - Support staffs role in this area is vital. And who is more important than the
client? Certainly not the lawyer, though sometimes it's hard to remember this.
12Law Society of Saskatchewan "Start-up Kit", section 4.1, paragraphs 1.1 and 1.2.
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Record Keeping - What began as a reasonable practice of keeping a clear record of significant
points has now become what seems an almost paranoid obsession with paper evidence of every
trivial event. But - don't fight the system, yet. Keep the records, and try to keep them in as
organized a fashion as possible, because then they're needed, they're really needed.
A. "BRING FORWARD" OR "TICKLER" SYSTEM
You, as support staff, should be empowered to put an effective system into place. There's no
point in having a system if the lawyer won't back it. Conversely, there is no sense in having the
lawyer devise a system that support staff cannot implement. There must be flexibility in
devising a system which allows both staff and lawyers to point out problems and suggest
solutions to make it effective. 13
The purpose ofa "bring forward" system is both to ensure that files come forward on the
appropriate date and to keep only files to work on that day on the lawyer's desk. (Many a
deadline has been overlooked while the file sat at the bottom of a pile on the comer of the
lawyer's desk.) With a limited number of files, it's easier to set priorities for tasks to be done
that day, know exactly what work has to be done that day and what can be deferred. I4
All lawyers have trouble coming to grips with some files. Some lawyers have more difficulty
than others. A method that works for some is to give authorization to a secretary to make sure
the work is done by the lawyer, i.e. "You have to do these 4 things before noon today." For
severe cases, a secretary may be instructed not to leave the lawyer's office until the work is
completed, instructions given, etc. I5
1. Personal
There are different ways the "bring forward" system can be implemented in the office. I6 These
include:
I3Conversation with Patricia Rogerson, Practice Advisory Service, Law Society of Upper Canada.
I4SAEP, p. 97, paragraph 4.
I5Conversation with Patricia Rogerson, Practice Advisory Service, Law Society of Upper Canada.
16SAEP, p. 103.
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(a) File Notation System - The information is physically on the file, e.g. the bring
forward date is noted on the outside file cover. It is also entered by the secretary in either
a desk diary or on a file card placed under the appropriate date in the secretary's index
tray. The files are placed in the filing cabinet. The secretary checks the diary or index
every day and pulls the files.
(b) Desk Diary System - similar to the above diary system; the lawyer notes the file
(and tasks to be done) in his or her diary, while the file is placed in the cabinet. The
secretary takes the lawyer's diary each day and pulls the files required. This system is
fraught with danger - the lawyer is solely responsible for noting bring forward dates;
there's no double checking by support staff to ensure that every file has a date. I think
this task is best if delegated to support staff to administer - there should be a standing
instruction that a file is not filed away until a bring forward date is given and noted.
(c) Tickler System - A review of the file itself is not used as a reminder. The file
name and tasks to be done are noted on index cards then filed in an index tray under the
appropriate date or noted in a diary. Each day, the index cards are pulled or a list of files
(and tasks) given to lawyer. The files can then be pulled, or immediate instructions can
be given without looking at file, or rediarized to be followed up later.
(d) Belts and Suspenders - The lawyer reviews monthly a list of ALL open files
(even if active) with another person in the office. The review is scheduled in the desk
diary, or otherwise. 17
All ofthe above bring forward systems can be modified for use on a computer. Specialized case
management software can be purchased, or a general purpose Personal Information Manager
(PIM) can note dates for files and tasks. Most PIMs have the option to set "alarms" for
.tasks/files. "Alarms" can act as a "third check", in addition to the lawyer and secretary.
2. Firm
It is not sufficient to leave "bring forward" systems to the individual lawyer and secretary. Firm
wide backup should be provided. The system used should be separate from that used for
I7Law Society of Upper Canada, "Start-up Workshop", paragraph Sed).
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limitation periods, because of the critical nature of the limitation period system. It is not
necessary to duplicate the personal system, but a firm should do the following: 18
• SOn:J.eone should review on a regular basis all files in the cabinet. This can bedelegated to support staffwith instructions to pull ANY file that does not have currentdiary date on it or has been inactive for a certain period of time.
• Someone in the office should be responsible for obtaining and reviewing regularlyvarious court lists (chambers, trial, appeal) and bringing the court date to the lawyer'sattention. 19
B. CLIENT RELATIONS
Support staff can and should be providing much more than simple politeness, warmth, tact and
efficiency.
1. What is the role of support staff in client relations?
One study found that being kept informed was the number one need expressed by clients. Keep
this in mind. If you are filing something and haven't been expressly told to send a copy to a
client, ask yourself: "Would I want to know this if I were the client?" If the answer is yes, ask
the lawyer "Should I send X a copy of this?" After a little while, this may become your routine
practice.
The lawyer should tell the client to state the purpose of any call. If the client is looking for a
status report, a copy of a document or specific information, support staff can help out right away..
It is as important to tell the client when things aren't happening as when they are. Support staff
can help by make these calls for the lawyer - advising that you've taken steps and you're
waiting for others to do their part.
If the lawyer is not available to take the client's call, the telephone receptionist or voice mail
message should offer to forward it to that lawyer's secretary, who will be more familiar with the
client. The secretary is in a better position to inquire about the purpose of the call and provide
information the client is seeking. Even if the secretary is not able to help the client directly, the
18SAEP, p. 99.
19SAEP, p. 102.
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secretary can often help prepare the lawyer to return the call by getting the file or obtaining
documents or information required.
Whoever answers the phone should never say the lawyer is "too busy" to speak to them. Support
staff should give a reason: "the lawyer is in court" or "he's with clients", etc.
Never have support staff promise the lawyer will call back at a precise time. Support staff should
explain that the call will be returned as soon as possible. They should explain that the message
will be brought to the lawyer's attention but that they don't know whether the lawyer's schedule
will allow the call to be returned that day.2o
C. RECORD KEEPING
1. Communications
Paralegals and secretaries frequently deal independently with other law offices, government
agencies, and clients. As they do this, they should follow guidelines similar to the lawyer's with
respect to record keeping. Some of these are:21
Make a record of every communication - something that seems trivial at the time may be
significant later.
Documenting a communication, in descending order of satisfactory proof, is:
• written with proof of receipt• written without proofofreceipt• oral confirmed in writing• oral with contemporary written private note (memo to file)
• oral
There are no excuses for not keeping complete records. "I'm too busy", "A confirming letter
would be insulting", "The matter isn't important enough" or "I trust the other party" are not
excuses.
20Law Society of Saskatchewan "Start-up Kit", item 10.2, paragraphs 2, 4, 5, 6 and 7.
2ISAEP, p. 58-61.
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It's easier and often quicker to write a letter and fax it than trying to track someone down by
telephone.
File memos of conversation rarely take long.
A brief dated note at the bottom of a letter is often a sufficient record.
You may trust the other person but do you really know how good his/her memory is? What if
another person takes over the file?
2. Instructions
Give detailed written instructions of task to be done by others on your behalf. Instructions for
filing documents in court should include the Q.B. number, style of cause, document(s) attached
and specifically what to do with them. Similarly, give detailed instructions for tasks to be done
at Land Titles, PPR, Corporation Branch, etc. Include a place on the instruction sheet for the
clerk to sign that it's completed, note fees paid, etc.
3. Things to be done
(a) Checklists
What is the purpose ofa checklist?
For a transaction, it implements quality control: minimize. error and improve work flow.
Things (tax certificates, governmental approvals) are requisitioned in time.
For a document, in addition to quality control, there is a strong second purpose in
reducing original drafting and effort.
It's like a grocery list: you can get all the necessary ingredients for a good meal, without
having to return to the store three times. You can get a good document without having to
do three drafts.22
22"Increasing your secretary's perfonnance through the use of a law office system", by Ruth V. Joscelyn, at p. 101,in The Art ofManaging Your Support Staff, ed. Howard I. Hatoff, 1986, Section of Economics ofLaw Practice,American Bar Association (available at the Regina Courthouse Library).
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The checklist should be usable. Don't try to make it cover every situation, or people will
stop using it. If it's being bypassed, shorten it.23
(b) File memos24
While many files lend themselves well to standard checklists, other do not. For these, a
simple file memo of "things to be done" is sufficient: as work is completed the item can
be checked off.
4. With client
Are the basic temis of the solicitor-client relationship set out on paper? Is there a retainer letter
setting out:
• Instructions• Fees• Billing plan• Disbursements policy
Are you providing the client with standard explanations in writing of:
• Procedures• Fee basis• Costs• Time involved
Are you providing the client with a customized explanation ofhis case? (This, ofcourse, is the
lawyer's job.)
IV. FILE CLOSING
A. HAS EVERYTHING BEEN DONE?
The file should be thoroughly reviewed prior to being closed to ensure that everything is done.
As two heads are better than one, both lawyer and secretary should review it.25
23Ibid., p. 102.
24SAEP, p. 103.
25SAEP, p. 102 paragraph 3.
-16 -
B. CLOSING LETTER AND ENCLOSURES
There should almost always be a closing letter, which may also be a reporting letter. The closing
letter should make it apparent that the law firm, at any rate, thinks everything has been done.
ORIGINAL documents should be sent to client. Advise the client you're not keeping copies of
the originals and that these should be kept in a safe place for later use.
Warnings to client of:
• Expiration of writ of execution, security agreements, etc.• Option exercise dates• Other renewals required - business name registration, registered trade mark, etc.• What was not searched/checked in a real estate transaction.
C. DESTROY UNNECESSARY DOCUMENTS
Documents that are kept elsewhere publicly, e.g. LTO, court.
Drafts of materiaL
D. THE CLOSED FILE
Assign a "closed file" number on closing, different from the opening number and record it.
Advantages: you fill up one file drawer at a time; never have to physically rearrange the files; it
helps on review for destruction as review dates are closely related to closing date.26
ESILaw/Safeguard accounting software does make provision for assigning a different number
when closing a file. A variety of reports can be printed from the program with cross-references
to the "open" number and the "closed" number.
If using a self-designed database, a "closed number" field should be contained in it, to allow you
to search and print reports based on that field.
26Law Society of Upper Canada, "Start-up Workshop", p. 15, paragraph 4.
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As soon as the file is completed, it should be checked, closed out and put away. It's difficult
enough to keep track of open files without having completed ones mixed in.27
Use a closed checklist, so nothing is overlooked. You could check off the items as they are done
- the checklist could be left on the file to assist/double check when the file is reviewed for
destruction.28
E. REVIEW DATES
As the file is closed, a date should be set to review it later to see if it can be destroyed. A review
date should be determined by lawyer, however, guidelines can be provided to support staff as to
an appropriate period of time for certain area of practice. Criminal law files and real estate files
can be targeted for destruction relatively early.
F. REVIEW PROCESS
Closed file reviews should be done by the lawyer, and not too many should be done at once, as I
have noticed that towards the end, there is a tendency to earmark everything for destruction fairly
indiscriminately. It is at this point that precedents, collections of cases, etc. can be saved.
v. OFFICE MANUAL
Every law office needs an office manual, even a sole practitioner.29 Following the manual
ensures continuity of procedures, facilitates training of staff, reduces stress for everyone. A
manual should include, among other things:
• file opening/closing procedures, including conflict checks• a system for noting and following up on limitation periods.
It should be reviewed regularly, annually or semi-annually, by lawyers and support staff to
ensure that it's current and working properly or whether it needs improvement or adjustment.
27SAEP, p. 102, paragraph 3.
28Law Society ofUpper Canada, "Start-up Workshop", p. 15, paragraph 4.
29Law Society ofUpper Canada "Start-up Workshop", March, 1996, paragraph 7.
VI. BILLING
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A. COMPLETE, DETAILED
. Describe all the actions taken. If some were taken by support staff, they're important too,
whether or not billed for.
B. USE ACTIVE VERBS
• meet, contact, discuss, explain• prepare, draft, research, revise, outline, write letter, demand• determine, suggest, propose, review, compare, assess, calculate• examine for discovery, conduct trial (try case?)• search, file, copy, mail, fax, forward, make appointment
C. THE VEXED "ATTENDANCE" PROBLEM
Have you ever wondered why lawyer's bills use terminology like "Attendance upon you in the
office" or, worse, "Telephone attendance on lawyer X"? Don't you think clients do too?
Perhaps the reason for this pomposity is that "Phone call to" or "phone call from" sounds so
unimpressive. "Attempted to phone" sounds worse.
It's been suggested that a phone call is in fact a "conference", and worthy of being called that in
a bill, together with a verb phrase detailing the item discussed. "Conference with defendant's
lawyer to discuss temporary child'support amount and to determine the date on which defendant
will begin making payments" is a lot better than "conference with defendant's lawyer" or
"conference"30. (I note that this breaks the "active verb" rule: "confer with" might be better.)
D. FORMATTING THE BILL
1. Block billing
Paragraph form, divided with semicolons and dates. Emphasizes continuous nature of the effort
and concern. Examples are shown at pages 31-32.
30"Drafting bills clients rush to pay", by J. Harris Morgan, American Bar Association.
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2. Date Billing
Probably essential if you are billing by time. Also may be required by computer accounting
program. Examples shown at pages 33-38.
3. Considerations
1. Harris Morgan has suggested that block billing lets the eye and mind move smoothly from one
thing done to the next. He recommends it.
If you have to use date billing, he suggests that line spacing between different dates reduces the
visual impact. Make sure that what is described "dominates the space", even if it means using
smaller paper (5" x 8"). Example shown at page 30.
He suggests that the number ofhours not be included unless required by the client. In these days
when the decline of the billable hour is well under way, there is a new emphasis on the value of
the service to the client, and the responsibility undertaken by the lawyer. The bill should reflect
this.
Work: _
-20 -
NEW FILE REQUEST
DATE: _
FILE NO.: (to be assigned by sUlW0rt staff)
NAME: _
ADDRESS (including postal code): _
PHONE: Home: _
Fax: _
OTHER CLIENT NAMES:
RE: _
AREA OF LAW : (number assigned by finn or description, i.e. real estate, matrimonial)
LIMITATION PERIOD: Yes Date(s) _
No _
CONFLICT SEARCH (names to be searched for possible conflict): _
LAWYERIN CHARGE OF FILE: _
OTHER SOLICITORS (ifknown): ----'"__ADDRESS: _
Phone: Fax:. _
Q.B. NO. (if applicable)
BILLING INFORMATION:Hourly Rate:. _
OR FLAT RATE QUOTED: _
CONTINGENCY AGREEMENT REQUIRED: _
IS CLIENT GST EXEMPT? _
Signature ofLawyer
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SUGGESTED AREA OF LAW CODES(This example is used in conjunction with ESILaw accounting program)
1 Real Estate 2 Foreclosure10 Purchase/Sale Business 11 Leases12 Security 20 General Business21 Oil & Gas 22 Intellectual Property23 Securities Commission 30 Incorporation/Amalgamations31 Miscellaneous Corporate 32 Extra-provincial registration40 Probate & Administration 41 Estate Litigation42 Wills 43 Estate Planning50 Collections/Seizures 51 Builders' Lien52 Matrimonial General 53 Criminal Litigation54 Administrative Tribunals 55 Civil General - Plaintiff56 Civil General - Defendant 57 Civil General-Insurance58 Civil General - Matrimonial 70 Opinions199 Suspense
2-14-15
-22 -
10,075
HOW YOUR SECRETARY CAN SET UP AN EFFICIENT AND ACCURATE FILING SYSTEM
By the Prentice-Hall Editorial Staff
[~ 10,031] You often will want specific file folders, papers, or letters in a hurry, especially if aclient is waiting. One of your secretary's most important duties is to produce them promptly.
No matter what system of filing your office uses, the accuracy with which your secretary files willdetermine whether she will be able to find the desired material without extended searching andfumbling.
In this article, your secretary can learn how to set up an accurate and efficient system for handlingfiles so disordel1y files and unnecessary searching can be avoided.
Classification of fiIes.-It's necessary to separate files pertaining to clients' business from filespertaining to personal and office administration matters. The following classification of files isappropriate for the typical law office:
• Clients' business. Files in this category include all matters relating to clients, with the exceptionof commercial collections when handled in volume. Some offices separate the material into litigationand non-litigation matters. Other offices segregate files relating to a particular field of law if a largepart of the practice is in a specific field. Still other offices segregate matters relating to a retainer clientwith a large volume of business. The least confusing method, however, is to keep all the files of eachclient together.
• Commercial collections. Where a fair volume of commercial collections is handled, the files aresegregated from other clients' business because of the close follow-up on these cases.
• Personal files. The lawyer's personal file contains material on the lawyer's personal businessmatters, correspondence, and outside activities, such as bar association committees.
• Genera/correspondence files. This is the miscellaneous or "catch-all" file. It contains all materialnot relating to clients' business or to the lawyer's personal matters. Office administration material,such as personnel applications and records, correspondence about office equipment, correspondencewith law book publishers, and the like would be placed in this file. Correspondence about a case thatthe lawyer doesn't accept would also be placed here.
.• Periodicals and bulletins. Every office accumulates pamphlets, booklets, periodicals and the liketh~t contain information likely to be needed in the future.
Numerical Filing System For Clients' Files
Under the numerical system 'of filing, each file is given a number, and the folders are arranged innUiITlerical sequence. This is an indirect filing system since it must be used in connection with across-index. The subject and number of each file are put on an index card and the cards are arrangedalphabetically. The advantages of the numerical system an~ the rapidity and accuracy of refiling andthe unlimited expansion. The disadvantages are maintaining the auxiliary card index and the necessityof making two searches, one of the index and one of the files, whenever papers or folders arewithdrawn.
How to use the numerical system.-A method of numerical filing used successfully in law offices isto give a key number to a client instead of to a case. Each case for that client is given the client's keyn~ber plus an identifying number or letter. An explanation of how to setup and maintain such afil~ng system follows.~ Assign .a key number to the client in numerical sequence. His general file has this num ber. Then
assign an identifying number to each matter that isn't litigation. For example, client Brown & Rogers,In~. has a file of general correspondence, a profit-sharing plan for employees, and a suit against Ellis &Lewis Co. You give the general file the number 85, the profit-sharing file the number 85-A and the suitthe number 85-1. The next suit will be 85-2. (If you prefer, you might identify all files by number orletter instead of using numbers for the suits and letters for the non-suit files, but the number and letter
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© 1975 Prentice-Hall, Inc.-Manual for Managing the Law Office ~1 0,031
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10,076
-23 -
Your Legal Secretary 2-14-75
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system segregates the client's court matters from his non-litigation matters in the file cabinet and inthe card index.)~ Make index cards under each name that appears in connection with the matter. In some cases,
such as estate matters, the client's name doesn't appear in the subject of the file; nevertheless a cardshould be made in the client's name.
Type on the card the title of the case, the number assigned to it, and the client's name if it doesn'tappear in the title. In a matter of litigation the card under the defendant's name will read defendantads. plaintiff. instead of plaintiff vs. defendant. If the matter isn't a suit or claim, type on the card,along with the client's name, an identifying description of the subject matter. For example:
Brown & Rogers, Inc.Profit-sharing Plan
It isn't necessary, but you might also make a card under the subject, which would read:
Profit-sharing PlanBrown & Rogers, Inc.
Make index cards and cross-index cards freely, and be liberal in the information that you type onthem. They're the key to your filing system and eventually justify the time spent typing them.[Figures 1 and 2 illustrate two types of index cards that can be used in the law office.]
Figure 1
Doe, Johnads
Thomas Green ( Client)
Document File Correspondence File Printed Papers Storage
152-1 152-1
Figure 2
Jones, John v. 81-5
Smith, Allen
Correspondence Documents Printed Papers General Safe
81-5 81-5 cabinet 2·
cabinet 112-- Extra copies of Briefs.case on appeal, etc.
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10,077
5252-B52-C52-A52-252-1
-24 -
Accurate and Efficient Filing Systems2-14-75
• File the index cards alphabetically. When there is more than one card under a client's name, placethem in this order: general card; non-litigation cards arranged alphabetically according to subject; andlitigation cards arranged alphabetically according to opposing party. Suppose a client has a general fileand five other files. The cards will be arranged as follows:
Brown &Rogers~Inc.
Brown &Rogers, Inc.--ArbitrationBrown & Rogers, Inc.--Legis1ationBrown & Rogers, Inc.--Profit-sharing PlanBrown & Rogers, Inc. vs. JonesBrown & Rogers, Inc. ads 11atthews
If the client's cases are numerous, you might put a guide card between the litigation and non-litigationcards so cards can be easily located.~ File the folders in numerical sequence according to key number. If there is more than one file for
a client, arrange those with identifying letters in alphabetical sequence; follow with those havingidentifying numbers in numerical sequence. Therefore, all files pertaining to one client are togetherall of his non-litigation matters are together and all suits and claims are together.~ Keep a card showing the key number to be assigned to the next client in front of the index box.~ When a client brings a case to the office, give the client a key number and assign the case an
identifying letter or number. Reserve the key number without identifying letters or numbers for theclient's general correspondence file if needed.~ Reserve a key number for miscellaneous clients who might want a letter written for them or have
some small matter involving only one or two papers. These matters can be filed under the same keynumber, but all necessary index cards should be made.
Assigning numbers according to type of case.-When files are separated according to type of case, agroup of numbers is set aside for each category. For example, cases involving litigation will benumbered 1 through 199; probate cases, 200 through 399, and so on. The client doesn't have a key·number. A list of available numbers is kept for each category and the number of a closed file is placedon the appropriate list and used again.
Another method of numbering when files are separated according to type of case is for eachcategory to have a separate sequence of numbers. There might be, for example, a Claim 485 and aProbate 485. Different colored labels or folders should be used for each category.
How to transfer numerical files.-The procedure followed by many firms is to retain in the office asmany closed files as space permits. From time to time the oldest closed files are sent to outsidestorage, replaced by the more recently closed files. When there are retired files in the office, the activefiles might be kept in the top drawers of the filing cabinets and the retired files in the lower drawers.Since retired files are referred to only occasionally, using the top drawers for active files eliminatesstooping and bending. [We use the words "closed" and "retired" interchangeably here.]
Law files aren't retired periodically, but are closed when the matter is presumably completed. A fileopened in 1973, for example, might be completed and ready for retirement in 1974, whereas a caseopened in 1975 might remain active until 1985, or longer.
Ideally you should process a file for retirement as soon as you're told that the matter has beencompleted. However, if this isn't possible, as soon as you're told that the matter has been completed,stamp the me jacket "closed." Then when time permits, you can go through your filing cabinets andtake out all closed cases and process them for retirement. Use old jackets for storage files.
Here are the steps in processing a file for retirement or storage:(1) Take from the active index all cards relating to the closed case. Stamp the cards
"closed" with a small rubber stamp. If you wish, you might also stamp the date on the card.You'll notice that the index card in Figure 1 has a column for this and the card shown inFigure 2 has a column that can be designated storage.
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© 1975 Prentice-Hall, Inc.-Manual for Managing the Law Office. . ~ 10,031
Alphabetical System of Filing Applied to Clients' Files
Under the alphabetical system of filing, the folders are filed alphabetically according to name orsubject. A cross-index isn't necessary with this system of filing, but is often desirable. The principal'advantage of the alphabetical system of filing is that it's not necessary to look up a file number in across-index when papers or folders are filed or withdrawn. The disadvantages are that the systemdoesn't lend itself to expansion as readily as the numerical system and requires more shifting offolders.
How to use the alphabetical system.-Each client has a general folder and each of his matters has aseparate folder. All matters of a specific client are filed under his name. The order or arrangement ofthe various folders is similar to that of the index cards in a numerical system-the general folder comesfirst and is followed by the non-suit files arranged alphabetically according to subject. These arefoilowed by the litigation files arranged alphabetically according to opposing party. The variousmatters of client Desmond & Lake, Inc. might be labeled and filed as follows:
(2) Take from the active files all jackets or folders holding papers that relate to thecompleted case. Your index card will show whether there are extra copies or printed papersthat have been removed from the regular filing cabinet (see Figure 2). The documents in thesafe won't be sent to storage.
(3) Keep your index of closed files separate from your index of active files.(4) File the index cards in the closed card index, alphabetically, just as they were filed in
the current index.(5) File the closed files in the transfer cabinets, numerically, just as they were filed in the
active files.
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10.078
-25 -
Your Legal Secretary 2-14-75
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Desmond & Lake, Inc.--GeneralDesmond &Lake, Inc.~-Arbitration--R.E. BrownDesmond &Lake, Inc.--Arbitration--L.F. JonesDesmond &Lake, Inc.--Profit-sharing PlanDesmond & Lake, Inc. ads. Bates & Co.Desmond & Lake, Inc. vs. Cordell Lighting Effects Co.
If the active files of a client are very numerous, they might be numbered and a card index made ofthat client's files.
Another method of using the alphabetical system is to file under the name of the plaintiff, whetherthe plaintiff is the client or not. Lawyers have a tendency to think of suits and claims in terms ofplaintiff vs. defendant.
Non-litigation matters are filed under the name of the client. When this method of filing is followed,.cross-index cards are desirable. Make the index cards in the name of the client and others connectedwi til the case and show on the card under which name the folder is filed.
Hew to transfer alphabetical files.- When alphabetical files are closed or transferred to storage,cross-index cards must be made. The simplest method' of transferring them is to assign the file atransfer number and make cross-index cards for each party connected with the matter. The files arethen placed in the storage files in numerical order. This avoids shifting of files. .
Some offices transfer alphabetically. The file drawers are numbered and the drawer number inwh ich the file is placed is indicated on the cross-index cards. Each year's transferred files may be filedtogether alphabetically. However, this entails shifting of files from drawer to drawer unless amplespace under each letter is kept open for files to be stored under that letter in the future.
-26 -
INDEX CARD(COMPUTERIZED OR MANUAL)
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FILE #:FILENAME:
RE (CROSS-REFERENCE):
LAWYER
CLIENT LAST NAME:CLIENT CORPORATE NAME:CLIENT CONTACT:ADDRESS:CITY:POSTAL CODE:
DATE OPENED:DATE CLOSED:REVIEW DATE:
NOTES
CONFLICTS:
FIRST NAME:
PHONE:FAX:PROVINCE:COUNTRY
CLOSED FILE NUMBER:
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LIMITATION PERIOD INDEX CARD(COMPUTERIZED OR MANUAL)
FILE#:FILENAME:
LAWYER:
LIMITATION PERIOD
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START (FIRST REMINDER) DATE:
PRIORITY (1 TO 10, WITH 1 MOST IMPORTANT):
DESCRIPTION OF LIMITATION:
EXPIRY DATE:
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COMPLETED?COMPLETED BY:
NEXT LIMITATION:
NOTES:
COMPLETED DATE:
-28 -
LIMITATION CARD
(Law Society ofUpper Canada,Start-up Workshop)
Limitation Date: File No.
Client's Name:
Subject:
Lawyer:
Schedule Initiated: Day Month Year
Notes
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MASTER INDEX FOR SUB-FILE NUMBERING
CIVIL LITIGATION FILES
1.0 Correspondence
2.0 Pleadings
3.0 Client's DocumentsSub-file for each ofproduction and privileged, e.g.3.0 Client's documents - produced3.1 Client's documents - privileged3.2 Client's documents- not produced (not relevant)
4.0 Opponent's DocumentsSub-file for each opponent, ifmore than one, e.g.4.0 Defendant 1's documents4.1 Defendant 2's documents4.3 Third party l's documents4.4 Third party 2's documents
5.0 Examination for Discovery
(Sub-file for each ofyour client(s), opponents)
6.0 Working Notes
7.0 Law
8.0 Witnesses
9.0 Evidence
10.0 Settlement negotiations/agreements
ESTATE FILES
1.0 Correspondence
2.0 Probate/Administration application documents
3.0 Estate Accounts(Sub-files for each individual asset if estate large, i.e. sale of real property,transfer/liquidation of GIC's, etc.)
4.0 Estate DistributionList of beneficiaries, addresses, share in estateReleases signed by beneficiariesCorrespondence on distribution
5.0 Income Tax
BLOCK BILLING - SHORT- 30-
IN ACCOUNT WITHLIT & GATE
Barristers and SolicitorsSUITE #205 . 2022 CENTRE STREET
REGINA, SASKATCHEWANS4P 2K5
E.&O.E.
February 6, 1996
Ms. Jane Client123 Main StreetRegina, SaskatchewanS4P OXO
Re: Insurance policy coverageOur File No. 1234
1/20/96 - Telephone call from you to discuss denial of insurance coverage for sewer backup;1/24/96 - Receive and review your home insurance policy and policy booklet; Telephone call toCharles Insure, insurance adjuster, to discuss company's basis for denial of coverage; 2/03/96 Telephone call to you to discuss coverage for sewer backup; 2/06/96 - Letter to you returningyour insurance policy, enclosing booklet received and confirming our telephone discussion.
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LIT & GATEPer:
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TOTAL FEE:
GST ($40.00 x 7%):
TOTAL ACCOUNT:
$ 40.00
2.80
$ 42.80
All Accounts are payable within 30 days. Afterwards, accounts bear interest at 15% per annum.
NOTE: Account to be printed on 8Y2 x 7 inch paper.
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BLOCK BILLING - LONG- 31-
IN ACCOUNT WITHTRADE & MARKS
Barristers and SolicitorsSUITE #205 - 2022 CENTRE STREET
REGINA, SASKATCHEWANS4P 2K5
E.&O.E.
October 18, 1996
Mr. John InventorP.O. Box 900Regina, SaskatchewanS4POXO
Re: Applications for Canadian Trade MarksOur File No. 2345
May 1/96 - Telephone call from you regarding name problems in Manitoba and discuss conducting search to ascertain if trade mark name could be registered as a trade mark - provide quoteon conducting trade mark search; Facsimile message to you provided detailed information ontypes of trade mark searches and cost involved; May 8/96 - Telephone call from you to discussManitoba business with similar name as the one you're using and receive instructions to ordertrade mark search (5 day search); Facsimile message (copy to you) to trade mark searcher toorder search; May 15/96 - Receive trade mark search results from trade mark searcher;Review trade mark search results and draft letter to you providing summary of relevant trademarks pending or registered, commenting and providing recommendations;. May 16/96Telephone call from you regarding trade mark search and briefly discuss results; Review draftletter to you and add information on trade mark application process and costs involved; Finalizeand forward letter to you; June 26/96 - Receive facsimile message from you providing instructions for proceeding with trade mark applications; June 2/96 - Receive and consider letter ofinstructions from you on trade mark applications; Telephone call to you regarding date of fIrstuse of services and to discuss: second application for logo; risks of interference by other company run by Manitoba woman; and assignment of trade marks to your corporation; Draft trademark applications for trade mark and design, including description of wares and services; June28/96 - Review and fmalize trade mark applications; Letter to Canadian Intellectual PropertyOffice ("CIPO") enclosing Applications for Registration together with fIling fees; Letter to youreporting on fIling of Applications for Registration; July 26/96 - Receive notices of acknowledgment for fIling Applications; Review proof sheets for accuracy - note wrong fIling date onone; Letter to you enclosing notices of acknowledgment and requesting your review and comments for accuracy; August 6/96 - Receive letter from you providing instructions to correctwrong fIling date; Letter to CIPO requesting amendment of application fIling date; September15/96 - Receive confIrmation of change in fIling date from CIPO; Letter to you reporting onchange in application fIling date; October 8/96 - Receive notice from CIPO requesting compliance with section x of the Trade Marks Act; Telephone call to you to discuss compliancerequest; Letter to CIPO aniending application to comply with section x; Letter to you reportingon amendment to application and providing outline of steps involved in application andregistration of trade mark;
TOTAL FEE: $ 420.50
BLOCK BILLING - LONG- 32-
TOTAL FEE (carried forward): $ 420.50
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DISBURSEMENTS:)
GST Bearing:Necessary long distance telephone tolls; $ 11.96Necessary telecopier tolls; 3.71Necessary photocopying; 13.65Necessary postage (including priority post of$12.70); 17.85
')
$ 47.17
E & H tax on telephone and telecopier tolls; $ 1.41
Non-GST Bearing:Paid CIPO for filing Applications; $ 300.00
Total Disbursements: $ 348.58
GST on fees ($420.50 x 7%); $ 29.44GST on applicable disbursements ($47.17 x 7%); 3.30 $ 32.74
TOTAL ACCOUNT:
TRUST FUNDS APPLIED ON ACCOUNT:
BALANCE OUTSTANDING:
TRADE & MARKS
Per:
/jfh
$ 801.82
$ 450.00
$ 351.82
Ail Accounts are payable within 30 days. Afterwards, accounts bear interest at 15% per annum.)
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DATE BILLING - COMPRESSED- 33-
IN ACCOUNT WITHTRADE & MARKS
Barristers and SolicitorsSUITE #205 • 2022 CENTRE STREET
REGINA, SASKATCHEWANS4P 2KS
E.&O.E.
October 18, 1996
Mr. John InventorP.O. Box 900Regina, SaskatchewanS4P OXO
Re: Applications for Canadian Trade MarksOur File No. 2345
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May 8
May 15
May 16
June 26
June 27
June 28
Telephone call from you regarding name problems in Manitoba anddiscuss conducting search to ascertain if trade mark could beregistered as a trade mark - provide quote on conducting trade marksearch. Facsimile message to you provided detailed information ontypes of trade mark searches and cost involved. .2Telephone call from you to discuss Manitoba business with similarname as the one you're using and receive instructions to order trademark search (5 day search). Facsimile message (copy to you) to trademark searcher to order search. .3Receive trade mark search results from trade mark searcher. Reviewtrade mark search results and draft letter to you providing summary ofrelevant trade marks pending or registered, commenting andproviding recommendations. 1.0Telephone call from you regarding trade mark search and brieflydiscuss results. Review draft letter to you and add information ontrade mark application process and costs involved. Finalize andforward letter to you. .5Receive facsimile message from you providing instructions forproceeding with trade mark applications. .3Receive and consider letter of instructions from you on trade markapplications. Telephone call to you regarding date of first use ofservices and to discuss: second application for logo; risks ofinterference by other company run by Manitoba woman; andassignment of trade marks to your corporation. Draft trade markapplications for trade mark and design, including description ofwaresand services. .4Review and fmalize trade mark applications. Letter to CanadianIntellectual Property Office ("CIPO") enclosing Applications forRegistration together with filing fees. Letter to you reporting onfiling ofApplications for Registration. .2
DATE BILLING - COMPRESSED, -34-
July 26 Receive notices of acknowledgment for filing Applications. Reviewproof sheets for accuracy - note wrong filing date on one. Letter toyou enclosing notices ofacknowledgment and requesting your reviewand comments for accuracy.
2.9
TOTAL FEE: $ 420.50)
)
DISBURSEMENTS:
GST Bearing:Necessary long distance telephone tolls;Necessary telecopier tolls;Necessary photocopying;Necessary postage (including priority post of$12.70);
E & H tax on telephone and telecopier tolls;
Non-GST Bearing:Paid CIPO for filing Applications;
Total Disbursements:
GST on fees ($420.50 x 7%);GST on applicable disbursements ($47.17 x 7%);
TOTAL ACCOUNT:
TRUST FUNDS APPLIED ON ACCOUNT:
BALANCE OUTSTANDING:
TRADE & MARKS
Per:
/jfh
$ 11.963.71
13.6517.85
$ 47.17
$ 1.41
$ 300.00
$ 29.443.30
$ 348.58
$ 32.74
$ 801.82
$ 450.00
$ 351.82
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)
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All Accounts are payable within 30 days. Afterwards, accounts bear interest at 15% per annum.
DATE BILLING - SPACES BETWEEN DATES- 35-
IN ACCOUNT WITHTRADE & MARKS
Barristers and SolicitorsSUITE #205 - 2022 CENTRE STREET
REGINA, SASKATCHEWANS4P 2K5
E.&O.E.
October 18, 1996
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Mr. John InventorP.O. Box 900Regina, SaskatchewanS4P OXO
Re: Applications for Canadian Trade MarksOur File No. 2345
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May 1
May 8
May 15
May 16
June 26
June 27
Telephone call from you regarding name problems in Manitoba anddiscuss conducting search to ascertain if trade mark could beregistered as a trade mark - provide quote on conducting trade marksear~h. Facsimile message to you provided detailed information ontypes of trade mark searches and cost involved.
Telephone call from you to discuss Manitoba business with similarname as the one you're using and receive instructions to order trademark search (5 day search). Facsimile message (copy to you) to trademark searcher to order search.
Receive trade mark search results from trade mark searcher. Reviewtrade mark search results and draft letter to you providing summary ofrelevant trade marks pending or registered, commenting andproviding recommendations.
Telephone call from you regarding trade mark search and brieflydiscuss results. Review draft letter to you and add information ontrade mark application process and costs involved. Finalize andforward letter to you.
Receive facsimile message from you providing instructions forproceeding with trade mark applications.
Receive and consider letter of instructions from you on trade markapplications. Telephone call to you regarding date offlrst use ofservices and to discuss: second application for logo; risks ofinterference by other company run by Manitoba woman; and
.2
.3
1.0
.5
.3
DATE BILLING - SPACES BETWEEN DATES-36 -
assignment of trade marks to your corporation. Draft trade markapplications for trade mark and design, including description of waresand services. .4
June 28
July 26
Review and finalize trade mark applications. Letter to CanadianIntellectual Property Office ("CIPO") enclosing Applications forRegistration together with filing fees. Letter to you reporting onfiling ofApplications for Registration.
Receive notices of acknowledgment for filing Applications. Reviewproof sheets for accuracy - note wrong filing date on one. Letter toyou enclosing notices of acknowledgment and requesting your reviewand comments for accuracy.
.2
2.9
)
TOTAL FEE:
DISBURSEMENTS:GST Bearing:Necessary long distance telephone tolls;Necessary telecopier tolls;Necessary photocopying;Necessary postage (including priority post of$12.70);
$ 11.963.71
13.6517.85
$ 47.17
$ 420.50
E & H tax on telephone and telecopier tolls;Non-GST Bearing:Paid CIPO for filing Applications;
Total Disbursements:
GST on fees ($420.50 x 7%);GST on applicable disbursen:i.ents ($47.17 x 7%);
TOTAL ACCOUNT:
TRUST FUNDS APPLIED ON ACCOUNT:
BALANCE OUTSTANDING:
TRADE & MARKS
Per:
/jfh
$ 1.41
$ 300.00
$ 348.58
$ 29.443.30 $ 32.74
$ 801.82
$ 450.00 -j
$ 351.82 .~
.:'-~
t;cc1
All Accounts are payable within 30 days. Afterwards, accounts bear interest at 15% per annum..
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DATE BILLING - TWO TIMEKEEPERS- 37-
IN ACCOUNT WITHLIT & GATE
Barristers and SolicitorsSUITE #205 - 2022 CENTRAL STREET
REGINA, SASKATCHEWANS4P 2K5
E.&O.E.
May 24, 1996Royal Bank of CommerceP.O. Box 1000Regina, SaskatchewanS4P OXO
Re: Homeowner, John - 123 Main Street, ReginaYour Mortgage No. 123456Our File No. 5000
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l22QMarch 15
March 26
March 27
April 2April 3
April 4
April 16
April 26
May 3
May 6
Receipt of letter of instructions from client. Letter to clientacknowledging receipt of instructions.Review of file material. Attend at Land Titles Office to search titleand obtain copy of mortgage.Prepare draft Consent to foreclosure action and Notice to ProvincialMediation Board.Telephone call to John Homeowner to make appointment. Letter toJohn Homeowner confirming appointment. Letter to client reportingon status.offile and requesting instructions on order for immediatepossession and appraisal report. Revise Consent and ProvincialMediation Board notice.Receipt (by facsimile) of 1995 appraisal report from client.Review appraisal report. Meeting with John Homeowner to discussconsent foreclosure procedure and obtain consent to it.Attend at Provincial Mediation Board to serve Notice. PrepareAffidavit of Service and execute it.Reporting letter to client - John Homeowner's consent obtained andNotice served on Provincial Mediation Board.Receipt of letter from client enclosing copy of appraisal report andproviding instructions previously requested.Prepare draft Memorandum, Affidavit and supporting material forapplication for leave to commence action. Attend at Land TitlesOffice to order Certified Copy ofTitle.Review and add to affidavit. Facsimile message to client enclosingdraft affidavit for completion of details.Receipt (by facsimile) of letter from client confirming instructionsand providing information for completion of affidavit. FinalizeAffidavit. Letter to client enclosing Affidavit and exhibits forexecution and return.
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1.0
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.2
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.2
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DATE BILLING - TWO TIMEKEEPERS- 38-
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May 15
May 21
May 22
May 23
May 24
Receipt of completed Affidavit from client. Receipt of CertifiedCopy ofTitle from Land Titles Office. Finalize and sign documentsfor application for leave. Attend at Local Registrar's Office to filedocuments.Telephone call to Local Registrar's Office -leave granted tocommence action.Attend at Land Titles Office to search title and general register.Prepare draft Statement of Claim.Review draft Statement of Claim. Facsimile message to clientreporting that leave granted to commence action and requestingupdated arrears figures. Receipt of facsimile from client providingarrears figures. Update Statement of Claim with figures.Finalize Statement of Claim. Attend at Local Registrar's Office toissue Claim.Telephone call to Local Registrar to ascertain whether order coveringservice by registered mail was granted and receive advice that it did.Letter (registered) to John Homeowner enclosing Statement of Claimfor service.
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.4
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.2
.10.9 3.2
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A. Gate 3.2 hrs. x $1351. Smith 0.9 hrs. x $50
TOTAL FEE:
DISBURSEMENTS:GSTBearingNecessary photocopying;·Necessary postage;
$ 432.00$ 45.00
$ 65.3519.05
$ 84.40
$ 477.00
Non-GST BearingPaid Land Titles Office:- to search title and mortgage;- for Certified Copy ofTitle, May 3;- to search title and general record, May 21 ;Paid Local Registrar, Regina:- to file application document for leave to commence action;- to issue Statement of Claim;
Total Disbursements:
GST on fees ($477.00 x 7%);GST on applicable disbursements ($84.40 x 7%);
TOTAL ACCOUNT:
A. GATE, Q.C.Per:
/jfhAll Accounts are payable within 30 days. Afterwards, accounts bear interest at 15% per annum.
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