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WSSFC Technology Track Session
Session 3
File it, Find It, Use It:
Document Management
On-Premise and in the Cloud
Gregory J. Banchy Banchy Law Center LLC, Eau Claire
Brent J. Hoeft
Hoeft Law LLC, Madison
Jeffrey S. Krause Solfecta LLC, Waterford
10/15/2014
1
File It, Find It, Use ItDocument Management On-Premise and in the Cloud
Greg Banchy, Banchy Law Center LLC
Brent J. Hoeft, Hoeft Law LLC
Jeffrey S. Krause, Solfecta, LLC
What is Document Management?
Saving documents in a systematic, logical way so that you can find them when you need them
Includes more than just the traditional definition of documents
10/15/2014
2
The History of Document Management Traditional Systems
Paper, folders and cabinets
First Generation Electronic Systems
Drives, directories and sub-directories
Dedicated Document Management
Profiles and searching
Document Management Makes a Comeback
Scanning and Email
Why Document Management?
Document Management is About Organization
There Are More “Documents” Than Ever
Incoming Electronic Documents
Incoming Paper that is Scanned
Incoming Email
Outgoing Email
Things Move Faster
You need to be able to find things right away
10/15/2014
3
Types of Document Management
Manual or DIY
Standalone
Standalone with Integrated Link
Component of Another System
File It, Find It, Use It: Document Management On-Premise and in the Cloud
Wisconsin Solo and Small Firm Conference - 20144:00 p.m., Thursday October 23rd, 2014
Brent J. Hoeft, Hoeft Law, LLC
hoeftlaw.com
10/15/2014
4
Windows Directory Structure
• Use the Windows Directory structure to organize and manage your documents
EXAMPLE
LibraryFormsReference
OfficeManagmentAccountingAdvertisingBankingInsurance
ClientClientIntakeFormsProspectClientOpenClientxClosedClient
Naming Client Files• Named by the date agreement was signed
(YYYYMMDD)• Followed by a matter designation
– Business Law = B– Estate Planning = E– Real Estate = R
• Client last name and initials
EXAMPLE
20140101E_Smith,J
20131212B_Doe,J
20121010R_Smith,J
10/15/2014
5
Options for Accessing Files Remotely
• Remote Access software
• Take electronic files with you on laptop, tablet or USB drive
• Online document storage
My Criteria
• Windows Directory structure
• Mobile access and sync across all platforms
• Security
• Versioning backup
• Cost
10/15/2014
6
Online Document Storage Options
• Dropbox• Box• Drive (Google)• OneDrive (Microsoft)• iCloud (Apple)• Sugarsync• SpiderOak• Worldox• Netdocuments
…just to name a few…
Workflow
• SpiderOak – Document storage, all firm and client files
• MyCase – web-based practice management system
10/15/2014
7
Worldox
10/15/2014 13Footer Text
Planning for implementation
• Where will documents be stored?• Create profiles for each set of related
documents – Examples might include . . . o Clientso Formso Library (articles, sample documents, etc)o Leads/Referralso Legacy documentso Documents related to the business (tax, etc)o Policies and procedures (including for Worldox)
10/15/2014Footer Text 14
10/15/2014
8
Planning for implementation
• Profiles (How files are described)o Maintain separate folders?o Number of divisions (ways to describe – level of granularity)o Example of a client database profile
• Client• Matter• Type
o Correspondenceo Pleadingso Client meeting notes
• Searchability – Tags are a useful way to help make topics easier to search
10/15/2014Footer Text 15
Planning for implementation
10/15/2014Footer Text 16
10/15/2014
9
Planning for implementation
• Naming standards - Exampleo 20140901 (Date – in a sort friendly format)o Client numbero Type
• Who will have access?• What will be kept? For how long?• Understand the system’s quircks and
limitations – All file names are stored as “8.3” names in the actual file directories – much harder to find if Worldox is unavailable
10/15/2014Footer Text 17
Planning for implementation
• Licensingo Per concurrent user - around $425/seato Annual maintenance fee (per user license) – around
$90/year/seat
• Updatingo Done on the “server,” typically by an administratoro Usually does not require restarts
• Indexingo Process runs on the server – required to maintain the system
index of terms found in documents – this is what makes the retrieval process work quickly
10/15/2014Footer Text 18
10/15/2014
10
Implementation• Start small – one of the smaller but still useful databases • Monitor/gather feedback from users• Roll usability changes into design• Wash, rinse, repeat until ready for prime time
10/15/2014Footer Text 19
Implementation• Document
o Initial designo Changes (and reasons)o Final “go live” systemo Include in policies and procedures manual
• Continue to monitor – system design should change as circumstances change when needed
10/15/2014Footer Text 20
10/15/2014
11
Questions/Comments
File It, Find It, Use It: Document Management On-Premise and in the Cloud What is Document Management? For purposes of this presentation, we will define document management as “saving documents in a systematic, logical way so that you can find them when you need them.” In addition, we’ll define documents broadly to incoming and outgoing documents, paper and electronic documents, email and any other records that received or produced in a law office. Almost everyone uses some form of document management, even if all of the documents are paper. Document Management: A Brief History Prior to computers, document management consisted of filing cabinets, red rope folders and manila folders. This system worked fine for many decades and still works today if you take computers out of the picture. When computers became common in the law office, a new form of document management was needed. It was now necessary to organize electronic documents. At first, people decided to file electronic documents in a way similar to how they filed paper documents. Drives became file cabinets, directories became red ropes and subdirectories became manila folders. This did not solve the problem because, at the time, people were too unfamiliar with computers. Expecting them to create and manage computer directories simply caused too many problems. In the 1990s, document management software solved the problem by taking over the save process. Saving documents became easy when all you had to do was identify the client and matter rather than create or navigate through directories. Finding documents was also much easier when you did not have to search through folders to find documents. However, by the 2000s, users were more comfortable with computers and document management fell out of favor a little bit. While very worthwhile, it came with a cost and some users began to feel that document management was limiting the way they could save documents. Things changed again around 2010. Suddenly, document management is back in favor and is probably the hottest legal technology around. Why Document Management?
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Document management software is popular again for two reasons – scanning and email. For a long time, firms ran two parallel document management systems. Electronic documents were saved to directories while paper documents were saved in file cabinets. Even firms with electronic document management often had document in two places. Scanning makes it possible have all documents related to a matter in electronic form but greatly increases the number of documents. This made it even more necessary to save them in an organized fashion. When email became the default form of business communication, it added another complication. A significant portion of the communications related to a matter were now outside of both the file cabinet and the electronic directories. People needed a way to integrate emails with scans and the documents they created on their own. Document management makes it possible to organize and manage all three critical aspects of documents – those produced electronically at the firm, those produced outside of the firm and emails. Types of Document Management Document management comes in several forms. Many firms still use directories in Windows. There are systems dedicated exclusively to document management and many practice management systems include document management. Other systems serve as document repositories with links to practice management. Document management in any of these forms can be either installed on a server or hosted in the cloud. In this presentation, we will discuss how document management works and provide specific examples of several document management systems.
File It, Find It, Use It: Document Management On-Premise and in the Cloud
Wisconsin Solo and Small Firm Conference - 2014
4:00 p.m., Thursday October 23rd
, 2014
Brent J. Hoeft, Hoeft Law, LLC
(hoeftlaw.com)
1 - Hoeft
I. Windows Directory Based Document Management System
A. “Windows Directory” document management structure
1. Master Folder Structure
2. “Open Client” Folder – Named by the date the representation agreement
was signed, followed by a matter designation (B= business law, E= estate
planning, R= real estate), followed by client last name and initials.
EXAMPLE Library Forms Reference OfficeManagment Accounting Advertising Banking Insurance Client ClientIntakeForms ProspectClient OpenClient xClosedClient
EXAMPLE: 20140101E_Smith,J 20131212B_Doe,J 20121010R_Smith,J
2 - Hoeft
3. Document Naming
a) All documents are named with the date of the document or date the
document received, followed by a description of the document and client
last name.
b) Client last name is always included for searching purposes
II. Accessing Files While Mobile
A. Options for Accessing Files while Mobile
1. Remote Access Software
2. Take digital files with you on laptop, tablet, or USB drive
3. Online document storage and device sync
B. Online document storage options
1. Why online document storage versus remote access or taking digital files
with you?
a) Remote Access – Often slow and can be a clunky user interface.
Also, there is no document sync for locally stored files, which means if
you do not have internet access, you do not have access to your files.
b) Taking digital files with you - If you take your files with you and
you make changes to a document while mobile, you have to make sure
you are always working from the most current version. There is not file
sync and back up. What if your drive crashes after you make changes to a
document but before you are able to get back to the office to back it up?
That revised document is gone.
2. So what options are available?
a) Dropbox, Box, Drive (Google), OneDrive (Microsoft), iCloud
(Apple), SpiderOak, Worldox, Netdocuments…just to name a few.
EXAMPLE: 20100315_LifeInsurancePolicy_Smith 20110518_POAHealth_Doe 20130529_Will_Jones_v2
3 - Hoeft
b) All of these services offer online document storage and the ability
to share files and folders with clients or co-counsel.
c) Most have a feature where a local folder is created on your
computer’s system and anything placed within that folder automatically
get synced to the cloud as well as with any authorized computers
associated with that account.
d) Levels of security vary a bit but all have encryption on all
documents stored on their servers (aka “at rest”); and all have 2-factor
authentication available.
e) One of these services mentioned takes security a step farther.
SpiderOak has what they call “Zero Knowledge” privacy. This refers to
the fact that, not only are files encrypted before they leave your computer,
in transit and at rest on their servers, but only the subscriber has the
encryption key.
(1) Good – Because it means that no one else will have access
to your client information. Whether the system is hacked or data is
handed over as the result of a governmental order, all that exists is
an unreadable bunch of symbols, numbers and letters.
(2) Bad – If you ever forget your password, the provider will
not be able to help you retrieve your password or your data. So it is
imperative that you protect the password and just in case have your
data backed up somewhere else just in case.
f) However you can enhance the security of the other providers with
an add-on service to encrypt your files locally prior to transfer
(1) Two such services are Viivo and Boxcryptor
(2) These services create an encrypted folder within your
service’s local folder and anything put inside of that gets encrypted
prior to being sent to the provider’s server for storage.
III. How I work
A. I utilize a web-based case management system in conjunction with my online
document storage and management system.
1. MyCase – Practice management system
a) web-based and focused on client communication and collaboration.
(1) Contains its own document management with sharing and
commenting ability.
4 - Hoeft
(2) All client communication, case information, billing and
payment information, and document sharing and collaboration
happens within MyCase.
(3) Client portal allows client access to all the information
regarding their matter in the practice management system.
2. SpiderOak – web-based document storage and management
a) Benefits
(1) Mobile Access – the portability of a cloud based document
storage system was the main reason for the switch. I found myself
needing the files while I was mobile. If I did not have my work
laptop with me, this was not easily available.
(2) Real Time “Backups” and sync - The system also provides
real time backups of the files. Every time that there is a change in a
document saved, the system begins the upload process and syncs to
the cloud storage and other authorized computers.
(3) Security – encrypted in transit and at rest; encryption key is
unknown to the provider.
(a) Advantage- provider has no access to firm and
client information. Even if SpiderOak is forced to hand
over information, it cannot do so in any usable or readable
format.
(b) Disadvantage- if you lose or forget your password
then your data is gone. Provider cannot assist you with
recovery of password.
b) Why I chose SpiderOak
(1) Security, Cost, Sync, Offline access, Cross-platform ease of
transition
(a) When I made the switch to SpiderOak I simply
dragged my firm’s Windows Directory into the SpiderOak
local folder and that’s it. Software uploads the files and
folders to its servers and all authorized computers were
synced.
3. Integration of SpiderOak (Document Management) with MyCase (Practice
Management)
a) SpiderOak = storage of all firm and client files
5 - Hoeft
b) MyCase = Storage of active client files being shared for
collaboration purposes as well as final client documents for archiving. All
final documents and communication is stored here.
4. Sample Workflow
a) Draft documents using Microsoft Word. Generate to PDF.
b) Save all files to SpiderOak and upload PDF to MyCase with
comments on document to client and a request for review and approval.
c) Client downloads PDF, reviews and produces comments to the file,
and then uploads the PDF as a new version with all comments made to the
document.
d) Process continues until final drafts are approved.
e) Upload PDFs of scanned, signed original documents to client’s
matter in MyCase.
f) Archive client matter in MyCase with all final signed documents
remaining in the matter for client access.
g) In SpiderOak, move open client matter file containing all drafts,
research, etc., to closed client folder.
IV. Five Tips and Recommendations
A. Know your specific needs.
B. Decide whether to integrate your current system or start fresh?
C. Security and Ethical Duty. Learn about the security of the systems you are
investigating. You have an ethical duty to take reasonable care to protect and preserve
client information, as well as educating yourself to become competent with the
technology you are using.
D. Use backup systems.
E. Give the systems a trial before you commit. Many of the document storage
providers offer competitive pricing and server space but differ in the user interface,
sharing and collaboration features, as well as integrations with specific software.
WorldoxPresented by:
Gregory J. BanchyBanchy Law Center, LLC
Eau Claire, WI 54701(715) 839-7536
9/11/2014 1Footer Text
Planning for implementation
• Where will documents be stored?• Create profiles for each set of related
documents – Examples might include . . . o Clientso Formso Library (articles, sample documents, etc)o Leads/Referralso Legacy documentso Documents related to the business (tax, etc)o Policies and procedures (including for Worldox)
9/11/2014Footer Text 2
Planning for implementation
• Profiles (How files are described)o Maintain separate folders?o Number of divisions (ways to describe – level of granularity)o Example of a client database profile
• Client• Matter• Type
o Correspondenceo Pleadingso Client meeting notes
• Searchability – Tags are a useful way to help make topics easier to search
9/11/2014Footer Text 3
Planning for implementation
9/11/2014Footer Text 4
Planning for implementation
• Naming standards - Exampleo 20140901 (Date – in a sort friendly format)o Client numbero Type
• Who will have access?• What will be kept? For how long?• Understand the system’s quirks and
limitations – Ex - All file names are stored as “8.3” names in the actual file directories –much harder to find if Worldox is unavailable
9/11/2014Footer Text 5
Planning for implementation
• Licensingo Per concurrent user - around $425/seato Annual maintenance fee (per user license) – around
$90/year/seat
• Updatingo Done on the “server,” typically by an administratoro Usually does not require restarts
• Indexingo Process runs on the server – required to maintain the system
index of terms found in documents – this is what makes the retrieval process work quickly
9/11/2014Footer Text 6
Implementation• Start small – one of the smaller but still useful
databases • Monitor/gather feedback from users• Roll usability changes into design• Wash, rinse, repeat until ready for prime time
9/11/2014Footer Text 7
Implementation• Document
o Initial designo Changes (and reasons)o Final “go live” systemo Include in policies and procedures manual
• Continue to monitor – system design should change as circumstances change when needed
9/11/2014Footer Text 8
Questions?
2014 WSSFC 9