The Gazette 1992

GAZETTE

H N

MARCH 1992

Document, Case and Client

Management Systems

Difficulties arise out of substantial

use of word processing documents.

While some systems are equipped

with basic document indices, large

volumes of documents require

proper, structured management. In

effect, what is required is an

automated filing and retrieval system

for word processed documents.

Document or Case Management

systems provide classification and

diary management routines to

control the flow of documents

through the life of a case and to link

the documents, as appropriate, with

relevant client details and with other

aspects of the practice.

Such systems have three principal

requirements:

• the planning of the steps

undertaken in a particular

transaction (e.g. acting for

purchaser of a new house) and

the identification of the

documents used in that

transaction,

• determination of the type of client

details and matter detail required

for the successful processing of

the case,

• the identification of the

chronological routine from the

start of the case to its conclusion

and the diarying of the

documentation relevant to each

particular stage.

The systems link the glossary and

merge type features of word

processing systems with a structured

management routine. Proprietary

systems, if properly planned for and

if used correctly, are a significant

way of minimising document

processing costs and reducing the

risk of error, or omission in standard

transactions. Fundamental to the

success of such systems are:

John Furlong

• a strict and enforced use of

conventions to complete the

necessary client and matter

details,

• consistency in the content and

updating of relevant documents

with a continuing quality control

check,

• a recognition that the systems are

best suited to standard procedures

and applications,

• some of their capabilities are

already provided within standard

word processing systems and/or

accounting systems.

If the system is planned properly, the

client details which are input at the

start of a transaction may also be

used to construct personalised letters

to the client; to record specific

information (about a will or title

deed etc.); to update clients on

changes in the law and to provide a

limited link with details held in the

firm's accounting system. The details

may also provide a means to collate

information about clients for

information, marketing and

promotion. Alternatively and allied

to document and client management,

larger firms may consider the

development of a separate and

parallel client and contacts database

which will contain all of the

necessary information for mail-shots,

promotional literature or legal

updates to particular individuals.

There are strong arguments against

the construction of such a database

given the resources required both to

initiate and to update the detail held

on it. The unnoticed death of a

client; a change of address or

position within a client firm; changes

in marital status etc. may all go

unnoticed on the database resulting

in the outputting of embarrassing

letters and mailshots.

Where client details are collated and

stored for document or case

management or for a client database,

regard should be had to the

provisions of the

Data Protection

Act, 1988

which imposes statutory

duties in respect of automated

storage of personal data. Where

sensitive personal data (as defined in

the Act) is held on any system,

registration must be made with the

Data Protection Commissioner.

Further Reading

The Right Client Database:

Irving

Watson

The Law Society Gazette

(London)

30th January, 1991.

Client Database: Facts and Fiction:

Delia Venables

The Law Society

Gazette (London)

24th July, 1991.

What exactly is a Client Database?:

Delia Venables

The Legal Abacus

January, 1992.

This column is contributedby

members of the Technology Advisory

Group, an informal grouping of

solicitors who, with the approval of

the TechnologyCommittee of the

Law Society, seek to promote

awareness and use of technology

within the profession. Further details

from the Honorary Secretary, John

Furlong, c/o William Fry, Solicitors,

Fitzwilton House, Wilton Place,

Dublin 2.

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