Chapter 3: Context of Law Practice
24 3.8 File Management & Working From Home
Gemma Smyth
File Management
Every legal workplace will have some sort of file management system – paper-based, electronic, or a mix of both. File management systems allow lawyers and other members of a firm to have a record of the client’s documents, the progress of a file, track payment of fees and to ensure ethical requirements such as conflicts and limitation periods have been respected.
Typically, legal workplaces ensure that client information is easily retrieved from the system, secure so as to protect client confidential information, and should verify the existence of any conflicts, limitation periods and other administrative tasks. Moreover, it should “comply with the LSO’s record and bookkeeping requirements.”
Protecting client information is an obligation for lawyers, students and other parties privy to the legal matter or client issue. Maintaining confidentiality in file management procedures is important.
Working from Home – Security Considerations
Confidentiality and file management practices take on particular importance for externship students during a pandemic as students work from home. Students should be attentive to disclosure risks and file security.
Good Practices on Keeping Files Secure at Home
- To the extent possible, create a physical space where you can control access to client information. Don’t keep files out so others living with you or visiting can see them. Close your laptop. If you do print or have other physical files, keep them stored so others cannot access them. Your computer should also have password protection. You can add an additional layer of security by adding a password to certain files. Most students will not have client money at home nor meet with clients, but that is an additional consideration in practice. This LSO article contains useful information for lawyers considering working from home.
- In most cases, students will want to have remote access to confidential files and other information. The following excerpt from a Law Society of Ontario podcast on remote access also has useful definitions and context (featuring speakers David Whelan and Phil Brown):
“DW: Remote access is pretty clear. What you want to do is connect to a server or a computer that is back in your office or in your home, but you want to do it remotely. So when you are at court, or when you are on the go, you want to be able to get access to it whenever you want to. In some ways we are already doing that with tools like the Cloud, where I can synchronize a file up to Dropbox or something like that and I can remotely access it through the web or by downloading it to my device, but that is not really what we mean by remote access.
PB: One of the things we are going to be concerned about with remote access is security and how to keep that information safe between your device and your computer at home.
DW: That’s right because it is using the same internet as the Cloud, but it is a direct connection to the device that you are trying to connect to. Remote access means that you are going to somehow dial in or plug into the computer that you are going to be using. There are really two ways to do that. One of the ways is VPN, which is virtual private networking, and a second way is to use something called RDP, remote desktop protocol, or VNC, virtual network computing.
PB: Let’s talk a bit about the differences and what they mean. VPN, for instance, the virtual private network, is really just a pipeline – a private pipeline, within the public network.
DW: That’s right. It secures everything that is transmitted through that pipe, and that means that everything that you do on your device, both at the end where you start and the end where you come out of that virtual private pipe – that virtual private network – is encrypted. Some people may know that if you use a VPN to connect to another country you can connect to resources that are in that country because it makes it look like you are coming from wherever that country is. But in your case, you would be using it for your office, so you would be connecting to a virtual private network client sitting on your computer in your office, or onto virtual private network hardware that is in your office.”
3. Back up your clients’ files in a way that maintains confidentiality per LSO rule 3.3. While the LSO doesn’t have any specific regulations on cloud computing, the following podcast discusses what you should consider: https://lso.ca/lawyers/practice-supports-and-resources/topics/technology-practice-tips/cloud-regulations. To back up client files, lawyers should use different, secure mediums. A recommended practice is to ensure that the cloud you are backing up to permits you to upload encrypted files as an extra layer of protection. If you are periodically backing up files to a USB or hard drive, ensure that the files are retrievable and that the portable drive is stored securely. For more tips listen to this podcast or view the transcript: https://lso.ca/lawyers/practice-supports-and-resources/topics/technology-practice-tips/backups
4. Encrypted emails or files in emails helps maintain an added layer of security when working remotely. See the following transcript for best practices! https://lso.ca/lawyers/practice-supports-and-resources/topics/technology-practice-tips/email-encryption
5. The following link provides more technology tips and best practices to ensure data security. Students can listen to podcasts or read the transcript: https://lso.ca/lawyers/practice-supports-and-resources/topics/technology-practice-tips
File Documentation
Part of file management includes file documentation – essentially, documenting the work you are doing on a file. Students must get used to writing down phone calls, emails, or other communication received from or sent to a client in every single instance. This practice is important to understand the life of a file, but also to protect oneself should questions arise.
The LSO’s Guideline 3.9 addresses how to manage file documentation. It is recommended that lawyers consider systems that permit documentation of each meeting, and any communication held between the client and lawyer. For externship students working on files with clients, it is important to verify and understand the workplace’s policies regarding client documentation, governance and file security.
