wssfc technology track session session 3 file it, …...wssfc technology track session session 3...

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


• 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




10/15/2014

9


• 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



• 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


10/15/2014

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


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


10/15/2014

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?

{00040398.DOCX.}

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

[email protected]

9/11/2014 1Footer Text


• 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)



• 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



• 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



• 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


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


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


Questions?

2014 WSSFC 9