ALA Documentation and Filing Procedures 3 — Questions and Answers
Question 1: Which chain-of-custody requirement applies when transferring original client documents from active file status to off-site storage?
- No documentation is required for internal transfers
- A transfer log recording file ID, transfer date, and authorized personnel (Correct answer)
- A client signature authorizing the transfer
- Court approval for any documents related to closed matters
Correct answer: A transfer log recording file ID, transfer date, and authorized personnel
A transfer log documenting file ID, date, and authorizing personnel maintains accountability and enables retrieval without breaking chain of custody.
Question 2: Under the CLM body of knowledge, which standard most directly governs the format and structure of legal billing records?
- ISO 9001
- UTBMS (Uniform Task-Based Management System) (Correct answer)
- GAAP
- ABA Model Rules 1.15
Correct answer: UTBMS (Uniform Task-Based Management System)
UTBMS provides standardized task and activity codes for legal billing, enabling consistent documentation of legal work across clients and matters.
Question 3: When a client requests return of their original documents upon file closing, what should the firm document before releasing the files?
- Nothing; client files belong to the client unconditionally
- A signed acknowledgment of receipt from the client (Correct answer)
- A court order authorizing release
- Firm managing partner approval only
Correct answer: A signed acknowledgment of receipt from the client
A signed receipt protects the firm from future disputes about which documents were returned and confirms the client received their materials.
Question 4: Which type of document management system control prevents unauthorized users from accessing confidential client files while allowing authorized staff full access?
- Firewall configuration
- Role-based access controls (RBAC) (Correct answer)
- Password aging policies
- Physical lock-and-key on filing cabinets
Correct answer: Role-based access controls (RBAC)
RBAC assigns access permissions based on user roles, ensuring only personnel with a legitimate need can view specific client files.
Question 5: A law firm discovers that a former employee copied client files to a personal device before leaving. Under records management best practices, the first response should be:
- Wait for the client to complain before acting
- Immediately assess what was copied and notify affected clients per applicable breach notification requirements (Correct answer)
- Delete all copies of those files from firm systems
- Report the incident only to IT
Correct answer: Immediately assess what was copied and notify affected clients per applicable breach notification requirements
Assessing the scope of the breach and complying with applicable notification obligations protects clients and limits the firm's liability.
Question 6: Which filing method is specifically recommended for managing time-sensitive court filing deadlines within a legal administrative workflow?
- Tickler system integrated with the docket management calendar (Correct answer)
- Manual paper diary kept by each attorney
- Annual review of all open matters
- Alphabetical filing of court orders only
Correct answer: Tickler system integrated with the docket management calendar
A tickler system integrated with docket management provides automated reminders that ensure no deadline is missed across the entire firm.
Question 7: When digitizing historical paper files, which quality control step ensures that all pages have been captured completely and legibly?
- Visual review of every tenth page only
- 100% page count verification and image quality check against original documents (Correct answer)
- Client approval of the scanned set
- Automatic OCR pass without human review
Correct answer: 100% page count verification and image quality check against original documents
A complete page count and image quality verification against the originals ensures the digital record is a faithful, complete reproduction.
ALA Documentation and Filing Procedures 3
Which chain-of-custody requirement applies when transferring original client documents from active file status to off-site storage?