Tag Archives: Scanning

Best Practices for Exchanging Electronic Documents

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Happy Monday!  Recently I’ve been featuring content from the Solo & Small Firm Section Conference.  Today is no exception.

Barron Henley of Affinity Consulting was a conference headliner.  His breakout session, “Exchanging Documents Electronically – How to Protect Yourself,” is a topic we all need to be savvy about.  If you’re a Word, Acrobat, Foxit, Workshare, or OmniPage user you’ll appreciate what Barron had to say.

If you’ve been following this series you know I like to share a few tidbits up front so you have a sense of what the speaker(s) covered.  A link to the complete collection of tips appears here.  Enjoy!

All Rights Reserved 2016 Beverly Michaelis

The Importance of Keeping Complete Client files

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Do you keep a complete copy of your client files?  If not, does your reasoning fall into one of the following categories:

 

Let’s consider these arguments individually.

Rationale: I don’t want to store the paper

Agreed!  I don’t blame you one bit.  Talk about inconvenient!

  • You could keep files at home, but no one wants to do that and some of us don’t have the space.
  • You could keep files in your office, but it can look like a clutter bomb went off.
  • This leaves the expensive option: keeping files off-site.

Solution: Scan your closed files

The easiest solution is to stop adding to the problem.  Resolve to scan your closed files starting this year.  Most practitioners will need a scanner for Oregon eCourt.  Put it to work as a file retention tool.

Rationale: Scanning is too time consuming

If your paper files aren’t “scanner” friendly, digitizing them at closing time can be tedious and time-consuming.

Solution: Make your life easier and scan as you go

Scanning paper as you receive it means all file materials are electronic from the start and the work is done automatically over the life of the file.  In fact, if you “scan as you go,” there is no reason not to simply be paperless.

After scanning, paper can be:

  1. Shredded
  2. Given to the client
  3. Kept for a designated amount of time in a general chron file
  4. Kept for a designated amount of time in simplified client file (e.g., dropped into an expanding file folder)

Exceptions may apply to certain types of originals.  See the PLF File Retention Guidelines, available on the PLF website.

Rationale: The court has all my pleadings

This is a specific example of the argument that if someone else has a copy of the documents stored in my file, I don’t need to retain my set.

Solution: Keep it real

No one else possesses your exact client file, as you gathered it, for the purpose you gathered it.

When you decide that it isn’t necessary to keep copies of the documents you filed in court, the medical records used to prove your client’s damages, or some other part of your file on the grounds that “someone else has a copy,” you are taking a huge risk.

Many a lawyer has regretted the decision not to keep records because “they were available elsewhere.”  For example, the lawyer who said he withdrew from a case long before a judgment was entered against his former client.  The lawyer claimed he withdrew, but had no documentation in his file.  The court’s Register of Actions showed receipt of a letter from the lawyer seeking to withdraw, but when a PDF of the court file was obtained, there was no letter.  Maybe the letter never made it into the paper file.  Or perhaps it was missed when the file was scanned.

Regardless, the moral of the story is pretty apparent: anyone (including a court clerk) can misplace, misfile, or lose a document.  Never rely on another person or entity to keep your records.  PLF claim files are replete with similar examples.

In the event of a legal malpractice claim, it may be crucial to prove what you did nor did not have in your file.  And while it may be possible to obtain duplicate records, doing so does not establish they were previously in your possession.

Additionally, defending the practice of discarding part of your file can be quite uncomfortable at deposition or in front of a jury.  Jurors hold lawyers to a high standard and often naturally have sympathy for the plaintiff bringing a claim.  If your testimony shows that you shredded part of your file, jurors may draw the wrong conclusion about your motives.  Play it safe and keep your complete file.

All Rights Reserved [2015] Beverly Michaelis

 

Scanning Documents for eCourt

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mouseIn my last two posts, I discussed the 10 steps all practitioners should take to get ready for eCourt and how to manage the anxiety and stress of transitioning to the eCourt system.

This week the focus is on two essential eCourt tools: PDF and OCR software. 

Efficiency with a 2 in 1 Solution

There is no doubt in my mind that a two-in-one solution is best: PDF conversion software with OCR capability built-in. 

Most practitioners know immediately what a PDF document is, but not everyone is familiar with the acronym OCR. 

OCR refers to “optical character recognition,” and OCR software does exactly that.  It takes a scanned image – like your printed pleading document – and uses software to recognize the text on the page, making your scanned document searchable.  This is a necessity for eFiling under the Uniform Trial Court Rules. 

Software that can perform these two functions simultaneously is a great time saver. 

Assuming you have a working scanner that meets your needs and is compatible with your operating system (Mac OS or Windows 7/8), the next step is to get your hands on two-in-one PDF and OCR software.  If you don’t already have a scanner, see last week’s post for suggestions. 

Top Three Choices for PDF/OCR Software

  1. For me, the number one choice for PDF/OCR software is Acrobat XI.  As I said last week: get the “Pro” version for the redaction features. Adobe is running a 20% off sale on monthly subscriptions for two more days (the sale expires December 3).  See last week’s post to learn more.
  2. Nuance Power PDF Advanced would be my second choice.  Over the years, Nuance has expanded product features to compete against Acrobat – to the consumer’s benefit. 
  3. Coming in last is PrimoPDF.  I admit this is my personal bias, however, I don’t feel it is as robust as the other two choices. 

All three of these programs convert to PDF and all three have OCR software built-in to make your scanned documents text searchable. 

Setting Acrobat XI Pro to OCR Automatically

By default, Acrobat XI Pro should be set to OCR automatically if you initiate document scanning by using the program.  To verify that Acrobat XI Pro is set to OCR automatically, follow these steps:

  1. Start Acrobat XI Pro 
  2. Select Create
  3. Choose “PDF from Scanner”
  4. Move your cursor to the bottom right of the pop-up menu and select “Configure Presets…”
  5. Toward the bottom of the “Configure Presets…” box, verify that “Optimize Scanned PDFs” and “Make Searchable (Run OCR)” are selected
  6. Click Save then Close

Acrobat XI Pro will retain these settings.  As long as you initiate a scan from within Acrobat XI Pro, your documents will automatically be OCRed.  Follow these five simple steps to scan a document using Acrobat XI Pro:

  1. Load the document(s) in your scanner
  2. Start Acrobat XI Pro 
  3. Select Create
  4. Choose “PDF from Scanner”
  5. Select Black & White Document

and you’re done! 

Prove to Yourself that Your Scanned Document is Text Searchable

To prove that your PDF is searchable, type <ctrl> F if you are a Windows user; <command> F if you are a Mac user.  The “Find” box pops up:

find box

Enter a search term you know is contained within your document, such as your client’s name.  Click Next.  In a text searchable PDF, Acrobat XI Pro will jump to the first instance where the search term is found.

[All Rights Reserved – 2014 – Beverly Michaelis]

 

 

 

 

What Happens to the Paper in Paperless Offices?

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So you’ve decided to take the plunge and go “paperless.”  Great idea!  I’m all for it.  But have you thought through what will become of the paper?  Can you truly kick it to the curb?  (Or at least run it through your shredder before disposing of it?)  Not so fast!  It’s a little more complicated than that.

  • First, satisfy yourself that the scanning process has integrity (no missing documents or incomplete PDFs).
  • Next, make sure clients are on board.  Communicate file retention policies in your initial fee agreement and again at the time of file closing.
  • If you are scanning files at the end of representation, review the paper file carefully before shredding:
    • Does the file contain any client property?  Documents, photographs, receipts, bills, cancelled checks, diaries?  Materials provided by the client are generally considered the property of the client and should be returned to the client.
    • Does the file contain any original documents whose authenticity could be disputed?  If so, keep the paper!
    • Does the file contain any documents of legal importance?  Items that are enforceable only in paper form?  Examples include: Wills, Powers of Attorney, Directives to Physicians, Deeds, Car Titles, Promissory Notes, Contracts, and Fee Agreements.  (You may need your original signed contract with the client if you pursue a collection action.)
    • Does your practice area require that you retain certain original documents such as the Affidavit of a Custodian in a guardianship (see ORS 126.725) or the original signed bankruptcy Petition filed on behalf of a debtor?  Know the rules and statutory requirements that apply to your practice area.
  • Disposition of paper files must comply with applicable laws and the Oregon Rules of Professional Conduct.  The Fair and Accurate Credit Transaction Act (FACTA) Disposal Rule (the Rule) requires any person who maintains or possesses “consumer information” for a business purpose to properly dispose of such information by taking “reasonable measures” to protect against unauthorized access to or use of the information in connection with its disposal.  The Rule defines “consumer information” as any information about an individual that is in or derived from a consumer report.  Although the Rule doesn’t specifically refer to lawyers, it may be interpreted to apply to lawyers, and the practices specified in the Rule would safeguard clients’ confidential information. “Reasonable measures” for disposal under the Rule are
    (1) burning, pulverizing, or shredding physical documents; (2) erasing or physically destroying electronic media; and (3) entering into a contract with a document disposal service.  FACTA took effect June 1, 2005.  Also see Oregon State Bar Legal Ethics Op 2005-141.
  • The responsible lawyer on the file should sign-off before the client’s paper file is destroyed.

The Professional Liability Fund recommends that lawyers refrain from accepting original client property, or at a minimum, return client property at the time of file closing.  For more information, see “Closing Files,” a chapter in A Guide to Setting Up and Running Your Law Office, published by the PLF and available on the PLF Web site.  The PLF also offers a File Closing Checklist.  From the PLF Web site, select Practice Aids and Forms, then File Management.

If you currently keep original client Wills, you may want to re-think that decision.
ORS 112.815 provides:

“An attorney who has custody of a will may dispose of the will in accordance with ORS 112.820 if:  (1) The attorney is licensed to practice law in the state of Oregon;  (2) At least 40 years has elapsed since execution of the will; (3) The attorney does not know and after diligent inquiry cannot ascertain the address of the testator; and (4) The will is not subject to a contract to make a will or devise or not to revoke a will or devise.”

For a complete Checklist for Imaging Client Files and Disposing of Original Documents, visit the PLF Web site, select Practice Aids and Forms, then Technology.

Copyright 2011 Beverly Michaelis

Is Acrobat Really Necessary?

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Twenty years ago, creating a PDF required Adobe Acrobat.  Today free or low-cost third party PDF writers are abundant and PDF generation is built into traditional and online office suites. 

With a price tag starting at $299 for Standard and $449 for Pro, is Acrobat really necessary?  The answer is yes!  Here are just a few ways I use Acrobat Pro every day to make my life easier.  All features are available in Standard and Pro versions unless otherwise noted. 

Document Assembly 

I often have the need to combine documents, typically for presentation material.  I use the “Combine Files” command and am also a master of inserting, deleting, and extracting pages using the Document menu.  I can’t imagine the tedium of doing this without Acrobat. 

Page Numbering 

I love this feature of Acrobat and use it all the time in conjunction with document assembly.  Once I’ve created a master PDF, I add a footer with automatic page numbering. Choose Document > Header & Footer > Add… Take the time to peruse your options here: you can enter your own header or footer text (left aligned, center aligned, or right aligned), insert page numbers, insert a date, specify the pages to be numbered, choose fonts, formats, and margins.  No room to squeeze in a header or footer?  Click on the link Appearance Options… and check: “Shrink document to avoid overwriting the document’s text and graphics,” then click OK.  Save your settings to quickly apply header and footer schemes to future PDFs.  Far superior to running pages back through a printer to apply numbers (or worse – and yes, we did this – applying numbered labels to the bottom of every page.) 

Document Comparison 

How would you compare documents if you didn’t have access to the authoring application?  Print and carefully examine hard copies?  Enlist someone in your office to read aloud while you followed along?  Believe it or not, this is what we did in the not-so-distant past.  Fortunately, Acrobat Pro has built-in document comparison.  Choose Advanced > Compare Documents to easily view changes to text, new pages, or moved pages. Summarize any changes as document annotations. 

Comment and Markup 

Ever wish you could draw a client’s attention to key parts of a document without changing it’s content?  Acrobat Pro offers 20 different commenting and markup tools.  I’ve used almost all of them at one time or another – from highlighting scanned text to drawing arrows or adding callouts or sticky notes.  I often find myself in a situation where I’ve been given a PDF, have no access to the original document, and need to supplement it in some way.  Choose Tools > Comment & Markup to see all the options.  By enabling Adobe Reader rights (only available in Acrobat Pro), recipients who have the free Reader software can participate in document markup.  Accept, reject, filter, sort, search, or print comments by choosing Review & Comment > Comment View. 

Watermarks 

If you don’t already have a watermark in your native document, you can easily create it in Acrobat.  Choose Document > Watermark.  Begin typing text, such as “Draft” or “Confidential.”  As with page numbering, take your time to explore all the options here, such as rotating the watermark, choosing colors and fonts, or setting the opacity so your watermark does not obscure your document.  If you want to use a logo or other graphic, choose File, then browse to locate the desired image.  I used Snagit to grab our Web site banner, then inserted it as a watermark at 45°.  An opacity of 25% seemed to work well – the watermark served it’s branding purpose without obscuring the document text.  To quickly reapply watermarks to future PDFs, save your settings.

TouchUp Text and TouchUp Object Tools

While you can’t do much editing of PDFs, you can do a little and these are the tools I use.  If I receive a PDF, need to fix something small, and don’t have access to the original, I can try to touch it up.  Choose Tools > Advanced Editing. 

Redaction

With Acrobat Pro redaction is incredibly easy.  Select images or text manually, provide Acrobat with word lists, or use established patterns to find and redact Social Security numbers, e-mail addresses, telephone numbers, credit card numbers, and other personal information.  Redact entire pages if necessary. Choose Advanced > Redaction to get started.

Always make a copy of your document before proceeding.  Once redactions are applied, they are permanent.  In my mind, this is the only way to redact and be 100% certain the information is truly gone.  I use this feature regularly with electronic court notices that contain information on more than one case.  It’s easy to create multiple PDFs (one for each client), then redact as needed to protect client confidentiality.

Metadata 

Want to see if a document contains any metadata?  Choose Document > Examine Document.  To examine every PDF automatically, specify that option: choose Edit > Preferences, and select Documents on the left. Under “Examine Document” check “Examine document when closing document” or “Examine document when sending document by e-mail.” Note: Acrobat removes additional items automatically whenever metadata is scrubbed, so read up on this feature before using it. 

Bates Numbering 

Remember the old Bates stampers?  I can still hear the sound of the stamp hitting page after page.  And if you set it incorrectly, you had to scrap your bates copies and start all over again.  No more!  Choose Advanced > Document Processing > Bates Numbering.  (Enhanced features are available in Acrobat Pro.)  It couldn’t be any easier. 

PDF Portfolios for Communicating with Clients and Branding Your Firm 

A portfolio is an interactive PDF with a welcome page which includes your logo, photograph, text about you, contact information, and a welcome message.  Simply add documents to the portfolio, choose how the documents should be displayed, and create a color scheme.  The interface is very intuitive.  Leave Word and Excel documents in their native format, or quickly convert them to PDF inside the portfolio.  Secure, if desired, and you’re ready to go.  The result: a personally branded PDF that can easily be sent as a single e-mail attachment.  I maintain several portfolios which I use to distribute frequently requested information.  This feature is available only in Pro. 

Creating Forms 

I maintain a library of about 25 fillable PDF forms, some of them quite complex. But don’t be intimidated.  With a little patience and the Acrobat Forms wizard, you can create your own.  Choose Forms > Create New Form and give it a try.  It won’t find every field and may suggest some that you don’t need, but clean-up isn’t too bad.  Think of the potential if you could master this feature:  fillable intake forms for clients, fillable checklists for you and your staff, fillable memos to the file.  The best way to go paper-less is to avoid creating paper in the first place, and fillable PDFs go a long way toward achieving this goal.  (Advanced forms tools available in Pro only.) 

Completing Forms 

Even if you don’t create forms, Acrobat makes filling them out substantially easier. You can take a fillable form from any source and save it to your local hard drive to complete later.  This isn’t true with the free Reader software unless the form author enabled Reader rights.  And of course not all PDFs are fillable.  If you encounter a nonfillable form, just use Acrobat’s typewriter tool to fill it in anyway.  Choose Tools > Typewriter. 

File Splitting for e-Court Compliance 

File Splitting is a handy feature for any practitioner who does e-filing.  Most electronic filing gateways in state and federal courts place a limit on the size of document you can upload in one session.  This feature allows you to split one large document into multiple documents by number of pages, file size, or top-level bookmarks.  Each resulting part is identified in order, such as Part 1 – Plaintiff’s Amended Complaint, Part 2 – Plaintiff’s Amended Complaint.  (Acrobat supports other settings which help with file size optimization, another key to e-Court compliance.) 

Scanning Directly from Acrobat 

I prefer to scan directly from Acrobat whenever possible.  I can automatically optimize, deskew, OCR, and apply ClearScan which improves text quality and decreases file size.  Choose Create PDF > From Scanner… There are two Options buttons in the Acrobat Scan dialog box. Be sure to click both and customize as needed.  Once preferences are set, Acrobat will apply them automatically to all future scans. 

E-Mail Archiving or Saving the Best for Last 

This is another feature I love in Acrobat, and most people are impressed when they try it.  When Acrobat is installed, two buttons are automatically added to Outlook:  “Create Adobe PDF from selected messages” and “Create Adobe PDF from folders.”  Choose the appropriate button, and follow the on-screen prompts to create a PDF e-mail archive.  Acrobat automatically captures associated attachments.  The resulting PDF has a header with all the typical e-mail message fields (From, Subject, Date, etc.) (To see other fields, right-click in the header and choose View…)  Each of these represent an opportunity for sorting.  Filtering is also supported. Under the header is a summary of each e-mail – hyperlinked so you can jump directly to the message.  I use this feature to archive the e-mail from our Web sites. 

Conclusion

Believe it or not, this is a brief overview of my favorite features of Acrobat Pro.  There is much more to explore and learn, and no other PDF product on the market offers all these tools in one package.  Doubting Thomases can download a fully functional 30 day trial version from Adobe or compare all three versions of Acrobat side-by-side.  If you are looking for a scanner, keep in mind that many Fujitsu models come with Acrobat Standard (which can be upgraded) or Acrobat Pro.  

To learn more about Acrobat, visit Acrobat for Legal Professionals, the Adobe Resource Center, Planet PDF, Adobe Acrobat User Community, and Adobe Press.  On Twitter, follow @acrolaw, @Acrobat_GU, @acrogirl, @acroboy and @acro_dave. 

Many thanks for Dave Stromfeld (@acro_dave) and Rick Borstein (@acrolaw) for their assistance with this article.

Copyright 2010 Beverly Michaelis

This is not a compensated endorsement.  The author owns and uses the product described.