Case Management Systems for the Practicing Lawyer
by
Andrew Z. Adkins, III
Legal Technology Institute
at the University of Florida College of Law

I started writing about case management systems (CMSs) back in the early 90's when the first DOS-based systems hit the legal industry market. Much has changed since the earlier clunky systems were first introduced into the legal marketplace, and I'm not just talking about the industry's move into the graphical Windows environment. All of today's computerized case management systems are somewhat customizable and chock full of features. And, like most software applications used in the law firm today, everyone doesn't use all of the features and functions.

But most firms that hike up the CMS hill to find the guru of information management systems, come back down with a much improved and more efficient law practice. After all, that's the purpose of using computerizing case management – to make your firm more productive. Recent studies have shown an increase in the use of computerized case management systems, but the legal industry is far from where it should be. Roughly 27% of law firms today (29% small, 30% mid, 18% large) use a case management system.

The Basics of Computerized Case Management
It's not too difficult to understand computerized case management systems. Most firms already automate several key case management functions. Even if they aren't automated, the procedures and information are already in place. Computerized CMSs perform many different functions in a law firm. But, there are five basic functions all CMS systems provide: Rolodex, Case/Matter Database, Calendaring, Case Diary and Document Generation.

Rolodex. Every law firm has a rolodex which contains the name, address, phone, and other pertinent information of key contacts. Rolodexes include clients, interested parties, other lawyers, judges, and just about everyone else with which the firm has had contact. Well, that's the first major CMS function – the Rolodex.

Just imagine if everyone in the firm had access to the same rolodex information. When the firm receives a change of address, one person in the firm makes the change. But the change becomes immediately available to everyone within the firm using the CMS. No more looking in the paper file (that is, if you can even find the file) to find the client's phone number. No more typing rolodex cards to give to every attorney and secretary for their rolodex files.

Case/Matter Database. Once the firm enters contact information into the rolodex, the next CMS function is to "open" the case or matter. Understanding how a new matter is created is key to understanding information flow in the firm. You'd think this was easy, and in some cases it is. But in many law firms today, matters are "assigned" to attorneys and various pieces of the case information pass through many hands in different formats before it finally gets to the working attorney.

However, when the attorney gets the case file, it's usually in paper form, handwritten or typed information on multiple documents and forms. Important information about the case, often taken on yellow pads by attorneys and legal assistants, ends up in the paper file and never makes it into the computer. A list of witnesses, the opposing counsel and other pertinent information are often listed on the paper, but may not reside in the computer. Following this time-honored procedure, the same information is often entered in multiple places by different people – very inefficient by today's standards.

The computerized CMS allows you to create the matter and assign all parties to the case. Remember, the rolodex already contains the contact information of all parties. You simply "assign" people to the matter using the CMS. That way, there's no duplication of contact information in multiple places throughout the firm. You also enter the same information into the computer as found on the client intake forms.

Calendar. Next on the list of CMS functions is the calendar system. Sixty-four percent of law firms today use some sort of computerized calendar system. Microsoft OutLook and Novell GroupWise are the top contenders. But the calendars in OutLook and GroupWise are "appointment calendars." That is, to schedule a list of appointments, deadlines, and ticklers, you have to enter them one by one. What if you could "assign" a list of critical dates to one key date? For example, a trial date is set. All you do is schedule the trial date and time and a list of ticklers, deadlines, and appointments are automatically calendared for you. If the trial date changes, you simply change the key date and all assigned ticklers are automatically changed with it, taking into account holidays and weekends. This is called "rules-based" calendaring and is a part of many of the case management systems.

Does this mean you have to enter the same appointments and ticklers in OutLook or GroupWise as well as the CMS calendar? No; case management systems integrate with OutLook and GroupWise and merge all data into one system. No more double entry and no more synchronizing multiple calendars by frustrated legal assistants.

Case Diary. Memo to the file: " Spoke with opposing counsel; settlement offer was the most ridiculous I've ever heard. It was all I could do to keep from laughing out loud. Suggest counter offer within three days." Instead of dictating the memo for someone else to type it using the word processor and placing it into the paper file, why not enter the information directly into the case management system? Along with that piece of information, you can also see, at a glance, all correspondence sent and received, and all other conversations and meetings that have taken place with this case.

The case diary is a key component in a case management system. This function will be used by the attorney & secretary more than any other feature because it becomes the center for case information and communications. Some of the information is automatically entered into the case diary such as when documents are generated. Other pieces are entered in manually such as recording phone conversations. No more searching a file for details about the last conversation the paralegal had with your client. No more searching through endless computer directories for the last letter sent to opposing counsel. It's all tied together in the case management system.

Document Generation. Now you've got all the client information (rolodex) and the case information (case/matter database) into the case management system. Imagine at the "push of a button" you can automatically generate a Retainer Letter, a letter requesting Release of Medical Records, and a letter announcing Client Representation. These are standard "boilerplate" documents your firm has used for years. The only information that ever changes in these type documents is the date and the specific case-related information.

The data entered into the case management system is automatically "merged" into the documents, printed and ready for review and signature. It's that simple. Word or WordPerfect? No problem – most case management systems merge into both word processors. Now, I've been in heated discussions with secretaries who tell me they can pull old word processing documents, change the necessary information in the documents, and print them out faster than the case management system. I don't doubt it. But, "How much longer does it take you to calendar a tickler to check for incoming correspondence, fill out a time slip for the attorney, and log the correspondence in the document history list?" Several case management systems on the market can do all that and more.

You can see that by using a CMS, the legal profession can change from a "word processing-centric" environment to a "case management-centric" environment. That is, the case management system is the main system on the computer desktop - not the word processor. Everything happens from within the case management system.

Those are the five basic functions of computerized case management systems: rolodex, case/matter database, calendar, case diary, document generation. There are, of course, other functions that are part of the system. These include conflict of interest, standard and customized reporting, interfaces with groupware applications, interfaces with Personal Digital Assistants and laptop synchronization to name a few. All of these various functions, and how your firm will use them, will help you determine which system is right for your firm.

CMS Assessment – What Your Firm Does Now
A big complaint I hear from law firms implementing case management is the transition from their current procedures to the new system. There will always be a big transition, but it helps to understand how your firm handles matters now. Consultants call this a "workflow analysis." It's not that difficult to conduct your own. Simply follow the flow of case information through your office from the time you open a new matter. I typically "build" CMS notebooks for clients, helping them to document the workflow analysis and procedures. This becomes an invaluable tool during the implementation process.

For example, does your firm use an initial client intake sheet? The information on this form is usually entered into the firm's time & billing system, at which time the bookkeeper assigns a case or matter number. Your firm may also use another client intake sheet for additional information, such as a diary for personal injury or medical malpractice. Or, you may have another checklist for estate planning. Whatever manual and paper forms you use now should be included in the case management system. These become the CMS "Data Input" screens for the Rolodex and the Case/Matter database.

Your firm probably uses a set of standard forms for generating documents. These may include general correspondence as well as pleadings, complaints and interrogatories. These forms will also be used in the case management system. As I described earlier, the information entered into the case database will be used to generate client documents using these forms and the merge feature.

How does your firm "communicate" information among the attorney and staff assigned to a particular case or matter? Do you write or dictate "Memos to the File?" Do you have weekly meetings? Do you catch attorneys or staff in the hallways or at lunch? One of the major strengths of CMS systems is to provide for better communications among the "team." We are all busy, traveling here and there, not to mention telephone tag and voice mail. We often do not have time to "catch up" with every member working on the case and often find ourselves repeating the same information over and over again as we talk with our team members. And, to top it all off, if you keep the information in the paper file, where does that leave the attorney when the file is out of the office? I'm telling you, CMS "rocks!"

Is Your Firm a Candidate for CMS?
Every law firm is a candidate for case management. Not everyone in the firm will use every feature or function in their CMS system. But, everyone can benefit from a single rolodex, from a single case and matter database, and from a single firm wide calendar system. Those using the document generation function will certainly benefit from creating attorney work product.

There are dozens of computerized case management systems available for the legal profession. They range from general CMS systems that work in most practice areas to those specifically designed for a particular practice area. You'll find more general purpose CMS systems that can be customized that for specific systems.

For firms with multiple departments, most CMSs are customizable, meaning you can uses the same CMS, but customize the data screens, the "rules-based" calendar, the document merge, and the reporting for each department. It does take some planning effort on the part of the law firm, but having a single database in the firm is a big plus and a huge move toward increasing productivity and decreasing inefficiencies.

Success Tips for Implementing CMS
There are plenty of success stories of firms implementing CMS systems. There are also plenty of failures. I've been involved in many CMS consultations. I also moderate many panel discussions at legal technology conferences and I'm involved in many CMS Shootouts. Being in this business for such a long time, you sometimes become jaded in failing to understand why the legal profession just doesn't jump on CMS. The answers are often obvious and usually boil down to three things:

1. The Cost of CMS. This doesn't just mean the purchase price of the CMS. You've got to include the downtime and unbillable time of the firm during the transition. Automating case management in a law firm is an intangible. Sure, we can touch it and feel it, but can we use it and get a return on our investment?

2. Unfamiliar Territory. Face it, lawyers and secretaries are so busy they get into a routine of what needs to be done in a case and how it gets done. When you start talking about case management, you step outside that "comfort zone," something we are all very cautious about.

3. Education and Training. This is really my job (as is most independent consultants.) Helping the law firm and individual attorneys understand the benefits of case management, and helping them to understand this will change the way they practice law.

There are several tips I can offer. These come from a variety of sources and experiences and I don't lay claim to them all. But, most of us who've been in the industry for quite some time agree these are "biggies."

1. Case management systems are not an overnight implementation. They take time and careful planning. Very few law firms are geared for buying the software, installing it, customizing it, and learning it on their own. Depending on the CMS system, you should realistically expect a two to six-month implementation schedule. The things that drive this time frame are: amount of customization, amount of training, and the amount of data conversion or data migration from existing case and matter information.

2. You need to have a project manager in the firm to coordinate the installation and implementation. I've seen lawyers tackle this task; I've also seen almost every imaginable position in the firm take this on. This person has a lot of responsibility and, with proper planning, should be able to coordinate all efforts. This person may also have the savvy to do the customization. This should be a full-time job for the initial implementation. In other words, it needs to be a priority and this person needs a lot of support from upper level management.

3. Know and understand your manual system first. Without performing even a cursory workflow analysis, you cannot know or anticipate what will change when you automate these CMS functions. Document this process, because it will help you understand when you can eventually quit printing needless reams of paper and start relying more on electronic information.

4. Make a commitment from the top. If this is going to be a successful implementation, the managing partner or management committee, the executive director or the legal administrator, and the technology partner or technology committee must make this a priority. Otherwise, those involved in using the system will undoubtedly find ways not to use it.

5. Marry the developer and the integrator. We're not talking polygamy here. You've got to have a solid relationship with the CMS developer. Most developers "listen" to their customers and implement features in their software system three to four times a year. Your firm is most likely going through this implementation and transition for the first time; the developer has helped many law firms such as yours through the implementation and transition. Listen to them and make them listen to you.

6. Know the attorneys and staff will be going through a mental transition. You've been practicing law for many years doing the same thing the same way. Lighten up a little bit for a couple of months, helping to understand the changes people go through. Celebrate "D-day," as we often call the first day on the new system. Continuously communicate and "lead" the firm through the change.

Considering a CMS Change?
I've worked with firms that were not happy with their CMS system. There's always lots of reasons, but I've found very few instances of real reasons to change. Most of the time, either the firm did not commit enough resources to the project, did not make it a firm priority, or did not receive enough training. In only a few cases did I feel the sales representative oversold their product. I know many CMS developers will not sell a law firm their system if they don't think it is the right fit. For a good reason, too. Developers don't want bad referrals.

If your firm is looking to change the CMS system, there are a few things you should ask before trashing that investment. Since almost all CMS systems are customizable and require someone in the firm to be the designated CMS administrator, did your firm dedicate someone to run this project or not? If so, is this the right person. I've been involved with firms where the "CMS administrator" was a lousy communicator. Every little thing that went wrong with the computer systems she'd blame the CMS developer, even problems with WordPerfect or the network.

Second, did everyone receive adequate training? A couple of hours here and there may not have been enough for everyone. There's a wide range of computer competence in every firm and some attorneys and staff need a little extra training or hand holding.

Third, are you communicating with the CMS developer? There will always be questions and requested updates. Those CMS developers who keep up with end user requests are the ones who are the most successful. I've seen situations where the developer had no clue the firm was having problems, simply because no one from the firm communicated the problem. Remember the "marriage" bit above? If you don't communicate your needs to your better half, they'll never know what you want or expect. (Yes, I'm available for family therapy and marriage counseling:<))

If you've tried the above and still don't think you've got the right system, then maybe it is time to change. Keep in mind, though, if you've had one "failure," it's an uphill battle to try to convince the rest of the firm to try another system. The most important thing to remember when changing from one system to another is you've learned how CMS works (or doesn't work) with the first system. Make sure you don't make the same mistakes on the second system. You should have a much better understanding of what to expect and what questions to ask. Be involved!

The firm will need to do some heavy planning to make this transition. If the firm has a lot of data in the existing system, try to figure out a way to electronically transfer the data to the new system. Many of the CMS developers have already figured this out and can help you with this planning. Recognize also that in most cases, not all the data will transfer, especially if you've done some customization.

Training, Training, Training (Did I Mention Training?)
I've personally worked with hundreds of firms over the past twelve years in various capacities. In many cases, I'm sad to say, training is usually put at the bottom of the list of investments. It just doesn't make sense to me for law firms to make such a significant investment in both computer hardware and software, yet feel their attorneys and staff will "learn it on their own."

Firms that are successful in their implementation of computerized case management take full advantage of training and the support of the developer. It's no coincidence that training increases law firm productivity. But, it has to be top-down. That is, the firm's management and administration must commit to training. Everyone using the system will benefit from training, even if it's just an overview.

One of the most amusing stories I've heard comes from a law firm client several years ago. This small general practice firm consisted of about twelve attorneys, five of which made up the management committee. One of the attorneys was very computer literate and pushed the firm toward improving client services with technology. The senior partner, who was not computer literate, fought tooth and nail against spending any money on these "toys." But, he was voted down. However, he refused to have a computer in his office. He backed off that, too, because the other partners convinced him the staff morale would drop if everyone did not "buy in" to the new system.

The first day back from training, the attorneys and staff were instructed to send emails to each other in order to get used to the new system. Well, the technology partner sent the senior partner an email. The senior partner took out his yellow pad, wrote an "answer" on the pad. He ripped off the sheet, walked over to the technology partner and taped the paper to the monitor. He wanted to "make a statement."

Several days later, the senior partner's secretary, who'd been with him for fifteen years, walked in and closed the door. This patient lady knew he was frustrated and wanted to help. She slowly explained the benefits of email. In this case, the senior partner's daughter was going to an out of state college. "You mean I can be working here in the morning and get an email from my daughter?" "Yes," was the quiet reply. "How much does that cost?" "Nothing. It's part of our system." "You mean I can send my daughter an email in the afternoon and she'll get it that night?" "Actually, she'll get it within a few minutes of you sending it." "And how much does that cost?" "Nothing. It's part of our system."

Well, needless to say, the senior partner figured out that email rocks and he was going to learn it, no matter what. In addition, I heard later that this senior partner, who had fought the technology project from the beginning, was now as computer literate, if not more, than the technology partner. All it had taken was a patient person to help him gently step outside his comfort zone. In most cases, that's what it takes, just a little understanding and a little help.

The Future of Computerized CMS
Case management has come a long way since the first clunky DOS-based systems. Along with other graphical-based systems, case management has kept up with the times. Unfortunately, there are some CMS developers who've given up and dropped off the face of the planet due to poor business, poor support, or couldn't afford to keep up with the Joneses.

In all my CMS seminars and panel discussions, I always ask the developers what will we see in the next year or two. This always puts them on the spot, because they know what their companies are working on, but don't quite know how to describe the future without describing their future product lines. After all, the competitors are also listening. But, in the hallways and trade shows developers often share one-on-one with me, swearing me to secrecy. What they don't often realize is that while they may think they are the only developer working on this new technology or new alliance, others are also working on similar projects. I love this industry!

Wireless is what most everyone is talking about. Remote computing, combined with wireless technologies allow the individual attorney to be in a virtual office. That is, you can be roaming the courthouse and have instant access to your full case management system, either remotely or in the palm of your hand. Most CMS developers offer remote access either through dial up or through the Internet. Most also provide laptop download and synchronization and most download information to the Palm.

I've also heard there are more developers seeking business relationships with other market leaders in other business segments. For example, a CMS developer may not have a document management system, so the company is striking up a relationship with a document management system developer. Another example may be the CMS developer wants to partner with several time & billing systems, so they partner up with the industry leaders. While these relationships have been around for a while, we're starting to see a much better and greatly improved electronic interface. What does this mean to your firm? Information entered into the CMS system will be automatically ported over to the time & billing system - no more duplicate entries.

I also expect to see more legal professionals starting to take advantage of the CMS systems. While there has been an increase in the use of CMS systems over that past year, I expect to see a significant increase in the coming years. Aside from document management, case management is the most efficient means for controlling information within a law firm – hands down. CMS Rocks!