Client File Management Course - ICCRC - CRCICregistration.iccrc-crcic.ca/admin/contentEngine/... ·...
Transcript of Client File Management Course - ICCRC - CRCICregistration.iccrc-crcic.ca/admin/contentEngine/... ·...
Version: 2017-001 December 4, 2017
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Client File Management Course
Introduce yourself:
• Name
• Place of business
• Number of years in the business
Activity
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What questions do you have
about managing your client files?
Activity
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This course consists of three modules:
1. Client File Management Requirements
2. Client File Management Systems
3. Shared Practice
� Networking opportunities
Course Overview
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Course Schedule
Module Content/Learning Objective Time Morning Afternoon
Registration Networking Opportunity 30 mins 8:30-9:00 1:00-1:30
Opening Welcome and course overview 30 mins 9:00-9:30 1:30-2:00
#1 Client File Management
Requirements
40 mins 9:30-10:10 2:00-2:40
Break Networking Opportunity 5 mins 10:10-10:15 2:40-2:45
#1 Client File Management
Requirements (cont’d)
25 mins 10:15-10:40 2:45-3:10
Break Networking Opportunity 10 mins 10:40-10:50 3:10-3:20
#2 Client File Management Systems 45 mins 10:50-11:35 3:20-4:05
#3 Shared Practice 40 mins 11:35-12:15 4:05-4:45
Q&A Q&A Session 10 mins 12:15-12:25 4:45-4:55
Closing Wrap-up 5 mins 12:25-12:30 4:55-5:00
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� Course completion
� Attend entire course
� Contribute to learning process
� Member feedback
� Questions are encouraged
� Learning environment
� Interactive
� Undivided attention
� Mutual respect
� Respect diversity
Course Expectations
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Poll members on:
I rate my current client file management systems as:
a. (highly organized and efficient)
b. (mostly organized and efficient)
c. (somewhat organized and efficient)
d. (poorly organized and inefficient)
e. (what system?)
Polling
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MODULE 1: CLIENT FILE MANAGEMENT REQUIREMENTS
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Module 1: Client Records Requirements
At the end of this module, participants will be able to:
� Define key client file management terms
� Recall ICCRC’s requirements for managing client files
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Module 1 Objectives
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Q1. Who is responsible for maintaining client records?
a. Member
b. Member and clients of member
c. Member and agents of member
d. Member, agents, and employees of member
Your Response
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Who is responsible for maintaining client records?
� Member is responsible for all work and must supervise employees and agents (A.6.3.1)
� Member who signs initial consultation agreement/ retainer agreement (s.4.2)
� Member performing any function on a retainer agreement signed by another authorized representative
(s.4.3)
Who?
Q2. What is client property?
a. Everything the client gives the member to fulfill the scope of service
b. Original client documents only
c. Original client documents and all other documents, information and data provided by the client
d. Original documents and documents prepared for the client’s benefit which the member has been retained by the client to prepare
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Your Response (cont’d)
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What is client property?
� Original documents and documents prepared for the client’s benefit which the member has been retained by
the client to prepare (s.3.2.f)
What?
Q3. According to the Client File Management Regulation, what is member property?
a. Everything the member creates or produces
b. Anything in the member’s possession prior to signing the retainer agreement
c. Documents a member has prepared for his/her own benefit
d. All monies in the member’s general account and all items belonging to the member’s office and practice
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Your Response (cont’d)
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What is member property?
� The documents a member has prepared for his/her own
benefit
� Must be kept as part of client file (s.3.2.n)
What? (cont’d)
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Q4. What are client records?
a. The member’s personal notes and summaries on a client’s case
b. Documents that provide evidence of activities performed, events occurred, results achieved, or statements made as a result of the initial consultation agreement or retainer agreement
c. Copies of the client’s original documents and correspondence
d. Documents that provide evidence of results achieved only
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Your Response (cont’d)
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What are client records?
� Documents that provide evidence of activities
performed, events occurred, results achieved, or statements made as a result of the initial consultation
agreement/retainer agreement (s.3.2.g)
What? (cont’d)
Q5. What is the client file?
a. The physical paper folder containing the information related to the retainer agreement
b. The electronic folder containing the information related to the initial consultation agreement
c. The physical paper folder and/or electronic folder or
directory containing the files, data or information related to the initial consultation agreement and/or
retainer agreement for a particular client
d. The client’s personal records of the case
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Your Response (cont’d)
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What is the client file?
� The physical paper folder containing the physical
documents and/or the electronic folder or directory containing the electronic files, data or information
related to the initial consultation agreement and/or
retainer agreement for a particular client (s.3.2.e)
What? (cont’d)
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Q6. What must the client file contain?
a. Copy of the retainer agreement and other relevant agreements
b. Copies of all supporting documents to the immigration/citizenship application
c. Copies of correspondence between/about the client and the member
d. All of the above
Your Response (cont’d)
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What must the client file contain?
� Copy of the retainer agreement and other relevant
agreements (s.5.2.a )
� Copies of all supporting documents to the
immigration/citizenship application (s.5.2.b)
� Copies of correspondence between/about the client, or
his or designate, and the member (s.5.2.c)
� Copies of client property (s.5.2.d)
� Billing documentation (s.5.2.e)
What? (cont’d)
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What must the client file contain? (cont’d)
� Client’s written authorization of designate (s.5.2.f)
� Copies of draft documents (s.5.2.g)
� Copies of immigration/citizenship applications or submissions on behalf of client (s.5.2.h)
� A paper/electronic record that includes:
� List of client property (s.5.3.a)
� Date the client property was received and returned (s.5.3.b)
� Acknowledgement of receipt of property (s.5.3.c)
What? (cont’d)
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Q7. What must a member’s system be able to do?
a. Open and maintain active files
b. Label and identify client property
c. Close, retain, destroy and dispose of closed files
d. All of the above
Your Response (cont’d)
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What must a member’s system be able to do?
� Open and maintain active files (s.4.4.a)
� Label and identify client property (s.4.4.b)
� Store and easily retrieve active and closed files (s.4.4.c)
� Place client property in safekeeping (s.4.4.d)
� Close, retain, destroy, and dispose of closed files
(s.4.4.e)
What? (cont’d)
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What else is required for record keeping?
� Maintain a list of closed files including the date the file
was closed (s.7.3)
� Establish a projected file destruction date once the file
is closed, and record the date in the file (s.7.4)
� Maintain a record of destroyed files, including: client’s
name and address, description of service, file closing
date, and actual file destruction date (s.10.1.a-d)
What? (cont’d)
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What must a member account for and return to the client upon request?
� Any client property in the member’s custody (s.8.2)
What? (cont’d)
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Q8: What is required to ensure confidentiality?
a. Member must ensure that client’s personal information and documentation is protected
b. The client’s name must not appear on the outside of the client file
c. Member must use a client code on all documentation and correspondence
d. Employees must sign out and sign in any client files removed from filing cabinet
Your Response (cont’d)
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What is required to ensure confidentiality?
� Maintained at all times (s.11.1)
� Protect client personal information and documentation
(s.11.2)
� Preserve client confidentiality indefinitely, even after finished acting for client (A.8.2.1)
What? (cont’d)
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Q9. Where must a member store closed files?
a. In a secure off-site location
b. Separately from active files and in a secure and accessible location
c. In the member’s main office
d. In a fireproof, locked filing cabinet (hard copy files) or in an encrypted, password protected electronic directory (soft copy files)
Your Response (cont’d)
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Where must a member store closed files?
� Separately from active files (s.5.4)
� In a secure and accessible location (s.7.2)
Where?
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Break
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Q10. When must a member open a client file?
a. Upon signing the initial consultation agreement
b. Upon signing the retainer agreement
c. Upon commencing work on the file
d. Upon receiving documents from the client
Your Response (cont’d)
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When must a member open a client file?
� At the time of signing the retainer agreement (s.5.1)
� Members engaged in paid and/or pro bono service must
comply with Client File Management Regulation (s.4.1)
When?
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Q11. When may a member close a client file?
a. After all outstanding fees or refunds have been settled
b. After all client property has been returned
c. After the client has been notified that the retainer agreement has been terminated and that all property belonging to the client has been returned
d. All of the above
Your Response (cont’d)
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When may a member close a client file?
� After all outstanding fees or refunds have been settled
between member and client, or designate (s.7.1.a)
� After all client property has been returned to client or designate (s.7.1.b)
� After client has been notified in writing that retainer
agreement is terminated and all documents and
property belonging to client returned (s.7.1.c)
When? (cont’d)
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Q12. When may a member destroy a client file?
a. Upon closing the file
b. 6 years after the file is closed
c. 10 years after the file is closed
d. 15 years after the file is closed
Your Response (cont’d)
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When may a member destroy a client file?
� 6 years after the file has been closed (s.7.2)
When? (cont’d)
Why maintain client files?Discussion
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Why maintain client files?
� To ensure client property is kept safe and distinguished
from member property (s.2.1)
Why?
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Q13. Which of the following does not illustrate proper safekeeping and storage of client files?
a. b.
c. d.
Your Response (cont’d)
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How must a member safe-keep and store client property?
� Keep client and member property distinguishable
(s.8.1)
� In strict confidence, at all times (A.8.1.1)
� Take all reasonable steps to ensure privacy and safekeeping of a client’s confidential information
(A.8.3.1)
How?
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How must a member safe-keep and store client records?
� Physically secure manner, maintain client
confidentiality, protect against damage and loss (s.6.1)
� Obtain client records from agent, as per agent
agreement (s.6.2)
How? (cont’d)
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Q14. How long does a member have to account for client property and deliver it to the client?
a. Promptly, but no later than 14 and 30 calendar days, respectively
b. Within 14 and 30 calendar days, respectively, unless otherwise agreed upon
c. Promptly and within 14 and 30 calendar days, respectively, unless otherwise agreed upon
d. Immediately, upon request
Your Response (cont’d)
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How long does a member have to account for client property?
� Promptly and within 14 calendar days (s.8.2)
� Or reasonable timeframe negotiated between parties
How long does a member have to deliver client property to the client?
� Promptly and within 30 calendar days (s.8.2)
� Or reasonable timeframe negotiated between parties
How? (cont’d)
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Q15. How must a member return client property?
a. Securely and confidentially
b. Registered courier at the member’s expense
c. Registered courier at the client’s expense
d. In-person
Your Response (cont’d)
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How must a member return client property?
� Securely and confidentially (s.8.3)
How must a member transfer a client file?
� Withdraw representation (A.11.5.1)
� Return client property and co-operate with successor (s.9.1)
� Complete the Release Form prior to transferring client property (s.9.2, Planned or Unplanned Absence Regulation)
How? (cont’d)
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Q16. How must a member destroy a client file?
a. In a manner that preserves client confidentiality
b. Using an independent paper shredder service
c. Using an in-house or independent paper shredder service
d. In a manner that ensures that no trace of the files remain
Your Response (cont’d)
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How must a member destroy a client file?
� In a manner that preserves client confidentiality (s.10.2)
How? (cont’d)
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Questions?
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Break
MODULE 2: CLIENT FILE MANAGEMENT SYSTEMS
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Module 2: Record Keeping SYstems
At the end of this module, participants will be able to:
� Identify various client file management systems
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Module 2 Objective
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Client File Contents
Client file contains:
Client Records
Member Property
Client Property
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Client File Formats
Client File
(Client Records, Member Property, Client Property)
Hard copy
E.g., paper documents,
passport, marriage certificate, etc.
Combination
E.g., paper documents, PDFs, jpegs, e-mails, etc.
Soft copy
E.g., Word documents, PDFs, jpegs, e-mails, etc.
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Hard copy
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Client File Management Systems
� Labelling client file
� Organizing hard copy files, e.g.,:
� File folders in filing
cabinet
� File folders in bankers
box
� File folders in
accordion folder
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Client File Management Systems (cont’d)
and/or
▪ Assign a distinct file name and number to each file▪ File name should include the name of the client and the
reference or matter number
▪ Label electronic files with as much detail as possible
▪ Label side or top edge of file
Alphabeticalclient name and category of
representation code
e.g. Smith, C_SW
Numerical1. straight numerical sequence
2. permanent file number
3. calendar numbering 4. location code
Client file labelling systems:
Hard copy organized by subfolders:
� Billing/expenses
� RCIC’s notes
� Draft documents
� Correspondence
� Documents from clients
� Agreements
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Client File Management Systems (cont’d)
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Hard copy storage options:
� Filing cabinet
� Accordion folder
� Binder
� Bankers box
� Cabinet
+
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Client File Management Systems (cont’d)
Soft copy
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Client File Management Systems (cont’d)
http://www.goodhacker.in/?p=406
� Labelling client file
� Organizing soft copy files, e.g.,:
� Word document in
electronic folder saved to PC/Mac hard drive
and external hard drive
� E-mail message in
subfolder on e-mail
server and network
� PDF in electronic folder
saved to USB key and
Cloud
Jai_N_FSW
Soft copy organized by subfolders:
� Agreements
� Billing/expenses
� Correspondence� Client/RCIC discussions� Client instructions� Client questions� RCIC instructions� Third party correspondence
� Documents from client
� Draft documents
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Client File Managements Systems (cont’d)
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Soft copy storage options:
� PC/Mac hard drive/external hard drive
� External server
� Network
� Cloud
� E-mail server
� USB key
� CD or DVD
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Client File Management Systems (cont’d)
� Contain the breach
� Evaluate the risks
� Notification
� Prevention
� Personal Information Protection and Electronic
Documents Act (PIPEDA) is Canada’s private
sector privacy law
� Information & Privacy Commissioner
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Responding to a Privacy Breach
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Client File Storage Considerations
Consider…
FORMAT (primary and
backup)
Hard copy—e.g., fireproof and locked filing cabinet, locked
cabinet, bankers boxes in locked room, etc.
Soft copy—e.g., hard drive, network, offsite
server, Cloud, CD/DVD, USB key, e-mail folders,
etc.
PHYSICAL LOCATION
Onsite/offsite (security)
Access by public/staff (confidentiality)
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When deciding on a client file management system that works for you, what factors should you consider?
Discussion
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Module 2: Record Keeping SYstems
Factors impacting your chosen client file management system:
� Size of practice
� Number of jurisdiction(s)
� Location of jurisdiction(s)
� Available resources (space, time, money)
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Client File Management System Factors
Which client file management tips are most useful in your practice?
Resource
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Client File Management Tips
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Opening/Maintaining Client Files
� Client File Content Checklist Template (s.5.2-3)
� Active Client File Register Template (s.4.4.a & c)
� Client Property Register Template (s.4.4.b, s.5.3.a- c)
� Client Communication Register Template (s.5.2.c)
� Client File Deadline Reminder Systems Resource (A.6.1.1.i)
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Client File Management Tools
Closing Client Files
� Closing/Transfer Client File Register Template (s.4.4.e, s.7.3)
� Ownership of Client File Contents Resource (s.7.1.b)
Destroying Client Files
� Steps for Storing, Closing and Destroying Client Files Resource (s.7.1.a- c)
� Destruction of Client File Register Template (s.4.4.e, s.7.3-4, s.10.1.a- d)
� Master Client File Register Template (s.4.4.a, s.4.4.c, s.4.4.e)
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Client File Management Tools (cont’d)
MODULE 3: SHARED PRACTICE
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Module 3: Shared practice
At the end of this module, participants will be able to:
� Verify their chosen client file management system
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Module 3 Objective
In small groups, share your:
1. Client file management system
2. Benefits of your system
3. Challenges of your system
4. Solutions to overcoming these challenges
Group
Activity
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Client file management system recommendations for the
group?
Discussion
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Reflect on your current practice and verify your chosen client file
management system
Activity
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Questions
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Member Feedback Survey
� Feedback for ICCRC on course and instructor
� Online survey – link e-mailed to you today
� Anonymous – be honest and constructive
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Wrap-up
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Webinar Invitation
� Optional
� Online session – audio and data
� Headset with built-in microphone required
� E-mail client file management questions in advance
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Wrap-up (cont’d)
Member Support
� E-mail your instructor with PME course-related questions
� [email protected] for all other queries
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Wrap-up (cont’d)
Module 3: Shared practice
Morris, J. & Myers, G. (2006). Opening and Maintaining Client Files—Practice Resources. Retrieved fromwww.lawsociety.bc.ca/docs/practice/resources/ClientFiles.pdf.
National Council of Social Service. (2007). Documentation and Record Keeping-A Guide for Service Providers. Retrieved from http://www.ncss.gov.sg/documents/Documentation_Record_Keeping_Guide5.pdf.
The Law Society of Upper Canada. (2011). Record Keeping Requirements. Retrieved from http://www.lsuc.on.ca/WorkArea/DownloadAsset.aspx?id=2147485024.
The Law Society of Upper Canada. (2012). Guide to Retention and Destruction of Closed Client Files—For Lawyers. Retrieved fromhttp://rc.lsuc.on.ca/pdf/practiceGuides/retentionDestructionGuide.pdf .
The Law Society of Upper Canada. (2012). Practice Management Guidelines. Retrievedfrom http://rc.lsuc.on.ca/pdf/pmg/pmg.pdf.
WebDesignDev. (2008). 10 Tips to Organizing your Client Records. Retrieved from http://www.webdesigndev.com/web-development/10-tips-on-organizing-your-client-records.
WebDesignDev. (2009). Tips for Good Record Keeping. Retrieved from http://freelancewich.com/freelancing essentials/7-tips-for-good-record-keeping/.
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Bibliography
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Module 3: Shared practice
Thank you!
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reproduced in any manner whatsoever without the prior written permission of the Council, except in the case of brief
quotations accompanied by proper citation.