Service of Process

Service of Process Overview

The Service of Process (SOP) module in Tracker provides an integrated, audited system for managing all your service of process activities. Specifically, it enables users to manually input SOP records or automatically retrieve them from your registered agent, store SOP data and attachments in a matter, track deadlines to ensure that necessary responses have been made, and generate an audit log of SOP records and activity.
One of the primary benefits of the module is that it will help your department avoid missed response deadlines by:
  1. Standardizing the intake process
  2. Organizing response information
  3. Sending email reminders of upcoming due dates
  4. Displaying alerts if there are any errors or failures in the process

Primary Phases

The Service of Process lifecycle involves three primary phases:
  • Phase 1:Input/download and error resolution SOP is entered into the system either manually by completing a form, or automatically via an automated download from an SOP vendor (CT Corp. or CSC). Any errors are resolved through an error resolution process.
  • Phase 2: Routing to a matter Each SOP record is routed to a matter either automatically based on auto-routing criteria (for example, if the court number and plaintiffs match an existing matter) or manually by an SOP Intake User. View a detailed diagram of this phase.
  • Phase 3: Response tracking If a response is due, the response deadline is tracked and response details are recorded when the response is made.

Sequence of Responsibility for an SOP Record

In general, the user responsible for an SOP record can be summarized in the following table. These users will receive email alerts when a new SOP record has been assigned to them or if any events or delays affect the SOP record.
  • Location Person Responsible - SOP Intake Page The SOP Intake Users responsible for the S.o.P Type assigned to the SOP Record (if no SOP Type has been assigned, then the Default SOP Intake Users are responsible). These users move the SOP record to a matter.
  • Matter - The SOP Person Responsible as designated in the SOP record.

Key users in the SOP process

Default SOP Intake Users
A Default SOP Intake User is responsible for:
  • Resolving any download errors from the SoP vendor
  • Sending an SOP record to another SOP Intake User, or to a matter if it cannot be automatically routed, when the record is downloaded. The Default SOP Intake User causes the record to be sent by assigning the SOP Type to the SOP record (the automated routing rules are specified in the SOP Type assigned).
Generally, whoever was responsible for the routing of paper SOP files should be a Default SOP Intake User. For most companies, the Default SOP Intake Users are not attorneys, but are paralegals or other staff. For larger law departments that have many SOP Intake Users, the Default SOP Intake Users should be selected to have overall responsibility for service of process in Tracker, and will manage the other SOP Intake Users.
SOP Intake Users
An SOP Intake User is responsible for reviewing and manually moving to the appropriate matter any SOP record that is not automatically routed to a specific matter.
Generally, whoever was responsible for the routing of paper SOP files should be an SOP Intake User. For most companies, the SOP Intake Users are not attorneys, but are paralegals or other staff. Small law departments usually will not create separate SOP Intake Users because the Default SOP Intake Users will be responsible for all SOP records. Large companies will typically have multiple different SOP Intake Users depending on the type of SOP record and/or subsidiaries involved. For example, a company might have two SOP Intake Users responsible for all garnishments, two others responsible for foreclosures, etc. For companies with subsidiaries, SOP Intake Users can also be setup for each subsidiary.
SOP Person Responsible
This is the user that is responsible for the SOP record once it has been moved to a matter. This user is also responsible for ensuring that response information has been provided if it is required for the SOP record. The SOP Person Responsible is displayed on the SOP profile page and in SOP lists.
SOP Escalation Users
SOP Escalation Users are primarily responsible for receiving alerts of significant SOP problems that have not been resolved by the applicable users. Specifically, an SOP Escalation User will receive "escalation" emails from Tracker in the following situations:
  • The company has not received an SOP record from your SOP Vendor for a specified number of days.
  • An SOP record has remained on the SOP Intake Page (pending action by an SOP Intake User to move it to a matter) for seven days since the initial download of the SOP record.
  • A batch-level error or data issue has not been resolved by the SOP Intake Users within seven day.
  • Response data is required for an SOP record, and the response due date has not been entered by the seventh day after the SOP record was downloaded.
  • Required response data to an SOP record has not been entered, and it is one day before the response due date (this is the default setting, although it can be deactivated for individual SOP records).
SOP Escalation Users also have access to all SOP records that are on
SOP Intake
(that have not been moved to a matter), and the batch history page showing the history of all downloads from the SOP Vendor.
For small law departments, usually the attorney responsible for litigation will be the SOP Escalation User. For larger companies, either one or more attorneys in the litigation practice group or the company's Tracker Coordinator will be the Escalation Users. Escalation users must be different from SOP Intake users except if the Escalation User is a Tracker Coordinator or Backup Tracker Coordinator.