lawyer client file storage what to keep

For purposes of this Rule, the client’s file consists of the following physical and electronically stored materials: (1) all papers, documents, and other materials, whether in physical or electronic form, that the client supplied to the lawyer; (2) all correspondence relating to the matter, whether in physical or electronic form;

Full Answer

Can a lawyer keep client documents in a file?

A lawyer may choose to retain client documents in a file to assist the client to meet statutory obligations. For example, The Income Tax Act, R.S.C. 1985, c.1 (5th Supp.), sets out certain minimum time periods in which accounting records, including supporting vouchers and cheques, must be kept.

How should a lawyer organize a file?

Depending on the complexity of the file, a lawyer should consider using folders and subfolders to organize the contents of the file. If files are maintained electronically in order to help simplify organization, file management and retrieval, the lawyer may consider naming the file with as much detail as possible.

How should lawyers dispose of client files?

Lawyers must protect client confidentiality and privacy when disposing of files. Shred or burn paper documents. The lawyer must guarantee that confidentiality remains intact throughout destruction and disposal Destroy the entire contents of the client files.

How does a retiring Attorney maintain a client file?

A retiring attorney must take reasonable steps to ensure client files are retained, either by returning the file to the client, obtaining client permission for the files to be retained by successor counsel, or maintaining the file in an accessible location. How long must a lawyer maintain a client’s file?

How long do client files need to be kept?

five yearsThe Model Rules suggest at least five years. See Model Rule 1.15(a). Many states set this requirement at six years, and some set it even further out. However, for certain types of legal matters, you must keep the files even longer.

How do I organize my legal folder?

When it comes to a legal file, the magic words are “chronological order.” Within each folder, the most recent documents should be on top, the oldest on the bottom. Remember to label each folder so you don't have to look inside each to figure out what's in there.

What kinds of files do law firms maintain?

A typical law firm has client files, work product files and reference materials, forms files, and personnel files. Proper file maintenance is crucial to a smoothly functioning firm.

How do I organize my case files?

6 Steps to Better Document Management for Small Law FirmsIdentify Your Firm's Key Documents. ... Create Digital Templates For Your Key Documents. ... Allow Clients To Provide Digital Signatures. ... Establish Centralized Digital Records For Each Client. ... Organize Everything With Software.More items...

What are the 5 basic filing systems?

There are 5 methods of filing:Filing by Subject/Category.Filing in Alphabetical order.Filing by Numbers/Numerical order.Filing by Places/Geographical order.Filing by Dates/Chronological order.

How do you store legal documents?

A safe deposit box is perfect for storing original documents, like birth certificates, wills, social security information, annual tax returns, and power of attorney. The key with a safe deposit box is to plan ahead.

Where do I put client files?

Paper-based copies of client records, including progress notes, should be kept in lockable storage such as a filing cabinet or cupboard, or in secured access areas when not in use; 2.

Why it is important to keep client files up to date in a legal office?

Common practice among lawyers is to keep files for a longer period taking into account factors such as the age of the client, the type of matter or the type of documents contained in the file, possible taxation implications and any statutory limitation period that might be relevant.

What is a client file in law?

The client generally owns documents created by the lawyer for the client and paid for by the client.

How do you organize a court binder?

Assembling Your Legal Binders Strong, clearly-written tabs for each divider can help in quickly locating information. For even better visual organization, consider colored index tabs. Dividers with pockets could provide both additional storage and a place for quickly storing new paperwork before filing it.

What is an alphabetical filing system?

Alphabetical filing is a method in which files and folders are arranged in order of alphabets of the names of person or institution concerned with such file. It may be done using either the first names or surnames, but whichever is chosen must be consistent throughout the particular filing system.

How do you name files in a law office?

When developing a file naming convention for your law firm, here are some best practices to follow for optimal organization and accessibility.Establish a clear organizational structure. ... Order chronologically. ... Use a separator character. ... Include document type. ... Describe the document. ... Stay within file name length.More items...•

Why do bar associations recommend hanging onto files for the life of the client?

In some fields such as tax and probate, statutes address how long records must be kept. In the criminal law context, bar associations often recommend hanging onto files for the life of the client, because of the possibility of habeas corpus petitions and other post-trial actions. ...

How long do you have to keep a file?

The answer is: it depends on the type of file. State bars have various rules about the minimum amount of time to keep files. The Model Rules suggest at least five years. See Model Rule 1.15 (a). Many states set this requirement at six years, and some set it even further out.

What is a law firm record management policy?

Most law firm records management policies use a matter-centric approach, creating a policy that analyzes individual client files to determine whether they should be retained. While an entire client matter will be considered for retention at one time, both the physical and electronic files must still be well-organized.

What is Findlaw's integrated marketing solution?

FindLaw's Integrated Marketing Solutions can help you create a comprehensive plan to target your market audience so that you will have a steady flow of new client files to keep your files full.

What is not included in client file?

The client’s file does not include firm administrative data such as billing records, conflict checks, and administrative communications with the client. Rule 1.15A, Cmt 5.

What is a lawyer's work product?

Lawyer’s “work product” is defined for purposes of the rule to include “documents and tangible things prepared in the course of the representation of the client by the lawyer or at the lawyer’s direction by the lawyer’s employee, agent, or consultant”, but as per comment 3 , do not “ordinarily” include a lawyer’s personal notes. ...

Do you have to turn over documents if you have a contingency fee agreement?

If the client agreed in the fee agreement to pay for investigatory or discovery documents and has not, you are not required to turn over those documents. Under a contingency fee agreement, you need only turn over work product for which the client has paid.

Can you mark up copying costs?

However, you cannot mark up the cost ; it must be commensurate with your actual copying costs.You can also charge for delivery of the file; but, again, you cannot mark up the cost. Rule 1.15A (b). CATEGORIES: Client Relations , Ethics , Law Firm Management , Planning , Risk Management , Uncategorized.

Do you have to address retention in a letter?

Yes, the Rule specifically encourages you to do so. Furthermore, best practice is to also address retention in your final communication (i.e. closing letter or disengagement letter), specifically, “where particular arrangements for disposition or transfer have not been made”. Rule 1.15A, Cmt 1.

Who retains client files in criminal cases?

Criminal defense counsel and defense counsel in delinquency cases shall retain a client’s files as follows: (1) for the life of the client if the matter resulted in a conviction and a sentence of death or life imprisonment with or without the possibility of parole; and.

How long do you retain a client's legal documents?

Except for materials governed by paragraphs (d), (e) and (f), a lawyer shall take reasonable measures to retain a client’s file in a matter until at least six years have elapsed after completion of the matter or termination of the representation in the matter unless (i) the lawyer has transferred the file or items to the client or successor counsel, or as otherwise directed by the client, or (ii) the client agrees in writing to an alternative arrangement for the file’s custody or destruction, provided, however, that files relating to the representation of a minor shall be retained until at least six years after the minor reaches the age of majority. If the client has not requested the file within six years after completion or termination of the representation or within six years after a minor reaches the age of majority, the file may be destroyed except as provided in paragraphs (d), (e), and (f) below.

What is reasonable measures to ensure that the destruction of all or any portion of a client file shall be carried out in

A lawyer shall take reasonable measures to ensure that the destruction of all or any portion of a client file shall be carried out in a manner consistent with all applicable confidentiality obligations.

What is a client's file?

For purposes of this Rule, the client’s file consists of the following physical and electronically stored materials: (1) all papers, documents, and other materials, whether in physical or electronic form, that the client supplied to the lawyer; (2) all correspondence relating to the matter, whether in physical or electronic form;

Can a lawyer destroy a client's file?

A lawyer shall not destroy a client’s file if the lawyer knows or reasonably should know that: (1) a lawsuit or other legal claim related to the client matter is pending or anticipated; (2) a criminal or other governmental investigation related to the client matter is pending or anticipated; or.

Can a lawyer make a client's file available to a client?

A lawyer must make the client’s file available to a client or former client within a reasonable time following the client's or former client’s request for his or her file, provided however, that: (1) the lawyer may at the lawyer’s own expense retain copies of documents turned over to the client;

Litigation Organization Tip 2: Organize by category, not chronology

Obviously, chronology has its place in legal case files. But I’m always surprised how many attorneys organize all case documents by chronology and only chronology (usually breaking out correspondence and pleadings). When they need a particular document, finding it requires remembering the date it was received – and that’s just inefficient.

Want more detailed step-by-step instructions on how to get and stay organized?

If my system sounds appealing to you and you want detailed, step-by-step instructions on how to set up your case management and discovery binders (down to the cover pages and tables of contents), how to structure your case deadlines chart, how to organize your electronic file storage depending on your document management system, and get some guidance on managing your calendar, then check out my guide, How to Organize Your Legal Case Files..

Why do lawyers keep client files?

Some of these reasons are for the benefit of the client, while others are for the benefit of the lawyer.

What should a lawyer do before closing a file?

Prior to closing a file, a lawyer should ensure that the file is organized. A lawyer may wish to remove from the file any unnecessary materials. While staff may assist the lawyer in this task, the lawyer primarily responsible for the file should approve the removal, deletion and destruction of materials from the file.

What should a lawyer consider when advising the client of the retention and destruction policy?

The lawyer should consider advising the client how documents will be handled and maintained during the course of the retainer and after completion of the matter. A summary of the file retention and destruction policy may be included in the written retainer agreement or in the final report to the client.

What are client files?

Client files will usually consist of some or all of the following: 1 Paper documents contained in the paper file folder; 2 Electronic documents and electronic data and information contained in the electronic document or file. [2] 3 Documents and or property relating to the client matter but not kept in the paper or electronic file folder.

What is the matter of law when a retainer is terminated?

The documents that must or should be handed over to a client upon the termination of a retainer is a matter of law. The following cases and materials have dealt with the issue of document ownership and may be of assistance to lawyers in determining issues relating to document ownership: Aggio v.

What is the duty of a lawyer to deliver to the client?

In this regard, subject to the lawyer’s right to a lien, the lawyer must deliver to or to the order of the client all papers and property to which the client is entitled and, subject to any applicable trust conditions, must give the client all information that may be required in connection with the case or matter.

What is a paper file?

Paper documents contained in the paper file folder; Electronic documents and electronic data and information contained in the electronic document or file. [2] Documents and or property relating to the client matter but not kept in the paper or electronic file folder.

What happens if a lawyer can't contact a client?

If the lawyer can not contact a client, the attorney should publish notice of the intention to destroy all or a portion of his or her files from or before a certain time period (without naming the client (s) specifically).

Can an attorney charge for a copy of a file?

Moreover, although the attorney can not charge or contract to charge a client for copies of the file when the client requests or receives the “delivery” of the file, the attorney may include in a fee agreement copy charges for the incidental courtesy copies sent to the client during the course of the representation.

Should a lawyer use care not to destroy or discard information that the lawyer knows or should know may still be necessary or

A lawyer should use care not to destroy or discard information that the lawyer knows or should know may still be necessary or useful in the assertion or defense of the client’s position in a matter for which the applicable statutory limitations period has not expired.

Should a lawyer destroy a file?

A lawyer should not destroy or dis pose of a file without screening it in order to determine that consideration has been given to the matters discussed above. A lawyer should preserve, perhaps for an extended time, an index or identification of the files that the lawyer has destroyed or disposed of.

Do lawyers have to keep court orders?

Is a lawyer required to retain copies of pleadings and court orders? Assuming that the originals are on file with the appropriate court and have been copied to the client, it does not seem that a lawyer must retain copies of court pleadings or court orders for any length of time after the close of a case.

Can a lawyer return an original?

Rather, the lawyer may, return the original to the client, or, when appropriate, file or record the original in the proper registry or court. However, in the event that a lawyer is in possession of an original instrument (or, for that matter, any other property of the client’s of inherent value), and can not locate the client, ...

Can an attorney rely on the delivered to the client?

It is possible to read the “delivered to the client” language from the proposed amendment as allowing an attorney to rely on the incidental courtesy copies which he or she may send to the client as satisfying the ethical obligations.

What is client file?

The client file includes documents and files in hard copy . form, but also electronic copies and files that are in native electronic . formats (such as Excel spreadsheets). The client file also includes notes, . document drafts and revisions, and email communication.

What should I do at the conclusion of representation?

At the conclusion of representation, you should (1) return any originals to . the client, (2) provide copies of important documents, and (3) remind the . client of your document retention policy and the process for requesting . a copy of their file.

What is client file?

The client file is the client’s property, and must be returned to the client upon request. The lawyer and client may reach an agreement as to retention and disposal of the file. Client files must be retained for a period sufficient to avoid prejudice to the client’s interests, but need not be retained forever.

Do retiring lawyers have to notify clients?

Similarly, the Ohio Bar Association advises consumers that “ [l]lawyers who are retiring, or who can anticipate suspension of their right to practice, will generally have time to notify clients and return files and property or obtain permission to provide them to a lawyer approved by the client.”.

Do client files need to be kept in hard copy?

No rule requires that the client file must be retained in hard copy. Scanning and electronic storage has become increasingly common and is ethically permissible provided reasonable provisions are made to preserve client confidences as required in Rule 1.6, and to comply with other applicable law such as HIPAA.

Should a lawyer destroy a file?

A lawyer should not destroy or dispose of a file without screening it in order to determine that consideration has been given to the matters discussed above. A lawyer should preserve, perhaps for an extended time, an index or identification of the files that the lawyer has destroyed or disposed of.

Can a retiring attorney retain client files?

Client files may be retained in electronic format. A retiring attorney must take reasonable steps to ensure client files are retained, either by returning the file to the client, obtaining client permission for the files to be retained by successor counsel, or maintaining the file in an accessible location.

How long after a file is closed can it be destroyed?

Absent an express agreement that the file be subject to destruction at an earlier point in time, the client may assume availability of the file up to a date seven years after it has been closed, at which time it may be destroyed.

What is retention policy?

A general retention policy adopted by the firm or a specific understanding with regard to retention in the given case may be expressly agreed upon in any one of a number of ways, such as within a retainer agreement or by written acknowledgment at a point in time before or after the file has been closed.