lawyer client file storage what to keep court appointed clients

First, current client records must be kept secure. Keep backup copies of all electronic records, as well as crucial paper records such as master files, time and billing records, court dates and appointments, wills, powers of attorney and corporate records at a secure and specially designed off-site location.

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 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 should law firms manage their client records?

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.

Who owns your law firm's client files?

Remember, the law firm doesn't own the files. Your client owns the files even after the case closes. Next, let's review the specifics of client files. Keep every client file organized. Save one copy of each document unless there's a reason for multiples. Paper documents go in the paper file folder.

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.

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 you organize case management files?

Within the correspondence and pleadings folders (some attorneys use different colors for different types of documents) the documents should be kept in chronological order – most recent on top for easy access. The entire case is then kept in one expandable file folder to keep things together.

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.

Are emails part of client file?

All emails are printed and placed in the client's file. they end up in folders in Outlook, junking up memory. client. inbox into client folders.

Are attorney notes part of the client file?

The client is entitled to all papers and property the client provided, all litigation materials, all correspondence, all items the lawyer has obtained from others, and all notes or internal memorandums that may constitute work product.

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 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...•

How do you manage caseload in law?

But caseload stress can be managed!...Here are some tips:If the task is routine, administrative, or support-oriented, then consider delegating.If it involves a specialized skill set, like marketing, IT, or accounting, consider delegating.If it costs you more to do it than to hire someone to do it, consider delegating.More items...

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.

How do you organize paper client files?

How to organize documentsSeparate documents by type.Use chronological and alphabetical order.Organize the filing space.Color-code your filing system.Label your filing system.Dispose of unnecessary documents.Digitize files.

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.

How Do Law Firms Dispose of Client Files?

Don't toss old paper files into the recycling bin. Shred them first, preferably using a document destruction company that certifies confidential practices. With electronic files, ensure that the data is completely wiped out and can't be restored. Beforehand, take steps to protect yourself from any claim that you have mishandled client materials.

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 Do I Create a Law Firm Document Retention Policy?

There's no need to reinvent the wheel when drafting a document retention/destruction policy because samples are available online, including from the New York State Bar Association.

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 to do before destroying client files?

Before destroying a client file, make sure an attorney reviews it. Is there any reason why the file should be preserved longer? Are there any original documents in the file, such as contracts, that should be saved?

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 matter closing?

Matter closing can be an opportunity to remind the client of the work that was performed and the firm's desire to represent them in the future. In a perfect world, you would contact your former clients and they would come and pick up their files.

Why do attorneys retain files?

The potential of further business from the client, the usefulness of the material for similar matters undertaken for others and the protection that may be afforded the attorney should there be a claim of professional malpractice, unethical conduct or a fee dispute are examples of why an attorney may, for such reasons, choose to retain file material. Publications are replete with suggestions on the best practices in that regard. The question posed to this Committee, however, is confined to the ethical constraints, and we therefore present no specific advice with regard to the practical business aspect of the matter. Attorneys are well advised to familiarize themselves with the practical issues and the many suggested means of dealing with them.

How long do you have to keep a copy of a client's case file?

1:21-6 (b) (9) which provides that copies of those portions of each client's case file reasonably necessary for a complete understanding of the financial transactions pertaining [to the event which they record] must be retained for a period of seven years. Footnote: 2 2

How long do attorneys retain files in New Jersey?

That being the case, in providing a safe harbor to the attorney who has conformed to the ethical requirements discussed above, we conclude that absent an express agreement to the contrary, the client should not reasonably expect the attorney to retain the file for the client's benefit more than seven years after the conclusion of the representation.See footnote 5 5 After a period of seven years has passed, such file material may ethically be destroyed.

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.

Why do attorneys keep closed files?

Another purpose for which an attorney may choose to preserve closed file material is based upon the duty of professional care arising out of the specific attorney-client relationship. Under such circumstances, the material is maintained not because it is the property of the client, but rather because it would be consistent with the professional responsibility of the attorney to anticipate the potential future need for such material by the client. Examples of such material would be medical records which might otherwise become unavailable, financial data obtained which may be useful to establish the basis of an investment for future tax purposes, etc.

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.

When was the opinion 542, 114 N.J.L.J. 387 d eem?

387 (1984) d eems it appropriate to destroy a file based upon a contract between the insured and the insurance company, it is now here rejected.

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 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 should a lawyer keep in a record?

The lawyer should keep a record of all files destroyed or returned to the client in accordance with the lawyer’s file destruction policy . The record at a minimum should contain the client’s name, address, file number, a brief description of the nature of the matter, the file closure date, the file destruction date or date that the file was delivered to the client, and the name of the lawyer who authorized the destruction or delivery . This will assist a lawyer to counter allegations that a file was destroyed indiscriminately.

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 an appendix 1?

Appendix 1 contains some sample file retention policies for law firms. No one policy can cover all situations relating to all law practices or practice areas. These sample policies are not intended to replace the lawyer’s professional judgment or the views of a law firm’s professional standards or other practice management committees, risk management partners or general counsel. When establishing a file retention policy a law firm should consider both the circumstances of the law firm’s individual and group practices as well as the Law Society Guide on Retention and Destruction of Closed Client Files.

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 retained as a copy of a client file?

Paperwork collects rather quickly in the field of law. Letters, briefs, interrogatories, motions, adjournments, and numerous other correspondence will be retained as hard copies within a client file, regardless of whether copies of these items are saved on a computer hard drive somewhere in the office.

What is the legal file folder called?

In most other offices, manila or yellow folders are used for keeping records organized; however, legal files are most often started in what is called an "accordion file folder.".

What should be in accordion file folder?

3. Within the accordion file folder should be added a manila folder that you may or may not label right away. Inside this folder should be a copy of the retainer check, any notes the attorney made during the initial consultation, and contact information for the client, including cell phone, business address and number, and home address. Additionally, add originals or copies of any correspondence brought to the office by the client pertaining to the matter.

How important is it to keep records of all legal documents?

It is absolutely vital to keep accurate records of all correspondence created on behalf of any client or filed against the client. Regardless of how unimportant a particular item may seem, copies of each and every piece of correspondence must be added to the client file, including all legal papers, letters, certified mail receipts, FedEx receipts, and anything else that pertains to the case or matter being dealt with.#N#For any given client, there may be one or numerous legal actions taking place on her or his behalf. Long-standing business clients will have constant legal matters occurring throughout the year, and each matter requires its own sub-file. Attorneys will keep "hot" or very active files in their office, in your office, or somewhere close by, so that they do not need to be pulling them from the file cabinet every day. Often you will find that the attorney you work for has stacks of files scattered around his or her office so that they may easily juggle multiple matters and cases quickly and as needed. For very large cases, file folders will soon turn into boxes of files as the paperwork increases and the case progresses.

What is expandable file?

These larger, expandable files allow for the addition of a multitude of documents, which is necessary when dealing with legal files; they also have elastic or some other type of attached fastener which keeps the file closed and the contents inside when not in use.

What is legal file?

Legal files are a vital part of any law office and the business of representing clients. You will find that paperwork piles up very quickly in any law office. It is your job to keep things organized properly for the attorney you work for. She or he should be able to simply pick up a file and find everything needed.

How to get a copy of a certification?

1. Read the cover letter and the motion. The letter states that the original and four (4) copies must go to the clerk and two (2) copies each must go to the names listed under the certification. Additionally, a copy should go to the client and a copy must be made for the file.

Blank new folder template

I keep a blank new folder template handy for new files. Here is what it looks like:

File numbers

If you do not already have a file numbering scheme, try mine. I decided it was worthless to assign arbitrary numbers, and started using numbers that reflected the date the client signed a retainer. So if the client signed a retainer on August 3, 2016, the file number would be 160803.

File naming

File naming is also important. Generally, you would sort documents by the date of the document ( not the date you scanned the document, which may be days—or years—later). To do this, start filenames with the date, year first: yyyy-mm-dd Filename.pdf. (You have to start with the year, or all your Januarys will end up next to one another.