Spell out the specifics on the lawyer's responsibilities, storage, and retrieval fees. The lawyer must decide whether to keep copies of client documents. Legal requirements and a file retention and destruction policy guide the decision.
Before closing the file, the lawyer should remove anything that isn't needed. If documents could be useful as precedents, or other legal matters, remove them from the file. Store them elsewhere. Remove all personal information. You must maintain client confidentiality.
You can remove documents stored elsewhere. But, first consider retrieval costs, and if the document will always be available. Keep any draft copies when the draft documents the history of the situation. Save client instructions in case they're an issue later. Review file retention and destruction policies should at the start of every case. Discuss how you manage client documents. Explain how they're managed and maintained during the course of the case and beyond.
Include the firm's file retention and destruction policy in the retainer agreement. Repeat it in the final report to the client. No lawyer is bound to keep client files forever. Each case has different needs. Lawyers must consider the following aspects of a case to determine how long to keep a file. When a file closes, the primary lawyer reviews the file and sets the destruction date. Of course, a situation may arise during the retention period that changes the date.
If so, the law firm should have a system in place that identifies when the destruction date changes. Base destruction dates on legal, professional, and ethical standards first. Economic and practical matters are second.
Each client file should be individually assessed. As noted earlier, there is no single retention period that works for every client. Store a closed file onsite at the law firm or in another location. Either way, maintain confidentiality and security. Encrypt files stored electronically. Have a backup system in place to protect against loss or damage. It's important that documents and related information are accessible during the retention period. As time passes, update older electronic formats to new formats.
When the retention period ends review the client files once more. The best person to review the files is the primary lawyer. If that's not possible, have another lawyer review the files before destruction. Determine if files destruction should continue as planned.
If something changed, assess the situation and set a new destruction date. If the firm has files set for permanent retention, review them every 10 years. Study each individual case to decide if destruction can take place. The promise to keep client matter confidential is ongoing.
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.
This includes paper documents, electronic documents, and any metadata related to electronic information. Although we retain certain documents for a few years after closing a file, and some electronically stored records may be retained indefinitely, others may be removed from the file and destroyed at an earlier time. Accordingly, if you wish to obtain copies, please advise us promptly at the conclusion of your case. In homage to Mr. Murphy, you'll want to store these records for more than "a few years.
Even when you do, it's important to review each file to identify any documents you may wish to hold onto even longer. Unfortunately, every closed case leaves a legacy of paperwork for which we will never be compensated, and storage costs we will never recoup.
But this is the cost of doing business as a private practitioner. The Dreaded Overdraft. Poor Prognosis for Juris Doctor.
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Join a Section. The Washington State Bar Foundation. Search Box. Is This Guide for Me? The Scope of the Client File. Who Owns the Client File? Your Professional Obligations. Timelines for Document Retention. Best Practices for Client File Retention.
Additional Resources. Learning Objectives This resource will cover the following topics: Your professional obligations for document retention The scope of the client file and property of the client Suggested best practices for document retention Is This Guide for Me? What It Involves: Document retention is the process you have in place to organize, store,and securely destroy files in your practice.
This guide focuses specifically on client files. What Could Go Wrong: If you do not have a system in place for document retention, you might waste time and money to store documents that you no longer need.
You're Vulnerable If: Your engagement agreement does not give clients notice of your document retention policy or the charges for copies of client records. You do not store or destroy files securely.
You do not have a file closure process. What You Can Do: Design a document retention policy and notify your clients in writing. Provide the client file to the client when requested. Create reliable backups of your information. Maintain an index of all client files and dates they are destroyed. Back to Top.
Resource: Timeline of Dates for File Retention. Timelines for File Retention pdf. In designing and implementing a document retention policy, you need to consider the following: the nature of your work and any variance amongst different practice areas in your portfolio; the type of documents typically generated as a result of representation; and the style and preferences of your clients.
Resource: Checklist for a Document Retention Policy. Checklist for a Document Retention Policy docx. Resource: Example Closing Letter to Client.
Closing Letter to Client docx. Inform the Client of Your Policy and Remind Them Again Your client should be aware of your document retention policy, including the process for requesting a copy of their file. From a client service perspective, a good provision will include: the timeline for document retention storage and destruction , the process for a client to request a copy of their file before that timeline concludes, and a reminder to the client that your policy is not to keep originals after the conclusion of representation.
Resource: Example Document Retention Provision. Document Retention Provision docx. Use Adequate Cybersecurity Practices The following is a brief summary of the considerations for managing documents securely in an electronic environment. Encrypt and Backup : Encrypt your hard drive and use an encrypted, cloud-based service for document backup.
Employees should not save files to their desktop, and they should not download firm documents or email to their personal devices including mobile phones without prior approval. Two-Factor : Implement two-factor authentication for all firm accounts banking, web-based applications, etc.
Any phone with access to email or other firm information should be password-protected and capable of remote wipe. For highly-sensitive documents medical records, tax, etc. Resist Phishing : Do not accept electronic files that you are not expecting even if they come from a known recipient. Do not open a link you receive by email without inspecting it, first. Some Things You Should Keep Forever Even after a particular file has reached the end of the document retention period, there are still some things you need to retain after the client file is securely destroyed.
File Closure Tracking Spreadsheet xlsx. TL;DR 8. Can I take client files with me? What if I am contacted by an attorney that now represents my client? Should I sent the attorney the client file? Do I have to keep hard copies when I close a client file? If a client requests their file, do I have to give them my notes, drafts, and other work product? With that said, you are not expected to provide: Drafts of legal papers; Duplicate copies; Copies of research material; and Your personal notes containing subjective impressions.
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