Most attorneys elect to keep their client files forever, believing that this reflects their legal duty to protect client interests. Some believe that client files belong to the clients and can only be destroyed with permission of the clients.
The L.A. Country Bar Association [1], the American Bar Association [2], the New York State Bar Association [3] and other bar associations have issued ethical opinions related to the retention of client files by attorney. These opinions unanimously support the establishment of a records retention program and the ultimate destruction of client files.
The ethical opinions do not require an attorney to maintain client records in the first place. Yet, some opinions then attempt to establish duties and requirements related to the retention and destruction of the client files.
The entire file must be given to the client upon request. The lawyer may retain a copy of the file, and the lawyer may charge a reasonable fee for copying it. Personal property of the client, such as a will or a contract, must always be given to the client upon request. The lawyer does not have to turn over his personal notes or research.
Attorney-Client Privilege. A confidential communication between a client and an attorney for the purpose of seeking legal advice or representation is privileged.
five yearsThe five-year period is drawn by analogy to rule 4-100(B)(3), Rules of Professional Conduct, requiring that attorneys preserve for five years records and accountings of funds, securities, and other properties of clients coming into their possession.
five yearsUnder the DC Rules of Professional Responsibility, lawyers are required to retain a client's file for five years after a case closes. While in the past, volunteers have been responsible for retaining their own case files, DCVLP now has a secure, central electronic storage facility to retain case files.
The State of Georgia has no retention policy concerning client files, but does require that trust account, escrow account and IOLTA account records be retained for at least six (6) years. Most lawyers keep old, closed client files for their entire practice which can be decades.
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. However, for certain types of legal matters, you must keep the files even longer.
Some suggest keeping correspondence and working papers for seven years, and keeping a permanent file if needed. Other members say they keep all of their client records going back as far as two decades, by scanning documents and destroying paper copies after two years.
How long must a file be retained? Generally, a lawyer should maintain a copy of the client's file for a minimum of six (6) years from termination of the representation or conclusion of the matter.
five yearsMost jurisdictions have rules requiring the attorney to maintain records pertaining to their trust accounts and to other client "property" for a specified period after representation ends. For example, in Maryland and the District of Columbia, one must maintain such records for five years.
503 Lawyer-client privilege. Rule 503 Lawyer-client privilege. (a) Definitions. As used in this rule: (1) A "client" is a person, public officer, or corporation, association, or other organization or entity, either public or private, who is rendered professional legal services by a lawyer, or who consults a lawyer with a view to obtaining ...
As to a communication reflecting the client's intent to commit a criminal or fraudulent act that the lawyer reasonably believes is likely to result in death or substantial bodily harm, or in substantial injury to the financial interests or property of another; (3) Claimants through same deceased client.
Most attorneys elect to keep their client files forever, believing that this reflects their legal duty to protect client interests. Some believe that client files belong to the clients and can only be destroyed with permission of the clients. Because of doubt or inconvenience, the volume of records maintained by attorneys grows each year and ...
The Client File Belongs to the Attorney. Clients may have a right to the client file, under both under the Rules of Professional Conduct, contract law and property law, if the representation is terminated prior to the conclusion of the matter.
The Rules of Professional Conduct and bar association ethical opinions do not address any duties or requirements for maintaining the client files including form of records, content of files and filing methods. These issues are left totally to the professional judgment of the attorney.
The duty to client property prior to destruction. The duty to protect client confidences. The duty to maintain an index of destroyed files. The duty to notify clients prior to destruction. These duties would create significant additional work to attorneys desiring to destroy old client files.
If the work is completed and documents required by the agreement are provided to the client or other designated parties, the appropriate fee is to be paid. If the work is not completed, the client may bring legal action.
A lawyer should use care not to destroy or discard information that the client may need, has not previously been given to the client, and is not otherwise readily available to the client, and which the client may reasonably expect will be preserved by the lawyer.
The goal of the engagement is the litigation, settlement, preparation of legal document, obtaining legal advice, etc.
[6]When a question concerning the legal situation of a client arises at the instance of the client's financial auditor and the question is referred to the lawyer, the lawyer's response may be made in accordance with procedures recognized in the legal profession. See, e.g., American Bar Association Statement of Policy Regarding Lawyers' Responses to Auditors' Requests for Information, adopted in 1975.
This Rule urges all lawyers to provide a minimum of 50 hours of pro bono services annually. It is recognized that in some years a lawyer may render greater or fewer hours than the annual standard specified, but during the course of his or her legal career, each lawyer should render on average per year, the number of hours set forth in this Rule. Services can be performed in civil matters or in criminal or quasi-criminal matters for which there is no government obligation to provide funds for
[14]Agreements prospectively limiting a lawyer’s liability for malpractice are prohibited because they are likely to undermine competent and diligent representation. Also, many clients are unable to evaluate the desirability of making such an agreement before a dispute has arisen, particularly if they are then represented by the lawyer seeking the agreement. This paragraph does not, however, prohibit a lawyer from entering into an agreement with the client to arbitrate legal malpractice claims, provided such agreements are enforceable and the client is fully informed of the scope and effect of the agreement. Nor does this paragraph limit the ability of lawyers to practice in the form of a limited-liability entity, where permitted by law, provided that each lawyer remains personally liable to the client for his or her own conduct and the firm complies with any condition required by law, such as provisions requiring client notification or maintenance of adequate liability insurance. Nor does it prohibit an agreement in accordance with Rule 1.2 of these Rules that defines the scope of the representation, although a definition of scope that makes the obligations of representation illusory will amount to an attempt to limit liability.
As advisor, a lawyer provides a client with an informed understanding of the client's legal rights and obligations and explains their practical implications. As advocate, a lawyer zealously asserts the client's position under the Rules of the adversary system.
[7]In some circumstances, a lawyer may be justified in delaying transmission of information when the client would be likely to react imprudently to an immediate communication. A lawyer might withhold a psychiatric diagnosis of a client when the examining psychiatrist indicates that disclosure would harm the client. A lawyer may not withhold information to serve the lawyer's own interest or convenience or the interests or convenience of another person. Rules of court or court orders governing litigation may provide that information supplied to a lawyer may not be disclosed to the client. Rule 3.4 (e) directs compliance with such Rules or orders.
The Rules presuppose that disciplinary assessment of a lawyer's conduct will be made on the basis of the facts and circumstances as they existed at the time of the conduct in question and in recognition of the fact that a lawyer often has to act upon uncertain or incomplete evidence of the situation.
Preserving the right to a fair trial necessarily entails some curtailment of the information that may be disseminated about a party prior to trial, particularly where trial by jury is involved. If there were no such limits, the result would be the practical nullification of the protective effect of the rules of forensic decorum and the exclusionary rules of evidence. On the other hand, there are vital social interests served by the free dissemination of information about events having legal consequences and about legal proceedings themselves. The public has a right to know about threats to its safety and measures aimed at assuring its security. It also has a legitimate interest in the conduct of judicial proceedings, particularly in matters of general public concern. Furthermore, the subject matter of legal proceedings is often of direct significance in debate and deliberation over questions of public policy.
This dilemma raises complex questions of legal ethics, and due care must be taken to ensure compliance with applicable requirements in Washington, which in some ways differ from the requirements of the Model Rules of Professional Conduct. A careful review of Washington RPC 3.3, 1.6, and 1.16 is recommended.
Unclaimed funds result from either a balance left in the trust account for a client a lawyer can no longer locate or from outstanding checks that the lawyer is unable to reissue. Any unclaimed trust account funds must be handled according to the Uniform Unclaimed Property Act, RCW 63.29.
A lawyer may withdraw from representing a client if the withdrawal can be accomplished without material adverse effect on the interest of the client. RPC 1.16 (b) (1).
Washington’s RPC offer little specific guidance about the maintenance, storage, or destruction of client files. RPC 1.15A and 1.15B require lawyers to safeguard client property.
At the conclusion of a representation, the client file generated in the course of the representation must be turned over to the client at the client’s request. If the lawyer wishes to retain copies for the lawyer’s use, the copies must be made at the lawyer’s expense unless charges were specified in the lawyer-client fee agreement.
Lawyers can give their clients gifts, subject to some qualifications. Except for expenses of litigation, a lawyer shall not “advance or guarantee financial assistance to a client” if there is contemplated or pending litigation. RPC 1.8 (e).
How do you withdraw without telling the court why you need to do so? The golden ticket is to state that professional considerations require you to withdraw.
The lawyer does not have to turn over his personal notes or research. A lawyer must retain the file for seven years after the date the case was closed... 0 found this answer helpful. found this helpful.
In most states the Rules of Professional Conduct require under penalty of attorney discipline that the attorney return the clients "papers" upon request, and in a prompt manner. In fact, even if the attorney claims money is owed to the attorney by the client, his/her ethical duty is to return the file, not hold it for ransom until paid.