how long does an attorney have to keep client files in oregon

by Elva Schroeder Published 2 years ago Updated 1 year ago 6 min read

Oregon RPC 1.15-1(a) requires that lawyers safeguard client property and maintain “complete records of … funds and other property” for five years after termination of the representation. This rule is usually interpreted to apply to lawyers' obligations to maintain trust accounts and trust account ledgers.

How long does an attorney have to retain a client file?

Mar 13, 2017 · New Ethical Guidelines for Client Files. Posted on 03/13/2017. by beverlym. Last week the Oregon State Bar issued OSB Formal Opinion 2017-192, which supersedes OSB Formal Opinion 2005-125. This is the second opinion in the last six months to address the subject of client files. Opinion 192 provides answers to the following questions:

What is the Revised Statute of Oregon for records retention?

Attorneys are free to choose a longer or shorter term of retention of client files. Some permanent record should be maintained that describes the file and its disposition. The California Rules of Professional Conduct do not specify how long an attorney must retain a former client’s file. Specifically, Rule 3-700 (D) (1) does not set a minimum ...

How long should a law firm hold onto its records?

Oregon RPC 1.15-1 (a) requires that lawyers safeguard client property and maintain “complete records of …funds and other property” for five years after termination of the representation. This rule is usually interpreted to apply to lawyers’ obligations to maintain trust accounts and trust account ledgers.

What are an attorney’s obligations regarding closed client files?

Nov 27, 2019 · How Long Should You Retain Client Files? 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.

How long do lawyers have to keep their files?

ten full years

What are you required to keep? Law firms are required to keep all prescribed financial records for a minimum of ten full years, in a format that is retrievable on demand (Rule 119.35(1)). Only those parts of client files which are required to support the prescribed financial records must be retained (Rule 119.34(6)).

How long do client files need to be kept?

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.Nov 27, 2019

Are emails part of client file?

The client is entitled to documents that the lawyer filed, sent, or received in connection with the representation—e.g., pleadings, letters, e-mails, executed instruments, discovery or evidentiary exhibits, investigative and expert reports for which the client paid, and other materials “exposed to the public light” ...Mar 17, 2021

How long should a conveyancing file be kept?

Residential Conveyancing: Sale files should be retained for six years and 15 years for purchase files, although 12 years would be sufficient to cover most situations. Wills/Codicils: Files should be retained for six years after the testator has died and the estate has been wound up.Jan 9, 2019

What is a document retention policy?

A document retention policy is also referred to as a records retention policy, records and information management policy, recordkeeping policy, or records maintenance policy. It codifies an organization's expectations for how its data is handled, from creation to destruction.Jul 15, 2021

What is the purpose of law firm document retention and destruction policy?

A formal, written RMP provides clear direction to law firm staff about how records should be created and maintained, how long they should be kept, how they should be destroyed, and who should oversee the process.

Can you request your files from your lawyer?

Practical Aspects of Getting Your Files Back From Your Attorney. You can ask your lawyer to send the files directly to you or your new attorney, in which case the safest way to make the request is in writing, via letter or email.Apr 9, 2015

Can attorney ethically withhold the document until client pays the fee?

Rule 1.16(e), MRPC, does allow lawyers to withhold certain items that have not been paid for. But lawyers cannot keep documents that belong to the client and must be surrendered to the client, while awaiting payment for those documents.Oct 15, 2015

What is the client file?

Client File means the physical paper folder containing the physical documents related to the matter and/or the electronic folder or directory containing the electronic files, documents , data or information related to the matter (hereinafter referred to as “file”).6.

Who owns client records?

Usually the client owns documents: they sent to your firm, except where ownership was intended to pass to your firm. sent or received by your firm acting as the agent of the client.

How long do solicitors keep divorce files?

HM Courts and Tribunals Service has a record and retention policy, agreed by the President of the Family Division. The policy states that the contents of divorce files should be retained by the court for 18 years following the date of the final order.Sep 1, 2020

Do solicitors keep copies of old wills?

Yes. The Law Society has published a practice note on file retention of wills and probate. This states: An original will stored by you is the property of the client and after the client's death, it is the property of the estate.

How long do you have to keep a client's file in California?

The California Rules of Professional Conduct do not specify how long an attorney must retain a former client’s file. Specifically, Rule 3-700 (D) (1) does not set a minimum amount of time that an attorney must keep the former client’s file, nor does it explain when, if ever, particular items in the former client’s file may be discarded or destroyed.

How long should a civil attorney keep client records?

The Los Angeles County Bar Association concluded that a civil attorney should retain potentially significant papers and property in the former client’s file for at least five years analogous to Rule 4-100 (B) (3) of the California Rules of Professional Conduct, which requires an attorney to maintain all records of client funds and other properties that the client provided to the attorney for at least five years .

What happens if an attorney inspects a file?

If the attorney has reason to believe that the file contains items that are required by law to be retained or that the client will reasonably need to establish a right or a defense to a claim, the attorney should inspect the file for such items and should retain such items for the period required by law or according to the reasonably foreseeable needs of the client. The balance of the file may then be destroyed.

Is physical space necessary for client files?

Physical space may not be as great an issue in the digital age regarding the storage of client files, but the fact remains that the storage of client files is necessary for some time. But how long?

Can an attorney foresee the future utility of the information contained in a criminal case?

In criminal matters, the attorney cannot foresee the future utility of the information contained in the file. The Committee concludes, therefore, that it is incumbent on the attorney in a criminal matter to obtain some specific written instruction from the client authorizing the destruction of the file. Absent such written instruction, the attorney ...

Does California have a retention period?

Although California courts have not yet addressed the retention period, several bar associations within the state, including the State Bar of California, have provided non-binding guidance on this issue. As a threshold matter, these bar associations have recognized a distinction between civil and criminal cases for purposes of the retention period.

Can an attorney destroy a client's property?

If the attorney has no reason to believe that the items proposed to be destroyed include items required by law to be maintained or that would be reasonably necessary to the former client to establish a right or a defense to a claim, then if the former client cannot be located by any reasonable means, or fails to respond to the notice after a reasonable time, the attorney may destroy the items.

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.

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. ...

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?

Should we reframe our thinking about destroying documents?

If the storage cost is low, consider holding onto old files that may have potential use in the future.

Do you have to keep legal documents longer?

However, for certain types of legal matters, you must keep the files even longer. These include, among others, issues that deal with:

Who should be involved in drafting retention policy?

Drafting the retention policy and performing research should be a collaborative process between executive management, records management experts, attorneys, and the firm's IT department.

What is the Oregon Administrative Rule?

Oregon Revised Statute (ORS) 192 and Oregon Administrative Rule (OAR) 166 describe the authority and requirements related to the creation of records retention schedules for Oregon state and local governments.

Why do Oregon state and local governments keep records?

Some need to be kept long-term for legal, fiscal, administrative or historical reasons. Others may be disposed of quickly after their usefulness expires.

What is a record retention schedule?

Records retention schedules are lists and descriptions of public records. They include information about how long each type of records should be kept (retention period) and what should happen to it at the end of that period (disposition).

What is a general schedule in Oregon?

A general schedule applies to an entire group of state or local government entities. Thus, a city general schedule applies to the records of all cities in Oregon. The only exception is if a valid "special schedule" exists for a particular state or local government entity or an office or record within that entity.

Where to find records officer in Oregon?

Records officers are usually listed in the contact information for an agency in the Oregon Blue Book .

Who is the designated record officer?

In local government, the county clerk and city recorder are typically the designated records officers.

Is the National Archives and Records Administration scheduled?

No, federal records are scheduled by the National Archives and Records Administration (NARA).

What to do when a lawyer and client agree to retain client documents?

If a lawyer and client agree the lawyer retains the client documents, state it in writing. Spell out the specifics on the lawyer's responsibilities, storage, and retrieval fees.

What happens when a law firm closes 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.

Why is it important to keep client files concise and organized?

The important thing is to keep the client file concise and organized. Simplify file management and retrieval. If documents are in several locations create a single point of access.

How to store a closed file?

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.

Why is retention important?

Protection Against Malpractice Charges. One reason for retention is to protect the firm against allegations of malpractice. It's vital when the case documents are the only evidence available for defense against a claim. This can happen when information from other sources isn't available.

What is file retention?

File retention is a critical issue when a law firm merges, adds or loses partners, or closes. An established retention and destruction policy determines who handles the files.

What does it mean to not have records?

Not having records can mean a lack of evidence. Imagine appearing in open court to defend your firm without documentation. If you don't save records you risk penalties. Stay aware of federal, state, and local rules governing client record maintenance.

What to do if you think an Oregon lawyer violated a disciplinary rule?

If you think an Oregon lawyer has violated a disciplinary rule, you can file a written complaint with the Client Assistance Office. We will screen your inquiry to determine if there is sufficient basis to warrant further investigation. We may refer it to Disciplinary Counsel's Office for further review. The disciplinary rules are contained in the Oregon Rules of Professional Conduct.

How to file a complaint with OSB?

If you want to file a complaint, you must put your concerns in writing. No particular form is required. You may submit a complaint regarding an OSB Lawyer on our website. Please print if you handwrite a complaint. Include copies of any documents that are relevant to your complaint if you have them. Do not send originals unless we specifically ask; we will not return documents to you. Please note that all documents received by the bar are considered public records. Please only use one side of each page.

What is the OSB client security fund?

The OSB Client Security Fund may reimburse a client whose lawyer has misappropriated or stolen money or other property. The theft must have happened during the course of a lawyer-client relationship or while the lawyer was acting as a fiduciary in connection with the practice of law. Information about the Client Security Fund and forms in order to apply for reimbursement are available online or by contacting the office of OSB General Counsel at (503) 620-0222, ext. 334 or (800) 452-8624, ext. 334 (toll-free within Oregon).

How many members are there in the State Professional Responsibility Board?

The SPRB is composed of eight lawyers and two nonlawyer ("public") members. The SPRB can dismiss the complaint, admonish the lawyer, or authorize formal charges against the lawyer.

What is a disciplinary counsel?

Disciplinary Counsel's Office investigates all grievances referred by the Client Assistance Office. You and the lawyer may be asked to submit additional information or to respond to specific questions. Personal or telephone interviews may be conducted and staff may gather information from other sources. You should not expect your complaint to be decided solely on the basis of what you claim happened. (Nor should the lawyer expect that a matter will be decided based solely on the information the lawyer provides.) The final decision must depend upon the weight of all the available evidence.

What is the bar's client assistance office?

The bar's Client Assistance Office reviews all inquiries and complaints about lawyer conduct. Complaints that present sufficient evidence of a violation are referred to Disciplinary Counsel's Office. If the inquiry or complaint does not involve misconduct, the Client Assistance Office may be able to provide some assistance or a referral to another resource. Bar resources include the Fee Dispute Resolution Program, the Client Security Fund and the Professional Liability Fund. We may also refer you to public or community resources.

What to do if your lawyer is negligent?

If you think your lawyer might have been negligent in representing you, you should contact a lawyer who handles professional malpractice cases. All Oregon lawyers in the private practice of law whose principal office is in Oregon are required to have professional liability coverage.

Oregon Revised Statutes (ORS)

Oregon Revised Statutes (ORS) are laws enacted by the legislature to provide policy, mandates and permissive laws.

Oregon Administrative Rules (OARs)

The Oregon Administrative Rules (OARs) are an agency’s directives, standards, regulations or statements of general applicability that implement, interpret or prescribe law or policy or describe a procedure or practice requirement.

Code of Ethics

The 2014 American Counseling Association (ACA) Code of Ethics constitutes the required professional conduct of licensed professional counselors, licensed marriage and family therapists, and licensure applicants including registered interns.

Law & Rule Book

OBLPCT Statute & Rule Book - Includes Oregon Revised Statutes (ORS) 675.705 - 675.825 (Licensed Professional Counselors and Marriage and Family Therapists), Oregon Administrative Rules (OARs) Chapter 833 (OBLPCT), and the ACA Code of Ethics.