what kind of documents should an attorney save in a closed file

Important papers to save forever include: Birth certificates Social Security cards Marriage certificates Adoption papers

Full Answer

Can a lawyer keep client documents in a file?

 · This includes paper documents, electronic documents, and any metadata related to electronic information.Keep a Record of DestructionAll law firms should maintain a record of every file destroyed or returned to the client.

Where do lawyers store their closed paper files?

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 …

What should a lawyer do before closing a file?

Traditionally, lawyers put their closed paper files in filing cabinets and store them in their office. When the cabinets are full, they move the files to a storage facility or the basement of the office building. The files stay there until destruction time, which is usually 10 years. See our File Retention and Destruction Guidelines here. As the years go by, lawyers end up with so many …

What kind of records do you need to preserve as a lawyer?

 · Files should be closed only after the final action has been completed in the case and the final bill has been paid in full. A closing file memo is a great idea. This will provide a quick summary of your involvement in the case. It creates a permanent record of your representation. The briefer the better.

What is closing files in a law firm?

Closing a client file is pretty simple. You just have to gather everything into one place, notify your client of the end of the representation, and archive the file.

What kinds of files do law firms maintain?

Law firms generate and maintain huge volumes of records. Most legal records are legal case files called "matters." Litigation work is the most prolific of all legal files, and it is not uncommon for a single matter to generate several boxes of files.

What is the best way to organize legal documents?

Keep reading to find out everything you need to know to stay organized.Start by Evaluating Your Current Organization System. ... Declutter Your Working Space. ... Create a Keep or Throw-Away Box. ... Separate Legal Documents by Type. ... Use Alphabetical or Chronological Order. ... Organize the Filing Space. ... Label Your Files.More items...•

What are some important considerations when closing a case file?

All professionals should maintain a consistent and carefully considered practice for closing files. Don't rush to send the file to the shredder....Some tips include:Promptly close files. ... Check the box. ... Get paid. ... Get the memo. ... Sign off. ... Keep tabs. ... Remember the client. ... Go paperless.More items...•

What are the five 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.

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” ...

Where do you store legal documents?

Most banks or credit unions offer safe deposit boxes. Some banks will offer a discount if you're a current customer as well. A safe deposit box is perfect for storing original documents, like birth certificates, wills, social security information, annual tax returns, and power of attorney.

How do you organize a legal 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.

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...•

What does a closed file mean?

n. A file containing records generated by a process that has been completed and to which additional information is not likely to be added; a cut-off file. A file to which access is not allowed.

How do you close a legal document?

The following options are all good ways to close a formal letter:All the best.Best regards.Best wishes.Best.My best.Regards.Respectfully.Respectfully yours.More items...•

How do you close a law file?

Here is a list of the essential steps to take when closing a client file:Make sure the file is complete. ... Cull the file. ... Copy precedents. ... Return client property. ... Address funds remaining in trust and any outstanding accounts. ... Ensure that all obligations are fulfilled. ... Communicate with your client.More items...•

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.

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 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 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 ethical obligation of a lawyer?

A lawyer has an ethical obligation to care for a client’s property as a careful and prudent owner would when dealing with like property and must observe all relevant rules and law about the preservation of a client’s property entrusted to the lawyer.

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.

A Better Way to Store Your Closed Files

The PLF gets frequent calls from lawyers asking about best practices for dealing with closed files. Traditionally, lawyers put their closed paper files in filing cabinets and store them in their office. When the cabinets are full, they move the files to a storage facility or the basement of the office building.

Is there a better way?

If you do not want to store boxes and filing cabinets of old paper files, start converting them to electronic files. Promptly scan your paper when the matter is completed. You will save on storage and labor costs, and it’s easier to retrieve or access electronic files than paper files.

What about really old files?

You may have many years’ worth of old files still waiting to be shredded at the end of the 10-year mark. Should you scan those files? It’s really up to you. If you have the time, motivation, and resources to scan them, start with the most recent closed files first and work your way backward.

What is a closing memo?

A closing file memo is a great idea. This will provide a quick summary of your involvement in the case. It creates a permanent record of your representation. The briefer the better. This information might well be captured sufficiently on your file label.

How to reduce duplicate paperwork?

Strip the file of unnecessary or duplicate paperwork. Pruning copies, tabs, paper clips, binders and the like can reduce the file by 10-30 percent.

Do you have to bear the copying cost?

If you want to make a copy of the file, you must bear the copying cost.

What to do when closing a file?

Promptly. One of the important things you will do as part of closing a file is formally terminating the representation. The longer you wait, the greater the chance the—technically—open and ongoing attorney-client relationship leads to a misunderstanding. The risk may be small (or great, depending on the client), but you can head it off entirely by closing your files and notifying the client promptly when your work is done.

How to close client files?

Closing a client file is pretty simple. You just have to gather everything into one place, notify your client of the end of the representation, and archive the file. There is a bit more to it, of course, but a checklist can help you follow the same procedure every time and get valuable feedback from your client.

Is a file scattered all over the practice?

No matter how hard you try, The File is probably scattered all over the practice. Even in well-organized practices, emails need to be gathered from multiple users, original documents need to be reconciled with scans, statements need to be generated and added, etc. It is possible to minimize the extent to which the file is scattered, but your file-closing procedures will probably involve more than just moving a folder from one file cabinet to another.

Can you use a checklist in a practice management software?

You can use a paper checklist, but it is more effective to use practice management software that lets you use task-list templates to ensure consistency. Lawyerist is home to the largest online community of solo and small-firm lawyers in the world.

Does gathering a file take long?

Gathering The File does not need to take long, but you should have a procedure for doing it. If you have a clear paperless workflow, it will be easier than if you have to scan piles of documents before you can close the file.

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 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?

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:

Do you need to reinvent the wheel when drafting a document retention/destruction 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.

Does malpractice insurance look favorably upon firms with file retention policies?

Besides, your malpractice insurance company looks favorably upon firms with file retention policies. It is well worth having a policy, just for a chance of a reduced premium.

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.

How long do trust accounts need to be retained in Washington?

There is no Washington rule on file retention except that trust account records must be retained for at least seven years. RPC 1.15B. Picking a retention schedule is up to the professional considerations of each attorney or firm.

How long can you keep a will in Illinois?

In a recent advisory opinion, the Illinois State Bar Association canvassed several other states and suggested seven years is a reasonable “default” retention period for ordinary closed files. However, documents of independent legal significance, like original deeds or wills, must be returned to the client, filed with the court, or retained indefinitely.

Can client files be converted to electronic format?

Client files may be converted to electronic format as long as documents with intrinsic value are not destroyed without client permission. Read WSBA’s Advisory Opinion 2023 for more information.

How long do you have to keep closed files?

First, as mentioned above, DR 9-102 (D) requires you to keep certain bookkeeping records for seven years. Second, in 1996 the statute of limitations for legal malpractice actions in New York was shortened to three years. Third, there is no statute of limitations at all for disciplinary charges in New York (though proposals for a statute of limitations are now circulating).

How long do lawyers keep records?

Code duty. Disciplinary Rule 9-102 (D) of the Code of Professional Responsibility requires lawyers to keep certain documents for “seven years after the events which they record…” These records include such things as trust account records, copies of all retainer and compensation agreements, bills to clients, and records of payments to investigators outside the firm.

How long should I keep a DR 9-102?

With this in mind, I suggest that you keep the entire file in every case for at least three years; keep required DR 9-102 (D) documents for at least seven years; keep files from unusual cases or angry clients for 10 years; keep “DINS papers” until they no longer have any value (which may be many years); and keep basic information about prior engagements forever. Under this system, you will neither destroy papers you ought to preserve nor overwhelm your storage space with papers you may ethically destroy.

What are the four categories of files?

Every file contains four categories of items: (1) items you must keep to comply with the Code of Professional Responsibility: (2) items you must keep to fulfill your fiduciary’s duties to your clients; (3) items you need to enable you to check for conflicts of interest that may arise in the future: and (4) items you may wish to keep to protect yourself and your firm in case you are later charged with wrongdoing. Let’s look at each category.

Do clients have to destroy files?

Files belong to clients, not to lawyers. A client who has paid a lawyer’s bill is entitled to the lawyer’s “entire file” except for certain internal law firm documents. Sage Realty Corp. v. Proskauer Rose Goetz & Mendelsohn [97 N.Y. Int. 0208 (12/2/1997)]. Before you destroy any file, therefore, you must offer it to your client.

What happens if you destroy evidence?

To do that, you’ll need evidence of what you did and why, probably including your notes, memos to the file, and drafts of papers. On the other hand, if you destroy evidence showing that you have committed legal malpractice or other wrongs, you could be liable for “spoliation of evidence,” a tort recently discussed in Kirkland v. New York City Housing Authority [1997 N.Y. App. Div. LEXIS 13334 (1st Dept. 12/23/1997)]. There the court dismissed a third party complaint to punish the third party plaintiff for destroying key evidence. The court stated (with citations omitted):

Do you have to shredded a witness statement?

Opinion letters, factual summaries, witness statements, and other sensitive papers should be shredded before they are discarded. On the other hand, public documents such as pleadings, legal research, and documents filed with the court may not need to be shredded.

What is a file retention policy?

A file retention policy can provide direction to firm members on what the firm’s standard file retention period is and help lawyers identify the files that should be kept for a longer period of time. A good starting point for trying to answer the question on how long to keep closed files is LAWPRO’s data on how long claims take to surface (i.e., an allegation of malpractice is made or circumstances arise that make it appear as if a mistake might have been made).

Why is credibilty important in a lawyer?

Credibility is a critical factor for defending malpractice claims and LAWPRO finds claims are difficult to successfully defend if the lawyer has not made efforts to include written or electronic correspondence, notes on personal or phone conversations and other documentation in the file. Clients usually have very specific recollections of what was said or done, and lawyers frequently have little or no recollection of what happened on a specific file.

Do you have to keep all files permanently?

Certainly you don’t have to keep all files permanently – this just doesn’t make practical or economic sense. Nor is the solution as simple as a one-size-fits-all rule for when to destroy closed files (e.g., toss everything at 10 years). For many reasons, file retention and destruction is a complex issue. This article examines why and provides some direction on how long you should keep your closed files.

Who keeps closing documents?

But closing documents are typically kept by the closing agent or escrow officer. 1  This paperwork is separate from the paperwork associated with contract negotiations, and it will include financial and legal documents. 2 .

What is a document on the way to closing?

Documents on the Way to Closing. Addendums, amendments, or riders include anything that alters or amends the terms of your original purchase contract. These types of document might clarify the names on title or the spelling of the seller's or buyer's name. They might correct a street address.

How long do you keep a pest inspection certificate?

Not every state requires a pest inspection, but others, such as California, require that they be kept on file for two years. 5 .

What is escrow instructions?

Escrow instructions often supersede the purchase contract and spell out the financial terms and conditions of the agreement between buyers and sellers. They authorize an escrow agent to perform specific acts on behalf of the parties involved.

What is seller disclosure?

Seller disclosures include material facts about things like lead-based paint. They might include a transfer disclosure statement, and other written warranties, guarantees, or disclosures that the seller provides. These documents are often the basis for future lawsuits against sellers when they fail to disclose an issue that becomes apparent later. 4

What is a repair addendum?

A repair addendum specifies the particular type of work to be completed.

Can you save a realtor's documents on a computer?

Most documents are digitized in some form, especially those related to the transaction. Your realtor or transaction coordinator can probably offer you a safe download to store many of these documents safely on your computer or on a storage drive.