{"id":392,"date":"2019-03-13T06:04:38","date_gmt":"2019-03-13T06:04:38","guid":{"rendered":"http:\/\/localhost:8888\/altaprorpgoldsite\/?p=392"},"modified":"2024-01-24T11:56:01","modified_gmt":"2024-01-24T16:56:01","slug":"file-retention-and-destruction","status":"publish","type":"post","link":"https:\/\/altaprorpg.com\/case-management\/file-retention-and-destruction\/","title":{"rendered":"File Retention and Destruction"},"content":{"rendered":"

Executive Summary<\/h3>\n

Disposing of closed case files doesn\u2019t mean simply shredding them or tossing them in the dumpster. Your state ethics rules require you to maintain client files for a minimum period (typically five to seven years). Some files should be kept indefinitely. When you discard files, take preventive measures to avoid disclosure of confidential information.<\/p>\n

File Retention Policy<\/h3>\n

File retention begins by knowing how long to keep files after they\u2019ve been closed. The ABA suggests five years. Your state might say differently.<\/p>\n

Once you\u2019ve identified the applicable period, you should develop a File Retention Policy. An effective policy addresses different types of cases, as well as details like file pruning and recycling.<\/p>\n

\"\"<\/p>\n

Alta Pro Practice Pointers<\/h3>\n
    \n
  1. Research the Rules of Professional Conduct.<\/b> ABA Model Rule 1.15(a)<\/a>\u00a0says lawyers shall maintain records of client funds and other property for five years after representation ends. What is the rule in your state? Attach a copy of the rule to your File Retention Policy. Remember: these are minimum periods. Some files should be kept longer. Regardless, retain all files at least until the statute of limitations for legal malpractice has run \u2013 plus two additional years to be safe.<\/li>\n
  2. Retain some files longer than required<\/b>. Matters involving minors or incapacitated parties may need an extended retention period. The same goes for real estate and business files. Tax and financial records should be kept according to Internal Revenue Service standards. Other files \u2013 because of client requests or special requirements \u2013 should also be kept longer.<\/li>\n
  3. Go paperless<\/b>. Scan paper documents to create electronic copies. It will ease the storage burden and save time and money.<\/li>\n
  4. Identify the destruction date<\/b>. Write the date on the physical file. Enter it into your case management system. Organize closed files. Tell clients how long their files will be retained.<\/li>\n
  5. Give clients a copy<\/b>. If a client requests their file and is legally entitled to it, provide a copy. Check your state rules on charging them for copying. Retain your original file until the statute of limitations has run plus two years. If the client asks for their file and you still have it although the retention period has passed, turn it over. Don\u2019t destroy it. Lawyers have gotten into trouble for doing so.<\/li>\n
  6. Be careful with electronic data<\/b>. Consult an IT professional about disposing of information on hard drives and case management software. Some systems can be pre-programmed with a specific purge date. What about data stored in the cloud? Make sure you understand how digital data is retained, managed and deleted.<\/li>\n
  7. Shred paper files<\/b>. Consider using a vendor that specializes in document destruction. Do they understand the confidential rules unique to legal records? Does your state have a policy on recycling case material? Do your research before putting files in the recycling bin.<\/li>\n
  8. Have a written File Retention Policy<\/b>. Some points it should cover:\n