File/Records Management, Retention, Destruction

Management

• In addition to the Colorado materials, here are some links to other online records management resources followed by a brief description of the resource:
  • http://lawyersusaonline.com/blog/2009/07/28/closing-the-clients-file/ - This link is for a blog on Lawyers USA. It discusses closing old clients’ files, specifically paper files stored in banker’s boxes. Like the ABA article, it outlines a procedured for closing files and destroying documents.
  • http://www.abanet.org/tech/ltrc/fyidocs/rm.html - This ABA article is under the Legal Technology Resource Center page on the ABA website. It gives a brief summary of records Management strategy and provides additional links for RM strategy guidance.
  • http://tinyurl.com/db6tna - This link goes to a sample office file retention/destruction strategy plan provided by a law firm service company. It is in PDF format and can be used to help lawyers create their own DRP policies.
  • http://www.michbar.org/pmrc/articles/0000104.pdf - This is a link to a very brief closed file checklist from the Michigan state bar.
  • Association of Records Managers and Administrators - ARMA International is a not-for-profit association and the leader in education and training for records and information management professionals.
• Sample Forms
  • Document Receipt Form for the client to sign when you turn the file over to him/her
• Formal Ethics Opinions
  • Formal Ethics Opinion 104: Surrender of Papers to the Client Upon Termination of the Representation, Adopted April 17, 1999
  • Formal Ethics Opinion 116: Ethical Considerations in the Dissolution of a Law Firm or a Lawyer's Departure From a Law Firm, Adopted March 17, 2007. See E. Client Files in this Opinion.

Retention

• Understanding File Retention:  Developing an Ethical Policy and Plan -- Part I, by Raymond P. Micklewright, The Colorado Lawyer, October 2001, Vol. 30, No. 10, p. 147
• Understanding File Retention:  Developing an Ethical Policy and Plan -- Part II, by Raymond P. Micklewright, The Colorado Lawyer, November 2001, Vol. 30, No. 11, p. 77
• New Rule on Retaining Client Files--How to Avoid Potential Pitfalls by Nancy L. Cohen, The Colorado Lawyer, June 2012, Vol. 41, No. 6, p. 69
• New Colorado Rules on Retention of Client Files by Michael A. Kirtland and John M. Lebsack, The Colorado Lawyer, August 2011, Vol. 40, No. 8, p. 85
• Retention and Destruction of Client Files in a Law Firm, by John C. Montaña, The Colorado Lawyer, April 1996
• File Retention and Technology by Larry C. Smith, Denver Bar Association's Tuesdays at the Bar, January 9, 2011
• Document Retention and Document Destruction FINPRO Focus, 2002, News from Marsh
• Records Retention for Client Files Maintained by An Attorney by Donald Skupsky, September 14, 2000

C.R.P.C. 1.15 requires lawyers to keep copies of financial records, retainer agreements, and client bills for seven years.
C.R.P.C. 1.16 (A) describes under what circumstances a lawyer must retain a client file and stipulates how long a file must be retained before it can be destroyed.

The Colorado Supreme Court Office of Attorney Regulation Counsel says, "A lawyer's duty of competent representation includes arranging to safeguard the clients' interests in the event of the lawyer's death, disability, impairment, or incapacity." Lawyers have the duty to plan ahead. The Office of Attorney Regulation Counsel has provided a Handbook and Forms: Planning Ahead: A Guide to Protecting Your Clients' Interests in the Event of Closing Your Practice, Your Disability or Death (One of Which is Inevitable). Portions courtesy of the Oregan State Bar Professional Liability Fund. This handbook contains helpful information on terminology, implementation, access to the trust account, client notification, and special considerations in case of death. There are three checklists and many sample forms, including fee agreements and engagement letters. This handbook is especially pertinent to a file retention policy. We recommend every attorney read this Handbook. To download the handbook in pdf format, click on the link in the Additional Info box on the right or the link above.

Destruction

• The Law Practice Management Tips, The Colorado Lawyer, June 2005 is a quick read on the Federal Trade Commission's Disposal Rule. More in-depth information is available through the Federal Trade Commission's Disposal Rule link.
• Coping with the Paper Avalance: A Survey on the Disposition of Client Files, by Doris B. Truhlar and Joseph N. de Raismes, The Colorado Lawyer, October 1987