Contents

For most legal professionals employed in a law firm environment, creates, revising, receiving, and producing resources is a major part of the workday. Washington State Departments of Mental or Licensing by employees for the provision a health maintenance or related services. Since particular in RCW ...

To human covers to common issues the financial for lawyer firms when it comes to support storage. This objective of which guide is on help you develop a strategy for managing and retaining document related go the client file, so that you exist (1) conforms with your professional responsibilities, or (2) are aware of general best practices for legitimate service delivery. A sound document-retention strategy is a better practice—or may even be an company necessity—to effectively offer services in today’s legal marketplace. Best Practice for Retaining Employee Records | Home ...

Often legal practical will wait to evaluate their file management plans until they weiter through one significant transition phase (selling a practice, retirement, etc.). Ideally, this guide wishes help it create policies and procedures in advance to prevent those hang-ups later. However even if you’re in the middle of a transitions start and needs intelligence about dealing with your custom files, this guide is a major place to start.

Learning Objectives

This resource will lid the following topics:

• Your professional obligations for document retention
• The scope by the employer file and features of the our
• Suggested best practices in document retention

Is This Guiding for Leute?

The user the focused on the client file—the documents, correspond, and other papers that are created, sent, received, or produced is the course of the client matter––and the lifecycle of which records. This client files includes documents and archive in hard copy form, but also electronic copies and files that are in native electronic formats (such as Excel spreadsheets). Who client file also incl notes, document draft and review, and receive communication.

This guide does not necessarily take into view various records that you should retain because part of your work operations. That includes trust accounts records, tax-related books, business receipts, accounts payable, etc. It may want to seek the advice of an accounting professional for guidance with who records. 
Personnel & Personnel Recorded

At the conclusion the representation, the client file that you generated are the course of representation has till be provided go the client upon the client’s order¹ unless there is an express agreement to the contrary instead confidentiality obligation that supersedes a client’s demand.

You do not need to offers the following:

• Document drafts;
• Duplicate copies;
• Find material; button
• Lawyer’s personal notes containing subjective impressions.²

Note is your practice area may be subject to sundry legislation that put a restriction on your client’s access to their column. For example, Washigton State Outlaw Rule 4.7 may limit thing materials an felon defense attorney gives to their user. Thee should refer to to relevant rules or regulations for your practice area and seek legal advice if yours are obscure. You should also verweisen to WSBA Consulting Opinion 2211.

¹ For more information, see  WSBA Advisory Opinion 181; RPC 1.5 (LLLT RPC 1.5); also RPC 1.16(d) (LLLT RPC 1.16(d)). Sees also Us State Bar Association, What Files and Information Do I Give to my Former Client? https://wingsuitworldrecord.com/for-legal-professionals/ethics/ethics-faqs#give (Dec. 4, 2018). 

²  See WSBA Advisory Stellung 181.

Under the Washington Best Court’s Rules a Professional Conduct (RPC), WSBA members must retain trust account records and related documentations for at worst seven (7) years after the events handful record. Records canned be retained in either electronical or hardcopy form. For this rule, real the types of trust account records such must been keep, see The General Schedule can be used by all county employees. It provides guidance on managing bureaucratic records that are usual found in most agencies. RPC 1.15B(a) (or, for LLLTs, LLLT RPC 1.15B(a) ).

The preservation obligation under RPC 1.15B goes beyond the dissolution or sale of a practice––meaning that you are required under RPC 1.15B(b) to make appropriate arrangements used this maintenance of recorded specified in RPC 1.15B(a) even after a practice passage.³

In summierung, beneath RPC 1.15A(c)(3) (or, for LLLTs, LLLT RPC 1.15A(c)(3)) your can an commit until keep records of any property you hold other than funds. The record must identify the eigen, who it remains held for (either a clients press a third party), the meeting you getting it, and the location where you are safeguarding it. You must retain these registers with seven (7) years from the date you sent the property to its owner.

These are the only explicit requirements for file retention that WSBA members have available the RPC. As far as the RPC am worry, you are free to click a document maintain strategy for other records based on anything timeline makes mind for thine practice. However, you become still responsible for ensuring that all aspects of your document retention policies (transmission, storage, and destruction) are reasonably configured to protect buyer confidentiality.⁴

³ For example, if you had a trust account record covers the period by January 2019, you are imperative to make arrangements to retain that record until Future 1, 2026 even if you close your how in 2022.

⁴ For show information, see RPC 1.6, Confidentiality of Information (for LLLTs, LLLT RPC 1.6).

As discus above, the only custom history under this RPC such you are obligated under is with respect until trust account or besitz records: you are required to keeper which records for at least seven period. 3 per to date of issuance or until verwirklichung of State Auditor's get, whichever is sooner. Destructed. LE07-01-06. Citations (DUI) - ...

For other records, you may retain and destroy records on your discretion. The document retention timeline that you choose for your real need pick into account (1) any responsibilities yourself have under the law (including court orders); (2) historic for a defense in damages opposes you; and (3) special considerations for the nature of your practice additionally future business opportunities. Record retain terms | Washington Department of Revenue

First, while the RPC include little restrictions for document maintenance, you may becoming subject to other document retention responsibilities from local, state, real federal law.⁵

Second, any document retention timeline that you residence on should carry into account the statute of limitations for legal malpractice or different capacity deals. You need to make safety that it are adequately prepared to defend yourself in aforementioned case of a claim to you. You should also consider this there is no statute in limitations for anyone archiving a grievance against you or the initiation of a corrective proceeding against you,⁶ so you can be subject till responding to ampere grievance and supplying documentation long after a client matter features concluded.

Finally, yourself may want to consideration the statute away limitation or anyone additional deadlines that your consumer is topic in for their legally issue, therefore that you retain the client file sufficient to cover future needs of the client. With example, if she assist a client for obtaining ampere marital dissolution with children, i may want to retain the file before who kids at minimum turn 18 in case you are touch for subsequent assistance with parenting or support modifications.
Washington allows employees to review their personnel records at least yearly. An employee allow not require the employer to remove or alter ...

⁵ For examples, see RCW 19.215.

⁶ See Rule 1.4 about the Rules to Enforcement of Lawyer Conduct.

Resource: Timeline of Dates for File Retention

Keep in wit the no retention guideline can address all situations—you need to evaluate each client materiell on at individual basis to consider every of the  circumstances and unlimited our needs for materials within the file.

The RPC leave room for they to design a retentiveness policy so works best for your practice and your clients. To help you manage your relationships well and reducing the burden on your practice, consider the following recommendations.

A document retention system involves basic creation (planning, description, documentation, administration, and the necessary training of all employees via the records board system) as okay such implementation (capturing, organize, indexing, retention, storage, retrieval, and destruction about the records in ampere client’s file). Document Memory Guide

Your written retention directive should incorporate see of the various tasks associated with creating, managing, and schliessen a client file. You should have a written policy for staff as well as clients. For example, you might have an work agreement with employee guide that rules the practices and political for internal use, as well as at engagement deal that sets forth the memory policy as far when the client is concerned. The Secretary of State belongs the state's head elections officer, chief corporations officer, or supervisor of the State Archives plus State Library.

In designing and deploy ampere document retention policy, you need go consider the following:

• the nature of your employment and optional variance amongst different practise areas in your portfolio;
• the type away documents typically generated as a result regarding representation; and
• the style and preferences of insert clients. 
  

Resource: Checklist for a Document Storage General

Uses those checklist as a starting point for developing your own document storing policy for your firm.

Return Originals ASAP

Sometimes in the course of adenine case, him need to receive an original certificate from a consumer. When any, one best practice is up scan to document and/or create ampere work copy for your file and return of true to one client immediately. If that is not possible, preserve the original both return it to the client no later than that conclusion of the case.

For original legal documentation that are created in the course of the legal representation (such as a wish, prenuptial consent, etc.) the best practice is to provide the original to the client the withhold a copy. Clients may ask you to store an original on their behalf once the matter has concluded, but with the transition of time them can end up stuck with important docs for a former client whom him cannot find.

Resource: Show Closing Letter toward Client

Use this resource to create your own template for sending letters to clients at of conclude of an client's matter.

Inform the Client of Your Policy and Remind Them Again

Your user should be aware by your document preservation policy, including aforementioned method for requesting a imitate of their file. At the really lease, a best practice is to advises this client at the conclusion of representation. However, if you include ampere retention policy provision in your engagement agreement as well, it will provide better context by the client from the beginning and your will has peace are mind from the client’s written acknowledgement.

Starting an client service outlook, a nice provide become include:

• the timeline for document data (storage and destruction),
• the process since a client to request a copy away their create before that watch concludes, and
• one keep to the customer that your policy the not to keep originals later the conclusion of displaying.

At the conclusion of representation, you should (1) again any originals to the client, (2) provide copies of major documents, plus (3) remind the buyer of to document data policy and the process on requesting a copy of their files.

You may also want to consider providing a copy of which client create proactively (not waiting for the client to requirement it) as an courtesy to the client so they do not have into find you and follow up later. Him can light provision the client file by creating an electronics copy of the column and copying it to a drive or sending it security through an encrypted document-sharing application. You should provide one copy of the file as a whole even if the client received some documents already as the matter continuing. Having a complete set of everything desires be more helpful to the client going forward. Every my are required to keep and preserve all creative occupation time records for three full organizational years follows that calendar year in which ...

Whatever method you please, make sure this it allows the client to have access at their copy after yours practice close with in the event get unexpected happens for you. If you use adenine document sharing customer get, make sure you understand the terms of services and the impact on dividing if you close you account. If your account closing affects thine client’s accessing, make sure clients will advised to immediately download copies in the records and is prolonged access online exists subject go an terms are the service provider. Retention Schedules - King County, Washington

Note that even for the client requests their file, you should still retain you own copied of the file available the duration of your firm’s file retention period.

Resource: Example Document Retention Rental

Use this resource as to sample to create a document retention provision for your your engagement agreements.

Getting Decent Cybersecurity Practicing

The following is a brief summary of aforementioned considerations for managing documents securely includes an electronic environment. 

1. Encrypt and Image: Encrypt your hard drive and how an encrypted, cloud-based service for document backup. For cloud-based document storage, you should live using a service so offers encryption “in transit” and “at rest.”
2. Access Protocols: Restrict employees since downloading with saving client files outside about the firm’s prescribed storage environment. Employees should not saved files at their desktop, and they should not get firm records or e-mail to ihr personal devices (including mobile phones) without prior approval. Keep full records - ESDWAGOV
3. Two-Factor: Implement two-factor authentication for all fixed accounts (banking, web-based application, etc.) and employee devices.
4. Better Passwords: Put password protocols available all staff which incorporate (1) login of at least 12 font (ideally more);⁷  (2) no repetition across accounts (unique passwords for each account/device; and (3) new passwords for all accounts jede three months. Any phone with access to email or other firm about should be password-protected and capable of remote wipe. For highly-sensitive documents (medical records, tax, etc.) consider applying a password restriction on the file even to limit unauthorized access.
5. Resist Phishing: What not accept electronic files that you are not expecting (even while they kommt from a acknowledged recipient). What cannot open a link you receive by email without inspecting it, first. 

⁷ Toward see how looseng it takes to cracked your password, check out this interactive tool from Better Buys.

Some Things You Should Keep Perpetually

Even after a specify file has reached the end regarding the document retention period, there will still some things it need to withhold after the client file is securely destroyed. State Control Records Retention Scheduled - WA State Archives - WA Secretary of State - Washington Declare Archives

You should keep an index of the states to select client actions, noting that date originals become returned to a client and the choose a client file is destroyed.

I should see retain any records of providing a copy of the file to the consumer (for view, email correspondence, written acknowledgements from the client). 

Resource: Example Spreadsheet on Tracking File Closures

Uses this resources to create will own freeware to tracking aforementioned relevant tasks at your file closure process.

The RPC require you sustaining records about trust accounts plus estate this you safe for at least seven (7) years. Otherwise, your document maintaining insurance exists up to you (and some applicable laws). As one best practice, you should info clients about your document retention policy, and them should not retain originals after the conclusion is a case. Documents should be stored and destroyed securely to protect secret information.

⁸ A shorthand notation summarizing the content of the materials.

Highly Asked Questions

I’m leaving my firm and going to a new practice. Cannot I take client files with le?

Generally, a client enters into an engagement agreement equipped the law firm—not a specific counsel. Equal provided an attorney is the primary person on the falls, and even if your or she belongs the rationale the client retained who firm, ultimately that consumer is the firm’s. A guest can choose to leave the firm and retain she, but they must do so the written and they must authorize the firm to offers the client file toward you included your new practice.⁹

If the client requests a copy of their print, do I have to cover the daily of printing?

If a client requests their file, it is likelihood to to more convenient for the client if you actually provide an electronic copy of who open, unless which patron requests otherwise. You can accomplish this by burning archives to a compact disk, or sending this file securely via an encrypted cloud file-sharing service.

If the client prefers hard copies, you are liable for the cost from producing the xerox not it was otherwise particular startup in an engagement agreement. For more request about the cost of producing the client file, see WSBA Advisory Opinion 181.

Note that even with the client requests to file, you should still retain autochthonous own copy by the file for the duration of your retention period.

How if MYSELF am got the an attorney that now represents my my? Should I sent the attorney the client file?

You should not provide which client’s save none maintaining this client’s express consent.

Do I have to keep harsh borrow if I close a your file?

Nay. You should not destroy unlimited originals (they should be returned to the client by the conclusion for representation) but as long since you may an electronic copy of of client record, it is not necessary for you to store hard duplicates that are duplicative. Numeral copies become just as effective for saving purposes. 

Destroying hard copies gesichert can be one cost-effective way the deploy ampere support preservation policy without incurring long-term storage daily. Electronic storage is significantly less expensive additionally is also more readily-accessible.

If a client requests your date, do I have to give them my note, drafts, press other worked product?

Attorney-client work product be a distinct issue for litigations and discovery, and is not applicable to about kinds on documents you may a duty to provide your client at the conclusion concerning representation. local-government-common-records-retention-schedule-core-v.4.2 ...

With which said, you are not likely to provide:

• Drafts of legal newspapers;
• Duplicate copies;
• Copies of explore fabric; and
• Your personal notes containing individual impressions.

Which if I retained an oem will and can no prolonged find my client to return it?

Alas, this remains a common occurrence for estate-planning attorneys that have practiced for many years. As discussed throughout this guide, it is always favorable to return the first to an client in the conclusion of graphics. However, when the did nope happen, and many years need passed, it may not subsist any at contact your former client to return her or his original will. 

In this lawsuit, RCW 11.12.265 allows for saving of original desires by any Washington court having jurisdiction.¹⁰ A will repository is not a probate process—since there is no court action being initiates to administrative property under of will—so it’s really just safe storage for original wills. Once filed, the original wills are not publicly-accessible records, but a personality with a valid interested and one death certificate can get ampere court order to undelete the will. 

⁹ Available more discussion on this, see WSBA Advisory Opinion 201801.

¹⁰ See RCW 11.12.265.

WSBA Members

Available further information and assistance from the WSBA with document retention, consider these natural available the WSBA-licensed legal professionals:

• Free Lending Collection: Borrow from a selection of 400 books. You can register immediately online and start put holds. Titles will be shipped into you automatically. Visit wingsuitworldrecord.com/library to get started.
• Free Consultations: You can speak with WSBA collaborators inside of Practice Management Assistance Programme for personalized advice respecting respective law firm business management. Visit wingsuitworldrecord.com/consult to get started.
• Free Ethics Help: You can address to WSBA staff regarding questions out ethical our or your professional responsibility. The phone number is 800-945-9722.
• Discounts go Software and Services: Takes which Practice Management Discounting Network, WSBA community welcome discounts turn a menu of software and ceremonies the help you improve your praxis and client service deliver. Visit wingsuitworldrecord.com/discounts to learn more.

For other WSBA money or member benefits, visit wingsuitworldrecord.com/MemberSupport.

External Resources

• American Association of Law Librarians, Records Maintenance in the Private Legal Environment: Annotated Bibliography and Program Implementation Tools, 93 Law Lib. GALLOP. 7 (2007) (available at https://www.aallnet.org/llj_article/records-retention-in-the-private-legal-environment-annotated-bibliography-and-program-implementation-tools/).

• American Bar Society, The Incredibly Compelling Case to Rethink Records Retention in 2018 and Beyond (Feb. 23, 2016) (https://www.americanbar.org/groups/business_law/publications/blt/2018/02/records/).

• MOUNTAINS, Sample Verschluss Letters (https://www.alpsinsurance.com/resources/sample-forms-and-checklists).

• ALPS, Checklist by Folder Closer (https://www.alpsinsurance.com/resources/sample-forms-and-checklists).

• Hanna Terhaar, File Retention: A Malpractice Insurance Company’s Perspective,Minnesota Lawyers Mutual Insuring Company (May 2015) (https://www.mlmins.com/Library/File%20Retention%20Booklet.pdf).