Lawyers and firms manage large amounts of documents, both paper and digital. The volume and complexity of managing records has only increased with the impact of technology.

Managing the records of a firm is critical. It starts with having a good records management plan that details the firm’s policies and procedures for managing and maintaining records for the entire life-cycle of all documents and data handled by the firm, from creation to final disposition. A crucial component of such an overall records management plan is the retention and destruction of closed client matters. What client files must a lawyer or firm keep and for how long are questions that have long plagued lawyers. In this e-learning program, we’ll focus on the management of records at the end of a client matter: the closing, storage and destruction of client files. Resources on building a records management plan are provided to your right.   

In this program, you will learn:

• The key elements of an effective file retention and destruction plan;
• Setting retention periods;
• Organizing and maintaining files in storage; and
• Proper file destruction procedures.

Important MCLE Notice: This Program was originally released as a PMBR (2020-2021) module. If you have previously viewed this Program as a PMBR (2020-2021) module and received a Certificate of Completion, you may only claim MCLE credit once for this Program within a 12-month period. The ARDC reports individual attorney attendance to the MCLE Board by the 5th of the month subsequent to the date of completion of the MCLE program (for example, September events will be reported by October 5).

Resources:
Sample Forms

• Sample Retainer Agreement Language (File Retention)
• Sample Case Filing Closing Form
• File Closing Checklist
• Sample File Destruction Notice Language
• Sample End-of-the-Engagement Letter Language

Articles

• Are You Getting File Retention Right? (Illinois Bar Journal, Nov. 2016)
• Saving Email for Record Retention (Catherine Sanders Reach, NCBA Center for Practice Management , April 16, 2019)

Ethics Opinions

• ISBA Opinions on Client Files:
  Op. 94-13–Discussing the categories of a lawyer’s investigative file, and whether a client may reasonably request and is entitled to receive the lawyer's investigative materials created in the course of the representation
  Op. 94-14–Ethical obligations and other considerations of returning client papers upon termination, including what a lawyer may retain at lawyer’s expense and what a lawyer may copy for client at client’s expense
  Op. 12-06–Discussing retention and destruction of financial records and case files
  Op. 16-06–Obligations when using cloud-based services
• ISBA Opinion on Confidentiality and Cloud Storage:
  Op. 10-01–Discussing a law firm’s ethical obligations regarding confidential information when using a third-party technology vendor