DOCUMENT MANAGEMENT

Ethics Opinions on Document Management

Ethics Opinion on Document Maintenance-Please note these ethics opinions were issued under the old Code of Professional Responsibility. See Correlation Chart for the New Rules.

New Rules of Professional Conduct

Chart correlating New N.Y. Rules of Professional Conduct to former Disciplinary Rules

Opinion 680 – 1/10/96(57-95)

Digest: Lawyers may retain some records in the form of computer images, but certain records must be retained in original form

Code: DR 9-102 (D), 9-102(H)

Question: May lawyers comply with the mandatory record-retention provisions of the Code by storing records in the form of computer-generated images or by other electronic means?

Ethics Opinion on Wills; obligation of a law firm in regard to wills in its custody

Opinion 724 -11/30/99

Digest: A lawyer who drafts a client’s will should agree in advance whether the lawyer will maintain the original will for safekeeping and, if so, what obligations the lawyer will thereby assume. At least absent agreement to the contrary, if the lawyer has maintained the client’s original will, after the client’s death the lawyer must assure that the executor and/or beneficiaries are aware of its existence, unless the lawyer knows of a later valid will. Absent agreement, the lawyer has no obligation to take steps to learn of the client’s death or to file the original will with an appropriate court. However, the lawyer should clarify in advance whether or not the lawyer is to undertake these or other additional obligations and must comply with whatever agreement is made.

Code: DR 2-103 (A), 4-101; EC 2-3, 4-6

Question: If a lawyer keeps custody of a client’s original will, absent agreement does the lawyer have an obligation to learn of the client’s death, to file the original will with an appropriate court?

Ethics Opinion on Closed files; disposition procedures; dissolution of law firm

Opinion 623 –11/7/01(38-90)

Digest: Procedures for disposing of closed files; partners’ ethical obligations are joint and several

Code: DR 1-102 (A)(5), 4-101(B)(1), 4-101(D), 9-102(B), 9-102(D), 9-102(G); E-C 1-5, 4-4, 4-6, 7-1, 7-8, 7-11, 7-12.

Question: What procedures should a lawyer undertake when disposing of closed files and to what extent are those procedures affected by dissolution of the lawyer’s firm?