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?
Ethics Opinion on Preservation of closed files
Opinion 460 – 2/18/77
(12-77)
Digest: Circumstances under
which lawyers may dispose of closed files
Code: EC 1-5, 4-6, 7-1, 7-8, 7-11,
7-12; DR 1-102 (5),
4-101
Question: Under what
circumstances may a lawyer properly dispose of closed files relating to
his client?
New Rules of Professional Conduct
Articles
Maintenance of Closed
Client Files: No Need to Rent a Warehouse, by Kathleen
Baxter, Esq.
Document Retention Policy Resources
Links- Please note the following are not New York specific
and could be used to assist you in making a policy for your
firm.
Law Firm Document Retention Policies from
LawPractice Today includes a sample retention policy at the bottom of
the article.
http://www.abanet.org/lpm/lpt/articles/ftr07046.html
Closing the Client’s File – Lawyers USA – July
2009
http://lawyersusaonline.com/blog/2009/07/28/closing-the-clients-file/
ABA Legal Technology Resource Center Records Management/Document
Retention resources:
http://www.abanet.org/tech/ltrc/fyidocs/rm.html
Sample Document Retention policy from Prolegia
http://tinyurl.com/db6tna
Practice Management Resource Center Sample Closed File Check
List
http://www.michbar.org/pmrc/articles/0000104.pdf
Related Files
Maintenance of Closed Client Files (Adobe PDF File)
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