Advisory Opinion: 2023

Year Issued: 2003

RPC(s):

Subject: record retention, client files

The inquirer is concerned about whether or not the firm’s file retention policy complies with the Rules of Professional Conduct. More specifically, the inquirer states that after approximately six months from when a client matter (file) has been administratively closed in the inquirer’s office, and the firm has returned to the client or the client has had the opportunity to receive any original documents provided to the firm, the firm wants to destroy the paper file and simply maintain the identical electronic file for purposes of complying with the RPCs. Would such a file retention policy comply with the RPC?

The committee opined that a file retention policy that returns original documents from administratively closed files to the client and converts the remaining documents into an electronic format would comply with the Rules of Professional Conduct, provided the firm has appropriate controls in place to insure that original documents or other documents with intrinsic value belonging to the client are not destroyed without client permission. However, there may be specific cases where reasonable prudence or some other duty, such as a contractual agreement with the client, requires retention of the physical documents.

Advisory Opinions are provided for the education of the Bar and reflect the opinion of the Committee on Professional Ethics (CPE) or its predecessors. Advisory Opinions are provided pursuant to the authorization granted by the Board of Governors, but are not individually approved by the Board and do not reflect the official position of the Bar association. Laws other than the Washington State Rules of Professional Conduct may apply to the inquiry. The Committee's answer does not include or opine about any other applicable law other than the meaning of the Rules of Professional Conduct.