1. Creating a Records Policy and Schedule in a Legal Environment
Presentation Title
Creating a Records Policy and Schedule in a Legal Environment
Doug Rollo Asst. Director of Records Management

2. Why Records and storage costs Out of space Where are the records
Do the records exist
Reduces risk
Reduces waste and duplication

3. New Business Needs Malpractice insurance Client demands
Protects assets

4. Research Lexis/Westlaw ABA publications and website
State/local bar publications and web sites
Internet
Law libraries
Firm interviews
Interviewed other firms

5. Bar Sites Stats 51 Bar sites reviewed 5 has in-depth information
6 had articles on records retention
18 had minimal information
22 had no mention of records retention
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6. Michigan Bar www.michbar.org R-5 Duty to establish retention plan
R-12 Notice to clients
RI-86 Availability of records to clients

7. Michigan Bar (cont.) RI-100 Retirement RI-109 Damage to records
RI-178 Lawyer referral services
RI-240 Disposition of older records

8. Other Good Bar Sites Alabama – www.alabar.org
Connecticut –
Florida –

9. Bar Sites Quotes
Although the guidelines establish standards of practice, the bar association articulated that such guidelines are not a safe harbor for the retention of client files.

10. Another Bar Quote
It is not possible to state a definite time as to when a closed file may be destroyed. The retention is a matter of good judgment.

11. One More Bar Quote
A client’s files [should] be preserved for a reasonable time before they can be destroyed

12. Last Bar Site Quote
Opinion suggests that an attorney should express to the client that the file will be held for a reasonable period of time (usually several years).
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13. The Basics Records retention policy Records retention schedule Records
Records series
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14. Retention Policy Policy Provisions Schedules Procedures
Client Records vs. Firm Records vs. Admin.
Paper vs. E Records
Provisions
Schedules
Procedures
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15. Provisions Definitions Client Disclosure Client Notifications Minors
Automatic Review
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16. More Provisions Review Disposition Delays Transfer of Records
Permanent Records
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17. More Writing Client Involvement Consistency
No Response from the Attorney
Attorneys no Longer With the Firm
Can’t find the Client
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18. And More Writing Whose call is it
Do all files need to be kept the same amount of time
Firm Culture
Acceptance
Updates
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19. DSBA Guidance Records Retention Committee
Policy vs. Mandate vs. Rule vs. Guideline vs. Principle
10 Year Rule
Delaware Supreme Court
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20. Revisions
Patience
More Patience
And Even More Patience
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21. Retention Schedule Dates to Consider
Review functions and recordkeeping requirements practices
Collect the information
Review and Analyze
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22. More Things to Do
Evaluate for disposition the records contained in each series by determining their uses and values
Research
Draft retention schedule
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23. Approval Section Leaders Specific Attorneys Management Committee
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24. Publish Policy & Schedule
Policy book
Internal web page
Firm website
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25. Implementation
Goals
Procedures
Quick Action
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26. Results Destroyed over 1700 boxes Disposed over of 9000 client files
Inventoried all the semi-active records
Inventoried all active records
New software
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27. Questions Questions? Questions? Questions? Questions? Questions?
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28. Asst. Director of Records Management
Contact Info.
Doug Rollo
Asst. Director of Records Management
9/12/2018