Colo. RPC 1.16A

History

Source: Entire rule and comment added and effective February 10, 2011; comment [1] and [3] amended, effective April 6, 2016; comment [3] amended and effective April 28, 2022 (Rule Change 2022(08)). COMMENT [1] Rule 1.16A is not intended to impose an obligation on a lawyer to preserve documents that the lawyer would not normally preserve, such as multiple copies or drafts of the same document. A client’s files, within the meaning of Rule 1.16A, consist of those things, such as papers and electronic data, relating to a matter that the lawyer would usually maintain in the ordinary course of practice. A lawyer’s obliga- tions with respect to client ‘‘property’’ are dis- tinct. Those obligations are addressed in Rules 1.15A and 1.16(d). ‘‘Property’’ generally refers to jewelry and other valuables entrusted to the lawyer by the client, as well as documents hav- ing intrinsic value or directly affecting valuable rights, such as securities, negotiable instru- ments, deeds, and wills. [2] A lawyer may comply with Rule 1.16A by maintaining a client’s files in, or converting the file to, electronic form, provided the lawyer is capable of producing a paper version if nec- essary. Rule 1.16A does not require multiple lawyers in the same law firm to retain duplicate client files or to retain a unitary file located in one place. ‘‘Law firm’’ is defined in Rule 1.0 to include lawyers employed in a legal services organization or the legal department of a corpo- ration or other organization. Rule 5.1(a) ad- dresses the responsibility of a partner in a law firm to ‘‘make reasonable efforts to ensure that the firm has in effect measures giving reason- able assurance that all lawyers in the firm con- form to the Rules of Professional Conduct.’’ Generally, lawyers employed by a private cor- poration or other entity as in-house counsel rep- resent such corporation or entity as employees and the client’s files are considered to be in the possession of the client and not the lawyer, such that Rule 1.16A would be inapplicable. Where lawyers are employed as public defenders or by a legal services organization or a government agency to represent third parties under circum- stances where the third-party client’s files are considered to be files and records of the organi- zation or agency, the lawyer must take reason- able measures to ensure that the client’s files are maintained by the organization or agency in accordance with this rule. [3] Rule 1.16A does not supersede obliga- tions imposed by other law, court order or rules of a tribunal. The maintenance of law firm fi- nancial and accounting records is governed ex- clusively by Rules 1.15A and 1.15D. Similarly, Rule 1.16A does not supersede specific reten- tion requirements imposed by other rules, such as Rule 5.5(d)(2) (two-year retention of written notification to client of utilization of services of suspended or disbarred lawyer), Rule 1.5(c)(3) (seven-year retention of contingent fee agree- ment following earlier of final resolution of case or termination of lawyer’s services) and C.R.C.P. 121, § 1-26(7) (two year retention of signed originals of e-filed documents). A docu- ment may be subject to more than one retention requirement, in which case the lawyer should retain the document for the longest applicable period. Rule 1.16A does not prohibit a lawyer from maintaining a client’s files beyond the periods specified in the Rule. [4] A lawyer may not destroy a client’s file when the lawyer has knowledge of pending or threatened proceedings relating to the matter. The Rule does not affect a lawyer’s obligations under Rule 1.16(d) with respect to the surrender of papers and property to which the client is entitled upon termination of the representation. A client’s receipt of papers forwarded from time to time by the lawyer during the course of the representation does not alleviate the law- yer’s obligations under Rule 1.16A. [5] The destruction of a client’s files under paragraph (a) of Rule 16A is subject to two sets of preconditions. First, the lawyer must have given written notice to the client of the lawyer’s intention to destroy the files on or after a date certain, which date is not less than thirty days after the date the notice was given or the client has authorized the destruction of the files in a writing signed by the client. As provided in paragraph (d), the notice requirement in para- graph (a) can be satisfied by timely giving the client a written statement of the applicable file retention policy; for example, that policy could be contained in a written fee agreement. A law- yer should make reasonable efforts to locate a client for purposes of giving written notice when such notice was not provided during the representation. If the lawyer is unable to locate the client, written notice sent to the client’s last known address is sufficient under paragraph (a) Rule 1.16A. Second, the lawyer may not de- stroy the files if the lawyer knows that there are legal proceedings pending or threatened that relate to the matter for which the lawyer created the files, if the file is subject to paragraph (c) of this Rule, or if the lawyer has agreed otherwise. If these preconditions are satisfied, the lawyer may destroy the files in a manner consistent with the lawyer’s continuing obligation to maintain the confidentiality of information re- lating to the representation under Rules 1.6 and 1.9. Nothing in this Rule is intended to mandate that a lawyer destroy a file in the absence of a client’s instruction to do so. Notwithstanding a client’s instruction to destroy or return a file, a lawyer may retain a copy of the file or any document in the file. ANNOTATION Conduct violating this rule in conjunction with other disciplinary rules is sufficient to justify disbarment. People v. Doherty, 354 P.3d 1150 (Colo. O.P .D.J. 2015).