May a retiring Connecticut lawyer offer clients their files in PDF format when closing the practice?
Apply this to your situation
This page answers the general question as of 2012. Ask about yours and see what the current Connecticut Rules of Professional Conduct say for your facts, with citations.
Plain-English summary
A lawyer preparing to retire planned to let clients retrieve their files, direct transfer to another lawyer, or leave files with a successor for safekeeping. The question was whether clients also could choose PDF delivery.
The Committee said the Rules do not prescribe the precise media lawyers use to communicate with clients. An established method is reasonable when it transfers and preserves information, and PDF commonly serves those functions.
File-retention decisions may be governed by a written lawyer-client agreement, and copies may be kept in a medium that accurately depicts the original and permits accurate reproduction. Lawyers need not retain closed files indefinitely, but prior Connecticut guidance cautions against destroying critical documents without diligent efforts to locate the client and recommends explaining file preservation and destruction policies.
PDF delivery is permissible only if clients without computer access still may receive paper copies and original client documents remain available for return on request. Rule 1.17 separately applies if the retiring lawyer sells the practice.
In practice
Under this opinion, electronic delivery is an option rather than a replacement for client access to paper and originals. The medium must preserve an accurate copy and accommodate the client's ability to receive the file.
Common questions
Q: May a retiring lawyer give a client the file as a PDF?
A: Yes, if paper copies remain available and original documents are returned on request.
Q: Do the Rules require a particular file medium?
A: No. The Committee says they do not regulate the precise media used to communicate with clients.
Q: Must closed files be maintained forever?
A: No. The opinion says the Rules do not require indefinite retention, while citing duties concerning critical documents and client notice of retention policies.
Q: What if the client lacks computer access?
A: The client must retain the option of receiving paper copies.
Background and rules framework
Rules 1.15(b) and 1.16(d) inform duties concerning client property and file return. Rule 1.17 applies when retirement includes sale of the law practice.
Citations and references
Connecticut Rules of Professional Conduct:
- Rules 1.15(b), 1.16(d), and 1.17
Other authorities:
- CBA File Retention Guidelines Including Commentary (1999)
- Connecticut Informal Opinion 10-07, file retention and destruction
- ABA Informal Opinion 1384 (1977), closed-file retention
See also
- CT Informal Op. 18-01: Retiring lawyer file retention
- VSB LEO 1818: Electronic-only client files
- ABA Formal Op. 471: Surrendering client papers and property
Source
- Landing page: Connecticut Bar Association Informal Ethics Opinions
- Original PDF: Informal Opinion 12-09
What do the rules say today, for your facts?
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