How long must an Illinois lawyer keep client files, trust-account records, and conflict records, and when can routine case files be destroyed?

Plain-English summary

A legal services program serving low-income clients across 65 Illinois counties, with an annual caseload over 20,000, retains case files and "conflict cards" for five years after closing while permanently keeping original documents (deeds, wills), pending-guardianship files, files tied to anticipated claims, archival materials, and trust funds. It offers to return client-furnished materials before destroying files. It asked whether it could routinely destroy conflict cards and case files five years after closing.

The opinion sorts the materials by which rule governs. Under Rule 1.15(a), complete records of client trust funds and other property must be preserved seven years after the representation ends, with detailed sub-records (journals, ledgers, registers, statements, agreements, bills) listed in Rule 1.15(a)(1)-(8). Under Rule 1.16(d), the lawyer must surrender papers and property the client is entitled to on termination. Supreme Court Rule 769(1) requires records of each client's name, last known address, and active/concluded status, with no time limit, so those must be kept indefinitely; Rule 769(2) requires financial records to be kept at least seven years.

For materials that are neither client property nor financial records, the opinion finds little binding guidance and looks to the Restatement Section 46 (reasonable steps to safeguard documents; no duty to keep indefinitely) and ISBA Op. 94-13 (categories the lawyer need not provide to the client). It concludes the program should not destroy the conflict cards at five years because they reflect Rule 769(1) client information that must be kept indefinitely, unless that information is preserved in another acceptable form. The rest of the case files generally may be discarded five years after closing if no longer useful and the client was kept reasonably informed under Rule 1.4(a), consistent with Arizona Op. 08-02 and West Virginia Op. 2002-01.

The opinion adds that a longer period may be advisable: separating five-year from seven-year materials can cost more than it saves, and because the legal-malpractice statute of repose is six years (735 ILCS 5/13-214.3(c)), retaining files beyond six years is prudent, so a general seven-year retention complies with two of the three record rules and keeps the file available against a claim. Any disposal must protect client confidentiality under Rule 1.6.

In practice

The opinion holds that Illinois lawyers face tiered retention duties: indefinite for Rule 769(1) client-identity records, at least seven years for Rule 1.15 trust records and Rule 769(2) financial records, and a permissible five-year floor for routine case-file materials that are neither client property nor financial records (where the client was kept informed and useful materials returned). It identifies seven years as a prudent general retention period given the six-year statute of repose, and requires confidentiality-protecting disposal under Rule 1.6. The opinion frames the five-year figure as generally permissible, not mandatory.

Common questions

Q: How long must an Illinois lawyer keep trust-account records?

A: At least seven years after the representation ends, per Rule 1.15(a), which also lists the specific sub-records (journals, ledgers, registers, statements, agreements, and bills) that make up "complete records."

Q: Can a lawyer destroy client conflict-check records after five years?

A: Not if they hold the Rule 769(1) client-identity information, which must be kept indefinitely. The opinion says the actual conflict cards may be destroyed after five years only if that required information is preserved in another acceptable form.

Q: When can routine case files be destroyed?

A: Generally five years after the matter closes, the opinion concludes, for materials that are not client property or financial records, provided the materials are no longer useful and the client was kept reasonably informed under Rule 1.4(a). It notes seven years is more prudent given the statute of repose.

Q: Does it matter how the files are destroyed?

A: Yes. The opinion requires that disposal protect the confidentiality of all information relating to the representation, consistent with the lawyer's duty under Rule 1.6 and Comment 16.

Background and rules framework

The opinion interprets Illinois Rules 1.15 (safekeeping property; Model Rule 1.15), 1.16(d) (return of papers on termination; Model Rule 1.16), 1.4(a) (keeping the client informed; Model Rule 1.4), and 1.6 (confidentiality; Model Rule 1.6), read together with Illinois Supreme Court Rule 769 (mandatory lawyer records) and the six-year legal-malpractice statute of repose, 735 ILCS 5/13-214.3(c).

Citations and references

Rules of Professional Conduct:

• Illinois RPC 1.15(a) (trust records, seven years) / MR 1.15
• Illinois RPC 1.16(d) (return of papers) / MR 1.16
• Illinois RPC 1.4(a) (keeping client informed) / MR 1.4
• Illinois RPC 1.6 (confidentiality) / MR 1.6

Statutes and rules:

• Illinois Supreme Court Rule 769 (mandatory lawyer records)
• 735 ILCS 5/13-214.3(c) (six-year statute of repose for legal malpractice)

Other opinions and authority cited:

• ISBA Op. 94-13: categories of file materials a lawyer need not provide to the client
• Restatement (Third) of the Law Governing Lawyers Section 46 (2000)
• Arizona Op. 08-02 (2008); West Virginia Op. 2002-01 (2002): five-year retention reasonable

See also

• ISBA Ethics Op. 17-02: Maintenance of Client Files and Records
• NYC Bar Ethics Op. 2008-01: Obligations to Retain and Provide a Client File
• NYC Bar Ethics Op. 2010-01: Engagement Letters to Authorize Return or Disposal of Files

Source

• Landing page: https://www.isba.org/ethics/opinions/1206