Can pleadings sent as courtesy copies during representation count as part of the file later owed to the client?

Plain-English summary

A lawyer regularly sent the client courtesy copies of pleadings and asked whether they had to be provided again when the file was requested.

The opinion permits earlier copies to serve as part of the client file only if the process was explained beforehand and the original-file obligation was met. A copy does not replace an original unless the lawyer and client agreed to that. Otherwise, the lawyer must give the file and pay for copies kept for personal use. Official reference notes say Rules 4-1.15 and 4-1.22 changed after this opinion.

Currency note

The official source says this opinion applies versions of Rules 4-1.15 and 4-1.22 that preceded amendments in 2013 and 2016.

In practice

The opinion makes the courtesy-copy arrangement depend on advance explanation and proper handling of originals under the former rules.

Common questions

Q: Can earlier courtesy copies count as part of the file?

A: Yes, if the arrangement was explained before sending them and original-document rights are met.

Q: Who pays for copies kept by the lawyer if those conditions fail?

A: The opinion says the lawyer keeps those copies at the lawyer’s own expense.

Background and rules framework

The official reference notes identify later changes to Rules 4-1.15 and 4-1.22; the answer applies the earlier file-delivery framework.

Citations and references

Missouri Rules of Professional Conduct:

• Rule 4-1.15
• Rule 4-1.22

See also

• Missouri Informal Op. 20040052: Copies of Returned File

Source

• Landing page: https://mo-legal-ethics.org/informal-opinion/20030047/

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

Reference Note: Rule 4–1.15 was amended, effective July 1, 2013. This opinion is based on the rule in effect prior to that date. Please see the July 1, 2013 version of Rule 4–1.15 and 4–1.22

Reference Note: Effective July 1, 2016, subdivision 4–1.22 of Rule 4 was repealed and a new subdivision 4–1.22 adopted in lieu thereof. This opinion is based on Rule 4 in effect prior to that date.

QUESTION: If Attorney sends a client a courtesy copy of all pleadings at the time of filing and a copy of all pleadings filed by opposing counsel (with a notation that it is a courtesy copy for the client’s information and safekeeping), is it necessary to copy the file and provide the documents again to the client? May attorney charge for copies of documents previously sent to client?

ANSWER: It is permissible for copies provided to the client during the course of the representation to serve as client’s file, or a portion of the client’s file, if two conditions are met. First, Attorney would have had to provide an explanation of this process prior to sending the copies. Second, the original of the file belongs to the client. Therefore, if there is an original in the file, a copy does not fulfill the obligation to the client unless the attorney and client have agreed that it will. If both conditions are not met, attorney should provide the file to the client and keep copies at Attorney’s own expense.