In what format must a Missouri lawyer provide an electronically maintained client file on request?

Plain-English summary

Formal Opinion 115 and In the Matter of Cupples establish that the client owns the file. Formal Opinion 127 applies that ownership principle to an electronically maintained file requested during the retention period.

The lawyer must provide the file in a form the client can access using commonly used, relatively inexpensive software and hardware. Paper is an alternative unless contrary to an agreement between lawyer and client.

Rule 4-1.16(d) also requires reasonably practicable steps to protect the client's interests on termination, including surrendering papers and property. When the client asks for a particular format, the lawyer should prioritize that protection and take all reasonably practicable steps to accommodate the request.

In practice

Under this opinion, file delivery is measured by practical client access, not merely by the format the firm uses internally. A specific client request receives reasonably practicable accommodation.

Common questions

Q: Must the lawyer provide the same electronic format used internally?

A: The opinion instead requires a format the client can access with commonly used, relatively inexpensive technology.

Q: May the lawyer provide paper?

A: Yes, unless paper delivery conflicts with an agreement between lawyer and client.

Q: What if the client requests a particular format?

A: The lawyer should take all reasonably practicable steps to accommodate it while protecting the client's interests.

Background and rules framework

Rule 4-1.16(d) governs protection and surrender on termination. Formal Opinions 115 and 127 address client ownership and accessible delivery of electronically stored files.

Citations and references

Rules of Professional Conduct:

• Missouri Rule 4-1.16(d)

Cases:

• In the Matter of Cupples, 952 S.W.2d 226, 234 (Mo. banc 1997), client ownership of the file

Other opinions cited:

• Missouri Formal Opinions 115 and 127

See also

• Missouri Formal Op. 127: Electronic Client File Storage
• Washington Advisory Op. 2160: Ownership of Electronic Client Files
• California Ethics Op. 2007-174: Electronic Versions of a Client File

Source

• Landing page: Missouri Informal Opinion 2020-09

Original opinion text

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

QUESTION: Attorney stores client files electronically. In what format should Attorney provide the client file to Client upon request?

ANSWER: The client file belongs to the client. Formal Opinion 115, as amended; In the Matter of Cupples, 952 S.W.2d 226, 234 (Mo. banc 1997). If a client requests an electronically maintained file during the file retention period, Formal Opinion 127 requires the file be “provided to the client in a manner in which the client will be able to access it using commonly used, relatively inexpensive, software and hardware . . . . Alternatively, the attorney may provide the file to the client in paper format, unless that is contrary to an agreement between the attorney and client.” Upon termination of representation, Rule 4–1.16(d) requires a lawyer to take steps to the extent reasonably practicable to protect the client’s interests, including surrendering papers and property to which the client is entitled. If Client has requested the file in a particular format, Attorney should prioritize protection of Client’s interests and take all reasonably practicable steps to accommodate Client’s format request.