I represented a couple in an adoption. They're now divorcing and fighting over the file: the wife wants it released to her divorce lawyer, the husband objects. What do I do with the file?

Plain-English summary

The inquiring attorney sought advice on the appropriate disposition of a client file created while representing a married couple, Mr. and Mrs. A, in the adoption of Mrs. A's son from a prior marriage. The couple was now in the midst of divorce proceedings, and the attorney had not been asked to represent either party in the dissolution. The wife and the child had authorized release of the file to the wife's divorce attorney, but the husband objected to its release.

The panel resolved the dispute by reference to its earlier Opinion #119, which held that the contents of a client file are the property of the clients, so that both joint clients are entitled to the file. Because a dispute over possession had arisen between the clients, the panel advised the attorney to attempt to reach an arrangement to which both clients could agree.

If the clients could not agree, the panel concluded it would then be permissible to turn complete copies of the file over to each client and notify their lawyers that the attorney would retain the originals in escrow until the clients identified an agreed-upon recipient or a court of competent jurisdiction gave appropriate instructions. The panel added that the matter should be brought to the attention of the Family Court for possible resolution.

Currency note

This opinion was issued in 1991, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process, which renumbered and amended several provisions. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule mentioned here.

Common questions

Q: Who owns a client file when two joint clients disagree about it?

A: Under this opinion, following Opinion #119, the file's contents are the property of the clients, and both joint clients are entitled to it.

Q: What should a lawyer do when joint clients cannot agree on who gets the file?

A: The panel concluded the lawyer may give each client a complete copy and hold the originals in escrow until the clients agree on a recipient or a court gives instructions, and should bring the matter to the Family Court.

Q: Can one joint client authorize release of the file over the other's objection?

A: The panel treated both clients as entitled to the file, so it did not let the wife's authorization override the husband's objection; instead it directed the escrow-and-copies approach absent agreement or a court order.

Background and rules framework

The opinion does not cite a Rule of Professional Conduct by number. The panel resolved the file-disposition dispute by reference to its earlier Opinion #119, which held that the contents of a client's file are the property of the clients. In current terms, a lawyer's duty to surrender a client's papers and property on termination appears in Rhode Island Rule of Professional Conduct 1.16(d), corresponding to Model Rule 1.16(d).

Citations and references

Rules of Professional Conduct:

• The opinion cites no Rule of Professional Conduct by number. The file-return duty is addressed in RI RPC 1.16(d) / MR 1.16(d).

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• RI EAP Opinion #119: the contents of a client's file are the property of the clients.

See also

• RI EAP Op. 95-04: Disclosing a Client's Documents
• RI EAP Op. 95-13: Withholding Adoptive IDs in File
• RI EAP Op. 95-31: Third-Party Claim on Settlement Funds

Source

• Landing page: https://www.courts.ri.gov/attorney-resources/Pages/Ethics-Advisory-Panel-default.aspx
• Original PDF: https://www.courts.ri.gov/Opinions/EAP%2091-02.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

DIGEST OF ETHICS ADVISORY PANEL
OPINION #91-2, REQUEST #223
Issued February 20, 1991

An attorney seeks Panel advice as to the appropriate disposition of a client file created during the representation of a married couple in the context of an adoption proceeding. The couple is in the midst of divorce proceedings. The attorney has not been asked to represent either party in the marriage dissolution matter. The wife and the child have authorized release of the file to the wife's divorce attorney. The husband objects to the release of the file.

The attorney represented Mr. and Mrs. A in the adoption proceedings of Mrs. A's son from a prior marriage.

The Ethics Advisory Panel refers to Opinion #119 for guidance in resolution of this dispute. In Opinion #119, the Panel stated that the contents of the clients' file are the property of the clients. Thus, the clients are both entitled to the file. Since a dispute over possession of the contents of the file has arisen between the clients, the attorney should attempt to seek an arrangement to which both the clients can agree. If both clients are unable to agree, it is then permissible to turn complete copies of the client files over to each client and notify their lawyers that the attorney will retain the originals in escrow until such time as the clients notify the attorney as to the agreed upon recipient or until a court of competent jurisdiction renders appropriate instructions.

The Panel believes the matter should be brought to the attention of the Family Court for possible resolution.

Ethics Advisory Panel advice is protective in nature. There is no requirement that an attorney abide by a Panel opinion, but if he or she does, he or she is fully protected from any charge of impropriety.