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20160912180217

CLOSED FILE INFORMATION FORM AND CHECKLIST
[LAW FIRM NAME]
File No: Closed File No:
Date File Closed: Responsible Lawyer:            
Destruction Date: Staff Closing File:
ITEMS TO RETAIN AND THE RELEVANT RETENTION PERIOD
6 years
7 years
10 years
100 years
Indefinite retention
Client Information
Client's Full Name
Client’s Occupation:
Last Known Business Address:
Last Known Residential Address:
Contact’s Name:
Contact’s Last Known Phone Number:
Client’s Contact’s Cell Phone:
Client’s Contact’s Fax:
Client’s Contact’s Email:
Notes:
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Matter Information
Nature of Matter:
Any Limitation Dates Outstanding? YES or NO
If Yes, Date:
Anything requiring us to notify client in the future? YES or NO
If Yes, What & When:

If Notification Required Has this been entered into our reminder system? N/A YES or NO
At time of closing file, any unpaid disbursements, fees, or costs due? YES or NO
Amount:
Were these written off? YES or NO
Are there any outstanding undertakings? YES or NO
If YES are these being resolved prior to file being closed?

Have all funds held in trust been returned to client? YES or NO
If NO, why?

Has file been checked to ensure that all important documents or letters have been removed? YES or NO
ABC's Initials:
All original documents of client returned to client? YES or NO
If NO, why?

Closing letter sent to client and all materials returned? YES or NO
If NO, why?

Were all returned materials listed in the letter? YES or NO
Client and opposing party cards/databases moved to “Closed” and closed file number and destruction date noted? YES or NO
If retaining the closed file electronically:
  • entire client file imaged (OCR’d?) and moved to archive storage,
  • an electronic file destruction date with storage location determined and entered into the firm’s limitation / BF system, and
  • paper file shredded (after returning original documents to the client as noted above)?
YES or NO
ABC's Initials:
RETAIN ONE COPY OF THIS FORM AT FRONT OF CLOSED FILE. RETAIN ONE COPY IN “CLOSED FILES” FILE.

Resources[edit]

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