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Client File Management Course

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Workbook

Version: 2016-002 Last Modified: October 3, 2016

©2016 by the Immigration Consultants of Canada Regulatory Council. No part of this publication may be used or reproduced in any manner whatsoever without the prior written permission of the Council, except in the

case of brief quotations accompanied by proper citation.


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Table of Contents

Introduction……………. ........................................................................................ .3

Module 1: Client File Management Requirements………………………………………...4

Module 2: Client File Management Systems ..................................................... .7

Module 3: Shared Practice ................................................................................ 12

Appendices

Appendix A—Client File Content Checklist Template ....................................... 15 Appendix B—Active Client File Register Template (Sample) ............................ 17 Appendix C—Client Property Register Template (Sample) ............................. 18 Appendix D—Client Communication Register Template (Sample) .................. 19 Appendix E—Client File Deadline Reminder Systems Resource....................... 20 Appendix F—Closing/Transfer Client File Register Template (Sample) ........... 22 Appendix G—Ownership of Client File Contents Resource .............................. 23 Appendix H—Steps for Storing, Closing and Destroying Client Files Resource ............................................................................. 25 Appendix I—Destruction of Client File Register Template (Sample) ................ 28 Appendix J—Master Client File Register Template (Sample) ........................... 29


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Introduction What questions do you have about managing your client files?


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Module 1: Client File Management Requirements

WHO

Who is responsible for maintaining client records? o A.6.3.1 ____________________________________________________________________ o s.4.2______________________________________________________________________ o s.4.3 ______________________________________________________________________

WHAT

What do each of the following terms mean? o Client property (s.3.2.f) ______________________________________________________

__________________________________________________________________________ o Member property (s.3.2.n) ____________________________________________________ __________________________________________________________________________ o Client records (s.3.2.g) _______________________________________________________ __________________________________________________________________________ o Client file (s.3.2.e) ___________________________________________________________

__________________________________________________________________________

What must the client file contain? o s.5.2.a ____________________________________________________________________ o s.5.2.b ____________________________________________________________________ o s.5.2.c ____________________________________________________________________ o s.5.2.d ____________________________________________________________________ o s.5.2.e ____________________________________________________________________ o s.5.2.f ____________________________________________________________________ o s.5.2.g ____________________________________________________________________ o s.5.2.h ____________________________________________________________________ o s.5.3.a ____________________________________________________________________ o s.5.3.b ____________________________________________________________________ o s.5.3.c ____________________________________________________________________

What must a member’s system be able to do? o s.4.4.a ____________________________________________________________________ o s.4.4.b ____________________________________________________________________ o s.4.4.c ____________________________________________________________________ o s.4.4.d ____________________________________________________________________ o s.4.4.e ____________________________________________________________________

What else is required for record keeping? o s.7.3 _____________________________________________________________________


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o s.7.4 ______________________________________________________________________ o s.10.1.a-d__________________________________________________________________

What must a member account for and return to the client upon request? (A.11.5.1.i) _____________________________________________________________________________

What is required to ensure confidentiality? o s.11.1 ____________________________________________________________________ o s.11.2 _____________________________________________________________________ o A.8.2.1 ____________________________________________________________________

WHERE

Where must a member store closed files? o s.5.4 ______________________________________________________________________ o s.7.2 ______________________________________________________________________

WHEN

When must a member open a client file? o s.5.1 ______________________________________________________________________ o s.4.1 ______________________________________________________________________

When may a member close a client file? o s.7.1.a ____________________________________________________________________ o s.7.1.b ____________________________________________________________________ o s.7.1.c ____________________________________________________________________

When may a member destroy a client file? (s.7.2) ____________________________________ _____________________________________________________________________________

WHY

Why maintain client files? o s.2.1______________________________________________________________________

HOW

How must a member safe-keep and store client property? o s.8.1 ______________________________________________________________________ o A.8.1.1 ____________________________________________________________________ o A.8.3.1 ____________________________________________________________________


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How must a member safe-keep and store client records? o s.2.1 ______________________________________________________________________ o s.4.2 ______________________________________________________________________ o s.4.4.b ____________________________________________________________________ o s.6.1 ______________________________________________________________________ o s.6.2 ______________________________________________________________________ o A.8.1.1____________________________________________________________________ o A.8.3.1____________________________________________________________________

How long does a member have to account for client property? o s.8.2 ______________________________________________________________________

How long does a member have to deliver client property to the client? o s.8.2 ______________________________________________________________________

How must a member return client property? (s.8.3) ___________________________________

How must a member transfer a client file? o A.11.5.1 ___________________________________________________________________ o s.9.1 ______________________________________________________________________

How must a member destroy a client file? (s.10.2) ___________________________________ _____________________________________________________________________________


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Module 2: Client File Management Systems

Client File Management Systems Summary

Task Client File Management System Security Measures

Labelling files

a. Alphabetical—client name and category of representation code (e.g. Cam Smith is applying for Skilled Workers category and is file: Smith,C_SW)

b. Numerical i. Straight numerical sequence (e.g. Cam Smith is client #98

and client file: 98) ii. Permanent file number (e.g. Cam Smith is always file: 98)

iii. Calendar numbering (e.g. the first client of 2013 is: 2013_001)

iv. Location code (e.g. Cam Smith is retained through the Dubai office and is file: Dubai_98)

Organizing paper files

a. File folders in filing cabinet i. Maintain backup files

Store files in fireproof, locked filing cabinet

Limit access to filing cabinet

b. File folders in bankers box i. Maintain backup files

Store bankers box in locked cabinet/room

Limit access to cabinet

c. File folders in accordion file i. Maintain backup files

Store accordion file in locked drawer/cabinet

Limit access to drawer/cabinet


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Task Client File Management System Security Measures

Organizing electronic files

a. PC/Mac hard drive i. Create folders and subfolders for each client

ii. Back up files regularly (external hard drive, Cloud, network, or USB key)

Protect computer/files with passwords

Encrypt sensitive files

Install anti-spyware and anti-virus software

Install firewall

b. External hard drive i. Create folders and subfolders for each client

ii. Back up files regularly ( PC/Mac hard drive, Cloud, network, or USB key)

Store offsite

Store in locked drawer/room

Encrypt sensitive files

c. Network i. Create folders and subfolders shared by those with

access ii. Back up files regularly (PC/Mac hard drive, external

hard drive, Cloud, or USB key)

Protect network with a password

Limit access to network/files

Use a Canadian-based server

d. Cloud i. Create folders and subfolders shared by those with

access ii. Back up files regularly (PC/Mac hard drive, external

hard drive, network, or USB key)

Limit access to Cloud and to certain files

Use a Canadian-based cloud technology

e. E-mail i. Create folders and subfolders

ii. Back up files regularly (PC/Mac hard drive, external hard drive, Cloud, network, or USB key)

Preserve client confidentiality when labelling folders

Use a Canadian-based e-mail provider

f. USB key i. Create folders and subfolders ii. Back up files regularly (PC/Mac hard drive, external hard drive, Cloud, or network)

Store USB key in locked drawer/room

Do not place USB key next to a cellphone

Use a password protected or encrypted USB key


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Client File Management Tips

Useful? (√/X)

Tips

Client Record

⎕ ⎕ ⎕ ⎕ ⎕ ⎕

Client records should:

Be accurate and complete

Be legible and completed in permanent ink

Include objective and subjective data

Minimize duplication of information

Document communication with client/designate

Use appropriate abbreviations with legend

Client File Opening

⎕ ⎕

Open a separate file for each new client matter

Even for initial consultation

⎕ Use a client intake form

⎕ ⎕

Record all client files and notes in a Client File Register

Centrally located if +1 individual accessing

⎕ File documents and communications promptly

⎕ Name the file according to a system

Client File Storage

⎕ Consider space requirements and constraints

⎕

Establish who is responsible for maintenance, security, and location of files

Centralized filing—one location and person responsible

Decentralized filing—+1 location and +1 person responsible

⎕ ⎕

Establish a policy and procedure for storing and maintaining client files

Advise employees and agents of policy/procedure

⎕ Back up files regularly (paper/electronic)

Client File Closing

⎕ Make copies of client documents, as needed

⎕ Return client property as soon as no longer required

⎕ ⎕

Purge unnecessary documents/materials, such as copies available from another source (e.g., permanent records of the court, registry office, or government office, etc.) from file

Employees/agents may assist, but member is responsible

⎕ Retain draft copies of documents that detail history of the matter

Applicable where it may be an issue in future

⎕ ⎕

Use system for organizing and retrieving closed files

Use a Client File Register or data base listing: closed files, original file code, location of stored file, and projected file destruction date


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Useful? (√/X)

Tips

Client File Destruction

⎕ ⎕ ⎕ ⎕ ⎕ ⎕ ⎕

Deciding when to destroy the file:

Regulatory requirements—minimum six years (Client File Management Regulation, s.7.2)

Legal requirements

Possibility of repeat client

Defense against allegations of malpractice or misconduct

Client was a minor or disabled (Limitations Act, 2002)

Review file to verify that destruction should proceed

⎕ ⎕ ⎕ ⎕ ⎕

Maintain client confidentiality during destruction and disposal process

Use a shredder or shredding service with paper files

Destroy all files and backups

Clear history and temporary files

Empty trash with electronic files

⎕ Maintain a Record of Destruction (Client File Management Regulation, s.10.1)

Security and Confidentiality

⎕ Be familiar with Article 8 of the Code of Professional Ethics

⎕ Preserve confidentiality after finished acting for the client (Code of Professional Ethics, A.8.2.1)

⎕ Use client initials/codes, not names, when creating client files

⎕ Use a secure method of communication

⎕ Store paper client records in a locked space

⎕ ⎕ ⎕ ⎕ ⎕

Protect electronic client files with passwords, anti-virus and anti-spyware software, firewalls, and file encryption

Use a Canadian-based E-mail system/processing systems (Canadian members)

Use Mail or Outlook to download e-mail messages from server and store on computer

Back up files regularly

Change passwords often

⎕ ⎕

Limit access to viewing and updating client files

No access for non-staff and limited access for staff to client files

⎕ ⎕ ⎕ ⎕

Instruct staff on confidentiality protocol

Have staff sign a confidentiality waiver

Client’s name and the fact that a client has retained the member is confidential

Refrain from discussing client matters outside the office

⎕ Implement policy for storing valuable documents (e.g., original documents, passports, etc.)

⎕ ⎕ ⎕ ⎕ ⎕

⎕

Be aware of information technology security risks:

Unauthorized copying of electronic data

Computer viruses which destroy information and hardware

Hackers gaining access

Power failures and electronic storms resulting in damage to hardware or electronic information

Theft of electronic information stored on hardware


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Useful? (√/X)

Tips

Documentation

⎕ ⎕ ⎕ ⎕ ⎕

Document should be:

Concise—relevant information in appropriate detail

Accurate—in content and legible

Up-to-date—notes made ASAP to prevent loss of information

Meaningful—capture factual information, professional judgement, opinions, and observations

Internally consistent—acronyms and short hand consistently used

Record Keeping

⎕ Choose secure and reliable online tools

⎕ Set aside time for filing (paper or electronic)

⎕ Decide on client file format (hardcopy, softcopy, or combination)

⎕ Use a dedicated computer (not public)

⎕ Use a master index to locate files

⎕ Use a code system for client files (alphabetical, numerical, or combination)

⎕ Take careful notes of communication, instructions, etc.

Client File Management

⎕ Back up client files regularly (hardcopy and softcopy)

⎕ Digitize closed files to save space

⎕ Provide clients with copies of submission and communication documents with third parties

⎕ Ensure client files comply with jurisdictional law (e.g., Income Tax Act)

⎕ Promptly file all documents, correspondence, etc.

⎕ ⎕ ⎕ ⎕

Carefully document the date and details of all conversations (e.g., telephone, SKYPE, face-to-face, etc.)

Place notes in client file in chronological order

Follow-up important instructions/information with an e-mail, fax or letter

Copy letters and e-mails and place in client file

⎕ Use single point of access/similar file and folder system when storing electronic files in multiple locations

⎕ ⎕

Employ a system for converting older electronic formats to new formats

Include file format in file name to facilitate process

⎕ ⎕ ⎕ ⎕

Implement systems to ensure that every undertaking is:

Clear

Confirmed in writing

Recorded in member’s time management system

Satisfied according to terms of retainer agreement


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Module 3: Shared Practice

Instructions: In your small group, discuss your individual client file management systems. Use the space below to record the highlights from your discussion.

Client File Management System Benefits Challenges Solutions to Challenges

My system

Group member 2’s system


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Client File Management System Benefits Challenges Solutions to Challenges




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Personal Reflection

Instructions: Reflect on the following questions and respond in the space provided below.

1. Bearing in mind the Client File Management Regulation, my current level of organization is

best described as (0 being no organization whatsoever and 10 being the highest level of organization possible): a. 0-2 b. 3-5 c. 6-8 d. 9-10

2. With regards to the organization and management of my client files, I intend to:

a. Implement a completely new approach b. Implement numerous modifications to my existing system c. Implement some modifications to my existing system d. Continue using my existing system “as is”

3. In order to accomplish the above, I will need to do the following:

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

4. Bearing in mind the Client File Management Regulation, the client file management system I intend to use in my practice is best described as follows: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

5. The system described above accounts for security and confidentiality considerations in the following ways: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


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Appendix A

Client File Content Checklist Template

NOTE: This template is provided by ICCRC for members’ consideration and use when creating their own client file management system. Members are encouraged to adapt the template to meet the needs of their practice.

Item Description Part of the File (√)

1. Client property record (e.g., Client Property Register)

description of all client property

date client property was received by RCIC and returned to client

client acknowledgement of receipt of returned property

2. Initial Consultation Agreement

3. Retainer Agreement

4. Other relevant agreements

5. Client’s written authorization of designate (where applicable)

6. Copies of Client documents/property:

passport

police clearance

marriage certificate

academic transcripts

certified translation of document, etc.

7. Copies of supporting documents to the immigration/citizenship application:

police clearance



certified translation of documents, etc.

8. Copies of immigration/citizenship applications or submissions on behalf of client

9. Copies of correspondence between/about the client/designate and RCIC


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Item Description Part of the File (√)

10. Copies of billing documents

invoices

receipts, etc.

11. Client Communication Register

12. Original Client documents/property

passport

police clearance



certified translation of document, etc.

13. Documents produced by the government in connection with the retainer agreement

letters, etc.

14. Documents produced by third parties in connection with the retainer agreement

IRCC, etc.

15. Original correspondence from the client/designate

16. Instructions from the client/designate

17. Documents or other property RCIC was retained by the client to prepare in connection with retainer agreement

18. Copies of draft documents

19. RCIC’s working notes/summaries

20. RCIC’s inter-office memoranda

21. RCIC’s time entries and logs

22. Other documents prepared for RCIC’s benefit and protection

23. RCIC’s client account records

NOTE: The items appearing in italics above are suggested components, while the items appearing in regular font are mandatory components for all RCICs.


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Appendix B

Active Client File Register Template (SAMPLE)


RCIC Name: R. Maloney RCIC #: 987654

Client File # Client's last name Client's first name Address Telephone # Notes Choi,J_PNP Choi Joon 135-283 Seoul Special

CityYongsan Ward 82 775 3354 Telephone contact sporadic.

Use e-mail.

Garcia,E_IC Garcia Eduardo Calle de Orfila 6 28010 Madrid, Spain

34 915393192

Jackson,A_IC Jackson Aiyana 7939 Essen Park, Baton Rouge, LA

225 663 6563 Relatives in New Brunswick.

Maninder,C_PNP Maninder Chandraraj C-57 Bandra Kurla, Bandra East, Mumbai 400 051 India

91 22 28315437

Pham,C_PNP Pham Cam Road No. 60 Psa Seu Market, Siem Reap, Cambodia

855 063 28034595

Belhand,M_QSW Belhanda Mustapha 3rue Mohamed CoteAvenue des FAR Casablanca

212 522 543577 CSQ complete.

Abdesalem,M_IC Abdesalem Mehdi 84 rue de Palestine, Tunis 1002

216 1 347774


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Appendix C

Client Property Register Template (SAMPLE)


Client Name: JAI, Nabhi Client File #: Jai,Nabhi_FSW

Description of Property Date Received Signature of Client/Designate

Date Returned Signature of Client/Designate

1. Passport (copy kept)

20/11/2007

20/11/2007

2. Certificate of Registration of Birth (copy kept)

20/11/2007

20/11/2007

3. Bachelor of Electrical Engineering Diploma (copy kept)

20/11/2007

26/11/2007

4. Masters of Computer Science (copy kept)

20/11/2007

26/11/2007

5. Letter of Offer of Employment

26/11/2007

13/12/2007

6.

7.


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Appendix D

Client Communication Register Template (SAMPLE)


Client Name: Jai, Nabhi Client File #: Jai,Nabhi_FSW

Date Duration of Communication

Description of Communication Actionable Items

20/11/2007

1 hour 30 mins

Initial consultation about coming to Canada, preferably to Quebec, as a Skilled Worker. As a non-Quebec registered RCIC, I mentioned joint representation. He agreed. Is in Canada on Visitor status to investigate possibilities. Has cousin in Ont. who referred him.

Received payment for 1.5 hour consultation, to be deducted from RA fee when signed. I will contact Quebec RCIC, C. Fortier.

21/11/2007

30 mins

Telephoned C. Fortier to explore interest in co-representation of Mr. Jai. Fortier will handle CSQ duties and I retain balance of representation.

Sent Co-representation Agreement to Fortier. I will sign RA with client.

21/11/2007

15 mins

Contacted Mr. Jai by phone to confirm arrangement with C. Fortier and set appointment to sign RA on 26/11.

Client will sign a separate RA with Fortier for Imm. Que. requirements.

23/11/2007

30 mins

Received and reviewed signed Co-representation Agreement from C. Fortier. Also received RA from C. Fortier for client to sign on the 26th.

I signed the Co-representation Agreement and resent signed copy to Fortier.

26/11/2007

1 hour 30 mins

Met with client in person and with C. Fortier via conference call to review terms of RA in detail. Client tri-lingual, no need for translation.

Both RAs signed. Client completed and signed IMM5476. First instalment payment received.

13/12/2007

30 mins

Client telephoned to state intention to withdraw application. Client won a Green Card in the U.S. immigration lottery. Has family in Texas to assist him in establishing residence.

Returned client funds (deposit) less 10%. administrative fee. C. Fortier advised by phone of client withdrawal. Administrative fee to be shared as per mutual agreement. Docs returned by mail. FILE CLOSED.


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Appendix E

Client File Deadline Reminder Systems Resource

System Name Description of System Suitable Practice Size (small/large)

1. Accordion File Folder System

Requires a 1-31 pocket accordion file folder, which is labelled by month or day.

You or your staff member makes a copy or note of whatever the RCIC needs to be reminded of. This copy/note includes the client name, file #, reason for the reminder, and the “bring forward” date.

The copy/note is filed under the appropriate month or day.

Every morning you, or your staff, pull all copies/notes for that day.

The work can be done on the actual copy and re-filed in the client file.

small or medium

2. Reminders In or On the File

Reminder dates are highlighted in the actual file, written in red ink on the file cover, written in columns on the front cover, or written on a form inside the file.

Once the task is completed, the item is crossed off.

small or medium

3. Whiteboard You/your staff member write the daily/weekly/monthly deadlines on the whiteboard.

The whiteboard is consulted and acted upon daily.

Once the task is completed, the item is erased.

small or medium

4. Index Cards Set up a card box with a set of dividers—labelled with the month/day of the year.

On plain 3” x 5” index cards, record the reminder date, client name, file #, and reason for reminder.

Create one card per reminder or have one card per file.

Every morning, you or your staff member: o pulls all cards for that date o pulls appropriate files o attaches reminders to the file

At end of day, RCIC provides new dates and reasons for the files to be brought forward. This information is entered on a new card or the existing card and slotted into the appropriate date.

small or medium


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5. Central diary Your staff member notes the client name, file # and reason for reminder under the

appropriate date in his/her paper or electronic diary.

This diary is shared with you, which constitutes the backup system.

When the reminder date comes up on the diary, the staff member: o pulls the file and notes the reason it is being brought forward o crosses off the diary entry in his/her system

At end of day, you return the file to your staff member along with any work done.

The staff member creates a new reminder date in the diary.

Cross off the date in your diary.

small, medium (paper-based)

large (electronic-based)

6. Computer Systems

Utilize file management software, which can be networked for sharing information between offices.

Information must be regularly inputted, and checked. It is better if fewer people have access to changing the information on the system.

You or your staff must input into the computer system the client name, file #, reminder date, and the reason for the reminder.

A daily, weekly, and monthly report should be generated.

The computer database should be regularly backed up.

small, medium or large

Reference: Morris, J. & Myers, G. (2006). Opening and Maintaining Client Files—Practice Resources. Retrieved from www.lawsociety.bc.ca/docs/practice/resources/ClientFiles.pdf.

http://www.lawsociety.bc.ca/docs/practice/resources/ClientFiles.pdf


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Appendix F

Closing/Transfer Client File Registrar Template (SAMPLE)


RCIC Name: R. Maloney RCIC #: R987654

Client Name/File #

Date File was Closed/Transferred

Nature of Activity (Closed/Transferred)

Notes

Anderson,Jim_FSW 15/06/2004 Closing Successful completion. All property returned. No outstanding payments.

Brown,A&D_SS 20/03/2005 Transfer Application withdrawn after file submission. Applicants divorced during process. No refund granted. Principal applicant requests file transfer to new counsel, John Smith.

Gomez,Aura_PNP 05/11/2007 Closing Successful completion. All property returned. No outstanding payments.

Jai,Nabhi_FSW 13/12/2007 Closing Application withdrawn within 30 days of signing the Retainer Agreement. Client won a Green Card in the U.S. immigration lottery. Deposit refunded minus 10% Administration Fee.

Kabir,P&M_SS

10/04/2008 Closing Successful completion upon appeal to IAD of the initial negative 2006 decision of Visa officer. All property returned. No outstanding payments.

Nesbit,E_PNP 16/07/2008 Closing Unsuccessful application. Client found inadmissible for misrepresentation on professional qualifications, and false documentation. All property mailed (registered) and returned undelivered. Client no longer at that address. No current phone number available. Property retained in Client File.


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Appendix G

Ownership of Client File Contents Resource

Category Examples Client/designate Member Documents existing prior to and including Retainer Agreement

Initial Consultation Agreement

Retainer Agreement

Client/designate instructions

Client authorization for designate

Copies previously given to the client/designate

Keep

Client’s original documents

Passport

Marriage certificate

Birth certificate, etc.

Return

Keep a copy

Documents prepared for client or received by member on behalf of client in connection with retainer agreement

Applications

Formal letters

Originals of letter from member to client

Copies of letters from member to third party

Document drafts and copies

Letters received by member

Official documents from immigration agencies

Return

Keep a copy, unless the document can be retrieved from another source

Draft documents prepared by member in connection with the retainer agreement

Draft letters

Draft application forms

Provide to client/designate

Keep a copy if the document may be an issue in future


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Third party documents sent to member

Letters received by member from third parties

Receipts for disbursement paid by member on behalf of client

Provide to client/designate

Keep a copy if the document may be an issue in future

Documents prepared by member for his/her benefit

Working notes and summaries

Inter-office memoranda

Time entries and logs

Notes and other documents prepared for the member’s own benefit and protection

Keep

Documents client sent to member—ownership intended to pass to member

Originals of letters from client to member

Instructions from client to member

Authorizations from client to member

Keep

Financial Records

Client account records in connection with retainer agreement

Keep

Reference:

The Law Society of Upper Canada. (2012, March). Guide to Retention and Destruction of Closed Client Files—For Lawyers, Appendix 3. Retrieved from http://lsup1.hosted.exlibrisgroup.com:1702/primo_library/libweb/action/display.do?tabs=moreTab&ct=display&fn=search&doc=EKTRON2147499150_en&indx=1&recIds=EKTRON2147499150_en&recIdxs=0&elementId=0&renderMode=poppedOut&displayMode=full&frbrVersion=&dscnt=0&vl%281UI0%29=contains&onCampus=true&query=any%2Ccontains%2CGuide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&tab=default_tab&dstmp=1437577254223&dym=true&highlight=true&vl%289076869UI0%29=any&mode=Basic&search_scope=local_ektron&displayField=title&group=GUEST&vl%28freeText0%29=Guide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&vid=LSUCEKTRON&institution=LSUC

http://lsup1.hosted.exlibrisgroup.com:1702/primo_library/libweb/action/display.do?tabs=moreTab&ct=display&fn=search&doc=EKTRON2147499150_en&indx=1&recIds=EKTRON2147499150_en&recIdxs=0&elementId=0&renderMode=poppedOut&displayMode=full&frbrVersion=&dscnt=0&vl%281UI0%29=contains&onCampus=true&query=any%2Ccontains%2CGuide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&tab=default_tab&dstmp=1437577254223&dym=true&highlight=true&vl%289076869UI0%29=any&mode=Basic&search_scope=local_ektron&displayField=title&group=GUEST&vl%28freeText0%29=Guide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&vid=LSUCEKTRON&institution=LSUC






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Appendix H

Steps for Closing, Storing and Destroying Client Files Resource

Step 1: Closing Client Files

a. Close the File

Step Taken (√)

Have you completed all work for which you were retained?

Have you reported the completion of the file to the client/designate?

Have you forwarded the account statement (amount owing or owed) to the client/designate?

Has the account been settled (paid in full or refunded, as needed)?

b. Strip the File

Step Taken (√)

Have you removed all unnecessary duplicates?

Have you made appropriate copies for the client file?

Have you returned client property?

c. Communicate with the Client/Designate

Step Taken (√)

Have you notified the client/designate that the file is closed?

d. Establish a Projected Destruction Date

Step Taken (√)

Have you established a projected file destruction date?


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Have you recorded this date in your “Destruction of Client Files” chart?

e. Classify the File as Closed

Step Taken (√)

Have you classified the file as closed?

Have you recorded this date in your “Destruction of Client Files Chart”?

Step 2: Storing Client Files

a. Method of Storage

Step Taken (√)

Have you decided whether to store the closed files in paper or electronic format or a combination of the two?

If you are storing closed files electronically: Do you have the necessary hardware and software to retrieve these documents during the retention period? Do you have a procedure in place to ensure that your hardware and software remains up-to-date during the

retention period? Do you have a backup system for the files? Do you need to encrypt or password protect the files?

b. Place the File in Storage

Step Taken (√)

Is the storage location secure?

Have you met your confidentiality obligations?


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Step 3: Destroying Client Files

a. Review the File Prior to Destruction Step Taken (√)

Does the projected destruction date need to be modified?

b. Destroy the File

Step Taken (√)

Does your method of destruction maintain client confidentiality? (e.g., shredding service, sending documents to “Trash”, removing all temporary and back up files and emptying the “Trash” etc.)

c. Establish a Record of Destruction

Step Taken (√)

Have you updated your “Destruction of Client Files” chart?

Reference:

The Law Society of Upper Canada. (2012, March). Guide to Retention and Destruction of Closed Client Files—For Lawyers, Appendix 5. Retrieved from http://lsup1.hosted.exlibrisgroup.com:1702/primo_library/libweb/action/display.do?tabs=moreTab&ct=display&fn=search&doc=EKTRON2147499150_en&indx=1&recIds=EKTRON2147499150_en&recIdxs=0&elementId=0&renderMode=poppedOut&displayMode=full&frbrVersion=&dscnt=0&vl%281UI0%29=contains&onCampus=true&query=any%2Ccontains%2CGuide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&tab=default_tab&dstmp=1437577254223&dym=true&highlight=true&vl%289076869UI0%29=any&mode=Basic&search_scope=local_ektron&displayField=title&group=GUEST&vl%28freeText0%29=Guide+to+Retention+and+Destruction+of+Closed+Client+Files%E2%80%94For+Lawyers&vid=LSUCEKTRON&institution=LSUC.







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Appendix I

Destruction of Client File Register Template (SAMPLE)


RCIC Name: R. Maloney RCIC #: R987654

Client Name and File # (where applicable)

Client’s Address Description of scope of service

File Closing Date

Projected File Destruction Date

Actual File Destruction Date

1. Anderson,J_FSW

42 Novel Dr. Guelph ON, N1C 1A1

Federal Skilled Worker

15/06/2004

15/06/2010

30/ 06/2010

2. Brown,A&D_SS

109 Trinity St. Port of Spain, Trinidad and Tobago

Spousal Sponsorship

20/03/2005

20/03/2011

31/03/2011

3.

4.

5.

6.

7.


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Appendix J

Master Client File Register Template (SAMPLE)


RCIC Name: R. Maloney RCIC #: 987654

Client File # Client's last name Client's first name Address Telephone # Status of file

Anderson,J_FSW Anderson Jim 42 Novel Dr., Guelph ON, N1C 1A1 519 243 5467 Destroyed

Brown,A&D_SS Brown Alicia and Devon 109 Trinity Street, Trinidad & Tobago 707 978 2934 Destroyed

Choi, J_PNP Choi Joon 135-283 Seoul Special City, Yongsan Ward

82 775 3354 Active

Garcia, E_IC Garcia Eduardo Cale de Orfila 6 28010 Madrid Spain 34 915393192 Active

Gomez, A_PNP Gomez Aura Carrera 13 #85 Cundinamarca Bogota Colombia

57 378 7311 Closed

Jackson, A_IC Jackson Aiyana 7939 Essen Park, Baton Rouge, LA 225 663 6563 Active

Jai, N_FSW Jai Nabhi GPO Box No. 93, Rawalpindi, Pakistan

92 51 644 2002 Closed

Kabir, P&M_SS Kabir Padma and Musheer Block No. 9 Sector 17A 160017, India 91 172 495 5545 Closed

Maninder, C_PNP Maninder Chandraraj C-57 Bandra Kurla, Bandra East, Mumbai, 400 051 India

91 22 28315437 Active

Pham, C_PNP Pham Cam Road #60 Psa Seu Market Siem Reap Cambodia

855 063 28034595 Active

Nesbit,E_PNP Nesbit Eugenie 1602 Wellington Rd. Basseterre, St. Kitts

869 467 1312 Closed

Belhanda,M_QSW Belhanda Mustapha 3 Rue Mohamed Cote Avenues des FAR Casablanca

212 522 543577 Active

Amrabat, H_TQQ Amrabat Hamza Rue Ech Cherif Amziane Casablanca 212 522 467900 Closed

Abdesalem,M_IC Abdessalem Mehdi 84 rue de Palestine, Tunis 1002 216 1 347774 Active

Pierre, JD_PF Pierre Jean Denis La Caranage Blvd Cap Hatien, Haiti 509 2370 2031 Closed