Record Retention Policy

RECORD RETENTION & MANAGEMENT POLICY OF CURCIO LAW, PLLC

SECTION I: PURPOSE

This Record Retention & Management Policy (“Policy”) of Curcio Law, PLLC (“Firm”), as from time to time amended, is intended to fulfill the legal and regulatory obligations imposed on the Firm and its employees by the Michigan Rules of Professional Conduct and all applicable State and Federal record retention and record management laws and regulations.

This Policy is intended to provide (1) instructions to lawyer and nonlawyer personnel concerning their obligations under the Policy; (2) information concerning the location of storage facilities; (3) methods for the eventual disposition of records and files; (4) information concerning retention periods and the establishment of retention periods; and (5) a system for monitoring lawyer and nonlawyer employee compliance with the plan.

SECTION II: RESPONSIBILITIES

All Firm members and employees shall receive and review a copy of this Policy as a condition of employment or contracting with the Firm. All Firm members and employees are responsible for appropriate record retention and management in compliance with this Policy.

SECTION III: INFORMATION CLASSIFICATION

As used in this Policy:

“Records” are “information created, received, and maintained as evidence and as an asset by an organization or person, in pursuit of legal obligations or in the transaction of business.” Records Management ISO Standard, ISO 15489. Put simply, a record can be defined as evidence of an event.

“Nonrecords” are materials collected for reference value only. Some examples are blank forms, personal papers, or reference manuals. Nonrecords do not need to be retained.

“Transitory Records” are records of temporary usefulness that are needed for only a limited amount of time. Examples include routine notices or memos regarding holidays or special events and drafts of letters or memos.

“Representation File” or “File” is the amalgamation of all Records, Nonrecords, and Transitory Records pertaining to a particular client, or particular client matter, of the Firm.

SECTION IV: RECORD MANAGEMENT

The Firm shall maintain a practice management software solution, e.g. Clio, and an electronic records storage solution, e.g. Microsoft 365 One Drive. All records shall be digitized and saved electronically in such practice management software or electronic records storage solution. Backup electronic records are to be saved on a local, external, encrypted hard drive or otherwise on secure servers.

It is the Firm’s goal to retain and maintain as few hard copy Files as possible. Files are to be digitized and stored electronically. When appropriate, original hard copy records are to be remitted or returned to the client as soon as practicable after receipt and appropriate use in the context of representation, or otherwise after the client matter is closed. Original digital records may be saved in the same manner as other digitized records, with copies remitted to the client as soon as practicable after receipt and appropriate use in the context of representation, or a digital copy may be saved in the same manner as other digitized records, with the digital original remitted to the client as soon as practicable after receipt and appropriate use in the context of representation, or otherwise after the client matter is closed.

Matter closing: A client File shall be reviewed by the responsible attorney before their matter is closed and prepared for storage. No matter or File shall be closed or scheduled for destruction under a retention schedule until all matters included in the scope or scopes of representation have been concluded and the Firm’s contractual obligations to the Client fulfilled. A matter or File cannot be closed until all outstanding fees are paid or discharged. A matter or File cannot be closed until there is a final distribution and accounting of all trust account balances relating to the File, if any.

SECTION V: RETENTION SCHEDULE

The Firm will retain the Representation File throughout the period in which it represents Client. With the exception of certain Firm work product, the File is the Client’s property. When representation is terminated and upon Client’s request and remittance of applicable reproduction fees, the Firm will provide Client with a copy of the File. The Firm reserves the right to destroy the File five (5) years after termination of representation. At least thirty (30) days prior to destroying the File, the Firm will mail to Client’s last known address a notice of the Firm’s intent to so destroy in order to provide Client the opportunity to retrieve a copy of their File prior to destruction. Records and client Files may be maintained by the Firm for longer than five (5) years.

SECTION VI: RECORD DESTRUCTION

At the Firm’s sole and absolute discretion and pursuant to the then applicable retention schedule, the Firm may destroy records and Files it maintains. Hard copy records and Files shall be destroyed by any means which ensures the continued maintenance of confidentiality and privilege, e.g. shredding, incineration, etc. Digitized records and Files shall be destroyed by any means which ensures the continued maintenance of confidentiality and privilege such that the records and Files cannot be restored or recovered, e.g. permanent deletion, wiping/erasure, physical destruction of hard drive, etc.

SECTION VII: POLICY COMPLIANCE

The Member(s) shall periodically audit record retention and record management systems and processes for compliance with this Policy. If there is more than one Member, then the Members shall designate at least one (1) Member to be responsible for such periodic audits and the recommendation of any needed changes. In the absence of such designation that Member shall be James Curcio. After this Policy has been in place for one (1) year, the Member so designated shall conduct a compliance audit at least once per calendar year thereafter.

SECTION VIII: POLICY MODIFICATION

The Firm reserves the right to modify this Policy at any time.

How to Contact Us

If you have any questions or comments about this Policy, please contact us at:

Curcio Law, PLLC
625 Kenmoor Ave. SE Ste. 301
Grand Rapids, MI 49546
(616) 226-1861
jcurcio@curciolawmi.com

This Policy was last updated June 28, 2024.