Managing Data in Your Client Files

​​By Kim Henry, Resource Advisor
State Bar of Georgia, Law Practice Management Program

​Data security and management have never been more critical for law firms, as digital information continues to grow at an unprecedented rate. Georgia lawyers must be especially diligent in securing and managing client file data to ensure compliance with ethical and legal obligations. One of the most common questions lawyers ask is, "How long do I have to keep client files?" While some requirements are clearly defined, broader data management policies are essential to protect client confidentiality and firm integrity.

---

​Developing a Comprehensive Data Retention Plan
A well-structured data retention plan is essential to define what information should be saved, what should be securely destroyed, and when these actions should occur. This plan must align with the Georgia Rules of Professional Conduct, regulatory requirements, and best practices for data security.

Key Ethics Rules Governing Data Retention
The Georgia Rules of Professional Conduct provide specific guidance on retaining client file data:

• Trust Account Records (Rule 1.15(I)(a)(1)): Lawyers must retain complete records of trust account funds and other client property for six years after the termination of representation.
• Confidentiality Obligations (Rule 1.6): The duty to maintain confidentiality continues beyond the termination of representation, requiring reasonable security measures to protect client records from inadvertent disclosure.
• Returning Client Files (Rule 1.16(d)): When representation ends, lawyers must surrender papers and property the client is entitled to receive, including electronic files. Clients should be given a written opportunity to obtain their files before any scheduled destruction date. A lawyer may retain copies at their expense, but files cannot be withheld due to unpaid fees or copying costs (Formal Advisory Opinion No. 87-5).
• Case Law Considerations: Courts have provided guidance on limited exceptions to file production obligations (e.g., Swift, Currie, McGhee & Hiers v. Henry, 276 Ga. 571, 573 and n.3 (2003)). Copies provided throughout the case may not satisfy file return requirements (Adams v. Putnam County, 290 Ga. App. 20, 21, 658 S.E.2d 805, 807 (2008)).

​Beyond Ethics Rules: Other Data Retention Considerations
In addition to the ethics rules, law firms must consider industry regulations governing personal and sensitive information:

• Personal Confidential Information (PCI): Ensure compliance with privacy laws governing Social Security numbers, addresses, and other personal data.
• Health Information: If handling medical records, firms may need to comply with HIPAA regulations.
• Financial Records: Financial data must be protected per applicable banking and consumer protection laws.

Firms should stay updated on evolving regulatory requirements by monitoring guidance from relevant agencies and legal industry sources.

Implementing Secure File Retention and Destruction Practices
To modernize file retention practices, law firms should:

1. Digitize and Secure Data: Utilize encrypted cloud storage and secure document management systems to store client files safely.
2. Set Clear Retention Periods: Establish retention policies based on legal, ethical, and regulatory requirements.  
3. Automate File Review and Destruction: Implement a document retention schedule to periodically review and securely delete outdated records.
4. Train Staff on Data Security: Conduct regular training on cybersecurity, file management, and ethical obligations.  
5. Have a Cybersecurity Plan: Ensure policies address data breaches, unauthorized access, and recovery strategies.
6. Provide Clients with File Return Options: Offer secure electronic delivery methods when returning client files to improve efficiency and client convenience.

Need Assistance? Contact the State Bar
For guidance on best practices, consult the State Bar’s Law Practice Management Program or the Ethics Helpline at 404-527-8741 for support in developing compliant and secure file retention and destruction policies.

By proactively addressing client file management with modern solutions, law firms can enhance security, maintain compliance, and streamline operations in the digital age.