Policies

File Retention Policy

EFFECTIVE MAY 10, 2004

Dufford, Waldeck, Milburn & Krohn, LLP (the "Firm") has established the following policy to govern the storage, retention, and destruction of client files. This policy formalizes many procedures that were previously in place, and is intended to apprize all clients of the Firm as to when and how client files will be retained. This policy applies to all client files however represented, including files stored by electronic means.

I. ORIGINAL DOCUMENTS AND OTHER MATERIALS

All original documents provided by a client to the Firm may be copied and the copies retained. The original documents, however denominated, remain the property of the client and will be returned to the client as soon as practicable, but generally no later than the conclusion of the matter for which the Firm was retained.

Sometimes during the course of representation, original documents must be retained in order to assist the Firm in handling a client’s legal matter. Examples include retention of an original promissory note, will, letters, photographs, stock certificates, deeds, or business records as evidence in a lawsuit. In those instances, the Firm will retain custody of the original documents until the matter is concluded at which time the documents will be returned to the client, with copies retained by the Firm, unless the original is made a part of the Court file or was surrendered to a third party as part of our representation of our client.

When requested by the client, or when needed in the judgment of the responsible attorney, the Firm will prepare an index of original documents delivered to its custody. The extent of the index will be vested in the discretion of the responsible attorney, or as specifically directed by the client. Clients are encouraged to communicate any specific document retention needs to the attorney handling their matter.

II. FILE CLOSURE

Whenever possible, the Firm will notify the client in writing when a particular matter has been concluded. Ordinarily, this will occur upon the consummation of the transaction or termination of the legal proceeding for which the Firm was retained. Upon closure of the file, the Firm will endeavor to cull the file of all original documents and return same to the client. The file then will be placed in storage as an inactive file, or it may be digitized and stored electronically.

Upon request, the Firm will provide copies of non-original documents generated or kept by the Firm in the course of representation. The Firm may charge the client the reasonable costs of copying or assembling voluminous records.

Documents constituting the internal impressions, thought processes, and opinions of the attorneys of the Firm constitute attorney "work product" and remain the property of the Firm. This material is not subject to return to the client, and may be retained or destroyed at the discretion of the Firm on a case by case basis.

III. FILE RETENTION

The Firm will not be obligated to retain inactive client files beyond ten (10) years from the date of the completion of the case or matter, except as otherwise expressly agreed in writing with the client. Inactive files which are more than ten years old may be subject to destruction in the sole discretion of the Firm. Prior to destruction, the Firm will review client files to avoid the inadvertent destruction of original client documents, and if possible and such documents have not already been returned, such documents will be returned at the time of file destruction, if the firm has a current address for the client. Clients should keep the firm advised of any change of address to allow for delivery of such documents; if the client address is not current, the original documents may be destroyed.