Client Files and Property Retention Policy

Last updated: December 2025

1. Purpose

1.1 The purpose of this Retention Policy is to provide procedures for the closing, retention, and destruction of client files and property by Hum Law Firm (“HLF” or the “firm”).

2. Definitions

 2.1   In this Retention Policy, the following terms have the following meanings:
 “Client file” or “file” means the physical paper folder containing the documents related to the matter and/or the electronic folder or directory containing the electronic files, documents, data, or information related to the matter.  HLF’s client files are predominantly in electronic format. Electronic data and information may include email, draft versions of documents on a server or document management system, scanned/imaged documents, faxes (where there are no paper copies), voicemail, metadata, and any other information or data relating to a matter saved and stored in electronic form (e.g. on servers, magnetic media, magneto-optical systems, compact discs, DVDs).

“Client property” is all property that the client provided to HLF during the matter together with all documents or other property that HLF was retained to produce in connection with the matter.

“File destruction date” is the date on or after which a file may be destroyed.

“File review date” is the date on which (or shortly after) the responsible licensee(s) should review the file to ensure the file destruction date is still appropriate.

“Responsible licensee(s)” is/are the lawyer(s) or paralegal(s) who have carriage of the entire file or portion of a file or other lawyer(s) or paralegal(s) in HLF who have been assigned responsibility for the entire file or portion of a file. If a file has more than one responsible licensee, each should review their portion of the file to ensure compliance with these policies.

3. Reviewing and closing the file

 3.1   When a matter has been completed, the responsible licensee(s) shall review the file to determine if the file may be closed.

3.2    No file shall be closed unless:

  • the retainer has been completed or terminated
  • a final account, if any, has been forwarded to the client
  • all accounts have been paid or forgiven
  • there is a final distribution to the client and accounting of all trust balances relating to the file
  • client property has been returned to the client, unless otherwise agreed and there is a plan to stay in contact with the client to receive future instructions
  • there are no outstanding undertakings or trust conditions, and
  • a letter or email has been sent to the client advising:
  • that the matter has been completed
  • that all documents and property belonging to the client have been returned to the client or alternatively confirming any arrangement between the responsible licensee(s) and the client regarding the storage and safekeeping of the client’s property
  • how the file will be stored
  • that if the client requires copies of documents from a file stored off-site, an administrative fee will be charged to retrieve the file, and
  • of the file destruction date and that the file will be destroyed on or after the file destruction date without further notice to the client.

3.3 Prior to closing the file, the responsible licensee(s) shall organize the file, and:

  • Ensure the file contains all documents that are:
    • required by law
    • required for client identification, verification, and source of funds
    • related to referral fees paid or received (if applicable), and
    • of assistance in responding to potential future allegations of malpractice or complaints.
  • Make copies of client documents that:
    • may be used as precedents and placed in the firm’s precedent bank for future use. The responsible licensee(s) will ensure that such precedent documents are stripped of all personal information within the meaning of The Personal Information and Electronic Documents Act and that client confidentiality is maintained with respect to any other information that identifies the client, and
    • are being returned to the client and cannot be readily obtained from other sources or that the firm may require in the future.
  • Ensure all necessary information has been added to HLF’s conflict checking system.
  • Ensure the firm’s books and records are complete and up-to-date.

3.4   When the file is closed, the responsible licensee(s) shall ensure that the file is:

  • marked as closed in HLF’s file management system
  • separated from active client files, and
  • added to the list of closed files including the date that the file was closed.

4. Establishing the file destruction date

 4.1   The responsible licensee(s) shall review the file to determine the appropriate file destruction date. While the responsible licensee(s) shall consider all relevant circumstances in setting the ultimate destruction date, the following guidelines will usually be followed:

  • The file destruction date should be no earlier than 15 years after the date that the file is closed.
  • For files involving a client who is a minor, the file destruction date should be no earlier than 15 years after the date the client reaches the age of majority.
  • For files involving a client who is mentally incapacitated, the file should be retained indefinitely, subject to review in 15 years.
  • A date should be set for the review of the file no earlier than 90 days prior to the file destruction date (“file review date”).

4.2   If the responsible licensee(s) determines that the file is to be retained indefinitely, the responsible licensee shall establish periodic review dates to review the file and determine whether circumstances have changed and whether the file is appropriate for destruction.

4.3   All file destruction dates and file review dates shall be entered into the firm’s reminder system.

5. Retention of closed files

 5.1   Closed physical files shall be stored in facilities that are physically secure to maintain client confidentiality and protect against damage or loss.

5.2 Closed electronic files shall be stored in a digitally secure manner to maintain client confidentiality and protect against interception, damage, or loss.

6. File destruction

 6.1   The responsible licensee shall review the file on or after the file review date and prior to the file destruction date to determine whether circumstances have changed since the establishment of the file destruction date and whether the destruction should proceed. Examples of changed circumstances that will suspend the file destruction date include, but are not limited to:

  • an actual or potential errors and omissions claim made against HLF
  • a discovery request relating to the client or the firm
  • disputes concerning the firm’s professional fees
  • complaints made to the Law Society
  • audits
  • governmental investigations.

6.2   All destruction of physical and electronic files shall be conducted in a manner that ensures the total destruction of all client information and maintains client confidentiality.

6.3   A list or database of destroyed files shall be maintained. The record shall include the following information:

  • the name and address of the client
  • the file number
  • a brief description of the matter
  • the file closure date
  • the file destruction date, and
  • the name of the responsible licensee who authorized the file destruction.