<What is the policy of the firm in regards to who actually owns the
files? When I was  Records Manager for a firm in Seattle, the files
actually belonged to the client since the client was paying all of the
fees. We retained copies and the originals went to the client.>

That's another tricky question Steve and depends on the presiding Ethics
Opinions of the relevant state(s), and each firm's interpretation of
them as well as their risk tolerance.  

In general, there seems to be a traditional 'consensus' that 'client
files' belong to the client, however as law firms really delve into the
issue of retention in earnest, they are finding that not everything that
makes up a 'client file' is always the client's property (attorney notes
is an interesting example - and one with differing conclusions among
different states).  Another example of material that can be found in a
'client file' that is generally seen as 'firm property' is the billing
and engagement files/material.

As to the zero balance comment, many states do not allow a firm to delay
or deny file transfer to new counsel because of an outstanding balance.
The rub is that, as part of the rules of professional conduct, the
attorney must always hold the client's best interest at the forefront,
and withholding relevant documents from new counsel goes against that
tenet.  Again though, depends on your state, your firm and your risk
tolerance.

Julie
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