The process of declaring a client matter to be "closed" and then actually closing the matter in the firm's systems is not an ethical issue, as it has nothing to do with how the firm chooses to handle the file materials after matter closure (which is a retention/disposition issue). Consequently, there isn't much official literature on this subject because each firm has to create its own guidelines/procedures based on which systems are involved, i.e., which departments/systems are involved in closing matters: accounting, conflicts, records management; one or more of these, or all three? I recall many discussions on this issue over the years on the ILTA records management listserv and on the legal RM listserv, so you can go to the archives of these lists to obtain anecdotal information about how various firms handle matter closing. There may be no right or wrong way to do it, but the universal best practice is to (1) develop a criteria, such as the one David mentions below from the RIM textbook, (2) develop a workflow-based procedure that derives from the criteria, and (3) follow the criteria and the procedure consistently. The worst practice is to leave matters open in the firm's systems even though they have been inactive for years (which is what many firms do).
--Lee
Lee R. Nemchek, MLS, CRM, IGP
Vice President, Enterprise Records Governance
Oaktree Capital Management, L.P.
333 South Grand Avenue, 28th Floor
Los Angeles, CA 90071
p +1 213 830-6252 f +1 213 830-8504
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www.oaktreecapital.com
-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf Of Steward, David
Sent: Thursday, October 03, 2013 8:11 AM
To: [log in to unmask]
Subject: Re: Guidance or Checklist for Closing Legal Records
Page 233 has a great account of issues regarding Formal Closure, Partial Inactivity, Dormancy, and Cessation of Work. It isn't a form nor is it a checklist, but I believe it is a good guide and may assist you in creating such a checklist.
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