WPC uwۃAu.'֗^R4(۟j-.? lwWl # ` Ft-{!.rAi8/x靑S zڂ4o8z| P1?YN9qI?qJ h zbR魁ғW-q *N1v-USz]> */2 䋥혗"Pr?y(R]\}`Q;8Ge{*KsWZ^tՙȍN~(B`9ssPaH2f_ʣ a|/iYe$NI(=PC<'6Gaѕwʡij]*ED <F)%;2. Yn)3)qvVF_iyNMf{_ 'p_V0{9Rڶ߁m_MwC|b9t, x HN 0 ; C K  S_ 0Nc 0D 0 BHP LaserJet 4050 Series PCL,,,,0(9 Z6Times New Roman RegularX(1$OXXUSUS.,:E0 uZm,:i+003|xU\  `&Times New Roman n v$;XXUSUS.,;;    3    _Courtshavenoticed thatCaliforniahastwoconflictingabsolutes,theabsolute  rightofaclienttohisattorneysworkproduct,andtheabsoluterightofanattorneyto  protecthisorherimpressions,conclusions,opinions,andlegalresearchortheoriesfrom  disclosure.(MetroGoldwynMayer,Inc.v.SuperiorCourt(1994)25_Cal.App_.4th242,  248,citingRobertsv._Heim_(_N.D.Cal_.1988)123_F.R.D._Ԁ614,634),andnotingconflict  betweenSanFranciscoandSanDiegobarassociationopinions.)     Someofthisconflictwasclearedupwhen,in1990,theLegislatureadded   T subdivision(f)tosection2018oftheCodeofCivilProcedure,providingthatinanaction  betweenanattorneyandformerclientthereisnoworkproductprivilegeifthework  productisrelevanttoanissueofabreachbytheattorneyofadutyarisingoutofthe  attorneyclientrelationship:   X X? ,X ,X?+ ` hp x X?  , X , X?  Inanactionbetweenanattorneyandhisorherclientorformerclient,  noworkproductprivilegeunderthissectionexistsiftheworkproduct   isrelevanttoanissueofbreachbytheattorneyofadutytothe   attorneysclientarisingoutoftheattorneyclientrelationship. ?[݌   Ќ XX XX! XX!  XM X-  v$;XXUSUS.,;;    4    _Priortosendingtherecordtotheappellant,donotforgettoredactjurorsnames  fromtherecordpersection237oftheCaliforniaCodeofCivilProcedure--thisis  mandatory.Inaddition,furtherredactionmayberequiredif,forexample,youobtained  filesordocuments(includingpolicereports)fromtrialcounsel.Forinstance,victimsand  witnessesaddressesandphonenumbersreceivedbytrialcounselindiscoverypursuant  tosection1054.1,subdivision(a)ofthePenalCodecannotbedisclosedtoanyone,   includingthedefendant.(SeePen.Code,1054.2.)Avictimofasexoffensemayrequest   _nondisclosure_Ԁofhis/hernameand/oraddressaswell.(SeePen.Code,293.)(See   AppealsChecklistonPracticeToolslinkon_FDAP_swebsite.)     v$;XXUSUS.,;;    1    _ThismaterialonworkproductsummarizesalongerdiscussionJonathan_Soglin_Ԁof  _FDAP_Ԁpreparedregardingworkproduct,whichwillshortlybeavailableintheArticles  andOutlinesareaofthe_FDAP_Ԁwebsite. x v$;XXUSUS.,;;    2    _Cal.StateBar_Opn_.1992127;seealsoRulesofProfessionalConductoftheState  BarofCalifornia,rule3700,(D)(1)whichprovidesasfollows:  0  Subjecttoanyprotectiveorderornon-disclosureagreement,promptlyreleaseto  theclient,attherequestoftheclient,alltheclientpapersandproperty."Client  papersandproperty"includescorrespondence,pleadings,depositiontranscripts,  exhibits,physicalevidence,expert'sreports,andotheritemsreasonablynecessary    totheclient'srepresentation,whethertheclienthaspaidforthemornot.(l(2v$ !;XXUSUS.,  ;;    0  123top1(O$23(#$  0  8MM6Blockquote , , 5+ ` hp x 5   5+ ` hp x 5 d !;XXUSUS.,  _8\Xdd8 @"January24,2004  @ N;%  OBLIGATIONSOFAPPELLATEATTORNEY   @M M TOTURNOVERFILES TO  . @ APPELLANT/SUCCESSORCOUNSEL #; N#Ԉ  n    `     h   Fran_Ternus_ X  @``"TABLEOFCONTENTS P   I.4 O  5  ContentsofCaseFile6O  7 r""I(#.rr'2 J   II.4 O  5  ObligationtoTurnOverFileifRequestedtoDoSo6O  7 ...................2 F   III.4 pO  5  InAbsenceofRequest,WhatShouldbedonewiththeFile6O   7 b7""I(#.bbL 4  B @* F+&& Ї@ww FIRSTDISTRICTAPPELLATEPROJECTTRAININGSEMINAR  @"January24,2004  @ N;OBLIGATIONSOFAPPELLATEATTORNEY   @M M TOTURNOVERFILES TO  . @ APPELLANT/SUCCESSORCOUNSEL #; N#Ԉ x  n     `     h   Fran_Ternus_ X   %  I.ContentsofATypicalAppellateCaseFile  T   A.Communicationswithappellant typically,letterstoandfromappellantand R notesoftelephoneconversationswithappellant.  V   B.Formaldocumentsandtranscripts suchasfiledpleadings,courtordersand V opinions,aswellasdiscoveryandtheverbatimtranscriptsoftheproceedings.  Z   C.Workproduct 򀄀 definedas anywritingthatreflectsanattorneys Z impressions,conclusions,opinions,orlegalresearchortheories.(CodeCiv.Proc. ^ 2018_(c_).) ^  %  II.ObligationtoTurnOverFileifRequestedtoDoSo_ #  1      _ ^   A.FileBelongstoClient 󀄀Asageneralrule,thecontentsofthecasefile other \ thanattorneyworkproduct belongstotheclientandmustbeprovidedtotheclientor ` successorcounselattheclientsrequest._ #  2      _ԀAsseenbelow,workproductistreatedabit d  differently.     B.Obligationtoturnoverworkproducttoclient Thereisno bar againstgiving  aformerclientaccesstoworkproduct.Theonlyquestioniswhethertheattorneycan  withholdtheworkproductfromtheformerclient.Insummary,anattorneyhasanethical  obligationtodeliverworkproducttoaformerclient,uponrequest,wherethefailuretodo   sowillresultinreasonablyforeseeableprejudicetotherightsoftheformerclientor   whereacourtorderstheworkproductproduced.    (#(#K(#   C.ThreelevelsofprotectionforworkproductinCalifornia:     ;;   `  1.Purelyfactualmaterial isentitledtonoprotection. #; ;r# ;;    #; ;#   `  2. Qualifiedprotectionexistsfor workproductwhichisan   amalgamationoffactsandattorneythoughts,impressions,conclusions (_Nacht_Ԁ&   LewisArchitects,Inc.v.SuperiorCourt(1996)47_Cal.App_.4th214,217.)Suchderivative  materialwouldincludechartsanddiagrams,auditreports,compilationsofentriesin  documents,recordsandotherdatabases,appraisals,opinions,andreportsofexperts  employedas_nontestifying_Ԁconsultants.Derivativeworkproductwillbeordereddisclosed  ifdenialofdiscoverywouldunfairlyprejudicetheotherpartyorresultinaninjustice.  (CodeCiv.Proc.,2018,_subd_.(b);BPAlaskaExploration,Inc.v.SuperiorCourt(1988)  199_Cal.App_.3d1240,1250.) ;;  #; ;# ;;#; ; #   `   3.Coreworkproduct ,i.e.,materialsolelyreflecting anattorneys  impressions,conclusions,opinions,orlegalresearchortheories,is,bystatute, not  discoverableunderanycircumstances.(CodeCiv.Proc.,2018_(c_).)Workproduct,  unlikeotherpartsofacasefile,isthepropertyoftheattorney,nottheclient. However,  thecaselawonwhethercoreworkproductisdiscoverablebyaformerclientissomewhat  muddledandthereissomeuncertainlyastheextenttowhichcoreworkproductis   privileged._  #  3      _ ! Ї   D.SpecificContexts  h      p          ` 1.FederalHabeas AformerclientofaCaliforniacriminalappellate  attorneymightrequestworkproductwhentheclient,orasuccessorcounsel,ispreparing  orinvestigatingafederalhabeascorpuspetition.Whethertheappellateattorneyhad  effectivelyrepresentedtheclientinthestatecourtappealmaybeatissueinthefederal  habeasproceedings.Iftheformerclientshowsthatwithholdingtheworkproductcould   resultinreasonablyforeseeableprejudiceinthehabeaslitigation,theworkproduct   shouldbeproduced.(BASFLegalEthicsCom.,Ethics_Opn_.No.19901.)Whenthe   clientshowsthattheworkproductmightberelatedtoapossibleineffectiveassistanceof   counselclaim,subdivision(f)ofsection2018seemstorequireproduction.       ` 2.Malpractice Procedureseemstorequireproductionofworkproduct   relevanttoamalpracticeclaim,i.e.iftheworkproductis relevanttoanissueofbreach   bytheattorneyofadutytotheattorneysclient.Thisprovision,however,appearsto   applyonlywhenthereisapendingcase.Onitsface,subdivision(f)applies [_i]n_Ԁan  actionbetweenanattorneyandhisorherclientorformerclient.Itappearsthat  productionofworkproductmightnotberequiredwheretheformerclientismerely  contemplatingamalpracticeclaim.    F.Summary  ;;Ԁ#; ;I"# Thus,areasonableinterpretationisthatwhenitisreasonably  foreseeablethattheclientwouldbeprejudicedbythewithholdingoftheworkproduct,   theattorneyisethicallyobligatedtoproducetheworkproductupontherequestofthe   formerclient.Likewise,coreworkproductisdiscoverableinanactionbetweenan   attorneyandformerclientwhentheworkproductisrelevanttoanissueofbreachofa   dutytheattorneyowedtheformerclient.    %  III.InAbsenceofRequest,WhatShouldbedonewiththeFile.       A.Transcripts,OriginalDocumentsandPersonalPapersofClient 󀄀    Whenacaseends,immediatelysendthetranscripts,documents(opinions,court   orders,etc.,notpreviouslysent)andclientspersonalpapers,suchashis/hernotes  regardingthecase,toclient(ordesignee)andstoretheremainderofthefileinlongterm  storage.Inacasewithaverylargerecordorwhichcontainssensitiveinformation(e.g.  childmolestation)thatmightmaketheclientvulnerableinprison,youshouldinquire  fromtheclientastowhereshe/hewouldliketherecordssent._  #  4      _    B.OtherMaterials 󀄀 Pleadings,Correspondence,AttorneyWorkProduct,   BillingDocuments,etc.HowLongShouldTheybeKept?     Whilethetrendinrecentethicsopinionsisthat,becauseoftheuseofprior   convictionsundertheThreeStrikeslawandothercriminalstatutes,thefileinacriminal   caseshouldbekeptforthelifeoftheclient,therearenoprofessionalstandardswhichset   outthelengthoftimeacriminalfileshouldbekept.      ` 1.Professionalstandards      ` California'sprofessionalstandardsaregenerallysilentaboutlawyers'duties  tomaintainformerclients'files.Forinstance,Rule3-700(D)(1),RulesofProfessional  ConductoftheStateBarofCalifornia,mentionedaboveregardingtheclientfile,does  notestablishafixedtimeperiodforwhichanyparticularitemmustberetained.  Moreover,itdoesnotprovideguidanceonwhen,ifever,aparticularitemmaybe  discarded.       ` 2.EthicsOpinions     `  a.SanFranciscoBarAssociationFormalOpinion19961: This  committeeopinedthatthelengthoftimepapersmustbemaintaineddependsuponthe  natureofthedocument,thenatureoftheservicesrenderedtotheclient,andanyother  factorstodeterminewhetherprejudicetotheclientwouldarisebydestructionofthe  papers. Wemuststressthat[theStateBarrules]donotaddressthenumberofyears  _whichanattorneymustretainclientpapers.Thereisnorulethatprovidessuchatime  periodand,inourview,noruleshould.Thekey...istheattorneysobligationasabailee  oftheclientspersonalpropertyandtheneedtoretainpaperswhicharenecessaryto  precludereasonablyforeseeableprejudicetotheclient. Thisdutycannotbedischarged  merelybyreferencetoafixedtimeperiod.      `  b.LosAngelesCountyBarAssociationFormalOp.No.420: Ina   criminalmatter, thelawyermustmaintainthefileforthelifeoftheformerclient , unless   authorizedbytheformerclienttodestroyitorotherwise releaseit. Considerations   pertainingtothecriminaldefendantslibertyinterestintheproceedingsandtothe    possibilityofreviewofacriminalconvictionsbyappealorwrit(evenmanyyearsafter   conviction)warrantespeciallycautioustreatmentofcriminalcasefiles.       `  c.LosAngelesCountyBarAssociationFormalOp.No.475and   No.330(Nov.30,1972)) Iftheclientdoesnotrequestthefile,theclient'srighttothefile   continuesafterterminationoftheattorney-clientrelationship.OpinionNo.475suggest s  fileretentionforatleastfiveyearsafterthematterisclosedmaybeappropriateinsome  civilcases,butquotesOp.No.420thatcriminalfilesmustbemaintainedforthelifeof  theformerclient.      ` 3.CaliforniaStateBarsStandingCommitteeonProfessional  ResponsibilityandConduct      ` Althoughnotbindingauthority,theStateBarofCaliforniaCommitteeon  ProfessionalResponsibilityandConducthasissuedaformalopiniononattorneysduties  inretainingclientsfiles.Specifically,thecommitteeheldthat "clientfilesincriminal  mattersshouldnotbedestroyedwithouttheformerclient'sexpressconsentwhilethe  formerclientisalive." (Cal.St.Bar.Comm.Prof.Resp.,FormalOpn.No.2001-157.)     `     h      p    ` 4.StateBarEthicsHotline      Whenaskedhowlongacriminalappellatefilemustberetained,theStateBar ! ethicshotlineoperatorstatedthat  thefilemustbekeptindefinitelyiftheThreeStrikes " Lawisimplicated. Thefilesofacivilcaseshouldbekept57years,theystated. #   Thehotlineoperatorsaidthattheattorneymustusehisorherprofessional % ! judgment,basedontheaboveethicsopinions,whendecidingtodestroyclientfiles. &!"    ` 5.Malpractice (#$    Severalcommentatorshavesuggestedthatthefileberetaineduntilatleastthefour )$% yearstatuteoflimitationsforlegalmalpracticehasrun.(SeeCaliforniaBarJournal,July *%& 2003, ExclientsFilesPresentaQuandry.) +&' Ї  C.Ifinyourprofessionaljudgmentafilecanbedestroyed,whatisan  AttorneyRequiredtodobeforeDestroyingtheFile?     ` 1. Locateclient Anattorneyisrequiredtopursue allreasonablyavailable  meanstonotifyaformerclientinwriting ,preferablybycertifiedmailtotheclient'slast  knownaddress. Reasonablyavailablemeans' doesnotrequireyoutohirean   investigator,butyoushouldconsultthefile,publictelephonedirectories,organizations   membershipdirectories,thirdpartieswhomighthaveinformationtolocatetheformer   client'slastknownaddressortheinternet.(LosAngelesBarAssociationForm.Opn.475)      ` 2.ContentsofNotice 󀄀Minimally,thenoticeshouldadvise(1)thatthe   filesareavailableforreleasetotheclient;(2)thatyouseektheclient'sinstructions   concerningthefile'sdisposition;(3)thatthefilewillbedestroyedifnocontrary   instructionorresponseisreceivedafteratleasta90-dayperiod;and(4)whenthe   destructionwilloccur(afteratleasta90-daynoticeperiod).(LosAngelesBar  AssociationForm.Opn.475)     ` 3.Whatiftheclientcannotbelocatedordoesnotrespond?       `  a.ifthematterwasacivilcase: ifatleastfiveyearshaspassed  sincethematterwasclosed,andifatleasta90-dayperiodhaselapsedafterthesending  ofanotice,thenthefilemaybedestroyed.However,makesuretokeepanydocuments  whichhavevalue.      `  b.ifthematterwasacriminalcase: intheveryunusualsituation  whereacriminalcasefilemaybedestroyedwithouttheclientspermission , youshould  proceedasnotedforcivilcasesabove.Iftheclienthaddied,seebelow.       `  c.iftheclientisaminor: itisrecommendthatthefileberetained   untiltheminorhasreachedmajorityplusfouryearsfortheprobabletimeforalegal !  malpracticeactiontopass. "      ` 4.Whattodoifclientdies? $     Attorneyshouldmakereasonableeffortstonotifythedeceasedclient'slegal % !! representativesorlegateesoftheproposeddestructionofthefilesandgivetheman & "" opportunitytoinspectortakeanydocumentsofsignificantvalue,subjecttoyour ' ## obligationstoprotectthedeceasedclient'ssecretsandmaintainthedeceased'sconfidence. ( $$ Thenoticeshouldstatethatthefilesmaycontaindocumentsofsignificantvalue ) %% (althoughtheyneednotbeidentified)andidentifyanydocumentsofintrinsicvalue.You * && mustpreserveanydeceasedclient'sconfidentialinformation,sincethedutyof + '' confidentialitysurvivesthedeathoftheclient.Sincetheholderoflawyer-clientprivilege  istheclient'spersonalrepresentativeonthedeathoftheclient,untilthepersonal  representativeisdischarged,adisclosureofconfidentialinformationorsecretstothe  personalrepresentativeofthedeceasedclientmaybeappropriate.(LosAngelesBar  AssociationForm.Opn.491(1998))     p       ` 5.HowMustDocumentsbedestroyed      Alldocumentswhichcanbedestroyedmustbeshredded,pulpedordestroyedby   othermethodsdesignedtomakethemunreadableorundecipherablethroughanymeans.   (SeeCivilCode1798.8017908.84,whichprovidesforpenaltiesupto$3000fora    violationofthisrequirement.)Personalclientinformationcannotsimplybethrowninthe   trash.ConfidentialitymustbepreservedpursuanttoBusinessandProfessionsCode   6068(e)andEvidenceCode950etseq.     D.IfaFilemustbeRetained,WhattodoifSpaceisaConsideration?   0  0` (#(#1. Putallthepleadings,documents,notesandlettersyougenerateondisk  orCDorlatesttechnologyandputinfile.` (#` (#    ` 2. ScanallincomingmaterialonaCDorlatesttechnology,aswell.     ` 3. Reducesizeofdocuments.   0  0` (#(#4. ButnotethatpapermaylastlongerthanCDs,whichhavebeenknownto  degradeafterseveralyears;alsonotethatwiththerapidrateofchangein   technology,documentsstorednowonCDsordisksmayhavetobestored   onanothermediumlatertobereadableinthefuture. ` (#` (#    `     h     0  0` (#(#5. Maybeeasierandquickertosavedocumentsyougeneratewithasecond   harddrive.NortonGhosthasbeenreportedbypanelattorneysasagood ! programforthis."` (#` (# (#(#K(#