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client file audit checklist

1. Client Information Verification

Confirm client identification details (name, address, contact information)

Review engagement letters and retainer agreements

Validate the client’s date of birth or business formation date

2. Case Documentation Review

Check for complete case files (pleadings, motions, correspondence)

Ensure all relevant documents are signed and dated

Verify the accuracy and completeness of case summaries and notes

3. Billing and Financial Records

Review invoices for accuracy and timely billing

Confirm payments received and outstanding balances

Check for any discrepancies in billing rates or hours logged

4. Compliance and Ethical Standards

Ensure compliance with relevant legal and ethical guidelines

Review conflicts of interest checks

Confirm that all necessary disclosures have been made to the client

5. Communication Records

Verify that all client communications are documented

Check for timely responses to client inquiries

Review any notes on meetings or telephone calls with clients

6. Deadlines and Important Dates

Confirm all statutory deadlines are recorded and monitored

Review the calendar for upcoming court dates and filing deadlines

Ensure proper follow-up on key dates and milestones

7. Confidentiality and Security Measures

Check for secure storage of client files (physical and electronic)

Review protocols for sharing information with third parties

Ensure compliance with data protection regulations (e.g., GDPR, HIPAA)

8. Client Satisfaction and Feedback

Assess follow-up actions taken in response to client concerns

Maintain documentation of client interactions related to feedback

9. File Closure and Retention

Confirm that all case files are complete before closure

Review file retention policies and compliance with state bar requirements

Ensure proper archiving of closed files for future reference

10. Final Review and Recommendations

Summarize findings from the audit

Identify areas for improvement or action items

Prepare a report for management review and follow-up actions

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