Law firm client file audit checklist
Regular file audits are essential to firm risk management and quality assurance. This checklist is for practice managers and partners conducting random or scheduled audits.
This is a 12-step client file audit checklist for Australian law firms. It covers intake, costs, supervision, file notes, and risk documentation.
The checklist
Verify conflict check
Check that a conflict check was completed and saved before matter opening.
Verify client identification
Check VOI evidence and CDD documentation on file.
Check costs disclosure
Check costs disclosure letter and client acceptance are on file.
Check costs agreement
Check a signed costs agreement is in place where required.
Check engagement letter
Confirm scope of engagement letter is clear and client-acknowledged.
Review file notes
Check file notes are contemporaneous and capture key advice.
Check critical dates
Check limitation dates, court deadlines, and key dates are diarised.
Check correspondence filing
Check all correspondence is filed in the document management system.
Check supervision records
Check supervision notes for junior lawyer files.
Check trust records
Check trust receipts, ledgers, and disbursements for compliance.
Check interim bills
Check interim bills are raised in line with the costs agreement.
Prepare audit report
Prepare an audit report noting issues and recommended actions.
When this checklist applies
Use for scheduled or random file audits as part of firm risk management.
Common pitfalls
- File notes not contemporaneous
- Costs disclosure missing
- Engagement scope undefined
- Supervision records absent
- Critical dates not diarised
Run this checklist on a real matter
Quillio can run automated file audits flagging gaps against a checklist. See /practice-areas/firm-management or start a free trial.
General guidance for file audits. Apply firm procedures and jurisdictional legal profession rules.
Use this checklist on your matter.
Quillio can run this checklist on a specific NSW conveyancing matter — confirm each item, calculate adjustments, and generate the supporting documents. The free trial requires no credit card.
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