File note quality audit checklist
File notes are central to proving advice and instructions in professional negligence and costs disputes. This checklist is for practice managers auditing file note quality across the firm.
This is a 12-step file note quality audit checklist. It covers timing, content, attribution, and evidentiary value of file notes.
The checklist
Check contemporaneous recording
Check file notes are recorded on the same day as the event where possible.
Check author attribution
Confirm each note identifies the lawyer recording it.
Check date and time
Check date and time of the event and of the recording.
Check participants
Check all participants in the meeting, call, or interaction are identified.
Check key advice captured
Check key advice given is recorded in substance.
Check instructions captured
Check client instructions given are recorded.
Check warnings given
Check any warnings about risk, costs, or limits are documented.
Check document references
Check documents discussed are referenced with version or date.
Check action items
Check follow-up actions are recorded with responsible party and deadline.
Check amendments
Confirm any corrections are marked and dated rather than overwriting.
Check storage
Confirm notes are saved to the matter in the document management system.
Feedback to lawyer
Provide feedback to the lawyer on file note quality and areas to improve.
When this checklist applies
Use quarterly or as part of scheduled firm quality reviews.
Common pitfalls
- File notes recorded days after the event
- Advice substance not captured
- Warnings to client missing
- Overwriting rather than amending
- Notes stored outside DMS
Run this checklist on a real matter
Quillio can audit file note completeness and flag gaps against a quality standard. See /practice-areas/firm-management or start a free trial.
General guidance for file note quality audits. Apply firm procedures and evidentiary standards.
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.
Start your free trial