Quality Control Checklist

Spot-check intake files opened in the review period for government-issued ID, entity formation docs, and beneficial-owner disclosure where applicable. Missing ID is the most common intake-audit finding and creates downstream KYC and trust-deposit problems.

Pull the conflicts log from Clio, NetDocuments, or IntApp Open and confirm each new matter searched the client, related entities, opposing parties, and key witnesses — not just the named client. Single-name conflict searches are a Rule 1.7/1.10 imputation risk.

Pull a 10% sample of new engagement letters. Confirm scope, fee structure (hourly, flat, contingency), retainer amount, billing cadence, and a fee-dispute clause. Scope-creep grievances are the top fee-related bar complaint at small firms.

For matters flagged with conflict-search gaps, re-run the search across current and former clients, opposing parties, and witnesses. Document the result and have the managing partner sign off on continued representation, withdrawal, or waiver.

Verify the statute of limitations and any statutory notice deadlines are docketed with redundancy — calendar entry plus tickler plus paper-file note. A missed SOL is an automatic malpractice claim, so calendar redundancy is the only defense.

Confirm a written hold went out within a reasonable time of reasonable anticipation of litigation, that custodians acknowledged, and that custodian interviews were documented. Missed custodians are the most common eDiscovery sanctions trigger.

Pull a sample of productions from Relativity, Everlaw, or Logikcull. Verify the privilege log entries match withheld documents, redactions are complete, and a second attorney signed off. Inadvertent privileged production may not be clawback-eligible depending on the ESI protocol.

For each production this period, confirm Bates ranges are continuous, load files match the ESI protocol's specified format (Concordance, Opticon), and native files were produced where required. Reproductions due to load-file errors are a credibility hit with opposing counsel.

Where the privilege spot-check found materially produced privileged material, send a clawback notice under FRE 502(d) and the case ESI protocol immediately. Delay weakens the inadvertent-disclosure argument under FRE 502(b).

Sample documents saved to NetDocuments, iManage, or Worldox during the period. Verify matter number, document type, author, and security profile are correctly tagged. Mis-profiled documents go missing during discovery and break ethical-wall enforcement on screened matters.

Pull CM/ECF, NYSCEF, Texas eFile, or File & ServeXpress receipts for every filing in the period and tie them to the docketed matter. Look for filings stamped after midnight local court time — those count as next-day in most jurisdictions.

Spot-check briefs against the court's local rules: page or word limits, font, line spacing, certificate of service, exhibit numbering. Local-rule defects get briefs stricken without merits review.

Cross-check the firm docket (Court Alert, CalendarRules, or PMS docket) against the latest court orders. Confirm response deadlines, hearing dates, and any reset dates are calendared with 7-day, 3-day, and 1-day reminders to two attorneys.

Confirm certificates of service are signed, dated, and identify each served party with the correct method (e-service, mail, personal). Missing or sloppy certificates are common motion-to-strike fodder.

Pull a sample of inbound client emails and portal messages from the prior 30 days. Confirm acknowledgment within 24 business hours, even if the substantive answer takes longer. Non-response is the leading driver of client bar grievances.

Verify each active matter has a substantive status update logged to Clio, MyCase, or Smokeball in the last 30 days. Matters dormant beyond 60 days without explanation get flagged for the responsible attorney.

Confirm portal access lists in Clio Connect, MyCase Client Portal, or NetDocuments ndThread match the current authorized-recipient list on each matter. Departed in-house contacts and former co-counsel commonly retain access by oversight.

For matters closed in the period, confirm a disengagement letter went out stating scope is complete, file-retention period, and any tail obligations (appeal deadlines, lien releases). Without it, the firm may still be deemed counsel of record for SOL and conflict purposes.

Tie book balance, bank statement, and the sum of individual client ledgers. All three must match to the penny. Any discrepancy or any individual client ledger below zero is a Rule 1.15 violation reportable in most states.

Identify the source of the variance — uncleared deposit, fee transfer to operating before invoicing, miscoded disbursement. Notify the managing partner same-day. State bars treat unresolved trust variances as commingling regardless of intent.

Sample pre-bills awaiting attorney edit. Confirm narratives describe the work product and value, not just the activity ("drafted summary judgment opposition outline" not "worked on case"). Verbose, vague entries drive fee disputes and write-downs at collection.

Pull evergreen retainer balances against the engagement-letter floor. Where the trust ledger has fallen below the replenishment trigger, confirm a replenishment request went out and is tracked. Disbursing against an unfunded retainer creates a negative trust balance.

Managing partner or firm administrator captures the overall QC outcome, attaches the worksheet, and notes corrective actions assigned. The signed-off worksheet is the firm's contemporaneous record if a bar audit follows.