Free Checklist Templates for Iolta

Iolta

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21 Cfr 820
5s
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OR

Billing and Invoicing Checklist

Matter and Client Setup Review

Confirm the matter is in active billing status

Verify the fee agreement on file

Update client billing contacts and delivery preferences

Time and Expense Capture

Chase missing time entries from timekeepers

Post advanced costs and disbursements

Apply UTBMS task and activity codes

Pre-Bill Review

Generate the pre-bill for each matter

Edit narratives and time entries

Decide on write-offs and discounts

Get managing partner approval on the write-off

Trust Account Application

Pull each matter's IOLTA balance

Notify client before disbursing from trust

Request evergreen retainer replenishment

Invoice Finalization and Delivery

Finalize the invoice in the PMS

Confirm the client's delivery channel

Export and submit the LEDES file

Send the invoice to the client

Payment, Collections, and Close

Record payments and apply to the matter

Run the AR aging report

Send collection notice on overdue invoices

Complete the three-way trust reconciliation

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Client Matter Closure Checklist

Finalize Case Work

Confirm all substantive work is complete

Clear all docketed deadlines and hearings

File closing documents with the court

Determine the matter outcome type

Trust Account Disbursement

Confirm settlement funds have cleared

Resolve liens and third-party claims

Prepare the settlement disbursement statement

Reconcile the client trust ledger to zero

Final Billing and Fee Resolution

Edit the final pre-bill

Send the final invoice

Refund unused retainer balance

Record final A/R status

Client Closure Communication

Send the closing letter to the client

Flag post-closure deadlines for the client

Return original client documents

File Archiving and Records Retention

Assemble the closed file in the DMS

Apply the matter-type retention period

Dispose of paper file or sensitive originals

Mark the matter closed in the PMS

Compliance and Internal Wrap-Up

Update the conflicts database with adverse parties

Hold the matter debrief with the team

Confirm professional responsibilities are discharged

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Client Trust Fund Management Checklist

Trust Account Setup

Confirm IOLTA rules for the state of practice

Designate the responsible attorney for trust

Open the IOLTA at an approved institution

Document the trust accounting SOP

Client Funds Intake

Deposit retainer to IOLTA same day

Record the deposit on the client ledger

Hold disbursement until funds clear

Disbursements and Fee Transfers

Verify the client ledger has sufficient balance

Request additional retainer from client

Edit the pre-bill before fee transfer

Transfer earned fees from IOLTA to operating

Monthly Three-Way Reconciliation

Pull the bank statement and adjusted balance

Run the trust book balance report

Sum every individual client ledger

Confirm all three balances match

Investigate and document the discrepancy

Client Reporting and Sign-Off

Send trust ledger statements to active clients

Notify clients of significant disbursements

Partner sign-off on monthly reconciliation

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Financial Audit Preparation Checklist

Financial Statement Preparation

Close the general ledger for the fiscal year

Compile balance sheet, P&L, and cash flow

Finalize the year-end trial balance

Trust Account and IOLTA Reconciliation

Run three-way IOLTA reconciliation

Verify no client ledger is negative

Pull per-client trust ledgers for the period

Capture managing partner sign-off on trust totals

Remediate and document trust discrepancies

Source Documentation Gathering

Pull operating and trust bank statements

Compile vendor invoices and expense receipts

Collect fixed-asset and depreciation schedules

Gather loan agreements and partner capital records

Internal Controls Review

Document cash receipt and disbursement controls

Test segregation of duties on trust transactions

Review check-signing authority logs

Summarize control deficiencies for the auditor

Draft management response to material weaknesses

Tax Compliance and Liabilities

Reconcile federal and state income-tax accounts

Confirm 1099-NEC filings for contractors and experts

Verify payroll tax deposits and Form 941 filings

Account Analysis and Reconciliation

Reconcile accounts receivable and unbilled WIP

Age and reserve doubtful client receivables

Tie advanced client costs to matter ledgers

Audit Trail and Sign-Off

Export the adjusting journal entry register

Prepare lead schedules for material accounts

Assemble and sign off on the audit binder

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Law Firm Compliance Checklist

Intake and Conflicts

Audit a sample of new-matter intakes

Re-run conflicts on the audit sample

Escalate any missed-conflict matters to the managing partner

Verify engagement letters are countersigned and on file

Trust Account and IOLTA

Run the three-way IOLTA reconciliation

Investigate any reconciliation variance

Check each client ledger for negative balances

Obtain partner sign-off on the IOLTA reconciliation

Data Security and Confidentiality

Review DMS access logs for terminated staff

Confirm MFA is enforced on all firm accounts

Verify litigation holds are still active

Test the off-site backup restore

Records Retention

Pull the matter list past the state retention minimum

Flag estate, real estate, and minor-client matters

Approve the destruction list

Billing Hygiene

Review pre-bill edit completion rates by attorney

Spot-check trust-to-operating transfers

Review aged accounts receivable over 90 days

CLE and Malpractice Renewals

Pull each attorney's CLE transcript from the state bar

Identify attorneys behind on CLE hours

Schedule make-up CLE before the deadline

Confirm malpractice carrier renewal is in process

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Monthly Client Billing Checklist

Pre-Bill Preparation

Close prior-month time entries in the PMS

Reconcile advanced costs and disbursements

Generate pre-bills for all open matters

Attorney Pre-Bill Review

Distribute pre-bills to responsible attorneys

Edit time-entry narratives and write-downs

Escalate held matters to managing partner

Confirm fee-arrangement compliance per matter

Invoice Generation and Delivery

Generate final invoices from approved pre-bills

Verify retainer balance against invoice amount

Send replenishment request to client

Deliver invoices via client-preferred channel

Trust Account Application

Transfer earned fees from IOLTA to operating

Update individual client trust ledgers

Run three-way trust reconciliation

Payment Tracking and Collections

Record payments received against invoices

Run the AR aging report at 30 days

Send first collection reminder to delinquent clients

Escalate 60+ day balances to responsible attorney

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Monthly IOLTA Trust Account Reconciliation

Pre-Reconciliation Setup

Pull the IOLTA bank statement

Check for overdraft notices from the bank

Lock the trust ledger to new postings

Transaction Review

Tie retainer deposits to client ledgers

Verify earned-fee transfers to operating

Confirm advanced costs match disbursements

Review stale outstanding checks

Three-Way Reconciliation

Run the three-way reconciliation report

Investigate variance between the three balances

Check every client ledger for negative balance

Exception Handling

Cure the negative client ledger balance

Escalate suspected commingling to the managing partner

Sign-Off and Recordkeeping

Managing partner signs the reconciliation

File the reconciliation packet to permanent records

Confirm whether annual IOLTA compliance is due

File the annual state bar trust compliance certificate

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