Using a file checklist supports prompt compliance with a lawyer’s ethical obligations and helps prevent missed deadlines. It will also facilitate best practices in client communication.
The File Checklist takes the representation from the first client contact to the closing letter and disposition of the file. The specific steps in your File Checklist will depend on your practice area. Here are steps to consider for your File Checklist:
Initial Client Contact
1. Type and practice area for potential representation
- Is it your area of expertise?
2. Client Inquiry Form – obtain information for initial conflicts of interest check
3. How did the prospective potential client find you?
- Website
- Referral from client or another lawyer
- Social media
- Use this information to evaluation website SEO and follow up with referrals
Initial Client Meeting
1. Client Intake Form – client contact data and information for representation (see sample forms)
2. Determine scope of representation
- See Ohio Ethics Guide: Limited Scope Representation for sample forms
Define Representation
1. Send Engagement Letter
- Non-engagement letter
- Disengagement letter
2. Sign Fee Contract – put in writing terms and conditions of representation, fees and payment
- Consider Evergreen Retainer
Client Communication
1. Schedule follow up appointments and send appropriate reminders
- Inform client of court hearing dates, depositions and mediation
2. Update client with monthly status letter
3. Send client invoice letter with billing statement
Conclude Representation
1. Provide agreed upon representation to client
2. Send File Closing Letter
- Give file and all original documents to client
- Get receipt for file or confirmation from client that does not want file
3. Use Post Representation Survey
- Gain client feedback to improve client service or address client misunderstandings
4. Prepare your client file for electronic storage
- Retain what you would want to have in the event of allegation of malpractice or disciplinary complaint
- Schedule disposition of stored file
Click here for Sample File Checklist and Sample Forms and Letters.
Having the File Checklist as the first page of your client file will let all attorneys and staff working on the matter discern the status of the representation immediately. This will make it easier to send client updates and billing letters. The ability to see where the representation is and what needs to be done can help avoid missing something.
We hope adopting the File Checklist or updating one you already use will be helpful for your practice. As always, we’re here to help! Please contact us if we may be of further assistance.
| Gretchen K. Mote, Esq. Director of Loss Prevention Ohio Bar Liability Insurance Co. Direct: 614.572.0620 [email protected] |
Merisa K. Bowers, Esq. Loss Prevention & Outreach Counsel Ohio Bar Liability Insurance Co. Direct: 614.859.2978 [email protected] |
This information is made available solely for loss prevention purposes, which may include claim prevention techniques designed to minimize the likelihood of incurring a claim for legal malpractice. This information does not establish, report, or create the standard of care for attorneys. The material is not a complete analysis of the topic and should not be construed as providing legal advice. Please conduct your own appropriate legal research in this area. If you have questions about this email’s content and are an OBLIC policyholder, please contact us using the information above.
