Self-Audit Checklist Template Page 6
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11RECORDS MANAGEMENT
The client file represents a record of the work you have performed for the client. It also represents one
of the most frequently overlooked tasks in the office. Maintaining the files in an orderly manner that
allows for efficient access to client information will save time and money and promote your professional
image.
The following questions should help you determine the current status of your records management
program:
Yes
No
N/A
Do we have a standardized filing system for all client files?
Are all materials filed timely and regularly (i.e., files are not piling up on desk
or floor)?
Do we follow a file retention schedule after a case is completed (i.e., when to
close, when to review for destruction, what to return to client, what to keep,
and for how long)?
Do we store current records in a secure area and safe from water and vermin
damage?
Does each file have a log or diary of all the events of the matter including
commitments to you and your commitments to others?
FINANCIAL MANAGEMENT
Timekeeping, billing, budgeting, and financial recordkeeping and reporting are included under the
financial management umbrella. All of these activities should be coordinated to produce an efficient
accounting and recordkeeping system. Mastering the elements of financial management should give
you a sense of control over the direction of your firm.
Yes
No
N/A
Do we have documented timekeeping procedures?
Do we train all timekeepers in proper timekeeping methods?
Is time recorded at the time the work is performed?
If not, when is it recorded?
Do we use time and billing software?
If so, what software?
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