Use this checklist during regular audits to assess the effectiveness of case management practices and identify areas for improvement.

1. Case Load Distribution

• Workload Balance: Verify that cases are distributed equitably among attorneys to avoid overburdening any individual.
• Specialization Alignment: Confirm that cases are assigned based on attorneys’ areas of expertise or specialization.
• Case Transfer Processes: Review procedures for reassigning cases in instances of employee turnover or changes in workload capacity.

2. Case Progress Tracking

• Progress Monitoring: Ensure all active cases have updated progress reports, including key milestones and deadlines.
• Deadline Management: Verify compliance with court deadlines and filing requirements.
• Aging Case Reports: Analyze cases nearing prolonged durations to identify and resolve delays.
• Follow-Up Protocols: Confirm adherence to internal follow-up schedules to maintain case momentum.

3. Document Management

• Organization: Assess whether legal documents are stored in an organized manner using the firm’s document management system.
• Accessibility: Ensure that authorized personnel can access case files quickly without unnecessary delays.
• Security: Review compliance with data protection standards, including encryption, user permissions, and backups.
• Version Control: Check that updated versions of documents are properly maintained, with old versions archived or discarded securely.

4. Client Communication

• Timeliness: Confirm that clients receive regular updates on their case status in line with the firm’s communication policy.
• Adequacy: Evaluate whether communication is clear, professional, and responsive to client inquiries.
• Confidentiality: Ensure all client communication complies with confidentiality requirements, particularly when using email or other digital platforms.
• Client Feedback: Review any feedback from clients regarding communication practices and address recurring issues.

Implementation Notes:

• Schedule periodic audits (e.g., quarterly or semi-annually) to ensure consistent adherence to case management standards.
• Use this checklist as a template for creating custom audit tools tailored to your firm’s specific needs or software systems.
• After completing the audit, compile findings into a report with recommendations for addressing deficiencies and optimizing practices.