File Opening Checklist

NEW MATTER FILE OPENING CHECKLIST

Matter Information

Matter Name: [________________________________]

Matter Number: [________________________________]

Client Name: [________________________________]

Client Number: [________________________________]

Practice Area: [________________________________]

Matter Type: [________________________________]

Responsible Attorney: [________________________________]

Supervising Attorney: [________________________________]

Assigned Paralegal: [________________________________]

Date File Opened: [__/__/____]

File Opened By: [________________________________]

Section 1: Pre-Engagement Requirements

Conflict Check

☐ Conflict check request submitted

• Date submitted: [__/__/____]
• Submitted by: [________________________________]

☐ Conflict check completed

• Date completed: [__/__/____]
• Completed by: [________________________________]

☐ No conflicts identified
☐ Conflict identified and waiver obtained

• Waiver date: [__/__/____]
• Waiver location: [________________________________]

☐ Conflict check form filed in matter file

Conflict Check Result: ☐ Cleared ☐ Cleared with Waiver ☐ Declined

Client Identity Verification (Anti-Money Laundering)

☐ Government-issued photo ID obtained and verified

• ID Type: [________________________________]
• ID Number: [________________________________]
• Expiration: [__/__/____]

☐ Business entity verification (if applicable)

• State of formation: [________________________________]
• Entity type: [________________________________]
• Good standing verified: ☐ Yes ☐ No ☐ N/A

☐ Beneficial ownership identified (entities)
☐ Source of funds verified (where required)
☐ No red flags identified

Section 2: Engagement Documentation

Fee Agreement/Engagement Letter

☐ Engagement letter drafted

• Date drafted: [__/__/____]
• Drafted by: [________________________________]

☐ Engagement letter reviewed by supervising attorney

• Reviewed by: [________________________________]
• Date: [__/__/____]

☐ Engagement letter sent to client

• Date sent: [__/__/____]
• Method: ☐ Email ☐ Mail ☐ Hand-delivered

☐ Signed engagement letter received

• Date received: [__/__/____]

☐ Original engagement letter filed in matter file

Fee Arrangement

Fee Type: ☐ Hourly ☐ Flat Fee ☐ Contingency ☐ Hybrid ☐ Pro Bono

Hourly Rate(s):

• Attorney: $[________]/hour
• Paralegal: $[________]/hour
• Associate: $[________]/hour

Flat Fee Amount: $[________]

Contingency Percentage: [____]%

Retainer Amount: $[________]

Billing Frequency: ☐ Monthly ☐ Quarterly ☐ Upon Completion ☐ Other: [________]

Trust Account/Retainer

☐ Retainer invoice sent to client

• Date: [__/__/____]
• Amount: $[________]

☐ Retainer received

• Date: [__/__/____]
• Amount: $[________]
• Check #/Reference: [________________________________]

☐ Retainer deposited to trust account

• Date: [__/__/____]
• Trust account: [________________________________]

☐ Client ledger card created
☐ Retainer receipt sent to client

Section 3: Client Communication Setup

Contact Information Verified

☐ Client full legal name: [________________________________]
☐ Preferred name: [________________________________]
☐ Primary phone: [________________________________]
☐ Secondary phone: [________________________________]
☐ Email address: [________________________________]
☐ Mailing address: [________________________________]
☐ Preferred communication method: ☐ Phone ☐ Email ☐ Mail ☐ Text

Authorized Contacts

☐ Written authorization for third-party communication obtained (if applicable)

Initial Client Communication

☐ Welcome letter/email sent

• Date: [__/__/____]

☐ Client portal access set up (if applicable)

• Username: [________________________________]
• Access granted: [__/__/____]

☐ Firm contact information provided
☐ After-hours/emergency contact procedures explained
☐ Client expectations discussed and documented

Section 4: File Setup

Physical File

☐ Physical file folder created
☐ File label affixed with:

• Client name
• Matter name
• Matter number
• Responsible attorney

☐ File sections/tabs created:
☐ Correspondence
☐ Pleadings/Court Documents
☐ Discovery
☐ Research/Memos
☐ Client Documents
☐ Billing
☐ Notes/Chronology

☐ File location assigned: [________________________________]

Electronic File

☐ Electronic folder created in document management system

• Path: [________________________________]

☐ Subfolder structure created:
☐ 01_Correspondence
☐ 02_Pleadings
☐ 03_Discovery
☐ 04_Research
☐ 05_Client_Documents
☐ 06_Billing
☐ 07_Notes

☐ Access permissions set
☐ File linked to practice management system
☐ File linked to billing system

Practice Management System Entry

☐ New matter created in system

• Matter number assigned: [________________________________]

☐ Client information entered/verified
☐ Matter information entered:
☐ Matter name
☐ Matter type
☐ Practice area
☐ Jurisdiction
☐ Court/venue (if applicable)
☐ Case number (if applicable)

☐ Team members assigned:
☐ Responsible attorney
☐ Supervising attorney
☐ Paralegal
☐ Legal assistant

☐ Billing setup completed:
☐ Fee arrangement entered
☐ Billing rates entered
☐ Trust account linked
☐ Billing contact designated

Section 5: Calendaring and Deadlines

Critical Dates Identified

☐ Statute of limitations determined

• Claim type: [________________________________]
• SOL date: [__/__/____]
• Tickler date: [__/__/____]

☐ Contractual deadlines identified

• Deadline: [________________________________]
• Date: [__/__/____]

☐ Court deadlines entered (if applicable)

• Filing deadline: [__/__/____]
• Response deadline: [__/__/____]
• Discovery deadline: [__/__/____]
• Trial date: [__/__/____]

☐ All deadlines entered in calendaring system
☐ Reminder/tickler dates set
☐ Backup reminders assigned

Initial Task List

Section 6: Matter-Specific Requirements

Litigation Matters

☐ Court/venue identified: [________________________________]
☐ Case number: [________________________________]
☐ Judge assigned: [________________________________]
☐ Opposing counsel identified: [________________________________]
☐ Pro hac vice required: ☐ Yes ☐ No
☐ Local counsel required: ☐ Yes ☐ No
☐ E-filing account set up
☐ Court rules reviewed
☐ Service requirements noted

Transactional Matters

☐ Transaction type: [________________________________]
☐ Closing date target: [__/__/____]
☐ All parties identified
☐ Due diligence checklist created
☐ Document production list created
☐ Escrow/trust requirements identified

Regulatory/Administrative Matters

☐ Agency: [________________________________]
☐ Docket/case number: [________________________________]
☐ Regulatory deadline: [__/__/____]
☐ Filing requirements reviewed
☐ Representation letter filed (if required)

Section 7: Insurance and Third-Party Notifications

☐ Insurance company notification required: ☐ Yes ☐ No

• Carrier: [________________________________]
• Claim number: [________________________________]
• Adjuster: [________________________________]
• Date notified: [__/__/____]

☐ Lien holders identified and notified: ☐ Yes ☐ No ☐ N/A

☐ Government agency notification required: ☐ Yes ☐ No

• Agency: [________________________________]
• Date notified: [__/__/____]

Section 8: Quality Control

File Opening Review

☐ All required documents collected
☐ All deadlines calendared
☐ All tasks assigned
☐ Billing properly set up
☐ Conflict check documented
☐ Engagement letter signed and filed

Supervising Attorney Sign-Off

I have reviewed this file opening checklist and confirm that all required steps have been completed or appropriately addressed.

Supervising Attorney: [________________________________]

Signature: [________________________________]

Date: [__/__/____]

Section 9: File Opening Summary

File Opening Completed

Date File Opening Completed: [__/__/____]

Completed By: [________________________________]

File Ready for Work: ☐ Yes ☐ No - Pending: [________________________________]

Sources and References

• ABA Model Rules of Professional Conduct
• State Bar Practice Management Resources
• Law Firm Policy and Procedures Manual