TLIE Self-Audit Docket Control Evaluation

This checklist is excerpted from "The Legal Malpractice Self-Audit," a TLIE publication available at no charge to TLIE insureds. The full self-audit also covers personnel, documentation, client relations, conflicts of interest, file management, billing and collections, trust accounts, office sharing, and time management. All TLIE insured firms receive a copy of the Self-Audit at renewal or when a policy is first purchased. If you are a TLIE insured and need an extra copy at some other time, please give us a call.

This checklist is designed to let you evaluate your law firm's systems for assuring that deadlines are met and work is proceeding at an appropriate pace. Preferred answers are all YES. Failure to give the correct answer does not necessarily mean that you have a serious problem, but it does suggest you should evaluate why you do or do not do what the question suggests is the right answer.

Docket/Work Control

1. Do you feel that your present docket/work control system is reliable and efficient?

   Yes [   ] No [   ]

2. Is the plan for your docket/work control system in writing?

   Yes [   ] No [   ]

3. Has your firm appointed an employee to oversee, supervise and ensure the use of your docket/work control system?

   Yes [   ] No [   ]

4. Do you have a centralized docket/work control system that is used by the entire firm?

   Yes [   ] No [   ]

5. Is there a system in place for screening incoming mail for new deadlines by someone in addition to the responsible attorney?

   Yes [   ] No [   ]

6. Does your docket/work control system assign a review date to every open file, even if the matter is temporarily dormant?

   Yes [   ] No [   ]

7. Do you and your assistants keep personal calendars in addition to the centralized calendar?

   Yes [   ] No [   ]

8. Are deadlines distributed on a routine (daily or weekly) basis?

   Yes [   ] No [   ]

9. Do you factor in the lead-times necessary for completion of tasks?

   Yes [   ] No [   ]

10. Do you automatically set multiple reminder dates prior to the final date that items become due?

    Yes [   ] No [   ]

11. Are all attorneys and staff trained and refreshed about the docket control system regularly?

    Yes [   ] No [   ]

12. Do you have a reliable follow up system in place to confirm the actual completion of docketed deadlines?

    Yes [   ] No [   ]

13. Does your docket/work control system include:
    1. statute of limitations?

       Yes [   ] No [   ]

    2. all court appearances?

       Yes [   ] No [   ]

    3. client and other appointments?

       Yes [   ] No [   ]

    4. all administrative systems and deadlines?

       Yes [   ] No [   ]

    5. real estate closing deadlines?

       Yes [   ] No [   ]

    6. all litigation deadlines?

       Yes [   ] No [   ]

    7. all self-imposed, discretionary deadlines (i.e., promises made to others, promises made to you and work deadlines you have set for yourself)?

       Yes [   ] No [   ]

    8. at least one docket date for every open file so that temporarily inactive files will be reviewed at least every 3 months?

       Yes [   ] No [   ]

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