Key Risk Checklist: File transfer to another practitioner within the firm

15 June, 2017
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File transferred to another practitioner within the firm

Yes

No

Comment or detail

Has the client requested the change of practitioner?
Has the practitioner receiving the file confirmed they have the knowledge and capacity to do the work?
Has the transferring practitioner completed a detailed memorandum that:
  • details the retainer and the scope of work to be completed?
  • identifies any work that is excluded from the firm’s engagement?
  • identifies matters that are the client’s responsibility?
  • confirms the work completed?
  • sets out the work that is still to be completed?
  • sets out time frames and critical dates?
  • gives the status of accounts, disbursements and money in trust?
  • define the client’s expectations?
  • highlight anything unusual in this matter that should be known by the new practitioner?
Has the client been informed of the change of practitioner?  □  □
Does the client consent to the change of practitioner?
Has the client raised any concerns or dissatisfaction during the conduct of the matters?
Does the file contain all file notes, correspondence, documents and records?
Has the transferring practitioner discussed or arranged a time to discuss the file with the new practitioners?
 

Approval

Title

Date

Signature