Professional Malpractice Compliance Checker Professional Malpractice Compliance Checker A checklist for U.S. professionals to mitigate risk and ensure best practices. 1Communication 2Documentation 3Competence 4Summary Step 1: Client Communication Engagement Letters Always use a signed, written engagement letter or service agreement that clearly defines the scope of work, fees, and responsibilities. Manage Expectations Clearly communicate what can and cannot be achieved, potential risks, and estimated timelines. Avoid making guarantees about outcomes. Regular Updates Establish and follow a schedule for providing clients with meaningful status updates, even if there is no new progress to report. Document Communications Keep detailed records of phone calls, meetings, and important emails. Follow up phone calls with a summary email to confirm understanding. Step 2: Documentation & Records Organized File System Whether physical or digital, files should be organized, complete, and easily accessible to authorized personnel. Contemporaneous Notes Document advice given, decisions made, and the client's instructions at the time they occur, not weeks or months later. Critical Deadlines System Use a reliable system with redundancies to track all deadlines, statutes of limitations, and important dates to prevent missed filings. Data Security Protect client confidentiality with secure storage for physical files and appropriate cybersecurity measures for digital data. Step 3: Competence & Scope of Practice Practice Within Competence Be honest about your skills and experience. Decline representation in matters where you lack the requisite knowledge. Continuing Education Fulfill and exceed mandatory continuing education requirements to stay informed about changes in the law and your field. Know When to Refer If a matter moves outside your area of expertise, have a network of trusted specialists to whom you can refer clients. Conflict Checks Use a robust system to check for conflicts of interest with current and former clients before accepting any new engagement. Professional Malpractice Compliance Summary Status of compliance checks as of . Completed Compliance Actions Your completed checks will appear here. Download PDF Summary Previous Next
