eDiscovery Audit Checklist Form
Use this checklist to review eDiscovery matter records, preservation, collection, processing, review, privilege handling, production, and any exceptions or remediation needs.
Audit Context
Matter/Case Name
*
Audit Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Auditor Name or Role
*
Review Period Covered
*
Responsible Team/Department
*
Please Select
Legal
eDiscovery
IT
Records Management
Compliance
Outside Counsel
Other
Matter/Client/Reference ID
Preservation and Legal Hold
Was a legal hold issued?
*
Yes
No
Were hold notices tracked and acknowledged?
*
Yes
No
Were custodians identified?
*
Yes
No
Were preservation steps documented?
*
Yes
No
Comments or notes on exceptions or gaps
Collection and Data Sources
Collection Activities
*
Data Source Types Reviewed
*
Email
Chat
File Shares
Endpoints
Cloud Repositories
Mobile Devices
Other
Collection Method Summary
*
Chain of Custody / Exclusions Notes
Overall Collection Status
*
Please Select
Complete
Partial
Not Completed
Not Applicable
Processing and Filtering
Was deduplication performed?
*
Yes
No
Were filtering criteria or date ranges applied?
*
Yes
No
Were file types normalized or excluded?
*
Yes
No
Was OCR or text extraction completed where applicable?
*
Yes
No
Were error logs reviewed?
*
Yes
No
Search and Review Protocol
Were search terms and queries documented?
*
Yes
No
Was the search strategy validated?
*
Yes
No
Were issue codes or tags used?
*
Yes
No
Were reviewer instructions provided?
*
Yes
No
Rate the adequacy and consistency of the search and review protocol
*
Poor
1
2
3
4
5
6
7
8
9
Excellent
10
1 is Poor, 10 is Excellent
Privilege and Responsiveness
Adequacy of responsiveness review
*
Excellent
Good
Adequate
Needs Improvement
Not Performed
Privilege screening performed
*
Yes
No
Partial
Not Applicable
Redaction handling
Appropriate
Mostly Appropriate
Inconsistent
Not Applicable
Second-level review and QC checks
Comprehensive
Limited
Not Performed
Not Applicable
Comments on disputed documents or exceptions
Production and Output
Were production specifications followed?
*
Yes
No
Were file format and metadata requirements met?
*
Yes
No
Were load files or production logs created?
*
Yes
No
Were Bates or unique identifiers applied, if used?
Yes
No
Not Applicable
Were production discrepancies documented?
*
Yes
No
Exceptions, Remediation, and Final Rating
Overall Compliance Rating
*
1
2
3
4
5
Overall Risk Level
*
Low
Medium
High
Checklist of Deficiencies Found
Incomplete preservation
Gaps in collection coverage
Insufficient processing/filtering
Search protocol issues
Review workflow issues
Privilege screening gaps
Production format issues
Documentation gaps
Other
Target Completion Date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Final Auditor Comments / Summary
Submit Audit
Should be Empty: