Outside Counsel Compliance Monitoring Form
Use this form to record outside counsel monitoring details, review required compliance items, document exceptions, and assign follow-up actions.
Engagement Overview
Matter or Engagement Name
*
Outside Counsel Firm Name
*
Lead Attorney / Contact Name
*
Monitoring Period Start Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Monitoring Period End Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Matter Type / Category
*
Please Select
Litigation
Employment
Corporate
Regulatory
Intellectual Property
Real Estate
Commercial Contracts
Tax
Data Privacy & Security
Bankruptcy
Investigation
Other
Compliance Monitoring Checklist
Conflict Check Completed
*
Compliant
Non-compliant
Not applicable
Engagement Letter on File
*
Compliant
Non-compliant
Not applicable
Confidentiality Obligations Acknowledged
*
Compliant
Non-compliant
Not applicable
Billing Guidelines Followed
*
Compliant
Non-compliant
Not applicable
Required Training/Certification Current
*
Compliant
Non-compliant
Not applicable
Matter Communications Properly Documented
*
Compliant
Non-compliant
Not applicable
Any Policy Exceptions Identified
No exceptions identified
Exceptions identified
Not applicable
Findings and Follow-Up
Compliance status summary
*
Compliant
Minor issues
Major issues
Pending review
Description of exceptions or concerns
Corrective actions required
Responsible internal reviewer or owner
*
Target follow-up date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Submit
Should be Empty: