California Attorney Referral Compliance Checklist

☐ Written Referral Agreement

• Agreement signed by both attorneys before referral
• Clear division of responsibilities outlined
• Fee splitting arrangement specified
• Client representation details defined

☐ Fee Division Terms

• Proportional to work performed OR
• Both attorneys assume joint responsibility
• Total fee must be reasonable
• Division method clearly documented

☐ Scope of Work Definition

• Referring attorney's ongoing role (if any)
• Receiving attorney's responsibilities
• Communication protocols established
• Decision-making authority clarified

☐ Written Client Consent

• Client agrees to referral in writing
• Fee arrangement disclosed to client
• Both attorneys' roles explained
• Client signs consent form

☐ Fee Disclosure Requirements

• Total fee amount or calculation method
• How fee will be divided between attorneys
• Any additional costs or expenses
• Payment terms and timing

☐ Conflict of Interest Check

• Both attorneys confirm no conflicts
• Client relationship history reviewed
• Potential future conflicts considered
• Conflict waiver if necessary

☐ RRA Documentation

• Written agreement between referring parties
• Terms of reciprocal arrangement specified
• Duration and termination clauses
• Performance expectations outlined

☐ Client Independence

• Client's right to choose attorney protected
• No exclusive referral requirements
• Alternative options presented to client
• Client decision documented

☐ Ethical Boundaries

• No payment for referrals alone
• Referrals based on client's best interest
• Quality of referred attorney verified
• Ongoing relationship monitoring

☐ File Organization

• Separate referral agreement file maintained
• Client consent forms properly stored
• Fee calculation records preserved
• Communication logs documented

☐ Retention Requirements

• Records kept for minimum 5 years
• Digital and physical backup systems
• Secure storage protocols followed
• Access controls implemented

☐ Audit Trail

• Referral source tracking
• Fee payment documentation
• Client outcome records
• Compliance review dates logged

☐ Quality Assurance

• Referring attorney vetting process
• Regular performance reviews
• Client satisfaction monitoring
• Continuous improvement protocols

☐ Compliance Monitoring

• Regular CRPC rule updates review
• Internal compliance audits
• Staff training on referral rules
• Professional liability insurance verification

☐ Technology Integration

• Automated compliance tracking systems
• Digital signature capabilities
• Secure document management
• Real-time reporting dashboards