Are electronic signatures valid here?

Yes. Electronic signatures are legally enforceable under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted, provided intent, consent, attribution, and retention are satisfied. For interstate matters ESIGN applies; intrastate transactions may be governed by state UETA or ESRA rules.

Do consumer-facing items require additional disclosure?

Yes. Where consumer records are involved, ESIGN requires a consumer consent disclosure explaining the right to paper, how to withdraw consent, and that the consumer can access electronic records (15 U.S.C. §7001(c)).

When is notarization or witness required?

Notarization and witness needs depend on the document type and state. Certain deeds, wills, and durable powers of attorney have specific witness counts; verify state law and use self-proving affidavits where available.

What are acceptable signer authentication methods?

Acceptable methods range from email verification and SMS codes to KBA or multi-factor authentication for higher-risk transactions, and digital certificates for contexts requiring cryptographic assurance (21 CFR Part 11 scenarios).

How long must signed reviews be retained?

Retention depends on governing law: IRS records 3 years (IRC §6501(a)), HIPAA records 6 years (45 CFR §164.530(j)), and some industries require longer. Keep signed reviews per these minima and any applicable state extension.

What if parties refuse electronic signing?

If a party declines e-signing, obtain a handwritten signature or documented written consent to exclude electronic records. For consumer transactions, provide the ESIGN consumer disclosure and an option to receive paper.

Electronic Signature
Templates
Legal
Legal Plan Review Criteria

Legal Plan Review Criteria

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

Legal Plan Review Criteria

This Legal Plan Review Criteria (the "Criteria") is entered into between Reviewer Name: , representing Reviewer Organization: (collectively, "Reviewer"), and Client Name: (the "Client"), effective as of .

Recitals

WHEREAS, Client has requested a legal review of the plan identified as Plan Name: , Plan Reference Number: ; and

WHEREAS, Reviewer has represented that it has the professional competence to perform the review in accordance with the criteria and procedures set forth herein and applicable law; and

WHEREAS, the parties wish to document the criteria, standards, deliverables and administrative procedures that will govern the legal review of the plan.

NOW, THEREFORE, in consideration of the mutual covenants set forth below, the parties agree as follows:

1. Definitions

1.1 "Plan" means the document, program or transactional framework identified in the Recitals and any appendices provided to Reviewer for review. "Review Deliverable" means the written report, redlines, and any formal opinion or memorandum produced by Reviewer pursuant to Section 4.

2. Scope of Review

2.1 Reviewer shall perform a legal review limited to the matters expressly selected by Client below. Unless expressly selected, Reviewer will not provide advice or analysis outside the boxed criteria, including tax advice requiring a separate engagement.

Select review areas (check all that apply): Compliance with applicable statutes and regulations Statutory authority and permissive actions Regulatory interpretation and filing obligations Consistency with existing contracts and obligations Tax-related considerations (limited scope) Intellectual property and licensing issues Litigation exposure and dispute risk assessment Other (specify below)

If Other, describe additional review scope:

3. Review Standards and Criteria

3.1 Reviewer shall apply objective legal standards appropriate to each selected review area, including applicable statutory text, implementing regulations, controlling precedent, and binding contractual provisions. Where discretion is exercised, Reviewer will identify the source of discretion and provide a reasoned analysis supporting the conclusion.

3.2 Specific assessment categories to be reported for each reviewed element include: (a) Legal Authority; (b) Compliance Risk; (c) Required Actions and Deadlines; (d) Contractual Conflicts; and (e) Recommended Mitigation Measures. Reviewer will mark each element as Compliant, Non-Compliant, Ambiguous (requires further documentation), or Not Applicable.

Standard response categories (select reporting preference): Use explicit category tags in report (Compliant / Non-Compliant / Ambiguous / N/A) Include numeric risk ratings (Low/Medium/High) with rationale Provide prioritized, actionable recommendations

4. Deliverables and Timeline

4.1 Reviewer shall deliver the Review Deliverable(s) described below within the timeline agreed by the parties. Each deliverable will state its scope and the criteria applied.

Primary deliverable description: Required turnaround (business days):

5. Confidentiality and Use of Materials

5.1 All materials provided by Client to Reviewer in connection with the review shall be treated as confidential. Reviewer shall not disclose such materials except to personnel or contractors who have a need to know and who are bound by confidentiality obligations no less protective than those set forth herein.

5.2 Reviewer may rely on the accuracy and completeness of the materials provided by Client. Reviewer is not responsible for facts omitted from the materials; Reviewer shall identify any material gaps that impede review and opine only to the extent information allows.

6. Conflicts of Interest

6.1 Reviewer represents that, to the best of its knowledge, no conflict exists that would prevent it from conducting the review. Should a conflict or potential conflict arise, Reviewer will disclose it promptly and the parties shall agree on a remedy, which may include withdrawal or engagement of independent counsel.

7. Indemnification; Limitation of Liability

7.1 Client shall indemnify and hold harmless Reviewer from claims arising from Client's intentional misstatement or material omission of facts supplied for the review. Reviewer shall indemnify Client for losses caused by Reviewer's gross negligence or willful misconduct in performing the review.

7.2 Except for liability arising from gross negligence or willful misconduct, neither party shall be liable to the other for consequential, indirect, or punitive damages. The aggregate liability of Reviewer for any claim arising under this Criteria shall be limited to the fees paid by Client for the specific Review Deliverable giving rise to the claim.

8. Fees and Expenses

8.1 Fees, billing rates, and expense reimbursement for the review engagement shall be governed by the separate engagement letter between the parties, except where the parties agree in writing to specific fees for a particular Review Deliverable.

9. Notices

9.1 All notices required or permitted under this Criteria shall be in writing and delivered to the addresses below or to such other address as either party designates in writing.

Reviewer notice address: Client notice address:

10. Amendments; Waiver; Counterparts

10.1 Any amendment to this Criteria must be in writing and signed by authorized representatives of both parties. No failure or delay by either party in exercising any right under this Criteria constitutes a waiver of that right unless such waiver is in writing.

10.2 This Criteria may be executed in counterparts, each of which shall be deemed an original and all of which together shall constitute one and the same instrument.

11. Governing Law; Entire Agreement; Severability

11.1 This Criteria shall be governed by and construed in accordance with the laws of the State of , without regard to conflict of law principles.

11.2 This Criteria constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior and contemporaneous understandings, whether written or oral.

11.3 If any provision of this Criteria is held to be invalid or unenforceable, that provision shall be severed and the remaining provisions shall remain in full force and effect.

Acknowledgement

The individuals executing this Criteria certify that they are authorized to bind the party on whose behalf they sign and acknowledge that the Criteria sets forth the complete and binding criteria governing the requested legal review.

Reviewer:

Signature:

Client:

Signature:

Reviewer Date:

Client Date:

What the Legal Plan Review Criteria Is and when it’s used

The Legal Plan Review Criteria is a structured checklist and template used by attorneys, compliance teams, and contract managers to evaluate a legal plan, policy, or procedural draft against defined standards. It captures the scope, required documents, applicable statutes, review steps, and signatory authority so reviewers can assess compliance, identify gaps, and produce a consistent written assessment suitable for internal records or client delivery. The Criteria is not a filing to government agencies; it is an internal legal review instrument that supports enforceability and auditability when paired with complete source documents and signed attestations.

Why a formal review criteria matters for legal plans

A clear Legal Plan Review Criteria reduces interpretive variation, documents reviewer decisions, and helps demonstrate due diligence if a plan is later audited or contested. It improves consistency across reviewers and speeds up approval by focusing attention on statutory triggers, required signatures, and data retention obligations.

Who typically completes the Legal Plan Review Criteria

Use this checklist format when a legal team, outside counsel, or compliance officer must document a formal review and produce an auditable conclusion.

In-house counsel and contract managers conducting pre-approval compliance checks and documenting risk findings in a uniform format.
External counsel retained to review statutory compliance, prepare redlines, and certify that the plan meets legal standards for a jurisdiction.
Compliance officers tracking remediation items, required disclosures, and retention obligations for inspection and audit readiness.

Use the form as the authoritative record of review steps, not as a substitute for underlying source documents or regulatory filings.

Primary users and reviewers

In-house Counsel

Senior or junior corporate counsel who coordinate plan reviews, apply statutory tests, and approve revisions. They use the Criteria to document legal rationale, identify mandatory clauses, and set remediation deadlines for operations and business units.

External Reviewer

Outside attorneys or audit firms who perform jurisdictional compliance checks, issue formal opinions or redlines, and supply a signed engagement deliverable that references the Criteria and underlying documents.

Core components to include in a professional review criteria

A complete Legal Plan Review Criteria should cover identification, scope, statutory references, evaluation checkpoints, required supporting documents, reviewer actions, and signature authority so the review is reproducible and defensible.

Identification

Plan title, version, and unique ID for cross-referencing source files and prior reviews.

Scope

Specific topics and exclusions to focus reviewer attention and avoid drift during analysis.

Statutory References

List of controlling laws and regulations (for example ESIGN, UETA, HIPAA) cited where relevant to criteria items.

Checklist Items

Discrete yes/no checkpoints with explanation fields for nonconformance and remediation steps.

Supporting Documents

Reference to exhibits, contracts, policy texts, and attachments required to validate each checklist item.

Signatory Authority

Who must attest, dates, and whether notarization or witness signatures are required for the certified review.

Sequential steps to complete a Legal Plan Review Criteria

Follow these steps in order to gather materials, run the checklist, record findings, and deliver a signed conclusion.

01

Prepare package: Collect plan, attachments, prior reviews, and redlines for reviewer access.
02

Assign reviewers: Designate primary reviewer, subject-matter experts, and approver with deadlines.
03

Run checklist: Complete each checkpoint, note nonconformances, and attach evidence.
04

Finalize report: Compile findings, get required signatures, and archive the certified review.

How to configure an online review workflow

Set review sequencing, authentication strength, and retention rules before sending documents for review to ensure compliance and traceability.

Field	Configuration
Reviewer Order	Sequential or parallel routing with reviewer deadlines
Authentication	Email link, SMS code, or stronger MFA for sensitive reviews
Field Types	Signature, initials, checkbox, date, and conditional comment fields
Retention Setting	Encrypted storage duration per retention policy

Where to send, file, or submit the completed Criteria

After completion, route the signed Criteria to the appropriate internal repository, legal file, and any external stakeholders required by policy.

Internal Legal Folder: Primary storage location for the signed checklist and exhibits
Client Delivery: Share the signed review package with client counsel when retained
Compliance Archive: Store a copy in the compliance system for audits
External Filing: Only when required: submit certified documents to regulators or courts

Digital signing and sharing requirements for secure eSubmission

Use a platform that supports secure signatures, tamper-evident storage, and sufficient signer authentication for the document sensitivity.

Document formats: PDF, DOCX, and native signed PDF/A
Authentication: Email, SMS code, or advanced signer authentication
Audit & security: Audit trail, TLS/AES encryption

Typical timelines and expectations for completing a review

Establish clear deadlines for each phase of the review and communicate them to stakeholders to avoid bottlenecks and missed compliance milestones.

Initial document receipt:

Acknowledge within 2 business days of receipt and log materials received.

First-pass analysis:

Complete primary checklist within 5–10 business days depending on complexity.

Reviewer comments due:

Subject-matter experts should return comments within 3–5 business days of assignment.

Final sign-off:

Obtain signatures and finalize the report within 10–15 business days of initiation.

Retention start date:

Retention begins on the signed effective date unless statutes require otherwise.

Common mistakes to avoid when preparing the Criteria

Leaving the scope vague so reviewers disagree about which sections to evaluate, resulting in inconsistent conclusions and rework.
Failing to attach source documents or exhibits, which prevents verification of checklist answers and weakens the review record.
Using inconsistent dates or version identifiers between the plan and the Criteria, causing ambiguity about which version was reviewed.
Not specifying required signatory authority or notarization, which can render the certification ineffective in dispute or audit.

Risks and potential consequences from an incomplete or incorrect Criteria

Contract Invalidity: Terms may be unenforceable

Regulatory Fines: Enforcement penalties may apply

Privacy Breach: HIPAA or data violations possible

Audit Findings: Negative audit outcomes

Operational Delay: Remediation and rework needed

Reputational Harm: Loss of stakeholder trust

Real-world examples of reviews and outcomes

These case summaries show how documented review criteria support operational and compliance objectives in practice.

Martin Properties

Client used the Criteria to centralize lease review and remote signing

Streamlined off-site closings with secure signing
'I can process and execute all of these documents online with 100% compliance and built-in security,' enabling timely transactions without in-person meetings.

BIS

Enterprise adoption standardized legal reviews across business units

SOC 2 compliance informed checklist items
'We felt most comfortable with airSlate SignNow given their SOC 2 certification and strict focus on ESIGN and UETA act compliance,' which supported audit readiness.

eSignature pricing and capability snapshot for Legal Plan Review Criteria workflows

Compare common vendor starting prices and basic capabilities relevant to executing and storing signed review criteria. Confirm plan details with each vendor before purchasing.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Frequently asked questions about Legal Plan Review Criteria

Answers to common questions about legal validity, signatures, retention, and platform capabilities when completing a formal review checklist.

Need help? Contact support

Are electronic signatures valid here?
Yes. Electronic signatures are legally enforceable under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted, provided intent, consent, attribution, and retention are satisfied. For interstate matters ESIGN applies; intrastate transactions may be governed by state UETA or ESRA rules.
Do consumer-facing items require additional disclosure?
Yes. Where consumer records are involved, ESIGN requires a consumer consent disclosure explaining the right to paper, how to withdraw consent, and that the consumer can access electronic records (15 U.S.C. §7001(c)).
When is notarization or witness required?
Notarization and witness needs depend on the document type and state. Certain deeds, wills, and durable powers of attorney have specific witness counts; verify state law and use self-proving affidavits where available.
What are acceptable signer authentication methods?
Acceptable methods range from email verification and SMS codes to KBA or multi-factor authentication for higher-risk transactions, and digital certificates for contexts requiring cryptographic assurance (21 CFR Part 11 scenarios).
How long must signed reviews be retained?
Retention depends on governing law: IRS records 3 years (IRC §6501(a)), HIPAA records 6 years (45 CFR §164.530(j)), and some industries require longer. Keep signed reviews per these minima and any applicable state extension.
What if parties refuse electronic signing?
If a party declines e-signing, obtain a handwritten signature or documented written consent to exclude electronic records. For consumer transactions, provide the ESIGN consumer disclosure and an option to receive paper.

be ready to get more

Join over 28 million airSlate SignNow users

Sign Now