File Review Service for Legal Practices

There are typically three methods for reviewing the files:

• We are given remote access to the case management system at an agreed time, or,
• We conduct live meetings with each fee earner, where the fee earner shares their screen to show us the matter files, or,
• We visit the firm’s offices to conduct the reviews in person.

Critically, there is no preparation for the firm to do in advance. As we conduct the reviews on matter files we record the outcomes on our specifically coded forms.

• The criteria can be set to suit the Practice; it is 100% adaptable to any Standard, regulation or requirement.
• Each form sets out any corrective or follow-up action that the fee earner should conduct.
• There is a report form for each fee earner.
• Individual fee earner records can be consolidated into ‘department’ summaries.
• Department summaries are consolidated into a single ‘Practice-wide’ database.
• We can also speak with the fee earners to discuss the findings, to identify potential causes of non-compliance (or conversely, opportunity for best practice) as well as providing guidance to them and answering their questions about risk, AML and other concerns.

After the reviews we provide you with electronic copies of the file review forms for your records and where necessary, to follow up on any corrective action required. We also consolidate all of the data into a report or documented summary, which can include:

• A set of 'dashboard visuals' of performance
• A high level summary. This provides an overview of areas of concern, anywhere in the Practice.
• A drill down by department and then individual fee earner. This provides practices with a helicopter view of compliance and risk, as well as pinpointing trouble-spots that require action.
• A snapshot of shifts in trends by department across multiple months, Quarters or years.
• Consideration of reasons for the trends.
• Potential direct or indirect risks, including regulatory risk.
• Identification of potential training requirements or supervision enhancements.
• Systematic concerns, such as ID checking or inductions.
• Identification of hot-spots of good practice; potential to capitalise upon opportunities.