Supporting you to drive compliance and manage risk in your organisation through consultancy, training and assessment.
We work with legal Practices as well as all other sectors

File reviews and monitoring/analysis

We conduct file reviews for legal Practices and provide them with a detailed report outlining the strengths and potential trends for risk that emerge.

File reviews are seen within the Legal Sector as a mixed blessing.  For some they provide a real barometer of the levels of client care, and compliance with the SRA Code of Conduct in particular.  For others they can be seen as a time consuming ‘tick box’ process.

Conducted with an appropriate regularity and flexibly (tailored to the Practice) file reviews reveal a wealth of risk-management information.

 

Like everything else that we do, the file review service is conducted on a fixed fee basis. 

The process is tailored to the Practice

For some Practices, we review files from every fee earner, once or twice per year, to capture trends for concern so that they can be addressed in good time prior to an assessment visit.

For others, we conduct quarterly or monthly file reviews on selected files or fee earners to provide regular feedback.

For others, we conduct file reviews as part of the due diligence process during an acquisition.

And, for others, we have been tasked with conducting independent reviews to gather evidence to support a query from the SRA.

We visit your office(s) to conduct the reviews on matter files and record the outcomes on our specifically coded spreadsheets.

The criteria can be set to suit the Practice; it is 100% adaptable to any Standard, regulation or requirement.

There is a report for each fee earner.
Individual fee earner records are consolidated into ‘department’ summaries.
And ‘department’ summaries are consolidated into a single ‘Practice-wide’ chart.
We also speak with the fee earners to discuss the findings, to identify potential causes of non-compliance (or conversely, opportunity for best practice).

Then we consolidate all of the data into a report, including a set of 'dashboard visuals' of performance.

At a glance, a picture is delivered of areas of concern, anywhere in the Practice.

We 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.

As we repeat the process, we can build a snapshot of shifts in trends, by department.

What else?

Our report provides a detailed narrative, including (but not limited to):

  • Consideration of reasons for the trends.
  • Potential directly 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.