File minding

One of the reasons why lawyers are reluctant to look at a colleague's file in their absence is the amount of time it takes to ascertain all the relevant information. Link that to the worry of overlooking something, and the pressure of their own work, and it is hardly surprising that matters are 'parked' pending the return of the fee-earner or only given cursory attention.


This is why so many problems arise leading to claims when lawyers are away from the office. These absences may be planned, such as holidays, or unexpected, such as illness. Whatever the reason, it is crucial that the momentum is maintained in respect of files and the work done to a satisfactory level.


Having a uniform approach across the firm to file management will assist greatly. Such an approach will facilitate the rapid identification of key issues by the colleague minding the files.


That colleague will need to find out as quickly as possible what needs to be done, by when and what stage any transaction has reached. To facilitate this, consider the following:


  • Mark all critical dates on the front of the file, as well as in the diary system (which everyone must be able to access);



  • Have a case plan setting out the steps needed to achieve the desired outcome - with each step being ticked off and dated when it is achieved;



  • All successive draft documents should be clearly numbered and dated so as to ensure the correct draft is worked on;



  • Ensure that clear attendance notes on easily identifiable paper (that is, a different colour from correspondence) are kept of instructions received and advice given;



  • Where relevant documentation is being stored at the firm, other than on the file (such as deeds), this should be noted on the file (for example, deeds in strong room);



  • A clear audit trail of all financial transactions on the file should be maintained, preferably on a separate 'spike' from the correspondence;



  • Any undertakings given should be identified on the file, including the amount involved, to whom it has been given, and the date. This may be achieved either by marking the relevant information on the front of the file or keeping copies of the undertakings separately on the file;



  • If there is more than one file relating to a matter, this should be identifiable from the file;



  • Operate a buddy system whereby each fee-earner has a designated colleague for whose work he is responsible in the other's absence.



    • This column was prepared by AFP Consulting, a division of Alexander Forbes Risk Services UK