Risk management

Out of sight, out of mindThe effectiveness of a risk management procedure is best judged by how well it works when the fee earner...Out of sight, out of mindThe effectiveness of a risk management procedure is best judged by how well it works when the fee earner is absent.

Many claims arise because files are overlooked, ignored, or are not dealt with effectively when a fee earner is away from the office.

The absence may be the result of holidays, or it may be unexpected ill health, resignation, or even dismissal.Whatever the reason it is essential that the fee earners files are dealt with.

There are standard procedures, which should be adopted that will assist the harassed fee earner in dealing with a colleagues file.

l The case planner.

Each department should develop a standard case planner to be attached to the front of every file.

It need not be detailed or complex but it should include the basic steps associated with that type of transaction.

When each stage has been dealt with the fee earner should mark it off and date it.

This will enable any colleague to see immediately from the front of the file the stage that the transaction has reached.l Each fee earner must use the diary system.

A standard procedure should be adopted across the firm whereby all entries are effected in the same manner, that is to say the file reference, clients name and what has to be done, and by when.

Dont rely on your memory as your diary system; when you are absent your memory goes with you.l Encourage all staff to utilise task lists.

These will comprise tasks that need to be undertaken that particular day.

They will not necessarily be critical dates, which if missed will give rise to a claim.

More likely the task list will consist of personal reminders, such as: Have I received the clients medical notes that I requested? Is there a reply to the letter I sent to the client two weeks ago? Is the local search in?Again it is important that the task list should refer to the file reference and the clients name.l If you are scheduled to be on holiday in the course of a clients transaction, tell the client.

Manage their expectations; assure them that their work will be dealt with in your absence, and try and discourage unnecessary how is it going? phone calls to the office.l Avoid fee earners and secretaries from being absent from the office at the same time.

There should be someone in the office with a working knowledge of the file, and a known contact point to the client.l Critical dates and information such as limitation dates and details of undertakings should be marked clearly on the front of the file.

Keep this to a minimum.l Attendance notes are not only critical to record advice given verbally, they will also assist anyone else looking at the file in your absence.l Easier said than done perhaps, but try and keep up to date with your work.

Backlogs put both yourself and any colleague under immediate pressure.

The service to clients changes from one of seamless efficiency to fire-fighting.l This column was prepared by the St.

Paul risk management team