Risk management

Filing systems

How confident are you that if you were suddenly taken ill, or had to be off work for any particular reason, your work could be picked up by someone else in the firm and then continued without any hitches arising?

In our experience, work undertaken on behalf of another partner, who may be ill or on holiday, can often give rise to claims of negligence.

The reason for this is that files are not kept completely up to date, and the partner covering does not know exactly what needs doing and when.

So, how can you make sure that your files are fully comprehensive?

Ensure that firm-wide procedures are in place and all partners, associates, trainees, paralegals and support staff are complying with them.

Keep a simple checklist at the front of the file.

This checklist should highlight each important step within the case, whether it has been completed, and if not, when the deadline is.

This way, anyone picking up the file for the first time can see what exactly has been done and what still needs doing.

Make sure all staff are keeping the following within all client files:

- Retainer letter;

- All correspondence, including faxes;

- Hard copies of all e-mails;

- Notes/minutes of all telephone conversations or meetings that take place between the client and/or third parties;

- Deadlines for all aspects of the case including those to be undertaken by third parties;

- A list of timings for when follow up telephone calls need to be made or letters need to be sent out;

- Documentation from third parties;

- Invoices.

Make sure you keep all paperwork in the file.

Do not be tempted to keep current work on your desk, make sure that everything is filed at the end of the day.

By carrying out this filing method, you will not run the risk of the colleague who is covering you missing half the documentation.

Ensure regular file audits are carried out throughout the practice.

These do not have to be done by an outside firm.

The ideal method is that one of your colleagues, or even yourself, picks a random file, every six months or so, and checks that it is comprehensive.

This way any discrepancies in the file will be spotted, and can be corrected.

The best advice is to check before you leave the office that if for some reason you were not able to come into the practice the following day, that someone else would be able to make sense of, and continue, your work.

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