The Law Society's Software Solutions guide for 2006 identified and reviewed 15 case and practice management software suppliers. Of those, 12 offered risk management supervision tools.


But the guide, though comprehensive, offered readers no separate analysis or definition of the risk management components on offer from the main providers of case and practice management systems. Indeed, this whole area remains open to interpretation.



In risk management, the key words used by the major software suppliers include: risk assignment, automated active alerts, enforcement of mandatory conflict and anti-money laundering checks, case- tracking facilities, task centres, audit trails for supervisors, disaster recovery systems, management information tools, setting levels of compliance, standard work-flows, and analytical processing reporting tools.



It is said that the majority of complaints and professional negligence claims against solicitors arise not from poor-quality legal advice but from a failure to keep the client informed, and missed deadlines. Solicitors' internal records are said to be generally inadequate, with an absence of contemporary notes and a failure to keep proper diary systems.



Most case management systems contain the majority of components required to operate an appropriate risk management policy. Issues such as file-opening procedures, document management and retrieval systems, together with case plan or work-flow controls, are the basics needed, together with a workable series of management reports.



When reviewing legal software case management systems in the context of risk management, it is important to consider the practice's particular needs or risks. No two practices are ever the same. Legal software should complement a legal practice, not shape it or introduce unwanted procedures and work-flow patterns in the guise of necessary controls.



Any firm would be well advised to consider carrying out a formal risk assessment of its practice, then put systems in place to monitor risk response activity and produce a risk register. It may be that, having identified the risks, your firm's existing case management systems will already provide all necessary controls.



But a comprehensive risk register is a sensible way to ensure all necessary systems and procedures are in place. If there are gaps, they can be filled.



This should not mean abandoning your case management system to introduce better risk management controls. Often, any necessary enhancement of existing software can be achieved by buying a third- party system. This will be far easier to achieve with the growing trend of Microsoft .Net initiatives, allowing access to case management and practice systems via a Web browser.



Paula Nash is a solicitor, consultant and the director of risk assessment software firm CFA Risk