File Review Checklist PDF

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FILE REVIEW CHECKLIST Matter Number

Fee Earner

PROCEDURE

COMPLIANCE YES

NO

N/A

START OF MATTER REVIEWER:

Date

Are we clear who we act for Has file opening procedure been followed Money on account obtained Client identification verified and Money Laundering Regulations complied with Conflict of interest check recorded on Inception Form (& Global Email sent to S&S, if matter likely to be contested) Key dates recorded on file and in Fee Earner’s Outlook calendar (if applicable) Next file review date recorded in Fee Earner’s Outlook calendar and others invited Terms of Business issued and signed document placed in case manager

PROGRESS OF MATTER REVIEWER:

Date

Evidence that Terms of Business have been agreed Have our initial instructions changed and, if so, have new ToBs been issued? Client updated on costs as appropriate Checklists completed Client notified updated on change of Fee Earner or supervisor Timely response to client enquiries Key dates recorded on file and in Fee Earner’s Outlook calendar Next file review date recorded in Fee Earner’s Outlook calendar and others invited Sufficient money on account - bank details confirmed? Client informed in event of adverse costs order Undertakings correctly recorded

File Review Checklist

Amended 27/09/2017

1

Barristers and expert witnesses, etc., engaged in line with procedures

PROCEDURE

COMPLIANCE YES

NO

N/A

Complaints procedure followed Do fees or time estimate need to be reviewed Client billed in accordance with agreed terms END OF MATTER REVIEWER:

Date

Client accounted to for any outstanding monies Do Client and Office Accounts have zero balances Have all of the Client’s objectives been met? Original documents returned to client Matter contacts to client changed Undertakings discharged Original documents retained on behalf of client Client advised on storage and retrieval of papers Advise client of future key date Remove outstanding file reviews and key dates Client notified of outcome Are there important documents that need to be scanned. Have all letters/emails with client been put in case manager (Fee earner’s responsibility to do this). Enter destroy date ADMIN Documents stored in an orderly way Last address on P4W amended Plastic wallets removed Archive file on P4W Overall outcome:

COMPLIANT

NON-COMPLIANT

Note: If non-compliant please complete a File Review Corrective Action Form COMMENTS (Please continue on another plain sheet, if required)

File Review Checklist

Amended 27/09/2017

2...