Let’s be honest – file reviews aren’t exactly the most exciting part of being a solicitor. They take time, require attention to detail, and can feel like yet another compliance burden. That’s almost certainly why most firms struggle to keep up with their file review schedule.
But while they may not be the most thrilling task, regular file reviews are essential. More than just a regulatory requirement, they can help safeguard your practice, maintain high standards, and improve client satisfaction.
Keeping your firm compliant
One of the primary reasons for conducting file reviews is to ensure compliance with the SRA rules. The SRA Code of Conduct for Firms requires firms to have systems in place to manage risks effectively, ensure competent case handling, and supervise legal work appropriately. Regular file reviews help you identify gaps in compliance before they escalate into something more serious, such as regulatory breaches, negligence claims, or client complaints.
Reducing risk before it becomes a problem
Every solicitor knows (or should know!) that risk management is key to avoiding costly mistakes. A missed deadline, an overlooked document, or an error in legal advice can quickly escalate into a serious issue. Regular file reviews allow firms to catch these problems early, before they become reportable to the regulator or insurers. By proactively managing risk, you’re not just protecting your firm – you’re protecting your clients, too.
Maintaining quality and consistency
If a law firm’s reputation is built on the quality of its work, then file reviews provide an opportunity to check that legal advice, case management, and client communication are meeting the firm’s standards. They help ensure consistency across different solicitors and departments, making sure that every client receives the level of service you want your brand to represent. They also offer a chance to spot areas where improvements can be made, whether in drafting, strategy, or procedural efficiency.
Happier clients, fewer complaints
No client wants to feel like their matter has been forgotten. By regularly reviewing files, firms can ensure that cases are progressing as expected, identify potential delays before they cause frustration, and keep clients informed. It’s the file that hasn’t been touched in a while that is likely to harbour problems.
A training and development tool
File reviews aren’t just about catching mistakes – they’re also a valuable learning tool. For junior solicitors and paralegals, they provide insight into best practices and common pitfalls. They also highlight areas where further training or supervision might be needed. When we conduct file reviews for law firms, we prefer to do a small quantity, but in the presence of the fee earner. That way, they can talk us through their thinking and we can deliver micro-training on the spot, identifying where there might be a broader training or policy need across the firm.
Financial health: getting billing right
Billing errors can lead to disputes, lost revenue, and even regulatory issues. Regular file reviews can help ensure that all work is properly recorded, billed accurately, and justified. They can also identify inefficiencies in time management, ensuring that solicitors are spending their time effectively.
What happens after the review?
A file review is only useful if the findings lead to action. Simply ticking boxes and moving on misses the point. To get real value from the process:
- Document findings – record issues and areas for improvement.
- Take corrective action – address individual case issues and make firm-wide changes where needed.
- Provide feedback – give constructive feedback to team members and offer training where necessary.
- Update procedures – refine internal policies to prevent recurring issues.
- Monitor progress – track improvements and follow up on corrective measures.
- Report to senior management – ensure leadership is aware of compliance and risk management progress.
- Think about the “feedback loop” – information collected during file reviews is an opportunity to feed back into your high-level controls, such as firm-wide risk assessments, policies and training plans.
Most importantly, remember: if it isn’t documented, it didn’t happen! Keeping clear records of file reviews and any actions taken is crucial for demonstrating compliance.
Making file reviews work for your firm
Yes, file reviews take time. But the benefits far outweigh the inconvenience. By embedding them into your firm’s culture – not just as a compliance exercise, but as a proactive tool for improvement – you can enhance quality, reduce risk, and build a stronger, more resilient practice.
And who knows? With the right approach, they might even become less of a chore.
