Control, content and supervision of matter files are all part of the management process which should protect the practice and the client's interests and assist you in the delivery of superb legal services.
Under clause 4.2.6.1 of the LAW 9000 standard the matter files used in the delivery of legal services to clients should be controlled.
These controls should include:
- procedure for opening files, including authority to open them
- unique ID for matter files
- controls on who can get access to matter files
- authority to remove records from files
- file tracking
- procedure for closing files, including authority to close them.
File opening procedure
Depending on your legal practice risk assessment profile you may have to start with a preliminary conflict of interest check even before the first interview with your potential client. The standard has a clause for conflict of interest checks (clause 7.1A) to which I will return in a later post.
Here is a sample procedure for conflict of interest checks:
Most legal practices use some form of a file opening sheet which contains enough information about the client to open the file and populate the data into the electronic systems in the office. Before opening the matter file you would normally identify your client and sometimes establish the client's capacity.
For some it may look like an excessive step but diligent lawyers are likely to perform a second conflict of interest check after they have recorded all of the client's additional details during the initial interview.
Below is an example of a file opening procedure which can be modified to suit your needs.
Most legal practices use some form of a file opening sheet which contains enough information about the client to open the file and populate the data into the electronic systems in the office. Before opening the matter file you would normally identify your client and sometimes establish the client's capacity.
For some it may look like an excessive step but diligent lawyers are likely to perform a second conflict of interest check after they have recorded all of the client's additional details during the initial interview.
Below is an example of a file opening procedure which can be modified to suit your needs.
File closing, retention and destruction procedure
How you close and store your matter files and when you destroy them can have serious consequences for your legal practice from a risk management perspective if certain steps have been left out of the process or if your staff don't adhere to the procedures you have in place.A checklist is the simplest way to verify that the essential steps have been completed. The controls should include:
- client’s instructions were followed
- all legal steps under the retainer were completed
- billing procedures were followed
- costs and disbursements were paid
- a final report was prepared for the client
- property and money was returned to the client
- relevant files were linked
- documents were stored or were returned to the client
I have included a file closing procedure which can be modified to suit your legal practice needs.
Having the processes of opening and closing matter files documented is an essential step in the management of risk for every legal practice. It is however equally important that these procedures are included in the induction program for new lawyers and are reviewed regularly as part of the quality management system annual review process.
In the next post I will cover the requirements under the LAW 9000 standard for the matter file contents.
In the next post I will cover the requirements under the LAW 9000 standard for the matter file contents.
Visit www.crystallawyers.com.au for advice about probate and letters of administration.
No comments:
Post a Comment