File Audits

Some types of file auditing focus solely on compliance with a firm’s processes, but O(7.8) requires “… the regular checking of the quality of work…”.  The file auditing we do looks at the quality of the work and therefore provides an element of supervision.  Using the file checklist we have formulated, we would normally expect to audit 8 or so files in a day, subject to the size and complexity of the file.

Between us, we have handled or supervised the defence of thousands of Professional Negligence claims, over many years.  This has given us an ability to measure what it is realistic to expect of a well-run file, and a unique insight into the tell-tale signs of a problem file.

Our experience includes:

  • Auditing files for a mid-size firm on a monthly basis, as part of their quality system.  This retainer is ongoing.
  • Conducting one-off file audits for two leading Professional Indemnity law firms;
  • Auditing files as part of a risk management exercise, to identify how a firm’s systems and controls could be strengthened;
  • File audit on a thematic basis, e.g. to check compliance with AML requirements on Client Due Diligence.

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