27. April 2026
Secrets of a great file review process
Why review files?
File reviews are rarely at the top of anyone’s list of favourite things to do, but they are an effective and essential part of the supervision process. Although the SRA doesn’t require that firms do them, its guidance on supervision is detailed and lengthy. File reviews can be one way to meet many of the expectations for supervision and, equally as important, evidence effective supervision.
Common issues for firms with file reviews come from a 'one-size-fits-all' tick-box approach, plus complex and unnecessarily fiddly processes.
What can I do?
Here are some questions to ask to make sure it works for your firm:
Is the review process relevant to your firm?
Standard templates can be bought or paid for by subscription, but they often try to cover multiple types of firm and different areas of law in one template. No wonder they can cause frustration! Tailor your review to match your firm.
What is important for you to review?
Do you want to check the quality of legal advice? Is it evidence of compliance you need to see? Or, both? The questions in the review can be tailored to fit the way you work. Consider different questions for different departments.
Who is the best person to review the file?
You don't have to put everything onto the Head of Department or the Compliance team. It doesn’t have to be a Partner that carries out file reviews, but neither can it be a task given to a new apprentice with no experience of working with a file. There’s nothing to stop one person reviewing the ‘legal’ side of things and someone else picking up the ‘compliance’ review. Whoever it is needs to understand the expectations and, most importantly, have sufficient knowledge to identify whether there’s a problem and have authority to tell the file owner that something needs correcting.
How often are the file reviews needed?
Think about the way your teams work and their structure. Not every fee earner needs 3 files reviewing every month. Some people or departments may need more files reviewed and/or reviews more regularly than others. There could be different review periods for different types of work or levels of seniority.
Are you including everyone's files?
Even the most senior, experienced people in your firm should have files reviewed, although it can be difficult to persuade someone to take them on! Who wants to tell the Managing Partner that their files may need some corrections!? Remember, no one is perfect. Including everyone in reviews is a great demonstration of risk management and a positive culture of accountability for compliance.
How and by whom will files be selected?
Some firms deal with it completely randomly, which is OK. My preferred approach is still a random selection, but maybe from lists of those that are higher risk, or from a list of dormant matters. Best not to let a fee earner choose their own files to hand over…
Are corrective actions dealt with?
If something is picked up during a review that needs correcting, how is this notified to the fee earner and who monitors whether it’s been done? If something is picked up at review, it must be corrected within a reasonable time frame. This is an essential part of file reviews being effective.
How often are the results considered and reported?
This part is so often overlooked, but is an invaluable source of information about common problem areas. It can be used to target training and support for individuals or departments. If something keeps going wrong in one team, maybe the original process needs considering to make it easier for them to meet compliance requirements in a way that works for them. Report the periodic review results to the management, so they are aware of the issues and what has been done to reduce them.
Moving forward
Firms have the freedom to make file reviews work for them and, if done properly, it can be a brilliant way to effect and evidence supervision, nipping problems in the bud, and helping you maintain your firm’s reputation and standards. As always, if you treat them only as a tick-box exercise, they can become time consuming with little benefit.
I can help with either creating a tailored file review process for your firm, completing file reviews on behalf of a firm. I have an enormous amount of experience in reviewing files for different areas of law and can create a system that works for you and your teams. I'll also provide reports to the COLP about what is working well and any areas of concern, so that firms can have confidence in the system. The benefits can be huge, so please get in touch for more information.