The evidence of the work.
WHY IT MATTERS
Files are examined in complaints, claims, audits and regulatory reviews.
WHAT A FILE SHOULD CONTAIN
The engagement letter Client identification and verification Conflict check record Instructions received Advice given Documents produced and received Records of significant conversations Time records Billing records
WHY SIGNIFICANT CONVERSATIONS
Verbal advice is where disputes originate and it is rarely recorded.
WHAT TO DO
Note the substance, contemporaneously.
WHY CONTEMPORANEOUSLY
Notes made later carry little weight and they are detectable.
WHAT TO ESTABLISH
That file notes are made at the time.
WHAT TO ESTABLISH ABOUT COMPLETENESS
That the file would allow another professional to understand the matter.
WHY
Files are transferred, and people leave.
WHAT TO ESTABLISH ABOUT RETENTION
How long files must be kept.
WHY IT VARIES
Professional and statutory requirements differ by type of work.
WHAT TO ESTABLISH
The period applying to your work, and adhere to it.
WHAT TO DO AT CLOSURE
Confirm to the client that the matter is concluded State what you have done and what remains their responsibility Confirm what is being retained and for how long
WHY THE CLOSING LETTER MATTERS
It ends the retainer and it starts limitation running.
WHAT TO ESTABLISH ABOUT CLIENT DOCUMENTS
Whose they are, and what happens to them.
WHAT TO ESTABLISH ABOUT SECURITY
That client information is held securely and access is restricted.
WHY
Confidentiality is a professional obligation and breach is serious.
