October 30, 2025

Let’s face it, chargeable hours and financial targets don’t leave much time for file reviews. The SRA doesn’t mandate them in the 2019 SRA Standards and Regulations, so do we really need them?!

The SRA’s informal guidance, encourages firms to implement an effective file review system. There are a host of reasons why you should, and need, to have a good file review system in place, so let’s explore some of these reasons.

Apart from keeping the SRA happy, why should you have an effective file review system in place?

1. Risk management & PII policies

The PII proposal forms often ask about your file review system, as it is seen as good and essential risk management. Having an effective system could possibly even lower your premium. It goes without saying that if you have told your insurer that you are following a file review policy, make sure that you are!

2. Quality control

It is a great way to ensure that file handlers are following your policies and procedures. Which means it may highlight changes that need to be made to your policies due to issues highlighted in these reviews.

3. Demonstrating effective supervision

Without a file review process in place, it is difficult to see how you can demonstrate effective supervision, especially of those that have their own caseload.

4. Detecting any errant fee earners

If a fee earner is failing to follow policies and procedures it can be picked up in file reviews.

5. Providing information to the management team

The file reviews can provide information to the management team on patterns of behaviour.

6. Helping to develop and train your team

File reviews can help you to ascertain areas of strengths and weaknesses. From this training can be tailored to the team accordingly.

7. Compliance with Lexcel or other accreditations.

Whilst file reviews are not a strict requirement of the SRA, they are a requirement of Lexcel, CQS and other accreditations.

8. Compliance culture

File reviews allow for a strong compliance culture to be embedded throughout your firm. If file handlers know that their files will be reviewed this can have an extremely positive effect, even more so if praise is given for good file management where appropriate.

So, you have a File Review system in place, what now?

As with a lot of these things, it is one thing having a policy in place, quite another thing to make sure that the policy is followed. We know it can be difficult to find time for file reviews, and that time allocated often falls by the wayside as understandably client work is prioritised. But fear not, zest. can help!

Some helpful tips:

1. Use a template file review form or standard questions.

2. Decide on how many files are selected for each fee earner, and the method for selection (randomly, high-risk files etc.).

3. Ensure a record is kept of file reviews and that any patterns, or repeated errors are addressed.

4. Follow up on recommendations and address any areas of weaknesses.

5. Ensure everyone in the firm is engaged to ensure reviews take place

How can we help?

We offer a full file review service, tailored to your firm’s requirements. We will collaborate with your Firm to design and implement a process or update the existing process to ensure its fit for purpose.

Our service will typically involve remote file reviews on a cross-section of files on an allocated day (or over a couple of days for larger practices). Once completed, we work with you to amend processes, fix problems and highlight successes. Our reports are comprehensive and designed to add vale rather than paying lip service to the file review process.

We can supplement your in-house compliance team but bearing some of the burden. We can free up your fee earner/mangers time by doing the file reviews for them, letting them focus on their performance metrics for the Firm. We work collaboratively always and truly believe there is strength in partnership.

Curious? Contact us for an informal chat about our services.

What’s the best approach to secure leading legal talent for your Firm?

Does your firm favour appointing multiple recruiters on a PSL or does it opt for a strategic, retained service?

The truth is that both options yield results, but contingent v retained should be a consideration when deciding on your recruitment pipeline for the next 12 months.

What’s the difference?

Contingent recruitment is the ‘go to’ model. This usually involves your Firm asking your PSL agencies to find talent for a specific role. The reality is that agencies will use the same job boards to advertise and promote the role and often chase the same candidates – in a passive candidate market, it’s difficult not to! Since a fee is not guaranteed, there is a temptation to introduce candidates that aren’t exactly right for the role in the hope that a placement will be made and a fee secured. It’s a tough market!

Contingent recruitment is low risk for employers but high risk for recruiters. This can often result in a less personal and more transactional relationship with Firms. Of course, there are ways to modify this by Firms working closely with one or two selected agencies and by sharing your recruitment plans for say, the next 12 months. This approach enhances the relationship between the Firm and the agency and promotes collaboration and transparency between the parties, leading to stronger partnerships and better results.

Retained recruitment promotes a more strategic approach to sourcing top talent. This approach is often favoured for high level talent where the appointed agency has deep sector and market knowledge, combined with notable expertise in successful senior hires. An upfront fee is paid with the brief, followed by a further fee on candidate shortlisting and a final fee on candidate appointment. The benefit? Exclusivity and expertise. The agency will appoint a key head-hunter to manage the relationship and spearhead the search. This collaboration usually results in success for both parties and strengthens the partnership between the two businesses.

So, what do we suggest?

Blend the two models. Be strategic in your approach to talent acquisition and don’t allow your firms credibility to be diminished by too many agencies saturating your brand. Build meaningful relationships with key agencies who know your business and can add value to the talent process.

Work collaboratively for stronger, long-term partnerships.

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