INTERNAL FILE AUDIT CHECKLIST

INTERNAL FILE AUDIT CHECKLIST

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FILE REVIEW FORM FACE TO FACE/PAPER REVIEW CDS 6 noted? Y /N £………. File Ref. : ......................................... Client Name : ......................................... Fee Earner : Matter Type : PST MCP MCA CCP CCA ARV PRL PCL Date of Review : ........................... Legal Reviewer : ......................................... A Review of Substantive Legal Issues and Advice - See Substantive Legal Checklist attached (to include a review of the application of the sufficient benefit test/interest of justice test/other merits test as appropriate). Notes and comments B Procedural Review - See Procedural File Audit Checklist attached Notes and comments C Corrective Action Required (to address Procedural or Legal Points raised) Date for Completion D Follow up supervision required? If so, specify what By when? E Training needs identified? If so specify what By when? F Date Action Fee Earner’s Confirmation that Corrective Action has been carried out and any comments Taken G Confirmation by Reviewer that Corrective Action has been put in place I confirm that the necessary Corrective Action (see Box C above) has been carried out; or that appropriate explanations have been provided by the Fee Earner and recorded in Box D, and that the Internal Audit can now be closed out. Signed : ...

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FILE REVIEW FORM
FACE TO FACE/PAPER REVIEWCDS 6 noted?Y /N£………. File Ref. :......................................... ClientName :......................................... Fee Earner :......................................... MatterType :PST MCPMCA CCP CCA ARVPRL PCL Date of Review :........................... LegalReviewer :......................................... AReview of Substantive Legal Issues and Advice-See Substantive Legal Checklist attached (to include a review of the application of the sufficient benefit test/interest of justice test/other merits test as appropriate). Notesand comments BProcedural Review - See Procedural File Audit Checklist attached Notes and comments CCorrective Action Required (to address Procedural or Legal Points raised)Date for  Completion  DFollow up supervision required? If so, specify whatBy when? EIf so specify whatBy when?Training needs identified? FFee Earner’s Confirmation that Corrective Action has been carried out and any comments DateAction  Taken GConfirmation by Reviewer that Corrective Action has been put in placeI confirm that the necessary Corrective Action (see Box C above) has been carried out; or that appropriate explanations have been provided by the Fee Earner and recorded in Box D, and that the Internal Audit can now be closed out. Signed :Date :
PDS 16 – May 2002
A SUBSTANTIVELEGAL CHECKLIST File Name: ………………………………Reviewer: …………………………………. File Ref. :.......................................…………..Date of Review :.......................................... 1Were correct instructions obtained?Give brief description of the matter Yes NoIf not, give details 2Brief outline of the adviceWas advice given appropriate? YesNo Ifnot, give details 3Were they appropriate?Actions taken – outline YesNo Ifnot, give details Any other action recommended?  YesNo Ifyes, give details 4Were they appropriate?Representations made / Negotiations – outlineYes NoIf not, give details  Werethey effective?Yes NoIf not, give details
PDS 16 – May 2002
SUBSTANTIVE LEGAL CHECKLIST Substantive legal checklist (cont)
5Preparations – outline
6Overall comments of legal conduct
PDS 16 – May 2002
Were they appropriate?Yes NoIf not, give details
Was everything necessary obtained e.g. character witness?Yes NoIf not, give details
PROCEDURAL FILE REVIEW CHECKLIST File Name: ………………………………Reviewer: ………………………. File Ref. :.......................................…………..Date of Review :.......................................... Y N NComments Procedural Review/ A
a Hasa conflict check been carried out? b Arekey dates and undertakings recorded on the file? c Canthe current status of the case be easily identified and is the file well ordered? d IfA&A means/merits tested – has the CDS1/CDS2 been properly completed/signed and dated? e IfA&A means/merits tested– is there evidence of financial means? f IfUFN allocated is it correctly formatted?
a Theclient’s instructions b Advicegiven c Actionagreed to be taken by the client and the caseworker d Theeffects of orders for costs e.g. prosecution  Dateof Estimate e IfCrown Court matter and a RDCO islikely,……………………..an estimate of the likely total cost of the matter (inc.VAT and disbursements) f IfCrown Court matter and RDCO islikely- the client’s potential obligation to contribute to the cost of the defence (RDCO) and the consequences of failing to do so g Whowill have conduct of the matter/who is supervising (where relevant) h Complaintsprocedure i Anylimit on ability or willingness to act eg representation at court or tribunal j Keydates in the matter on fileandin central diary / CMS
PDS 16 – May 2002
PROCEDURAL FILE REVIEW CHECKLIST
Procedural Review (Continued)
Y NN / A
Comments
a Hasinformation on the progress of the case been given to the client at appropriate intervals and at least two every two month? b Hasinformation on changes in the handling/fee earner or progress of the case been given to the client promptly?  Insertdates: c (IfCrown Court matter, RDCOlikely andan estimate sent out at the outset)- has the clientst been updatedin respect of the costs position on the case onat least every 6 months1 cost(Costs toupdate ………………. nd date/ a re-statement or revision of the likely total costs estimate). Are all updates/estimates inc.2 costupdate ………………. of VATand disbursements?
a Hasthe caseworker reported to the client on the outcome of the case/further action required? b Hasthe caseworker accounted to the client for any outstanding property/documentation? c Hasthe client been advised of the arrangements for the storage and retrieval of the file/property? d Hasthe matter beenreportedwithin the relevant time limit?
a Hasthere been consultation with the client about the choice of counsel/expert? b Hascounsel/the expert been given clear instructions describing what is required? c Hasthe report/opinion received been checked by the caseworker against the requirements set out in the instructions? d Doesthe file record the reasons why counsel/an expert has been used who isnoton the firm’s approved list?
a Hasall time spent on the file been entered into the time recording system? (Check 3 items min) b Hascorrect time been claimed for any overtime / standby / mileage? c Isit a veryhigh cost case and if so, has it beenreportedto the CHCC unit?
PDS 16 – May 2002