Best practice suggests that practitioners employ systems which:
- store and retrieve key information regarding all firm clients and opposing parties
- open and maintain active client files
- check for conflicts
- check for and record limitation periods
- close and record, retain, and dispose of closed files
- have an on-going review of management systems to ensure they meet changing standards and practices
- identify clients’ property and ensure that they are placed in safe custody
- comply with the Australian Solicitors' Conduct Rules 2023 (Qld).
Storage and retrieval of key client and opposing parties information
Practitioners should consider maintaining information regarding:
- current and former clients including
- names, aliases and former names
- date of file opening and closing
- subject matter of the file
- conflicting or adverse parties including
- names of persons related, or associated with a client, former client or the names of persons relevant to client or former client matters
- cross references to the client or former client file name, file number, and matter reference
- accounting and billing
- key dates and reminders.
File opening procedures
Practitioners should consider opening a file and preparing a file note when a client initially contacts the firm to obtain legal services. If applicable, practitioners should immediately note any limitation period, diarise it and advise the client if it is imminent.
A file opening checklist is recommended. The checklist should provide for a method of obtaining information about the client and the opposing party. A distinct file name and number should be allocated to each file and include the
- name of the client; and
- reference or matter number.
Organisation of file contents
Best practice suggests that client files contain sub-files for:
- communications (including correspondence, memorandums to file or notes of conversations, meetings, or telephone calls arranged chronologically);
- substantive memorandums and investigations;
- original documents;
- retainer letter;
- firm accounts and billing information;
- legal research;
- undertakings to be satisfied; and
- others as appropriate to the file.
For paperless practices a standardised file saving protocol should be implemented and adopted.