Learning Outcomes
After reading this article, you will be able to conduct a systematic file review, efficiently triage documents, and extract key facts for legal analysis. You will understand how to organise case files, identify relevant information, and distinguish between background material and actionable points. These skills are required for effective preliminary problem-solving and reporting in the SQE2 examination context.
SQE2 Syllabus
For SQE2, you are required to understand the practical techniques for file review and issue identification. In your revision, pay particular attention to:
- the process of organising and reviewing case files on receipt or transfer
- prioritising and triaging documents for relevance and urgency
- extracting, recording, and presenting salient facts to inform legal analysis
- distinguishing between facts, issues, and instructions
- preparing concise summaries or case memos for supervisors or clients
Test Your Knowledge
Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.
- When conducting an initial file review, what is the primary objective?
- What does 'document triage' refer to in legal file management?
- Name three criteria used to determine whether a fact is "key" for case analysis.
- Why is it important to keep a clear record of the source of facts during key fact extraction?
- True or false? Any document found on file should always be included in the summary of key issues for the case.
Introduction
File review and issue identification are critical early stages in legal casework. For SQE2, you must be able to review case papers efficiently, filter documents rapidly, and extract the facts that shape legal analysis and advice. This process sets the direction of your work, informs preliminary strategy, and helps avoid mismanagement of client affairs.
Document triage: initial sorting and prioritisation
Effective file management begins with document triage. On receiving a case file, your first task is to distinguish useful and relevant material from background or duplicate paperwork.
Key Term: document triage
The process of rapidly sorting case documents by urgency, relevance, and required action to facilitate efficient case handling.You should look for the following:
- New client instructions
- Time-sensitive correspondence, such as court deadlines or limitation expiry dates
- Key contract documents or agreements
- Previous advice notes and court orders
- Duplicates or unnecessary material (which can be set aside, not discarded, until review is complete)
Prioritising in this way ensures that urgent matters are addressed first and the file is manageable.
Key facts extraction: identifying material information
Once triage is complete, the next step is to extract key facts—those pieces of information which are essential for understanding the client’s objectives, the dispute, and any immediate next steps.
Key Term: key facts
Information in the file that directly affects the legal issues, client goal, or choice of action and should be identified and recorded at the earliest stage.Not all information on file will be equally important. Focus on:
- Dates of critical events (e.g., contract completion, accident, charge)
- Details of parties: names, contact details, legal relationships
- Instructions or goals expressed by the client
- Allegations, admissions, or disputed matters
- Existing or pending court proceedings, notices, or deadlines
Maintain a clear, dated record of where each fact comes from (for example, client statement, letter, or official document).
Key Term: file review
A structured examination of all documents and information in a legal file to assess status, completeness, and identify necessary action.Key Term: issue identification
The process of recognising the material legal and factual questions arising from the client’s case or documents reviewed.
Distinguishing facts, evidence, and issues
During file review, you must distinguish clearly between facts (what happened), evidence (how facts can be proved), and issues (the questions the court or transaction seeks to resolve).
Not everything claimed or suggested in a file is a fact. Separate confirmed facts from mere assertions pending verification. Likewise, some facts will be background only; others will determine the legal analysis or advice.
Worked Example 1.1
You receive a dispute file involving a breach of contract. Among the papers are:
- The signed contract (dated 1 May)
- Letter of claim (dated 15 June) alleging defective goods
- Client’s handwritten note: “Goods delivered late—10 June”
- Email from the supplier denying any delay
Question: What facts would you identify as ‘key’ in your initial review?
Answer:
Key facts are: (1) contract signed 1 May; (2) goods delivered 10 June (as stated by client); (3) late delivery is alleged in the letter of claim (15 June); (4) supplier disputes delay. Note exact dates and the source (client, letters, email). These facts will shape your preliminary legal analysis.
Creating a structured case summary
After extracting key facts, prepare a concise summary or attendance note that sets out:
- Client’s objective
- Chronology of material events and dates
- Outstanding issues and what is agreed/disputed
- Action points (e.g., obtaining further documents, clarifying instructions, or urgent deadlines)
This summary provides a reference for yourself and any colleague taking over the file. It ensures nothing material is missed and clarifies next steps.
Worked Example 1.2
During a file review for a personal injury claim, you find medical notes, photographs, a witness statement, and a client questionnaire. You note the accident date is missing from the initial summary but appears in the GP’s letter.
Question: What should you do?
Answer:
Verify and record the exact date of the accident as shown in the GP’s letter. Ensure this date matches other documents. Flag the source and update the summary. If there is any inconsistency, note this for clarification with the client.
Revision Tip
Highlight or annotate key dates and client objectives on the front sheet of your file. This makes subsequent review and handover more efficient.
Professional conduct and record-keeping
You have a continuing professional duty to record carefully:
- What documents were reviewed and when
- All facts and deadlines noted
- Uncertainties or gaps discovered
- Next steps required
This is essential for continuity, quality control, and demonstrating to supervisors or regulators the adequacy of your work. Failing to record your review exposes you and your firm to risk of error.
Exam Warning
For the SQE2, do not mistake quantity of paperwork for quality of review. Marks are awarded for identifying what is truly relevant and material, not for duplicating or reciting every detail on file.
Key Point Checklist
This article has covered the following key knowledge points:
- The purpose and stages of initial file review in legal practice
- Systematic document triage to identify relevance and urgency
- Extraction and clear recording of key facts and their sources
- Distinguishing background information from actionable issues
- Preparing structured case summaries to inform subsequent action
Key Terms and Concepts
- document triage
- key facts
- file review
- issue identification