File review and issue identification - Document triage and k...

Learning Outcomes

This article covers the skills for systematic file review and issue identification, including:

• Conducting initial file review to organise case papers and map objectives
• Performing document triage to prioritise urgency and relevance, and flag gaps
• Extracting and recording key facts with clear source tagging and status (alleged/admitted/unknown)
• Building chronologies of material events, deadlines, and critical dates
• Distinguishing facts, evidence, and issues, and aligning them with legal elements
• Preparing concise case summaries or memos for supervisors or clients
• Managing urgent deadlines, risks, and procedural steps (e.g., CPR time limits)
• Maintaining confidentiality, privilege markings, and robust version control
• Creating action plans that allocate tasks, responsibilities, and next steps
• Presenting clear, neutral analysis and summaries consistent with client objectives and professional standards

SQE2 Syllabus

For SQE2, you are required to understand the practical techniques for file review and issue identification, with a focus on the following syllabus points:

• 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, evidence, issues, and client instructions
• preparing concise summaries or case memos for supervisors or clients
• building clear chronologies and action plans with critical dates
• noting legal and procedural constraints that shape next steps
• maintaining accurate attendance notes and version control

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.

1. When conducting an initial file review, what is the primary objective?
2. What does 'document triage' refer to in legal file management?
3. Name three criteria used to determine whether a fact is "key" for case analysis.
4. Why is it important to keep a clear record of the source of facts during key fact extraction?
5. 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. A well-managed review builds an early “problem analysis model”: define the client’s objectives, gather relevant facts, identify applicable legal and procedural frameworks, apply law to those facts, and outline options, risks, and next steps. Clear, accurate early work will make later drafting, advocacy, and negotiation far more effective.

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. Approach triage with a simple urgency-relevance framework:

• Urgency: Identify immediate deadlines (e.g., defence due under Civil Procedure Rules, approaching limitation). Diarise critical dates and set reminders. Avoid “crisis management” by mapping the timeline early.
• Relevance: Separate documents that have evidential value or bear directly on issues from those that are contextual only. Flag gaps (e.g., missing signed contract, absent witness statement) and note follow-up tasks.

Practical considerations during triage:

• Indexing and version control: Create a document index and note versions (e.g., draft vs executed agreements). Use consistent naming and track changes when editing working drafts to avoid confusion.
• Chronology: Begin a simple chronology of material events and deadlines. This becomes the backbone of your case summary and advocacy.
• Confidentiality and privilege: Identify privileged material (e.g., internal advice). Avoid inadvertent disclosure and mark documents appropriately.
• Identity and capacity checks: Verify parties’ full names, addresses, statuses (individual/company), and, for companies, registered numbers. Correct identification is essential for drafting and service.
• Duplicate handling: Maintain but separate duplicates to reduce noise; reconcile inconsistencies between versions when checking facts.
• Missing documents: Record what is missing and its significance (e.g., an absent policy schedule or absence of a signed acknowledgment). Add these to your action list.

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). Cross-check facts across multiple sources to confirm accuracy and flag inconsistencies for resolution. Use short, neutral statements (“alleged”, “admitted”, “unknown”) to classify the status of each point pending verification. Early classification helps avoid inadvertently treating assertions as established facts.

Practical extraction techniques:

• Funnel questioning when clarifying with the client: start with an open summary to capture the narrative, then narrow to specifics (dates, locations, sums). Avoid over-reliance on rigid checklists that can interrupt active listening and conceal important cues.
• Source tagging: Every key fact should carry a source tag (e.g., “Client note, dated 10/06; Supplier email 11/06”). This is essential if the file is handed over or challenged.
• Evidential approach: A fact is “key” if it goes to a required ingredient of a cause of action/defence, affects limitation, or significantly shifts options or risk.

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.

Link fact extraction to a simple problem-solving cycle:

• Identify objectives (what the client wants to achieve)
• Gather facts (client, documents, third parties)
• Identify relevant law and procedure (substantive and process)
• Apply to the material facts (which issues are determinative)
• Outline options and risks (including costs, time, and evidential gaps)
• Plan next steps (action plan, responsibilities, dates)

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. A practical way to structure this is to map law, facts, and evidence in five levels:

• Level 1: Source of the right or duty (e.g., statute, contract)
• Level 2: Cause of action/defence or procedural step engaged
• Level 3: Ingredients that must be proved or satisfied
• Level 4: Propositions of fact that correspond to each ingredient
• Level 5: Items of evidence (documents, witness testimony, admissions) that prove those facts

By aligning extracted facts with required legal elements, you filter out immaterial detail and spotlight what must be investigated or proved.

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. Present the summary in short, numbered paragraphs, use neutral labels for disputed assertions, and avoid jargon. Where appropriate, include:

• Constraints (limitation, CPR time limits, cost or resourcing constraints)
• Evidential gaps (what is needed to prove each key proposition)
• Provisional risk assessment (e.g., prospects, exposure to adverse costs)
• Communication plan (who contacts whom, by when)

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.

Worked Example 1.3

On receiving a litigation transfer file, you find a court notice showing an acknowledgment of service due tomorrow. The defence deadline will follow shortly. The previous firm’s letter indicates negotiations are ongoing.

Question: How do you triage and record action?

Answer:
Treat the court deadline as urgent. File the acknowledgment of service immediately or seek consent for an extension under CPR rules. Diarise the defence deadline. Record the action in the case summary with dates and responsible person. Notify the client about the immediate procedural step and its cost implications. Continue negotiations, but do not allow them to jeopardise compliance.

Worked Example 1.4

In a commercial matter, a draft agreement refers to “Main Builder Homes” while invoices and Companies House records show “Main Builder Homes Limited” with a different registered office.

Question: What is the key fact extraction and action?

Answer:
Correct party identification is material. Record the company’s full legal name and registered number from Companies House as a key fact with source and date. Flag the inconsistency. Update the draft to reflect the correct entity and address, and verify execution formalities for a company. Note that incorrect identification can affect enforceability and service of notices.

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. Create a basic action plan listing tasks, owners, and target dates to maintain momentum.

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. Attendance notes should capture relevant facts, advice given, client decisions, and agreed follow-up. Use plain English, avoid emotive or vague phrases (“soon”, “substantial”), and be specific about dates, amounts, and responsibilities.

Costs and client care:

• Provide clear, early information about the cost of the review and likely future costs, in line with the SRA Standards and Regulations (2019) requirement to give the best possible information on pricing and likely overall cost at engagement and as the matter progresses.
• When advising options, include costs, benefits, and risks to support informed decision-making.
• At closing, confirm timelines, expected outcomes, next contact, and follow-up in writing.

Ethical practice when handling documents:

• Be open and honest when amending drafts. Do not conceal changes or mislead the other side. Track changes for internal control but send clean versions when appropriate.
• Do not exploit obvious errors by the other side; point them out promptly.
• Respect confidentiality and privilege throughout triage and summary preparation.

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. Focus on the client’s objectives, key dates and documents, disputed issues, and specific, practical next steps. Present a structured chronology and action plan; avoid vague, verbose summaries.

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
• Building chronologies and action plans with clear responsibilities and dates
• Recording uncertainties, evidential gaps, and costs information for client care
• Maintaining professional ethics, confidentiality, and version control when handling documents

Key Terms and Concepts

• document triage
• key facts
• file review
• issue identification