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If you are considering a professional negligence claim, getting the full file from the professional is a key first step. You should request the file before contacting a lawyer, as having the complete file ready will save time and costs during the initial assessment. A solicitor can review the documents immediately, identify the evidence needed, and assess the strength of your claim.
Preserve Key Evidence: Files can be archived, lost, or deleted over time. Early collection ensures critical documents are preserved.
Assess the Strength of Your Claim: Reviewing the file allows your solicitor to determine whether there was a breach of duty and the potential scope of your loss.
Encourage Early Admission of Liability: Promptly reviewing the file may highlight clear errors or breaches, giving the professional or their insurer an opportunity to admit liability early.
Comply with Pre-Action Protocols: Under the Professional Negligence Pre-Action Protocol, both parties are expected to disclose relevant documents. Having your file ready helps meet these requirements efficiently.
Support Expert Review: One of the first things we advise in many cases is instructing an expert in the same field as the negligent professional. Experts rely on original documents to assess professional standards and quantify losses.
Avoid Limitation Issues: Professional negligence claims are generally subject to a six-year limitation period. Collecting your file promptly ensures you can act within this timeframe.
For potential claims against solicitors you are generally entitled to access:
Contracts and engagement letters
Correspondence between you and the professional although in some circumstances you may not be entitled to correspondence written by you to the solicitor as you should already have a copy.
Work products, reports, and completed work prepared for you.
You are not generally entitled to documents owned by the solicitors. meaning documents prepared for the solicitors’ own benefit or protection, such as file copies of letters, time recording notes, draft documents and working papers generally, internal correspondence and correspondence written by the client to the solicitors, accounting records, including vouchers and instructions.
Where there are outstanding fees owed to the solicitor by the client, the solicitor may exercise a ‘lien’ over the files meaning that they will not disclose them until the outstanding fees are paid.
For potential claims against other professionals (accountants, surveyors, architects, etc.), most internal notes, draft reports, emails, and work products relating to your matter are accessible. There is no legal privilege preventing disclosure.
Practical Steps to Obtain Your File
Formally Request Your File: Send a written request specifying all documents relevant to the services provided.
Check for Completeness: Ensure all correspondence, contracts, reports, and other client-related materials are included.
Keep Records: Retain copies of your request and any responses.
Follow Up on Missing Documents: Your solicitor can assist if the professional delays or refuses to provide documents.
Organise the File: Chronological and systematic organisation will help your solicitor and any expert witnesses assess the claim efficiently.
Obtaining your full file before contacting a lawyer saves time and costs during the initial assessment.
Early access preserves evidence, meets pre-action disclosure requirements, and can highlight clear errors, potentially prompting an early admission of liability.
Solicitors cannot withhold client communications (unless in some circumstances they are from the client to the solicitor); internal deliberations and privileged communications with the solicitor’s lawyers may be withheld.
Solicitors may be entitled to refuse disclosure where unpaid fees remain
Other professionals generally have no privilege over internal notes or draft documents; only irrelevant or third-party confidential information can be withheld.
Even if some internal notes are withheld, there is usually sufficient evidence to instruct experts and assess breach, causation, and loss.
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