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Elements and Performance Criteria

1. Initiate preliminary file activities
2. Carry out conflict of interest check
3. Determine appropriate legal process and steps to facilitate the process
4. Contact other persons in regard to the file
5. Undertake legal process according to plan
6. Facilitate file administration and closure

Required Skills

RUN A FILE

This Unit covers the duties carried out by a feeearner as shehe manages the conduct of a file under the instruction of a qualified legal practitioner This includes establishing a file for the legal matter at hand developing and obtaining appropriate documents negotiating with clients costing the file and file closure procedures

Note It may be illegal for a person without a current legal practice certificate to provide legal advice to sign off on legal work and to receive trust monies It may also be illegal for persons to misrepresent their qualifications ie claiming to be a lawyerconveyancer or acting as a lawyerconveyancer when they are not qualified to do so Accordingly persons without a current practice certificate must make their status clear to the other party and must act under the instructions of a qualified legal practitioner Whenever work is carried out on behalf of an instructing legal practitioner the work must be first checked by the instructing legal practitioner Whenever a client or other partyies are contacted on behalf of the instructing legal practitioner the caller must identify themselves and their position and contact must occur according to the instructions and advice of the instructing legal practitioner The legal practitioner must be kept up to date with the files progress Problems of a legal nature must not be resolved without consulting the instructing legal practitioner and resolutions which emerge from such discussions must be complied with

This unit can be assessed alone or in combination with other units making up a job role

Element of Competency	Performance Criteria
Initiate preliminary file activities	Meeting is arranged with instructing legal practitioner to discuss new file and plan and prioritise preliminary work Details of the legal matter are obtained from client according to a firms policies and procedures A quote in line with a firms fee structure is developed and forwarded to instructing legal practitioner for approval Quote and instructions for establishing a trust account are forwarded to client on behalf of instructing legal practitioner Terms of engagement are clarified with instructing legal practitioner and client and mutual expectations are agreed upon and documented Initial file documentation is prepared
Carry out conflict of interest check	Self or other is organised to carry out conflict of interest check Results of conflict of interest check are recorded on preliminary file notes and any areas of potential conflict are discussed and resolved
Open file	Relevant information for initiating files is located accessed and extracted Support staff are selected to assist on file in consultation with instructing legal practitioner and briefed on matter Confirmation of instructions details of those working on the file a summary of work to be performed and associated timelines are forwarded to client on behalf of instructing legal practitioner
Determine appropriate legal process and steps to facilitate the process	Work is planned in conjunction with instructing legal practitioner staff are assigned to tasks and resources are allocated Relevant background information is obtained and relevant legal documents are prepared and checked by instructing legal practitioner Relevant legislation and cases are identified and relevant legal requirements are clearly outlined to the client and questions are answered or referred to instructing legal practitioner for followup Summary of future activities and preliminary work already performed are signed off by instructing legal practitioner and forwarded to client within agreed timelines
Contact other persons in regard to the file	Liaison is undertaken with other persons and statements are obtained if necessary Liaison with experts undertaken where appropriate File notes are updated detailing all activities actions and their outcomes and time is recorded
Undertake legal process according to plan	Legal process as planned with instructing legal practitioner is carried out Instructing legal practitioner is kept up to date on progress of matter Issues or problems outside own range of responsibility are referred immediately to instructing legal practitioner for resolution Client is kept up to date on progress of matter through progress reports and where necessary meetings with instructing legal practitioner Trust account is monitored to ensure sufficient monies and instructing legal practitioner is contacted to facilitate the transfer of additional funds if necessary Meeting is arranged with instructing legal practitioner to present report on work undertaken and to facilitate instructing legal practitioners sign off on the matter
Facilitate file administration and closure	Organise self or other to reconcile time records with costing Organise self or other to undertake final costing Organise self or other to prepare invoice Meeting is arranged with instructing legal practitioner to review final invoice and relevant documentation in order to facilitate sign off before forwarding same to client File notes are updated and completed Trust accounts are checked for zero dollar balance and any outstanding disbursements are resolved File is closed and archived according to a firms policies and procedures

Evidence Required

Critical aspects	evidence of understanding scope of own responsibility and roles and responsibilities of all relevant people involved in the matter background legal implications are understood evidence of understanding problems which may arise and approaches to resolving them evidence of understanding what is and is not disclosable in general and in particular to the matter appropriate information is given to clients nondisclosable information is not communicated and where any doubt exists as to the informations status it is not disclosed where instructing other instructions are clear with adequate explanation to allow the tasks to be completed where instructing other supervision is provided throughout the tasks in relation to providing advice and assistance with resolving problems ensuring that work is completed within timelines ensuring that confidentiality and security of information is maintained ensuring that work of others meets required standards legal actions and legislative requirements are explained to client in simple language where appropriate client special needs are accommodated promptly courteously and with discretion documentation required at different stages of the legal process is identified and purpose is understood relevant nonlitigious solutions are understood and are applied where appropriate detailed negotiationconflict resolution is attempted to clients and firms satisfaction court appearances are executed professionally and efficiently according to instructions and relevant legislation regarding the appearance of persons without legal practice certificate filematter number is attached to all relevant documents and such documentation is filed and file is culled for unwanted drafts evidence of knowledge of archiving procedures and appropriate file retention period all activities actions and outcomes are documented time is recorded whenever work on matter is performed trust account monies are used for all matter expenses and not for any other purposes excess trust account monies are returned to client appropriate invoicing methods are employed all work is conducted within accepted codes of conduct including those relating to maintaining confidentiality use of company property duty of care ethical behaviours privacy nondiscriminatory practice conflict of interests and compliance with reasonable direction
Resource implications	The assessor must have access to appropriate documentation and resources normally found in the work environment and required to allow the job or task to be properly performed These may include appropriate legislation and regulations relevant to assisting clients appearing in court trust accounts and solicitor obligations workplace manuals and reference materials such as company policy procedural manuals and checklists appropriate technology such as computers with relevant software
Consistency in performance	This unit of competency will require evidence to be collected across a range of events eg dealing with different clients different matters and over a period of time to ensure that situational variables are consistently achieved
Context of assessment	Evidence of competency can be met in different situations including on the job assessment off the job assessment placement in an enterprise use of a Practice Firm or simulated work environment Recognition of Prior Learning Recognition of Current Competencies in skill areas where there has been no significant change to work practice in recent times Evidence gathering methods may include observation of performance obtaining client feedback work samples questioning discussion
Underpinning knowledge and skills	Knowledge relevant legal process relevant current legislation stages involved in the legal process broad general knowledge of legal terminology and indepth knowledge of legal terminology specific to the area of law application of a firms policies and procedures required in the full range of tasks covered court process a firms invoicing procedures Skills literacy follows intricate legal procedures reads and interprets legal documents uses legal vocabulary and grammatical structures to achieve precise meaning research and reporting writing assembles and evaluates background information and critical documents follows and provides clear written and oral sequenced instructions classifies and sorts information maintains accurate records of all relevant activities communication participates in sustained and complex transactions questions to elicit and clarify information numeracy monitors and finalises accounts accurately records files contingency planning skills organisational establishes timelines and criteria for managing staff performance

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Range Statement

Legal matter may include:	• settling a dispute • agreements • contracts • disputing a claim • mediated disputes • protecting rights • initiating litigation • trademarks
Client may include:	• third party • individual • business • insurance company
Initial file documentation may involve:	• recording relevant client matter details • assigning file/matter number to client • attaching file/matter number is attached to all relevant documentation
Client requirements in relation to the matter requirements* include, but are not exclusive of:	• an estimate of the total legal costs • billing frequency • charge out rate • reporting frequency • bill narrative • information about avenues for challenging invoice • name and address of RPA (recognised professional association) which regulates the firm or the practitioner * These requirements are legislated and may differ from state to state
Relevant background material and additional information may include:	• open file • relevant legislation • previous dealings with client or relevant third party
Conflict of interest check may include:	• searching files • past working history of supervisor • databases • accounting package
Conflict of interest may include:	• representing relative • representing other party • vested interest in outcome
Terms of engagement may include:	• fee contingent on success of case • pro bono work • union agreement • referral arrangement
Fee structure may include:	• fixed quote • fee by hour • scale of costs • tender • special rates
Appropriate documentation may include:	• leases • mortgages • contracts • transfer of shares • wills • a firm’s templates • information for client • letters • internal correspondence • transcripts from supervisor’s notes • agreements • opinion letters • memorandums of law • briefs • pleadings • precedents • statements • bank statements • other financial documentation
Relevant legislation and cases may include:	• statutory law • constitutional law • common law
Experts may include:	• medical practitioner • psychologist • psychiatrist • social scientist • historian • parole officer • social worker
Other persons with whom liaison may occur may include:	• experts • opposing party/ies • government departments/agencies
Appropriate resources may include:	• time • staff • venues for liaison and meetings • services • office materials • access to experts
Relevant documentation to be forwarded to client may include	• certificates • letters • experts reports
All activities and outcomes may include:	• exchange of information • discovery • consulting experts • verbal communication with external parties • failure to return call
A firm’s policies and procedures may include:	• office procedure manual • information sources • information specific to the firm • telephone protocol • initiation of files • accessing files • updating files • security/confidentiality/privacy procedures • contingency management • time recording procedures • interviewing • verifying and authorising information • recording information • protocol for accommodating special client needs, eg. case manager, social worker, parole officer • protocol for contacting clients, eg. translator, interpreter • conflict of interest check • providing quotes • fee structure • terms of engagement • instructing legal practitioner supervisory procedures
The area of law may include*:	• commercial law • corporate law • criminal law • family law • industrial relations/employment laws • property law • tax law • litigation • wills and probate * These are nine common areas of law. The area of law is not restricted to this list; other areas of law may be applicable.
Legislative requirements may relate to:	• relevant State/Territory/Commonwealth legislation • the client and a firm (eg. Consumer Credit Code, Privacy Act, secrecy laws, Codes of Practice) • the area of law • schedules of fees and duties payable • trust accounts • taxation and banking requirements • Australian Tax Office regulations • tort, equity and statute law
Problems and issues which may be within own range of responsibility to resolve may include:	• ensuring that support staff are adhering to security, confidentiality, privacy and timeline requirements • technical difficulties • difficulties with accessing requirement information
Disbursements may include:	• filing fees • photocopying • postage • cost of duty stamps • court costs • billable hours • hiring experts • hiring services

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