Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

BSBLEG414 Mapping and Delivery Guide
Establish and maintain a file in legal services

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency BSBLEG414 - Establish and maintain a file in legal services
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to manage the conduct of a file under the instruction of a designated individual.It applies to individuals who apply well established, sound theoretical knowledge in the provision of administrative support in legal services.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Initiate preliminary file activities
  • Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work
  • Obtain details of the legal matter from the client according to organisation’s policies and procedures
  • Develop a quote in line with organisation’s fee structure and forward it to instructing legal practitioner for approval
  • Forward quote and instructions for establishing a trust account to client on behalf of instructing legal practitioner
  • Clarify terms of engagement with instructing legal practitioner and client and ensure expectations are agreed upon and documented
  • Prepare initial file documentation
       
Element: Carry out conflict of interest check
  • Organise self or other person to carry out conflict of interest check
  • Record results of conflict of interest check in preliminary file notes, and discuss and resolve areas of potential conflict
       
Element: Open file
  • Locate, access and extract relevant information for initiating files
  • Select and brief support staff to assist on file, in consultation with designated individual
  • Forward confirmation of instructions, details of those working on the file, a summary of work to be performed and associated timelines to client on behalf of instructing legal practitioner
  • Plan work in conjunction with designated individual and allocate resources
       
Element: Contact other persons about the file
  • Undertake liaison with other persons and obtain statements if necessary
  • Undertake liaison with experts where appropriate
  • Update file notes detailing activities, actions and outcomes and record time
       
Element: Undertake legal process according to plan
  • Carry out legal process as planned with designated individual
  • Maintain information flow to designated individual on progress of matter
  • Immediately refer issues or problems outside own range of responsibility to designated individual for resolution
  • Monitor trust account to ensure sufficient monies are present and contact instructing legal practitioner to facilitate the transfer of additional funds if necessary
  • Keep client up-to-date on matter through progress reports and, where necessary, meetings with designated individual
       
Element: Facilitate file administration and closure
  • Organise self or other person to reconcile time records with costing
  • Organise self or other person to undertake final costing
  • Organise self or other person to prepare invoice
  • Arrange meeting with designated individual to review final invoice and relevant documentation in order to facilitate sign-off before forwarding to client
  • Update and complete file notes
  • Ensure final accounting of trust account and resolve outstanding disbursements
  • Close and archive file according to organisation’s policies and procedures
       


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Initiate preliminary file activities

1.1 Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work

1.2 Obtain details of the legal matter from the client according to organisation’s policies and procedures

1.3 Develop a quote in line with organisation’s fee structure and forward it to instructing legal practitioner for approval

1.4 Forward quote and instructions for establishing a trust account to client on behalf of instructing legal practitioner

1.5 Clarify terms of engagement with instructing legal practitioner and client and ensure expectations are agreed upon and documented

1.6 Prepare initial file documentation

2. Carry out conflict of interest check

2.1 Organise self or other person to carry out conflict of interest check

2.2 Record results of conflict of interest check in preliminary file notes, and discuss and resolve areas of potential conflict

3. Open file

3.1 Locate, access and extract relevant information for initiating files

3.2 Select and brief support staff to assist on file, in consultation with designated individual

3.3 Forward confirmation of instructions, details of those working on the file, a summary of work to be performed and associated timelines to client on behalf of instructing legal practitioner

3.4 Plan work in conjunction with designated individual and allocate resources

4. Contact other persons about the file

4.1 Undertake liaison with other persons and obtain statements if necessary

4.2 Undertake liaison with experts where appropriate

4.3 Update file notes detailing activities, actions and outcomes and record time

5. Undertake legal process according to plan

5.1 Carry out legal process as planned with designated individual

5.2 Maintain information flow to designated individual on progress of matter

5.3 Immediately refer issues or problems outside own range of responsibility to designated individual for resolution

5.4 Monitor trust account to ensure sufficient monies are present and contact instructing legal practitioner to facilitate the transfer of additional funds if necessary

5.5 Keep client up-to-date on matter through progress reports and, where necessary, meetings with designated individual

6. Facilitate file administration and closure

6.1 Organise self or other person to reconcile time records with costing

6.2 Organise self or other person to undertake final costing

6.3 Organise self or other person to prepare invoice

6.4 Arrange meeting with designated individual to review final invoice and relevant documentation in order to facilitate sign-off before forwarding to client

6.5 Update and complete file notes

6.6 Ensure final accounting of trust account and resolve outstanding disbursements

6.7 Close and archive file according to organisation’s policies and procedures

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Initiate preliminary file activities

1.1 Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work

1.2 Obtain details of the legal matter from the client according to organisation’s policies and procedures

1.3 Develop a quote in line with organisation’s fee structure and forward it to instructing legal practitioner for approval

1.4 Forward quote and instructions for establishing a trust account to client on behalf of instructing legal practitioner

1.5 Clarify terms of engagement with instructing legal practitioner and client and ensure expectations are agreed upon and documented

1.6 Prepare initial file documentation

2. Carry out conflict of interest check

2.1 Organise self or other person to carry out conflict of interest check

2.2 Record results of conflict of interest check in preliminary file notes, and discuss and resolve areas of potential conflict

3. Open file

3.1 Locate, access and extract relevant information for initiating files

3.2 Select and brief support staff to assist on file, in consultation with designated individual

3.3 Forward confirmation of instructions, details of those working on the file, a summary of work to be performed and associated timelines to client on behalf of instructing legal practitioner

3.4 Plan work in conjunction with designated individual and allocate resources

4. Contact other persons about the file

4.1 Undertake liaison with other persons and obtain statements if necessary

4.2 Undertake liaison with experts where appropriate

4.3 Update file notes detailing activities, actions and outcomes and record time

5. Undertake legal process according to plan

5.1 Carry out legal process as planned with designated individual

5.2 Maintain information flow to designated individual on progress of matter

5.3 Immediately refer issues or problems outside own range of responsibility to designated individual for resolution

5.4 Monitor trust account to ensure sufficient monies are present and contact instructing legal practitioner to facilitate the transfer of additional funds if necessary

5.5 Keep client up-to-date on matter through progress reports and, where necessary, meetings with designated individual

6. Facilitate file administration and closure

6.1 Organise self or other person to reconcile time records with costing

6.2 Organise self or other person to undertake final costing

6.3 Organise self or other person to prepare invoice

6.4 Arrange meeting with designated individual to review final invoice and relevant documentation in order to facilitate sign-off before forwarding to client

6.5 Update and complete file notes

6.6 Ensure final accounting of trust account and resolve outstanding disbursements

6.7 Close and archive file according to organisation’s policies and procedures

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work 
Obtain details of the legal matter from the client according to organisation’s policies and procedures 
Develop a quote in line with organisation’s fee structure and forward it to instructing legal practitioner for approval 
Forward quote and instructions for establishing a trust account to client on behalf of instructing legal practitioner 
Clarify terms of engagement with instructing legal practitioner and client and ensure expectations are agreed upon and documented 
Prepare initial file documentation 
Organise self or other person to carry out conflict of interest check 
Record results of conflict of interest check in preliminary file notes, and discuss and resolve areas of potential conflict 
Locate, access and extract relevant information for initiating files 
Select and brief support staff to assist on file, in consultation with designated individual 
Forward confirmation of instructions, details of those working on the file, a summary of work to be performed and associated timelines to client on behalf of instructing legal practitioner 
Plan work in conjunction with designated individual and allocate resources 
Undertake liaison with other persons and obtain statements if necessary 
Undertake liaison with experts where appropriate 
Update file notes detailing activities, actions and outcomes and record time 
Carry out legal process as planned with designated individual 
Maintain information flow to designated individual on progress of matter 
Immediately refer issues or problems outside own range of responsibility to designated individual for resolution 
Monitor trust account to ensure sufficient monies are present and contact instructing legal practitioner to facilitate the transfer of additional funds if necessary 
Keep client up-to-date on matter through progress reports and, where necessary, meetings with designated individual 
Organise self or other person to reconcile time records with costing 
Organise self or other person to undertake final costing 
Organise self or other person to prepare invoice 
Arrange meeting with designated individual to review final invoice and relevant documentation in order to facilitate sign-off before forwarding to client 
Update and complete file notes 
Ensure final accounting of trust account and resolve outstanding disbursements 
Close and archive file according to organisation’s policies and procedures 

Forms

Assessment Cover Sheet

BSBLEG414 - Establish and maintain a file in legal services
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBLEG414 - Establish and maintain a file in legal services

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: