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Evidence Guide: BSBLEG304A - Apply the principles of confidentiality and security within the legal environment

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBLEG304A - Apply the principles of confidentiality and security within the legal environment

What evidence can you provide to prove your understanding of each of the following citeria?

Work within accepted codes of conduct

  1. Submit work for review and approval by the legal practitioner who delegated the task/s
  2. Keep paperwork up to date and forward reports on the progress of matter/s to clients regularly according to instructions and relevant legislation
  3. Ensure contact with the opposing party in legal disputes occurs only under the specific direction of the legal practitioner responsible for the matter
  4. Promptly communicate conflict of interest or potential conflict of interest in a legal matter to the legal practitioner responsible for the matter
  5. Treat clients and fellow workers with respect
  6. Take care to behave with honesty and integrity at all times
  7. Direct trust account monies to legal practitioner for receipt
Submit work for review and approval by the legal practitioner who delegated the task/s

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Keep paperwork up to date and forward reports on the progress of matter/s to clients regularly according to instructions and relevant legislation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure contact with the opposing party in legal disputes occurs only under the specific direction of the legal practitioner responsible for the matter

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Promptly communicate conflict of interest or potential conflict of interest in a legal matter to the legal practitioner responsible for the matter

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Treat clients and fellow workers with respect

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Take care to behave with honesty and integrity at all times

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Direct trust account monies to legal practitioner for receipt

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Follow confidentiality procedures

  1. Assess information with regard to what is and what is not disclosable
  2. Use discretion and judgement in all communications
  3. Discuss client-related matters only within the confines of the practice and with appropriate personnel
Assess information with regard to what is and what is not disclosable

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use discretion and judgement in all communications

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Discuss client-related matters only within the confines of the practice and with appropriate personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Follow security procedures

  1. Appropriately store and secure file related information, including electronically stored information
  2. Hold discussions relating to client matters in a private location
  3. Ensure all documents/exhibits relating to a file are locked away securely after use according to a firm's policies and procedures
  4. Ensure all materials required by legislation to be stored for certain periods of time are clearly labelled and stored securely according to a firm's policies and procedures
Appropriately store and secure file related information, including electronically stored information

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Hold discussions relating to client matters in a private location

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure all documents/exhibits relating to a file are locked away securely after use according to a firm's policies and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure all materials required by legislation to be stored for certain periods of time are clearly labelled and stored securely according to a firm's policies and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

knowledge of own scope of responsibility and roles and responsibilities of relevant others within the firm

proactively applying the relevant state's Code of Conduct and Legal Practice Act, The Judicial Act to ensure all work is performed with honesty and integrity

identifying and applying standard resolutions to breaches of confidentiality, security and conduct by self and others within the firm.

providing clear, relevant and correct assistance and advice to co-workers where appropriate

handling, storing and securing allelectronic and paper-based confidential information according to firm's policies and procedures

consistently seeking clarification from appropriate sources where the level of confidentiality required in a situation is unclear.

Context of and specific resources for assessment

Assessment must ensure:

wherever possible the context is a real or simulated workplace

access to workplace manuals and reference materials such as company policy, procedural manuals and checklists

access to list of relevant sources of documentation and sample forms

access to background information on courts, their jurisdiction and behavioural requirements

access to appropriate technology such as computers with relevant software

access to appropriate texts and access to person's with expert knowledge such as legal practitioners

access to appropriate legislation and regulations relevant to common legal matters, such as that accessible via:

http://www.law.gov.au

http://www.ag.gov.au

http://www.austlii.edu.au/

http://www.australia.gov.au/states-territories

http://www.act.gov.au

http://www.nsw.gov.au

http://www.nt.gov.au

http://www.qld.gov.au

http://www.sa.gov.au

http://www.tas.gov.au

http://www.vic.gov.au

http://www.wa.gov.au

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

analysis of responses to case studies and scenarios

demonstration of techniques in a workplace or simulated environment

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

observation of presentations

questioning (oral or written)

review of testimony from team members, colleagues, supervisors or managers

tests of knowledge on relevant legislation, rules, regulations, codes of practice and research resources.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

BSBLEG301A Apply knowledge of the legal system to complete tasks

other legal services administration or general administration units.

Required Skills and Knowledge

Required skills

communication skills to listen to clear, sequenced instructions; and use strategies to confirm, repair or clarify understanding of terms and context

literacy skills to interpret, classify and evaluate information

ability to apply judgement in terms of identifying potential conflict of interest

organisational skills to comply with statutory regulations concerning security of records and keep clients up to date on file matters.

Required knowledge

scope of legal practitioner/support role and own responsibilities and obligations to provide legal advice, complete or sign off on legal work and/or appear in court as described by relevant jurisdiction(s)

firm's policies and procedures

accepted codes of conduct including those relating to:

privacy and confidentiality

use of company property

duty of care

ethical behaviour

non-discriminatory practice

conflict of interest

compliance with reasonable direction

overview knowledge of relevant; court processes, current legislation, legal processes and required documentation

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Codes of conduct may include:

compliance with reasonable direction

conflict of interest

duty of care

ethical behaviours

maintaining confidentiality

non-discriminatory practice

privacy

receiving and dispersing monies

use of company property.

Relevant legislation may include:

State/Territory/Commonwealth legislation

legislation related to the client and a firm (eg. Consumer Credit Code, Privacy Act, secrecy laws, Codes of Practice)

schedule of fees and duties payable

other acts not included in this listing

Conflict of interest may exist where:

a law firm, legal practitioner or support person some time in the past represented a client who is now on the other side in another case

a legal practitioner and client are in business together

a legal practitioner or support person has a personal, financial or other interest in a case

a legal practitioner or support person is a witness in a case

a legal practitioner simultaneously represents two clients whose interests are adverse to one another

the legal stance of one client is detrimental to the business activities of another client.

Non-disclosable information may include:

addresses of clients, witnesses or staff

details about the firm itself

exhibits

fact that the client has consulted the firm

financial information

firm's client database

information relating to a client's legal matter

names of clients, witnesses or staff

nature of client's legal matter

passwords or security procedures

telephone numbers of clients, witnesses or staff

trust account information

whereabouts of client/witnesses

witness statements.

Electronically stored information may be:

on audio-cassette

on computer hard-drive or floppy disk

on voice mail

on-line (email or web).

A firm's policies and procedures may include:

charging of search expenses

contingencies in terms of inadequate monies, unavailable information

handling monies

information sources

office procedure manual

recording information

security/confidentiality/ privacy procedures.