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Evidence Guide: BSBLEG414 - Establish and maintain a file in legal services

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

 

BSBLEG414 - Establish and maintain a file in legal services

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

Initiate preliminary file activities

  1. Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work
  2. Obtain details of the legal matter from the client according to organisation’s policies and procedures
  3. Develop a quote in line with organisation’s fee structure and forward it to instructing legal practitioner for approval
  4. Forward quote and instructions for establishing a trust account to client on behalf of instructing legal practitioner
  5. Clarify terms of engagement with instructing legal practitioner and client and ensure expectations are agreed upon and documented
  6. Prepare initial file documentation
Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare initial file documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Carry out conflict of interest check

  1. Organise self or other person to carry out conflict of interest check
  2. Record results of conflict of interest check in preliminary file notes, and discuss and resolve areas of potential conflict
Organise self or other person to carry out conflict of interest check

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Open file

  1. Locate, access and extract relevant information for initiating files
  2. Select and brief support staff to assist on file, in consultation with designated individual
  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
  4. Plan work in conjunction with designated individual and allocate resources
Locate, access and extract relevant information for initiating files

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan work in conjunction with designated individual and allocate resources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Contact other persons about the file

  1. Undertake liaison with other persons and obtain statements if necessary
  2. Undertake liaison with experts where appropriate
  3. Update file notes detailing activities, actions and outcomes and record time
Undertake liaison with other persons and obtain statements if necessary

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake liaison with experts where appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake legal process according to plan

  1. Carry out legal process as planned with designated individual
  2. Maintain information flow to designated individual on progress of matter
  3. Immediately refer issues or problems outside own range of responsibility to designated individual for resolution
  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. Keep client up-to-date on matter through progress reports and, where necessary, meetings with designated individual
Carry out legal process as planned with designated individual

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain information flow to designated individual on progress of matter

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Facilitate file administration and closure

  1. Organise self or other person to reconcile time records with costing
  2. Organise self or other person to undertake final costing
  3. Organise self or other person to prepare invoice
  4. Arrange meeting with designated individual to review final invoice and relevant documentation in order to facilitate sign-off before forwarding to client
  5. Update and complete file notes
  6. Ensure final accounting of trust account and resolve outstanding disbursements
  7. Close and archive file according to organisation’s policies and procedures
Organise self or other person to reconcile time records with costing

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organise self or other person to undertake final costing

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organise self or other person to prepare invoice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Update and complete file notes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure final accounting of trust account and resolve outstanding disbursements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Required Skills and Knowledge

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