Establish and maintain a file in legal services Evidence Guide

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Evidence Guide: BSBLEG414A - 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

BSBLEG414A - 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

Arrange meeting with designated individual to discuss new file, and to plan and prioritise preliminary work
Obtain details of the legal matter from 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 mutual expectations are agreed upon and documented
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 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 mutual expectations are agreed upon and documented

Completed
Date:

Teacher:

Evidence:

Prepare initial file documentation

Completed
Date:

Teacher:

Evidence:

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

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

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

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

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

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

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

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

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

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


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 ability to: document and file information according toorganisation's policies, procedures and legal requirements, and within agreed timeframes apply organisation's financial systems and procedures according to legal requirements and within agreed timeframes provide appropriate information, advice and assistance to clients within own scope of responsibility explain legal and legislative requirements underlying actions apply knowledge of relevant court processes, current legislation, legal processes and required documentation.
Context of and specific resources for assessment	Assessment must ensure access to: an actual workplace or simulated environment workplace manuals and reference materials, such as company policies, procedural manuals, checklists, documentation and sample forms background information on courts, their jurisdiction and behavioural requirements appropriate technology, such as computers with relevant software appropriate texts and people with expert knowledge, such as legal practitioners appropriate legislation and regulations relevant to common legal matters.
Method of assessment	A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this units: analysis of responses to case studies and scenarios direct questioning combined with review of portfolios of evidence and third-party workplace reports of on-the-job performance by the candidate review ofquotes developed and forwarded to instructing legal practitioner for approval review of preparation ofinitial file documentation evaluation of documentation with results of conflict of interest checks recorded review of information forwarded to client on opening a file evaluation of updated file notes review of progress reports forwarded to client analysis of monitoring of trust account oral or written questioning to assess knowledge of archiving procedures and appropriate file retention periods.
Guidance information for assessment	Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.

Required Skills and Knowledge

Required skills

communication skills to:

follow and provide clear written and oral sequenced instructions

participate in sustained and complex transactions

apply questioning techniques to elicit and clarify information

literacy skills to:

follow intricate legal procedures

read and interpret legal documents

use legal vocabulary and grammatical structures to achieve precise meaning

numeracy skills to:

prepare a quote in line with organisation's fee structure

maintain and reconcile time records to inform final costing

prepare final invoice for sign-off by client

research and report writing skills to assemble and evaluate background information and critical documents

technology skills to:

prepare and review invoicing for services

research information and prepare reports on outcomes

Required knowledge

scope of role and responsibilities, and obligation to refer matters to supervisor

organisation's policies and procedures, including quotation and invoicing 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

legal terminology, including that specific to area of law

archiving procedures and appropriate file retention periods

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.
Designated individual may include:	legal practice manager legal practitioner supervisor.
Legal matter may include:	agreement contract disputing a claim initiating litigation mediated dispute protecting rights settling a dispute trademark.
Client may include:	business government entity individual insurance company legal aid not-for-profit organisation third party.
Organisation's policies and procedures may relate to:	accessing files conflict of interest check contingency management fee structure individual procedures adopted by instructing legal practitioner information sources information specific to the organisation initiating and updating files interviewing clients office procedural manual protocol for accommodating specific client needs, e.g. case manager, social worker or parole officer protocol for contacting clients, e.g. translator or interpreter providing quotes recording information security, confidentiality and privacy procedures telephone protocol terms of engagement time-recording procedures verifying and authorising information.
Fee structure may include:	fee by hour fixed quote scale of costs special rates tender.
Terms of engagement may include:	fee contingent on success of case pro bono work referral arrangement union agreement.
Client expectations may include:	bill narrative billing frequency charge out rate estimate of total legal costs information about avenues for querying invoice details name and address of recognised professional association (RPA) that regulates the organisation or practitioner other requirements as described by relevant state, territory and/or local legislation, rules, regulations and codes of practice reporting frequency.
Initial file documentation may involve:	assigning file or matter number to client ensuring file or matter number is attached to all relevant documentation recording relevant client matter details.
Conflict of interest check may include:	accounting package databases past working history of supervisor searching files.
Conflict of interest may include:	representing other party representing relative vested interest in outcome.
Resources may include:	access to: experts office materials services staff time venues for liaison and meetings.
Other persons with whom liaison may occur may include:	experts government departments and agencies opposing parties.
Experts may include:	historian medical practitioner parole officer psychiatrist psychologist social scientist social worker.
Activities, actions and outcomes may include:	consulting experts exchange of information failure to return call process of discovery verbal communication with external parties.
Issues or problems may include:	difficulties with accessing required information ensuring that support staff are adhering to security, confidentiality, privacy and timeline requirements technical difficulties.
Relevant documentation may include:	agreements bank statements briefs contracts information for client internal correspondence leases letters memorandums of law mortgages opinion letters organisation's templates other financial documentation pleadings precedents statements transcripts from supervisor's notes transfer of shares wills other relevant documentation required under commonwealth, state or territory and local legislation, rules, regulations and codes of practice.
Relevant documentation to be forwarded to client may include:	certificates experts' reports letters.
Disbursements may include:	billable hours cost of duty stamps court costs filing fees hiring experts hiring services photocopying postage.

NTISthis.com

Evidence Guide: BSBLEG414A - Establish and maintain a file in legal services

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

BSBLEG414A - Establish and maintain a file in legal services

Initiate preliminary file activities

Carry out conflict of interest check

Open file

Contact other persons about the file

Undertake legal process according to plan

Facilitate file administration and closure

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

Instructions to Assessors

Teacher: ___________________________ Date: _