BSBLEG414 - Establish and maintain a file in legal services
Assessor Resource
BSBLEG414 Establish and maintain a file in legal services
Assessment tool
Version 1.0 Issue Date: June 2024
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.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
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, assingnment, 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