Unit of competency Outline
Date retreived
23/07/2026 12:05 AM AWST
23/07/2026 12:05 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Run a file
Run a file
Unit of competency
National Code
DEFPL022
DEFPL022
State Code
AVV85
AVV85
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
Field of Education
080901 - Secretarial And Clerical Studies
Original Release Date
Nominal Hours
0
Description
This unit covers the competency required to manage the conduct of a file under the instruction of a qualified legal practitioner.This includes establishing a file for the legal matter at hand, developing and obtaining appropriate documents, negotiating with clients, and file closure procedures.All aspects of legal practice may be subject to a range of legislation, rules, regulations and/or codes of practice relevant to different job roles and jurisdictions. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication. In a Defence context, this means that there is no civilian need to hold this unit in order to meet licensing, legislative, regulatory or certification requirements.
Notes
Elements and Performance Criteria
1. Initiate preliminary file activities
- 1.1 Meeting with legal officer to discuss new file, and to plan and prioritise preliminary work is arranged.
- 1.2 Details of the legal matter are obtained from client according to organisation's policies and procedures.
- 1.3 Matter is clarified with legal officer and client, and mutual expectations are agreed upon and documented.
- 1.4 Initial file documentation is prepared.
2. Carry out conflict of interest test
- 2.1 Conflict of interestcheck is carried out.
- 2.2 Results of conflict of interest check are recorded on preliminary file notes, and any areas of potential conflict are discussed and resolved.
3. Open file
- 3.1 Relevant information for initiating files is located, accessed and extracted.
- 3.2 Support staff are selected and briefed to assist on file, in consultation with legal officer where required.
- 3.3 Confirmation of instructions, details of those working on the file, a summary of work to be performed and associated timelines are forwarded to client on behalf of legal officer.
4. Determine appropriate process and steps to facilitate the process
- 4.1 Work is planned in conjunction with legal officer, staff are assigned to tasks and resources are allocated.
- 4.2 Relevant background information is obtained and prepared, and relevant documents are submitted to legal officer for checking.
- 4.3 Relevant legislation and cases are identified, relevant legal requirements are clearly outlined to the client and questions are answer or referred to legal officer for follow-up.
- 4.4 Summary of future activities and preliminary work already performed are submitted to legal officer for sign-off and forwarded to client within agreed timelines.
5. Contact other persons about the file
- 5.1 Liaison is undertaken with other persons and statements are obtained if necessary.
- 5.2 File notes detailing all activities, actions and outcomes are updated.
6. Facilitate file administration and closure
- 6.1 File notes are updated and completed.
- 6.2 File is closed and archived according to organisation's policies and procedures.
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 in the Performance Criteria is detailed below.
Legal matter may include:
agreements
contracts
disputing a claim
initiating litigation
mediated disputes
protecting rights
settling a dispute
trademarks
Client may include:
business
individual
insurance company
third party
Organisation’s policies and procedures may include:
accessing files
checking conflict of interest
contingency management
fee structure
information sources
information specific to the organisation
initiation of files
interviewing
legal officer supervisory procedures
office procedures manual
providing quotes
protocol for accommodating specific client needs such ascase manager, social worker, parole officer
protocol for contacting clients such as translator, interpreter
recording information
security/confidentiality/privacy procedures
telephone protocol
terms of engagement
time recording procedures
updating files
verifying and authorising information
Expectations in relation to the matter may include:
bill narrative
billing frequency
charge out rate
estimating total legal costs
information about avenues for challenging invoice
name and address of recognised professional association (RPA) which regulates the organisation or the practitioner
other requirements as described by relevant state/territory and/or local legislation, rules, regulations and/or codes of practice
reporting frequency
Initial file documentation
may include:
assigning file/matter number to client
ensuring file/matter number is attached to all relevant
documentation
recording relevant client matter details
Conflict of interest may include:
representing other party
representing relative
vested interest in outcome
Conflict of interest check may include:
accounting package
databases
past working history of supervisor
searching files
Carrying out conflict of interest check may include:
engaging someone else to undertake the task
undertaking the task oneself
Resources may include:
access to experts
office materials
services
staff
time
venues for liaison and meetings
Relevant background information may include:
open file
relevant legislation
previous dealings with client or relevant third party
Relevant documents 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/territory and/or local legislation, rules, regulations and/or codes of practice
Relevant legislation and cases may include:
common law
constitutional law
statutory law
Other persons with whom liaison may occur mayinclude:
experts
government departments/agencies
opposing party/ies
Activities, actions and outcomes may include:
consulting experts
discovery
exchange of information
failure to return call
verbal communication with external parties
Legal matter may include:
agreements
contracts
disputing a claim
initiating litigation
mediated disputes
protecting rights
settling a dispute
trademarks
Client may include:
business
individual
insurance company
third party
Organisation’s policies and procedures may include:
accessing files
checking conflict of interest
contingency management
fee structure
information sources
information specific to the organisation
initiation of files
interviewing
legal officer supervisory procedures
office procedures manual
providing quotes
protocol for accommodating specific client needs such ascase manager, social worker, parole officer
protocol for contacting clients such as translator, interpreter
recording information
security/confidentiality/privacy procedures
telephone protocol
terms of engagement
time recording procedures
updating files
verifying and authorising information
Expectations in relation to the matter may include:
bill narrative
billing frequency
charge out rate
estimating total legal costs
information about avenues for challenging invoice
name and address of recognised professional association (RPA) which regulates the organisation or the practitioner
other requirements as described by relevant state/territory and/or local legislation, rules, regulations and/or codes of practice
reporting frequency
Initial file documentation
may include:
assigning file/matter number to client
ensuring file/matter number is attached to all relevant
documentation
recording relevant client matter details
Conflict of interest may include:
representing other party
representing relative
vested interest in outcome
Conflict of interest check may include:
accounting package
databases
past working history of supervisor
searching files
Carrying out conflict of interest check may include:
engaging someone else to undertake the task
undertaking the task oneself
Resources may include:
access to experts
office materials
services
staff
time
venues for liaison and meetings
Relevant background information may include:
open file
relevant legislation
previous dealings with client or relevant third party
Relevant documents 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/territory and/or local legislation, rules, regulations and/or codes of practice
Relevant legislation and cases may include:
common law
constitutional law
statutory law
Other persons with whom liaison may occur mayinclude:
experts
government departments/agencies
opposing party/ies
Activities, actions and outcomes may include:
consulting experts
discovery
exchange of information
failure to return call
verbal communication with external parties
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Assessment must confirm the ability to:
manage the conduct of a file under the instruction of a qualified legal practitioner
establish a file for the legal matter at hand
develop and obtain appropriate documents
negotiate with clients
follow file closure procedures
The candidate must at all times comply with legislative requirements, policy and standards, and demonstrate an awareness of access, equity and diversity principles and practices.
Consistency in performance
Competency should be demonstrated in a range of actual or simulated workplace contexts.
Context of and specific resources for assessment
Context of assessment
Competency should be assessed in the workplace or in a simulated workplace environment.
Specific resources for assessment
Access is required to appropriate documentation and resources normally found in the work environment.
Assessment must confirm the ability to:
manage the conduct of a file under the instruction of a qualified legal practitioner
establish a file for the legal matter at hand
develop and obtain appropriate documents
negotiate with clients
follow file closure procedures
The candidate must at all times comply with legislative requirements, policy and standards, and demonstrate an awareness of access, equity and diversity principles and practices.
Consistency in performance
Competency should be demonstrated in a range of actual or simulated workplace contexts.
Context of and specific resources for assessment
Context of assessment
Competency should be assessed in the workplace or in a simulated workplace environment.
Specific resources for assessment
Access is required to appropriate documentation and resources normally found in the work environment.
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| BBB82 | DEFDPL009 | Manage and analyse a legal file | Unit of competency |
