3.5 – File management

The following standards apply to all practitioners undertaking legal assistance services in all areas of law. Failure to comply with these standards may impact on the practitioner’s or firm’s eligibility to undertake legally aided matters.

When managing files that are subject to a grant of legal assistance, a practitioner must:

1. keep files (including electronic files) organised in such a way that if anyone else assumes management of, audits, or reviews the file, that person can immediately find key information about the matter, including important dates and deadlines
2. ensure that the file contains documented forensic and legal analysis of the matter as well as the case strategy and the client’s instructions
3. ensure that all important documents are easily identifiable in the file, and the file is maintained in chronological or other logical order
4. clearly indicate any document in draft form and remove all obsolete drafts from the file
5. retain files in accordance with legislative requirements.

Measures for file management practice standards

When managing files that are subject to a grant of legal assistance, a practitioner must:

1. keep files (including electronic files) organised in such a way that if anyone else assumes management of, audits, or reviews the file, that person can immediately find key information about the matter, including important dates and deadlines

File includes, in logical or chronological order (preferably in separate sections) all:

• court documents served or filed
• expert reports
• proofs of evidence
• correspondence with client
• file notes of all attendances by phone, video link or in person. These must be clear and legible and include:
  • date
  • type of attendance
  • name of the person spoken to
  • key details of the conversation.
• brief/s to counsel
• up-to-date client instructions (confirmed or revised, where appropriate, as the matter progresses)
• legal advice and analysis
• correspondence (electronic and/or hardcopy)
• documentation related to the grant of legal assistance, including:
  • assessment of merit (including all documents used to support assessment and, preferably, completed worksheet)
  • proof of means
  • records of disbursements
• records of all court, tribunal, ADR or FDRS attendances which include, as applicable:
  • names of adjudicator/s, counsel and parties present
  • the capacity in which the practitioner attended
  • outline of negotiations or submissions made
  • outline of orders or directions made
  • duration of attendance
• up-to-date records of any negotiations or alternative dispute resolution underway.

For indictable crime matters only

Files must also include fully completed Indictable Crime Checklist/s, Brief Analysis and Case Strategy and Committal Report and Trial Preparation Plan, as applicable, placed on file.

This is mandatory for VLA staff lawyers, and highly recommended for private practitioners.

2. ensure that the file contains documented forensic and legal analysis of the matter as well as the case strategy and the client’s instructions

The file contains a written forensic and legal analysis of the matter and case strategy, and client instructions.

For indictable crime matters only

Files must also include fully completed Indictable Crime Checklist/s, Brief Analysis and Case Strategy and Committal Report and Trial Preparation Plan, as applicable, placed on file.

This is mandatory for VLA staff lawyers and highly recommended for private practitioners.

3. ensure that all important documents are easily identifiable in the file, and the file is maintained in chronological or other logical order

The file contains records that shows that the practitioner has:

• placed all important documents on file (see measure for standards 4.5a)
• placed and/or marked them in such a way that they can be quickly located and identified
• grouped documents in logical or chronological order (preferably in separate bundles or sections on the file).

4. clearly indicate any document in draft form and remove all obsolete drafts from the file

Any drafts on the file are marked as such and there are no obsolete drafts on file (ie drafts which are clearly no longer relevant or used as a reference).

5. retain files in accordance with legislative requirements

The practitioner must be able to produce or identify the location of a file or, if it has been destroyed, produce documentation consistent with record-keeping obligations.