Course Title: Establish and maintain a file in legal services

Part A: Course Overview

Program: C4292

Course Title: Establish and maintain a file in legal services

Portfolio: BUS

Nominal Hours: 50.0

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

Course Code




Learning Mode

Teaching Period(s)


City Campus


650T TAFE Business

Distance / Correspondence or Face-to-Face or Internet or Workplace

Course Contact: Kathie Nickson

Course Contact Phone: +61 3 9925 5852

Course Contact Email:

Course Description

This unit describes the performance outcomes, skills and knowledge required to manage the conduct of a file under the instruction of a designated individual. This includes establishing files, developing and obtaining appropriate documents, liaising with clients, and carrying out file closure procedures.
A range of legislation, rules, regulations and codes of practice may apply to this unit at the time of endorsement, depending on job roles and jurisdictions.

Pre-requisite Courses and Assumed Knowledge and Capabilities

There are no pre-requisites.

National Competency Codes and Titles

National Element Code & Title:

BSBLEG414A Establish and maintain a file in legal services


1. Initiate preliminary file activities


2. Carry out conflict of interest check

3. Open file

4. Contact other persons about the file

5. Undertake legal process according to plan

6. Facilitate file administration and closure

Learning Outcomes

Overview of 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.

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.