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RISK MANAGEMENTGUIDE A guide to risk management in legal practice for Community Legal Centres and other Legal Assistance Services that are members of Community Legal Centre Associations

Includes the Mandatory Standards of NACLC’s National Professional Indemnity Insurance Scheme, which are also Standards for Certification and Accreditation under the National Accreditation Scheme for Community Legal Centres

SECOND EDITION

Publication detailsThe Risk Management Guide: A guide to risk management in legal practice for Community Legal Centres and other Legal Assistance Services that are members of Communi-ty Legal Centre Associations (the Guide) is published by the National Association of Community Legal Centres (NACLC) for the use of community legal centres (CLCs) and other legal assistance services in Australia that are full members of a state or territory association of CLCs and thus come under the NACLC umbrella (collectively, ‘centres’).

National Association of Community Legal CentresACN 163 101 737 PO Box A2245 Sydney South, NSW 1235 Phone: (02) 9264 9595 Fax: (02) 9264 9594 Email: [email protected]

Publication background The first edition of this more detailed and substantive Guide, titled Risk Management and CLC Practice: A guide for community legal centres in delivering legal and related services, was published in 2011, replacing the earlier Na-tional Risk Management Guide published in July 2005 by NACLC. The 2005 Guide included The Professional Indem-nity Insurance Risk Management Guide (July 2005), based on the NSW Combined Community Legal Centre Group PII Compliance Manual (2002) and a section setting out background information about PII and the Scheme structure in part based on and adapted from chapters 1 and 2 of the Practice Guide for NSW Community Legal Centres (2002). The copyright in these earlier publications is acknowledged. The 2011 edition of the Guide significantly rewrote and added to the 2005 publication. For the first time it iden-tified Mandatory Standards, distinguishing them from recommended good practice actions that it also included. It was developed with the assistance of many people in the sector, in particular Bill Mitchell from Townsville Com-munity Legal Service Inc; Julia Hall and Jill Anderson from NACLC; Justin Finighan, NACLC IT and CLSIS consultant; and members of the National Professional Indemnity Insurance (PII) Network. Its editing was by Jill Anderson, NACLC, and Ian Close, Outside Communications; graphic design was by Justin Archer Design. A few sections of the Guide were revised in December 2012, with only those updated pages being reprinted. The revision undertaken for this second edition of the Guide was undertaken by Kiri Libbesson, Insurances Coordinator at NACLC, and members of the National PII Network, particularly Catherine Eagle, longstanding member and the Network Chair, with significant input from Amanda Alford and Julia Hall at NACLC, as well as others across the sector. Significant changes have been made to this version and any superseded versions of the Guide should not be relied on or used as a reference source.

First edition published: November 2011 (Effective from 14 November 2011; Revised (in part) December 2012)Second edition published: February 2017Design: Jelly Tree StudioPrinting: ASAP PressPrinted on recycled paper

DisclaimerThe Guide is a tool and resource for use by those centres that provide legal and other professional and related services. It should not be assumed that it covers every aspect of risk management that may be relevant to any particular centre’s legal practice or other services delivered by that centre. Each centre delivers its ser-vices differently and within a different context and must devise and apply risk management strategies appropriate to its own particular situation.The Guide also does not cover every aspect of organisational risk management. There are signif-icant aspects of centre governance, organisational management and operations that are not addressed in this publication and which should be the subject of separate specific risk management policies, proce-dures and practices. This Guide should be only one of a suite of complementary risk management policies and practices for centres. The principal lawyers and others responsible for cen-tre legal work and service delivery, including the em-ployer centres themselves, must satisfy themselves that their legal practices and related services are complying with all relevant legal and professional obligations. The Guide at times refers to relevant law, but it is not and does not purport to be a complete compilation of the law applicable to lawyers’ legal and ethical obligations, the management of legal practices or other professional services, in any or all jurisdictions, and should not be relied upon as such.As a national resource, it is not possible to refer to every state and territory distinction, and users are responsible for ascertaining and complying with the particular requirements of their own jurisdiction.

The Guide is one of a range of management and gov-ernance resources developed and produced by NACLC to support CLCs and other legal assistance providers. It also includes the Mandatory Standards of NACLC’s National Professional Indemnity Insurance (PII) Scheme. Only legal assistance services that are full members of a state or territory association of CLCs are eligible to participate in this Scheme and participation is contingent on the service demonstrating annually satisfactory compliance with the Mandatory Standards. Regardless of their partic-ipation in the National PII Scheme, all full members are required under the National Accreditation Scheme for CLCs, to satisfactorily comply with the NACLC Accredita-tion Criteria, which include the Mandatory Standards set out in this Guide.

This Guide is not for distribution outside the CLC sector. It is provided free by NACLC to centres that are members of state or territory associations of CLCs and to a very limited number of sector stakeholders at NACLC’s discretion and on a confidential and restricted basis.

Acknowledgement of CountryNACLC acknowledges the traditional custodians of the lands across Australia and particularly the Gadigal people of the Eora Nation, traditional custodians of the land on which the NACLC office is situated. We pay deep respect to Elders past and present.

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SECOND EDITION: FEBRUARY 2017

CONTENTSImportantinformationaboutchangesinservicesterminology viii

Glossaryofterms x

Chapter1:IntroductiontotheGuide 1

1.1 purposesoftheGuide 2

1.2 GettingthemostfromtheGuide 2

1.3 Centresneedotherriskmanagementpoliciestoo 2

1.4 Nationalcomplianceregime 3

1.4.4 Membershiprulesandaccreditation 3

1.5 Consequencesofnon-compliance 4

1.6 Informationaboutinsurance 4

1.7 Nationalstandardsand‘national’legislation? 5

Chapter2:MandatoryStandards 6

2.1 thischapter 7

2.2 theGuide 7

2.3 Supervisionofcentrepracticebytheresponsibleperson 7

2.4 DelegationofresponsibilitytoaNominatedperson/s 7

2.5 Generalresponsibilitiesofcentres 8

2.6 Insurance,notificationsandclaims 8

2.7 Legalprofessionregulation 9

2.8 trustmoney,controlledmoneyandtransitmoney 9

2.9 ImmigrationassistanceandregisteredMigrationagents 9

2.10 Financialcounsellors 9

2.11 Socialworkersandotherprofessionals 10

2.12 Dutyofconfidentiality 10

2.13 Conflictsofinterest 10

2.14 practicesupervision:general 11

2.15 Specialist,auspicedorhostedservices,programsandprojects 13andauspicedcentres

2.16 Guidelinesaboutcentrework 14

2.17 Intake-recordsandprocedures 14

2.18 Instructions 14

2.19 LegaladviceandotherDiscreteassistanceServices 14

2.20 Files(paperandelectronicrecords) 16

2.21 Cross-checking 17

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Chapter3:riskManagementforCommunityLegalCentres 18

3.1 WhatisCLCpractice? 19

3.2 Whatisriskmanagement? 19

3.3 Whymanagerisk? 19

3.4 theNationalpIISchemeanditsriskmanagementstrategies 20

3.5 StakeholdersandroleswithintheNationalpIIScheme 20

3.5.2 NACLC 20

3.5.6 TheNationalPIINetwork 21

3.5.9 StateandterritoryCLCassociations 22

3.5.11 PIIrepresentative 22

3.5.12 StateandterritoryPIIcommittees 23

3.5.16 Additionalrolesatstateorterritorylevel 24

3.5.21 ResponsiblePerson 25

3.5.29 NominatedPerson 29

3.5.34 Cross-checker 30

3.5.35 Thecentre 30

3.5.38 Relationshipbetweencentremanagementandlawyers 31

3.5.41 Clientsandpotentialclients 32

3.5.42 Fundingbodies 32

3.6 Decision-makinganddisputeresolution 32

3.6.1 Decision-makingprinciples 32

3.6.7 Disputeresolution 34

3.7 Mergersandamalgamations 38

3.7.3 Insurance 38

3.7.10 Changingthelegalentityandnotifyingthestatelegal 39 professionregulator

3.7.11 Databasemergersandconflictsofinterest 39

3.8 Centreclosures 40

3.8.2 Dealingwithopenandclosedfiles 41

3.8.8 PIIrun-offcover 41

3.8.11 Noticetolegalprofessionregulatorybodies 42

3.8.13 Otherissues 42

Chapter4:professionalIndemnityInsuranceandtheNationalpIIpolicy 43

4.1 Introduction 44

4.2 riskmanagementandtheNationalpIIScheme 44

4.2.3 TheNationalPIIPolicy 44

4.2.6 Theapplicationprocess 45

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SECOND EDITION: OCTOBER 2017

4.3 The insurer 45

4.3.1 Pacific Indemnity on behalf of CGU 45

4.3.2 The broker 45

4.4 Things to know about the Policy 45

4.4.7 Claims-made policy 46

4.4.9 Policy administration 47

4.4.10 Premium calculation 47

4.4.13 Excess 47

4.5 Top-up insurance 48

4.6 Some terms of the current Policy 49

4.6.4 Who is covered? 49

4.6.12 What is covered? 51

4.6.17 Amount of cover 53

4.6.19 Period of cover 53

4.6.21 Annual PII Proposal (renewal) 53

4.6.24 What isn’t covered? 53

4.7 Notifications and claims 55

4.7.1 Duty to notify 55

4.7.18 Duty not to admit liability 60

4.7.21 Working with the insurer 60

4.7.22 Reserve 60

4.7.23 Subrogation 61

4.7.27 Claim Investigation costs 61

4.7.31 Finalisation of claims 62

4.8 Complaints about insurance 62

4.9 Relationship with legal profession regulatory bodies 62

4.10 Double insurance 63

ChaPTeR 5: Legal Profession Regulation 64

5.1 Introduction 65

5.2 Mandatory risk management 65

5.3 Relationship to insurance 65

5.4 State and territory regulatory schemes 65

5.5 Mandatory Standards 65

5.5.1 Practising certificates 65

5.5.4 Supervision 66

5.5.7 Costs agreements and recovery of costs 67

5.5.11 Trust money and controlled money 67

5.5.12 Transit money 68

5.5.15 Registered Migration Agents 68

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Chapter6:professionalObligationsIncludingConfidentiality 69andavoidingConflictsofInterest

6.1 Introduction 70

6.2 Lawyers 70


6.4 Socialworkers 70

6.5 Codesofconduct 71

6.6 Confidentiality 72

6.6.4 Contractualduty 72

6.6.5 Ethicalduty 72

6.6.7 Statutoryduty 73

6.6.8 Confidentialityandcloudcomputing 73


6.7.2 Whatisaconflictofinterest? 74

6.7.4 Lawyer-clientduties 75

6.7.6 Avoidingconflicts:centrepolicyandtraining 75

6.7.8 Acentrecannotactforbothpartiestoadispute 75

6.7.9 Canacentreeveractagainstaformerclient? 76

6.7.12 Whatisconfidentialinformationinthiscontext? 76

6.7.13 Whenindoubt–formerclients 76

6.7.14 Servicetypesandconflictchecks 76

6.7.28 Knowledgeofonelawyeristhesameasknowledge 79 oftheentirepractice

6.7.29 Volunteerlawyers,confidentialinformationandimputedknowledge 80

6.7.38 ManagementCommitteemembers 81

6.7.39 Changingjobs,locumsandconflictsofinterest 81

6.7.43 Secondmentsandconflictofinterest 82

6.7.46 Screeningforconflictsofinterest 83

6.7.74 Conflictofinterestinmulti-programagencies 87

6.7.80 Conflictofinterestinreferringmatterstovolunteerlawyers 90

6.7.83 Conflictofinterest–stafflawyerswhorunprivatepractices 90

6.7.88 Advisingcentrestaffandvolunteers;oradvisingothercentres 91

6.7.89 Confidentiality,conflictofinterestandactingforgroups 92 andassociations

6.7.91 Furtherinformationandgettingadvice 92

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Chapter7:practiceSupervisionandManagement 93

7.1 Introduction 94

7.2 Supervision 94

7.2.7 CheckingDiscreteAssistance(otherthanInformationandReferral) 95 andOngoingAssistanceServices

7.2.11 AccesstotheResponsiblePerson 96

7.2.12 SupervisionofOngoingServices 96

7.2.14 Remotesupervision 97

7.2.18 Supervisingbranchoffices 97

7.3 Workloads 98

7.4 Filereviews 98

7.5 electroniccommunications 99

7.6 CommunityLegaleducation,Communityeducationandpublications 100

7.7 LawandLegalServicereformorpolicyreform 100

7.8 Media 101

7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicesreform, 101Stakeholderengagement)andMedia:filesandrecords

7.10 Specialist,auspicedorhostedservices,programsandprojects 102

7.11 Volunteers 103

7.12 Studentsandclinicalprograms 103

7.13 DutyLawyer/advocateservices 104

7.14 ContractworkforLegalaidCommissions 104

Chapter8:ServicesforIndividuals 105

8.1 Writtenguidelines 107

8.2 Conflictofinterestcheck 107

8.3 Intakerecordsandprocedures 108

8.3.2 Client’sname,dateofbirthandcontactdetails 108

8.3.5 NamesofOtherParties 108

8.3.7 Indicationthataconflictofinterestcheckhasbeenperformed 108

8.3.9 Dateinstructionsreceived 108

8.3.10 TypeofService 109

8.3.11 Clientidentifier,filenumberandfileregister 109



8.5.1 ProfessionalbasisforAdvicemustbedisclosed 110

8.5.3 RecordofAdvicegiventoclients 110

8.5.4 Limitationandothercriticaldate/s 110

8.5.7 DateandsignatureofpersongivingAdvice 111

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8.5.8 LegalAdviceandotherassistancegivenbyemailorotherformsof 111 electroniccommunication

8.5.11 Advicetothirdparties 112

8.5.16 RetentionanddestructionofAdvicerecords 112

8.5.19 DutyLawyerServices 113

8.6 OngoingassistanceServices 113

8.7 Centre’sdatabaseanditsroleincentreriskmanagement 113

8.7.2 Dataentryforconflictchecking–accuracyandcompleteness 113

8.7.5 OtherPartiesandrelatedclients 113

8.7.6 Duplicateclients 114

8.7.7 Timelinessofdataentry 114

8.7.9 Trainingforconflictchecking 114

8.7.11 Datadefinitionsandtraining 114

8.7.13 Scopeofdatarecordingincentres’databases 115

8.7.15 Datasecurityandunauthorisedaccess 115

8.8 Files 115

8.8.2 Filenumberandfilerecord 115

8.8.3 Letterofengagementorclient/litigationagreement 115

8.8.5 LimitationDate 116

8.8.6 Frontoffileinformation 116

8.8.9 Filenotes 117

8.8.10 Incomingoroutgoingcalls 117

8.8.11 Correspondence,courtdocuments,evidenceanddisbursements 117

8.9 Clientinformationsecurity 118

8.10 Filemovements 118

8.11 Clientrecords 119

8.12 Fileownership 119

8.13 Closingfiles 120

8.13.1 Preparationforclosure 120

8.13.2 Closure 120

8.14 archivinganddestruction 120

8.14.2 Archivingfilesphysically 121

8.14.3 Archivingfileselectronically 121

8.14.6 CLSISandCLASSrecords 122

8.14.7 Destroyingfiles 122

8.15 Clientlegalprivilege 123

8.16 thirdpartyaccesstoclientinformation 123

8.16.3 Thirdpartyornon-partydisclosure 123

8.16.7 Subpoenas 124

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8.17 Coercive powers 124

8.18 Freedom of information 125

8.19 Privacy laws 125

8.20 Library and archive laws 125

ChaPter 9: Cross-checking procedures 126

9.1 Introduction 127

9.2 Participation in annual cross-check and satisfactory compliance with 127 Mandatory Standards of the Guide

9.2.4 Branch offices, cross-border services, and services with more than 128 one Responsible Person


ChaPter 10: Other insurance 130

10.1 Introduction 131

10.2 Public liability insurance 131

10.3 association liability and directors’ and officers’ insurance 131

10.4 Workers compensation insurance 131

10.5 Volunteers personal accident insurance 131

10.6 Contents insurance or office pack insurance 131

aPPendICeS

A NationalProfessionalIndemnityInsurancePolicyWording

B NationalProfessionalIndemnityInsurancePolicySchedule

C ProfessionalIndemnityInsuranceNotificationForm

D Cross-CheckQuestionnaire

E PIIRepresentatives:Framework,RoleandResponsibilities

Sample documents:

F EmailPolicy:sample

G ConflictofInterestinServiceDeliveryPolicy:sample

H PrivacyPolicy:sample

I FileDestructionChecklist(Qld):sample

J LettersofEngagement/ClientAgreements(NSW&Vic):samples

K InformationBarrierPolicy:samples

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ImportantInformationaboutChangesinServicesterminology

BackgroundFundingandprogrammanagementforCLCshasundergonesignificantchangeinrecentyears,inparticularasaresultofthecommencementoftheNationalPartnershipAgreementonLegalAssistanceServices2015-2020;thepublicationoftheNationalLegalAssistanceDataStandardsManual;andthedevelopmentoftheCommunityLegalAssistanceServicesSystem(CLASS).

ThiseditionoftheGuidehasbeenwrittentakingintoaccountthesedevelopments.

theNationalLegalassistanceDataStandardsManualIn2015,theCommonwealthAttorney-General’sDepartmentpublishedaNationalLegalAssistanceDataStandardsManual(DSM),whichcanbefoundathttps://www.ag.gov.au/LegalSystem/Legalaidprogrammes/Pages/National-Legal-Assistance-Data-Standards.aspx.

TheDSMhastheaimofintroducingcommonclientandservicedatarecordingacrossallfourlegalassistanceservices.Itwasdevelopedinconsultationoversomeyears,withrepresentativesofeachoftherespectivelegalassistanceservices.

TheDSMcontains,amongotherthings,anewsystemofclassificationof‘Services’andnewdefinitionsofeachServicetype.UndertheNPA,stateandterritorygovernmentsmustreporttotheCommonwealthonbenchmarksandperformanceindicatorsthatrefertoServicesasdefinedbytheDSM.

CLaSSFormanyyears,thegreatmajorityofCLCs(thosefundedundertheformerjointCommonwealthandstateandterritoryfundingprogram,theCommunityLegalServicesProgram),recordedtheirclientandservicedatainadatabaseownedbytheCommonwealthAttorney-General’sDepartment,calledCommunityLegalServicesInformationSystem(CLSIS).StateandCommonwealthProgramManagerswereabletoaccessandobtainreportsonde-identifiedservicedataandaccountabilityinformationfortheirjurisdiction’sCLCs.Afewyearsago,theFamilyViolencePreventionLegalServices(FVPLS)werealsorequiredtorecordandprovidereportsinCLSIS.

CLSISisanolddatasystemandtheCommonwealthAttorney-General’sDepartmentdecidedtofundNACLCtodevelopanewdatasystemfortheCLCsandFVPLS,whichwillsupersedeCLSIS.

Atthetimeofwriting,NACLCexpectsthatCLCs’andFVPLS’datawillbemigratedintoCLASSinFebruary2017.

Importantly,CLASSisbasedontheDSM,andusesitstermsanddefinitionsforrecordingclientandservicedata.Thiswillsupportandfacilitatecentrereportingtogovernment,andstateorterritorygovernmentsaccessingreportsforprovisiontotheCommonwealthinaccordancewiththeirobligationsundertheNPA.

effectofthenewServicesDefinitionsontheGuideHistorically,CLCshavetendedtothinkandrefertotheirworkasone-offassistance(advice,informationandreferral),orongoingwork,commonlycalled‘casework’.CLSISusestheseterms.

InCLSIS,thesetermsarequitebroad,forexample,‘Advice’canbelegalorotheradvice,andmayalsoincludeprovidingsomerelatedsupport,suchasdraftingaletter,solongastheassistanceisadiscreteservice.TheCLSISterm‘Casework’includesrepresentation,actingasadutylawyeratcourt,andprovidingongoingassistance(includingwhennotactingforthatperson)and/oractingonbehalfofaclientinrespectofaproblem,butbecauseitisnotonlyconcernedwithprovidingongoingassistanceinarepresentationalcapacityitcancoverbothlegalandnon-legalcasework.


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TheDSMhasmorecategoriesofservicesandnewdefinitions.Centresmustunderstandandusethisnewterminologytoensurethattheyrecordtheirservicesaccuratelyandconsequentiallytheirreportstofundersareaccurate.Thefollowingdiagramfrompage3oftheDSMprovidesanoverviewofthecategoriesofservicesusedwithintheDSM.

TosupportcentreunderstandingofthenewterminologyandthemovetothenewDSMdefinitions,thisGuidereferseithertotheindividualServicenamesintheDSM,orwhenmakingthedistinctionbetweenone-offand/orongoingassistance,usestheterms‘DiscreteAssistance’and‘OngoingAssistance’.Itisimportanttonotethatboththosetermscontainseveraldifferenttypesofservicesunderthenewclassificationsystem.

TheGlossaryincludedinthisGuideidentifiestheservicesdefinedintheDSMandthedefinitionforeachService.ItisimportanttoconsulttheDSMitselfasitcontainscriticalinformationonthewaytorecordand‘count’eachservice,andsomefactsituationsasexamplesofdifferenttypesofservices.Inaddition,centresshouldbealerttoupdatestotheDSMasitcouldbefurtherclarifiedinthefuture.

Services for the community

Information

Referral

Legal Advice

Non-Legal Advice

Legal Task

Facilitated Resolution Process

Duty Lawyer

Dispute Resolution

Court/Tribunal

Other Representation

Resources

Activities

Community Education

Law and Legal Services Reform

Stakeholder Engagement

LeGaLaSSIStaNCeSerVICeS

Services for individuals* Discreet Assistance

Facilitated Resolution Process

Duty Lawyer

Representation

Community Legal Education

Community Education

Law and Legal Service Reform

Stakeholder Engagement

Figure 1: Legal assistance services

*Thisincludesservicesforindividuals,groupsandorganisations.


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GLOSSarYOFterMSadvice AsdefinedintheCLSISDataDictionary,andusedinthis

Guide,is: whenaserviceproviderhelpsaclienttoselect

betweenoptionsabouttheclient’sownproblems.Adviceincludesbutisnotlimitedtolegaladvice.Itmaybecounselling,advocacy,supportand/orlegaladvice.

TheDSMonlyincludesoneAdviceservicetype,‘Legaladvice’.

Centreshavehistoricallyrecognisedthatsomeprofessionalandotherexpertworkerswhoarenotlawyersmaygiveadvicewithintheirareaofexpertise.SuchadvicewouldnotfallwithintheLegalAdviceservicetypeasdefinedintheDSM,butmightotherwisebecategorisedasa‘Non-LegalSupportService’,asappropriate.

Branchoffice Alocationotherthanthemaincentreofficewherethecentreprovidesservicesandwhererecords(forexample,caseworkfilesandadvicerecords)arestoredonthepremises(asdistinctfromanoutreachservicewhere,typically,recordsarenotstoredbutkeptatthemainofficeofthecentre).Abranchofficewilltypicallyhavestafflocatedonthepremises(whoarecentreemployees).Itmayormaynotoperatefulltime.

Casework Caseworkisthetermthathaspreviouslybeenusedtorefertoanymatterforwhichthecentreisprovidingongoingassistanceand/oractsonbehalfofaclientinrespectofaproblem(asopposed,inthatmodeltoprovidingaone-offadvice,informationorreferral).Typically,afileisopened.InCLSIS,CaseworkwasclassifiedasMinor(0-5hours),Medium(6-20hours)orMajor(over20hours).Ongoingworkthatwouldformerlyhavebeencalled‘casework’isnowundertheDSMeitherRepresentationServicesorongoingNon-LegalSupportServices(Non-LegalSupportServicescanalsobeadiscreteservicesothereferencetoongoingisimportant).UndertheDSM,RepresentationServicesarewhereaServiceProvidertakescarriageofamatterinanongoing,representativecapacity.RefertotheDSMdefinitionsofRepresentationServices,DisputeResolutionService,Court/TribunalServiceandOtherRepresentationServices,whichareincludedinthisGlossary.

Centre LegalassistanceserviceprovidersthatarefullmembersofastateorterritoryCLCassociationandthereforecomeundertheNACLC‘umbrella’.ThesemaybeCLCs,AboriginalandTorresStraitIslanderLegalServices(ATSILS)orFamilyViolencePreventionLegalServices(FVPLS).

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CLaSS CommunityLegalAssistanceServicesSystem(replacementforCLSIS)

CLC CommunityLegalCentre

Client/litigationagreement WheneveraRepresentationServiceorotherongoingorletterofengagement legalserviceistobeprovidedbyacentreitis

recommendedthatthecentreprovidetheclientwithwritteninformationconfirmingthenatureandextentoftheworkthatthecentrehasagreedtodoonbehalfoftheclient.Thismaybedonebywayofaletterofengagementoraclient/litigationagreement.Insomecases,forexamplewhereworkisundertakenonadutylawyerbasis,ordonequicklytomeetadeadline,thismaynotbepractical.Inthosecasesitisdesirabletoprovidetheclientwithwrittenconfirmationoftheworkthatwasundertakenassoonasispossibleafterwards

CLSIS CommunityLegalServicesInformationSystem–theCommonwealth-owneddatabaseforCLCandFVPLSclientandservicedatathathasoperatedforseveralyears,butwillnolongerbeavailabletousersafter31March2017

CLSp TheCommunityLegalServicesProgram(CLSP)wasajointfundingprogramofboththeCommonwealthandStateandTerritoryGovernments.TheCommonwealthCLSPwasadedicatedprogramwithintheAustralianAttorney-General’sDepartmentthatfundedandcoordinatedCLSPfundingandprogrammanagementforCLCspriorto1July2015.ThemajorityofCommonwealthfundingtoCLCsisnowdeliveredthroughtheNpa(seebelow).ThecurrentCLSPretainsthesamenamebuthasbeenrevisedtobedeliveredasanationallyfocusseddiscretionarygrantsprogramme,administeredbytheAttorney-General’sDepartment.Inaddition,somestatesandterritoriesrefertotheirstateCLCfundingprogramsasCLSP

Communityeducation CommunityEducation(CE)(asdistinctfromCommunity(DSMpp14-15) LegalEducation,definedbelow)aimstoresolvenon-legal

associatedissues,socialwelfare,learningoutcomesandpersonaldevelopmentofpeopleinvolvedinthelegalprocessandexperiencingdisadvantage.Thefocusisonaddressingrelatednon-legalproblemsthatdirectlyimpactuponaperson’sabilitytoaccessorparticipateinthejusticesystem,topreventlegalmattersescalating.Theseprogrammesandsessionsareoftenfacilitatedbynon-lawyerssuchasclientsupportofficers.

CEpromoteslearningandsocialdevelopmentworkwithgroupsinthegeneralcommunityusingarangeofformalandinformalmethods.Acommoncrucialfeatureisthatprogrammesandactivitiesaredevelopedindiscussionwithcommunitiesandparticipants.Thepurposeofcommunityeducationanddevelopmentistohelpbuildthecapacityofpeopleandgroupsofallagesandthe

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communitythroughtheiractionsbyimprovingqualityoflifeandcontroloverpersonalcircumstances.Centraltothisisaperson’sabilitytoparticipateinthejusticeprocessesandbecomeawareoftheirindividualrightsandresponsibilities.

Therearearangeofskillsandapproachesforengaginglocalcommunities/groupsandinparticulardisadvantagedpeople.Theseincludelessformaleducationalmethods,communityactivitiesandgroupskills.Communitydevelopmentenablescommunitymemberstobebetterinformedandtohaveanactivevoiceinseekingsolutionsfortheissuesaffectingtheircircumstances/lives.

ExamplesofCEinclude:• managingfinances• self-esteemandhealthyrelationshipssessions• behaviouralprogrammes• empowerment/leadershipprogrammes• accesstoservices;housing,socialservices, supportprogrammes• parentingprogrammes• grouptherapy.

CommunityLegaleducation CommunityLegalEducation(CLE)isprovidedtothe(CLe) generalcommunity,communityservices,community(DSMp13) groups,organisationsorschools.Theseservicesinform

andbuildindividualandcommunityresiliencebyenhancing:

• awarenessandunderstandingaboutthelawandhow toidentify,preventanddealwithproblems• awarenessofthehelpavailablefromlegalandsupport services.

CommunityLegaleducation CLEActivitiesaredeliveredtoraiseawarenessandactivities educateotherserviceproviders,communitygroups,(DSMp14) organisations,schools,orthegeneralcommunityabout

thelawandhowtorecognise,preventanddealwithlegalproblems.CLEActivitiesmaybedeliveredthroughavarietyofformats,including:

• workshops,presentationsandmeetingsinperson • web-basedandelectronicmedia.

CommunityLegaleducation CLEResourcesinvolvethedevelopmentorsubstantialresources amendmentofpublicationsandresourcesthatprovide:(DSMp13) • informationaboutthelawandlegalsystem • informationaboutlegalandsupportservices • guidanceforidentifying,preventingordealingwith

particularlegalproblems.

ExamplesofCLEResourcesinclude:booklets;pamphlets;self-helpkits;legalinformationwebsites;developmentofCLEActivities(forexample,modules,workshopsorpresentations).

CLEResourcesmaybedevelopedtobedeliveredviaavarietyofmediaincluding:printed/hardcopy;

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audioproducts;DVD/video;webbased;workshopsorpresentations.

Court/tribunalService ACourt/TribunalServicerelatestoanyongoing(DSMp11) representationforanymatterbeforeacourt,tribunal

orinquiry,whereaServiceProviderprovideslegalrepresentationtoaServiceUser,andtakescarriageofamatterinanongoing,representativecapacity.Thisincludescourt/tribunalbasedalternativedisputeresolution.

ACourt/TribunalServicedoesnotincludeservicesprovidedbyadutylawyerorassistancetoself-representingpartieswhereaServiceProviderdoesnottakecarriageofamatterinanongoing,representativecapacity.ThistypeofserviceiscountedasaLegalTask,LegalAdviceorDutyLawyerService,asappropriate.

Cross-check Thisreferstothemandatorypeerreviewprocedurethatoccursannuallytomonitoreachcentre’scompliancewiththeMandatoryStandardsoftheGuideandtosupportcontinuousimprovementinriskmanagementincentres’practices.AllcentresthatarefullmembersofastateorterritoryCLCassociationarecross-checked.SeeinparticularCh9.

Discreteassistance DiscreteAssistanceistheprovisionofunbundled,(DSMp4) discrete,legalandnon-legalservicestoServiceUsers[i.e.

InformationServices,referral,LegaladviceServices,Non-LegalSupport,andLegaltask].

TheseintermittentservicesdifferfromRepresentationServices,whereaServiceProvidertakescarriageofamatterinanongoing,representativecapacity.

DiscreteAssistancemaybeprovidedatanylocation(forexample,inaServiceProvider’sofficeorinanoutreachlocation).

Theymayalsobedeliveredinarangeofmodes:inperson;telephone;letter;email,mailorfax;videoconference;onlinechat.

DisputeresolutionService Thisserviceinvolvesthelegalrepresentationofa(DSMp10) ServiceUserinaFacilitatedResolutionProcess,oran

alternativedisputeresolutionprocess.Thisservicetypedoesnotincludecourt/tribunalbasedalternativedisputeresolution,whichisincorporatedinthedefinitionofCourt/TribunalServices.

ADisputeResolutionServiceincludespreparationfor,andrepresentationat,aFacilitatedResolutionProcess.ItalsoincludestheworkinvolvedinrecordingagreementfollowingaFacilitatedResolutionProcess.

Assistanceprovidedtoself-representingpartiespreparingtoattendFacilitatedResolutionProcessesshouldbecategorisedasLegalTaskorDutyLawyerServiceasrelevant.

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DSM NationalLegalAssistanceDataStandardsManual,whichwaspublishedbytheCommonwealthAttorney-General’sDepartmenttointroducecommonclientandservicedatarecordingacrossallfourlegalassistanceservices.

DutyLawyerServices DutyLawyerServicesarelegalservicesprovidedbyaduty(DSMp9) lawyertoaServiceUseratacourtortribunal.

Facilitatedresolutionprocess AFacilitatedResolutionProcessiswhereaService(DSMp8) Providerconductsanactivity(forexampleaconference)

toassistthepartiestoresolveornarrowissuesindispute.Generally,afacilitatedresolutionprocesswillinvolveascreeningprocessandtheprovisionofanindependent,suitablyqualifiedprofessionaltofacilitateresolutionoftheissuesindispute.

AFacilitatedResolutionProcessmaybeprovided: • inpersonatanylocation • bytelephoneorvideoconference.

Financialcounsellor Financialcounsellorsarerequiredtocomplywithprofessionalassociationcodes,asystemofaccreditationbystateorterritoryassociations(inmostjurisdictions)andtomeettheexemption(fromlicensing)requirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andtheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).

InformationServices AnInformationServiceistheprovisionofinformationtoa(DSMp4) ServiceUserinresponsetoanenquiryabout: • thelaw,legalsystemsandprocesses, • legalandothersupportservicestoassistinthe

resolutionoflegalandrelatedproblems.

Theinformationprovidedisofgeneralapplication.AnInformationServiceinvolvesadirectcommunicationand/oraprovisionofmaterialbyaServiceProvidertoaServiceUser.InformationServicesdonotincludeadministrativetaskssuchasbookingappointmentsforLegalAdvicesessions.

LawandLegalServicereform LawandLegalServiceReformincludeactivities(DSMpp15-16) undertakentochangethelawandlegalprocess,orto

improvetheprovisionoflegalassistanceservices.Theseactivitiesoftenseektoimproveequitableaccessto,andtheeffectivenessof,thejusticesystemforthebenefitofparticulardisadvantagedgroupswithinthecommunityandtheAustraliancommunityasawhole.

LawandLegalServiceReformactivitiesmayinclude: • participationinresearch,analysisandevaluation

activities(includingprogrammeevaluation) • developingpapersaboutlegalassistanceservicesand

systems • developingsubmissionstogovernment,parliamentary

bodyorotherinquirytoprovidefactualinformation

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and/oradvice • strategicadvocacy,suchaslawreformwork.

LawandLegalServiceReformactivitiesfocusuponresolvingsystemicissuesaffectingtheabilityofpeoplefacingeconomic,socialandotherdisadvantagetoaccessorreceivejustice.Whileinsomecases,thisinvolvesservicesdeliveredtoadisadvantagedclient,theseservicesfocusuponmaximisingbenefitsforthewidercommunityoravulnerablegroupwithinthecommunity.

Lawyer ForthepurposeofthisGuideandtheCross-checkQuestionnaire(seeappendixD),thetermslawyerorlegalpractitionerreferonlytoalegallyqualifiedpersonwhoholdsacurrentpractisingcertificate.

LegaladviceServices ALegalAdviceServiceistheprovisionoffact-specific(DSMp6) legaladvicetoaServiceUserinresponsetoarequestfor

assistancetoresolvespecificlegalproblems.

Legaltask ALegalTaskiswhereaServiceProvidercompletesa(DSMp7) discretepieceoflegalworktoassistaServiceUserto

resolveaproblemoraparticularstageofaproblem.

ExamplesofaLegalTaskinclude: • preparationorassistancewiththedraftingof

documents(suchasawill) • writingalettertoanotherpartyaskingthemtodo

somethingorstopdoingsomething,or • advocatingonbehalfofaServiceUserwithouttaking

ongoingcarriageofthematter.

IfaServiceProvidertakescarriageofamatterinanongoing,representativecapacity,includingrepresentingaServiceUserincourtortribunalproceedings,thisisnolongeraLegalTaskbutaRepresentationService.

ManagementCommittee ThisreferstotheManagementCommitteeorBoardofthecentre.TheManagementCommitteemustworkwiththeResponsiblePersontomakesurethatallstaffandvolunteersarefamiliarwithrelevantpartsofthisGuide.

NaCLC NationalAssociationofCommunityLegalCentres

NaS NationalAccreditationSchemeforCLCs

Nominatedperson ANominatedPersonisapersonwhohasbeendelegatedresponsibility(bytheResponsiblePerson)forperformingcertainrolesoftheResponsiblePersonwithregardtomanagingandsupervisingsomepart/softhelegalpractice.Forexample,aNominatedPersonmaybeappointedtosuperviseadvicegivenand/orworkundertakeninaparticularareaofthecentre’spractice.ANominatedPersonshouldbeacentreemployeewhoisalawyerwhohassuitableexperienceandexpertisetoperformtherolesdelegatedtothem.Howeverifthisisnotpossible(forexamplebecauseofacentre’s

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resourceconstraintsorexpertiseneeds),anon-lawyer,and/orvolunteerorotherpersonmaybeappointedasaNominatedPersonprovided:

(a)intheopinionoftheResponsiblePerson,thepersonhassuitableexpertiseandexperiencetoproperlycarryouttheresponsibilitiesdelegatedtothem,and

(b)theResponsiblePersonnotifiestheirPIIrepresentativeandstateorterritoryassociationinwritingoftheappointmentoftheperson,theresponsibilitiesdelegatedandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.Seeinparticular3.5.29-33.

Non-LegalSupportServices ANon-LegalSupportServiceisprovidedbyan(DSMp6) appropriatelyqualifiedorexperiencedperson(either

throughaninternalorexternalappointment)toaServiceUserinresponsetoarequestforassistancetoresolvespecific,non-legalproblems.Examplesincludegeneralcounselling,financialcounselling,trauma-informedcounselling,AboriginalandTorresStraitIslandercommunityliaison,andmentalhealthassessmentsandsupport.

Non-LegalSupportServicescaneitherbeadiscreteoranongoingservice.

Npa NationalPartnershipAgreementonLegalAssistanceServices2015-2020.Since1July2015,thegreatmajorityofCommonwealthfundingtoCLCshasbeendeliveredundertheNPA.

OngoingassistanceServices OngoingAssistanceisatermusedwithinthisGuidetorefertothoseServicesforIndividualswhereacentretakescarriageofamatterinacontinuingcapacity,forexample,RepresentationServices.

OtherrepresentationServices OtherRepresentationServicesrelatestoanymatterwhere(DSMp12) theServiceProvider: • takescarriageofamatterinanongoing,

representativecapacity,butduetothenatureofthe matteritdoesnotproceedtoacourt,tribunalor inquiry,or

• isnotrequiredtoappearbeforeacourt,tribunalor inquiry.

OtherRepresentationServicesdonotincludeassistancetoself-representingpartieswhereaServiceProviderdoesnottakecarriageofamatterinanongoing,representativecapacity.ThistypeofserviceiscountedasaLegaltask,LegaladviceorDutyLawyerService,asappropriate.

practisingcertificate Apractisingcertificateisevidenceprovidedbytherelevantlegalprofessionbodythatthelawyerisentitledtopractiseasalawyerforthespecifiedperiod,usuallyayear,withorwithoutspecifiedconditions.Lawyersshould

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befamiliarwiththelegalpracticelegislationandRulesoftherelevantstateorterritory,andensurethatalllegal,professionalregulatoryandethicalrequirementsaremet.SeealsoregisteredMigrationagent.

pII ProfessionalIndemnityInsurance

TheNationalPIIPolicyisthemasterinsurancepolicyarrangedandnegotiatedbyNACLCforthebenefitofparticipatingcentres.

TheNationalPIISchemeistheframeworkinwhichtheNationalPIIPolicyoperates,andwithwhichparticipatingcentresmustcomply.Thisframeworkincorporatesthecross-checkprocess,whichisalsoarequirementforaccreditationundertheNAS.SeeChapter4.

referral AReferraliswhenaServiceProviderdeterminesthat(DSMp5and35) aServiceUsercanbeassistedbyanotherindividualor

organisationandprovidestheUserwiththecontactdetailstothatservice.IntheDSMaReferralmayberecordedasaSimpleReferraloraFacilitatedReferral.

registeredMigrationagent OnlyRegisteredMigrationAgents,whethertheyarelawyersornot,canprovide‘immigrationassistance’asdefinedbytheMigrationAct1958(Cth).TheResponsiblePersonisresponsibleforensuringthattheformalrequirementsofrelevantlegislationsuchasthisaremet.

representationServices RepresentationServicesarewhereaServiceProvider(DSMp10) takescarriageofamatterinanongoing,representative

capacity.

[Thisincludes:DisputeresolutionService;Court/tribunalService;andOtherrepresentationServices.]

responsibleperson EachcentreappointsaResponsiblePersonwhomustensurethattheGuideisimplemented.TheResponsiblePersonshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate.InthosejurisdictionsinwhichthelegalprofessionlawsrequiretheemploymentofaprincipalsolicitorthecentreshallappointthatpersonastheResponsiblePerson.WherethereisnosuchlegislativerequirementthemanagingorsenioremployedlawyershouldbeappointedastheResponsiblePerson.Ifthisisnotpossible,eithertemporarilyorinthelongerterm,acentrecannegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoapproveanalternativearrangementthatisalsoacceptabletotherelevantregulatorybody.Seeinparticular3.5.21-28.

restrictedpractitioner Allstateandterritorylegalprofessionlawsprovidefor‘restrictedpractisingcertificates’wherethelawyerholdingthecertificatecanonlypractiseincertainwaysand/orissubjecttocertainconditions.

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rMG RiskManagementGuide

ServicesforIndividuals ThisisatermusedwithintheDSMtorefertoservicesprovidedtoindividuals,groupsandorganisations,asopposedtoServicesfortheCommunity,suchasCLE.

ServicesfortheCommunity ServicesfortheCommunityisatermusedwithintheDSMtorefertoservicessuchasCommunityLegaleducation,Communityeducation,LawandLegalServicereform,andStakeholderengagement.

Serviceprovider Thisisalegalassistanceserviceprovider[i.e.acentre],(DSMp2) oranindividualactingonbehalfofthelegalassistance

serviceprovider,thatdeliversaservicetoaServiceUser.

ServiceUser Thisisanindividual,groupororganisationthatreceivesa(DSMp2) servicefromaServiceProvider[i.e.aclient].

Specialist,auspicedorhosted Theterms‘auspicedservice/project’or‘hostedservice/service,programorproject project’refertoaprojectorprogram,whichhas,orto

someextentcanbeseenashaving,itsownseparateidentity.A‘specialistservice/project’ofaCLCisgenerallyanintegralpartofthecentre’scoreservicedelivery,suchastheWomen’sDomesticViolenceCourtAdvocacyServices(WDVCAS),TenancyAdviceandAdvocacyServices,WelfareRightsandFinancialCounsellingservices.Suchaservice/projectisusuallyfundedseparatelyandspecifically.Seeinparticular7.10.

Stakeholderengagement StakeholderEngagementactivitiesmayincludethe(DSMp16) followingactivities: • participatinginnational,state,territoryandlocal

forumstoimprovetheco-ordinationanddeliveryof legalassistanceservices

• participatinginnational,state,territoryandlocal bodiestorepresenttheinterestsofthelegal assistanceprovidersandServiceUsers

• makingandimplementingcollaborativearrangements withotherlegalandnon-legalserviceprovidersto integrateandimprovecoordinationacrossthe legalassistancesystem.

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CHAPTER 1

IntroductiontotheGuideInthischapter:1.1 purposesoftheGuide 2

1.2 GettingthemostfromtheGuide 2

1.3 CLCsneedotherriskmanagementpoliciestoo 2

1.4 Nationalcomplianceregime 3

1.4.1 Membershiprulesandaccreditation 3

1.5 Consequencesofnon-compliance 4

1.6 Informationaboutinsurance 4

1.7 Nationalstandardsand‘national’legislation? 5

2


1.1 purposesoftheGuide ThisGuide:

setsouttheNACLCnationalpolicyframeworkforriskmanagementoflegalpracticeandrelatedservicesdeliveryinCLCs

providesinformationabouttheNACLCNationalProfessionalIndemnityInsurance(PII)PolicyandtheNACLCNationalPIISchemeanditsrequirements

setsminimumriskmanagementMandatoryStandardsforcentresthatarefullmembersofastateorterritoryCLCassociation(seebelow)

providesadditionalrecommendedriskmanagementguidelinesandproceduresthataregoodpracticeandcanbeadoptedbycentreswishingtoimprovetheirstandardsandqualityassurancebeyondtheleveloftherequiredminimumMandatoryStandards.

1.2 GettingthemostfromtheGuide1.2.1 ThesimplewaytogetthemostfromtheGuideistoreaditfromcovertocover

andbecomefamiliarwithitscontent.Asafirststepitisrecommendedthatallstaff,ManagementCommitteemembers,andvolunteersatleastreadChapter2concerningtheMandatoryStandardsintheGuide.ItisrecommendedthateachcentredevelopaninternaltrainingplanaroundtheGuide,oramendtheirexistingtrainingplan,forstaff,volunteersandManagementCommitteemembers.Youmaywanttohandoutcopiesofrelevantkeypartstoeachofthesedifferentgroupsatinductionandontrainingoccasions,whichataminimumwouldincludeChapter2(MandatoryStandards)andthecentre’sconflictofinterestpolicyandotherrelevantpolicies(forexample,theelectroniccommunicationspolicy).TheGuideisaninvaluableinductionandtrainingtool.

1.2.2 Somecentresmaywishtodevelopaformalimplementationplandirectedtoawarenessraising,training,developmentorrefinementofrelevantpoliciesandmonitoringofpolicyimplementation.

1.2.3 IfyouhavetroubleunderstandinganypartsoftheGuideorhowtoimplementthepoliciesorproceduresitcontains,contactyourstateorterritoryprofessionalindemnityinsurancerepresentative(PIIrepresentative).ThecurrentPIIrepresentativesandtheircontactdetailsarelistedontheNACLCwebsite(lookunder‘Insurances’).

1.2.4 IfyouhaveaCLCpracticeriskmanagementissue,theGuideisareadyreferencetopointyourcentreintherightdirection.ThemorefamiliaryouandothersworkinginyourcentrearewiththeGuide,themoreeffectiveitwillbeinsupportingyouinestablishingandmaintaininggoodpracticeriskminimisationforyourcentre.

1.3 Centresneedotherriskmanagementpoliciestoo1.3.1 Remember,theGuideisnotacompleteriskmanagementstrategyforacentre.

Itsfocusisonthetotalityofcentrepracticethatincludesmanagementofthelegalpracticeandrelatedservicedelivery.Itdoesnotonlyapplytolawyers.Forexample,therearetherequirementsthattheResponsiblePersonoraNominatedPersonmust:checktheadviceandcaseworkrecordsofallvolunteers,includingnon-lawyers;checkatleastasignificantproportionoftheadviceandcaseworkofemployednon-lawyerssuchasfinancialcounsellors,tenancyworkersandsocialworkers;andcheckthecontentofpublicstatementssuchascentremediareleases.InformationintheGuidethatmayalsoberelevanttonon-lawyersincludessectionsthatdealwithrelevantadministrationandmanagementissuesincludingsupervisionanddocumentmanagementandretention/destruction.

I N T R O D U C T I O N TO T H E G U I D E

I n t r o d u c t I o n to t h e G u I d e

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1.3.2 AstheGuidedoesnotcoveralltheriskmanagementpoliciesorproceduresthatacentre’smanagementshouldormaywishtohaveinotherareas(forexample,intheareasofgovernanceandfinancialmanagement),itshouldbeoneofanumberofcomplementaryriskmanagementdocumentsandstrategiesdevelopedandimplementedbyeachcentre.

1.3.3 AspartoftheNationalAccreditationSchemeforCLCs(NAS),NACLCprovidesaccesstoanonlineplatformthatcentresusetoassessthemselvesagainsttherequirementsoftheNAS:theStandards and Performance Pathways(SPP).TheSPPisaccessiblebyregisteredcentresviatheNACLCwebsite.

1.3.4 Additionalriskmanagementresourcesandtemplatesareavailablefromthe‘ReadingRoom’intheSPP.CentrescanalsosubscribetoManagement Support Online (MSO)throughBNGNGOServicesOnline,whichprovidesadditionalresourcesfororganisationalmanagement.ForinformationontheMSOseetheNACLCwebsite.

1.4 Nationalcomplianceregime1.4.1 Originally,theGuidesetouttheprescribedrequirementsforcompliancewith

theNACLCNationalPIISchemeandwasusedprimarilyforassessingcomplianceforthatpurpose.Overtime,theGuideexpandedtoprovideadetailedpolicyframeworkforriskmanagementoflegalpracticeandrelatedservicedeliveryinCLCs,settingoutabroadernationalriskmanagementpolicy.Itgrewtoincludegoodpracticesthatwererecommendedforadoptionbycentresthathadtheresourcestoadoptandadheretostandardsabovebaselinecompliance.

1.4.2 NationallyconsistentriskmanagementoflegalpracticeandrelatedservicedeliveryisonepillaroftheNACLCandstateandterritoryassociations’drivefornational,consistentqualityassuranceofallCLCsacrossAustralia.

1.4.3 InadditiontothestandardssetoutinthisGuide,centresmayalsoberequiredunderfundingagreementstocomplywithservicestandardsorotherrequirementsthatmaypertaintothemanagementorsupervisionoflegalservicesand/ornon-legalservices.

Membershiprulesandaccreditation1.4.4 TheobligationoncentresparticipatingintheNationalPIISchemetocomplywith

theGuide’sMandatoryStandardshasbeenspecificallyreinforcedbyprovisionsinthecommonmembershiprulesadoptedbyallCLCstateandterritoryassociations.

1.4.5 FromOctober2010,NACLCandthestateandterritoryassociationsofCLCsbeganrollingoutasector-ledqualityassurancecertificationandaccreditationprocess:theNationalAccreditationSchemeforCLCs(NAS).ThesecondphaseoftheNAScommencedinearly2016.

1.4.6 FullmembersofstateandterritoryCLCassociationsarerequiredtoparticipateintheNASanddemonstratethattheysatisfactorilycomplywithortheyareactivelyworkingtowardssatisfactorycompliancewith,theNACLCAccreditationCriteria.TheNACLCAccreditationCriteriaincludethe17NASStandardslistedintheNASGuidelinesandtheMandatoryStandardsofthisGuide.

1.4.7 Asaresult,theMandatoryStandardsoftheGuideapplydirectlytoallfullmembercentres,regardlessofwhetherthecentreisintheNACLCPIISchemeornot.TheNASStandardsintheNASGuidelines includeaPrimaryRequirementthatthecentreparticipatesinandsuccessfullycompletestheannualcross-checkprocessprescribedinthisGuide.


4


1.4.8 AlistoftheMandatoryStandardsintheGuide,withcross-referencestorelevantcommentary,appearsatChapter2.ItisimportantthatallthoseinvolvedinthemanagementandgovernanceofcentresunderstandtheexpectationsthatthestateandterritoryassociationsofCLCsandNACLChavewithrespecttoriskmanagement.ItisnotonlytheresponsibilityoftheResponsiblePerson(usuallytheprincipalsolicitor).CentrecoordinatorsandManagementCommitteesorBoardsmustensurethattheyandallstaff,includingvolunteers,arefamiliarwithallitsrelevantrequirementsandthatcentrestaffhavethesupporttheyneedtoensuresatisfactorycompliance.

1.5 Consequencesofnon-compliance1.5.1 Usually,ifacentredoesnotmeetaparticularstandard/sintheGuidean

actionplantoimproveisagreedbetweenthecentreandthecross-checker/PIIrepresentative.Thiswouldincludeatimeframe,whichmaybeamendedifnecessaryfollowingfurtherdiscussion.TheScheme’saimistosupportcentres’legalpracticestoachievecompliance.Wherethishasbeenunsuccessfulandthereisseriousongoingnon-compliancewithMandatoryStandardsoftheGuide,itcanleadtoexclusionfromtheNationalPIIPolicyandScheme.Seethediscussionofdecision-makinganddisputeresolutionat3.6,andinparticulartheprocedureandrelevantconsiderationsrelatingtonon-compliancewiththeRMGat3.6.13-25.

1.5.2 AstheMandatoryStandardsintheGuideareincorporatedintheNACLCAccreditationCriteria,itfollowsthatnon-compliancecouldultimatelymeanthatacentre’smembershipmaybereviewedbythestateorterritoryassociationofCLCs,andinextremecasesmembershipcouldbesuspendedorterminated.Eachstateandterritoryassociationhasrulesaboutmembershipthatincluderulesforaccepting,andsuspendingandterminatingmembershipoftheassociationintheeventofbreach.

1.6 Informationaboutinsurance1.6.1 TheGuideprovidesinformationaboutinsuranceasacomponentofrisk

management.ItprovidesdetailedinformationabouttheNationalProfessionalIndemnityInsurancePolicy(NationalPIIPolicy)negotiatedbyNACLC.Thatpolicyinsuresparticipatingcentresagainsttherisksassociatedwithlegalandlegalrelatedservicedelivery.TheGuideincludesacopyoftheNationalPIIPolicyandsomecommentaryaboutthescopeandtermsofthatpolicy:seeCh4,appendixaandappendixB.

1.6.2 Professionalindemnityinsurance(PII)insuresagainstriskssuchasprovidingincorrectadviceormissingacriticaldeadline.ThemostcommonlyencounteredareasofnotificationsorclaimsunderthePolicyare:

• beingoutoftimetocommenceoravoidlegalaction

• conflictofinterest

• incorrectadvice

• generalcomplaintsandservicedissatisfaction

• lost/damagedfiles

• failuretoadvise(ofanissue)

• defamation.

Therelativeincidenceofeachofthenotificationorclaimtypeschangesfromyeartoyear,butoverallfewclaimsaremade.



5

1.6.3 FollowingtheGuidewillnotonlyensurecompliancewiththeNationalPIISchemerequirements,itwillprovideyourcentrewithalegalpracticeriskmanagementplanandqualityassurancestrategythatoffersbenefitstothecentre,itsworkersandmanagement,andtoitsclients,asonesubstantialelementofthecentre’soverallriskmanagementplan.

1.7 Nationalstandardsand‘national’legislation?1.7.1 TheGuidecontainsasetofriskmanagementMandatoryStandardsforcentres

thatdeliverlegalandrelatedservicesandsomerecommendedgoodpracticesuggestionsforthosecentresinterestedandabletoimplementadditionalimprovementstrategies,thatapplytocentresacrossAustralia.

1.7.2 TheGuidecontainsasetofriskmanagementMandatoryStandardsforcentresthatdeliverlegalandrelatedservicesandsomerecommendedgoodpracticesuggestionsforthosecentresinterestedandabletoimplementadditionalimprovementstrategies,thatapplytocentresacrossAustralia.

1.7.2 Atthetimeofwriting,stateandterritorylegalprofessionlawsstillgovernmanyaspectsoflegalpracticeandpractitioners,includingsomeofthebaselineexpectationsbetweenclientsandtheirlawyers.WherepossibletheGuidehighlightsandreflectsthesereferences,butprincipalsolicitorsmustensurethattheyareacquaintedwithandtheyandthelegalpracticecomplieswiththeirownjurisdiction’srequirements.

1.7.3 StepshavebeentakentonationaliseregulationofthelegalprofessioninAustraliaandthispotentiallyaffectsalllegalpracticesincludingcentres.Atthetimeofwritinganumberofjurisdictionshaveagreedtoparticipateinthenationalscheme.TheLegalProfessionUniformLawcameintooperationinVictoriaandNewSouthWaleson1July20151,andwithittheUniformRules,suchastheLegalProfessionUniformGeneralRules2015.TheUniformLawandUniformGeneralRulesreplacedtheLegalProfessionActandRegulationsinbothStateson1July2015.Itisveryimportantthatcentrestaffkeepapprisedofdevelopments,includinginrelationtotheadoptionoftheUniformLawandRulesinotherstatesandterritories,orchangestotheirownjurisdiction’sRules.

1.7.4 TheGuideisnotanalternativetocompliancewithlegalprofessionlaws;itoperatesinacomplementaryway.TheGuidetakesaccountofrelevantaspectsofthemainlegislationexistingatthetimeofwritingandprovidescommentaryabouthowcentresshouldoperatewithinthatregulatorycontext.

1LegalProfessionUniformApplicationAct2014(Vic);LegalProfessionUniformLawApplicationAct2014(NSW).

6


CHAPTER 2

MandatoryStandardsInthischapter:2.1 thischapter 7

2.2 theGuide 7

2.3 Supervisionofcentrepracticebytheresponsibleperson 7

2.4 DelegationofresponsibilitytoaNominatedperson/s 7

2.5 Generalresponsibilitiesofcentres 8

2.6 Insurance,notificationsandclaims 8

2.7 Legalprofessionregulation 9

2.8 trustmoney,controlledmoneyandtransitmoney 9

2.9 ImmigrationassistanceandregisteredMigrationagents 9


2.11 Socialworkersandotherprofessionals 10

2.12 Dutyofconfidentiality 10


2.14 practicesupervision:general 11

2.15 Specialist,auspicedorhostedservices,programsandprojects 13andauspicedcentres

2.16 Guidelinesaboutcentrework 14

2.17 Intake-recordsandprocedures 14



2.20 Files(paperandelectronicrecords) 16

2.21 Cross-checking 17

6

7


Contextandscope2.1 thischapter ThischaptersummarisestheMandatoryStandardsintheGuide.Itmustberead

inthecontextofthewholeGuide.Thischapterprovidescross-referencestothemoredetailedinformationcontainedelsewhereintheGuide.

2.2 theGuide 2.2.1SeeCh1forgeneralinformationabouttheroleandpurposeoftheGuide.

TheGuidesetsminimumMandatoryStandardsforcentresthatareintheNationalPIIScheme.ThesestandardsalsoapplytocentresnotintheSchemethatarefullmembersofastateorterritoryCLCassociation.See1.1,and1.4.

2.2.2 ThestandardsintheGuideapplyalsotoanybranchoffice,toanyspecialist,auspicedorhostedservice,projectorprogramthatis,inalegalsense,partoforaccountabletoacentre(see7.10)andtoanycentrethatispartofamulti-programagency.

2.2.3 Allworkers,volunteersandManagementCommitteemembersmustbefamiliarwiththeMandatoryStandardsoftheGuide.Theserequirementsapplytoalllegalandrelatedservicedeliveryandtosomeotheraspectsoftheworkofthecentre(forexample,mediareleasesandadvocacy).Seeinparticular3.1.

MandatoryStandards2.3 Supervisionofcentrepracticebytheresponsibleperson2.3.1 EachcentremustappointinwritingatleastoneResponsiblePersontoperform

therolessetoutintheGuideandmustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativeofthenameofthispersonandalsoofanychangeintheirpositionwithin14daysofanysuchchange.Seethedetailedinformation,includingastothequalificationsofResponsiblePersons,at3.5.21-28.

2.3.2 WhentheResponsiblePersonisunabletofulfiltheroleforanysignificantperiodforanyreasonthecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedpersontoberesponsibleforthecentre’scompliancewiththeGuide.Thisshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate,oranothersuitablelawyerwithanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativetogetherwiththestateorterritoryCLCassociationandobtainapprovalforanalternativearrangement.See3.5.25-26,and7.2.6.

2.4 DelegationofresponsibilitytoaNominatedperson/s2.4.1 ItmaybenecessaryandappropriatefortheResponsiblePersontodelegate

responsibilitytooneormoreNominatedPersonswithsufficientqualifications,expertiseandexperience.Seeinparticular3.5.29-33and7.2.TheappointmentofaNominatedPersonmustbeinwritingandtheResponsiblePersonmustmakeclearthenatureandextentoftheresponsibilitiesdelegated.

2.4.2 AcentremustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativewithin14daysofthenameofanypersonappointedasaNominatedPersonandalsoofanychangeintheirposition.WhereaNominatedPersonisnotacentreemployeeand/ornotalawyer,thecentremustinaddition

M A N DATO RY STA N DA R D S


8


notifytheirPIIrepresentativeandstateorterritoryCLCassociationoftheresponsibilitiesdelegatedtothepersonandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.

2.4.3 AllNominatedPersonsofacentremustparticipateintheannualcross-checkprocess.

2.5 Generalresponsibilitiesofcentres Seeinparticular3.5.35-40.

2.5.1 Anindividualcentremust:supportcentrestaffandvolunteerstoensurecompliancewiththeGuide’sMandatoryStandards;develop,maintainandregularlyreviewandamendasnecessary,policiesandprocedurestominimiseriskofclaims;havewrittenguidelinesandproceduresaboutthetypeofworkthecentrewillandwillnottakeonandensurethatworkersandManagementCommitteemembersarefamiliarwiththeseandallotherrelevantdocumentsincludingrelevantpartsofthisGuide.

2.5.2 AcentremustprovidetheResponsiblePersonwithsupportandresourcestoensuretheGuideisimplemented.

2.5.3 Acentremustrecogniseandrespecttheprofessionalobligationsofitsworkers,andsupportandresourceitsworkerstomeetthoseobligations.See3.5.38-40.

2.5.4 AcentremustparticipateinanymandatorymeetingsandtrainingandinductionactivitiesheldbythePIICommitteeorthePIINetwork.

2.6 Insurance,notificationsandclaims SeegenerallyCh4.

2.6.1 Acentremusthaveprofessionalindemnityinsurancethatsatisfiestherequirementsoftherelevantstateandterritorylegalprofessionregulatorybodiesandthetermsofrelevantlegislationinthejurisdiction.See4.9.AcentremayobtainsuchinsurancebyparticipatingintheNationalPIIScheme.SeeCh4.

2.6.2 Acentremustlistand/ordescribeallitsservicesinitsPIIapplication,includinganyspecialist,auspicedorhostedproject,programorservice(see7.10),branchoffice,clinicallegaleducationprogram(see7.12),DutyLawyerService(see7.13)orserviceprovidedpursuanttocontract,forexamplewithaLegalAidCommission(see7.14).

2.6.3 AcentreparticipatingintheNationalPIISchememustcooperatefullyintheinsurancerenewalprocessbycompletingalldetailsontheappropriaterenewalform,includingprovidinginformationonanyservicesoractivitiesperformedbythecentreoutsidethescopeofthe‘BusinessActivities’describedinthe‘Proposal’form(whichisinlinewiththe‘ProfessionalServices’asdefinedinthePIIPolicySchedule),anddisclosinganyneworalteredrelevantinformation.Seeinparticular4.6.21-24.

2.6.4 TobecoveredbythePolicy,acentremustnotifythebroker/insurerinwritingassoonaspossibleandwhilethePolicyisinforceaboutaclaimorlossandaboutapotentialclaim(anyfact/sorcircumstance/sthatmightgiverisetoaclaim).Seeinparticular4.7.Whereverpossiblethesestepsshouldbetakeninthefollowingorder:

• talktothestateorterritoryPIIrepresentativeorifthatpersoncannotbecontactedandthematterisurgent,toanotherstateorterritoryPIIrepresentative


9


• discusspossiblenotificationwiththeinsurancebroker

• notifythebrokerwhowillforwardthenotificationtotheinsurer;or,ifnotifyingtheinsurerdirectly(forexample,becauseofurgency)sendacopyofthenotificationtothebroker.

AcopyofanynotificationmustbegiventothePIIrepresentative.ThePIIrepresentativemustalsobeadvisedoftheoutcomeofanynotification/claimthatismade.

2.6.5 Acentremustnotmakeanyadmissionsofliability.See4.7.18-20,and7.2.9-10.

2.7 Legalprofessionregulation SeegenerallyCh5.

2.7.1 Acentremustcomplywiththerequirementsofthelegalprofessionlawsoperatingintheirstateorterritory,orinallstateandterritoriesinwhichtheirstaffpractise.

2.7.2 Anypersonpractisingasalawyeratacentremustbeadmittedtopracticeandhaveacurrentpractisingcertificate.Whererelevant,theymustensurethattheyareontherelevantrollsofcourt.See5.5.1-3.

2.7.3 Wherethelawofastateorterritoryprovidesfor‘supervised’practiceandalawyerinacentreissubjecttoaconditionofsupervisedpractice,theResponsiblePersonatthecentremustensurethatreasonablesupervisionisprovided.See5.5.4-6,3.5.24and7.2.1-6.

2.8 trustmoney,controlledmoneyandtransitmoney2.8.1 Centresthatacceptmoneyfromoronbehalfofclients-ascontrolledmoniesor

ontrust-mustensurethatthereareadequate,appropriateandlegallycompliantproceduresfordealingwithandaccountingforit.Centresmustcomplywithallrequirementsoftheirstateorterritorylegalprofessionlawsandrulesoftheirlegalprofessionregulatorybodyinthisregard.See5.5.11.

2.8.2 Wherelegalprofessionlegislationinaparticularjurisdictionprovidesforthereceiptoftransitmoney,acentrereceivingtransitmoneymustdealwithitasrequiredbytherelevantlegislation.See5.5.12-14.

2.9 ImmigrationassistanceandregisteredMigrationagents2.9.1 Aperson,whetheralawyerornot,mustnotprovide‘immigrationassistance’

unlessthatpersonisaRegisteredMigrationAgent.See5.5.15.TheResponsiblePersonmustensurethattherequirementsoftheMigrationAct1958andassociatedregulationsaremet.

2.9.2 AcentreworkerorvolunteerwhoisaRegisteredMigrationAgentmustcomplywiththeMigrationAgentsRegistrationAuthority’scodeofconduct.See6.5.1.

2.10 Financialcounsellors Anypersonpractisingasafinancialcounselloratacentre,whetherasan

employedworkerorvolunteer,mustcomplywiththerelevantprofessionalassociationcodeoperatinginthejurisdiction,beaccreditedbytherelevantstateorterritoryassociation,meettheexemptionrequirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andmeettheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).See6.3.

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2.11 Socialworkersandotherprofessionals2.11.1 Acentreworkerorvolunteerwhoisaqualifiedsocialworkerandisamemberof

theAustralianAssociationofSocialWorkers(AASW)mustcomplywiththecodessetoutbytheAASW.See6.4.

2.11.2 Othersimilarlyqualifiedworkersmustalsocomplywithrelevantindustrycodeswheretheyholdmembershipofprofessionalassociations.See6.5.

2.12 Dutyofconfidentiality2.12.1 Centreworkers,volunteers,studentsandManagementCommitteemembers

mustcomplywithallethical,contractualandotherlegaldutiesofconfidentiality.See6.6.Thesedutiesareowedtoallofthecentre’sclientsincludingthoseofanyspecialist,auspicedorhostedservice/project(see7.10)andbranchofficeofthecentre.

2.12.2 Anystatutoryorcontractualrequirementsfortheprivacyprotectionofpersonalinformationmustbemet.See8.19.

2.13 Conflictsofinterest SeegenerallyCh6.

2.13.1 Acentremustavoidconflictsofinterest–realand,asfarasispracticable,potentialandperceived.

2.13.2 Acentremusthaveapolicydealingwithconflictsofinterestandconflictchecking.Thepolicymustcoveranybranchofficeandanyspecialist,auspicedorhostedserviceofthecentre.SeeCh6generallyandinparticular6.7.6-7,8.2andseeappendixGforanexample.

2.13.3 Allstaff(employedandvolunteer)andmanagementmustbetrainedtoidentifypotentialandactualconflictsofinterestandaboutunderstandingandapplyingtheircentre’sconflictofinterestpolicyandprocedures.Thesubjectmustbecoveredduringtheorientationofnewstaff(employedandvolunteer)andManagementCommitteememberswhowillhaveanycontactwithclients,andreinforcedregularly.Seeinparticular6.7.7,6.7.20-27,6.7.50,and8.7.9-10.

2.13.4 AcentremustconductafullconflictofinterestcheckbeforegivingLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orinanyotherform)orprovidinganyotherDiscreteorOngoingAssistanceServiceswherethereisasolicitor/clientrelationship.SeeCh6generallyandinparticular6.7.46-73.Afullconflictcheckrequirestheclient’sname/sandthename/softheotherpartyorpartiestobecheckedinthecentre’sclientdatabase/s.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired.Thesearesetoutat6.7.58-69.

Seealso8.2,8.3.7-8andappendixG.

2.13.5 Conflictschecksmustcoverthewholeofacentre’sserviceoperationsincludingwithineachandacrossallbranchofficesandallspecialist,auspicedorhostedprojects,programsorservices(see7.10)ifthoseoffices,services,programsorprojectseverprovideServicestoIndividuals(otherthanInformationorReferral).Seeinparticular6.7.49.

2.13.6 Ifaconflictofinterestisdiscovered,theperson/clientshouldbetoldthatthecentreisunabletoprovideaserviceandtheyshouldbereferredappropriately.Thecentremustbemindfulofthesolicitor’sdutyofprotectingclientconfidentiality,theclient’srighttoclientlegalprivilegeandprivacyobligations,asapplicable.See6.7.73.



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2.13.7 Acentremustrecordoneveryclientfileandadvicerecordthataconflictcheckhasbeendone.Inthesituationsetoutat6.7.67,whereaconflictcheckwasnotdoneofthenameoftheotherpartybeforeprovidingtheadvice,thatfactandthereason/sforitshouldbenoted.See6.7.71-72and8.3.7-8.

2.13.8 Acentrethatisa‘program’withinamulti-programagencymusthavespecificprocedurestoavoidandmanageconflictsofinterestandinparticularmusthave:an‘informationbarrier’thatcomplieswiththelegalprofessionlawsoperatingintherelevantstateorterritoryandthathasbeenapprovedbytherelevantstateorterritoryCLCassociationinconsultationwiththePIIrepresentativeandtheNationalPIINetwork;awrittenpolicyavailabletoclientsthatsupportsthisinformationbarrier;inclusionofkeyaspectsofthepolicyinstaffemploymentcontracts;regulartrainingonthepolicy;regularreviewoftheeffectivenessofthepolicyanditsimplementationbyanominatedstaffmember.Inaddition,staffcanonlybetransferredbetweenprogramsundercontrolledcircumstances.Inordertoavoidperceivedconflictsofinterest,thecentremusthaveadistinctivenameanditsowndistinctiveletterheadandbrandingonothercommunicationsthatclearlydifferentiatesthecentrefromtheotherprogramsoftheagency.See6.7.74-79,andthesampleInformationBarrierPolicyatappendixK.

2.13.9 Where,inthecourseofgivingInformationorReferraloranotherservicethatisprovidedunderasolicitor/clientrelationship,toaperson,acentreobtainsconfidentialinformationofakindortoadegreethatwouldorshouldprecludethecentrefromadvisingoractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter,theclient/personandotherpartyinformationmustbeenteredintothecentre’sdatabaseusedforconflictchecking.Seeinparticular6.7.20-22.

2.14 practicesupervision:general2.14.1 TheResponsiblePersonmustensurethatreasonableandappropriatesupervision

isprovidedtoallworkersandvolunteersprovidingservicesforthecentre.See7.2,3.5.24and5.5.4-6.Thisincludesappropriatesupervisionofworkersandvolunteersprovidingservicesinanybranchofficeandanyspecialist,auspicedorhostedserviceorproject:see7.10.

2.14.2 AResponsiblePersonmaydelegatesomeoralloftheirsupervisoryresponsibilitytooneormoreNominatedPersonswhohaveappropriatequalifications,expertiseandexperience.See7.2and3.5.29-33.

2.14.3 IftheResponsiblePersonorothersupervisorisonleave,orresignsfromthecentreandthereisnoimmediatereplacement,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedsupervisor.Seeinparticular7.2.6and3.5.25-26.

2.14.4 CheckingDiscreteassistance(otherthanInformationandreferral)andOngoingassistanceServices

2.14.4.1 TheResponsiblePersonoraNominatedPersonmustcheckallLegalAdviceandotherDiscreteandOngoingAssistanceServices(otherthanInformationorReferrals)performedbyvolunteerlawyersandvolunteernon-lawyersincludinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.WhereavolunteerisaNominatedPerson,theirlegalornon-legalservicesmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritory



12

PIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.Checkingmustbedoneassoonaspossibleafterthedeliveryoftheservice.

2.14.4.2 TheResponsiblePersonoraNominatedPersonmustcheck,asaminimum,asignificantproportionofNon-LegalSupportServicesperformedbyemployednon-lawyers(includingsecondednon-lawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheworkofaNominatedPersonwhoisnotalawyer.

2.14.4.3 TheResponsiblePersonoraNominatedPersonmustcheck,asaminimum,asampleofalltypesofServicesperformedbyemployedlawyers(includingsecondedlawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject,onaregular,frequentandrandombasis.ThisincludestheworkoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.

Seeinparticular7.2.7-8,7.2.11,7.10,7.11and3.5.24.

2.14.5 Ifitbecomesapparentthatincorrectorincompleteadvicehasbeengiventoaclient,theServiceProviderresponsiblemustbealerted,theclientmustbeadvisedofthecorrectadviceandthenewadvicemustberecorded.TheResponsiblePersonshouldconsiderwhetherthepersonmaypossiblyhaveaclaimagainstthecentrebearinginmindtheimperativenottoadmitliabilityunlesstheyhavetheconsentoftheinsurer:see7.2.9-10and4.7.18-20.

2.14.6 AnyemployeeorvolunteerprovidingLegalAdviceorotherlegalservicesorNon-LegalSupportServicesmusthavetimelyaccesstotheResponsiblePersonortheappropriateNominatedPerson.See7.2.11.

2.14.7 Filemanagement:forOngoingServices,theday-to-daymanagementorsupervisionofeachfilemustbetheresponsibilityofanemployedworker.See7.2.12.

2.14.8 Filereview:acentremusthaveacomprehensiveandaccessiblefilereviewsystemwhichmustensurethatallfilesareregularlyreviewedbothbytheresponsiblelawyerorotherServiceProviderandbytheResponsiblePersonoraNominatedPerson.Thesystemmustrecordineachfileandinthesystemitself:thereviewdate,thelimitationdatewithappropriateforewarnings,anyothercriticaldates,theemployedworkerresponsibleforthefileandfilereviewsconducted.Thesystemmustensurethatactiontobetakeninamatteronaparticulardate,includingfilereview,isnotmissedduetotheabsenceofaparticularperson.Seedetailat7.4andsee8.8.5.

2.14.9 electroniccommunicationspolicy:acentremusthaveapolicythatdealswithuseofelectroniccommunicationsthatmust,asaminimum,setoutthedisclaimertobeused,theprocedureforrespondingtoemailinquiriesandrequestsforadvice,thetreatmentofconfidentialinformation,andtherequirementthatemailsrelatingtoclientsreceivingongoingassistancebeprintedoutandplacedintheirfileand/orstoredontheirelectronicfile.IfthecentreprovidesAdvicebyemail,theelectroniccommunicationspolicyshouldincorporatetherelevantMandatoryStandardsintheGuidethatapplytothegivingofAdvice,forexample,dataentry,conflictofinterestchecks,fileopening,checkingadvice.TheResponsiblePersonorNominatedPerson(ifany)mustensurethatthereisanelectroniccommunicationspolicythatstaffandvolunteersknowaboutitandcheckthatitisbeingfollowed.See7.5,8.5.8-10andappendixF.



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2.14.10 CLe,Ceandmaterials:theResponsiblePersonorNominatedPerson(ifany)mustcheckanybrochures,publicationsorotherCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsproducedbyacentre(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)foraccuracyandlegalriskpriortotheirdistribution:see7.6and7.9-10.TheResponsiblePersonorNominatedPersonmustensurethatthecontentofCLEandCEsessionsisaccurateandcomplieswithrelevantlaws(forexample,defamation).Materialsmustcontainadisclaimer.WorkersconductingCLEsessionsmustnotgiveLegalAdviceduringthecourseofthosesessionsandmustmakeclearthatinformationprovidedinthesessionisgenerallegalinformationandnotLegalAdvice.See7.6.

2.14.11 CheckingLawandLegalServicereformorpolicyreformmaterials:theResponsiblePersonorNominatedPerson(ifany)mustcheckanyLawandLegalServiceReformorpolicyreformmaterialsproducedbythecentre,(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)priortopublicationordistributiontoensuretheyarelegallyaccurateandanyriskofdefamationhasbeenconsidered.See7.7and7.9-10.

2.14.12 Checkingmediastatements:theResponsiblePersonorNominatedPerson(ifany)mustcheckallmediareleasesandstatementspriortotheirpublicationandmakesurethatworkerswhomayspeaktothemediaareawareofissuesarounddefamationlaws.See7.8and7.9-10.

2.14.13 Branchoffices:centresoperatingbranchofficesmustensurethattheycomplywithrelevantlegalprofessionlawsandthatstaffinbranchofficesaresuitablyqualified,supervisedandtrainedinandcomplywith,anyriskmanagementprocessesandpoliciesincludingthisGuide.See7.2.18.

2.14.14 Workloads:theManagementCommitteeandResponsiblePersonmustensurethatcentresdonottakeonmoreworkthanstaffcanreasonablyandsafelyhandle,thatongoingcaseworkandfileloadiskeptwithinreasonablelimitsandthatworkloadsaremonitoredtoensuretheyarekeptatamanageablelevelandthatadequatesupervisioncanbeandisbeingprovided.See7.3.

2.14.15 Volunteers:allnewvolunteersmustparticipateinatrainingandorientationprogramandreceiveanorientationpackagethatincludesinformationaboutthisGuideanditsrequirementsandhowtoaccessit,andaboutrelevantpoliciesandproceduresofthecentre(includingtheConflictofInterestpolicy),includingofficeprocedures,andserviceintakeguidelines.See7.11.Seealso7.12,6.7.7,6.7.29-37,6.7.80-82,and7.5.

2.15 Specialist,auspicedorhostedservices,programsandprojectsandauspicedcentres

Seegenerally7.10andsee3.5.24.

2.15.1 Aspecialist,auspicedorhostedservice,programorprojectthatisinalegalsensepartofandultimatelycontrolledbythecentremustcomplywiththeMandatoryStandardsofthisGuideandbesupervisedbythecentre’sResponsiblePersonand/orNominatedPerson/s(ifany).Seediscussionat7.10.

2.15.2 Anyclientservicesprovidedbytheservice/projectmustbeopenedasarecordofthecentre,theservice/projectmustusecentreletterhead(whichmayhaveasubheadinginthenameoftheservice/project),service/projectworkersmustsigncorrespondenceovertheirstatedpositionandtheservice/projectmustbeincludedintheannualcross-checkofthecentre.



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2.15.3 Whereacentreisanauspicedserviceofalargerentity,specificproceduresmustbeputinplacetoavoidandmanageconflictsofinterest.See2.13.8aboveandsee6.7.74-79.

2.16 Guidelinesaboutcentrework Eachcentremusthavewrittenguidelinesaboutthetypeofwork–Servicesfor

Individuals(forexample,LegalAdvice,LegalTask,Non-LegalSupportServices,RepresentationServices)andServicesfortheCommunity(forexample,CLEandCEandLawandLegalServiceReform)theywillandwillnottakeon.See3.5.37and8.1.

2.17 Intake-recordsandprocedures2.17.1 Thisparagraphandparagraph2.17.2donotrefertocontactwithapersonthat

onlyentailsprovidingInformationand/orReferral.Thefollowinginformationmustberecordedforallpotentialoractualclients2atthepointofinitialcontact:client’sname(includingalternativespellings/othernamesusedetc),dateofbirth,contactdetails,dateinstructionsreceived,typeofmatter,indicationthataconflictcheckhasbeenperformedand,unlesswithintheverylimitedexceptionsat6.7.58-68,name/sofotherparties.See8.3.

2.17.2 Theremustbeauniqueclientidentifierforeveryclient.Whereafileisopeneditmusthaveauniquefilenumber.AllLegalAdviceandotherServicerecordsandfilesmustbereadilyretrievable.Centresmusthaveacentralfileregisterandafilingsystemthatallowsallclientrecordstobelocatedbynameandnumberandtheirstatus(open/closed)recorded.See8.3.11and8.10.

2.17.3 CLSIS,CLaSSandotherdatasystems:FortheperiodthatthecentreisusingtheCommunityLegalServicesInformationSystem(CLSIS)orCommunityLegalAssistanceServicesSystem(CLASS),itmustimplementtheaccessandusagestandardsandprotocols,includingdatasecurityanddataprotectionmeasures,requiredforthatsystem.CentresmustensurethatworkersandvolunteersreceiveappropriateCLASStraining(duetoitsimminentdecommissioning,CLSIStraininghasceased).CentresthatusedatabasesotherthanCLASSmustalsoimplementtheusagestandardsanddataprotectionmeasuresdescribedinthisGuide.See8.7.

2.18 Instructions Thisparagraphdoesnotrefertocontactwithapersonthatonlyentailsproviding

Informationand/orReferral,oranyotherDiscreteAssistancewherethereisnotandwillnotbeasolicitor/clientrelationship.Alllegalandrelatedproblemsmustberecordedlegiblyandinsufficientdetailsothatthenatureofthematterandclient’senquiryisclear.CopiesofrelevantdocumentsshouldbeattachedtotheLegalAdviceorotherServicerecord.See8.4.

2.19 LegaladviceandotherDiscreteandOngoingassistanceServices

See8.5and8.6.

2.19.1 ArecordofallLegalAdvice,LegalTask,Non-LegalSupportServicesand,whereaReferralorotherInformationisgivenatthesameoccasion,arecordofthoseServices,mustbenotedinsufficientdetailonthematterfileoradvicerecord/

2WhereyourcentreisprovidingLegalAdviceorotherServicestoacentrevolunteeroremployee,ortoanothercentre,therecipientoftheLegalAdviceorotherServiceswillbeconsidereda‘client’ifitwouldbesoregardedifitwasanindividual.Fullintakeprocedureswillneedtobefollowedinsuchcircumstancesastheywouldbewithanyotherclient,bothforcompliancewiththisGuideandtoensuretheinsurancecoverisnotjeopardised.See4.6.30-31and6.7.88



15

sheet,thenameofthepersongivingtheLegalAdviceorotherServicemustberecordedandtherecordmustbesignedanddatedbythepersongivingtheLegalAdviceorotherService.ElectronicrecordsmustclearlyrecordwhoprovidedtheLegalAdviceorotherServiceandthedateitwasprovided.See8.5.3and8.5.7.

2.19.2 Clientsmustbeadvisedofallrelevantlimitationdatesorlimitationperiodsandthisadvicemustberecorded.See8.5.4-6.

2.19.3 TheprofessionalbasisoftheLegalAdviceorotherServicemustbedisclosedandpeoplewhoarenotlegallyqualifiedorwhoarelegallyqualifiedbutnotpresentlyholdingapractisingcertificatemustnotholdthemselvesoutasalawyerorapractisinglawyer,andmustactivelytakestepstoensurethataclientofthecentredoesnotinferthattheyarealawyer,orapractisinglawyer.See8.5.1-2.

2.19.4 emailadviceandadvicebyotherformsofelectroniccommunication:ifacentregivesAdvicebyemailoranyotherformofelectroniccommunicationtheMandatoryStandardsinthisGuideapplytogivingtheAdviceinthesamewayastoAdviceinperson,bytelephoneorbywrittencommunication.Thismustbereflectedinthecentre’selectroniccommunicationspolicy.See7.5and8.5.8-10.

2.19.5 advicetothirdparties

See8.5.11-15and6.7.23-26.

2.19.5.1 AcentremustnotprovideAdvicetoathirdparty(thatis,toapersonwhorequestsadviceonbehalfofanotherperson)unlessthereareexceptionalcircumstances,forexample:

• itisapersonwhoclearlyactswiththeclient’sconsentorwithcleardelegatedauthorityfromanorganisation

• itisapersonrepresentingtheclientinaprofessionalcapacity,forexample,asolicitor,asocialworker,welfareworkerand/orfinancialcounsellortheclientisincapacitatedorhospitalised

• theclientlacksthecapacitytogiveinstructions,or

• apowerofattorneyorguardianshipisheld(andthecentrehassightedthesedocuments).

2.19.5.2 BeforeprovidingAdvicetoathirdparty,theadvisorshouldascertainwhetheritispossibletocommunicatedirectlywiththeultimateclient.Ifitisnot,thereshouldbesomerecordedevidencethattheadvisorhasusedtheirbestendeavoursinthecircumstancestoconfirmthatthethirdpartyisactinginthebestinterestsoftheclientandthatthereisnoreasonablebasisforthinkingthatthereisaconflictofinterestbetweenthethirdpartyandtheclient.

2.19.5.3 IfthecentreintendstoprovideAdvice,theultimateclient’snameandthename/sofotherpartiesmustbeobtainedsoaconflictcheckcanbeperformedanddetailsenteredontherelevantdatabase.

2.19.6 retentionanddestructionofadvicerecords:centresmustkeepeveryrecordofanAdviceandotherDiscreteorOngoingAssistancewheretherehasbeenasolicitor/clientrelationshipforatleast7yearsfromthedatetheServicewasprovided.Generallyafterthattimetherecordmaybedestroyed,withoutnoticetotheclient.However,beforedoingsocentresshouldconsiderwhetherinaparticularinstancetherearecircumstanceswarrantingalongerperiodofretention.BeforedestroyinganydocumentsorcopiesofdocumentsattachedtoanAdviceorotherServicerecordacentremustconsiderwhetherthosedocumentsoughttobereturnedtotheclient,forexample,aretheyoriginalsand/oranyotherdocuments



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whichbelongtotheclientandtowhichtheclientisentitled.See8.5.16-18.(Inrelationtoretentionanddestructionofcaseworkfiles,see2.20.14belowand8.14.)

2.20 Files(paperandelectronicrecords)2.20.1 Centralfileregister:acentremusthave,maintainanduseacentralfileregisterin

someform.See8.3.11-12,and8.10.

2.20.2 Thecentralfileregistermustrecordwhenafilehasbeenopened(andsee2.17.2above)andclosed.See8.8.2,and8.13.1-2.

2.20.3 Aletterofengagementorclient/litigationagreementmustbeprovidedtotheclientincircumstanceswherethisisrequiredbylegalprofessionlegislationoperatingintherelevantjurisdiction.See8.8.3-4,andappendixJ.

2.20.4 recordkeyinformation

2.20.4.1 Thefollowinginformationmustberecordedprominentlyonoratthefront(forexample,insidethefrontcover)ofallfilesforOngoingAssistance:fullname,addressandtelephonenumber(ifany)ofclient;fullnameoftheotherparty;indicationthataconflictofinterestcheckhasbeendone;problemtype;filenumber;limitationdate(see8.8.5);othercriticaldates(ifany);reviewdates;nameofworkerresponsibleforfile.Centresshouldconsiderclientconfidentialitywhendeterminingwhatinformationwillappearontheoutsidecoverofafile.See8.8.6.

2.20.4.2 Thefollowinginformationmustberecordedinthefilewhenanewfileisopened:outlineoftheclient’sproblem;outlineoftheAdvicegiven(ifany);datefileopened;dateinstructionsfirstreceived;dateAdvicegiven(ifany).See8.8.7.

2.20.4.3 Centresmustcomplywithfilemanagementrequirementsofanyapplicablelegalprofessionlaws.See8.8.8.

2.20.5 Filenotesmustbemadeofalltelephoneorface-to-faceattendanceswiththeclientoranyotherpersonspokentoinrelationtothematter.Thesemustbeputonthefile.See8.8.9fordetails.

2.20.6 Communications:recordsmustbemadeandkeptofallincomingandoutgoingclient-relatedcallsandothercommunications.See8.8.10.

2.20.7 Documents:copiesofallcorrespondence,courtdocuments,andanyotherdocuments,andrecordsofanyadministrativeorfinancialrecordsincludingevidenceofdisbursementsmustbekeptonthehardcopyfileandelectronicrecordsmustbestoredinanelectronicfilededicatedtotheparticularclientmatter.See8.8.11-13.

2.20.8 Clientinformationsecurity:centresmustprotectclientconfidentialityandclientlegalprivilegebyensuringthatunauthorised(includinginadvertent)accessto,andunauthorisedimpartingof,clientinformationdoesnotoccur.Physicalandelectronicfilesmustbesecurelymaintained.Strongpasswordsshouldberequiredtoaccessanycomputeronacentre’snetworkordatasystem.Wheredataisretainedlocally,allcentredatamustbebackedupdailyorasfrequentlyaspossibleandatleastweekly.WherethecentreisusingCLASS,oranyothercloud-basedsystem,itmusthavesatisfieditselfthatthesystemhasabackupsystemorstorestheinformationinmorethanonesecurelocationinsideAustralia.Centresusingacloud-basedsystemareencouragedtoconsideralsomaintainingandrecordinglocalrecordswherepossible.Mobiledevices(forexample,smart‘phones,laptops)containingclientinformationshouldbestronglypasswordprotected.Portabledatastoragedevices(forexample,USBflashdrives)containingclientinformationshouldbesecurelymanagedandstored.See8.9and8.7.



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2.20.9 Filemovements:iffilesaretakenoutofthecentre(forexample,tocourt)thecentreandrelevantcentreworkermusttakeallreasonableandpracticablestepstomaintainthesecurityofthefile/s,tominimisetheriskofafilebeingdamagedorlostandtomaintainclientconfidentiality.See8.10.

2.20.10 Fileownership:centrestaffandvolunteersdonotownclientfilesandmustnottreatthemastheirproperty.Whentheemploymentorvolunteerrelationshipends,thefilesremainwiththecentreormustbereturnedimmediately.See8.12.

2.20.11 Ifathirdparty(includingafunder)seeksaccesstoafile,theResponsiblePersonorthecentremust,absenttheclient’sconsent,claimclientlegalprivilegeonbehalfoftheclient.See8.12,and8.15.

2.20.12 Wills:ifacentreretainsanoriginalwillofaclient,itmustnotbekeptonthefilebutinasecureplacewithaWills/SafeCustodyRegister(howeverdescribed)thatcomplieswithapplicablelegalprofessionlegislation.See8.14.10.

2.20.13 Closingfiles:beforeafileisclosed,itmustbereviewedbytheResponsiblePersonoraNominatedPerson,theclientmustbegivenwrittenadviceasdescribedin8.13.1andtheadministrativeprocessesdescribedat8.13.1-2mustbecompleted.

2.20.14 archivinganddestruction

2.20.14.1 Closedfiles(hardcopy)mustbestoredinasecureenvironmentawayfrompublicorunauthorisedaccess,includinginadvertentaccess.Theyshouldbearchivedinsuchawayastoallownecessaryaccess.See8.14.1.

2.20.14.2 Filesmustbekeptfor(atleast)theperiodprescribedbyapplicablelegislation(usually7yearsfromthedatethefileisclosed,howevertheResponsiblePersonshouldbefamiliarwiththetypesoflegalmattersthatrequirelongerperiods,andtheprescribedperiods).Whereafileisnottobedestroyedthisshouldbeclearlymarkedonthefile.See8.14.(See8.5.16-18inrelationtotheretentionanddestructionofAdvicerecords.)

2.20.14.3 Clientfilesthatareinelectronicformmustberetainedfor(atleast)theperiodprescribedbyrelevantlegislation.CLSISandCLASSrecordsmustberetainedindefinitelyandnotdeletedfromtherespectivedatabase.See8.14.2-5.

2.20.14.4 Acentremustcomplywithanylegislativerequirementsintheirjurisdictioninrelationtoarchivinganddestructionoffilesincludingrequirementsaboutobtainingclientconsent.See8.14.

2.21 Cross-checking SeeCh9andappendixD.

2.21.1 Acentremustparticipateinanannualcross-checkprocedure.Thisincludesacross-checkofanybranchofficeandanyspecialist,auspicedorhostedservice,programorprojectthatisinalegalsensepartofandcontrolledbythecentre.

2.21.2 Anycentreworkercarryingoutacross-checkmustsignanundertakingthatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialaspartofthePIIprocess.

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CHAPTER 3

riskManagementforCommunityLegalCentresInthischapter:3.1 WhatisCLCpractice? 19

3.2 Whatisriskmanagement? 19

3.3 Whymanagerisk? 19

3.4 theNationalpIISchemeanditsriskManagementStrategies 20

3.5 StakeholdersandroleswithintheNationalpIIScheme 20 3.5.2 NACLC 20

3.5.6 TheNationalPIINetwork 21

3.5.9 StateandterritoryCLCAssociations 22

3.5.11 PIIRepresentative 23

3.5.12 StateandterritoryPIIcommittees 23

3.5.16 Additionalrolesatstateorterritorylevel 24

3.5.21 ResponsiblePerson 25

3.5.29 NominatedPerson 29

3.5.34 Cross-checker 30

3.5.35 Thecentre 30

3.5.38 Relationshipbetweencentremanagementandlawyers 31

3.5.41 Clientsandpotentialclients 32

3.5.42 Fundingbodies 32

3.6 Decision-makinganddisputeresolution 32 3.6.1 Decision-makingprinciples 32

3.6.7 Disputeresolution 34

3.7 Mergersandamalgamations 27 3.7.3 Insurance 27

3.7.10 Changingthelegalentityandnotifyingthestatelegal 39 professionregulator

3.7.11 Databasemergersandconflictsofinterest 39

3.8 Centreclosures 41 3.8.2 Dealingwithopenandclosedfiles 41

3.8.8 PIIrun-offcover 42

3.8.11 Noticetolegalprofessionregulatorybodies 42

3.8.13 Otherissues 42

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3.1 WhatisCLCpractice?3.1.1 InthisGuide,wehaveusedtheterm‘practice’tocoverbothlegalandnon-legal

practiceandalltherelatedservicesthatthecentremayprovide.Thesemayinclude:

• areasofcentrepracticethatdonotinvolveLegalAdviceandRepresentationServices

• LawandLegalServicesReformorpolicyreformsubmissionsandcampaigns

• CommunityLegalEducationResourcesandActivities

• relatedmediareleases.

ThisdiversityreflectsthebroadandholisticnatureofCLCwork,andthereforemustalsobeseenastherangeofactivitiesthatcouldgiverisetoliability,andarethe‘ProfessionalServices’forwhichNACLChasnegotiateditsnationalprofessionalindemnityinsuranceforcentres.

3.1.2 Whilemanyoftheissuesarisingareinterconnectedandinterrelatedtheyaredealtwithunderchapterheadingsthatrepresentkeyissuesforcentres.

3.2 Whatisriskmanagement?3.2.1 Riskmanagementistheidentification,assessment,andprioritisationofrisks

followedbycoordinatedandeconomicalapplicationofresourcestominimise,monitor,andcontroltheprobabilityand/orimpactofunfortunateevents.ItisthesubjectofseveralinternationalstandardsincludingISO/DIS31000(2009)Riskmanagement–Principlesandguidelines.

3.2.2 Riskmanagementfallsintotwokeyareas:

• riskassessment

• operationalriskmanagement.

TheGuideisprimarilyaboutoperationalriskmanagement,althoughofcourseallcentresandNACLCandtheNationalPIINetworkasoperatorsoftheNationalPIISchemeitself,areconcernedwithriskassessment.

3.3 Whymanagerisk?3.3.1 Thisisagoodquestionwithanumberofsimpleanswers:

• toprotectclientsandotherswhocouldbedamagedbycentres’operations

• toprotectcentresandtheirstaffandvolunteers

• toprotecttheinterestsandreputationsofcommunitylegalcentres

• toprotecttheinterestsofstakeholdersandpartners,suchasfundingbodiesandsupporters.

3.3.2 Themoreacentrethinksaboutpossiblerisksandhowtoavoidthemwhenplanninganddeliveringitsservices,thelesslikelyitisthatthoseriskswillberealisedandtheclientservicewillbebetterquality.

3.3.3 Ofcourse,centreswillalsowanttoprotectthemselvesandtheirstaff.Centreswillnotwanttoincurliabilitythroughmistakesorpotentiallyriskyactivitiesandtheywillwanttobecoveredbytheirinsurancepoliciesbecausemistakesandaccidentsdohappen.Insuredcentresareexpectedtodoeverythingtheycantoavoidandmitigaterisks.TheNationalPIIPolicysays:

R I S K M A N AG E M E N T F O R CO M M U N I T Y L E GA L C E N T R E S

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Loss PreventionYou shall, as a condition to Cover under this Policy, take all reasonable steps to prevent any act, error, omission or circumstance which may cause or contribute to any Claim or loss which may be Covered under this Policy.

3.3.4 It is important to understand that something going wrong or an incident being mishandled at one centre can have an adverse effect on other centres and even on the whole sector. An increase in insurance premiums is one possible consequence. Unfavourable media and political comment or consequence can be another that has the potential to adversely reflect on and affect the whole sector.

3.4 The National PII Scheme and its risk management strategies 3.4.1 The National PII Scheme’s risk management strategies include:

• setting and assessing centres’ compliance against minimum operational and organisational risk management Mandatory Standards, and

• the publication of this Guide which lists the Mandatory Standards but is also an organisational development and quality assurance and improvement tool with its optional but recommended additional good practices that can further improve a centre’s legal practice and related services risk management.

3.4.2 In short, centres are encouraged to comply with all aspects of the Guide. Some aspects such as attendance at meetings and participation in cross-checks are monitored by state and territory CLC associations and state and territory PII representatives. The good practice aspects are monitored in part by the cross-checks but primarily by the centre itself through the ongoing processes contained in the Guide. This is further supported through the NAS process, whereby improvement actions are included in their agreed Improvement Plans developed as part of their participation in the NAS.

3.5 Stakeholders and roles within the National PII Scheme3.5.1 There are a multitude of stakeholders with an interest in centre practice risk

management, including:

• clients and potential clients of centres

• individual centres

• the CLC sector and the legal assistance sector as a whole

• funding bodies

• state and territory associations of CLCs

• NACLC

Those that operate within the National PII Scheme each have their own role and responsibilities. It is important to understand each of the roles in the context of the national CLC sector and the National PII Scheme’s framework. It is also important that the levels of accountability within each role are well understood.

NACLC3.5.2 NACLC is the national peak body for CLCs in Australia. NACLC is the coordinator

and principal policyholder of the NACLC National PII Policy and the PII Scheme. NACLC’s purpose is to assist disadvantaged and marginalised people obtain access to legal services by, among other things, supporting centres to provide

R I S k M A N AG e M e N T f o R Co M M U N I T y L e GA L C e N T R e S


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qualityservices.Itfostersgoodpracticeandcontinuousimprovementamongcentresandplaysaleadershiproleinpromotingandprotectingtheinterestsofcentres.NACLC’smembersarethestateandterritoryCLCassociations.NACLCisaregisteredcharity,andacompanylimitedbyguarantee,governedbyaBoardofDirectors.NACLCalsohasanAdvisoryCouncil,whichismadeupofrepresentativesappointedbythestateandterritoryassociationsofCLCs,anAboriginalorTorresStraitIslanderwomanandman,andmayalsoincludeadditionalpeople.

Role

3.5.3 InconsultationwithitsmemberassociationsandtheCLCsector,NACLCleadsthedevelopmentandmaintenanceofgood-practicenationalriskmanagementpoliciesandstrategiesthatworkeffectivelyforcentresandtheirclients.

3.5.4 NACLChasoverallresponsibilityandcontroloftheNationalPIIScheme,thatroleincludesresponsibilityfor:

• negotiationofthetermsofthePolicywiththebrokerandtheinsurer,andfortheongoingadministrationofthePolicywiththebroker

• negotiationandpaymentofthepremium

• seekingcontributiontothecostofthePolicyfromgovernmentorotherpossibleappropriatesources

• promotinganationallyconsistentapproachtoriskmanagementandtheapplicationofthisGuide

• reviewing,improving,updatingandamendingthisGuideinconsultationwiththeNationalPIINetwork

• decisionstoincludeorexcludeacentrefromtheNationalPIISchemeandcoverunderthePolicy,takingintoaccounttherecommendationsandadviceoftheNationalPIINetworkorotherbases(forexample,failuretosatisfactorilycomplywiththeNACLCAccreditationCriteriaundertheNAS,orbreachofCLCassociationmembershiprules)

• decisionsinrelationtofinancialexpenditureandadministration,orthathaveormayhaveafinancialeffectontheSchemeoronNACLC

• decisionsthatrequireorhaveaneffectonNACLCresources

• decisionsaroundmajorpolicyissuesordirectionsoftheNationalPIIScheme

• makingdecisionsaspartofthedisputeresolutionprocedure(see3.6)

• decisionsasrequiredonimportantquestionsofinterpretationoftheGuideorthePIIPolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide

• maintainingandoperatingtheExcessFund(see4.4.13-18).

Accountability

3.5.5 NACLCisaccountablethroughitsBoardtoitsmembers–thestateandterritoryassociationsofCLCs.

theNationalpIINetwork3.5.6 TheNationalPIINetwork(sometimesreferredtoastheNationalPIICommittee)is

oneofthemajornationalnetworksofcentressupportedbyNACLC.TheNationalPIINetworkcomprisesaPIIrepresentativefromeachstateandterritory,appointed



22

orelectedbytheirrespectiveassociations(see3.5.11),andaNACLCstaffmember.Thequorumfordecision-makingis4members.DecisionscanbemadebyasimplemajorityalthoughtheNetworkusesitsbestendeavourstoresolvemattersbyconsensus.

Role

3.5.7 TheroleoftheNationalPIINetworkincludes:

• reviewingandrecommendingimprovementstothePIIPolicy

• exercisingdelegatedauthorityfromNACLCtoadministertheNationalPIISchemeanddevelopandimplementormaintainitsprocessesanddocuments

• makingrecommendationsorreportstoNACLCandprovidingadviceasrequired/necessary

• promotinganationallyconsistentapproachtoriskmanagementandtheapplicationandimplementationofthisGuide

• considering,planningandimplementingpreventativestrategiesandactions,forexample,informationoreducationsessionsforcentrelawyersattheNationalCLCsConference,orrevisionoftheGuide

• consideringanddecidingdisputesandissuesbroughttoitbycentres,PIIrepresentativesand/orstateandterritoryPIIcommitteesand/orassociations:see3.6

• meetingaminimumoffourtimesayearincludingoneface-to-facemeetinginconjunctionwiththeNationalCLCsConference.

• Decisionsinvolvingfinancialexpenditure,useofNACLCresources,and/ormajorpolicyissuesordirections,areexcludedfromtheNationalPIINetwork’sdecision-makingrole(theyremainwiththeNACLCBoard).

Accountability

3.5.8 TheNationalPIINetworkisaccountabletoNACLCinregardtothefunctionsdelegatedtoitasoutlinedabove.Itsmembersarealsoaccountableinsomeaspectstotheirownstateorterritoryassociations.

StateandterritoryCLCassociations3.5.9 ThestateandterritoryassociationsofCLCsarethemembersofNACLCandplay

averysignificantroleinriskmanagement.TheysupportandcoordinateaspectsofthePIIcomplianceprocessandmayhavesomedecision-makingfunctionsasexplainedintheGuide.Stateandterritoryassociationsdeterminetheirrespectivemembership.ThestateCLCassociationsinVictoria,NSWandQueenslandhavealsobeenauthorisedbyNACLCasCertifiersundertheNASandaredecision-makersonapplicationsforCertificationorrenewalofCertificationforfullmembercentresintheirrespectivestates.

3.5.10 ResponsibilityforensuringthattheNationalPIISchemeisadministeredattheregionallevellieswiththestateandterritoryassociations.Howthisisdonevariestosomedegreefromregiontoregionalthoughtherearesomecommonelements.Thestateandterritoryassociationsalsoplayaroleindisputeresolution(see3.6)andhaveotherparticulardecision-makingresponsibilities:see3.5.23,3.5.25,and6.7.76.



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pIIrepresentative3.5.11 EachstateandterritoryCLCassociationmustappointornominateannuallyone

pIIrepresentativetobethatregion’srepresentativeontheNationalPIINetwork.(Astateorterritoryassociationmaychoosetohavetworepresentativestosharetheworkbuttheyoperateasalternatesinthecontextofdecision-making.)InpracticethatpersontendstobetheworkhorseintheadministrationoftheNationalPIISchemeintheirstateorterritory.CoreresponsibilitiesofthePIIrepresentativeinclude(butmaynotbelimitedto):

• representingtheparticipatingcentresfromtheirstateorterritoryontheNationalPIINetwork

• conveningaminimumoftwomeetingsoftheirstateorterritoryPIIcommitteeorsimilargroupeachyear

• coordinatingtheadministrationoftheNationalPIISchemeintheirstateorterritory

• discussingpotentialnotificationswithResponsiblePersons(ideally)beforeanotificationismadetotheinsurer

• providingguidancetocentresabouttheinsurancePolicy,theNationalPIISchemeandcompliancerequirementsandprocedures

• adoptingandpromotingintheirstateorterritoryanapproachtoriskmanagementandtheapplicationandimplementationofthisGuidethatis,asfarasispracticable(takingintoaccountanyregionaldifferencesinlaw),consistentwiththatofotherstatesandterritories

• bringing(whereverpracticablypossible,de-identified)informationtotheNationalPIINetworkaboutissuesarisingintheirstateorterritorythatinvolveimportantquestionsofinterpretationoftheGuideortheinsurancePolicyand/orthatraisethenationallyconsistentapplicationorimplementationoftheGuideand/orarerelevanttotheNationalPIISchemeand/ortoriskmanagementincentresnationally

• communicatinginformation,strategiesandpolicyfromtheNationalNetworkbacktotheircommitteeandparticipatingcentres

• raisingissuesofseriousconcernornon-compliancewiththePIIcommittee/stateorterritoryassociation/NationalPIINetworkandthroughtheNationalNetworkwithNACLC,asappropriate.

• Insomestatesandterritories,PIIrepresentativesalsotakeresponsibilityforanumberoftheactivitieslistedbelowin3.5.12-16.Forfurtherinformation,seeappendixe:PIIRepresentatives:Framework,RoleandResponsibilities,whichhasbeenpreparedtoguidePIIrepresentativesfortheirworkinthatrole.

StateandterritorypIIcommittees3.5.12 InsomestatesandterritoriestheworkofthePIIRepresentativeissupportedby

apIIcommittee(orotherworkinggroup)comprisinganumberofcentreworkerswhomeetregularly(usuallythiswillbeprincipalsolicitorsorNominatedPersons).Thearrangementsofthesegroupsvaryineachstateandterritory,andsomeofthestate-specificarrangements,includingtherolesandresponsibilitiesofthosegroups,aresetoutinappendixe.

3.5.13 Forexample,inWAandQueensland,thePIICommitteeiscomprisedofalltheResponsiblePersonsfromallcentresthataremembersoftherespectivestate



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CLCassociation,primarilyforinformation-sharingpurposes;andasmallersub-committeeofthatgroupprovidesmorein-depthsupporttothePIIRepresentative.

3.5.14 InVictoria,the‘PIIWorkingGroup’ismadeupofpeoplefromsixcentreswhosharetheworkloadofsupportingthePIIRepresentative.InNSWthePIICommitteecomprisestheResponsiblePerson(usuallytheprincipalsolicitor)ofeachcentreparticipatingintheNationalPIISchemeandtheCommittee’sconvenorwhoisthestateorterritoryPIIrepresentativeonthenationalPIINetwork,hasresponsibilityforperformingmostoftheduties.TheACTandNTdonothaveaseparatePIIcommitteeandtheirrespectiveCLCassociationsdealwithPIImattersasneeded.

3.5.15 Forconvenience,thisguideusestheterm‘PIIcommittee’toincludeallsuchstateandterritory-basedarrangements.

additionalrolesatstateorterritorylevel3.5.16 InadditiontothecoretasksperformedbythePIIrepresentative(seeabove),there

areanumberofothertasksthatneedtobeperformedatthestateorterritorylevelinorderfortheNationalPIISchemetoworkandforrisk-managementtobeenhancedwithincentres.Inpractice,PIIrepresentativesandPIIcommitteestakeday-to-dayresponsibilityfordealingwithlegalpracticeandriskmanagementissuesintheirregion’scentres,bothgenerallyandastheymayaffectorrelatetotheNationalPIIScheme.PIIrepresentativesandcommitteesalsohaveaproactiveandpreventativeroleinidentifyinganycommonareaswherecentreprocedurescouldbeimprovedtoenhanceriskminimisation,forexample,bytrainingorthesharingofgoodpractices.Whiletherecanbediversityamongstatesandterritoriesinhowparticulartasksareorganisedandallocated,ultimatelythestateorterritoryassociationmustensurethataparticularperson(forexample,convenor,PIIrepresentative,othercommitteemember)and/orentity(forexample,committee,stateassociation)istakingresponsibilityforeachofthefollowingroles:

• administeringandoverseeingtheimplementationoftheNationalPIISchemeinitsrespectivestateorterritory

• inconjunctionwiththestateorterritoryassociation,assessingnewcentresthatapplyforadmissionintotheNationalPIIScheme,andadvisingthestateorterritoryassociationandNACLCofitsassessmentinrelationtothecentre’seligibilityforinclusionintheNationalPIIScheme

• coordinatingtheannualcross-checkproceduretomonitoreachcentre’scompliancewiththeMandatoryStandardsintheGuide.(ThisprocedureiscarriedoutusingtheCross-checkQuestionnaireatappendixD,whichiscompletedbystaffandvolunteersfromeachcentre,assistedby‘cross-checkers’fromothercentres)

• assessingcross-checkquestionnaires

• incaseswhereacentrehasnotsufficientlycompliedwiththerequirementsintheGuide,identifyingandcommunicatingactionswhichthecentremusttakewithinaspecifiedtimeframetocomplyand/orputtinginplacemechanismsasaprerequisiteforthecentre’sinclusionintheScheme



25

• organising,oftenwiththesupportofthestateorterritoryassociation,forpracticalassistancetobeprovidedtoacentreneedingsupporttoestablishormaintainimprovedprocedures,forexample,settingup‘buddy’supportwhereanestablishedcentrewithmoreresourcesmayprovideassistanceandguidancetoanewerorlessresourcedorexperiencedlawyerorcentre

• inthemostseriouscaseswhereasystemicerrorisnotrectifiedovertime,ensuringthestateorterritoryassociationand/orthePIINetworkisawareofanyissuethatmayimpactuponthatcentre’songoinginclusionintheNationalPIIScheme.

Confidentiality

3.5.17 InformationthatisspecifictoaparticularcentrethatisacquiredorexchangedintheadministrationofthePIISchememustgenerallybetreatedasconfidentialtotherelevantPIIrepresentative,stateorterritoryPIIcommitteeorNationalPIINetworkorNACLC(asapplicable)andiscommunicatedonlyonaneed-to-knowbasis.Wherethereisseriousandongoingnon-compliancethePIIrepresentativeand/orcommitteemayhavetoraisethematteronaneed-to-knowbasiswiththestateorterritoryassociation,thePIINetworkand/orNACLC.

3.5.18 ThisappliesalsotodiscussionsbetweenaPIIrepresentativeandaResponsiblePersonaboutaparticularissueornotification/claim.

Accountability

3.5.19 ThePIIrepresentativeisaccountabletothestateandterritoryassociationthatappointedorelectedthemandalsototheNationalPIINetworkandNACLC.Seeappendixeforfurtherinformationontheframework,rolesandresponsibilitiesofPIIrepresentatives.

ConflictofinterestofPIIrepresentative

3.5.20 WherethePIIrepresentativeisfacedwithapossibleconflictofinterest,forexample,wheretheyareassistingwithanotificationthatinvolvestheirowncentreoracentrewheretheywerepreviouslyemployedorhadvolunteerinvolvement,theyshouldidentifytheiractualorpotentialconflictofinterest,andrefertherequestforadviceorassistancetoaPIIrepresentativeofanotherstateorterritory.

responsibleperson3.5.21 thisisaMandatoryStandard.Eachcentremustappoint,inwriting,atleastone

ResponsiblePersonandadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativeofthenameofthispersonandalsoofanychangeinthisappointmentwithin14daysofsuchchange.

3.5.22 TheResponsiblePersonisappointedbytheircentreusuallybyitsManagementCommitteeorBoard.SomelargercentresmaychoosetohavemorethanoneResponsiblePerson.

3.5.23 TheResponsiblePersonshouldbeacentreemployeewhoisalawyerwithaprincipalpractisingcertificateorunrestrictedpractisingcertificate(howeverdescribed).Injurisdictionswherethelegalprofessionlawsrequiretheappointmentofaprincipalsolicitor,thecentreshallappointthatpersonastheResponsiblePerson.Wherethereisnosuchlegislativerequirement,themanagingorseniorlawyeremployedbythecentreshouldbeappointedastheResponsiblePerson.Insomesituations,forexamplewhereacentreisunabletoemployaprincipalorseniorsolicitorforaperiodoratall,thecentrecannegotiatewith



26

theirstateorterritoryPIIrepresentative,togetherwiththestateorterritoryCLCassociation,toapproveanalternativearrangementthatcomplieswiththerelevantlegalprofessionlegislation.Forexample,wherenecessary,andprovidedapprovalisgiven,acentreemployeewhoisajuniorlawyerorasuitablyexperiencedandtrainedworkersuchasacoordinatorcouldbeappointedastheResponsiblePersonandaNominatedPerson(forexample,alawyerfromanothercentre,alocalfirmorfromthecentre’sManagementCommittee)isappointedtosupervisethepractice.(SeeNominatedPersonbelow).Thisisnotanoptimalarrangementandshouldbetemporary.

Role

3.5.24 TheroleoftheResponsiblePersonincludes:

• ensuringthattheGuideisimplementedwithinthecentreincludingwithinanyspecialist,auspicedorhostedservice,programorproject(see7.10)

• beingawareofandensuringcompliancewith,thecontractualrequirementsofthePIIPolicy

• developingandimplementingpoliciesandprocedurestogiveeffecttotheMandatoryStandardsintheGuideandsuchofitsrecommendedproceduresandgoodpracticesasarepracticablypossible,includingensuringsuitablebriefingandinformationisprovidedatinductionofstaffandvolunteers

• keepingincontactwiththePIIrepresentativetoensurethattheyareawareofanyprofessionalindemnityinsuranceandlegalpracticeriskmanagementissuespossiblyrelevanttoherorhiscentre,includingdiscussinganypotentialoractualnotifications

• liaisingwiththebroker/insurerinrelationtonotificationsandclaims

• takingoverallresponsibilityforthecentre’slegalandnon-legalpractice,includinginanyspecialist,auspicedorhostedservice,programorproject(see7.10)

• determininganappropriate,reasonablelevelofsupervisionrequiredbyeachworkerandvolunteerinthecentreandensuringthatsupervisionisprovidedby,whereverpracticable,directlysupervisingthepersonorwherenecessary,delegatingsupervisoryresponsibilitytoanotherResponsiblePersonoraNominatedPerson.SeeinparticularChs7&8,3.5.29-33and5.5.4-6

• ensuringthattheyoraNominatedPersoncheckallLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServicesperformedbyvolunteerlawyersandvolunteernon-lawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject(see7.10).WhereavolunteerisaNominatedPerson,hisorherlegalworkmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.See7.2.7



27

• ensuringthattheyoraNominatedPersoncheck,asaminimum,asignificantproportionoftheworkperformedbyemployednon-lawyers(includingsecondednon-lawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheLegalAdviceandNon-LegalSupportServices(DiscreteandOngoing)ofaNominatedPersonwhoisnotalawyer.See7.2.8

• ensuringthattheyoraNominatedPersoncheck,asaminimum,asampleofthedifferenttypesoflegalwork(forexample,LegalAdvice,LegalTask,RepresentationServices)performedbyemployedlawyers(includingsecondedlawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorprojectonaregular,frequentandrandombasis.Thisincludesthelegalornon-legalservicesworkoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.Seeinparticular7.2.8

• ensuringthatanyandeverystaffmemberorvolunteerprovidingServicesforIndividualshastimelyaccesstotheResponsiblePerson(ortheappropriateNominatedPerson)andisawareoftheproceduretobefollowedintheeventthattheResponsiblePerson(orNominatedPerson)isnotimmediatelyavailableandtheworkerisnotsureabouttheLegalAdviceorotherServicetobeprovidedorcourseofactiontobetaken.See7.2.11

• ensuringthattherecordingofinformationandfileandotherrecordmanagementcomplieswiththerequirementsofthisGuide,includingastoopeningandmaintainingfilesandclosing,archivinganddestructionoffiles.SeeinparticularChs7and8

• ensuringthatthecentremaintainsacomprehensivefilereviewsystem.Seeinparticular7.4

• ensuringthatallservicedatacollectionisaccurateandthatdatarecordsaresecure.SeeinparticularCh8

• ensuringthatallworkersandvolunteersatthecentrearefamiliarwiththerelevantprovisionsofthestateorterritorylawsregulatingtheirprofessionandthatallethical,contractual,otherlegalandprofessionalrequirementsandcodesofconductaremet.SeeinparticularChs5and6

• ensuringthatanyAdviceaboutmigrationissuesisprovidedonlybyaRegisteredMigrationAgent,whetherornotalawyerornonlawyer,andthattheAdviceisprovidedinaccordancewithrelevantcodesofconductandlegislation.See5.5.15,6.5.1

• ensuringthatanypersonpractisingasafinancialcounselloratthecentrecomplieswithanyprofessionalassociationcodesandsystemsofaccreditationthatapplyinthejurisdictionandmeetstheexemptionrequirementsspecifiedbyrelevantCommonwealthlegislation.See6.3

• monitoringandreviewingworkloadsandensuringinconsultationwiththecentre’smanagerandManagementCommitteethatthecentreismindfulofitsresourceandotherlimitsanddoesnottakeonmoreworkthanstaffcanhandlewellandwithoutinappropriatestrainonworkers.See7.3



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• takingresponsibilityforlegalandotherpracticemanagementandcentrepoliciesandproceduresthatinvolveorhaveaneffectonlegalpracticeriskmanagementand/ortheservicesandmatterscoveredbyprofessionalindemnityinsurance.TheResponsiblePersonwillensurethatthesepoliciesandprocedurestakeintoaccounttheparticularcircumstancesofthecentre’scommunity(geographicorofinterest)anditsclientsandpotentialclientsinordertoidentifyandavoidactualandpotentialrisksofconflictofinterest3.Thesepoliciesrelatenotonlytoservicedeliverybutalsotooperationalandadministrativematters,includingfileandrecordsmaintenance,accuracy,safetyandsecurity

• ensuringthatthecontentofanyCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsandsessions,LawandLegalServiceReformmaterials,mediareleasesandotherpublicationsiscorrect,thatanyriskofdefamationhasbeenconsideredpriortopublicationandthatworkersandvolunteerswhospeaktothemediaordeliverCLEorCEsessionsareawareoftheissuesarounddefamationandotherrelevantlaws,andknowhowtominimisetheserisks.See7.6to7.9.

AbsenceoftheResponsiblePerson

3.5.25 WhentheResponsiblePersonisunabletofulfiltheroleforanysignificantperiodforwhateverreason,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedpersontoberesponsibleforthecentre’scompliancewiththeGuide.Thisshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativetogetherwiththestateorterritoryCLCassociationandobtainapprovalforanalternativearrangement.Forexample,subjecttoapprovalandtocompliancewithrelevantlegalprofessionlaws,itmaybepossibleforanothercentreemployeeorotherperson(forexample,alocum,amemberoftheManagementCommittee,alawyerfromanothercentre)tobeappointedasatemporaryResponsiblePersonand,ifnecessary,toappointanappropriateNominatedPersontoundertakesomefunctions.

3.5.26 ThestateorterritoryPIIrepresentativemustbeadvisedofanychangeofpersonholdingthepositionofResponsiblePersonatacentre.IncaseswhereadditionalmentoringorsupportarrangementsneedtobeputinplacethenactioncanbetakentoachievethisthroughthestateorterritoryPIIrepresentativeorcommitteeandtheNationalPIINetwork.

Accountability

3.5.27 WhileaResponsiblePersonwhoistheprincipalsolicitorhasoverallresponsibilityandaccountabilityforthelegalpractice,theResponsiblePersonisusuallyanemployeeofthecentreandisaccountabletotheManagementCommitteeorBoardofthatcentre.Insomecasestheymaybesupervisedasanemployeebythecentre’scoordinator,buttheyarenotaccountableorreporttotheminrelationtothewaytheymanagethelegalpractice.IftheircentreisamemberoftheNationalPIIScheme,theyalsohavearesponsibilitytotheirstateorterritoryPIIrepresentative(andcommittee,wherethereisone)andthroughthatrepresentativetotheNationalPIINetwork.TheyalsohaveobligationstotheothermembersoftheNationalPIISchemeandtoNACLCastheprimaryInsuredandcontractingpartywiththeinsurer.TheResponsiblePersonmayconsult

3Thesepoliciesandproceduresandtheirimplementationareopentoscrutinybycross-checkersandthePIIrepresentative



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theirPIIrepresentativeastheyseefitandaccordingtotheirownjudgmentandwithouttheneedforpriorapprovalfromorconsultationwiththeirManagementCommitteeorcentrecoordinator,althoughtheResponsiblePersonshouldinformthempromptlywhenappropriate.Seealso3.5.38-40.

3.5.28 TheResponsiblePersonhasperhapsthemostcomplicatedsetofaccountabilityrequirementsandmustbalanceallappropriately.

Nominatedperson3.5.29 Thisisapositionthatsomecentreshaveduetothediversityofclientmattersor

centreservicesandprogramsand/ortheavailableexperienceandexpertiseattheparticularcentre.ANominatedPersonisappointedbytheResponsiblePersonandisaccountabletotheminthisrole.ANominatedPersonshouldbeacentreemployeewhoisalawyerwithsuitableexperienceandexpertisetoperformtherole/sdelegatedtothem.However,ifthisisnotpossible(forexamplebecauseofacentre’sresourceconstraintsorexpertiseneeds),anon-lawyerand/orvolunteermaybeappointedasaNominatedPersonprovided:

(a) intheopinionoftheResponsiblePerson,thepersonhassuitableexpertiseandexperiencetoproperlycarryouttheresponsibilitiesdelegatedtothem,and

(b)theResponsiblePersonnotifiestheirPIIrepresentativeandstateorterritoryCLCassociationinwritingoftheappointmentoftheperson,theresponsibilitiesdelegatedandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.

3.5.30 TheappointmentofanyNominatedPersonmustbeinwritingandacentremustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativewithin14daysofthenameoftheperson/sappointedasaNominatedPersonandalsoofanychangeintheirposition.

3.5.31 TheResponsiblePersonmustmakeclearinwritingwhenappointingtheNominatedPersonthenatureandextentoftheresponsibilitiesdelegated.Forexample,theNominatedPersonmaybedelegatedgeneralsupervisoryresponsibilityorresponsibilityoveraparticularsubjectareaofthecentre’spracticeoraparticularadvicerosteroroutreachservice.ItisessentialthattheResponsiblePersonmakecleartotheNominatedPersonthenatureofthetasksexpectedinperformingtheirrole,forexample,checkingadvice,signingcorrespondence,supervisingfileworkandsoon,andanytasksthattheyarenotauthorisedtoundertakeandwhohasresponsibilityforthose.

Role

3.5.32 TheNominatedPerson’sroledependsupontheresponsibilitiesdelegated.MostcommonlyitwillbetosupervisetheLegalAdviceorotherDiscreteAssistancegivenand/orotherworkundertakeninthepracticeorintheirparticularacknowledgedareaofexpertiseinthecentre’spractice.Theywillhavebeen‘nominated’orrecognisedbytheResponsiblePersonasappropriatelyexperiencedandexperttobeabletosuperviseothers’workinoneormoredesignatedareas.Forexample,anexperiencedconsumercreditlawyeratthecentremaybeappointedtosupervisethecentre’sworkinthisarea.Or,providedthestateorterritoryassociationandPIIrepresentativehavebeennotified,asoutlinedabove,anexperienced(non-lawyer)tenancyadvocatemaybeappointedastheNominatedPersonandbegiventhedelegatedresponsibilityforsupervisingtheworkofothertenancyworkers,orindeedthetenancyworkofallworkers,includingalawyerwhomaynotspecialiseinthatarea.



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Accountability

3.5.33 TheNominatedPersonisdirectlyresponsible,inthisrole,totheResponsiblePerson.ItshouldbenotedthattheResponsiblePersonisstillultimatelyresponsibleforandaccountableforthelegalpracticenotwithstandingtheappointmentofaNominatedPerson.AllNominatedPersonsofacentremustbeavailableforthecentre’sannualcross-checkandtakepartinaninterviewasapartofthecross-checkprocess.SeeCh9.

Cross-checkerRole

3.5.34 TheroleofaprincipalsolicitororotherResponsiblePersonperformingthefunctionofcross-checkerincludes:

• conductingcross-checksinaccordancewiththeGuideandinsuchawayastopromoteconsistentriskmanagementimplementationoftheMandatoryStandardsoftheGuideandprocessesandrequirementsoftheNationalPIIScheme,organisationalsupport,collegiaterespectandprofessionalismthroughoutthesector

• reportingasrequiredtothePIIrepresentativeand/orPIIcommittee

• respectingconfidentiality,asevidencedbysigningandrespectinganundertakingontheCross-checkQuestionnairethatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialwithintheNationalPIISchemeadministeredatthestateorterritorylevel.

SeeCh9andappendixD.

thecentre3.5.35 ExistingcentresalsohaveakeyroleintheSchemeandinriskmanagement.

Centrescontributetothesectorthroughtheirdailyservicedeliveryandtheirabilitytomaintainandconsolidatethegoodwillandreputationassociatedwiththeworkofcentres.Longerestablishedandbetterresourcedcentrescanplayaleadershipandmentoring/buddyroleforneworlessresourcedcentres–guidingandsupportingtheminimprovingasgood-practicecentres.Communitylegalcentressharetheircollectivewisdomwiththeirpeersandactivelyfostergoodpracticeamongnewcentres.

3.5.36 NACLCandthestateandterritoryassociationsbelievethattogetherwithindividualcentrestheyhaveasharedresponsibilityto:

• ensurethebestriskmanagementpoliciesandpracticesoperatewithincentres

• maintainaneffectiveandaffordableinsuranceschemeforallcentres,fortheprotectionofcentreclients,thecentresthemselves,andtheirworkers.

ThesegoalscanonlybeachievedwhereallmembersintheSchemeacttokeepthatSchemeintact.

Role

3.5.37 Anindividualcentremust:

• supportcentrestaffandvolunteersintheirworktoensurethattheycomplywiththeGuide’sMandatoryStandardsor,intheeventthatitisnotpossibletocomplywithoneormorestandards,contactthePIIrepresentativewithoutdelaytodiscusstheissueandagreeappropriateactionstobetakentoensurecompliancewithinanagreedandassoonaspracticabletimeframe



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• examineanddevelopitsownpoliciesandprocedurestominimiseanyriskofclaims

• uponbecomingawareofaclaimorpotentialclaim(anyfact/sorcircumstance/sthatmightgiverisetoaclaim)againstit,assoonaspracticable,discusstheclaimorpotentialclaimwiththePIIrepresentativeandthenifnecessarynotifytheinsurersviathebrokerinwriting

• reviewthepracticeandtakesuchactionsasarenecessarytoensurethattheResponsiblePersoncananddoesmakefulldisclosuretotheinsurer,viathebroker.Thisobligationisongoingbutisparticularlyimportantatthetimeofsubmittinganapplicationforrenewalandbetweenthattimeand30JuneeachyearwhenthePIIPolicyisrenewed(andanewpolicycomesintoeffect).Failuretonotifytheinsurersofaclaimorpotentialclaimassoonaspossibleafterbecomingawareofitandwithinthe(annual)periodofthePolicymayaffectthecoverorextentofthecoveravailableandmayresultintheinsurersrefusingtopaysomeoralloftheclaim.See4.7

• appointaResponsiblePersonwhowillensurethattheGuideisimplementedandprovidethatpersonwiththesupportandresourcestodoso.See3.5.21-28

• recogniseandrespecttheprofessionalobligationsofitslawyers(see3.5.38below)andotherworkers,forexample,socialworkers,andfinancialcounsellors

• havewrittenguidelinesaboutthetypeofwork(LegalAdviceandotherDiscreteAssistanceandOngoingServices4,aswellasServicesfortheCommunitysuchasCommunityLegalEducationandLawandLegalServicesReform)theywill,andwillnot,takeon.See8.1

• ensurethatallworkersandManagementCommitteemembersarefamiliarwiththeseguidelines

• developandmaintainprocedurestoensurethatthecentrecomplieswiththeguidelines

• participateinthecross-checksconductedeachyearandcomplywiththeprocessessetoutintheCross-checkQuestionnaire(seeappendixD).

• participateinanymandatorymeetingsandtrainingandinductionactivitiesundertakenbythePIIcommitteeorthePIINetwork.CentresarestronglyencouragedtotakeadvantageofanyotherPIItrainingopportunities.

relationshipbetweencentremanagementandlawyers3.5.38 Therelationshipbetweencentremanagement(ManagementCommitteeand/

oremployedmanagers)andcentrelawyerscansometimesgiverisetoconfusionandbeapointoftension5.Alawyer’sprofessionalconductobligationsarenotoverriddenbytheiremploymentobligations.Acentreemployershouldnotdirectanemployeesolicitortoactinamannerthatiscontrarytotheirprofessionalobligations(forexample,breachingclientconfidentialityorbreachingtheirdutytoavoidconflictsofinterest).

3.5.39 Inpractice,issuesofconflictmayarisebetweencentrelawyersandtheirmanagersininterpretingthelawyers’professionalobligations.Forexample:

4InrelationtotheprovisionofOngoingServices,theguidelinesshouldspecifytheamountorlevelofassistancethatwillbeprovidedtoclients,andthecriteria,prioritiesorconditionsifany.

5Notethatothercentrestaff,suchassocialworkers,mayhavesimilarprofessionalobligationsandresponsibilities.Insuchcircumstancessimilarprinciplesshouldbeapplied.



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• managementmaynotunderstandthelegalprofessionalobligationsthatbindlawyersandmayexpectordirectthemtoactinawaythatcouldconflictwiththoseobligationslawyersmaytakeanoverlyrestrictiveviewoftheirobligationsorseektotakeadvantageofanobligation(suchaspractisingwithdueskillanddiligence)toachieveapreferredoutcome,forexamplenotpractisinginanareaoflawthattheydonotenjoy.

3.5.40 Inordertoresolvepotentialpointsofconfusionandtensionitisrecommendedthat:

• thecentreclearlyunderstandstheprofessionalobligationsandresponsibilitiesoflawyersandonlyusesmanagementprocessesthatareconsistentwiththem.Forexample,ifalawyerdoesnothavesufficientskillsandexperiencetocompetentlypractiseinanareaoflawusuallyundertakenbythecentre,requiringthemtopractiseinthatareamaybreachthelawyer’sprofessionalobligations.However,insteadofthelawyersimplynotpractisinginthearea,thecentremaybeabletolegitimatelyrequirethelawyertotakestepstoobtainthenecessarycompetency,throughprofessionaldevelopmentorthroughappropriatesupervisionormentoringarrangedbythecentrethecentresupportslawyerstomeettheirprofessionalobligationsbyencouragingthemtoliaise,independentlyofmanagementifdesired,withprofessionalsupportprovidedthroughrespectiveprofessionalassociationsandthePIIrepresentativesthecentreutilisestheprofessionalstandardssupportsoftheirrelevantprofessionalassociationsand/ortheirPIIrepresentativestoclarifyissuesofconcern.

Clientsandpotentialclients3.5.41 Ariskmanagementapproachisaclient-focusedapproach.Diligentapplicationof

soundriskmanagementstrategiesbyacentremeansthataclientislesslikelytosufferdamagefromwrongadviceoranyothermistakeoroversight.HavinganappropriatePIIpolicyinplaceandcomplyingwithitsrequirementsmeansthataclientcanbeatleastcompensatedfinanciallyforanylosscausedbynegligence,andengendersconfidenceamongclientcommunities–thecentre’spotentialclients.

Fundingbodies3.5.42 Fundingbodiesareofcourseveryconcernedwithriskminimisationin

organisationsthattheyfund,andwithensuringqualityservicedelivery.Theirownaccountabilityrequirementsareoftenreflectedinfundingagreementsandinprogramstandardsorguidelines.Centresshouldhaveproceduresinplacetoensurethattheycomplywithanysuchrequirements.

3.6 Decision-makinganddisputeresolutionDecision-makingprinciples

3.6.1 TherearealargenumberandwiderangeofdecisionsthataremadeinimplementingtheGuide.ItisimportanttonotethatNACLCandtheNationalPIINetworkarecommittedtoimplementingtheNationalPIISchemeinanorganisationaldevelopmentandsupportiveframework,whilemaintaininghighprofessionalstandards.Alldecisionsaremadewithinaframeworkthatisintendedtobeconsultativeandcooperative.



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3.6.2 Alldecision-makingundertheGuidewillbeopenandfair.Itisenvisagedthatdecision-makingbytheNationalandstateorterritoryPIINetworkswillgenerallybedonebyconsensus.

3.6.3 Responsibilityforday-to-dayimplementationoftheGuidewithinacentrerestswiththecentre’sResponsiblePerson,whoisinmostcasesthePrincipal/SeniorSolicitor:see3.5.21-28above.Thisresponsibilityincludesensuringthatallworkersandvolunteersinthecentrearefamiliarwith,andcomplywith,allethical,contractual,andotherlegalandprofessionalrequirementsandcodesofconduct.BothmanagementofthecentreandtheScheme’sadministratorsmustrespecttheResponsiblePerson’sresponsibilityandrole.TheGuideexplicitlyrecognisesasaMandatoryStandarditselfthatResponsiblePersonsmustcomplywithanyrelevantstateorterritorylawandlegalprofessionobligations.

3.6.4 TheGuideprescribesminimumMandatoryStandardsandrecognisesthediscretionthatresidesinResponsiblePersonstodecidehowtheircentrewilleffectcompliancewiththosestandards,unlessthestandarditselfspecifiesminimumessentialmeasures.Inaddition,theResponsiblePersonmaydecidetoadopt(consistent)riskmanagementmeasuresadditionaltothoseintheMandatoryStandards.Decision-makingundertheGuideshouldtothegreatestextentpossiblerespecttheautonomyofindividualcentresandtheirResponsiblePersons.

3.6.5 Otherconsiderationsrelevanttodecision-makingundertheGuideinclude:

• itisanationalschemeandneedstobeadministeredconsistentlyandfairlyitisariskminimisationschemeandriskcannotbecompletelyavoided

• centresarecommittedtoensuringequitableaccesstojusticeandrecognisetheimportanceofendeavouringtoprovideservicestopeoplewhowouldotherwisenothavethem

• lawreformandpolicyworkareintegraltotheservicesandoperationsofCLCs

• thediversityofcentresasorganisations,intheirformsofservicedelivery,operatingcontexts,targetgroupsetc,mustberecognisedandtheSchemeapplied,asfarasispracticable,toallowforandsupportthisdiversity

• insomecasesthecentreistheonlyserviceprovideravailabletotheindividualinthatarea

• thelegalprofessionrequirementsandcaselawweredevelopedbasedonconsiderationonlyofprivatelawfirmsoperatinginquitedifferentcontexts.Intheabsenceofclearrulesonsomesituationsthatoccurincentrelawpractices(intheirmanyvariations,andthatgenerallyprovideother,non-legal,relatedServices),theGuideattemptstoprovidearigorousandlegallycompliantbutworkablesetofstandardsforcentreservicesinthecommunitylegalassistanceservicescontext

• thelawisnotalwaysclearonsomeissuesandisopentodifferentinterpretations.

Issuesofinterpretationand/ornationallyconsistentapplication3.6.6 Fromtimetotimeissuesarisethatraiseanimportantquestionofinterpretation

oftheGuideorthePIIPolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide.ItisimportanttothesuccessoftheNationalPIISchemethatthesekindsofissuesareconsideredatanationallevel–whetherornotthereisa‘dispute’aboutthem.Resolvingandclarifyingsuchissueswhentheyarisemayhelptoavoidinconsistentandpotentiallyunfairimplementation



34

oftheMandatoryStandardsanddisputesoccurring.So,whereaPIIrepresentative,acentre,acentre’sResponsiblePerson,astateorterritoryPIIcommitteeorstateorterritoryassociation–orNACLCitself-considersthattheremaybesuchanissue,theyshouldbringtheissuetotheNationalPIINetworkassoonaspossiblefordiscussionandresolution.SuchmatterswillberesolvedbytheNationalPIINetworkorbytheNACLCBoard(oritsdelegate,forexample,theCEO)whereappropriate,forexample,ifthereisasignificantdisagreementamongthemembersoftheNationalPIINetwork,orifdeterminationoftheissueconcernsasignificantpolicyissueormayhavefinancialconsequencesfortheScheme/NACLC.Seealso3.6.10below.

Disputeresolution3.6.7 Giventhegreatdiversityofservicesandoperatingcontextsaswellasthe

complexityofmanyofthetopicsdealtwithinthisGuide,inevitablytherewillbesomedisagreementsovertheapplicationoftheGuide.Inpracticemostdisagreementsareresolvedthroughdiscussionandnegotiation.Wherethisdoesn’twork,thereneedstobeaclearprocessforresolvingdisputes.

3.6.8 ThisGuideprovidesfordecisionstobemadeonarangeofmattersthatincludedecisions:

• thatinvolveanimportantquestionofinterpretationoftheGuideorthePIIPolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide:seeinparticularDisputeResolutionProcedure1below

• torefuseacentre’sapplicationtojointheNationalPIIScheme:seeDisputeResolutionProcedures(1)-(3)below

• toterminateornotrenewacentre’sparticipationintheScheme6becauseofseriousandongoingnon-compliancewiththeGuide:seeDisputeResolutionProcedures(1)-(3)and3.6.10-24below

• torequireacentretotakespecifiedactiontoremedybreachesoftheGuidewithinacertaintimeframe:seeDisputeResolutionProcedures(1)-(3)and3.6.10-24below

• torefusetoapproveaninformationbarrierproposedbyacentrethatisaprogramwithinamulti-programagency:see6.7.76andDisputeResolutionProcedures(1)and(3)below

• torefusetoapprovetheappointmentofaResponsiblePersonwhodoesnothaveanunrestrictedpractisingcertificateand/orisnotalawyeremployedbythecentre:see3.5.23,3.5.25andDisputeResolutionProcedures(1)and(3)below.

6Acentre’sparticipationinthePIISchemealsoreliesonthecentre’smembershipofitsstateorterritoryCLCassociation.AsidefromseriousandongoingnoncompliancewiththeGuide,otherreasonsforwhichacentremaybeexcludedfromstateorterritoryCLCassociationmembershipareoutsidethescopeofthisGuide.



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3.6.9 Inpractice,manysuchdecisions,especiallyadecisiontoterminateacentre’sparticipationintheScheme,willinvolveanumberofpreliminaryfindingsbeingmadealongthewaytomakingthefinaldecision.Forthisreasonthedisputeresolutionproceduresbelowidentifytherelevantdecisionmakeraswellasanyrequirementsfordifferenttypesor‘stages’ofdecisions.

DISpUtereSOLUtIONprOCeDUre1–formattersconcerninganimportantquestionofinterpretationoftheGuideorthepIIpolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide

3.6.10 WhereadisputeinvolvesanimportantquestionofinterpretationoftheGuideorthePIIPolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide,itmaybereferredtotheNationalPIINetworkbyacentre7affectedand/orbytheResponsiblePersonofacentreaffected,byaPIIrepresentative,bytherelevantstateorterritoryPIIcommitteeorCLCassociationand/orbyNACLC.ThePIINetworkwillattempttoresolvemattersbyconsensusbutifnecessarymayvoteonamatter,inwhichcase,itisdecidedbyasimplemajority.Wheretheaffectedcentre,thecentre’sResponsiblePerson,aPIIrepresentative,stateorterritoryPIIcommitteeorassociationorNACLCdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.MattersgoingtotheBoardmustbeaccompaniedbyareportand/orrecommendationsfromthePIINetworkwhereverpracticable.TheNACLCBoardwilldecidethematterandmaydecidetoreferthedisputetoarelevantstateorterritorybodyfordecision.Seealso3.6.6.

DISpUtereSOLUtIONprOCeDUre2–formattersconcerningadecisionofapIIrepresentativeotherthanadecisiontowhichDisputeresolutionprocedure1applies

3.6.11 AdisputeconcerningadecisionofaPIIrepresentative,otherthanadecisiontowhichDisputeResolutionProcedure1applies,canbereferredtothestateorterritoryPIIcommittee(orequivalentbody)ifthereisone,andifitisnotresolvedthereorifthereisnosuchcommittee,totheManagementCommittee/Boardoftherelevantstateorterritoryassociationbythecentre8affectedand/orbytheResponsiblePersonofacentreaffectedoramemberoftheNationalPIINetwork.Ifthecentreaffected,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkdisagreeswiththedecisionmade,theycanreferthedisputetotheNationalPIINetwork.Ifthecentre,thecentre’sResponsiblePersonoramemberofthePIINetworkdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.Seethedetaileddiscussionofthisprocessat3.6.13-25below.

DISpUtereSOLUtIONprOCeDUre3–formattersconcerningadecisionofastateorterritoryCLCassociation

3.6.12 Adisputeconcerningadecisionofastateorterritoryassociation(whetherornotmadejointlyorinconsultationwiththePIIrepresentative)canbereferred9tothe

7Whereadisputeisreferredby‘acentre’ratherthanbyacentre’sResponsiblePerson,thePIINetwork/committee/associationmustinformthecentre’sResponsiblePersonandrequesttheircomments.

8Ibid. 9Ibid.



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NationalPIINetwork.Ifthestateorterritoryassociation,theaffectedcentre,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.Seealsothedetaileddiscussionbelow.

example: non-compliance and the process of dispute resolution

3.6.13 Thecross-checkprocesswillidentifyanybreachesoftheGuide’sMandatoryStandards;itshouldspecifytheactionsrequiredtoaddresseachbreach,andindicateatimeframeforeachrequiredaction.Inpractice,remedialactionandtimeframesareusuallydiscussedandagreedbetweenthecentreandthecross-checkerand/orPIIrepresentative.Whereacentrehasactivelybeenworkingtowardsaddressingtheissuesraised,buthasnotbeenabletocompleteallactionswithinthespecifiedtimeframes,theyshouldnotifythePIIrepresentativeinadvanceoftherelevantduedate,reportonprogressandanyissuesthathavepreventedthemfromcompletingtheagreedactions,anddiscusswhetheranothertimeframecanbeagreed.WherethecentreandPIIrepresentativehavebeenunabletoagreeonanaction/sortimeframe/s,thePIIrepresentativemayimposeanactionplanincludingdeadlinesonthecentre.

3.6.14 ConsiderationstobetakenintoaccountbyaPIIrepresentativeindecidingwhatremedialactionshouldbetakenandwhatthetimeframeforsuchactionshouldbe,include:thoseat3.6.3-5;whetherthefailuretocomplybreachesanylaworprofessionalcode;thelevelofriskcausedbythebreach;andtheparticularcircumstancesofthecentre(forexample,resources,relevanteffectoflocation).

3.6.15 MinorandevensomemoreimportantfailuresbyacentretocomplywithMandatoryStandardsintheGuide-wherethereisnobreachofthelawandithasbeenassessedbythePIIrepresentativeorNationalPIINetworkthatthereisnoorverylowriskasaresultofthefailure-maybepermittedforsomeperiod,subjecttomonitoringbythePIIrepresentativeandacommitmentbythecentretoaddressandresolvethebreachif,orassoonas,itispracticable.

3.6.16 Alessresourcedcentreand/oroneoperatingwhereotherservicesarenotavailable,ismorelikelytobegivenmoretimetorectifythebreach–solongasthecentrehastakenallactionpossibletominimiseanyriskandisaddressingtheissuesraisedasagreedwiththeirstateorterritoryPIIrepresentative.

3.6.17 Seriousongoingnon-compliancewiththeMandatoryStandardsoftheGuidemayleadultimatelytoexclusionfromtheNationalPIIPolicyandScheme.Thiswillonlyoccurifacentrehasfailedtotakeappropriateactionafterreasonablenotice.Whatconstitutesreasonablenoticewilldependontheseriousnessoftherisk,amongotherconsiderations.

3.6.18 Ifacentrefailstotakeactionrequiredofitinthenotifiedtimeframes,itmaybeputonnoticebythePIIrepresentativethatitwillbereferredtothestateorterritoryPIIcommittee(orequivalent)orifthereisnosuchcommittee,totheManagementCommittee/BoardofthestateorterritoryCLCassociationforconsiderationastotheirviewaboutwhetherthecentreshouldbeexcludedfromtheScheme10.Itisappropriatethatthesemattersgointhefirstinstancetothestatebodiesbecausetheyaremostfamiliarwiththeparticularserviceanditscontext,andhenceinthebestpositiontoensurethatrelevantmattersareidentifiedandtakenintoaccount.

10NotethatanyissueconcerninganimportantquestionofinterpretationoftheGuideortheInsurancePolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide,ideallywillhavebeenresolvedbytheNationalPIINetworkand/ortheNACLCBoardbeforeitisappliedtoaparticularcentre.See3.6.6.



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3.6.19 ItisimportanttorecognisethatstateandterritoryPIIrepresentativesareappointedbystateandterritoryassociationsandasaresulthavesomeaccountabilitytothosestateandterritoryassociations.Theyare,however,membersoftheNationalPIINetwork,anditisthatbodyandNACLCwhichformallyadministertheScheme.ThestateandterritoryPIIrepresentativesarechargedwiththestate-basedadministrationoftheSchemeandimplementingtheGuide’sMandatoryStandardsconsistentwiththeNationalPIIScheme(and,ofcourse,incompliancewithanyapplicablelocallaw).FormoredetailontheroleoftheNationalPIINetworkandthestateandterritoryPIIrepresentatives,see3.5.6-8and3.5.11.

3.6.20 Whenamatterisnotresolvedatthestateorterritorylevel,thecentre,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkcantakeittothenationallevel,inthefirstinstancetotheNationalPIINetwork.ItispreferablethatmattersarebroughttotheNationalPIINetworkbytherelevantstateorterritoryPIIrepresentative,whetheritisattherequestofthecentre,itsResponsiblePersonortherepresentative,howeverifforsomereasonthecentreorResponsiblePersonwishestodosoitself,itmaysubmitarequestforconsiderationtotheNationalPIINetworkbyemailtotheChairoftheNetwork,withacopytotheNACLCstaffmemberontheNetwork(forexample,theInsurancesCoordinator).Inanyevent,thePIIrepresentativeandthecentre,includingtheResponsiblePerson,willhavetheopportunitytosubmitmaterial.

3.6.21 OncetheNationalPIINetworkdiscussesandformsaviewaboutthecase,theNetworkwillcommunicatethatviewtothecentre.Usuallythiswillresolvethematter.

3.6.22 If,however,thecentre,thecentre’sResponsiblePersonoramemberofthePIINetworkdisagreeswiththedecision,andwishestotakethematterfurther,theymayrequestareviewbytheNACLCBoard.TheNACLCBoardgivesgreatweighttotheadviceoftheNationalPIINetwork,whichitrecognisesasanexpertadvisorybody.Itwillalsogiveweighttothefactthat,unlikethecross-checker/PIIrepresentative,Boardmembershavenothadthebenefitofseeingthecentre’soperationsthemselves.TheBoardwillalsobeconcernedwithensuringthattheSchemeandtheMandatoryStandardsareimplementedinanationallyconsistentway,asmuchasispracticallypossibleandappropriate,andconsistentwiththeprinciplesoftherevisedGuideandtheNationalPIIScheme,includingitsorganisationaldevelopment,soundprofessionalstandards,riskminimisationandaccesstojusticegoals.TheBoardwilltakeintoaccounttheconsiderationsoutlinedat3.6.3-5.

3.6.23 TheNACLCBoardisthefinaldecision-makeranditsdecisionwillbecommunicatedtotheNationalPIINetworkandtothecentreanditsResponsiblePerson.

3.6.24 Itshouldbenotedthatifpracticablypossible,relevantfactualmaterialwillbeputtotheNationalPIINetworkand/orNACLCBoardwithoutthecentrebeingidentified.Whereverpossible,discussionsaboutissuesatparticularcentresincludingactionstobetakenarediscussedintheabstract,thatis,thecentre’sidentityisnotdisclosed.ThisisinkeepingwiththeconstructiveorganisationaldevelopmentfocusoftheScheme,whichrecognisesthatfrankdiscussionatthelocallevelisassistedbypreservingconfidentialitywhereverpossible.Itisnotalwayspossible,however,foracentre’sidentitytobekeptconfidential,especiallywherethecentre’sparticularlocation,servicesorothercircumstancesarerelevanttotheissuesfordetermination.


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3.6.25 Seriousandongoingnon-compliancewiththeGuide’sMandatoryStandardsmayalsoaffectacentre’saccreditationstatusandultimatelyitsmembershipoftherelevantstateorterritoryassociation,howevertheseareseparatedecisionsandprocesses:see1.5.

3.7 Mergers&amalgamations3.7.1 Atthetimeofpublication,therehasbeenanincreasedtrendtowardscentres

mergingoramalgamating11witheachother/otherorganisations.Inadditiontothemanylegal,governance,operationalandpracticalissuesarising,centresproceedingwithsuchacoursewillhaveanumberoflegalpracticemanagementissuestoconsiderandresolve.12Suchacentrewillneedtofullyconsiderallrequirementsandwouldbewisetoseekadviceonvariousaspects.13

3.7.2 ThisGuideonlyconsidersthekeylegalpracticerequirementsthatwillneedtobefulfilled.Someoftheprocessesinvolvedinmergingoramalgamatingcantaketimeandnotbeasstraightforwardastheymightinitiallyseem,socentresshouldplanaheadandidentifyandresolvealltheissuesearlyintheprocess.

Insurance3.7.3 Thenewcentre/entitywillneedtoensureithasPIIcover,andthismayneedtobe

confirmedbeforenotifyingthelegalregulatorofthemerger/acquisition.

3.7.4 WhereoneorallofthemergingcentresareinsuredundertheNationalPIIScheme,thecentresshouldnotifyNACLCoftheprospectivemerger/amalgamationassoonaspossible.Whereacompletelynewentityisbeingformed,thenewcentrewillneedtoapplyandbeaccepted,atleastinprinciple,tojointheCLCAssociation,andthenapplytojointheNationalPIISchemeasanewmember.Theywillthereforefirstneedto:

• ensuretheirmembershipstatuswiththerelevantstateorterritoryCLCAssociationisconfirmed(confirmationoffullmembershipmustbeprovidedtoNACLC)

• completeanewProposalformandPIISchemeapplicationforminrespectofthenewcentre/entity,andprovidethemtoNACLC.

Evenifabrandnewentityisnotbeingformed(i.e.anothercentreorcentresis/arebeingsubsumedbyanexistingcentre),thesestepsshouldstillbeundertakenfromapracticalperspectivetoensurethatallstakeholdersarefullyawareof

11Forexample,JusticeConnect’sNot-for-profitLawInformationHubprovidesanoverviewofthedifferencesbetweenmergersandamalgamations,identifyingthatamalgamationsareavailableto‘incorporatedassociationsbasedinthesamestateorterritory’,andtheprocessofamalgamatingismoresimpleandlessexpensivethanthatofmerging.Itisalsoidentifiedthatamalgamatingisnotanoptioninalljurisdictions.See:JusticeConnect,AmalgamationsandMergers,Not-for-profitLawInformationHub<http://www.nfplaw.org.au/amalgamationmergers>(accessed31January2017).

12JusticeConnect’sNot-for-profitLawInformationHubhasanumberofresourcesthatmayassistCLCsinconsideringandpreparingforamergeroramalgamation,includingsomestate-orterritory-specificinformationsheets.Seeinparticular:JusticeConnect,AmalgamationsandMergers,Not-for-profitLawInformationHub<http://www.nfplaw.org.au/amalgamationmergers>(accessed31January2017);JusticeConnect,WorkingWithOtherOrganisations(updatedJune2015)availableat:<http://www.nfplaw.org.au/sites/default/files/media/Working_with_other_organisations_2.pdf>(accessed31January2017);andJusticeConnect,Checklist:WorkingWithOtherOrganisations(updatedJune2015)availableat:<http://www.nfplaw.org.au/sites/default/files/media/Checklist_-_Working_with_other_organisations.pdf>(accessed31January2017).

13JusticeConnect’sNot-for-profitLawprogrammaybeabletoassistCLCswithadviceformattersinvolvingamalgamations,mergersorworkingwithotherorganisations,throughtheirtelephoneadviceserviceorareferralforprobonoassistance.See:JusticeConnect,LegalHelp<http://www.justiceconnect.org.au/nfpenquiry>(accessed31January2017).


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thechangestakingplace(oratleastanupdatedProposalformwillneedtobeprovidedreflectingthechangestotheexistinginsuredentities).

3.7.5 TheprospectiveResponsiblePersonofthenewcentre/entitywillneedtomeetwiththeirstateorterritoryPIIRepresentativetodiscussthearrangementsthatarebeingputinplacetoensurecompliancewiththeGuide,forexampleinrelationtoconflictcheckinganddatamerges.Itmaybenecessarytorunconflictchecksbeforethemergertoensurethatanypotentialoractualconflictsareidentifiedandthoseclientscontactedandreferredelsewherebeforetheclientinformationandrecords,andthelegalpractices,arecombined.

3.7.6 ThestateorterritoryPIIRepresentativemustbesatisfiedthatthenewentity/centrewillbecompliantwiththeGuidebeforeitcanbeinsuredundertheNationalPIIScheme.ThePIIRepresentativemustexpresslyconfirmthistoNACLCbeforeNACLCwillprovideitsinformationtothebrokerforinclusioninthePIISchemeandanyotherNACLCcoordinatedinsurances.Dependingonthecircumstancesandthetiminginrelationtothecross-checkcycle,thePIIRepresentativemaydeemitnecessaryandarequirementforinclusioninthePIISchemethatafollow-upcross-checkbeconductedonthenewcentre/entityinashorttimeaftermerger,forexample,atthree,fourorsixmonths.

3.7.7 Followingcompletionoftheabovesteps,NACLCwillpassontherelevantdetailsandformtotheinsurancebrokertoseekconfirmationfromtheinsurerofthecentre’sinclusionintheScheme/sand,dependingonthetimingofcommencementofthenewentity,newpremiumsmaybepayablebythecentre.

3.7.8 ThecentrewillalsohavetoupdateanyinsurancesheldbyitthatarenotarrangedbyNACLC,withtherelevantinsurancebroker/s,andtheprocessesmaydiffertothosewiththeNACLCschemes.

Run-offPIIcover

3.7.9 Foranyentity/iesthatarebeingclosedasaneffectofthemergeroramalgamation,run-offPIIcoverwillneedtobeinplace.See3.8.8-10and4.6.10.

Changingthelegalentityandnoticetolegalprofessionregulatorybodies

3.7.10 Someofthestepsinvolvedinchangingthelegalentityandnotifyingthestatelegalprofessionregulatorwillinclude:

• Registeringthenewpracticeanditsprincipal’sdetails

• Closingoffoldtrustaccountsandnotifyingwithappropriateforms–thisshouldbedonebeforetheotherlegalpractice/sareclosed(seealso3.8.12)

• Openingtrustaccountsforthenewentityandlodgingtheappropriateforms.Databasemergersandconflictsofinterest

Databasemergersandconflictsofinterest3.7.11 Mergingoramalgamatingcentreswillneedtoliaisewiththeirdatasystem

provider/hostandotherITprovidersregardingthemergerofdatabases(includingcleansingthedataandcheckingforandobtaininglistsofactualorpotentialconflictspriortoamalgamation).

3.7.12 Oncealistofconflictshasbeenobtained,thecentresmayhavetonotifysomecurrentclientsthattheyareunabletocontinuetoactforthem,andprovidesuitableReferrals.Thoseclientsthatwillcontinuetobeservicedbythenewcentre/entityshouldbeadvisedofthemerger/amalgamationandthenewnameofthelegalpracticeandanychangedcontactinformation.


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3.7.13 Centresmayneedtosetinplaceanuancedwaytoconsiderthepotentialforandlikelihoodofconflictstobeabletooptimisevulnerablecommunitymembers’accesstotheservice.ThebelowtableisbasedononethatwaspreparedforthreeVictoriancentreswhichallusedCLSISastheirdatasystem,andwhichmergedtoformonecentre,andisanexampleofanapproachthatmaybeuseful.ThetableidentifiesthetypesofquestionsthattheResponsiblePersonwillneedtoconsider.Itisimportanttonotethattheremaynotalwaysbeastraightforwardyes/noanswertothesequestions,andtheResponsiblePersonwillneedtodetermine,onacase-by-casebasis,whetherthecentrecanproceedwiththematter.

Criteria Considerationsforintakeworkers

howcouldwemanagethesituationbetter–determinedbyresponsibleperson

TheyarenotedonCLSISasOtherParty

Isthenamecommon?

Howlongagowasthelegalassistance?

Whatareaoflawwasthepreviouslegalassistance?

Isthepersonthatactedfortheclientstillattheservice?

Whatsortofassistanceisthecentrelikelytoofferinthatarea?Eg,wouldtheclientonlybeeligibleforanightserviceappointment

Canfurtherinformationconfirmingidentitybeobtained?

Ifitisafter7years,itislikelythefileoradvicehasbeendestroyed,butwillalsoneedtocheckonharddrivethattherearenoclientdocumentssaved

Isitanareathatfilesarerequiredtobekept?Eg,POA,Wills,anymatterforchildrenincluding:VOCAT

Isitanareaoflawmaterialtothenewmatter?Thismaybebroadeg,MVA,oldclient,newclientfamilyviolence,ormaybeissuesofeconomicabuse

Presumptionofassumedknowledgeamongstlawyers,rebuttalmaybethatthelawyernolongerattheservice

Wouldtherevealingofthatinformationreasonablybeassumedtoimpactonthepreviousclient?

Evenifprovidinglimitedassistance,considerationmuststillbegiventotheabovequestions

TheyarenotedonCLSISasRelatedParty

DoesthematterthattheyareseekingadviceabouthavetheoldclientasOtherParty?

Yes

No

Gothroughtheaboveconsiderations.

Mighttheinformationfromtheoldclientbereasonablyseenifrevealed,asdetrimentaltothatclient?

Aretherelargerpublicpolicyissuesinactingorcontinuingtoact?

Forexample,prioritisingvictimsoffamilyviolence–needtoensurethatwhenwedointakethatwearenotprovidingprioritytorespondents,forexampleensurethattheyareadvisedtheycanreceiveadvicefromthedutylawyersatcourt.


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3.8 Centreclosures3.8.1 Thissectionaimstoprovidesomeguidanceonsomekeylegalpractice

managementissuesthatwillneedtobeconsideredwhenacentreisceasingtooperate,howeveritdoesnotaddressalloftheissuesthatwillneedtobeaddressed,andcentresmustobtaintheirownadviceaboutwhatisrequiredtocloseacentre.

Dealingwithopenandclosedfiles3.8.2 Centresthatareceasingtooperatewillneedtoensurethattheyappropriately

handlebothopenandclosedfiles,observingthekeyrequirementthatclientconfidentialitybemaintainedevenaftertheclients’legalmattershaveconcluded.

Openfiles

3.8.3 Acentreceasingtooperatewillneedtoadviseallcurrentclientsofthecentreclosure,andshouldoffertoreferthemtoanothersuitableservice.Aclient’sconsent/instructionsshouldbeobtainedbeforeaReferralismade,includingconsentfortheirfilesanddocumentstobeprovidedtotheotherlegalpractice(aftertheotherlegalpracticehasperformedaconflictofinterestcheckandhasconfirmedtheycanaccepttheclientandmatter).Centresshouldcheckanyrelevantprovisionsandrequirementsintheirjurisdiction’slegalprofessionrules14.

3.8.4 Thecentrewillalsoneedtocheckanyrequirementstochangeofficialrecordsandnotifybodiesaccordingly,forexamplewiththecourtwhereasolicitorfromthecentreistheSolicitorontheRecord,andwithotherparties’solicitorsifthecentreistheplaceforservice.Consentwillneedtobeobtainedtotransferanyclientmoneyheldintrusttoanotherlegalpracticeandprincipal.Wherefilesarebeingtransferredtoanotherservice,thecentremayneedtoconsiderandagreewiththeotherserviceonanyindemnityissues(forexample,willthenewservicetakefullresponsibilityforfiles,andwhen,orwilltheclosingcentreberesponsibleforworkuntiltransferdate).

Closedfilesandstorage

3.8.5 Whenceasingtooperate,centresshouldreviewallclosedfilestodeterminewhichfilescanbedestroyed15andwhichmustberetainedandarchived,aswellastoidentifyanyoriginaldocumentsthatneedtobereturnedtoclients.(Intheoryalloriginaldocumentswouldhavebeenreturnedtotheclientwhenthefilewasclosed,butthisisnotalwayspossiblewithlegalassistanceclients.)Thecentrewillneedtoarrangesuitablesecurestorageoffiles(whetherelectronic,hardcopy,oramix)inamannerthatdoesnotbreachclientconfidentialityandcomplieswithallrequirementsfortheretentionofclosedfiles:see8.14.

3.8.6 Whenacentrecloses,itisimportantthatclientfilesandrecordsremainaccessibleshouldaclaimbemadeagainstthePIIpolicyinrespectofthefileandshouldtheclientneedaccesstothefileforsomereason.Decisionsmadeaboutwhereandhowtostoretheclientfilesandrecordsshouldtaketheseissuesintoaccount.

3.8.7 Wherepracticable,thecentreshouldadvisetheformerclientsofthecentre’sclosureandofferforcopiesofthosepartsoftheclients’filesthattheyareabletorequestaccesstounderlegalandprofessionrequirementsintheirstateorterritoryand/ortheprivacyprinciplestobeprovidedtothem.Thecentremayneedtoseektheclients’consentinordertotransfertheirfilestoanotherentity

14Forexample,NSW&Vic:r.6,LegalProfessionUniformLegalPractice(Solicitors)Rules2015. 15See8.14.7-10.


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forstorage/archiving(unlessthishadalreadybeencoveredintheirclientretainer).Forexample,thecentremaybeabletoarrange,withtheclient’sconsent,forthestorageoffilestobewiththeirstateorterritoryCLCassociationand/orNACLC.

pIIrun-offcover3.8.8 Some,ifnotall,oftheapplicablelegalprofessionrulesrequirethatcentreshave

run-offinsurancecoverfortheirprofessionalliabilities.Forexample,theUniformGeneralRulesrequire16:

78(6) Professionalindemnityinsurancemustprovideindemnityfor run-offliabilitiesforaminimumof7yearsfrom:

(a)thedate(duringtheperiodofinsurance)thatthelawpracticeceasestopractise,or

(b)thedateofexpiryoftheperiodofinsurance,

ifthelawpracticeisnotcoveredfromtherelevantdatebyafurtherpolicythatcomplieswiththeseminimumstandards,includingtherequirementforrun-offcoverunderthissubrule.

Note.Professionalindemnityinsurancemaybeprovidedforbyaschemesuchasarun-offscheme.

3.8.9 ForcentrescoveredundertheNationalPIIScheme,run-offcoverisincludedfreeofchargeaslongastheSchemeisinoperation:see4.6.10.AcentrethatisclosingmustgivenoticeoftheclosureandtheeffectivedateinwritingtoNACLC,whowillconveythesedetailstotheinsurancebrokerandensurethattherun-offcoverisinplaceforthecentre.Currently,thecostoftherun-offcoverisincludedintheannualpremiumspaidtothebroker,sonofurtherpremiumswillbepayablebythecentrefortherun-offcover.

3.8.10 CentresthatarenotcoveredbytheNationalPIISchemewillneedtoensurethattheyhaveappropriaterun-offcoveravailablethatattheveryleastmatchestheirjurisdiction’srequirements(ifnotthefullsevenyearsormore).

Noticetolegalprofessionregulatorybodies3.8.11 Centresshouldalsocheckanyrequirementstheymayhavetonotifytheirlocal

legalprofessionregulatorybodyofthecentre’sclosure.Forexample,theUniformGeneralRulesrequirenoticetobeprovidedtothestateregulatorybodywithin14daysofthecessationofthelegalpractice17.Lawyersmayalsoneedtonotifythelocalregulatorybodyregardingchangestotheirparticularsandpractisingcertificaterequirements.Centresandlawyerswillneedtobeawareoftherequirementsintheirstateorterritory.

3.8.12 Thelegalprofessionrulesmayalsorequirenoticetothegiventothelocalregulatorybodythatthecentrewillceasetoholdtrustmoney(becauseitisceasingtoexistasalawpractice).18Centresshouldchecktherelevantrequirementsintheirstateorterritory.

Otherissues3.8.13 Thelegalpracticemayalsohaveanofficeaccountorotherfinancialarrangements

thatwillneedtobewrappedup,andotherinsurances,suchasAssociationLiabilityInsurance,thatwillneedtobecancelledandrun-offcoverarranged.

16NSW&Vic:r.78(6)LegalProfessionUniformGeneralRules2015. 17LegalProfessionUniformGeneralRules2015(NSW&Vic)r29. 18LegalProfessionUniformGeneralRules2015(NSW&Vic)r51.

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CHAPTER 4

Professional Indemnity Insurance and the National PII PolicyIn this chapter:4.1 Introduction 44

4.2 Risk management and the National PII Scheme 44 4.2.3 TheNationalPIIPolicy 44

4.2.6 Theapplicationprocess 45

4.3 The insurer 45 4.3.1 PacificIndemnityonbehalfofCGU 45

4.3.2 Thebroker 45

4.4 Things to know about the Policy 45 4.4.7 Claims-madepolicy 46

4.4.9 Policyadministration 47

4.4.10 Premiumcalculation 47

4.4.13 Excess 47

4.5 Top-up insurance 484.6 Some terms of the current Policy 49

4.6.4 Whoiscovered? 49

4.6.12 Whatiscovered? 51

4.6.17 Amountofcover 53

4.6.19 Periodofcover 53

4.6.21 AnnualPIIproposal(renewal) 53

4.6.24 Whatisn’tcovered? 54

4.7 Notifications and claims 55 4.7.1 Dutytonotify 55

4.7.18 Dutynottoadmitliabilty 60

4.7.21 Workingwiththeinsurer 60

4.7.22 Reserve 60

4.7.23 Subrogation 61

4.7.27 Claiminvestigationcosts 61

4.7.31 Finalisationofclaims 62

4.8 Complaints about insurance 62

4.9 Relationship with legal profession regulatory bodies 62

4.10 Double insurance 63

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4.1 Introduction4.1.1 TheNationalProfessionalIndemnityInsurancePolicy(NationalPIIPolicy)provides

insurancecovertothecentreforaspecifiedrangeoftypesofcivilliabilitytoanythirdparty.Theliabilitycanbeincurredbythecentreandanypersonwhoisorwasaprincipal,partner,director,employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteer,student,orBoardorManagement/ExecutiveCommitteemember,intheconductofthecentre’s‘ProfessionalServices’,asdefinedinthePolicy.

4.1.2 ThisinsurancecoverisprovidedunderamasterPIIPolicynegotiatedatanationallevelbyNACLCforthebenefitofallfullmembercentreswhowishtoparticipate.EachparticipatingcentrecontributestothepaymentofonenationalpremiumandthetermsandconditionsofthePolicyarethesameforallcentres(savethatindividualcentresmaypayanadditionalpremiumforhighercover).

4.2 Risk management and the National PII Scheme4.2.1 Professionalindemnityinsuranceisariskmanagementstrategy.TheGuideisa

riskmanagementtoolandavaluablesourceofinformationthatprovidesallstaff,volunteersandManagementCommitteeswithinformationaboutPIIandrelatedriskmanagement.

4.2.2 TobeincludedintheNationalPIIScheme,eachcentreneedstobeafullmemberofastateorterritoryassociationofCLCsanddemonstratesatisfactorycompliancewiththeMandatoryStandardsintheGuide.Inordertosuccessfullyimplementtheserequirements,acommitmentisrequiredfromeachcentre’sManagementCommittee,theprincipalsolicitororotherResponsiblePerson,allotheremployees,bothlegalandnon-legal,andallcentrevolunteers.

The National PII Policy4.2.3 Until1988,eachCLCnegotiatedPIIindividuallywithabrokerandanunderwriter.

Duetoanomaliesbetweencentresinpolicies,coverageandpremiums,the1987NationalCLCConferencedecidedtodevelopanationalCLCindemnityschemeandthenationalPolicybeganin1988.Since2002ithasbeenwithCGU,andfrom2017thePolicyisissuedbyPacificIndemnityUnderwritingSolutionsonbehalfofCGU.ThePolicygenerallycoversabout 160operatingcentres.

4.2.4 MostcentrescurrentlychoosetoparticipateintheNationalPIISchemeandhavecoverundertheNationalPIIPolicy.Importantly,theSchemehasbeensuccessful–claimshavebeenfewandpremiumshavestayedrelativelylow.Otherbenefitshaveincluded:

• acementingofacooperativeandcollaborativeapproachbycentrestoriskmanagementandorganisationaldevelopment

• amechanismfortheearlyidentificationofareastoaddresstoreduceriskandprovidetrainingandsupportinresponse

• improvementsinservicedatarecordingandconflictchecking

• demonstratedsuccessinsector-ledselfregulationbyapeerreviewinitiativeaimedatqualityassuranceandorganisationaldevelopmentsupport.

4.2.5 AcopyofthecurrentNationalPIIPolicyWordingisatAppendix A19.TheSchedulethatformspartofthePolicyforthe2016-17policyperiodisatAppendix B.

19ThePolicyWordingandPolicyScheduleincludedwiththeGuideatpublicationarethosevalidforthe2017-18policyyear.

P R O F E S S I O N A L I N D E M N I T y I N S U R A N C E A N D T h E N AT I O N A L P I I P O L I Cy

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ThePolicyScheduleisupdatedeachyear,andthePolicyWordingmayalsochangefromtimetotime–thecurrentversionsarealwaysmadeavailabletoparticipatingcentres,includingviatheNACLCwebsite.See4.6below.

The application process4.2.6 AcentrethatisafullmemberofastateorterritoryCLCassociationmayapply

tobeinsuredundertheNationalPIISchemeusingNACLC’sapplicationformandthePII‘Proposal’formontheNACLCwebsite(seeNACLCMembers’page).ThePIIsectionoftheProposalformwillneedtobecompletedbythecentre’sprincipalsolicitor.Oncecomplete,bothformsshouldbesenttoNACLC.

TherelevantstateorterritoryPIIrepresentativethenvisitsthecentreandusestheCross-check Questionnaire(seeAppendix D)toassessthecentre’scompliance,orforanewcentre,proposedarrangementsthatwillenableittocomply,withtheMandatoryStandardsintheGuide.ThePIIrepresentativethenadvisesthecentreandNACLCoftheresultofthisassessmentandoftheirrecommendationastothecentre’sinclusionornon-inclusionintheScheme.Whereadecisionismadetoincludethecentre,NACLCthenadvisesthebrokerandinsurer(andsendsintheProposalform)andnotifiesthecentreofthepremiumpayable.

4.2.7 TherenewalprocesscommencesinaboutFebruary/Marcheachyear.See4.6.21-24.

4.3 The insurerPacific Indemnity on behalf of CGU

4.3.1 PacificIndemnityUnderwritingSolutionsPtyLtd(AFSL480863)currentlyunderwritestheNationalPIIPolicyonbehalfofCGUInsuranceLimited(AFSL238291).DetailsofPacificIndemnitycanbefoundontheirwebsite–seewww.pacificindemnity.com.au.

The broker4.3.2 TheinsurancebrokeriscurrentlyMcDougallKellyMartinisInsurancePartners,

andthecurrentcontactdetailsareavailableontheMembers’PageoftheNACLCwebsite.Wheneverpossible,contactwiththeinsurershouldbeviathebroker.

4.3.3 AcentreshouldtalktoitsPIIrepresentativebeforecontactingthebrokerorinsurerinrelationtoanewnotification.Iftheycannotbecontactedandthematterisurgent,contactaPIIrepresentativefromanotherstateorterritory.IfthecentrecannotgetholdofaPIIrepresentativeanditjudgesthemattertobeurgent,thecentremaynotifythebrokerbutmustinformthePIIrepresentativeassoonaspossiblethereafter.See4.7.10-13.ContactdetailsforPIIrepresentativescanbeobtainedfromtheNACLCwebsite.

4.4 Things to know about the Policy4.4.1 TheNationalPIIPolicycoversthecentrewhereitisalegalentityorinsomecases

thatpartofthelegalentitywhichoperatesasaCLC,andanypersonwhoisorwasaprincipal,partner,director,employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteer,student,orBoardorManagement/ExecutiveCommitteememberforaspecifiedrangeoftypesofcivilliabilitytoanythirdparty,incurredintheconductofthecentre’sProfessionalServices,asdefinedinthePolicy.See4.6 below.ThePolicyalsocoversthepastactsandomissionsofany(former)centre(anditsformeremployees,volunteersetc)thatwaspreviouslypartoftheSchemebuthasceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity,provided


46


thecentreislistedontheregister(maintainedbyNACLC)attachedtothePolicySchedule:see4.6.10-11below.

4.4.2 AllpeopleinvolvedwithacentreincludedinthisPIISchemeshouldbefamiliarwiththetypesofclaimscoveredbythePolicy.ThesearesetoutinthePolicywithanyamendmentsincorporatedintotherelevantyear’sSchedule.See4.6.12-16 below.ThePolicy,asamendedbytheSchedule,specificallyexcludessometypesofclaimsanditisimportantforcentrestaffandmanagementtobefamiliarwiththeseprovisions.See4.6.25-28 below.

4.4.3 BeingamemberoftheNationalPIISchemeentitlesallparticipatingcentres–fundedorun-funded,volunteerorpaidstaff–thesamecoverageandsupport,regardlessoftheirsizeorresources.

4.4.4 ThecurrentNationalPIIPolicyprovidescoverofupto$5millionforanyoneclaim,withanannualaggregateof$10millionforeachcentre.

4.4.5 Thereisan‘Excess’or‘Deductible’of$10,000(costsinclusive)applicabletoeachclaim,whichmeansthecentreisliableforthefirst$10,000towardsanyclaim’spaymentorcosts.NACLCmaintainsanExcessFund(see4.4.13-19 below)toassistcentresthatneedittomeetthecostofanexcesspayment.AnycentrewishingtoapplyforacontributionforpayingtheExcess,shouldcontacttheirPIIrepresentativeabouttheprocedure.

4.4.6 Thepolicyis‘renewed’(or,moreaccurately,anewpolicyistakenout)annuallybeforeeachyear’sinsurancecoverendson30June.Eachpolicyineachsuccessiveyearisaseparatepolicy,beginningonitsrespectiveinceptiondate.Thisissoeventhoughacentremayhavecontinuouscoverwiththeoneinsurer,andisrenewingyearafteryear.TobecoveredbythePolicy,anoperatingcentremustsubmitacompletedProposal(renewal)formeveryyear,usingtherequiredform,andtheinsurermusthaveacceptedthatProposalinorderforittobeoperative.Thisisnotnecessaryinrespectofcentresthatnolongerexistoroperateorthathavemergedwithorbeenacquiredbyanotherentity:see4.6.10-11below.Currentproceduresgarnerallnecessaryinformationtoallowthepolicyrenewaltooccurasseamlesslyaspossible,andcentreshaveanobligationtocooperatefullyintherenewalprocess.See4.6.21-24.

Claims-made policy4.4.7 ThePolicyisaclaims-madepolicywhichmeansthatthePolicythatappliesisthe

policyinforceatthetimewhenaclaimismade,ratherthanthepolicywhichisinforceatthetimethattheeventgivingrisetotheclaimoccurred.Onthisbasis,thePolicyrespondstoaclaimmadeduringthepolicyperiod.Itisimportanttounderstandthesemattersastheyarerelevanttocoverage(includingofclaimsarisingfrom‘KnownCircumstances’)andtheimportanceofpromptnotification(tothebroker/insurer)ofclaimsandpotentialclaims,asdescribedbelowandinmoredetailat4.7.

4.4.8 Tobecoveredbythepolicy,itiscriticalforeachcentretodiscloseanyactualclaims,andanyfact/sorcircumstance/sthatmightgiverisetoaclaim,assoonaspossibleandparticularlybefore the renewal date(i.e.30June).howeverifacentreinadvertentlymissesthisdate,theymaystillbeabletonotifyorclaimandshouldtalktotheirPIIrepresentativeimmediatelyaftertheyrealisetheissue.See4.7.

Policy administration4.4.9 NACLCisresponsiblefortheadministrationofthePolicyandpolicynegotiation.

Certificatesofcurrencyaresenttoallparticipatingcentreseachyear,alongwith


47


informationaboutthePolicy(includingwheretoobtainpolicydocuments).Itisveryimportantthateachcentreretainstheircertificateofcurrencyinasafeplace.Ifnecessary,copiesofcurrentoroldcertificatescanbeobtainedfromNACLC.ThePIIPolicydocumentsareavailableontheMembers’PageoftheNACLCwebsite.IfyouhaveanyquestionsaboutthePolicyyoushouldcontactyourPIIrepresentative.Forcopiesofpreviouspolicydocuments,pleasecontacttheNACLCoffice.

Premium calculation4.4.10 AnannualPIIpremiuminrespectofallparticipatingcentresisnegotiated

withtheinsurer(viathebroker)byNACLC.Thispremiumhasremainedverycompetitivebecauseofthelowclaimsrecordincentres,thenatureoftheirwork,thebuyingpowerofonenationalarrangement,andrecognitionofthequalityassuranceprocessprovidedbytheannualcross-checksandtheNationalAccreditationScheme.

4.4.11 Thenationalpremiumisbrokendownstate-by-stateonthebasisoftotalstateandterritorycentreincomelevels.Thecentre-by-centrepremiumisthenbasedoneachcentre’sincomeasapercentageofthestate/territorytotalpremium.

4.4.12 Premiumscollectedfromeachparticipatingcentre,orotherdesignatedorganisationbythebroker.TheadministrationfeechargedtocentrescoverssomeofthecostsNACLCincursinmanagingandadministeringtheScheme,includingmaintainingtheExcessFund.

Excess4.4.13 Since2002,theNationalPIIPolicyhasincludedanExcess/Deductibleof$10,00020,

whichiscostsinclusive.Thismeansthatthecentreisrequiredtopaythefirst$10,000towardsclaimpaymentsand/orcosts,andtheinsurerwillbeliableforthecostsandclaimpaymentsabovethat$10,000,anduptothe‘PolicyLimit’.SometimestheinsurermightpayforeverythingupfrontandaskthecentretoreimburseitfortheExcesslater.

4.4.14 In2002,NACLCestablishedanExcess FundtoassistcentrestomeetmostofthecostoftheExcess,shouldaclaimbemadeagainstacentre.TheCommonwealthmadetheoriginalcontributionof$30,000tothefundinJuly2002andthefundcontinuestobemaintainedbyNACLC.ItistoppedupasnecessaryfromadministrationcostscontributionscollectedbyNACLCfromthecentresatthesametimeasitcollectsthepremiumpayments.

4.4.15 Previously,NACLCalsomaintainedaLegalInvestigationCostsFund,whichoperatedinasimilarwaytotheExcessFund.In2016thetwoprocessesandfundsweremergedandtheLegalInvestigationCostsFundwasclosed.

4.4.16 IfaclaimismadeagainstacentreandthatcentreisrequiredtopaytheExcess(inrelationtoeitheraclaimpaymentortocostsincurred),thecentremayapplytotheExcessFundtoassistinpayingtheExcess.Paymentisnotguaranteed.

4.4.17 CentreswishingtoapplytothePIIExcessFundshouldcontacttheirstateorterritoryPIIrepresentative,andprovidethefollowinginformationinsupportoftheapplication:

• Claimdetailsand/ornotificationform(assuppliedtotheinsurer),andanyadditionalrelevantcorrespondencewiththebroker/insurer;

20TheExcessforenquiriesis$1,000.


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• Allinvoicesissuedbytheinsurerand/ortheirlawyers,and/oranyothersettlementdocumentsorotherdocumentstoevidencethetotalpaidclaimamountaswellastheamountultimatelypaidbythecentre(i.e.thatthecentrehasindeedpaidtheExcess).Wheretheinvoiceisforlegalcosts,thecentre’sprincipalsolicitormustcarefullychecktheitemisedaccount(andifnecessaryrequestone)andverifythatallitemsarereasonableandappropriatelycharged,andincludetheiradvicetothiseffectintheapplication;

• OutlinetheimpactonthecentreifitwasunabletoaccessthePIIExcessFund,whichmightconsiderthecentre’sauditedannualaccounts,aswellasinformationaboutanyalternativesourcesoffundingtheyhavewhichcouldbeusedtopayallorpartoftheExcess;

• Thecentre’sclaimshistory–ifthereareseveralclaimsofasimilarnature,oriftheclaimhasarisenoutofacross-checkissue,thecentreshouldexplainwhatactionsithastakentoremedythecausesofsuchclaims;

• Anyspecialcircumstancesthatwouldjustifythewaiverorpartialwaiveroftheminimumcentrecontributionof$2,500.

4.4.18 ApplicationsareinitiallyconsideredbythePIIRepresentativeandtheNationalPIINetwork(oradesignatedsubcommitteeoftheNetwork),takingintoaccounttheinformationprovidedbythecentre.TheNationalPIINetworkthenmakesarecommendationtoNACLCabouttheapplication.NACLCmakesthefinaldecisionand(ifapproved)arrangesthepayment.

4.4.19 AcentrethatisapprovedforfinancialassistancefromtheExcessFundisrequiredtopaythefirst$2,500oftheExcess.

4.4.20 Centresshouldchecktheirfundingagreementstoseeifthereareanyrestrictionsorrequirementsinrelationtotheirpayingthecostsofclaimsornotifications.

4.5 Top-up insurance4.5.1 Top-upinsuranceiscoverforamountsgreaterthanthatprovidedbythePolicy

(see4.6.17)andisanoptionthatisopentoallcentresasindividualentities.Ahigherlevelofcovermaybearequirementofacentre’sfunding,ormaybeindicativeofthetypesofmattersthatthecentre’sworkershandleintheirday-to-dayoperations.Whendecidingwhethertotakeouttop-upinsuranceacentreshouldconsiderthefollowing:

• amount of cover needed:havingregardtotheindividualcircumstancesoftheparticularcentreincludingitsoperationalsizeandthenatureoftheactivitiesundertakenandServicesprovided.

• retroactivity:centresthatpurchasetop-upinsuranceshouldensurethepolicycoversallpastactivitiesandadvice.Thistypeofcoverwillmostoftenappearasretroactivecoverandthepolicyshouldsaywordstotheeffectthat,‘retroactivecoverisunlimited’or‘theretroactivedateiswithoutlimitationofdate’.Ifapolicyispurchasedwithoutretroactivecovertheremaybegapsincoverage.

• disclosure:thePolicyprovidescoverforclaimsotherwisecoveredbythePolicyarisingfroma‘KnownCircumstance’incertainsituations.Sometop-upprofessionalindemnitypoliciesmayexcludeknownclaimsand/orclaimcircumstances.Thisshouldbecheckedcarefully.Itisessentialthatallclaimsand/orcircumstancesthatmayleadtoaclaimaredisclosedinanyproposalorapplicationfortop-upinsurance.Afailuretostrictlycomplywiththeseproposalobligationsmayresultincoverbeingavoided.


49


• consistency of terms:itisimportantthatthetermsofcoverageofthetop-uppolicyarethesameorfollowascloselyaspossibleanddonotconflictwiththewordingoftheprimaryPolicy.Anydifferencesmaycreategapsincover,whichcouldhaveconsequencesifaclaimoccurs.

• each and every claim limit versus aggregate limit:sometop-uppolicieswillcovercentresonaneachandeveryclaimbasis,meaningthecentrewillbecoveredformultipleclaimsaslongasthemaximumsingleclaimisnomorethanaspecifiedamount.Aboveacertainamount,mosttop-uppoliciesreverttoanaggregatelimit,meaningthatacentreiscovereduptotheaggregateamountofthevalueofallclaimsduringtheperiodofinsurance.

4.6 Some terms of the current Policy4.6.1 ThePIIpolicyismadeupofaPolicyWordingandaPolicySchedule.ThePolicy

Wordingisastandarddocumentfromtheinsurerorbroker(inthiscase,theinsurer),whichsetsouttheirstandardtermsofinsurance.ThePolicySchedulesupplementsthePolicyWording,toincorporateanyspecifictermsagreedbetweentheinsurerandtheinsuredforthatpolicyyear.AnewPolicyScheduleisissuedeachyear,howeverthePolicyWordingmayremainthesameforseveralyears.Referencesinthissectionto‘thePolicy’refercollectivelytothePolicyWordingandthePolicySchedule.

4.6.2 ThecurrentPolicyWordingisincludedatAppendix AtothisGuide.AcopyofthePolicySchedulefor2017-18isincludedatAppendix BtothisGuide,withinformationrelatingtoindividualcentresredacted.21

4.6.3 ItisimperativethattheResponsiblePerson,centremanagement,andemployedandvolunteerworkersarefamiliarwiththetermsofthePolicyWordingandthePolicySchedule.RememberalsothatpartsofthePolicy,usuallyonlythePolicySchedule,changefromyeartoyear.

Who is covered? 4.6.4 Generally,theterm‘you’appliestoanyperson(whichincludesalegalentity)

thatiscoveredbythePolicy,andtheterm‘NamedInsured’referstothepersonorentitywho/whichpaysmoneytotheinsurerandentersintothecontractforinsurancecoverwiththeinsurer.IntheNationalPIIPolicy,NACLCisthecontractingparty;‘NamedInsured’,referstoNACLCandallthecentreslistedintheregisterattachedtotheScheduletothePolicyeachyear(asamendedfromtimetotime),andalso‘Principals’ofthosecentres;andtheterm‘you’mayrefertothecentresaswellastheindividualsfromthosecentresthatareinsuredbythePolicy(see4.6.5-4.6.9).Arelativelysmallnumberofcentresarenotincorporatedandtheyareaprogramofanother,incorporated,organisation.Inthesecases,the‘NamedInsured’istheumbrellaorganisation,althoughitisonlyinsured‘initscapacityas’therelevantcentre.

4.6.5 ThePolicyWordingdefinesthemeaningofthe‘you’(ietheInsured)’and‘NamedInsured’,however,inthecurrentPolicythesesectionshavebeenfurtherexplainedbyendorsementsinthePolicySchedule,whichspecifiesalltheclassesofentitiesandpeoplecoveredbythePolicy.

21ThePolicyWordingandPolicyScheduleincludedwiththeGuideatpublicationarethoseforthe2017-18policyyear(validto30June2018).ThePolicyScheduleisupdatedeachyear,andismadeavailabletoallparticipatingcentres.ThePolicyWordingmaybeupdatedorchangedfromtimetotime,andthecurrentversionwillalwaysbeavailabletocentresviatheNACLCwebsite.


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4.6.6 Definition of ‘Named Insured’ inthePolicyWordingprovides:

Named Insured

Eachofthefollowing,individuallyandjointly:

a) eachperson,firmorincorporatedbodyidentifiedintheScheduleasaNamed Insured;

and

(a) anyentitywhichisengagedintheprovisionofProfessional Servicesandwhichiscreatedandcontrolled,whilethisPolicyisinforce,byanyoneidentifiedintheScheduleasaNamed Insured;and

(c) anyonewhobecomesaPrincipaloftheNamed InsuredwhilethisPolicyisinforce(butonlyinrespectofworkundertakenfororonbehalfoftheNamedInsuredfirmorincorporatedbody).

(d) Anyperson,firmorincorporatedbodywhoisentitledtoCoverunderthetermsofthis Policy(asabeneficiary).

4.6.7 Definition of the ‘You’: Endorsement5.2inthePolicyScheduleprovides:

5.2 Thedefinitionof“you”isdeletedandreplacedwiththefollowing: “youmeanseachofthefollowing,individuallyandjointly:

a) eachincorporatedbodyortradingentityidentifiedintheScheduleasanInsuredCentreandanypriorcorporateentities;and

b) anypersonwhois,wasorshallbeaPrincipal,partner,director,Employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteerorstudentintheanInsuredCentre;andanyothernaturalpersoninvolvedinthegovernanceofanyInsuredCentres,includinganyboard,managementcommittee,advisorycommitteeorexecutivecommitteemember,totheextentthatsuchpersonactsoractedinthecourseoftheprovisionoftheProfessionalServicesCoveredbythisPolicy,butnotinrespectofClaimsorlossesarisingoutoforrelatedtofraudordishonestyandonlyinrespectofworkundertakenforandonbehalfofanInsuredCentre;and

c) anyentitywhichisengagedintheprovisionofProfessionalServicesandwhichiscreatedandcontrolled,whilethisPolicyisinforce,byanInsuredCentre;and

d) Anyperson,firmorincorporatedbodywhoisentitledtoCoverunderthetermsofthisPolicy(asabeneficiary);and

e) eachincorporatedbodyortradingentitylistedintheattachedlistofInsuredCentresthatpreviouslycarriedontheProfessionalServicesCoveredbythisPolicy(andonlyinrespectofthoseservices),butwhoorwhichhassubsequentlyceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity;and

f) EachincorporatedbodyortradingentitylistedintheattachedlistofRun-offInsuredCentresbutonlyforClaimsforCivilLiabilityarisingfromtheprovisionofProfessionalServiceswhilsttheywereanInsuredCentre.

4.6.8 The‘you’includesconsultants,contractorsetc,asspecifiedin(b)above,totheextenttheyare/wereprovidinglegaladviceand/orrelatedservicesatorinconnectionwithacentrelistedintheregister.Clearlythiswouldcoveranycontractor,consultantetcwhoisanaturalperson.Itisnotclearwhetheritwould


51


includecontractorsetcthatareincorporatedentities.Giventhis,anycentresengagingcontractors,consultantsetcthatareincorporatedentitiestoprovideprofessionalservicesforthecentre,mayconsideritwisetoensurethatthoseentitieshavetheirownPIIcover.

4.6.9 ThePolicycontainsadefinitionof‘Employee’,andspecificallyincludes‘avolunteerworkerorstudent’inthatdefinition.22Accordingly,volunteersincludingstudentsarecoveredbythePolicytothesameextentasapaidemployee.

Effect of cessation or change of centre: run-off cover for the centre and its employees, volunteers etc

4.6.10 ThePolicycoversclaimsmadeandnotifiedagainstacentre,and/oragainstanypersonwhowasanemployee,volunteeretcatthecentre,wherethecentrewaspreviouslypartoftheNationalPIISchemebutthelegalentityhasceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity(sometimescalled‘aRun-Offevent’),orhasotherwiseceasedtoperformtheProfessionalServicescoveredbythePolicy,providedthecentreislistedontheregisterattachedtothePolicySchedule.Whereacentreisintendingtoceaseoperations,ortomergewithorbeacquiredbyanotherorganisation,orforanyotherreasontochangeitslegalidentity,theResponsiblePersonshouldnotifytheirPIIrepresentativeandNACLC.IfandwhentheRun-Offeventoccurs,theinsurershouldbenotified,viathebroker,asshouldNACLCsothattherelevantdetailscanberecordedontheregister.

Centres that leave the Scheme and insure with another insurer

4.6.11 Run-offcoverdoesnotapplytocentresthatcontinuetooperatebuthavechosentoleavetheSchemeandobtainPIIfromanotherinsurer.ThereforeitisimperativethatifacentreisleavingtheSchemeitensuresthatitsnew(replacement)PIIpolicyprovidesfullretroactivecoversothatthenewpolicywillcoverclaimsmadeinrespectofservicesprovidedbeforethecentreenteredintothatnewpolicy.Inparticular,thereplacementpolicyshouldnotcontainaretroactivedateorapastactsexclusion.WhereacentrethathasbeenpartoftheSchemeintendstoleavetheSchemeandtakeoutreplacementinsurance,theResponsiblePersonshouldnotifytheirPIIrepresentativeandalsoNACLC.

What is covered?4.6.12 CoverageisdiscussedinmanyplacesinthePolicyandallsectionsshouldbe

identifiedandreadcarefully.Someofthemainrelevantsectionsare:

• InsuringClauses(page2)

• Extensions(pages2-4)

• WhatIsNotCovered(pages5-7)

• ClaimsConditions(pages8-9)

• GeneralProvisions(pages 11-12)

• Definitions(pages13-15)

NotealsotheamendmentsmadetocertainpolicytermsinthePolicySchedule.

22NotethatinpreviousversionsofthePolicyWordingusedpriorto2016,volunteerswerecoveredbythePIIPolicy,bywayofanendorsementinthePolicySchedule.Thisisnolongernecessaryduetothespecificinclusionofthemwithinthedefinitionof‘Employee’withinthePolicyWording.


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4.6.13 InsuringClausesstate:

3.1 The Cover We Provide

WewillpaytooronyourbehalfallawardsofdamagesandawardsofclaimantscostsagainstyouresultingfromanyClaimforCivilLiabilityarisingfromtheprovisionofProfessionalServicesbyoronbehalfoftheNamedInsured.

WedothisonlyforClaimswhichare:

(i) madeagainstyouduringthePeriodofInsurance;andwhich

(ii) WearetoldaboutinwritingassoonasreasonablypossibleduringthePeriodofInsurance;andwhich

(iii)AriseoutofanacterrororomissionaftertheRetroactiveDate,ifany,specifiedintheSchedule.

4.6.14 InsuringClauseClarifications(page2)outlinesthetypesofclaimscovered(althoughitisnotanexhaustivelist).Claimscaninclude:

• breachofprofessionalduty

• breachofprivacyorconfidentiality

• breachoffiduciaryduty

• defamation

• lossofordamagetodocuments

• breachesofmisleadinganddeceptiveprovisionsofvariouslegislation

• infringementofintellectualproperty.

InsuringClausealsoprovidescoverforthelegalcostsandexpensesofinvestigating,defendingorsettlingaclaim(‘ClaimInvestigationcosts’),uptothePolicyLimit.

4.6.15 ThecurrentPolicyScheduledefinesthe‘ProfessionalServices’as:

Legaland/orrelatedservicesprovidedatorinconnectionwithaCommunityLegalCentre,whethertoaclientorclientsorinthepublicinterestgenerally,includingbutnotlimitedto:

Legalandrelatedinformation,referral,assistance,advice,casework,advocacy,representation,andcourtsupport;outreachservices;domesticviolenceadvocacy;immigrationassistancebyregisteredmigrationagents;tenancyadviceandassistance;mediationanddisputeresolution;communitylegaleducation;communityeducation;lawandpolicyreform;legalsystemandpublicinterestadvocacy;socialworkassistance;Financialcounselling;mediareleasesandinterviewsincludingsocialmedia;providingorpublishinglegalandrelatedpublicationsandmaterialsincludingself-helpkits.

ThedefinitionofProfessionalServicescanbeamendedbyagreement.

4.6.16 Itisimportantthatifanycentreisunsureastowhetheritiscoveredforanyworkitisundertakingorwhichisadditionaltoordifferentfromthetypesofserviceslistedinthedefinitionof‘ProfessionalServices’orotherwisedisclosedintheirProposalform,theycontactthebrokertodiscusswhethertheyarecoveredforthatactivityinadvanceofundertakingthatwork.Whencontactingthebroker,pleasealsoalwaysinformthePIIrepresentativeoftheenquiryandtheresponseassoonaspossible.


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Amount of cover4.6.17 Theamountofcover,thatis,thetotalsuminsuredforeachcentre,issetoutinthe

PolicyScheduleandis,subjecttoanycentre’sindividualvariation,setat$5millionforanyoneclaim,andanannualaggregateof$10millionforeachcentre.23

4.6.18 Endorsement1.2ofthePolicyScheduleliststhecentresthathavepaidahigherpremiumandtakenoutahigherlevelofinsuranceof$10millionperclaimunderthisPolicy,withanaggregateof$20million.Therearecurrentlysevencentresthattakeoutthehighercover.InallotherrespectsthePolicyisthesameforthesecentres.

Period of cover4.6.19 TheperiodofcoverissetoutinthePolicyScheduleunder‘PeriodofInsurance’,

andcurrentlyrunsto4pmon30Juneeachyear.

4.6.20 ThePolicyisrenewedannuallyandcoverageisforthefinancialyear.

Annual PII Proposal (renewal) 4.6.21 ItisveryimportantthatallannualProposalformsarereceivedpromptlyby

NACLC,andthatallrelevantinformation,especiallyneworalteredinformation,iscommunicatedtoNACLCtopassontothebrokerandinsurer,includingduringtheperiodbetweenwhentheProposalformissubmittedand30Juneeachyear.Centresmustcooperatefullyintheannualrenewalprocess.FulldisclosuremustbemadeinresponsetoeachquestionontheProposalform;otherwisetherequirementsofthe Insurance Contracts Act 1984(Cth)withrespecttothedutyofdisclosuremayaffectthecover.(ThedutyofdisclosureunderthisActissummarisedintheProposalform.)

4.6.22 CentresshouldensurethattheirannualProposalformcontainsinformationonalltheServicesthattheircentreprovidesincludingatanybranchofficesandanyspecialisthostedservices,programsorprojectsundertheirauspices(see7.10).TheexpandeddefinitionofProfessionalServicesshouldcovermostactivitiesandservicescarriedoutbycentres.however,ifanyofacentre’sactivitiesorservicetypesmightnotfitwithinthatdefinition,thecentreshoulddescribetheminthespaceprovidedontheProposalform.Centresshoulddothiseveryyear,evenifsuchServices/activitieshavebeendisclosedinProposalformssubmittedinpreviousyears.

4.6.23 Whereanunincorporatedcentreispartofanotherorganisationthatisthelegalentity,thosedetailsmustbenotedontheProposalformintherelevantspacesprovided.TheProposalformmustbesignedbyanauthorisedofficeroftheumbrellaorganisationaswellasbythecentre’sprincipalsolicitor.

What isn’t covered?4.6.24 ThePolicyhasspecifiedlimits,exclusionsandexceptions.See:

• PolicyWordingpage7:Limits&GST

• PolicyWordingpages5-7:WhatIsNotCovered

4.6.25 Thereareseveraltypesofclaimsspecifiedinthe‘WhatisnotCovered’sectionasbeingnotcovered(someofwhichareamendedbyendorsementsinthePolicySchedule).Theyare:

• knownClaimsandClaimsarisingfromKnownFactswhichmaygiverisetoaClaimorloss:(page5)(see4.7 below)

23PIIPolicySchedule,‘LimitofLiability’andEndorsement1.1.


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• foreignjurisdictions:(page5)

• assumeddutyorobligation:(page5)(forexample,ifacentregaveacontractualindemnity,orareleasetoaperson/entityfromliabilitytothecentre)

• [notethattheRelatedPartiesexclusionin(page5&6)hasbeenremovedbyEndorsement2.1inthePolicySchedule:see4.6.29-30below]

• refundofprofessionalfeesandtradingdebts:(page6)

• profit:(page6)

• insolvency:(page6)

• goodsandworkmanship:(page6)asamendedbyEndorsement2.2inthePolicySchedule

• employers’liability,directors’andofficers’liability,occupiers’liability,motor,marineetc:(page6)asamendedbyEndorsement2.3inthePolicySchedule

• punitiveandexemplarydamages:(page6)

• intentionaldamage:(page6)

• deregistration:(page6)

• asbestos:(page7)

• radioactivityandnuclearhazards:(page7)

• waranduprisings:(page7)

• Terrorism(asdefinedinthePolicy):(page7)

• pollution:(page7).

4.6.26 Inaddition,thePolicySchedule,inEndorsement2.4,specificallyexcludescoverforanyclaim:

MortgageFunds

Directlyorindirectlyrelatedto,basedupon,attributabletoorinconsequenceofanymortgagefund,investmentschemeoranylikeformofcontributoryinvestmentschemepromoted,managed,endorsedorotherwisecountenancedbytheInsured.

NativeTitleClaims

Directlyorindirectlyrelatedto,basedupon,attributabletoorinconsequenceofanynativetitleclaims.

4.6.27 Mostimportantly,limits,exclusionsandexceptionstothePolicymaychangefromyeartoyearanditisessentialthatcentrestaffandmanagementensurethattheyarefamiliarwiththecurrentPolicyWordingandSchedule.

4.6.28 In2014-15,NACLCnegotiatedwiththeinsurertoremovethe‘RelatedParties’exclusionthatpreviouslyexistedinthePolicy.Endorsement2.1ofthePolicyScheduleeffectsthatremoval.ThisremovaleffectivelyclarifiesthatcoverisprovidedinrespectofclaimsthatarebroughtagainstoneinsuredbyanotherinsuredunderthePolicy,arisingoutofProfessionalServicesprovidedbythefirstinsuredtothesecond.Endorsement4.1confirmsthiscoverbywayofanewsub-section(c),whichalsofurtherclarifiesthat,insuchcircumstances,‘theInsuredbringingsuchClaimisdeemedtobeathirdpartyforthepurposesofthePolicy’.


55


4.6.29 Accordingly,whereaclaimarisesincircumstanceswhereLegalAdviceorotherServiceswereprovidedtootherinsuredcentre/sortoemployees/volunteersofthefirstcentre,itwillstillfallwithintheprofessionalindemnitycoverprovidedbythePolicy,subjecttothetermsandconditionsofthePolicy.

4.6.30 ItisimportanttonotethatthisGuideappliestocentresfortheprovisionofallprofessionalservices,irrespectiveoftheidentityoftheclient.Accordingly,thesameprotocolsthatarefollowedforprovidingprofessionalservicestoexternalclientsmustalsobefollowedwhenprovidingLegalAdviceorotherServicestoemployees/volunteersofthatcentreortoothercentresinsuredunderthisSchemeortheiremployees/volunteers.Failuretofollowthosesameprotocolsmayimpactonthecoveraffordedbytheinsurerintheeventofaclaim.

4.7 Notifications and claimsDuty to notify24

This is a Mandatory Standard.

Notification of claims or losses

4.7.1 UndertheNationalPIIPolicy,acentremustnotifytheinsurerinwritingas soon as possible,andwhilethePolicyisinforce,aboutaclaimorloss.Thisisafundamentalcontractualobligation:Policypages2(InsuringClause)&8(WemustbetoldaboutClaims)(amendedbyEndorsement3.1ofthePolicySchedule).

Endorsement3.1ofthePolicySchedule,whichreplacestheClauseonpage8,says:

youmusttellUsinwritingaboutaClaimassoonaspossibleduringthePeriodofInsurance.however,thisinsurancewillnotbeprejudicedbyanyinadvertentdelay,errororomissioninnotifyingUsofanyClaimsunderthePolicyprovidedthatsuchnotificationisreceivedbyUswithin28daysoftheexpirydate[ofthePolicy].

4.7.2 ‘Claim’isdefinedonpage13ofthePolicyas:

Claim

Thereceiptbyyouof:

(a) anyoriginatingprocess(inalegalproceedingorarbitration),crossclaimorcounterclaimorthirdpartyorsimilarnoticeclaimingcompensationagainstyou;or

(b) anywrittenorverbaldemandfromathirdpartyclaimingcompensationagainstyou.

4.7.3 Therequirementtonotify‘duringthePeriodofInsurance’meansthatthenotificationofaclaimorlossmustbemadenolaterthan30Juneeachyearatwhichtimethecurrentinsurancepolicyexpiresandbeforethenewfinancialyear’spolicycomesintoeffect(althoughnotethatthishasbeenextendedto28dayslateinEndorsement3.1).howeveritisthephrase‘assoonaspossible’thatisparamountandthephraseisinterpretedstrictlybyinsurers.

Notification of potential claims: facts or circumstances that might give rise to a claim

4.7.4 TobecoveredbythePolicythecentremustalsonotifythebroker/insurerinwritingofanyfact/s or circumstance/s that might give rise to a claim,andmust

24ForadetaileddiscussionofobligationstonotifyunderPIIpolicies,seethehighCourtdecisionFAI General Insurance Company Limited v Australian Hospital Care Proprietary Limited[2001]hCA38.


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dosoas soon as is reasonably practicable after becoming awareofthosefactsandcircumstances.Thisisforthefollowingreasons:

(a)Section40(3)oftheInsurance Contracts Act 1984(Cth)(ICA)providesthat:‘Wheretheinsuredgavenoticeinwritingtotheinsureroffactsthatmightgiverisetoaclaimagainsttheinsuredassoonaswasreasonablypracticableaftertheinsuredbecameawareofthosefactsbutbeforetheinsurancecoverprovidedbythecontractexpired’,thentheinsurerwillstillbeliableunderthatpolicyforaclaim,eveniftheclaimismadeafterthatpolicyexpired.Importantly,wherethereisanydelayinthenotificationtotheinsurerofthefactsandcircumstances,theinsurer’sliabilitytoindemnifytheinsuredagainsttheclaimisreducedtotheextentthatithasbeenprejudicedbythelatenotification.25

(b)PIIpoliciesgenerallyexcludecoverforclaimsthatarisefrom‘KnownCircumstances’.ThePolicydefinesa‘KnownCircumstance’as:

Anyfact,situationorcircumstancewhich:

(a) anInsuredwasawareofatanytimebeforethePeriodofInsuranceorbeforethisPolicywasamended/endorsed;or

(b) areasonablepersonintheInsured’sprofessionalpositionwouldhavethought,atanytimebeforethePeriodofInsuranceorbeforethisPolicywasamended/endorsed,

mightresultinsomeonemakinganallegationagainstanInsuredinrespectofaliability,lossorcosts,thatmightbeCoveredbythisPolicyortheamendment/endorsementtothisPolicy.

4.7.5 Thecombinedeffectofthesematterscanbeseeninthefollowingexample:

Acentrebecomesawareofthecircumstancesofapotentialclaim(forexample,havinggivenincorrectLegalAdvice)butdoesnotnotifythemtothebroker/insurerbeforethepolicyexpires(orwithin28daysofexpiry).AclaimarisesfromthosecircumstancesinthefollowingyearatatimewhenthecentrehasadifferentPIIinsurer.Subjecttoanyprovisionstothecontrary,theclaimwillnotbecoveredundereithertheprevious,orcurrent,policy.Underthepreviouspolicytheclaimwillhavebeenmadeafterexpiryofthepolicy.Asthecircumstanceswerenotnotifiedwhilethepolicywasstillonfoot,theclaimdoesnotattracttheprotectionofs40ICA.Underthenewpolicy,theclaimwillhavearisenfrom‘Knowncircumstances’,whicharegenerallyexcludedbyPIIpolicies.

4.7.6 havingsaidthis,thePolicywithPacificIndemnity(andallNationalPIISchemepolicieswithCGUsince2002)containsa‘Continuouscover’clause(page3)whichisanimportantexceptiontotheexclusionofcoverforclaimsarisingfrom‘KnownCircumstances’.Inbroadterms,ifacentrehasbeeninsuredwithPacificIndemnity/CGUandrenewsthecoverwithPacificIndemnity,claimsarisingfromKnownCircumstanceswillbecoveredaslongasPacificIndemnity/CGUwasthePIIinsurerforthecentrewhenthepotentialclaimwasfirstknownandremainedtheinsurerforthecentrecontinuouslyuptoandincludingthetimewhentheclaimarisingfromthoseKnownCircumstanceswasmadeagainstthecentre.Ifthereisanygapinthecover,orthecentrechangesinsurer,thecontinuouscoverbenefitscease.Notethatthereareconditionstothecoverandthesearesetoutonpage3ofthePolicyWording.

25Refertosection54oftheInsurance Contracts Act 1984(Cth)andrelevantcaselaw.


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4.7.7 NotetoothatwhereisadelayinnotificationtoPacificIndemnity,theamountofcoverunderthisContinuouscoverprovisioncanbereducedbytheamountofanyprejudicesufferedbyPacificIndemnity/CGUinconsequenceofthedelay.

So, when should you notify?

4.7.8 TobecoveredbythePolicy,centresshouldgivenoticeinwritingtothebroker/insurerofany claim and/or of any facts or circumstances that might give rise to a claimagainstthecentre(oranyoneelseinsuredbythePolicy)assoonasreasonablypracticableafterreceivingaclaimorbecomingawareofthosefactsorcircumstancesthatmaygiverisetoaclaimandbeforetheexpiryofthePeriodofInsurance.Ifthisisdone,thePIIPolicywill,subjecttoitstermsandconditions,providecoverevenifthatclaimismadeaftertheexpiryofthePeriodofInsurance.TheContinuouscoverclausemeansthatacentremaystillbecoveredforaclaimevenifnotificationofafactorcircumstancethatgaverisetotheclaimwasnotmadebeforetheendoftheinsuranceperiod(providedPacificIndemnityisstilltheinsurerwhentheclaimismadeandtherehasbeencontinuouscoverwithPacificIndemnity).Soifacentreinadvertentlymissesthisdate,theymaystillbeabletonotifyorclaimandshouldtalktotheirPIIrepresentativewithoutdelay.

4.7.9 Delayednotificationcanattheveryleastprejudicetheextentofcoveravailable,andmaymeancoverisdenied.Ifindoubt,notify.Itisbetterandsafertonotifythannot.

4.7.10 ThenotificationformappearsatAppendix C.Ifacentrebelievesithasapotentialclaim,before making any notification to the broker/insurerthecentreshouldgetalldetailsofwhathashappenedandtheResponsiblePersonmustdiscussthematterwiththeirstateorterritoryPIIrepresentativewithoutdelay.ThePIIrepresentativecanassistthecentretocompletetheformandwillmaintainaconfidentialfileonthematter.Iftherepresentativecannotbecontactedandthematterisurgent,theResponsiblePersonofthecentreshoulddiscussitwithaPIIrepresentativefromanotherstateorterritory.Ifthematterissourgentthatthisisnotpossible,thePIIrepresentativeshouldbeinformedatthesametimeorassoonaspossibleafternotifyingthebroker/insurer.

4.7.11 DiscussionwiththePIIrepresentativecanbeveryhelpfulwhendecidingwhethertonotify.PIIrepresentativeshaveawealthofexperienceaboutcentremattersandothersituationsthatmayhavegivenrisetoaclaimorpossibleclaimorgroundsfornotification.Ultimately,however,thedecisionwhetherornottonotifyrestswiththecentre.

4.7.12 Thebrokertoohasusefulexperienceofwhattheinsurermaythinkaboutparticularmattersanditcanbehelpfultogettheirperspective.WhereverpossibleacentreshouldcontacttheirPIIrepresentativefirst,howeveracentremaycontactthebrokerdirectlyfirstifnecessary.Wherethishasbeendone,thecentreshouldinformthePIIrepresentativebyemailorphoneofthequestionaskedandtheresponsegiven.Anyinformationorcommentprovidedbythebroker(ortheinsurer)shouldbefullyrecordedinacontemporaneousfilenote.

4.7.13 Wheneverpossible,anotificationshouldbemadetothebroker,whowillforwardthenotificationtotheinsurer.howeveranotificationcanbesentdirectlytotheinsurer,forexamplebecauseofurgency,inwhichcaseacopyshouldbesenttothebrokerandthePIIrepresentative.

4.7.14 TheResponsiblePersonshouldconsiderreviewingthelegalpracticeanditsrelatedServicespriortosubmittingtheinsuranceProposalformeachyear.ItiscriticalthattheinformationontheProposalformisaccurateatthetimeitissignedandsubmittedandthatanyotherrelevantinformationisnotifiedtothe


58


insurer/brokerbeforetheendofthatyear’scoverandthebeginningofthenewpolicy.Thisisparticularlycriticalforaclaimorcircumstancethatmayhavecometothecentre’sattentionbetweensubmissionoftheProposalformand30June.Asnotedabove,notificationofsuchaclaimorcircumstancemustbemadeassoonaspossible.Further,iftheinsurerisnotnotifiedofanyclaimorcircumstancesby30June,itmayrefusetopaytheclaimentirely,subjecttotheapplicationoftheContinuouscoverclause.

4.7.15 AcopyofanynotificationmustbegiventothePIIrepresentative.ThenotificationwillgenerallybetreatedasconfidentialtothePIIrepresentativeandtheidentityofthecentrewillnotbedisclosedexceptonaneed-to-knowbasiswithintheadministrationoftheScheme:see3.5.17-18.ThePIIrepresentativemustalsobeadvisedoftheoutcomeofanynotification/claimthatismade.

4.7.16 Onceanotificationisreceivedbytheinsurer,page8ofthePolicyreferstotheactionstheinsurercantaketoprotecttheirposition:

We can protect our position

WhenWereceiveanotificationofaClaimorCoveredClaim,thenWecantakewhateveractionWeconsiderappropriatetoprotectOurposition.

Thisdoesnot,however:(a) indicatethatanyInsuredisentitledtobeCoveredunderthisPolicy;or(b) jeopardiseOurrightsunderthisPolicyoratlaw.

4.7.17 ThefollowingflowchartillustratesthenotificationsprocessfortheNationalPIIScheme.


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Knowledge: centrebecomes aware ofcircumstances that

might lead to a claim.

The centre’s Responsible Person (RP) calls their stateor territory PII representative to discuss the

potential notification, and the PII representativeprovides advice. The PII representative records brief

details of the call on a template form.

Centre’s Responsible Person(RP) decides whether or not to

make a notification to the insurer.

Notification to be made: the centre’sRP contacts the insurance broker, providing

details of the circumstances and completing the notification form. The centre’s RP sendsa copy of the notification correspondence

to the PII representative.

Insurance broker: sends notificationdetails to the insurer (or advises thecentre if the circumstances are not

notifiable).

Insurance broker: liaises with centre regarding anyfurther information requested by the insurer, and, if aclaim is made, in relation to the insurer’s investigation

and defence/settlement of the claim.

PII representative: files the notification and relevant correspondence in the

respective Dropbox folder (or other approved record keeping location as appropriate).

Centre’s RP updatesthe PII representative on the broker’s

response, including if thecircumstances are not notifiable.

Centre’s RP regularly updatesthe PII representative on the status ofthe file, including if a claim has been

made/settled/file closed.

No notification to be made:nothing else happens, unless

the circumstances change anda notification is required.

Noti�cations ProcessNotifications Process

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Duty not to admit liability This is a Mandatory Standard.

4.7.18 Theinsuredcentremustnotmakeanyadmissionsofliability.Referpage8ofthePolicy:

You must not admit liability for or settle any claim (or covered claim)

youmustnot:

(a) admitliabilityfor,orsettleanyClaim(orCoveredClaim);or(b) incuranycostsorexpensesforaClaim(orCoveredClaim)withoutfirst

obtainingOurconsentinwriting.IfOurpriorconsentisnotobtained,yourrighttoCoverunderthisPolicymaybeaffected.

4.7.19 OfcoursethisdoesnotpreventacentretakinganyremedialormitigatingactioninrelationtoapotentialclaimitselfbutanysuchactionshouldonlybedoneafterconsultationwiththePIIrepresentativeandthebroker/insurer.Thecentremaybeunderanobligationtocorrectorclarifyadviceand/ortorefertheclientforindependentlegaladvice.Giventhedifficultiesofdoingthiswithoutadmittingliability,thecentreshouldfirsttalktotheirPIIrepresentativeandthebroker/insurer.Onceacentreisawareofaclaimorcircumstancethatcouldgiverisetoaclaim,theyshouldbeextremelycautiousaboutanycommunicationswiththeclientincludingcommunicationsrectifyingerrors(see7.2.9-10).Anadmissionofliabilitycanoccurorbeinferredfromotherbehaviour,forexample,byanapology.Iftheinsurerformsthatviewthatthishasoccurred,itmayaffectcover.Ontheotherhand,ifsomethingsuchasthishasoccurred,ittoomustbenotifiedtotheinsurerassoonaspossible.

4.7.20 NotePage11‘LossPrevention’,wherebyyouarerequiredasaconditionofcover,to:

takeallreasonablestepstopreventanyact,error,omissionorcircumstancewhichmaycauseorcontributetoanyClaimorCoveredClaimwhichmaybeCoveredunderthisPolicy.

Working with the insurer4.7.21 ThereareanumberofPolicyclausesthatgototheneedtoworkwiththeinsurer

andtheiragentsonanymatternotified.TheClaimsCo-operationprovisiononpage8ofthePolicyrequirestheinsuredcentretocooperate‘diligently’andbydoingandallowingtobedone‘everythingreasonablypracticable’toavoidorlessenliabilityorloss,includingbyimmediatelygiving‘allthehelpandinformation’thattheinsurerreasonablyrequirestoinvestigateanddefendaclaimorloss,andworkoutitsliability.

Reserve4.7.22 Onceanotificationismadetotheinsurer,itwillsetareserve.Thereserveisthe

amountoffundsorassetsnecessaryforanorganisationtohaveatanygiventimetoenableit,withinterestandpremiumspaidtomeetallclaimsontheinsurancetheninforce.Theminimumreserveappliedtoanyclaimisusually$15,000.Asthetimelimitforbringingaclaimpassesortheinsurerfindstheriskhaspassed,therelevantpartofthereservewilllapse.Thereservereflectstheinsurer’sassessmentofitspotentialexposureinrespectofeachandeveryclaim.

61


Subrogation4.7.23 Subrogationisdefinedas:

Thesubstitutionofonepersonforanotherinrespectofalawfulclaim,demand,orright,sothatthepersonsubstitutedsucceedstooracquirestherights,remedies,orsecuritiesoftheotherinrelationtotheclaim.Thepersonwhoissubrogatedtoanotherstandsinthatperson’sshoes...

Insurance.1.Adoctrinebywhichaninsurerisentitledtohavetherightsoftheinsuredsubstitutedtohimorhersoastobeentitledtotherightsandremediestheinsuredpossessesagainstthirdpartiesinrelationtoaclaim...26

Thisisreflectedbytheprovisiononpage8ofthePolicy:

We can manage the claim (or covered claim) on Your behalf

Wecan:

(a) takeoveranddefendorsettleanyClaim(orCoveredClaim)intheyourname;and

(b)claiminyourname,anyrightyoumayhaveforcontributionorindemnity.

4.7.24 Asamatteroflaw,subrogationmeansthatifacentreseekstorelyontheinsurancePolicy(andlimititsliability)bynotifying,thenthecentre’srightsbecometheinsurer’srights.

4.7.25 Asamatterofpractice,itmeansthatfromthemomenttheinsurerisnotified,everydecisioninrelationtohowthematterishandled,istheinsurer’s.Thisincludes,amongmanyotherthings,whichlawyersaretobeinstructed.

4.7.26 Theabovereferredtosectionseffectivelymeanthat,forfullcover,itistheinsurer’sdecisionwhetheraclaimwillbedefendedorsettled,andonwhatterms.Theinsuredcentredoeshavearight,undersectiontitled“yourrighttocontest”(page8),nottoconsenttoasettlementthattheinsurerrecommends,andtocontestorcontinuethelegalproceedings,butifthisisdone,thecoverprovidedwillbelimitedto:

(a) theamounttheinsurerwouldhavesettledfor;

(b)LESStheExcess;and

(c)LESStheClaimInvestigationcostscalculatedtothedatethecentrechosenottoconsenttosettlement.

TheSeniorCounselsectiononpage8ofthepolicywordingprovidesthatneithertheinsurernottheinsuredcentrecanrequiretheothertocontestamatterunlessanagreedseniorcounselhasadvisedthattheclaimproceedingshouldbecontested.

Claim Investigation Costs 4.7.27 ‘ClaimInvestigationCosts’aredefinedonpage13 ofthePolicyWordingtobe

thelegalcostsandexpensesofinvestigating,defendingorsettlinganyClaim(oranythingthatmightresultinaClaim.TheInsuringClausesofthePolicyexplainswhatclaiminvestigationcostswillbepaidbytheinsurer,andonwhatconditions.

26LexisNexis,Encyclopaedic Australian Legal Dictionary (asat31January2017)‘Subrogation’.


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4.7.28 TheExcessontheNationalPIIPolicyis‘inclusiveofcostsandexpenses’.27ThismeansthatthecentrewillalsoberequiredtocontributeuptotheamountoftheExcesstowardsClaimInvestigationcosts[see“theExcess”provisionsonpage9ofthePolicy].ThetotalExcessrequiredtobepaidbythecentreinrespectofclaimpaymentsandClaimInvestigationcostsshouldnotexceed$10,000foranyoneclaim.

4.7.29 CentresmayapplytothePIIExcessFundtoassistinpayingfortheExcesspayabletotheinsurer,regardlessofwhetherthatExcessisinrelationtoaclaimpayment,ClaimInvestigationcosts,orboth.PaymentiswithinthediscretionofNACLCwhowilltakeadvicefromtheNationalPIINetwork.See 4.4.13-19formoredetailsonthePIIExcessFundincludingtheproceduretobefollowed.

4.7.30 Additionally,thecentreshouldkeepinclosecontactwiththePIIrepresentativethroughoutthelegalinvestigationphaseandseektheiradviceiftheyareunsureaboutanyrequestmadebytheinsureroritslawyers.Thecentreneedstounderstandthatthelawyersareactingfortheinsurerandnotforthecentre.

Finalisation of claims4.7.31 Whenaclaimhasbeenfinaliseditiseffectivelytakenoffthebooksandthe

reserveforthatcircumstanceorclaimdisappearsfromthereservetotal.Thatis,theinsurernolongerholdsthatamountofmoney‘inreserve’againstthatclaim.

4.7.32 Someclaimsarefinalisedwhenthelikelihoodofalawclaimdisappears,forexample,wherethepotentialplaintiffisoutoftimetosuethecentre.Othersendwhenthecircumstancesthatledtonotificationareresolved.ItisthereforeimportantthatanycentreswithnotificationswithareservesetagainstthemkeepthePIIrepresentativeuptodatewiththecircumstancesandprogressoftheclaim.Onceamatterisfinalised,thecentreandPIIrepresentative,andifneededthePIINetwork,mightneedtomakerepresentationstotheinsureraboutremovalofreservesagainstthePolicy,asthesecanaffectthepremiumsetthefollowingyear.

4.8 Complaints about insurance Anycomplaintaboutdealingswiththeinsurershouldbedirectedthroughthe

ResponsiblePersoninthecentretothePIIrepresentativeandthenontothestateorterritoryPIIcommitteeand/orNationalPIINetwork.AsNACLCisthecontractingparty,itisimperativethatNACLCisinformedofanyissuewiththePolicy,itsinterpretationorapplication.

4.9 Relationship with legal profession regulatory bodies4.9.1 Therelationshipbetweeninsurersandlegalprofessionregulatorybodies(for

example,lawsocieties)differsfromstatetostate.OnecommonelementisthateachyeartheregulatorybodyneedstobesatisfiedthatlawyerstobeissuedpractisingcertificateshavePIIfortheforthcomingyearandthattheinsuranceisadequate.

4.9.2 Intheeventthatthecentrereceivesaqueryfromaregulatorybodyaboutinsurancearrangements,thePIIrepresentativeshouldbecontactedtoassistwithformulatingaresponse.

27SeePIIPolicySchedule,‘Excess’.


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4.10 Double insurance4.10.1 Ifacentrehasmorethanoneinsurancepolicyprovidingprofessionalindemnity

coveritshouldconsiderwhetherthereisdouble(ordual)insurance.Ifso,thecentreshouldconsidertherelevantprovisionsofthetwopolicies,asitispossiblethatoneormoreoftheinsurersmayseektoavoidliabilityintheeventofdoubleinsuranceresultinginadisputebetweeninsurersand/ortheinsured.Thiscanoccurwhetherornotaninsuredintendedtohavemorethanoneinsurercoveraparticulararea.

4.10.2 Manyinsurancepoliciespurporttolimitorexcludecoverininstanceswhere‘other’policiesmayordoprovidecover.

NotethattheNationalPIIPolicy(page11)requiresimmediatenotification:

Other insurance which may cover the risk

youmustimmediatelyadviseUsinwritingofanyinsurancealreadyaffectedorwhichmaysubsequentlybeaffectedcovering,intotalorinpartandwhetherabsolutelyorcontingently,therisk,oranypartofit,CoveredbythisPolicy.

Notealsothe‘ContinuousCover’provisiononpage3ofthePolicy,whichprovidesthefollowinginrelationtocontinuouscoverofpriorKnownCircumstances:

…IftheInsuredwasentitledtohavegivennoticeoftheKnownCircumstanceunderanyotherpolicyofinsurance(withanyotherinsurer),thenthisContinuousCoverextensiondoesnotapplytoprovideCoverunderthisPolicy…

4.10.3 Whereapolicyhasaprovisionthatpurportstolimitorexcludeliabilitybecauseof‘otherinsurance’,s45ofthe Insurance Contracts Act 1984(Cth)isrelevantandprovides:

45 ‘Other insurance’ provisions

(1)Whereaprovisionincludedinacontractofgeneralinsurancehastheeffectoflimitingorexcludingtheliabilityoftheinsurerunderthecontractbyreasonthattheinsuredhasenteredintosomeothercontractofinsurance,notbeingacontractrequiredtobeeffectedbyorunderalaw,includingalawofaStateorTerritory,theprovisionisvoid.

(2)Subsection(1)doesnotapplyinrelationtoacontractthatprovidesinsurancecoverinrespectofsomeorallofsomuchofalossasisnotcoveredbyacontractofinsurancethatisspecifiedinthefirst-mentionedcontract.

4.10.4 Thisareaoflawiscomplexandintheeventthatthecentrehasmorethanoneinsurancepolicyandmaybe‘doubleinsured’itshouldseektheadviceofspecialistlawyers.

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CHAPTER 5

LegalprofessionregulationInthischapter:5.1 Introduction 65

5.2 Mandatoryriskmanagement 65

5.3 relationshiptoinsurance 65

5.4 Stateandterritoryregulatoryschemes 65

5.5 MandatoryStandards 65

5.5.1 Practisingcertificates 65

5.5.4 Supervision 66

5.5.7 Costsagreementsandrecoveryofcosts 67

5.5.11 Trustmoneyandcontrolledmoney 67

5.5.12 Transitmoney 68

5.5.15 RegisteredMigrationAgents 68


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5.1 Introduction Thelawsregulatingthelegalprofessionaffecttheriskmanagementofacentre’s

legalpracticeinmanyways.Compliancewiththeselawsisofcourseamandatoryrequirementforcentres.

5.2 Mandatoryriskmanagement Legalprofessionregulationlawsareanessentialpartoftheriskmanagement

environmentbecausethey:

• incorporatethegeneralrequirementsforengaginginlegalpractice

• regulatetheconductandparametersoflegalpractice

• providecomplaintsmechanismsanddisciplinaryprocedures

• provideforexternalreviewandintervention

• establishregulatorybodiessuchaslegalservicescommissions.

5.3 relationshiptoinsurance Thelawsregulatingthelegalprofessionsetoutrequirementsinrelationto

professionalindemnityinsuranceforthosewhoengageinlegalpractice:see4.9.

5.4 Stateandterritoryregulatoryschemes5.4.1 Eachstateandterritoryhaslawsfortheregulationofthelegalprofession29.The

CouncilofAustralianGovernments(COAG)decidedtoestablishuniformityandsimplificationintheregulationofthelegalprofession,bywayofharmonisedlegislation.TheLegalProfessionUniformLawSchemeisoverseenbytheLegalServicesCouncil(LSC)andCommissionerforUniformLegalServicesRegulation30.Atthetimeofgoingtoprint,VictoriaandNSWaretheonlytwojurisdictionsparticipatinginthescheme,andtheirownlegislationadoptstheUniformLaw:see1.7.QueenslandandtheNorthernTerritoryhadpreviouslyagreedtoparticipateinanationalschemeandtothetermsofdraftlegislation,howeverareyettoagreetoadoptthefinalUniformLaw.LawyersshouldkeepthemselvesapprisedofdevelopmentsinregardtoanypotentialadoptionoftheUniformLawandRulesintheirjurisdictions,orchangestotheirownjurisdiction’slaw.

5.4.2 LegalprofessionlawscreatearangeofissuesthatneedtobediscussedintheGuide.

5.5 MandatoryStandardspractisingcertificates

5.5.1 Topractiseasalawyerapersonmustbeadmittedtopractiseandhaveacurrentpractisingcertificate.Lawyersshouldbefamiliarwiththelegalpracticelegislationoftherelevantstateorterritory(orrelevantstateandterritoriesiftheypractiseacrossborders),andensurethatallrequirementsaremet.Theymustensurethattheyareontherelevantrollsofcourt.

5.5.2 Theissueofpractisingcertificatesisregulatedunderthevariouslegalprofessionlawsthatdifferintheirrequirementsincludingastotypesofcertificatesand/or

29ACT:LegalProfessionAct2006;NSW:LegalProfessionUniformLaw(NSW);NT:LegalProfessionAct;Qld:LegalProfessionAct2007;SA:LegalPractitionersAct1981;Tas:LegalProfessionAct2007;Vic:LegalProfessionUniformLaw;WA:LegalProfessionAct2008.

30MoreinformationisavailableontheLegalServicesCouncil’swebsite,at<http://www.legalservicescouncil.org.au/>.

L E GA L P R O F E S S I O N R E G U L AT I O N

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rightstopractiseandintheconditionsthatcanandwillbeimposedinvariouscircumstances.31Generallythelevelsortypesofcertificatesincludeprincipalandemployeecertificates.Theprincipalcertificateisissuedtotheprincipalsolicitor/s.Alawyerwillbeeligibleforanunrestrictedpractisingcertificateoncetheyhaveundergonetherequiredsupervisiontimeand,whererelevant,compliedwithotherlegalpracticemanagementeducationrequirements.Inmostjurisdictionsthereisalevelofpractisingcertificatedenotedasrestricted.Arestrictedpractitionerissubjecttoanumberofrestrictionsincludingreasonablesupervision(seebelow)andensuringthatanycompetencyorskillsbasedrequirementsaremet.

5.5.3 Conditionsinpractisingcertificatesusuallyrelatetoissuessuchas:

• whetherthecertificateisrestrictedorunrestricted

• typeofemployerorganisation

• levelofsupervisionrequired

• whetherthepracticeislimitedtoaparticularactivity

• compliancewithmandatorycontinuinglegaleducationrequirements.

Supervision5.5.4 Legalprofessionlawsgenerallyallowfor‘supervised’and‘unsupervised’practice.

Wherealawyerissubjecttoaconditionofsupervisedpracticetheymusthavereasonablesupervision.32Forexample,inQueensland‘supervisedlegalpractice’isdefinedinthefollowingway:33

supervisedlegalpracticemeanslegalpracticebyapersonwhoisanAustralianlegalpractitioner--

(a)asanemployeeofalawpracticeif--

(i) atleast1partner,legalpractitionerdirectororotheremployeeofthelawpracticeisanAustralianlegalpractitionerwhoholdsanunrestrictedpractisingcertificate;and

(ii)thepersonengagesinlegalpracticeunderthesupervisionofanAustralianlegalpractitionermentionedinsubparagraph(i);or

(b)asapartnerinalawfirmif--

(i) atleast1otherpartnerisanAustralianlegalpractitionerwhoholdsanunrestrictedpractisingcertificate;and

(ii)thepersonengagesinlegalpracticeunderthesupervisionofanAustralianlegalpractitionermentionedinsubparagraph(i);or

(c)inacapacityapprovedunderadministrationrules.

5.5.5 Theprovisionofadequateandappropriatesupervisionisnotonlyamatterofcomplyingwithrelevantprofessionalregulationrequirements.Itisalsoariskmanagementissuebecausepropersupervisionensuresqualityworkand

31ACT:LegalProfessionAct2006s35;NSW&Vic:LegalProfessionUniformLawss43-44,47;NT:LegalProfessionActs46;Qld:LegalProfessionAct2007s45;SA:LegalPractitionersAct1981s16;Tas:LegalProfessionAct2007ss41-42;WA:LegalProfessionAct2008s37.

32ACT:LegalProfessionRegulation2007reg13;NSW&Vic:LegalProfessionUniformGeneralRules2015r14;NT:LegalProfessionRegulationsreg12;Qld:LegalProfessionRegulation2007reg8;Tas:LegalProfessionRegulations2008reg8;WA:LegalProfessionRegulations2009reg7.Note:thereappearstobenoSouthAustralianequivalent.

33Qld:LegalProfessionAct2007sch2(definitionof‘supervisedlegalpractice’).



competencyinlegalpracticeandotherservicedelivery.Itcanalsoberelevanttothewellbeingandjobsatisfactionofstaff,andtoretentionofstaff–thesecanthemselvesbeareasofpotentialrisktoacentreandanotherreasonforensuringreasonablesupervision.

5.5.6 Whatisreasonablesupervisiondependsonanumberoffactorsincluding:

• thequalifications,experienceandcompetenceofthesupervisee

• therangeandtypeofworkbeingundertakenbythesupervisee

• thesizeandnatureofthepractice/service

• thetypesofsupervisionandsupportarrangementstheprincipalputsinplace.

Costsagreementsandrecoveryofcosts5.5.7 Legalprofessionlawsgenerallyregulatetheareaofcostsandcostsagreements34

andinsomestateorterritoryjurisdictions,specificcostslegislationexists.Thereisofcourseawealthofcommonlawoncostsaswell.Centresneedtoensurethattheyenterarrangementsthatcomplywithallrelevantlaw.

5.5.8 Recoveryoflegalcostsisanareathatregularlygivesrisetocomplicatedquestionsforcentres.Thereappearstobenothingpreventingacentreclaiminglegalcostsaslongasthecentrehas:

• aprincipalcertificatethatallowsforcostsrecoveryunderthelaw

• alawfulbasisforseekingcostsunderanyrelevantlegalprofessionorotherapplicablelaw.

5.5.9 Somefundingagreementsandgrantsoflegalaidrequirecentrestoclaimcostswherepossible.Ifacentreisactingforaclientontherecordinacostsjurisdictionitneedstoensurethatitcomplieswithanysuchcontractualobligationsandprotectstherighttheclientmayhavetorecovercostswithwhateveractionispermittedandrequiredinthatjurisdiction.

5.5.10 Thecentreshouldbeawareofanyfundingorserviceagreementobligationsinrespectofclaiming,reportingandexpenditureoflegalcosts.

trustmoneyandcontrolledmoney5.5.11 Somecentreshavetrustaccounts,somedon’t.Centresthatacceptmoneyfrom

oronbehalfofclients–ascontrolledmoniesorontrust–mustensurethatthereareadequateandlegallycompliantproceduresfordealingwithandaccountingforthosemonies.Centresmustrefertoanyrelevantlawincludingtheirlegalprofessionalrulesorregulationsfordetailsoftherequirements.Forthosethatdooperatetrustaccounts,legalprofessionlawsprovidefortheregulationoftrustmoneyandcontrolledmoney35.Ineachcasetrustorcontrolledmoneymustbedealtwithinaccordancewiththerelevantlawsineachjurisdiction.

34SeeforexampleACT:LegalProfessionAct2006ss279,282;NSW&Vic:LegalProfessionUniformLawss172,179-180;NT:LegalProfessionActss314,317;Qld:LegalProfessionAct2007ss319,322;SA:LegalPractitionersAct1981s41andsch3;Tas:LegalProfessionAct2007ss303,306;WA:LegalProfessionAct2008ss271,282.

35ACT:LegalProfessionAct2006ss221-233;NSW&Vic:LegalProfessionUniformLawss127-154;NT:LegalProfessionActss245-261;Qld:LegalProfessionAct2007ss247-262;SA:LegalPractitionersAct1981s25andsch2;Tas:LegalProfessionAct2007ss230-259;WA:LegalProfessionAct2008ss204-229.


6 7


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transitmoney5.5.12 Centresthatreceiveclientmoneyasmoneyintransitmustensuretheycomply

withthelegislativerequirementsdealingwithsuchtransitmoney36.Forexample,inNewSouthWalesandVictoriatheLegalProfessionUniformLawprovides:

140transitmoney

(1)Alawpracticethathasreceivedtransitmoneymustpayordeliverthemoneyasrequiredbytheinstructionsrelatingtothemoneywithintheperiod(ifany)specifiedintheinstructions,orelseassoonaspracticableafteritisreceived.Civilpenalty:50penaltyunits.

(2)Alawpracticemust,inrespectofmoneyreceivedbythelawpractice,recordandkeepbriefparticularssufficienttoidentifytherelevanttransactionandanypurposeforwhichthemoneywasreceived.Civilpenalty:50penaltyunits.

(3)Alawpracticemustkeeptheparticularsmentionedinsubsection(2)for7years.Civilpenalty:50penaltyunits.

5.5.13 Evenifnotexactlythesameasthelegislativeprovisionabove,thelegalprofessionregulationsinotherjurisdictionsrequirelawpracticesthatreceivetransitmoneyto‘recordandkeepbriefparticularssufficienttoidentifytherelevanttransactionandanypurposeforwhichthemoneywasreceived’.AccordinglyitisrecommendedthatcentresreceivingtransitmoneyhaveaTransitMoneyRegisterrecordingdetailsofthename,date,receiptandpayment/endorsement/deliveryandpurposeofeachtransaction.

5.5.14 Itisessentialtounderstandthedifferencebetweentransitmoneyandarrangementsandtrustmoneyandtrustaccountarrangements.

registeredMigrationagents5.5.15 Aperson,whetheralawyerornot,mustregisterasamigrationagentbefore

providingimmigrationassistance37orrepresentations.ThesetermsaredefinedintheMigrationAct1958(Cth).ThereareanumberoflegislativerequirementsforRegisteredMigrationAgents38.Insomecaseslawyersprovideimmigrationlegalassistance39,atermalsodefinedintheMigrationAct.WhereimmigrationAdvice,assistance,legalassistanceorrepresentationsarepartofthecentre’swork,theResponsiblePersonmustensurethattheformalrequirementsofthislegislationandassociatedregulationsaremet.Seealso6.5.1.

36ACT:LegalProfessionAct2006s225;NSW&Vic:LegalProfessionUniformLaws140;NT:LegalProfessionActs249;Qld:LegalProfessionAct2007s253;SA:LegalPractitionersAct1981sch2(17);Tas:LegalProfessionAct2007s247;WA:LegalProfessionAct2008s220.

37‘ImmigrationAssistance’isdefinedatsection276oftheMigrationAct1958(Cth).Itdefineswhatisandisn’timmigrationassistancethatrequiresregistration.

38MigrationAct1958(Cth)(particularlypart3oftheAct),MigrationAgentsRegulations1998(Cth),MigrationAgentsRegistrationApplicationChargeAct1997(Cth),MigrationAgentsRegistrationApplicationChargeRegulations1998(Cth).

39MigrationAct1958(Cth)s277.


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CHAPTER 6

professionalObligationsIncludingConfidentialityandavoidingConflictsofInterestInthischapter:Introduction 70

6.2 Lawyers 70


6.4 Socialworkers 70

6.5 Codesofconduct 71


6.6.4 Contractualduty 72

6.6.5 Ethicalduty 72

6.6.7 Statutoryduty 73

6.6.8 Confidentialityandcloudcomputing 73


6.7.2 Whatisaconflictofinterest? 74

6.7.4 Lawyer-clientduties 75

6.7.6 Avoidingconflicts:centrepolicyandtraining 75

6.7.8 Acentrecannotactforbothpartiestoadispute 75

6.7.9 Canacentreeveractagainstaformerclient? 76

6.7.12 Whatisconfidentialinformationinthiscontext? 76

6.7.13 Whenindoubt–formerclients 76

6.7.14 Servicetypesandconflictchecks 76

6.7.28 Knowledgeofonelawyeristhesameasknowledgeoftheentirepractice 79

6.7.29 Volunteerlawyers,confidentialinformationandimputedknowledge 80

6.7.38 ManagementCommitteemembers 81

6.7.39 Changingjobs,locumsandconflictsofinterest 81

6.7.43 Secondmentsandconflictofinterest 82

6.7.46 Screeningforconflictsofinterest 83

6.7.74 Conflictofinterestinmulti-programagencies 87

6.7.80 Conflictofinterestinreferringmatterstovolunteerlawyers 90

6.7.83 Conflictofinterest–stafflawyerswhorunprivatepractices 90

6.7.88 Advisingcentrestaffandvolunteers;oradvisingothercentres 91

6.7.89 Confidentiality,conflictofinterestandactingforgroupsandassociations 92

6.7.91 Furtherinformationandgettingadvice 92


70

6.1 Introduction Centrestaffandvolunteersmaybesubjecttoanumberofethicalandlegal

conductstandards,derivingfromarangeofsourcesincludinglegislation,commonlawand/ortheworker’smembershipofaprofessionorprofessionalassociation.Otherstandardsmaybeoptionalorvoluntary.Centremanagersmustrecognisetheseprofessionalobligationsandsupportstaffandvolunteersincomplyingwiththem.Seealso3.5.38-40.

6.2 Lawyers6.2.1 Thetraditionaldutiesofthelawyeraregenerallyseentoinclude:

• dutytothecourt

• dutytotheclient

• dutytotheotherpartyorparties

• dutytotheadministrationofjustice.

6.2.2 Theethicaldutiesoflawyerscanbedescribedas‘professionalresponsibilitiesandlegalethics’.Theyareoftencontainedinlegalprofessionrules,40howevercommonlawcanstillberelevant.

6.2.3 ThesedutieshavealsobeenincorporatedintotheAustralianSolicitors’ConductRules(ASCR),which,atthetimeofgoingtoprint,havebeenadoptedinNewSouthWalesandVictoriapertheLegalProfessionUniformLaw,andhavealsoseparatelybeenadoptedinQueenslandandSouthAustralia(althoughtheremaybesomedifferences).TheASCRmayalsobeadoptedinotherstatesandterritoriesandalllawyersshouldmakesurethattheykeepuptodatewithdevelopmentsintheirownjurisdictions.See1.7.

6.3 Financialcounsellors6.3.1 Financialcounsellorsarerequiredtocomplywithprofessionalassociationcodes,

asystemofaccreditationbystateorterritoryassociations(inmostjurisdictions)andtomeettheexemption(fromlicensing)requirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andtheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).Anypersonpractisingasafinancialcounselloratacentre,whetherasanemployedworkerorvolunteer,mustcomplywithallsuchmeasuresandrequirementsthatapplyintheirjurisdiction.

6.3.2 TheAustralianSecuritiesandInvestmentsCommission(ASIC)hasgrantedconditionalrelieffromlicensingrequirementsundertheCorporationsActtofinancialcounsellingagenciesthatmayprovidefinancialproductadviceaspartofafinancialcounsellingservice.

6.4 Socialworkers6.4.1 AcentreworkerwhoisaqualifiedsocialworkerandisamemberoftheAustralian

AssociationofSocialWorkers(theAASW)isrequiredtofollowthecodessetoutbytheAASW.SocialworkerswhoarenotmembersoftheAASWarenot

40IntheACT:LegalProfession(Solicitors)ConductRules2015;inNSWandVic:LegalProfessionUniformLawAustralianSolicitors’ConductRules2015;intheNorthernTerritory:RulesofProfessionalConductandPractice;inQueensland:AustralianSolicitorsConductRules2012;inSouthAustralia:AustralianSolicitors’ConductRules(SAversion);inTasmania:TheRulesofPractice1994;inWesternAustralia:LegalProfessionConductRules2010.

P R O F E S S I O N A L O B L I GAT I O N S I N C LU D I N G CO N F I D E N T I A L I T Y A N D AVO I D I N G CO N F L I C TS O F I N T E R E ST


71

subjecttotheAASW’sauthority.MembersoftheAASWretainprofessionalindemnityinsurancebyvirtueoftheirmembership.ForinformationabouthowthisinsuranceworksalongsidetheNationalPIIPolicy,seethesectiononDoubleinsuranceat4.10.

6.4.2 Codesofethicsapplytoworkerswhoarethesubjectoftheparticularcode;theydonotapplytoorganisations.Itisimportanttonote,however,thattheyarerelevanttothewholeorganisationintermsofproperemployeesupport,qualityclientservice,riskminimisation,riskmanagement,goodgovernanceandqualityassurance.Anorganisationand/oritsmanagementthathasmadenoattempttoensurethatacodewascompliedwith,whethermandatoryornot,mayleaveitselfopentolitigationandpotentialliabilityoverabreachofthecode.

6.4.3 Forexample,anorganisationthatemployedsocialworkerstooffercounsellingbutdisregardedthesoundguidanceprovidedbytheAASWcodeofethics,whetherornotitssocialworkerswereobligedtocomplywiththecodeofethics,wouldbeignoringgoodriskmanagementpractice.Suchanorganisationismorelikelytofinditselfatriskofallegationsofnegligence,breachofcontractandbreachofotherduties,and/orthatitoperatesinanunprofessionalandunethicalmanner.

6.4.4 Othersimilarlyqualifiedworkersmustalsocomplywiththerelevantindustrycodeswheretheyholdmembershipofprofessionalassociations.NotethattheAustralianPsychologicalSocietysetsoutverydetailedcodesofethicsthatdealwithgeneralandspecificissues.

6.5 Codesofconduct6.5.1 Likecodesofethics,codesofconductarewidespreadandapplytomany

professionsandcommunityworkers.Codesofconductcanbeall-encompassingorspecificandparticular.TheMigrationAgentsRegistrationAuthorityhasageneralcodeofconductthatappliestoallRegisteredMigrationAgentsinAustralia.41Thatcodeofconductcoversarangeofsubjectsincluding:

• standardsofprofessionalconduct

• obligationstoclients

• relationsbetweenRegisteredMigrationAgents

• feesandcharges

• recordkeepingandmanagement

• financialduties

• dutiesofRegisteredMigrationAgentstoemployees

• complaints

• terminationofservices

• clientawarenessofthecode.

6.5.2 TheAustralianCounsellingAssociationhasacodeofconductthatcovers:

• responsibility

• anti-discriminatorypractice

• confidentiality

41AustralianGovernment,DepartmentofImmigrationandBorderProtection,CodeofConductforRegisteredMigrationAgents,1July2012.



72

• contracts

• boundaries

• competence.42

6.5.3 Adherencetocodesofconductcanbeenforcedwhereacentreworkerisamemberofanassociationthathastheauthoritytoenforceaparticularcodeofconductorwhereacentreworkerworksinanareathathasamandatorycodeofconduct.Adherencecannotbeenforcedwhereacentreworkerisnotamemberofaprofessionoranassociationthathastheauthoritytoenforcetheparticularcodeofconduct.

6.6 Confidentiality thisisaMandatoryStandard.

6.6.1 Confidentialityimplies‘[a]relationshipbetweentwoormorepersonsinwhichtheinformationcommunicatedbetweenthemistobekeptinconfidence’.43Adutyofconfidentialitycanarisefromanumberofsourcesincludingbutnotlimitedto:

• acontractualdutythroughaserviceagreement,employmentcontractorclientagreement

• anethicaldutyinformedbyacodeofethicsorcodeofconduct

• astatutorydutygovernedbyprofessionalregulationoraparticularlegislativescheme

• afiduciarydutyarisingfromthesolicitor/clientrelationship

• underequity’sexclusivejurisdiction.

6.6.2 Thedutyofconfidentialityappliestoallclientsofthecentre,includinganyclientsofaspecialist,auspicedorhostedproject,programorserviceofthecentre(see7.10)anditapplieswhetherinformationisobtainedbyalawyerornon-lawyer.

6.6.3 Wherecircumstancesarisethatcauseacentreworkerorvolunteertobelievethattheyareunderanoverridingduty,suchasalegalrequirementthatcertainmattersbenotified,theyshoulddiscussitwiththecentre’sResponsiblePerson.

Contractualduty6.6.4 Centreshaveacontractualdutytokeeptheirclients’recordsandinformation

confidential,exceptwherepermittedorauthorisedbylaw,orbecauseofoverridinglegaldutiesorwheretheclienthasgiventheirinformedconsenttoparticulardisclosure.Thisisasidefromtheprofessionaldutiesowedbylawyersandsocialworkersorcounsellors.

ethicalduty6.6.5 Ethicaldutiesofconfidentialitymayarisefromoneoftheethicalandconduct

frameworkssuchascodesofconduct,codesofethics,guidelinesorbyvirtueofmembershipofaparticularprofessionorprofessionalassociation.Anumberoffactorswilldetermine:

• whethertheconfidentialityisenforceableorunenforceable

• againstwhomtheconfidentialitywillbeenforced

42AustralianCounsellingAssociation,CodeofEthicsandPractice,Version8,July2012. 43LexisNexis,EncyclopaedicAustralianLegalDictionary(asat31January2017)‘Confidential

relationship’.



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• thescopeandlimitsoftheconfidentiality

• theconsequencesforbreachofconfidentiality.

6.6.6 Forlawyers,thedutyofconfidentialitymeansthatlawyersmaynotdisclosetoathirdpartyanyclientinformationthathascometothemintheirprofessionalcapacityandinthelegitimatecourseoftheirprofessionalemployment,unlesspermittedorauthorisedbylaworwiththeclient’sconsent.Aspartofthelegalandrelatedpractice,allstaffandvolunteerswithinthecentreshouldregardthemselvesasboundbythisduty.TheResponsiblePersonandcentremanagementshouldensurethatallcentreworkersandvolunteersareawareofthisduty,andthatitismadecleartothematthetimeofinduction.

Statutoryduty6.6.7 ThedutyofconfidentialityisreflectedinLegalProfessionRules.44

Confidentialityandcloudcomputing6.6.8 Cloudcomputing(forexample,computingservicesoperatedoverandaccessed

viatheinternet)45isbecomingincreasinglycommon.Manylegalpracticesincludingcentresalreadyusecloud-basedandotherinternetproducts,suchasvariousemail,socialmediaanddocumentstorageplatforms,and,nowanumberofcentreswillbeusingCLASS,acloud-baseddatasystemtorecordandstoretheirclientandservicedata,andforreportingtogovernmentfundersandotherstakeholders.

6.6.9 Centresusingcloudservicesshouldbeawareofthepotentialrisksthatcomewithsuchuseinrelationtoclientconfidentiality,clientlegalprivilege,privacy,lossofdata,securitybreaches,andoutages(causinganinabilitytoaccessdata)–justastheyshouldbeforanydatasystemtheyuse.46Centresusingorconsideringusingcloudcomputingwillneedtoconsiderthepossiblerisksandensurethatappropriatesecurityandriskminimisationandmanagementmechanismsareinplace.

6.6.10 Whetherusingthecloud,orretainingthirdpartyITserviceproviderstomaintainandsupporttheirownlocaldatasystems,centresmusttakeactiontoprotectconfidentialinformation.Asageneralisation,disclosuretoanITproviderispermittedwhenthedisclosureorpossibledisclosureismadeforthepurpose

44ACT:LegalProfession(Solicitors)ConductRules2015r9;NSWandVic:LegalProfessionUniformLawAustralianSolicitors’ConductRules2015r9;NT:RulesofProfessionalConductandPracticer2;Qld:AustralianSolicitorsConductRules2012r9;SA:AustralianSolicitors’ConductRules(SAversion)r9;Tas:RulesofPractice1994r11(1);WA:LegalProfessionConductRules2010r9.

45TheAustralianGovernmenthaswidelyadoptedtheUSGovernment’sNationalInstituteofStandardsandTechnology(NIST)definition,whichstates:

CloudcomputingisanICT[Informationandcommunicationstechnology]sourcinganddeliverymodelforenablingconvenient,ondemandnetworkaccesstoasharedpoolofconfigurablecomputingresources(e.g.networks,servers,storage,applicationsandservices)thatcanberapidlyprovisionedandreleasedwithminimalmanagementeffortorserviceproviderinteraction.

See:AustralianGovernment,TheDepartmentofFinanceandDeregulation,CloudComputingStrategicDirectionPaper:OpportunitiesandapplicabilityforusebytheAustralianGovernment,Version1.1(releasedApril2013)at9,availableat:<http://www.finance.gov.au/files/2013/04/final-_cloud_computing_strategy_version_1.1.pdf>(accessed31January2017).Forafurtherdiscussionofwhatconstitutes‘cloudcomputing’,seealso:LawSocietyofWesternAustralia,EthicalPracticeandGuidelines(25August2015),at53-55.

46Onsomepotentialrisksforusingcloudservicesinparticular,see,eg:AustralianGovernment,Attorney-General’sDepartment,InformationSecurityManagementGuidelines:RiskmanagementofoutsourcedICTarrangements(includingCloud)Version1.1(amendedApril2015)at11-12,availableat:<https://www.protectivesecurity.gov.au/informationsecurity/Documents/AustralianGovernmentInformationSecurityManagementGuidelines.pdf>(accessed31January2017).



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ofthecentreprovidinglegalservicestotheclientanditisdonesubjecttoaconfidentialityagreementbetweentheproviderandthecentre.However,ResponsiblePersonsshouldconsulttheirownjurisdiction’srulesandensurecompliance.ResponsiblePersonsandcentresshouldalsoconsidertheactionstheircentreshouldtaketoprotectconfidentialityinthiscontext,includingforexamplesigningaconfidentialityagreementwiththeproviderandobtaininginformedconsentfromclients.47

6.6.11 Asforanyotherinformationstoringordocumentmanagementsystem,centresshouldensurethattheircloudcomputingsystemsallowfortailoredaccesstoclientinformationwithinthecentre(forexample,throughindividualallocatedpermissions,separatelogins,passwords,confidentialityagreements,etc),sothatonlyauthorisedemployeesandvolunteershaveaccesstoconfidentialclientinformationandonaneedtoknowbasis.

6.6.12 Thereareadditional,seriousconsiderationswhereacentreusescloudcomputingoranyotherinternet-basedserviceorapplicationandtheinfrastructureislocatedorpermitsthedatatobe‘sent’outsideofAustralia,forexampleitmaybecaughtbythePatriotsActorbeparticularlyvulnerabletoattackincertainoverseasjurisdictions.48Note,alldatainCLASSwillbestoredinAustralia.

6.7 Conflictsofinterest6.7.1 TheconflictofinterestproceduresinvolveMandatoryStandardsincludingthat:

• centresmustavoidconflictsofinterest;

• centresmusthaveaconflictofinterestpolicy(see6.7.6);and

• centresorservices/programs/projectsthatprovideLegalAdviceandanyotherDiscreteAssistanceorOngoingAssistanceServicewherethereisasolicitor/clientrelationshiporthatareprovidedwithinthelegalpractice,mustconductafullconflictofinterestcheckbeforegivingthatLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orbyothermeans)orprovidingtheotherDiscreteAssistanceService(otherthanInformationorReferral)orOngoingAssistanceService.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired.Thesearesetoutat6.7.58-69.

Whatisaconflictofinterest?6.7.2 Aconflictofinterestinrelationtoalegalpracticeinvolvesasituationwherea

lawyerhasormayhavecompetingprofessionalorpersonalinterests.Itisproperlydescribedasaconflictofdutiesasitreferstothedutyofconfidenceandloyalty,afiduciaryduty.Competinginterestscanmakeitdifficultforalawyertofulfiltheirdutiesimpartially,andthelawyerhasanobligationtoavoidsituationswherethismayoccur(apotentialconflict)ordooccur(anactualconflict).Aconflictofinterestcanexistevenifnounethicalorimproperbehaviourresultsfromit.Itcaninclude:

47See,eg,LawCouncilofAustralia,CyberPrecedent:strengtheningthelegalprofession’sdefenceagainstonlinethreats<http://lawcouncil.asn.au/lawcouncil/cyber-precedent-home>(accessed31January2017);andLawSocietyofWesternAustralia,EthicalandPracticeGuidelines(25August2015)at57.Seealso:non-bindingPracticeNotesfromtheOfficeoftheLegalServicesCommission(NSW)oncloudcomputingandoutsourcing,availableat:<http://www.olsc.nsw.gov.au/Pages/olsc_education/olsc_education_notes.aspx>(accessed31January2017);andJustinEdwards,‘Cloudcomputingservices:Professionalobligationsandethics’(Apr2016)43(3)Brief32,at34.

48See,eg,LawSocietyofWesternAustralia,EthicalandPracticeGuidelines(25August2015)at56.Seealso:AustralianGovernment,Attorney-General’sDepartment,InformationSecurityManagementGuidelines:RiskmanagementofoutsourcedICTarrangements(includingCloud)Version1.1(amendedApril2015)at11-12,availableat:<https://www.protectivesecurity.gov.au/informationsecurity/Documents/AustralianGovernmentInformationSecurityManagementGuidelines.pdf>(accessed31January2017).



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• actingagainstaformerclient–asuccessiveconflict

• actingformorethanonepartyinacurrentdispute–aconcurrentconflict.

Onemustguardagainsttheissuearisinginallmannerofcircumstancesincludingapersonpresenting:

• whose‘OtherParty’isanex-client

• whoseOtherPartyisacurrentclient

• whowasanOtherPartytoanex-client

• whoisanOtherPartytoacurrentclient.

6.7.3 Ineachcasetherelevantpastandcurrentfilesmustbecarefullyscrutinisedtodeterminewhetherthecentrewillcompromiseanyclient’spositionbythepersonpresentingbecomingaclient.

Lawyer-clientduties6.7.4 Alawyerowesdutiestotheirclientto:

• acthonestlyandfairlyintheclient’sbestinterests

• maintainconfidentialityoftheclient’sconfidentialinformation

• avoidconflictsofinterest.

6.7.5 Alawyeralsoowesadutytothecourttoensuretheproperadministrationofjustice.Inrarecases,thisdutymightpreventalawyerfromactingforaclientwheretodosowouldunderminetherequirementtoensurethat‘justiceisdoneandseentobedone’.Thiscouldincludeasituationwherecircumstancesmayreasonablygiverisetoaperceptionofapotentialconflictofinterestevenwherethereisnoactualconflictofinterest.Thereasonforthisisthatthepublic’sfaithintheadministrationofjusticeisofprimaryimportance.

avoidingconflicts:centrepolicyandtraining6.7.6 Acentremusthaveapolicydealingwithconflictsofinterestandconflict

checkingfortheprotectionoftheirclients,potentialclientsandthecentre.SeethediscussionbelowandseeappendixGforasampleconflictofinterestpolicy.Thepolicymustcoveranybranchofficeandanyspecialist,auspicedorhostedproject,programorserviceofthecentre(see7.10).EvencentresandservicesthatonlyeverprovideInformationandReferral–Servicesofageneralnaturethatthesolicitor/clientrelationshipdoesnotarise-musthaveaconflictofinterestpolicytoensurethattheirworkersareawareoftheseissuesandtheriskmanagementparametersinwhichtheyneedtooperate.

6.7.7 Allstaff(employedandvolunteer)andmanagementmustbetrainedtoidentifypotentialconflictsofinterest,andbeawareoftheircentre’sconflictofinterestpolicyandprocedures.Thesubjectmustbecoveredduringtheorientationofnewstaff(employedandvolunteer)andManagementCommitteemembersandmustbereinforcedregularly.Seealso8.7.9-10.

acentrecannotactforbothpartiestoadispute6.7.8 Thedutytoactinaclient’sbestinterestsprohibitsacentrefromactingforany

otherpartywithinterestsadversetothoseofacurrentclient.Insimpleterms,thismeansthatacentrecannotactforopposingpartiesinamatterlikeaninterventionorderapplication,debtormotorvehicleaccident.



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Canacentreeveractagainstaformerclient?6.7.9 Acentremustalsorefusetoactagainstaformerclientwherethecentrehas

relevantconfidentialinformationaboutthatclientfromtheformermatter,whichmaybeusedagainstthem.Inthiscase,thedutyofconfidentialitytotheformerclient(toprotecttheirconfidentialinformation)conflictswiththedutytoactinthebestinterestsofthenewclient(whichcouldinvolveusingorhavingtomakeadecisionastowhethertouse,theformerclient’sconfidentialinformation).Soacentreisnotautomaticallypreventedfromactingagainstaformerclient.Itispreventedfromdoingsowhenithasconfidentialinformationabouttheformerclientthatcouldberelevanttothenewclient’smatter.

6.7.10 Onestartingpointtoidentifyconflictsofinterestinvolvingformerclientsistoaskthefollowingquestions:

• doesthecentrehaveanyconfidentialinformationabouttheformerclient?

• isitrelevantorpossiblyrelevanttothenewmatter?

Ifyouanswer‘yes’toeachofthesequestions,yourcentrehasaconflictandcannotactinthenewmatteragainsttheformerclient.

6.7.11 Anotherrelevantquestiontoconsidermightbe:couldtheformerclientreasonablyperceivethatanyconfidentialinformationheldbythecentrecouldbeusedtotheirdetriment?Ifso,thismaypointtoapotentialconflictandtheResponsiblePersonwillhavetodecidewhetherornotitisamatterthatthecentrecanactin.

Whatisconfidentialinformationinthiscontext?6.7.12 Confidentialinformationgainedinthecourseofactingforaclientinanearlier

mattercansometimesgobeyondthestrictconfidentialinformationdisclosedinthecourseofthematter,toincludewhatcanbedescribedas‘gettingtoknowyou’factors,suchastheclient’shonesty,theirstrengthsandweaknesses,theirtacticsortheirattitudetolitigation.Ithasbeensuggestedbyoneacademiccommentatorthat‘thefactorsshouldbeconfinedto“impressions”obtainedbyalawyeroftheclient’sapproachtolitigation,or,inthecaseofnon-contentiousmatters,commercialnegotiation’andthat‘[s]uchimpressionswillonlymeetthenecessarylevelofparticularityofconfidentialinformationifitcanbeestablishedthatthelawyerandtheclienthavehadalongcourseofdealingwhichhasenabledthelawyertoformlasting,accurateandusefulimpressions’.49

Whenindoubt–formerclients6.7.13 Ifindoubtastowhetherornotthecentreholdsconfidentialinformation

concerningaformerclient,orifconfidentialinformationisheldbutitisnotclearwhetheritisrelevanttothenewmatteroraction,thecentreanditslegalpractitionersshouldnotactagainsttheformerclient.Thisisparticularlythecaseinfamilylawmatterswherecourtshavetakenastricterviewofconflictofinterest.

ServicetypesandconflictchecksOverview

6.7.14 InCLSIS,becausetherewerefewerservicetypesitwaseasiertoidentifythetypesofservicewherethesolicitor/clientrelationshipoperated,andwhereitdidnot.Themostcommonsituationwherecentresencounteredthisdistinctionin

49SandroGoubran,‘ConflictsofDuty:ThePerennialLawyers’Tale–AComparativeStudyoftheLawinEnglandandAustralia’,(2006)30(1)MelbourneUniversityLawReview88at104.



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practicewasinrelationtotheprovisionoflegalInformation,wheretheservice-providerprovidesapersonwithgeneralinformation,notrelatedtotheirparticularfactsituation(incontrasttoaLegalAdvice).

6.7.15 ThepreviouseditionoftheGuidemadeclearthatacentrecouldprovideanInformationServicewithoutbeingobligedtoconflictcheckfirst(andhencewasnotrequiredtocollectandrecordtheperson’sname,butcould),butforanytypeofservicewherethesolicitor/clientrelationshipwouldbeinoperation–suchasforprovidingLegalAdvice–thecentremustconflictcheckbeforeprovidingtheservice.

6.7.16 InCLASS,formanyoftheServicesitwillbeeasilyapparentwherethesolicitor/clientrelationship–andtheobligationtoconflictcheckbeforeprovidingtheservice–operates.

6.7.17 However,giventhechangetopreviousCLSISservicetypesanddefinitionsinCLASS,theResponsiblePersonandcentreswillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservicesandensurethattheyarefamiliarwiththerelevantpartsoftheDSMthatdealwithdataitemsrelevanttoconflictchecking.

Furtherinformation

6.7.18 CLSISrequiredacentretorecordtheclient’snameand‘OtherParty’informationwhenthecentreprovidedAdvicetoaclientorprovidedOngoingAssistance,called‘casework’inCLSIS–thatis,wheneverthecentrewas‘actingfor’thepersonandhada‘solicitor/clientrelationship’withthem.ThisrelationshipanditsattendantobligationscouldoccureveniftheAdviceorotherServiceswerenon-legal.CLASS,operatessimilarlyintermsofhowtoconflictcheck.

6.7.19 ThisGuiderecognisedhoweverthattherewerecertaintypesofServicesforIndividualsthatcentresprovidedthatwerebynaturemoregeneral,anddidnotrequiredetailedunderstandingoftheperson’ssituationandproblem,northeapplicationoflegalknowledgeoropiniontotheparticularfactsofthatpersonortheirproblem.ItwasrecognisedthattheprovisionofanInformationorReferralServicewereinthiscategory,andthataServiceProvidercouldprovidesuchaServicewithoutaretainerandoutsidethesolicitor/clientrelationshipanditsduties.Forthatreason,centreswerenotrequiredtorecordthenameofthepersonseekingassistanceorthe‘OtherParty’(althoughsomecentresdid,ordidinsomeinstances),andtherewasnoobligationtoconflictcheck.CLSISallowedfortherecordingofsomedatasuchasnumberofServicesforInformationandReferrals,withoutclientname,addressorotherdemographicdata.CLASSwillalsoallowforthis.

6.7.20 ThepreviouseditionofthisGuideacknowledgedthat:50

Therecanbeablurredlinebetweeninformationandadvice(includinglegalandnon-legaladvice).Generallyspeaking,‘information’referstoprovidingfactualinformationthatisofgeneralapplication.Itmayincludegivingapersonarelevantbrochure,factsheetorotherlikematerial.Itmayinvolveobtainingsomeinformationfromthepersonabouttheirparticularcircumstancesinordertoensurethattheinformationand/orreferralsprovidedarethemostappropriate.Obtainingsomeparticularfactsaboutanindividualandgivingmoretargetedorspecificinformationand/orreferralbasedonthatinformationmaystillberegardedasinformationandreferral...

50NACLC,RiskManagementandCLCPracticeGuide2012,paras6.7.14-16.



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Sometimestheprovisionofinformationand/orreferralinvolveslittletimeandminimalclientinteraction,forexample,someonecallsacentreandasksforaservicethattheCLCdoesnotprovideandareferralisgiven,withlittlediscussionabouttheperson’scircumstances.Othertimesthough,theprovisionofinformationcanbeasubstantiallymoreinvolvedprocess.Apersonmaycomeintotheserviceveryupsetandaworkerspendsasignificantamountoftimewiththatperson,listeningtothem,offeringsupport,discussingtheirsituationtoenabletheworkertomakeawarmreferral,andperhapsevensendingcorrespondenceoremails.Thispersonmaynevergettothepointwheretheyreceiveadviceorcaseworkassistancebut,bydintoftheinformationtheyhave‘shared’,theymayhavebecome,ormaythemselvesfeeltheyhavebecome,aclientofthecentre.Ineitherofthesesituations,asamatteroflaw,somelevelofretainermayhavebeenimplied,givingrisetoadutyowedtothatpersonbythecentre.Theamountoftimespentwithapersonisnotnecessarilydeterminativeofwhethersuchadutyarises.

Itisimportantthatcentrestaffandvolunteersaretrainedtorecognisethat:

• insomecasesduringthecourseofprovidinginformationand/orreferraltoaperson,thatpersonmaydiscloseconfidentialinformationtotheCLCofakindortoadegreethatwouldprecludethecentrefromgivingadvicetooractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter(hencetheseworkersneedtobetrainedaboutthecriteriaforthistypeofconfidentialinformation)

• ifacentrehasreceivedconfidentialinformationofthiskind,oriftheinteractionhasclearlygonebeyondmereinformationandreferral,simplyadministrativelydescribingtheactivityas‘information’orreferraldoesnotavoidthecentre’sobligationtoavoidactinginconflict

• whereitappearstoaworkerprovidinginformationand/orreferraltoapersononbehalfofacentre,oronbehalfofaserviceauspicedorhostedbyacentre,thattheinteractionmaybemovingbeyondinformationandreferral,theworkershouldbringahalttotheinteraction.Aconflictcheckmustbeconductedbeforeprovidingadvice

• ifapersondisclosesconfidentialinformationofakindortoadegreethatwouldorshouldprecludethecentrefromadvisingoractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter,evenifitwasintendedtoprovidethemonlywithinformation/referral,itismandatorythattheclient/personandotherpartydetailsareenteredintoCLSISorwhateverotherdatabaseisusedsothatanyconflictwillappearonthedatabaseifanotherpartytothematterseeksassistanceorapersonseeksthecentre’sassistanceinadisputeagainsttheperson.OnCLSISthiscanonlybedonebyrecordingitasanadvice.Itcanberecordedasanon-legaladvice.

6.7.21 TheissuesidentifiedandtheactiontobetakensetoutintheaboveextractfromthepreviouseditionoftheGuide,arestillapplicable.InCLASS,itispossibleforaServiceProvidertorecordanInformationorReferralbeingprovidedandalsorecordthenameofthepersonandAdditionalParty/iesifthecentredeemsthisappropriate.



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6.7.22 However,givenCLASSisbasedontheDSManditsclassificationanddefinitionsofServices,whichasoutlinedthroughoutthisGuide,differfromCLSIS,PrincipalLawyersandcentreswillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservices.

Consultationwithotherlawyersoragencies

6.7.23 Anothersituationwhereitiscriticaltoremainvigilantlyawareofthisissueiswhereacentrelawyerconsultsanotherlawyeroragency,forexampleaspecialistCLCaboutthematter,orsomeaspectofthematter.Itisacommonandimportantpracticeofcentreworkers,andlawyersgenerally,toconsultotherexpertsaboutlegalorotherspecialistissues,andclientsbenefitagreatdealfromthiscombinedexperienceandexpertisebeingbroughttotheirproblems.Oftenthesediscussionsareheldinsuchawaythattheclientisnotandcannotbeidentified,andthereisnodisclosureofindividualinformationthatwouldbreachclientprivilegeorgiverisetoaninference(oractuality)ofthesecondlawyerbeingregardedasactingfortheclient.Inthesesituations,theexchangecanberegardedasanalogoustothesecondlawyerproviding‘Information’andthereisnonecessitytoconductafullconflictcheck.

6.7.24 Onoccasionsthough,theinformationprovidedortheinformationcommunicatedinresponsewillbesufficienttomeanthatthesituationmustberegardedasthesecondlawyerprovidingLegalAdviceandthatthereisariskofaconflictofinterest,andthusafullconflictofinterestcheckmustbedonebeforethesecondlawyerproceedstoprovideLegalAdvice.

6.7.25 Therearearrangementsthatmaytosomedegreeavoidtheriskofaconflictoccurringwhenthesecondlawyerisadvisinganothercentreoragency,forexample,insomeinstancesthecentreoragencyconsultingtheexpertmaybethe‘client’,and/ortheremaybeanagencyrelationship.Evenso,reasonablestepswillstillhavetobetakentoensurethataconflictwon’toccur.IfthesecondlawyerprovidesLegalAdvicetoothercentresoragencies,ortothepublicdirectly,itishardtoseehowthepossibilityofaconflictoccurringcanbeavoidedunlesstheyobtainthedetailsofthepersonattendingthefirstcentre/agency,and(whereapplicable)anyotherparties,andundertakeaconflictcheck.

6.7.26 Ifthesecondlawyer(thatistheoneconsultedbythecentrelawyeroragencywhoisindirectcommunicationwiththeclient)doesnotundertakeafullconflictcheck,theymayinadvertentlyadviseapersonwheretheyhave,orcouldinthefuture,alsoadviseanotherpartytothatmatter,orcould,ifthepersonweretosubsequentlycometotheircentreandprovidethemwithallthefacts,providedifferentLegalAdvice.Thesepossibilitiescanonlybeavoidedbythelawyernotadvisingunlessanduntiltheyhaveobtainedalltherequisiteinformationandconductedafullconflictcheck.

6.7.27 CLSISwasandCLASSisaveryvaluabletoolforthoroughconflictcheckingandsoundriskmanagement,andthepotentialofsystemswiththesetypesoflegalpracticemanagementfunctionstoassistcentresingoodpracticemanagementshouldbeutilisedasmuchaspossible.SeeChapter8fordetailsregardingtheuseofCLASSandotherdatasystemsinconflictchecking.

Knowledgeofonelawyeristhesameasknowledgeoftheentirepractice

6.7.28 Thegeneralruleisthatthesameknowledgeofconfidentialclientinformationisimpliedofalllawyersinalegalpracticeevenonlyifonelawyerinthepracticehasthatknowledge.Thisisnotauniversalruleanditcanberebuttedinlimitedcircumstances.Theprudentapproachforsmalllegalpracticeslikecentres,isto



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proceedonthebasisthatalllawyersareimpliedtohavethesameknowledgeofclientinformation.Theexceptiontothisisforvolunteerandsecondedlawyers(seebelow).

Volunteerlawyers,confidentialinformationandimputedknowledge6.7.29 Legalassistanceserviceproviders,particularlycommunitylegalcentres,rely

heavilyontheworkofvolunteerlawyers,mostofwhomareemployedinotherlegalpractices.Particularrisksaroundconflictofinterestariseinthesecircumstancesandcentresneedtotakestepstoavoidsuchconflicts.Theperceptionofconflictcanalsoarisehereandcentresideallyshouldtakestepstoprotectpublicconfidenceintheircentreandinthesectorgenerally,byseekingtoavoidanypotentiallyadverseperception.

Example

DomenicoworksfortheSunshineofficeofamulti-officefamilylawfirm,Pride&Associates.HealsovolunteersattheSunshineCLConenightafortnight.AwomanseeksLegalAdvicefromtheSunshineCLCstafflawyersonafamilylawmatter.TheMelbourneofficeofPride&AssociateshasprovidedLegalAdviceonthesamemattertothewoman’sex-partner.NeitherDomeniconortheCLC’sstafflawyersarepersonallyawarethattheex-partnerhasreceivedadvicefromanotherlawyeratPride&Associates.Inthissituationasuggestedapproachis:

- DomenicowouldhavesignedaconfidentialityagreementwhenhestartedvolunteeringatSunshineCLC

- PriortotheadvicesessionDomenicocouldbesentalistofnamesofclientswhohadbookedappointmentsatSunshineCLCtoconductaconflictcheck

- IfthepotentialconflictisidentifiedSunshineCLCcouldensureanothervolunteerseesthewoman.

Eachcasewillhavetobeconsideredonitsfacts.

6.7.30 Insomejurisdictions,forexample,Victoria,itispermitted,asariskminimisationstrategy,toestablishan‘informationbarrier’51torebutthepresumptionthatavolunteerlawyerhasthesameimpliedknowledgeofclientconfidentialinformationasallotherlawyersinthecentre.Inthisconstruct,theinformationbarrierlimitsthevolunteerlawyer’saccesstoinformationconcerningtheclientstowhomtheparticularlawyerisprovidingadvice,andexcludesaccesstoinformationconcerningthecentre’sotherclients.

6.7.31 Tobeeffective,aninformationbarrierwouldhavetoeffectivelyscreenthevolunteerlawyersawayfromallotherconfidentialclientinformationsothatthereisnorealandsensiblepossibilityofthemisuseoftheconfidentialinformation.Practicalstepstoestablishthisbarriermustinclude:

51SeetheInformationBarrierGuidelines(2015)producedbytheLawSocietyofNewSouthWales,availableat:<https://www.lawsociety.com.au/cs/groups/public/documents/internetcontent/1088899.pdf>(accessed31January2017);aswellastheprevious2006versionproducedinconsultationwiththeLawInstituteofVictoriaandadoptedbytheQueenslandLawSociety,availableat:<https://www.liv.asn.au/PDF/Practising/Ethics/2006GuideInfoBarrier.aspx>(accessed31January2017);<http://www.qls.com.au/Knowledge_centre/Ethics/Resources/Conflicts_concerning_former_clients/Information_Barrier_Guidelines_LIV_LSNSW_adopted_by_QLS_Council>(accessed31January2017);andsummarisedhere:<http://www.liv.asn.au/PDF/Practising/Ethics/2010InformationBarrierGuidelines>(accessed31January2017).



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• awrittenpolicyandvolunteeragreementsthatprovidethatvolunteerlawyerswillnotaccessthecentre’sclientdatabaseorthecentre’sclientfilesotherthanthosethevolunteerisworkingon

• practicalmeasurestoensurethatthisdoesnotoccureveninadvertently.

6.7.32 Ifaclientseeksadvicefromavolunteerlawyeratacentre,andthevolunteerlawyerisawarethattheirotherpracticehasreceivedrelevantconfidentialinformationfromandpossiblyprovidedadvicetotheotherpartytothematter,thelawyermustnotpersonallyprovideAdvicethroughthecentre’spractice.ThecentremustalsonotprovideAdvicethroughadifferentlawyerunlessithasaneffectiveinformationbarrierquarantininganyknowledgeofthemattertothatvolunteerlawyer.

6.7.33 Importantly,theinformationbarriertypeofarrangementmaynotbeacceptableinsomejurisdictionsandanycentrecontemplatingadoptingitshouldfirstchecktherelevantlawintheirstateorterritory.

6.7.34 Arecommendedoptiontomanagetheriskofconflictsis,whereverpossible,toprovidevolunteerlawyerswithanadvancelistofclientstheywillbeseeingatthecentre.Thisallowsthelawyerstoconductconflictchecksattheirownfirmtominimisetheriskofpotentialconflicts.Thevolunteeragreementshouldprovidethatthelawyerisrequiredtokeeptheclientlistconfidentialandonlyuseitforthepurposesofscreeningtoavoidconflicts.Thisoptionwillnotbefeasibleforthosecentresthatoperate‘dropin’clinicswherethenamesoftheclientsarenotknowninadvance.

6.7.35 Itmayalsobehelpfulforthecentretomakesurethatclientsattendingthecentreknowabouttheuseofvolunteerlawyersfromotherlegalpracticesandthatthelawyersareunderadutynottodiscloseanyconfidentialinformation,ineitherworkplace,thattheyhavegainedintheother.Thismayhelpavoidclientconcerns.

6.7.36 Onepracticalstepistoaskandprovidetothevolunteerlawyersthenameoftheotherpartyandtheotherparty’slawyers–ifknown–inadvanceofthevolunteerseeingaclient.Thiswaythevolunteerisabletoseeifthereisafirmconflictrightaway.Thisisanexampleofareasonablesteptoavoidactualandperceivedconflictsinvolunteersessions.

6.7.37 ItshouldbenotedthattheruleofimputedknowledgewillhaveobviousandimmediateconsequenceswherelawyersemployedbycentresorLegalAidCommissionsvolunteerinanotherservice.Insomecircumstancesitmaybepracticallyimpossibletohaveanyeffectiveinformationbarriertodealwiththis.

ManagementCommitteemembers6.7.38 Itispossibleforapersonwithalegalproblemtoattendacentrewhereacentre

ManagementCommitteemembermayhavearealorpotentialconflictofinterestifthematteristakenon.ItisrecommendedthatcentreshaveproceduresinplacethatenableconflictofinterestcheckstoberunagainstthenamesoftheirManagementCommitteemembers(and,shouldtheyconsideritnecessary,forstaffandvolunteers).Thiscanbeparticularlyimportantforcentresinregional,ruralandremoteareas.

Changingjobs,locumsandconflictsofinterest6.7.39 Centresregularlyuseshort-termorlocumlawyersandlawyersinthelegal

assistancesectoroftenchangeemploymenttoworkatanothercentreorlegalassistanceorganisation.Inasimilarwaytotheuseofvolunteerlawyers,thisalsocreatesconflictrisks.



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6.7.40 Thegeneralruleisthatalawyermayhaveaconflictinanymatterwhere,inthecourseofaformerlegalpractice,theyhavepersonallyacquiredconfidentialinformationwhichcouldbeusedadverselytotheinterestsoftheformerclientiftheyweretoactforanewclient.

Example

LiyaworksforElthamCLC.SheusedtoworkforHawthornCLCwhereoneofherclientsinafamilylawmatterwasVal.Val’spartnerGraemeapproachesElthamCLCtoseekassistance.Liyaisgiventhefile.ShequicklyrealisesthattheotherpartytothematterisVal,herformerclientfromHawthornCLC.

Inthisexample,Liyaislikelytohaveaconflictofinterest.ElthamCLCwouldalsohaveaconflictofinterest,unlessitcouldsomehowestablishaninformationbarriertoquarantineLiya’sknowledgeandhaveadifferentlawyerworkonthematter–whichisprobablyunlikelyandimpractical.ThebetterapproachisforElthamCLCnottoactforGraeme.

Ifindoubt,don’tactoradvise.Refertheclientelsewhere.

6.7.41 Lawyersonshort-term/locumarrangementsaresubjecttothesamerulesofmaintainingclientconfidentialityandavoidingconflictasotherlawyers.Theriskofconflictforthemandtheiremploying/engagingcentresisheightenedbecauseofthetransitorynatureoftheirengagement,andthepossiblemultipleworkplacestheyattend.

6.7.42 Itisagoodideaforlocumstodisclosetoeachemployerthelegalpracticeswheretheyhaveworkedinthepast,andtheareasofworktheyhaveundertakenateach,sothatatleastapreliminaryformofconflictcheckcanbemade.Itisalsosensibleforcentrestoremindandemphasisetolocumstheirdutiesaroundclientconfidentialityandavoidingconflicts.

Secondmentsandconflictofinterest6.7.43 Somelegalaidcommissions(LegalAid)andprivatefirmsprovidelawyerson

secondmenttoworkinCLCsunderprobonoorotherprograms.Thisgivesrisetopotentialconflictsofinterestasthesecondedlawyersmaybedeemedtohavethesameknowledgeofconfidentialclientinformationasallotherlawyersintheiremployerpractice(forexample,thelegalaidcommissionorprivatefirm)orintheCLC.TheriskofconflictisprobablyhigherwhenalegalaidcommissionhassecondedstafftoaCLC,asmanyCLCsareofteninvolvedinmatters,particularlyfamilyviolencematters,whereLegalAidisactingfortheotherparty.

6.7.44 Theriskofconflictmayarisewithlawyerssecondedfromprivatefirms,forexamplewherethefirmactsforabankortelecommunicationsorinsurancecompanyandtheCLChasclientswithlegalissuesinvolvingthosecompanies.Waystominimisetheriskofconflictinthissituationinclude:

• ensuringthatLegalAidorthefirmhasaninformationbarrierinplacethatpreventsthesecondedlawyerfromaccessingclientinformationheldbyLegalAid/thefirmduringthecourseofthesecondmentattheCLC,or

• establishinganinformationbarrierwithintheCLCthatlimitsthesecondedlawyer’saccesstoinformationconcerningtheclientstheypersonallyareassisting(asopposedtootherclientsoftheCLC)–thisoptionisprobablylesspracticalfromaCLCpointofview,butsomecentresmanageit,and

• consideringanywaystoaddresstheconflictfollowingthereturnofthesecondeetoLegalAidorthefirm.



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ItisimportanttominimisetheriskofperceivedconflictbyensuringthatthesecondedlawyerdoesnotworkonmattersinwhichLegalAidorthefirmisactingorhasactedfortheotherparty.

6.7.45 Itisimportanttothinkaboutthepossibleriskissuesthatmayarisewellinadvanceandmakeplanstodealwiththem.Forexample,whenaCLCisconsideringtakingasecondeelawyer,theyshouldensurethattheirarrangementwiththelawfirmorLegalAidstipulatesanyrequirementsaboutinformationbarriersbeinginplaceduringthesecondment,andalsoanyrequirementsfortheperiodafterthesecondedlawyerhasreturnedtotheiremployer.IfthelawfirmorLegalAidworksinanareathattheCLCalsopractisesin,itmaybepossiblethattheCLCandtheotherpartycanagreethatthelawyerwillnotworkinthatareaofpracticeforacertainnumberofmonthsaftertheirreturn.

Screeningforconflictofinterest6.7.46 Acentremustconductafullconflictofinterestcheckbeforeproviding

anyDiscreteorOngoingAssistanceServicewherethereisasolicitor/clientrelationship.Therearesomeverylimitedsituationswhereafullconflictcheckisnotmandatory:seebelow.

6.7.47 GiventhechangeinservicetypesanddefinitionsinCLASSfromCLSIS,theResponsiblePersonwillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservicesandbefamiliarwiththerelevantpartoftheDSMthatdealwithdataitemsrelevanttoconflictchecking.

6.7.48 TheResponsiblePersonhastheultimateresponsibilityforensuringthatconflictcheckingisproperlyperformedandmanagedandfordeterminingwhetherornotthereisormaybeaconflictofinterestinparticularcircumstancesandaccordingly,whethertheLegalAdviceorotherDiscreteorOngoingAssistanceServiceistobeprovidedtoanyperson.

6.7.49 Conflictchecksmustcoverthewholeofacentre’sserviceoperationsincludingwithineachandacrossallbranchofficesandallspecialist,auspicedorhostedprojects,programsorservices(see7.10)ifthoseserviceseverprovideServicestoIndividuals(otherthanInformationorreferral).Conflictcheckingisnotmandatorywhereacentreoritsservice/project/programisprovidingonlyInformationand/orReferralServices,butdoingsocanprovideextrariskminimisation.

6.7.50 CentresshouldtakeactiontoensurethatServiceProvidersunderstandthetypesofserviceswherethereisasolicitor/clientrelationshipandwhentosuspendaninteraction/interviewifitseemsthattheconversationismovingbeyondInformationorReferral.Seebelow.

Whataretherequirementsofafullconflictcheck?

6.7.51 Inordertobeabletodoconflictchecksacentremusthaveadatabaseordatabasesof‘Client’and‘Other-Party’information.CLSISservedthispurpose,andCLASSwasdevelopedtoprovidethesamefunctionality.

6.7.52 A‘fullconflictcheck’requirestheclient’sname/sandthename/softheOtherPartyorPartiestobecheckedinthecentre’sclientdatabase/s.TheServiceProvidermustfirstensurethattheyobtainandenterthecorrectspellingofthefullnameoftheclient,andanyvariationsorothernamesthatthepersonmayuseorhasused.Seealso6.7.89.

6.7.53 TheServiceProvidershouldthinkaboutandidentifyall‘OtherParties’thatmay,giventhenatureoftheissue,be(orcometobe)inconflict,forexample,familymembersorco-tenants.Forexample,inatenancymatter,acentreshould


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ascertainwhetherthereisaco-tenantand,ifso,whetherintheparticulardisputethereisarealriskofaconflictarising.Ifthecentreworkerhas,afterreasonableenquiryandconsideration,formedaviewthatthereisarealrisk,theymustrecordandcheckthenamesoftheco-tenantsinthedatabase/stoestablishwhetherthereisaconflictandtoprotectagainstoneoccurringinthefuture.

6.7.54 Whenobtainingclientorpartydetails,itisveryimportanttoobtainthefullnamesoftheparties,includinganyspellingornamevariationsandallnamesusedcurrentlyorpreviously.Careshouldalsobetakeninregardtoobtaining,enteringandconflictcheckingthename/sofotherpartiesthatarecompanies,andthepeopleinvolved,forexample,directors.

6.7.55 TheonlysituationswhereafullconflictcheckisnotrequiredforServicesotherthanInformationandReferral(oranyothergeneralServicetoapersonnotaclientofthecentre),aresetoutbelow.

WhatdoIdoifthepersonattendingdoesnotknowtheOtherParty’sname?

6.7.56 IfthepersonseekingLegalAdviceorotherAssistancedoesnotknowthenameoftheOtherParty,thecentrecanstillprovidethepersonwithInformationand/orReferral.IfthepersonisseekingorrequiresLegalAdviceorsomeotherformofDiscreteAssistanceorOngoingServiceforanIndividual,butdoesnotknowthenameoftheOtherPartyorParties,theServiceProvidershould,whereverthisispossible,askthepersontofindoutthename(andofcoursemayassistthemindoingso),andexplainthatthecentrecannotprovidetherequiredServiceuntilthisinformationisobtainedandaconflictcheckisdoneofthatname.Inthisscenario,theServiceProviderhasjudgedthatthereissomerealprospectthatthepersoncanascertainthename;andthatthecircumstancesdonotfallwithinoneoftheverylimitedsituationswhereLegalAdviceorotherDiscreteorOngoingAssistancemaybegivenwithoutafullconflictcheck(seebelow).

6.7.57 Oncethenameissupplied,thecentrecancarryoutaconflictcheckofthename,andabsentaconflictshowing,mayprovidetheService.IfthenameoftheOtherPartycannotbeascertained,seethediscussionbelow.

Theonlysituationswhereafullconflictcheckisnotmandatory

6.7.58 Theonlysituationswhereafullconflictcheckisnotmandatoryaresetoutbelow.NACLCandtheNationalPIINetworkarecontinuingtolookatthisareaandwillbemonitoringtheoperationoftherequirementandtheneedforreformoflegalprofessionlawstobetterreflecttheneedsandcircumstancesofcentresandtheirclients.NACLChasmadesubmissionsinthisregardpreviouslyinrelationtocommunitylegalcentres’operationsandoperatingcontexts.Ifthereareparticularissuesthatariseforacentre,thecentreisencouragedtoraisethemwiththeirPIIrepresentativetoinformthatconsideration.

SItUatION1–Certain‘other’partiesthatthecentreneverassists

(a)Whereanotherpartyisaninstitutionthatthecentreneverassists

6.7.59 Somecentresworkinareaswheretheirclientshavemattersagainstparticularinstitutions,ortypesofinstitution,thatthecentreneveradvises,assistsorrepresents.Examplesofsuchinstitutionsinclude:governmentdepartmentsandagencies(forexample,Centrelink;PoliceForces;Prisons/CorrectiveServicesauthorities;Immigration),banksandotherfinancialinstitutions.Inthesecases,wherethecentreascertainsthattheOtherPartyissuchaninstitution,thecentreisnotrequiredtoconflictcheckthenameofthatpartyinthedatabase/s,howeveritisstillnecessarytocheckthecaller/client’snameandthenamesofanyotherpartiesinthedatabase/s.


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(b)Whereanotherpartyisofadistincttypeorkindthatastand-alonespecialistcentreneverassists:adviceonly

6.7.60 Therearesomestand-alone(self-containedandindependentlyoperating)centresthatspecialiseinaparticularareaoflaworclientgroupandhaveapolicyofneverassistingacertaintypeofpartytodisputesintheirarea,forexample,landlordsintenancydisputes.Ifso,itmaybeacceptablerisk-minimisationandsufficient‘reasonableefforts’tosimplyidentifythattheonlyOtherPartyfallswithinthatcategory(forexample,landlord)andnotconflictcheckthenameofthatparty.

6.7.61 Atpresent,theonlysuchcentresandpartiesrecognisedbythisGuideasfallingwithinthiscategoryarestand-alonespecialisttenancyservicesandlandlordsrespectively.Astand-alonetenancyservicethatdoesnoteveractforlandlordscanprovideAdvicetoatenant(butnotrepresentthepersonoractonanongoingbasis)withoutconflictcheckingthenameofthelandlord,howeveritmuststillconflictcheckthenameofthecaller/clientand,wheretheCLCworkerassessesthatthereisapotentialforaconflict,thename/sofanyco-tenants.

6.7.62 ThisexceptiondoesnotapplytogeneralistcentresprovidingtenancyAdviceortospecialisttenancyservicesthatarenotstand-alonebutare,inalegalsense,partofageneralistcentre.

SItUatION2–advising/assistingpeopleinprison,detentioncentresorsecurehealthfacilitiesincertaincircumstances

6.7.63 WhereLegalAdviceand/oranotherformofDiscreteAssistanceisbeingprovidedataprison,detentioncentreorsecurehealthfacility,itwillnotbepossibletocarryoutaconflictcheckpriortogivingadviceifthenamesofinmates/detaineesareonlygiventothecentreimmediatelypriortotheappointmentandtheServiceProvidercannotcommunicateexternally.Inthissituation,takingintoaccounttheparticularcircumstancesoftheservicedeliveryandtheimportancetothepersonofreceivingimmediateAdviceand/orotherAssistance,thecentreworkermayprovideAdvice/Assistance,butshouldonlydosoafterconsideringthelikelihoodofaconflictofinterestbeingpresentandmakingariskassessmentand,ifrelevant,limitingtheAdvice/Assistanceprovidedaccordingly.

6.7.64 ItisalsoappropriatebeforeprovidingtheAdvice/Assistance,toinformthepersonoftheimportanceandrelevanceofconflictchecking,whatisbeingdoneinthiscaseandthepossibleeffectofaconflictsubsequentlybeingdiscovered.ThecentreworkershouldcarryoutaconflictcheckassoonaspracticableaftertheAdvice/Assistancehasbeenprovided,forexample,uponreturntothecentreorwhenremoteaccesstothecentre’sdatasystemoraccesstoatelephoneispossible.ThecentrecannotprovideOngoingServicestothepersonunlessanduntilafullconflictcheckhasbeencarriedout.

SItUatION3–providingoutreachserviceswhereexternalcommunicationisnotpossible

6.7.65 Similarly,wherecentreworkersareprovidingoutreachservices,suchasaDutyLawyerServiceattheLocalCourt,thecentremusthavesystemsinplacetoensuretheServiceProvidercanscreenforconflictsofinterestbeforegivingLegalAdviceand/orprovidingotherAssistance(forexample,byremoteaccesstothecentre’sclientdatasystemortelephoneconflictchecks).Ifitisnotpossibletodosoinparticular,exceptional,circumstances,forexamplewheremobilephoneorinternetserviceisunavailableatthetime,thentheprocedureoutlinedatSituation2aboveshouldbefollowed.


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SItUatION4–exceptiontotherequirementtocheckthenameofanOtherpartytothedisputeincertainexceptionalcircumstanceswhenthepersoncontactingthecentreisunableorunwillingtosupplythatname/s:adviceonly

6.7.66 WhereapersonseekingassistancefromacentreisunableorunwillingtosupplythenameoftheOtherParty/Parties,thesafestcourseisnevertoprovideadvice.Mostcentresadoptthiscourse.However,someservicesdonotfindthispracticableordesirablegiventheirparticularclientgroupandservicedeliverycontext,andtheirassessmentoftheverylowrisk.

6.7.67 Acentre’sconflictofinterestpolicymayprovidethatwhereapersonisunableorunwillingtosupplythenameoftheOtherPartytothedispute,thecentremayneverthelessprovideLegalAdviceoranotherformofDiscreteAssistance(butnotrepresentthepersonoractorprovideAssistanceonanongoingbasis)providedthefollowingconditionsaremet:

1) aconflictcheckisdoneagainsttheperson’sownnameandthename/s(ifknown)ofanyRelatedParties;

2) thefollowingcircumstancesapply:

a) theperson(and/orthecentre)hasmadeallreasonableeffortsinthecircumstancestofindoutthenameoftheOtherPartybuthasbeenunsuccessful;and/or

b) thepersonrefusestoprovidethenameoftheOtherParty;and/or

c) thematterisurgentandthepersonmaysufferseriousdetrimentasaconsequenceofdelay;

3) alternativeappropriateassistanceisnotavailable;

4) thepersonisaskedtoidentifythestatusoftheOtherParty(forexample,aco-tenant,apartner)(becausethisisarelevantriskmanagementconsideration);

5) theResponsiblePersonoraNominatedPersonconsidersthepotentialforaconflictofinterestinthecircumstancesoftheparticularmatter;and

6) thepersonistoldthatbecausethecentrecannotdoaconflictcheck,thecentrecannotguaranteethattheyhavenotassistedanotherpartytothedispute.Thepersonmustconsenttobeingprovidedwithadvice/assistanceinthesecircumstances.(Notethatthisconsentshouldbeinwritingorafilenotemadeofverbalconsent).

6.7.68 ServiceswishingtoinvokethislimitedexceptionmustrecognisetheriskthatfailingtoperformaconflictcheckofthenameoftheOtherPartymaymean:thereisanincreasedriskofanactualconflictoccurringandtheymayneedtostopprovidingassistancetoallconflictedpartiesseekingassistance(incircumstancesthatcouldhavebeenavoidedbyconductingafullconflictcheck(ifthatwerepossible)).

CantheServiceProviderprovideRepresentationServicesorotherOngoingAssistanceServiceswhenafullconflictcheckhasnotbeendone?

6.7.69 AcentrecannotprovideOngoingAssistancetoapersonwithoutconductingafullconflictcheck,thatis,aconflictcheckacrossthenamesofallpartiestothedispute,exceptthatitisnotnecessaryforacentretodoadatabasecheckofthenameofanOtherPartyifthatpartyisaninstitutionthatthecentreneverassists(seeSituation1(a)above).InSituations1(b),2,3and4above,one-off


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Advice(1(b)-4)and/orotherDiscreteAssistance(2-3)canbegivenincertainverylimitedcircumstanceswhereafullconflictcheckhasnotbeendone.EveninthoseexceptionalsituationsthecentrecannotprovideOngoingAssistanceunlessanduntilallthenecessaryinformationhasbeenobtainedandafullconflictcheckhasbeenundertaken.

Whereanobligationtoconflictcheckhasunexpectedlyarisen

6.7.70 IfaServiceProviderfeelsthatthelinebetweenInformation/ReferralandAdviceorLegalTaskhas,forwhateverreason,beencrossedorthatclientconfidentialinformationthatcouldgiverisetoapotentialconflicthasbeenprovidedtothecentre,thentheServiceProvidermustatthatpointobtainandenterthenamesofthepersonandtheOtherParty(orasmuchofthatinformationastheycanobtain)andundertakeafullconflictcheck.Seealso6.7.14-27.

Whatyoumustdoifyouhaveconductedaconflictcheck

6.7.71 ThecentreshouldrecordoneveryclientfileandAdvicerecordthataconflictcheckhasbeendone.InSituation4setoutabove(6.7.66),whereaconflictcheckwasnotdoneofthenameoftheOtherPartybeforeprovidingtheAdvice,thatfactandthereason/sforitshouldbenoted.

6.7.72 Somecentresthathavehardcopy‘AdviceSheets’orServicerecordsstamporwriteortick‘conflictcheckdone’ontheAdvicesheet/recordtoconfirmthatthecheckhasbeendone.Itisagoodideaforcentrestoensurethatthereisarelevantfieldintheirdatabasetoindicatethatallowsthemtorecordthataconflictcheckhasbeendoneorisnotapplicable.

Whatyoumustdoifthecentrecannotactforsomeonebecauseofaconflict

6.7.73 Ifaconflictofinterestisdiscovered,thecentreshouldinformthepersonthatthecentreisunabletoprovideaservicetothemandreferthemtoanotherappropriateservice,suchasanothercentreorLegalAid.Insomecases,likefamilyviolenceDutyLawyerServices,CLCsmayhaveprotocolswithLegalAidincasesofconflict.Wheninformingthepersonthatthecentrecannotassistthem,centresshouldbemindfuloftheirdutyofclientconfidentiality.

Conflictofinterestinmulti-programagencies6.7.74 Somecentresare‘programs’withinlargercommunityagenciesorotherbodies.

Thecentremaynotbeincorporatedinitsownright,butratherisoneserviceorprogramoperatingwithinandunderalargerincorporatedbody.Ideallythecentrewouldbeorwouldmovetobeincorporated,andwherepossible,bephysicallyseparatedfromtheotherprogramstoavoidtheconflictsissuesthatmayotherwisearise.Thisistoensurethatthelegalpracticeisclearlyseparateandisseentobeseparateforthecentre’spurposeofassistingclients.

6.7.75 Therearearangeofexistingmodelscurrentlyinplace,somewherethereseemstobenoissueandsomewithmanysatisfactoryarrangementsbutwheresomeimprovementscouldand/orshouldbemade.Wherealltheissueshavenotbeenaddressed,thearrangementscangiverisetopotentialandactualconflictsofinterestandriskbreachingclientconfidentialityorclientlegalprivilege,orputthelegalpracticeanditsprincipalinbreachofstatutoryorotherlegalduties.


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Example

Abbott’sCreekCLCisnotastandaloneCLC.ItisaprogramwithinthebroadercommunityagencyWesternRegionalCareInc.AclientcomestotheCLCseekingadviceaboutobtaininganinterventionorderagainstherviolentspouse.ThespouseisattendingaMen’sBehaviouralChangeProgramrunbythebroaderWesternRegionalCareIncagencyandhasadmittedhisviolentbehaviourinthecourseofthisprogram.

6.7.76 Centresthatoperateinthistypeofarrangementmusthaveprocedurestoavoidandmanageconflictsofinterest.Minimumproceduresthatmustbeputinplacetoavoidandminimisetheriskofconflictsarisingorbreachesofconfidentialityand/ordutyare:

• establishingan‘informationbarrier’toensurethatthereisnorealpossibilityofcommunicationofconfidentialinformationoutsidethecentre.Itmustpreventconfidentialinformationheldbythecentrefrombeingaccessedbystaffofotherprogramsorcommonintakeandassessmentworkers,andinparticularitshouldpreventnon-centreagencystafffromaccessingconfidentialclientinformationheldbythecentre.Thisappliestothedatabase,electronicandhardcopyfilesandwouldextendtopreventthemanagersofotherprogramsoroftheoverarchingentityfromaccessingthecentre’sclientfiles,recordsandclientinformationexceptthebody’smanagementundercontrolledcircumstancesandonlywhennecessary(suchasforhandlingcomplaints,operationalnecessityorforemploymentaccountabilitypurposes)tosupportthecentreprovidinglegalServicestoclients.

• theinformationbarriermustcomplywiththerequirementsofthelegalprofessionlawsoperatinginthecentre’sstateorterritory,andthelawyers’ethicalduties.Foradetailedtreatmentofthelawoninformationbarriersandrecommendedguidelinestoguardagainstabreachofthedutyofconfidentialityowedtoformerclients,seetheInformationBarrierGuidelinesproducedbytheLawSocietyofNewSouthWalesandLawInstituteofVictoriaandadoptedbytheQueenslandLawSociety.52

• adraftinformationbarrierpolicymustbeprovidedtotherelevantstateorterritoryPIIrepresentativeforconsiderationbytheNationalPIINetwork.ThePIINetworkwillmakearecommendationtotherelevantstateorterritoryCLCassociation,whichisultimatelyresponsibleforapprovingthepolicyfortheirmembercentre.53RecordsofapprovedinformationbarrierpolicieswillbecentrallyheldandmadeaccessibletothePIINetworkandNACLC.

• anapprovedwrittenpolicywhichisavailabletoclientssupportingthisinformationbarrier

• inclusionofkeyaspectsofthepolicyinstaffemploymentcontracts

• regulartrainingonthepolicy

52Availableat:<https://www.lawsociety.com.au/cs/groups/public/documents/internetcontent/1088899.pdf>(accessed31January2017);<https://www.liv.asn.au/PDF/Practising/Ethics/2006GuideInfoBarrier.aspx>(accessed31January2017);<http://www.qls.com.au/Knowledge_centre/Ethics/Resources/Conflicts_concerning_former_clients/Information_Barrier_Guidelines_LIV_LSNSW_adopted_by_QLS_Council>(accessed31January2017);summarisedhere:<http://www.liv.asn.au/PDF/Practising/Ethics/2010InformationBarrierGuidelines>(accessed31January2017).

53Furtherdetailontheprocedureforimplementinganinformationbarrierpolicyissetoutinappendixe:PIIRepresentatives:Framework,RoleandResponsibilities.



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• regularreviewoftheeffectivenessofthepolicybyanominatedstaffmember(usuallytheResponsiblePerson)

• transferringstaffbetweenprogramsonlywhenthiscanbemanagedwithoutbreachingtheinformationbarrierpolicy.

AnexampleInformationBarrierpolicyappearsatappendixK.

6.7.77 Itisimportantthatallstaffandmanagersunderstandthattheseobligationsrelatetoallclientconfidentialinformation,andthattheyunderstandthebreadthofwhatmayconstituteclientconfidentialinformation.ThemerenameofaclientattendingforAdvicecouldbeconfidential.

6.7.78 Forthisreason,centreagenciesshouldalsoconsiderphysicalseparationofthecentrefromotherprograms.Physicalseparationprevents,forexample,stafffromdifferentprogramsoverhearingclienttelephoneconversationswithcentrestaff,andalsosupportsthemaintenanceoftheinformationbarrier(forexample,otherstaffwillnothearclientconfidentialinformation,viewclientinformationindiariesoronpapersoncentrestaffmember’sdesks,orcomputersetc).ItalsohelpstoavoidissueslikeclientswhoareormaybeopposingpartiesseeingtheOtherPartyatthesameorganisationorhavingtowaitforappointmentsinthesamewaitingroom.

6.7.79 ‘Identity’separation,suchasthecentrehavingadistinctletterheadandname,assistswithavoidingtheperceptionofconflictofinterestbetweenthecentreandotherhostagencyprogramsandcanhelptoconfirminthemindofthepersonseekingassistanceexactlywhatservicesarebeingprovided(andnotbeingprovided)andbywhom.Itisacknowledgedandacceptedthatcentresthatarepartoflargeragenciesmayhavesomebrandingthatisconsistentacrossprogramshostedbytheagency.However,whiletheremaybecommonbrandingelementsbetweensomeprograms(forexample,broadstylesorthemes),inordertoavoidperceivedconflictsofinterestthecentremusthaveadistinctivenameanditsowndistinctiveletterheadandbrandingonothercommunicationsthatclearlydifferentiatesthecentrefromtheotherprograms.

Examplecontinued:

Abbott’sCreekCLCandWesternRegionalCareInchaveconsideredthelegalobligationsassociatedwithrunningaCLC.Theyareconsideringhowtomeettheirobligationswhilemeetingpreferredoperationalrequirements.

OptionA:TheyestablishtheCLCinseparatepremisesfromallotherprograms.AllcentreoperationsarefullycontainedwithintheCLC.

OptionB:TheCLCisco-locatedwithotherprogramsbutstepsaretakentomaximiseseparationfromotherprograms.TheCLChassoundinformationbarriers,aseparateentrance,waitingarea,administrationservices,facsimilemachineandfirewalledcomputersystem.

OptionC:TheCLCisco-locatedwithotherprogramsbutvariousoperationfunctionsareintegrated,including:singleentrance,commonadministrativefunctions,accesstomultipleclientdatabasesbyadministrators,acommontelephonenumberandacommonfacsimilemachine.


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OptionD:TheCLCisco-located,alloperationfunctionsareintegratedandthereisanotionalbarrierbetweenstaffemployedbytheCLCandotherprogramstaff.Theclientintakeprocedureishandledindependentlybythehostorganisationtoachieveoperationalconsistencyacrossprograms.Thecentralisedintakeworker,whohasaccesstoalldatabasesintheagency(includingtheCLC’sdatabase)receivesconfidentialinformation,conductsconflictschecksandprovidesatriagefunctionintotherespectiveprograms.

Oftheseoptions,AandBarethemostlikelytobecompliantwithlegalobligationsconcerningconflictsofinterestandconfidentiality.OptionCrisksbreachingarangeofobligations.OptionDactivelybreachesarangeofobligations.

Conflictofinterestinreferringmatterstovolunteerlawyers6.7.80 Manyvolunteersatcentresarelocalprivatesolicitorswhosefirmsmaybereferred

clientsbythecentre.Thisgivesrisetothepotentialforconflictsofinterestasthevolunteersolicitormayhaveaninterestinreferringtheclient,orencouragingtheclienttobereferred,totheirpractice,andislikelytobeperceivedtohavethatinterest,includinginsituationswherethismay,ormayappear,nottobeinthebestinterestsoftheclient.

6.7.81 CentrescouldmanagethispotentialforconflictsbyimplementingapolicythattheCentrewillnotreferanypayingmatterstoanysolicitorswhovolunteeratthecentre.Inpracticehowever,thismayunnecessarilydisadvantagelawyerswhochoosetovolunteeratthecentre,andindeedcoulddisadvantageclientsbyprecludingthemfrombeingreferredtorelevantlyexperienced,localsolicitorsandsolicitorswhomayundertaketheworkontermsadvantageoustotheclient,forexampleforadiscountedfeeoronanowin-nofeebasis.

6.7.82 Analternativesuggestedapproachtomanagethepotentialforconflictinthissituationisforthecentretohavepoliciesthat:

• prohibitvolunteersolicitorsfromdirectlyreferringanyclientstothemselves

• ensurethatReferralinformationisalwaysprovidedorendorsedbyanindependentstaffmember,notavolunteerlawyer

• alwaysprovideclientswithatleasttwosuitablereferraloptions(whichmayincludevolunteersolicitors)unlessitisnotpossibletodoso.

Similarconsiderationscanbeappliedtobriefingbarristerswhovolunteeratthecentre.

Conflictofinterest–stafflawyerswhorunprivatepractices6.7.83 Somecentrelawyersmayalsoconducttheirownprivatepracticesoutsidethe

centre,althoughthisisrare.ThisraisessignificantpotentialconflictsshouldReferralsbemadebythecentretothestafflawyer’sprivatepractice.

6.7.84 Somelegalpracticesprohibitstafffromengaginginlegalworkoutsidethepractice.Thisapproacheliminatesthepotentialforconflictofinterestbutitmayalsounnecessarilydisadvantagesomecentresandtheirstaff,where,forexample,thelawyerworkspart-timeatthecentreandusestheprivatepracticetosupplementtheirincomeormaintainordevelopotherlegalpracticeexpertiseandskills.Theissueisfurthercomplicatedwherethestafflawyerconductstheexternalcasesprobonoorforreducedfeesorinsituationswherenootherlawyerwouldtakethematteron.


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6.7.85 TheleastriskyandrecommendedpositionisthateachcentrehasapolicythatprohibitsanyReferralswhatsoeverbeingmadefromthecentretothestafflawyer’sexternalpractice,howeverthismaynotalwaysbepracticableorfair,forexamplewherenootherlawyerwilltakeonthematterorwherethelawyerhastherequisiteexpertiseandcapacitytotakeonthecaseattheprivatepractice,wherethecentredidnot.

6.7.86 AnacceptableapproachwouldbetoprohibitReferralsotherthaninexceptionalcircumstances,whichmayincludethatthelawyeristakingthematteronprobono,forreducedfeeorbecausethereisnoothersuitablelawyeravailable.Underthismodifiedapproach,thepolicyshouldstatethatthelawyermustnotmakeaself-referral.AnyReferralinformationshouldbeprovidedbyadifferentstaffmemberandwherepossible,shouldincludeatleasttworeferraloptions.Disclosureofthelawyer’sinterestmustbemadetotheclient.Thisinvolvesensuringthattheclientisawarethatthelawyerwhoisbeingprovidedasareferraloptionisalsoanemployeeofthecentre.

6.7.87 Othersuggestionstoincludeinthepolicyformanagingthepotentialforconflictinthissituationareto:

• requirestafftoobtainapprovalbeforeengaginginanypaidorunpaidworkoutsidethecentre

• statethatapprovalwillnotbegiveniftheexternalworkmaynegativelyimpactonthecentre’soperationsand/oronthestaffperson’shealth–forexample,wheretheyproposetoconductaprivatepracticeinadditiontoworkingfull-timeornearlyfull-timeatthecentre,orwheretheexternalworkmayjeopardisekeystakeholderrelationshipsorfundingforthecentre,iscontrarytothevaluesofthecentre,orhasthepotentialtoharmthecentreincludingbybringingitintodisrepute

• havethelawyersignanagreementthattheywillimmediatelydeclareanypotentialoractualconflictofinterestarising,andwillfollowanagreeddocumentedprocedureastowhatistobedonethen–includinggivingthecentreclientpriority,thatis,continuingtoactforthem,ifpossible

• statethatanyprivatelegalworkmustnotbeconductedusingthecentre’sresourcesorduringtheemployee’sworkhours.

advisingcentrestaffandvolunteers;oradvisingothercentres6.7.88 SometimescentreswillbeaskedtoprovideLegalAdviceorotherDiscrete

AssistanceServicestoacentreemployeeorvolunteer.Othertimes,centresmaybeapproachedbyanothercentreforAdviceonamatter,forexamplewhenalawyerfromageneralistcentreseeksAdvicefromaspecialistcentrewithoutreferringtheclient.Inbothofthesesituations,itisimportantforthecentreprovidingtheAdviceand/orotherService/storememberthatthepersonorentitytheyareadvisingthenbecomesaclient.Accordingly,thecentremustalwaysfollowtheMandatoryStandardsoftheGuide,includinginrelationtointakeprocedures,conflictsofinterest,obtainingfulldetails,keepingadequaterecords,etc.Failuretofollowthesameprotocolsasforanyotherclientmayimpactonthecentre’sinsurancecoverintheeventofaclaim:see4.6.29-31.


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Confidentiality,conflictofinterestandactingforgroupsandassociations

6.7.89 CLCsmaybeapproachedtoprovideLegalAdviceandRepresentationServicestocommunitybasedincorporatedassociations,non-governmentorganisationsandsimilargroupsthatmightormightnotbealegalpersonality.Clientsinthesecircumstancesrangefromwell-organisedandstructuredlegalentitiestoloosecoalitionsand‘campaigns’aroundaparticularissue.Inmanycasesitwillbeasimplematterofrelyingontheostensibleauthorityofanofficeholderofanincorporatedassociationtoprovideinstructionsandreceivecommunications.Inothercircumstancesmeetingobligationswithrespecttoconfidentialityandavoidanceofconflictswillrequirecarefulattentiontoidentifyingtheentity,whichistheclientaswellastheindividualauthorisedtoprovideinstructionsandreceivecommunicationsonbehalfofthatentity.

6.7.90 IncaseswhereacoalitionofgroupsorindividualsseekstheassistanceofaCLC,itmaybeappropriatetorequirethemtonominateagrouporindividualastheclientoftheCLC.Alternatively,ifaCLCactsformultipleclientswithacommonobjective,carefulattentionwillneedtobepaidtoensuringthatnopossibilityofaconflictofinterestisanticipatedorforeseeableandthatproceduresareinplacetodealwithanythatdoarise,suchasadvisingandceasingtoactforallparties.

Furtherinformationandgettingadvice6.7.91 Lawsocietiesandlawinstitutesoftenhaveusefulinformationonconflictof

interest,informationbarriersandethicsontheirwebsites.54Somealsoprovideadvicetomembersaboutconflictofinterestissuesviatelephoneethicsadviceservices.

54ACT:<http://www.actlawsociety.asn.au/>;NSW:<http://www.lawsociety.com.au/>;NT:<http://lawsocietynt.asn.au/>;QLD:<http://www.qls.com.au>;SA:<http://www.lawsocietysa.asn.au/>;TAS:<http://lst.org.au/>;VIC:<http://www.liv.asn.au/>;WA:<http://www.lawsocietywa.asn.au/>.

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CHAPTER 7

practiceSupervisionandManagementInthischapter:7.1 Introduction 94

7.2 Supervision 94

7.2.7 CheckingDiscreteAssistance(otherthanInformationandReferral) 95 andOngoingAssistanceServices

7.2.11 AccesstotheResponsiblePerson 96

7.2.12 SupervisionofOngoingServices 96

7.2.14 Remotesupervision 97

7.2.18 Supervisingbranchoffices 97

7.3 Workloads 98

7.4 Filereviews 98

7.5 electroniccommunications 99

7.6 CommunityLegaleducation,Communityeducationandpublications 100

7.7 LawandLegalServicereformorpolicyreform 100

7.8 Media 101

7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicereform, 101Stakeholderengagement)andMedia:filesandrecords

7.10 Specialist,auspicedorhostedservices,programsandprojects 102

7.11 Volunteers 103

7.12 Studentsandclinicalprograms 103

7.13 DutyLawyer/advocateservices 104

7.14 Contractworkforlegalaidcommissions 104

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7.1 Introduction Supervisionofthelegalpracticeanditslegal,non-legalandrelatedServicesis

acriticalareaofriskmanagementincentresandisthefocusofthispartoftheGuide.

7.2 Supervision thisisaMandatoryStandard.

7.2.1 TheResponsiblePersonretainsoverallresponsibilityforacentre’slegalandrelatedservicedeliverypractice,includinginanybranchofficeandanyspecialist,auspicedorhostedproject,programorserviceofthecentre:see3.5.21-28,and7.10.TheResponsiblePersonmustensurethatreasonableandappropriatesupervisionisprovidednotjusttoalllawyersbuttoallworkers–employedandvolunteer-providingServicestoclientsofthecentre.

7.2.2 ItmustbeunderstoodthatthisGuiderequirestheResponsiblePersonortheirdelegate,a‘NominatedPerson’,tocheckandsuperviseessentiallyallServicesforIndividuals(exceptgeneral,non-specific,assistancesuchasInformationorReferral)thatthecentreprovides-notjustLegalAdviceandRepresentationServices.Further,theGuiderequiresthattheResponsiblePersonorNominatedPersonmustalsocheckmanyServicesfortheCommunitysuchasCommunityLegalEducation(CLE),CommunityEducation(CE)andLawandLegalServicesReformorpolicyreformmaterialsandotherpublicationsormediawork-basicallyanyactivityofthecentrewherewhatissaidordone(ornot)maygiverisetolegalrisk.

7.2.3 Theprovisionofadequateandappropriatesupervisionisnotonlyamatterofcomplyingwithrelevantprofessionalregulationrequirements.Itisalsoariskmanagementissuebecausepropersupervisionensuresqualityworkandcompetencyinlegalpracticeandotherservicedelivery.Goodqualitysupervisioncanalsoimprovethewellbeing,morale,professionaldevelopmentandretentionofstaff–thisisriskmanagementinabroadersense.

7.2.4 TheResponsiblePersonmustdeterminethelevelofsupervisionrequiredforeachemployedworkerandvolunteerinthecentre,havingregardtothefollowing:

• qualificationsandexperienceoftheemployedworkerorvolunteer

• knowledge,skillsandexperienceoftheemployedworkerorvolunteer

• complexityand/ornatureofthelegalorotherworkbeingundertakenbythatperson

• anyotherrelevantmatter.

7.2.5 TheResponsiblePersonmustensurethatreasonablesupervisionisprovidedby,whereverpracticable,directlysupervisingtheworkerorvolunteerbutonoccasionswhereitisnecessaryandappropriate,delegatingsupervisoryresponsibilityoverthelegalpracticeoradiscreteareaofthelegalpracticetoaNominatedPersonwithsufficientexpertiseandexperienceintherequisitearea/soflaworothertype/sofwork.See3.5.21-28and3.5.29-33inrelationtotheroles,qualificationsandotherrequirementsfortheappointmentofResponsibleandNominatedPersons.

7.2.6 IftheResponsiblePersonorothersupervisorisonleaveorotherwiseabsentforanysignificantperiod,orresignsfromthecentreandthereisnoimmediatereplacement,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedsupervisor:see3.5.25-26.Centresmustensurethattheycomply

P R AC T I C E S U P E RV I S I O N A N D M A N AG E M E N T


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withthelegalprofessionlegislationintheirstateorterritoryatalltimesinrelationtopracticesupervisionandmanagement,aswithotherareas.ThestateorterritoryPIIrepresentativemustbeadvisedofanychangetothepositionoftheResponsiblePersonand/orNominatedPerson.

CheckingDiscreteassistance(otherthanInformationandreferral)andOngoingassistanceServices

7.2.7 TheResponsiblePersonoraNominatedPersonmustcheckallLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServices,performedbyvolunteerlawyersandvolunteernon-lawyersforclients,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject(see7.10).TheymustalsocheckDiscreteandOngoingNon-LegalSupportServicesprovidedbystaffwhoarewithinthecentre’sLegalPractice(thatis,operatingontheothersideofaninformationbarrier).WhereavolunteerisaNominatedPerson,theirLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals)andOngoingAssistanceworkmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.Checkingmustbedoneinatimelymannertominimisetheriskofaclientrelyingonincorrectorincompleteadviceormissingalimitationdate.Seealso7.2.11below.

7.2.8 IdeallytheResponsiblePersonoraNominatedPersonshouldcheckalltheLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServices,performedbyemployedlawyersandemployednon-lawyersforclients.Howeverinpracticetheneedfororamountofcheckingvariesaccordingtocircumstancessuchastheexperienceandexpertiseofthesuperviseeandthenatureandcomplexityoftheworkdone.Thefeasibilityofcheckingallsuchworkwillvaryaccordingtothesizeandresourcesofthecentre.TheResponsiblePersonthereforeretainssomediscretioninthecheckingofemployeeadviceandcasework.However,ataminimumtheResponsiblePersonoraNominatedPersonmustcheck:

• (atleast)asignificantproportionofDiscreteandOngoingAssistanceperformedbyemployednon-lawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheDiscreteandOngoingAssistanceofaNominatedPersonwhoisnotalawyer.Forthepurposesofcheckingthiswork,‘employednon-lawyer’includesanynon-lawyerworkingonsecondmenttothecentre.

• (atleast)asampleofDiscreteandOngoingAssistanceperformedbyemployedlawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject,onaregular,frequentandrandombasis.ThisincludestheDiscreteandOngoingAssistanceoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.Forthepurposesofthiswork,‘employedlawyer’includesanylawyerworkingonsecondmenttothecentre.

Checkingworkisaqualityassuranceprocedureperformedinacollegiateandconstructiveway,andisnotareflectionontheexpertiseorexperienceoftheoriginaladvisor.


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7.2.9 IfitbecomesapparentthatincorrectorincompleteAdvicehasbeengiventoaclient,thefollowingstepsmustbetakenassoonaspossible:

• theServiceProviderresponsibleforprovidingtheinaccurateorincompleteAdvicemustbealertedtothisfact

• theclientmustbeadvisedofthecorrectAdvicebytelephoneand/orinwriting

• thenewAdvicemustberecorded.

7.2.10 InthesecircumstancesiftheResponsiblePersonformstheviewthattheclientmaypossiblyhaveaclaimagainstthecentretheResponsiblePersonshouldspeaktotheirPIIrepresentativeandnotifythebroker/insurer.TheResponsiblePersonshouldobtaintheadviceoftheirPIIrepresentativeandthebroker/insurerbeforetheyadvisetheclientthattheremaybeanissue,theyshouldconsiderobtainingindependentlegaladviceforthecentreandafterconsultationwiththebroker/insurer,contactandcarefullyinformtheclientoftheneedtoreferthemandreferthemappropriately.Notethattheremustbenoadmissionofliabilityoranyactionorcommunicationthatmaybeconstruedasanadmissionofliability(forexample,anapology)bythecentre,unlessandaspermittedbytheinsurer:see4.7.18-20.

accesstotheresponsibleperson7.2.11 AnystaffmemberorvolunteerprovidingServicestoIndividuals(otherthan

InformationorReferral)musthavetimelyaccesstotheResponsiblePerson(ortheappropriateNominatedPerson).IntheeventthattheResponsiblePerson(orNominatedPerson)isnotimmediatelyavailableandthepersonisnotsureabouttheLegalAdviceorotherServicetobeprovidedorcourseofactiontobetaken,then:

• theclientmustbeinformedthattheAdvice/courseofactionmustbechecked,and

• theResponsiblePersonorNominatedPersonmustchecktheAdvice/courseofactionwithin24hoursorassoonasisreasonablypossible,andifnecessarytheworkershouldrecontacttheclientoncethishasbeendone.

SupervisionofOngoingServices7.2.12 ForOngoingServices,theday-to-daymanagementorsupervisionofeachfile

mustbetheresponsibilityofanemployedworker.

7.2.13 ItisrecommendedasgoodpracticethattheResponsiblePersonoraNominatedPersonconvene‘case’conferenceswithworkersatregularintervals,forexampleweeklyormonthly,astheyseefit.Thecaseconferenceisasupervisiontoolto:

• determinewhatmattersthecentrewillundertakeonanongoingbasis

• monitorcaseloads

• discussdifficultcases

• detectanyproblems,consideroptionsandimplementactionstoaddressthem

• monitorandensurecompliancewithlimitationdates,and

• ensurethatthequalityoftheserviceismaintained,andthewellbeingofstaffisprotected.


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remotesupervision7.2.14 Insomecasessupervisioncanbecarriedoutremotelybyteleconferencing,

videoconferencingorothermethods.

7.2.15 TheCountryLawyersProjectinWesternAustraliawasanexampleofwhereremotesupervisionmethodswereputinplacebyarrangementsbetweentheLegalPracticeBoard,CLCsandWALegalAid.Becauseofthelengthoftimethatrestrictedpractitionersmustbesupervised,theCountryLawyersProgramandtheWesternAustralianLegalPracticeBoardconsideredsomeflexiblesupervisionmodelsincluding:

• theintroductionof‘mobilesupervisingsolicitors’whoregularlyspenttimeintheregionswithjuniorlawyers

• useofstateoftheartelectroniccommunicationstoprovideremotesupervision

• astructuredandcollaborativeinter-agencyapproachtosupervision,bearinginmindprofessionalconflictissuesinaregionalcontext,and

• probonomentorsfromanumberoflargecommerciallawfirms.

7.2.16 Whatwillconstitutereasonablesupervisiondependsonthewordingoftherequirementsintherelevantlegalprofessionlawsandhowtheseissuesaredealtwithbythestateandterritorylawsocietyandanyotherregulatorybodyinquestion.Inpractice,itshouldalsotakeintoaccountfactorssuchas:

• theexperience,expertise,skillsandcompetenceofthesupervisee

• therangeandtypeofworkbeingundertakenbythesupervisee,andthewaysinwhichitisdelivered(forexample,inprisonsordetentioncentres,inremotecommunities,byDutyLawyerService)

• thesizeandnatureofthepractice/service(forexample,fromabranchofficewithfewstaff,trauma-informedservicedelivery,culturallysafeforAboriginalandTorresStraitIslanderpeople,oncircuit,fly-in,fly-out).

7.2.17 Itisimportantthatlawyersdonotassumethatbeingwillingtobeconsultedisadequatesupervision.ThecaselawontherelevantruleintheLegalProfessionUniformGeneralRulesmakesclearthattherequirementtoprovide‘reasonablesupervision’requirespositiveengagementbythesupervisinglawyer–havingan‘opendoor’policyisnotsufficient.Ultimately,theResponsiblePersonisresponsibleforensuringthatadequateandreasonablesupervisionisprovidedtoeverylawyer.Incentres,thisobligationextendstothesupervisionofallServiceProviders.

Supervisingbranchoffices7.2.18 Centresthatoperatebranchofficeswillneedtoensurethat:

• theycomplywithanylegalprofessionlawsrelevanttotheoperationsofbranchoffices55

• staffinbranchofficesaresuitablyqualifiedandexperienced

• staffinbranchofficesreceiveadequateandreasonablesupervision

55ACT:LegalProfessionAct2006ss208-209;NSW&Vic:LegalProfessionUniformLawss116-118;NT:LegalProfessionActs227;SA:LegalPractitionersAct1981ss23E-23I;Tas:LegalProfessionAct2007ss218-219.ThereappeartobenospecificprovisionsinQldorWA.



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• staffinbranchofficesaretrainedinandcomplywithanyriskmanagementprocessesandpoliciesincludingthisGuide.

7.2.19 AcentremaywishtodevelopadedicatedriskmanagementpolicyfortheoperationofthebranchofficeanditsworkersandprovisionofServices.

7.3 Workloads thisisaMandatoryStandard.

7.3.1 TheManagementCommitteeandtheResponsiblePersonmustensurethattheyaremindfulofthelimitsandresourceconstraintsoftheircentreanditsworkersanddonottakeonmoreworkthanstaffandvolunteers,whererelevant,canreasonablyandsafelyhandle.

7.3.2 OngoingAssistancemustbekeptwithinreasonablelimitstakingintoaccountstaffinglevels,availableresourcesandallowingforchangesinthecentre’soperationalcontext,includingunexpectedprioritydemandsorstaffchanges.

7.3.3 Workloadsshouldbecontinuallymonitoredandreviewedtoensuretheyarekeptatamanageablelevelforworkersandthatadequatesupervisioncanbeprovided.

7.4 Filereviews thisisaMandatoryStandard.

7.4.1 Thecentremusthaveacomprehensivefilereviewsystem,whetherelectronicorinanotherformsuchasahardcopydiary.Thesystemmustbeintheformofdiary/ies,calendar/sorsoftwareremindersystem.Thecentremustrecordoneachhardcopyorelectronicfileandinthesystemitself:

• thenextactiondateandthenextreviewdateforthefile

• thelimitationdateforthecauseofactionforeachfile(otherthanaone-offLegalAdviceorotherDiscreteAssistance)

• appropriateforewarningsofthatdate

• anyotherdueorcriticaldates,forexample,courtdates,andforewarningsforthosedates.

7.4.2 Thesystemmustbeaccessibleatalltimesatthecentrebyrelevantstaff(andnotonlybythepersonresponsibleforthefile).Thisistoensurethatcorrespondenceissentorattendedto,courtdatesandlimitationdatesarenotmissedandothernecessaryactionistakenonthematter,regardlessofstafforvolunteeravailabilityoranyothervariableorcontingency.Lawyersmaychoosetokeeptheirownindividualdiarysystemsbutshouldstillensurethatallrelevantinformationisonthecentralsystemsoitcaneasilybeseenbyothersinthecentreincasethelawyerisabsentorthefilecannotimmediatelybelocated.Insomecentresitmaybemorepracticableforworkerstomaintaintheirownfilereviewdiaryorsystemwithoutacentralsystem,howeverinthatcasethatdiaryorsystemmustbeaccessibletotheResponsiblePersonoratleastoneotherlawyerortheCoordinator,andtheResponsiblePersonmustensurethatentriesarereliablymade,forexample,byreasonablyfrequentrandomchecks.Ifahardcopydiaryisused,theremustbeasysteminplaceensuringthatlimitationdatesinfutureyearsaretransferredtothenextyear’sdiary.

7.4.3 Whateversystemisused,itisessentialthat:

• eachandeveryfileisreviewedatanappropriateinterval,seebelow


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• courtdatesandanyothercriticaldatesarerecordedonthefileandinaseparatediarysystemaccessiblebymorethantheServiceProviderresponsibleforthatfile

• onthereviewdateacheckisdonetoensurethatanynecessaryactioniscompleted,thecheckanditsresultsarerecordedandsignedbythecheckerinthefile(forexample,bywayofafilenote)andthereviewisalsotickedoffinthecentralsystemandanewreviewdatesetandrecorded

• checkstoensurethatlimitationdatesarenotmissedmustoccurwellinadvanceoftheexpiryofthelimitationdate

• thereareproceduresinplacetoensurethatanactiontobetakenonaspecifieddateisnotmissedduetotheabsenceofaparticularperson

• thereisaformalsysteminplacetoensurethatfilesdueforreviewarestillreviewedevenintheabsenceofthelawyerorotherServiceProviderwhowouldnormallyundertakethatreview.

7.4.4 ThelawyerorotherServiceProviderresponsiblefortheparticularmattershouldundertakefilereviewsregularly.Thereisnosingleanswertohowoftenthisshouldbedoneanditwilldependonarangeoffactorsincludingthetypeofmatterandthestageofthematter.SomecentresrequireServiceProviderstoconductfilereviewsonamonthlybasis.

7.4.5 Filereviewsshouldalsobedoneregularly,butgenerallylessoften,bytheResponsiblePersonorNominatedPerson.ThefrequencyofthesetypesofreviewswillbeaffectedbytheextentofrelevantexperienceandexpertiseofthelawyerorotherServiceProviderwiththecarriageofthematter.

7.4.6 Thereviewsystemmustidentifythefile,thereviewdateandthenameofthestaffmemberresponsibleforthefile,andthenameofthepersonallocatedtoundertakethenextactionorreview,asthismaysometimesbedifferenttothepersonresponsibleforthefile(forexample,itcouldbeactiontobeundertakenbyavolunteerassistingwiththeOngoingService.

7.5 electroniccommunications thisisaMandatoryStandard.

7.5.1 Communicationbyemailandelectronicmeansisincreasinglycommonincentresandraisesanumberofriskmanagementissues–inrelationtoformandcontent-thatcentresneedtoconsiderandaddress,forexample,ensuringthattherelevantsystemsareappropriatelysecureandthattherearenobreachesofconfidentialityorinadvertentdisclosureofconfidentialinformation.Centreworkersshouldtakethesamecareindraftinganemailoratextmessageastheywouldforanyotherwrittencommunicationandshouldnotsayanythinginanemailortextmessagethattheywouldnotbepreparedtoseeinaletteroranexhibitincourt.Centresmusthaveapolicythatdealswithuseofelectroniccommunicationsatthecentre:see8.5.8-10.

7.5.2 TheResponsiblePersonoraNominatedPersonmustensurethatthereisanelectroniccommunicationspolicythatstaffandvolunteersknowaboutitandcheckthatitisbeingfollowed.Forexample,theResponsiblePerson(orNominatedPerson)shouldcheckthathardcopyfilescontainprintoutsofrelevantemailsandotherformsofelectroniccommunication,andanyfileskeptindigitalformalsocontaincopiesofallrelevantemailsandotherelectroniccommunications.Theyshouldalsocheckthatemailsandanyotherformofelectroniccommunicationsentcomplywiththecentre’spolicy.Seethedetaileddiscussionat8.5.8-10andseethesampleEmailPolicyatappendixF.


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7.6 CommunityLegaleducation,Communityeducationandpublications

thisisaMandatoryStandard.

7.6.1 ThecurrentNationalPIIPolicy(section3.1)coversinsuredcentres‘intheprovisionoftheProfessionalServices’.ThedefinitionofProfessionalServicesincludesCommunityLegalEducation,CommunityEducationandpublications,LawandLegalServiceReformorpolicyreformServicesandmaterialsandmediareleasesand/orinterviews–see4.6.15.

7.6.2 TheResponsiblePersonoraNominatedPersonmustcheckanybrochures,publicationsorotherCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsproducedbyacentre(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)foraccuracyandlegalriskpriortotheirdistribution.ThisprocedureshouldextendtocheckinganyCLEorCEmaterialproducedbyothersthattheCLEorCEworkerisintendingtodistributeor‘publish’.ItistheResponsiblePerson’sdecisionastowhatservicesarewithinoroutsideofthecentre’slegalpractice.

7.6.3 Publicationsmustcontainadisclaimerastotheextenttowhichtheinformationcontainedinthepublicationcanberelieduponandtheneedforthereadertoobtainlegaladviceinrelationtotheirparticularcircumstances.

7.6.4 CentresundertakingCLEorCEactivitiesmustmakeitclearthattheinformationprovidedinthosesessionsisgeneralInformation,notLegalAdvice,andaccordinglymustnotberelieduponorappliedbyparticipantsintheirowncases.Participantsmustbeadvisedthateachsetofcircumstancesneedstobelookedatindividuallyandtheymustseekindividuallegaladviceiftheyhavealegalproblem.Forexample,‘Theinformationprovidedin_isforinformationonly.Itmustnotbereliedonaslegaladvice.Youshouldseeklegaladviceaboutyourownparticularcircumstances’.

7.6.5 CLEandCEprovidersmaychoosetodiscussde-identifiedcasestudies.Howevertheyshouldbealerttotheriskofcreatingtheperceptionthattheyareprovidingactualadviceandtothepossibilityofreceivingconfidentialinformationthatcouldleadtoaconflictofinterest.

7.6.6 WorkersconductingCLEsessionsmustnotgiveLegalAdviceduringthosesessions.CLEsessionsarenotappropriateoccasionsforobtainingsufficientandcomprehensiveinstructionsuponwhichtoprovideadvice.HoweveritmaybepossibleandappropriatetoprovideLegalAdvicebeforeorafteraCLEsessionprovidedthelawyercanensurethattheyaredoingsoinanappropriateenvironmentthatenablesconfidentialcommunication,thatproperinstructionscanbeobtained,aconflictcheckcarriedoutandaproperrecordmadeoftheinstructionstakenandLegalAdvicegiven.

7.6.7 TheResponsiblePersonoraNominatedPersonmustensurethatthecontentofCLEandCEsessionsisaccurateanduptodate,andthatworkersconductingsuchsessionsareawareoftheparametersandconsiderationsofthelawofdefamation.

Seealso7.9.

7.7 LawandLegalServicereformorpolicyreform thisisaMandatoryStandard.

7.7.1 TheResponsiblePersonoraNominatedPersonmustcheckthatanyLaworLegalServicesReformorpolicyreformpublicationorotherwrittenmaterialprepared


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bythecentre(includingspecialist,auspicedandhostedservices,programsandprojectsandbranchoffices,ifany)islegallyaccurateanddoesnotcontainanydefamatorymaterial,beforeitispublishedordistributed.Thisobligationextendstoreformsubmissionsandcampaignmaterial.

7.7.2 Thisobligationtocheckappliesalsotomaterialpreparedbyotherorganisationsorindividualsifitistobedistributedbythecentre.

Seealso7.9.

7.8 Media thisisaMandatoryStandard.

7.8.1 TheResponsiblePersonoraNominatedPersonmustcheckallmediareleasesandstatementspriortotheir‘publication’.Publicationinthiscontextdoesnotjustrefertoliteralpublishingofhardcopymaterialbutalsoincludesanycommunicationofthematerial.Theymustensurethatthecontentofamediareleaseiscorrect,thatanyriskofdefamationhasbeenconsideredandthatitdoesnotbreachanylaworlegalobligation(forexample,acourtconfidentialityorderorcontempt).

7.8.2 TheResponsibleorNominatedPersonshouldalsomakesurethatallworkerswhomayspeakwiththemedia,whetherbywayofmakingacomment,speakinginapublicintervieworotherwise,areawareoftheissuesarounddefamationandotherrelevantlaws.ItisrecommendedthattheResponsiblePersonorNominatedPersonspeakinadvancetoanycentreworkerwhowillbedealingwiththemediatomakesuretheyarealerttoandunderstandtheseissues.

7.8.3 Rememberthatthewayinwhich‘publication’isconstruedindefamationcasesmeanscommunicationtoanythirdparty,soitisparticularlyimportantthatanymaterialthatmaybedefamatoryiscarefullyconsideredpriortoanysortofpublicationtoanotherperson,includingbywayofmediacomment,emails,bulletinboardandwebsitepostings.

Seealso7.9.

7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicesreform,Stakeholderengagement)andMedia:filesandrecords

7.9.1 ItisrecommendedasgoodpracticetoopenafileandtorecordonCLASSorthecentre’sotherdatasystem,eachServicefortheCommunity,thatis:

• CommunityLegalEducationorCommunityEducationResourcesorActivities

• LaworLegalServicesReformorpolicyreformpublication,submissionorcampaign,or

• StakeholderEngagement.

Itisalsorecommendedthatthecentreopenafileandrecordontheirdatasystemeachmediaactivity.

7.9.2 Thisfileshouldcontainthefollowinginformation,asrelevant:

• projecttitle

• Servicetype

• projectdescription

• projectstartandenddate(ifknown)


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• projectstatus,hours

• activitydate/s

• location

• attendances

• projectactivityoractivities

• workernames

• evaluationdetails.

7.9.3 Itisworthnotingthatinrecenttimes,themajorityofnotificationsforpossibledefamationhaveoccurredinrelationtoLawandLegalServiceReformandcampaignwork.

7.10 Specialist,auspicedorhostedservices,programsandprojects

7.10.1 Theterms‘auspicedproject’or‘auspicedservice’or‘hostedservices/projects’areusedtodenoteafundedprojectorprogramwhich,tosomeextentcanbeseenashavingitsownseparateidentity,butisconductedundertheauspices–withthesupportof–ofalargerlegalentity.

7.10.2 Thistypeofauspicedorhostedservice,programorprojectcanbedistinguishedfromcaseswheretheCLChas,asanintegralpartofitscoreservicedelivery,aspecialist(andsometimesspecialist-funded)projectorservice,suchastheWomen’sDomesticViolenceCourtAdvocacyServices(WDVCAS)inNSW,TenancyAdviceandAdvocacyServices,WelfareRightsandFinancialCounsellingservices.

7.10.3 Itisimperativethatacentrethatconductssuchaspecialistservicelistsand/ordescribesthatserviceinitsPIIapplicationandannualPIIrenewalapplication.Providedthatthishasoccurred,theworkersinthesespecialistprojectsinCLCsarecoveredbythatcentre’sNationalPIISchemePolicy.Itfollowsthatthewholecentre,includingthespecialistservice,mustcomplywithalltheMandatoryStandardsoftheGuide(seeChapter2),includingconflictcheckingacrossthewholeofthecentre.Similarly,anauspicedorhostedservicecanbecoveredbyaCLC’sPIIpolicyundertheNationalPIISchemeprovidedthatitis,inalegalsense,partofandcontrolledbytheCLCintherelevantperiodandtheCLChas‘declared’theserviceaspartoftheCLC’sProfessionalServicesintheirPIIapplication-andtheapplicationwasacceptedbytheinsurer.

7.10.4 Someauspicedservicesmayhavetheirownseparateinsurancearrangementsanditisimportantthatthecentreconsidersanddecideshowbesttoensurecoverfortheserviceandforthecentre.Considerationshouldalsobegiventoanypossible‘double’insurance,andwhetheritmightjeopardisecoverageforeithertheCLCortheservice(see4.10).Acentremaywishtoobtainlegaladviceaboutthis.Itisopentoacentretochoosetohavethespecialistserviceinsuredbyanotherpolicy,andonlyhavetheremainderofthecentre’sServicescoveredundertheNationalPIISchemepolicy–providedthatbothinsurersknowandacceptthisarrangement.

7.10.5 WheretheauspicedserviceiscoveredbytheNationalPIIPolicy,thecentremustensurethattheservice,alongwiththerestofthecentre,complieswithallMandatoryStandardsoftheGuide(seeChapter2)includingconflictcheckingacrossallservicesofitshostCLC–andviceversa.


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7.10.6 Whereaspecialistproject,programorserviceiscoveredbytheNationalPIIPolicy:

• anyLegalAdviceorotherDiscreteAssistanceorOngoingServicesprovidedbytheproject/servicemustbeopenedasarecordofthecentre

• projects/programs/servicesmusteitherusethecentreletterhead(whichmaythenhaveasubheadinginthenameoftheproject/program/service)orclearlyindicateonitsletterheadthatitisaserviceofthecentre

• project/program/serviceworkersmustsigncorrespondenceovertheirstatedposition,forexample,tenancyworker

• whereappropriate,project/program/serviceworkersmustadviseclientsthattheremaybe(other)legalissuesorramificationsinthematterandreferthemtolegalpractitionersatthecentreortoanotherappropriatecentreorlawyerforthatadvice

• theproject/program/servicemustbeincludedintheannualcross-checkofthecentre.Accordingly,recordsofLegalAdviceandotherDiscreteAssistanceandfilesforOngoingServicesforIndividualsorServicesfortheCommunityoftheauspiced/specialistservicearetobeincludedinthecross-checkandanyworkersorvolunteerswhoareNominatedPersonsmustbeinterviewed.

7.11 Volunteers This is a Mandatory Standard.

7.11.1 TheNationalPIIPolicydefines‘Employee’toinclude(amongotherthings)‘...avolunteerworkerorstudent’.Thusthesameprofessionalindemnityinsuranceprotectionappliestoavolunteerastoanemployee,whensuch:

…is(orwas)atthetimeoftheact,errororomissionwhichgaverisetotheClaimunderYour (NamedInsured’s)directcontrolandsupervisionintheprovisionofProfessional Services.)

7.11.2 TheResponsiblePersonorNominatedPersonmustsupervisethelegalandnon-legalservicedelivery(whetherforindividualsorcommunity)workofvolunteers. Seeinparticular7.3 above. Allnewvolunteersmustparticipateinatrainingandorientationprogram. Anorientationpackagemustbegiventoeachnewvolunteer,whichincludes:

• asaminimum,informationaboutthisGuideanditsrequirements,andhowtoaccessit

• policiesandproceduresofthecentre(ataminimum,theConflictsofInterestpolicy),includingofficeprocedures,guidelinesforServicesforIndividuals.

7.11.3 Eachcentreisencouragedtoprovideanongoingtrainingprogramforvolunteerstokeep themuptodatewithchangesatthecentre,developmentsinrelevantareasoflaw,anddevelopmentsinriskmanagementproceduresorpoliciesatthecentre.

Seealso6.7.6-7and7.5.

7.12 Students and clinical programs7.12.1 Placementsofstudentsforworkexperience,practicallegaltraining(PLT)orclinical

legalstudiesprogramsaresubjecttothesameriskmanagementpracticesasanyotheraspectofCLCpractice.Asmentionedin7.11.1,studentsareclassifiedas‘EmployeesundertheNationalPIIPolicy.

7.12.2 Becauseofthediversityoftheprogramsandclinicsutilisedbycentres,aone-size-fits-allapproachcannotbetaken.Thevariableelementsthatmayneedtobe

P R AC T I C E S u P E Rv I S I O N A N D M A N AG E M E N T

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takenintoaccountinclude:

• sizeofthecentre

• numberandavailabilityoflawyersorotherrelevantspecialistworkers(forexample,socialworkers)suitableandavailableforprovidingsupervision

• numberofstudents

• student/practitionerratio

• academiclevelandstandard,andrelevantexperienceortraining,ofthestudent

• typeofworkundertaken

• whetherornotandforwhatpurpose,thestudentinteractswithclients.

Somecentreswill,forexample,onlytakeaPLTplacementifthatpersonhascompletedsomerelevantskillstraining,forexampleclientinterviewing,orculturalawareness.

7.12.3 Centresthatprovideaclinicallegaleducationprogramorclinicmustensurethattheprogramorclinicisdescribedinadequatedetailtotheinsurerfortheinsurertohaveafullunderstandingofwhatisinvolved–andanypotentialrisks.

7.13 DutyLawyer/advocateservices7.13.1 Somecentresarefundedtoprovideadutylawyerrolewhileotherschooseto

provideaDutyLawyer/advocatetypeservicetofillagapinlegalassistanceprovisionintheircatchmentarea.Thismaybein,forexample:

• local/magistrates’courts

• stateandterritorycriminalcourts

• federalcircuitsandfamilycourts

• tribunals.

7.13.2 AnyDutyLawyer/advocateservicesconductedbythecentreshouldbeclearlydescribedintheoriginalapplicationforPIIandineachPolicyrenewalapplication.

7.13.3 Fromariskmanagementperspectivethecentreshouldalsomakesurethatitcomplieswithanyguidelines,termsorconditionofthecontractsenteredtoprovidethoseservices.ThecentrewillneedtohaveasysteminplacetoenableconflictofinterestscreeningofclientsutilisingtheDutyLawyer/advocateservice,forexample,remoteaccesstothecentre’sclientdatabaseortelephoneconflictscheckspriortotheprovisionofanyLegalAdvice,DutyLawyerServiceorRepresentationServices.See6.7.

7.14 ContractworkforLegalaidCommissions AnycentrethatactsasasupplierofServicesforIndividualsorServicesforthe

Community(forexample,CLE)toastateorterritorylegalaidcommissionmustensurethatthoseservicesaredescribedintheapplicationforinsuranceandannualrenewalform.Thisincludescontractsfor:

• workasapreferredsupplierofLegalorotherServices

• remotesuppliers

• independentchildren’slawyersorseparaterepresentatives

• panelpractitioners.


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CHAPTER 8

ServicesforIndividualsInthischapter:8.1 Writtenguidelines 107

8.2 Conflictofinterestcheck 107

8.3 Intakerecordsandprocedures 108

8.3.2 Client’sname,dateofbirthandcontactdetails 108

8.3.5 NamesofOtherParties 108

8.3.7 Indicationthataconflictofinterestcheckhasbeenperformed 108

8.3.9 Dateinstructionsreceived 108

8.3.10 TypeofService 109

8.3.11 Clientidentifier,filenumberandfileregister 109



8.5.1 ProfessionalbasisforAdvicemustbedisclosed 110

8.5.3 RecordofAdvicegiventoclients 110

8.5.4 Limitationandothercriticaldate/s 110

8.5.7 DateandsignatureofpersongivingAdvice 111

8.5.8 LegalAdviceandotherassistancegivenbyemailorotherformsof 111 electroniccommunication

8.5.11 Advicetothirdparties 112

8.5.16 RetentionanddestructionofAdvicerecords 112

8.5.19 DutyLawyerServices 113

8.6 OngoingassistanceServices 113

8.7 Centre’sdatabaseanditsroleincentreriskmanagement 113

8.7.2 Dataentryforconflictchecking–accuracyandcompleteness 113

8.7.5 OtherPartiesandrelatedclients 113

8.7.6 Duplicateclients 114

8.7.7 Timelinessofdataentry 114

8.7.9 Trainingforconflictchecking 114

8.7.11 Datadefinitionsandtraining 114

8.7.13 Scopeofdatarecordingincentres’databases 115

8.7.15 Datasecurityandunauthorisedaccess 115

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8.8 Files 115

8.8.2 Filenumberandfilerecorddate 115

8.8.3 Letterofengagementorclient/litigationagreement 115

8.8.3 LimitationDate 116

8.8.6 Frontoffileinformation 116

8.8.9 Filenotes 117

8.8.10 Incomingoroutgoingcalls 117

8.8.11 Correspondence,courtdocuments,evidenceanddisbursements 117

8.9 Clientinformationsecurity 118

8.10 Filemovements 118

8.11 Clientrecords 119

8.12 Fileownership 119

8.13 Closingfiles 120

8.13.1 Preparationforclosure 120

8.13.2 Closure 120

8.14 archivinganddestruction 120

8.14.2 Archivingfilesphysically 121

8.14.3 Archivingfileselectronically 121

8.14.6 CLSISandCLASSrecords 122

8.14.7 Destroyingfiles 122

8.15 Clientlegalprivilege 123

8.16 thirdpartyaccesstoclientinformation 123

8.16.3 Thirdpartyornon-partydisclosure 123

8.16.7 Subpoenas 124

8.17 Coercivepowers 124

8.18 Freedomofinformation 125

8.19 privacylaws 125

8.20 Libraryandarchiveslaws 125

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8.1 Writtenguidelines thisisaMandatoryStandard.

8.1.1 Centresmusthavewrittenguidelinesaboutthetypesofwork–LegalAdviceandOtherDiscreteAssistanceServicesandRepresentationandotherOngoingAssistanceServices–theywill,andwillnot,takeon,includingspecifyinganycriteria,parametersand/orpriorityconsiderations.ThesemayrefertotypesandnumbersofServicesand/orclients.InrelationtoOngoingAssistance,theguidelinesshouldincludethetype,amountorlevelofAssistancethatwillbeprovidedtoclients.Centresmay,butarenotrequiredto,alsoincludeintheseguidelinessimilarconsiderationsandcriteriaforprovidingServicesfortheCommunity,suchasCommunityLegalEducation,CommunityEducationorLawandLegalServicesReform.

8.1.2 AllworkersandManagementCommitteemembersmustbefamiliarwiththeseguidelinesandproceduresmustbedevelopedtoensurethatallcentreServiceProviders,paidandvolunteer,complywiththem.

8.1.3 Theguidelinesmustattheveryleasttakeaccountofthefollowing:

• theparticularknowledgeandexpertiseoftheResponsiblePersonandcentrestaff

• thecapacityofthecentretotakeonworkbothgenerallyandspecificallyoftheparticulartype

• theavailablehumanandotherresourcesofthecentre

• othercriteriaasdeterminedbythecentre(forexample,target/priorityclientgroups,fundingandfundingreportingrequirements)

• therisksassociatedwithcertaintypesofwork(forexample,wills,personalinjuryandpropertymatters).

8.1.4 CentresthatreceivefundingthroughtheNPAarealsorequiredtomeetandreportoncertainPerformanceIndicatorsandBenchmarks(clauses17-18)thatrelatetoCommonwealthClientandServicePrioritiesandCommonwealthEligibilityPrinciplessetoutininScheduleBoftheNPA,and,whererelevant,therequirementsoftheirstateorterritoryprogram’sServiceAgreement.

8.2 Conflictofinterestcheck thisisaMandatoryStandard.

8.2.1 AcentremustconductafullconflictofinterestcheckbeforegivingLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orinanyotherform)orotherDiscreteAssistance(otherthanInformationorReferral)orcommencingprovidinganyOngoingAssistanceforaperson.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired(setoutat6.7.58-69)but,absentthoseexceptionalcircumstances,thisisamandatoryrequirement.

8.2.2 Afullconflictofinterestcheckinvolvescheckingtheclient’sname(ornames)andthename/softheotherparty/iesonthecentre’sdatabase/s.Thisisdiscussedindetailat6.7andseealso8.3below.

8.2.3 Allcentresmusthaveaconflictofinterestpolicy,includinganexplanationofrequiredproceduresthatmustbefollowed:see6.7.6.Onlystaffandvolunteerswhohavebeentrainedtoidentifypotentialandactualconflictofinterestshouldbeinvolvedatintake.

S E RV I C E S F O R I N D I V I D UA LS

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8.3 Intakerecordsandprocedures thisisaMandatoryStandard.

ThissectiondoesnotrefertocontactwithapersonthatonlyinvolvesprovidingInformationand/orReferral.

8.3.1 ThefollowinginformationmustberecordedforallpotentialclientsuponintakeforAdviceorotherDiscreteAssistanceorOngoingServicesorDutyLawyerServices,includingfortelephoneandface-to-faceAdviceand/orLegalTaskandforAdvicegivenand/orLegalTaskperformedatoutreachprograms.

Client’sname,dateofbirthandcontactdetails8.3.2 Theclient’scontactdetails(fullname,dateofbirth,addressand/orphone

number)mustberecordedwhereverpossible.Theclient’sfullnameandanypreviousorothernamesincludingspellingvariationsshouldalwaysberecorded.Adateofbirthisaveryusefulidentifierandmustberecordedwheneverpossible.

8.3.3 Exceptionalcircumstancesmayexist,suchaswheretheclientisunabletoprovidetheiraddressand/orphonenumberforreasonsofhomelessness,accommodationinarefugeormentalillness.Inthesecasestheclientshouldbeaskedwhetherthereissomewaytheycanbecontacted(forexample,tosendcorrespondence,toleaveamessage),forexample,throughafamilymember,obtainingthephonenumberoftherefugeorofanorganisationtheycomeintocontactwith.Ifso,theclient’spermissionshouldbeobtainedtorecordthatinformationandtocontacttheminthisway.

8.3.4 Whereaclientisunableorrefusestoprovidecontactdetails,theclientmustbetoldthatthecentrewillnotbeabletocorrect,updateoraddtotheAdvicegivenuponcheckingoftheAdvice.ThefactthatthisinformationwasgiventotheclientmustalsoberecordedontheAdvicerecord,togetherwitharecordthattheclientrefusedorwasunabletoprovidethosedetails.

NamesofOtherparties8.3.5 ThefullnameornamesofanyOtherPartymustberecordedwhereveritis/they

areascertainable,unlesswithintheverylimitedsituationssetoutat6.7.58-69.WherethenameofthePartyisunknownbecauseitcouldnotbeobtained,thatfact(aswellasthestepstakentoobtainthename)shouldberecorded.WheretheOtherPartyisagovernmentagency,thepoliceorabusiness,thatfactandanyotherspecificidentifyinginformationavailablemustberecorded.

8.3.6 WhereaclientrefusesorisunabletoprovidethenameoftheOtherParty,thecentrecannotprovideLegalAdviceorotherAssistance(otherthanInformationandReferral)exceptintheverylimitedsituationssetoutat6.7.58-69.

Indicationthataconflictofinterestcheckhasbeenperformed8.3.7 See6.7andsee8.2above.Theconflictofinterestcheckandtheresultshouldbe

recordedontheLegalAdviceorotherclientorServicedatarecord.Somecentresstampthecoredata/advicerecordindicatingthatthecheckhasbeendone,otherswriteortick‘conflictcheckdone’ontherecord.

8.3.8 Centrescanalsoincorporatearelevantfieldintotheirdatabasetoindicatethataconflictcheckhasbeendoneorisnotapplicable:thisisrecommended.

Dateinstructionsreceived8.3.9 ThisdatemaybedifferentfromthedatetheLegalAdviceorotherDiscrete

AssistanceServiceisgiven.NotethatthedateonwhichtheServiceisgivenmustalsoberecorded.


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typeofService8.3.10 ThetypeofServicewillvaryaccordingtowhethertheworkisDiscreteAssistance

orOngoing,LegalorNon-Legal,ServicesforIndividualsorServicesfortheCommunity,butinanyeventspecificity,accuracyandconsistencyareimportant.Inrelationtofilesandrecordsconcerningworkthatisnotdirectlegalornon-legalServicedeliverytoclients,butServicesfortheCommunity,suchasCLE,CE,LawandLegalServicesReform,ormediawork,see7.9.

Clientidentifier,filenumberandfileregister8.3.11 Theremustbeauniqueclientidentifierforeveryclient.Thisshouldbeanumber/s

orletter/numbercombination–itshouldnotbeanameastheremaybemorethanonepersonwiththatname.Whereafileisopened,thefilemusthaveauniquefilenumber.AllLegalAdviceandOtherDiscreteAssistancerecordsandfilesmustbereadilyretrievable.Centresmusthaveacentralfileregisterinsomeform(thismaybetheirdatabaseortheCLASSdatasystem)andafilingsystemthatallowsallclientfilesandotherrecordstobelocatedbynameandnumberandtheirstatus(open/closed)recordedandeasilyascertained.Seealso8.8.

8.3.12 ItisdesirablethatallfilesforCLE,LawandLegalServiceReformorotherServicesfortheCommunityalsohaveanidentifyingfilenumber:see7.9.CLASSwillassignauniqueclientandServiceidentifierforeachServiceprovided.Somelegalprofessionlawsmayalsorequireadditionalspecificinformationtoberecordedinthefileregister.Forexample,NSWandVictoriarequirethefileregistertorecord(inrespectofeach‘matter’)theclient’saddress,thedateofreceiptofinstructions,andashortdescriptionoftheservices,whichthelegalpracticehasagreedtoprovide(aswellastheclientidentifier).56

8.4 Instructions thisisaMandatoryStandard.

ThissectiondoesnotrefertocontactwithapersonthatonlyinvolvesprovidingInformationand/orReferral.

8.4.1 Alllegalandnon-legalproblemsmustberecordedlegiblyandinsufficientdetailsothatthenatureoftheproblemandclient’senquiryisclear.Anoutlineofinstructionsshouldincludearecordoftherelevantfactsandtheclient’sinstructionsastowhatissuestheywantresolvedandinwhatway.TherecordshouldalsoincludethenatureoftheAssistancethattheclientisseekingorthatisrequiredtoaddresstheproblem,theformofDiscreteAssistanceorOngoingAssistanceServicethattheServiceProviderorcentreistoprovide,andthattheclientacceptsthis.CopiesofanylettersorotherrelevantdocumentsthatarerelevanttotheproblemmustbesecurelyfastenedtotheclientLegalAdviceorotherDiscreteAssistanceorOngoingAssistancerecordorfile.

8.4.2 Itmaybeprudent,atleastinsomeinstancesandwherepracticable,tohavetheclientsignarecordconfirmingtheinstructions.InthecaseofOngoingAssistance,atleastwithregardtolegalServices,itisrecommendedthataletterofengagementorletterconfirmingtheinstructionsissentorprovidedassoonaspossibleafterinstructionsaretaken.

56LegalProfessionUniformGeneralRules2015(NSW;Vic)r93(2).


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8.5 LegaladviceandotherDiscreteassistanceServices thisisaMandatoryStandard.

professionalbasisforadvicemustbedisclosed8.5.1 Peoplewhoarenotlegallyqualifiedorwhoarelegallyqualifiedbutdonothave

acurrentpractisingcertificatemustnotholdthemselvesoutasalawyerorotherwiseimplyorallowbytheirbehaviourotherstoreasonablyinfer,thattheyarealawyer.

8.5.2 Thisissuecanbeparticularlyrelevantforworkersinsomeauspicedorspecialistprojects(forexample,WDVCAS57orothercourtsupportworkers),orlawstudentsandothervolunteersinvolvedininitialinterviewsorfollowupattendances.Theyshouldintroducethemselvesandtelltheclientimmediatelyorassoonasispracticablypossiblewhattheirstatusiswithwordstotheeffectof‘Iamnotalawyer,Iamalawstudent’or’Iamnotalawyer,Iamatenancyworker’.Similarly,itisjustasimportantforanyServiceProvidertoidentifyassoonaspossibletheirroleandrelevantexperienceandexpertise,includingwhethertheyarealawyerornon-lawyer.Forexample,asocialworker,domesticviolencecounsellororfinancialcounsellorshouldmaketheirqualificationsandroleclear,aswellascorrectingoravoidinganypossiblemisunderstandingsabouttheirexperienceandrole.Anytitlesusedbyworkersshouldbeclearandunambiguous.Legalprofessionrulesinthedifferentjurisdictionssetouttheappropriateuseoflawyertitles.

recordofadvicegiventoclient8.5.3 ArecordofallAdvicegivenmustbenotedontheclient’sfileorAdvicerecord.This

mustbelegibleandrecordedinsufficientdetailsothatitiscleartoanyonewhoreadsitwhatAdvicewasgiventotheclient,andwhoprovidedthatServiceandonwhatdate.AnyotherAssistanceprovided,forexampleaLegalTaskorReferralsorotherInformationshouldalsoberecorded.

Limitationandothercriticaldate/s8.5.4 Whenfirstseeingaclientandobtaininginstructions,oneofthelawyer’sfirst

prioritiesistoascertainifthetypeofproblemissuchthatthereisormaybealimitationorothercriticaldate/s.

8.5.5 Aclientmayapproachacentrewithoneoranumberofdifferentproblems,oranumberofpossiblecausesofactionmayariseoutofthesamesetoffacts(forexample,victim’scompensation,worker’scompensation,personalinjuryclaim).Theclientmustbeadvisedofallrelevantlimitationdatesoriftheprecisedateisnotknown,therelevantlimitationperiodforeachpossiblecauseofaction.TheworkershouldrecordontheServicerecord/filethattheclienthasbeenadvisedofrelevantlimitationdates,whatthelimitationdate/sandappropriateforewarningdatesare,andthesedatesmustalsoberecordedinthecentre’sfileregister/reviewsystem.Ifthecentreisnotabletoadviseinanyparticularareaoflaw,theclientmustbetoldthatadviceshouldbeobtainedinrelationtothoseareasand,aslimitationdatesmayapply,thatadviceshouldbesoughtimmediately.

8.5.6 Thesepracticesshouldalsobefollowed,adaptedasnecessary,foranyothercriticaldates,forexamplecourtdates.

57Wome’sDomesticViolenceCourtAdvocacyServices(inNSW).



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Dateandsignatureofpersongivingadvice8.5.7 ThepersongivingtheAdvicemustrecordtheirname,andsignanddatethe

Advicerecord.WherenopapercopyexiststheelectronicrecordmustclearlyrecordwhogavetheAdviceandthedateitwasgiven.

Legaladviceandotherassistancegivenbyemailorotherformsofelectroniccommunication

8.5.8 CentresmaywishtoprovideLegalAdviceandperhapsLegalTaskassistance(forexample,assistancewithdraftingadocument)orDiscreteNon-LegalSupportorInformationorReferralbyemailorotherformsofelectroniccommunicationsoastoincreaseaccessibility,forexampletopeoplewithadisability.CentresmusthaveapolicyandproceduresforhowServiceProvidersmayprovideServicesbyemail(andotherelectroniccommunicationswithclients):see7.5.EvenifacentredecidesnottoprovideDiscreteAssistancebyemailorotherformsofelectroniccommunication,itmuststillhaveapolicyfordealingwithpeoplewhomaymakecontactviaemailorotherformsofelectroniccommunication,includingifandwhenandhowaServiceProvidershouldrespond.

8.5.9 IfacentreprovidesLegalAdviceorotherDiscreteAssistancebyemailoranotherformofelectroniccommunication,theMandatoryStandardsinthisGuideapplytotheprovisionofthatserviceinthesamewayastoadvice/assistancegiveninperson,bytelephoneorbyhardcopywrittencommunication.Forexample:aconflictofinterestcheckmustbedonebeforegivingAdvicebyemailoranotherformofelectroniccommunicationandarecordmadeandkeptthatthiswasdone.

8.5.10 Acentre’selectroniccommunicationspolicymust,asaminimum:

• requiremessagestobeappendedwithanappropriatedisclaimerconcerningconfidentiality,privilegeandincorrectaddressees(someexamplesappearatAppendixF)

• outlinethecentre’sprocedurefordealingwith(new)emailinquiriesandrequestsforInformationorAdvice.(Forexample,‘[Centre]doesnotprovideLegalAdvicebyemail.Pleasetelephonetomakeanappointment...)

• ifAdviceisgivenbyemail,ensurethatthepolicyandproceduresincorporatetherelevantMandatoryStandardsofthisGuide,forexample,conflictofinterestchecks,recordingofclientandServicedata,fileopening,checkingofAdviceandanyotherDiscreteAssistanceprovided

• requirethatallemailorotherformsofelectroniccommunicationrelatingtoclientsreceivingOngoingServices,areprintedoutandplacedintheirhardcopyfileand/orfiledandstoredontheirelectronicfile

• ensurethatconfidentialinformationisprotectedadequately.Sendingofconfidentialinformationbyemailorotherformsofelectroniccommunicationshouldbeavoidedasmuchaspossiblebecauseitisnotsecure–andindeedmaybepassingoutsideofAustralia.Ifconfidentialinformationmustbesent,ideallyitshouldbeprotectedforexampleby‘readonly’formatand/orbyapassword.Ifconfidentialinformationisreceivedbyemailitshouldberecordedelsewhere,forexamplestoredinasecureelectronicclientfileoracopyprintedoutandplacedonahardcopyfile,anditsconfidentialityprotectedinthesamewayasotherhardcopymaterialonthefile.

AsampleEmailPolicyappearsatappendixF.



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advicetothirdparties8.5.11 CentresmustnotprovideAdvicetoathirdparty(thatis,toapersonwhorequests

Adviceonbehalfofanotherperson)exceptinexceptionalcircumstances,forexample:

• itisapersonwhoclearlyactswiththeclient’sconsentorwithcleardelegatedauthorityfromanorganisation

• itisapersonrepresentingtheclientinaprofessionalcapacity,forexample,asolicitor,asocialworker,welfareworkerand/orfinancialcounsellor

• theclientisphysicallyincapacitatedorhospitalised,and

• theclientlacksthecapacitytogiveinstructions,or• apowerofattorneyorguardianshipisheld(andtheServiceProviderhas

sightedthesedocuments).8.5.12 Theprimaryreasonforthisisthatitisthatthethirdpersonisoutsidethe

privilegedsolicitor/clientrelationshipandalsoitnotpossibletobecertainthatthethirdpartyisawareofalltherelevantfactsorgivingcorrectorcompleteinstructionstotheServiceProvider,norisitpossibletobecertainthattheAdvicegiventothethirdpartywillberelayedentirelyoraccurately.Inaddition,theremaybe,ortheremaydevelop,aconflictofinterestbetweenthethirdpartyandtheclient.

8.5.13 BeforeprovidingAdvicetoathirdparty,theServiceProvidershouldascertainwhetheritispossibletocommunicatedirectlywiththeactualclient.Ifitisnot,thereshouldbesomerecordedevidencethattheServiceProviderhasusedtheirbestendeavoursinthecircumstancestoconfirmthatthethirdpartyisactingforandinthebestinterestsoftheclientandthatthereisnoreasonablebasisforthinkingthatthereisaconflictofinterestbetweenthethirdpartyandtheclient.

8.5.14 IfthecentreintendstoprovideAdvice,theactualclient’snameandthename/sofOtherPartiesmustbeobtainedsoaconflictcheckcanbeperformedanddetailsenteredontherelevantdatabase.Itisgoodpracticetoalsorecordthenameofthethirdparty,atleastontheAdvicerecordorfile.

8.5.15 Seethediscussionat6.7.23-26onsomeoftherisksandconsiderationstobetakenintoaccountwhereacentrelawyerorotherServiceProviderisconsultedbyalawyerorServiceProviderfromanothercentreororganisationwhohasthedirectcontactwiththeclient.

retentionanddestructionofadvicerecords8.5.16 AnAdvicerecord(knowninsomecentresasanadvicesheet)isarecordofaone-

off,Adviceand,ifrelevant,otherDiscreteAssistanceprovidedatthesametimetoaclient.(AdvicemayofcoursealsobegivenatthebeginningoforduringthecourseoftheprovisionofanOngoingAssistanceService,inwhichcaseitwouldberecordedonthefilerelatingtothatService.)CentresmustkeepeveryAdvicerecordforatleast7yearsfromthedatetheAdvicewasprovided.Generallyafterthistimetherecordmaybedestroyed,withoutnoticetotheclient.However,beforedoingsocentresshouldconsiderwhetherinaparticularinstancetherearecircumstanceswarrantingalongerperiodofretention,includingtheprovisionsofrelevantlegislationconcerninglimitationperiods,suchaswheretheclientisorwasachildorotherwiseunderalegaldisabilityatthetimetheServicewasprovided.

8.5.17 BeforedestroyinganydocumentsorcopiesofdocumentsattachedtoaAdvicerecordacentremustconsiderwhetherthosedocumentsoughttobereturnedto



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theclient,forexample,theyareoriginalsorotherdocumentstowhichaclientisentitled.

8.5.18 WhereafileisopenedinrelationtoanOngoingAssistanceServiceprovidedtoaclient,see8.14regardingarchivinganddestructionrequirements.

DutyLawyerServices8.5.19 ServicesdeliveredbyDutyLawyerswillgenerallybeDiscreteAssistanceServices.

TheaboverequirementsthereforealsoapplytoanyAdviceorotherDiscreteAssistancethatisprovidedasaDutyLawyerService.DutyLawyerServicesmayalsoleadtofurtherandongoingassistancebeingprovided,inwhichcasetherequirementsoftheGuidewillapplyassuch.

8.6 OngoingassistanceServices thisisaMandatoryStandard.

TheaboverequirementsinrelationtoLegalAdviceandotherDiscreteAssistanceServicesapplyalsotoOngoingAssistanceServices,indeedmanysuchServicescommenceasarequestforLegalAdviceandthenoratsomelaterpoint,theServiceProviderwillformtheviewthattheclient’sproblemshouldbetakenonbythecentreforOngoingServiceprovision.

8.7 Centre’sdatabaseanditsroleincentreriskmanagement8.7.1 ManyCLCshavereliedheavilyforseveralyearsonCLSISformanagingkeyareas

oflegalpracticeriskmanagementincentres,particularlywithregardtoconflictchecking.CLASShasbeendevelopedtoprovidethesamefunctionalityasCLSISforconflictchecking.

Dataentryforconflictchecking–accuracyandcompleteness8.7.2 Conflictcheckingusinganydatabaseisonlyasreliableasthequalityofthedata

recordinganddataentrythatcentresmaintain.Further,tobemosteffective,centresmustimplementanumberofaccessandusageprotocolsandstandardsrequiredbyCLASSortheirowndatabaseprovider.

8.7.3 Foreffectiveandreliableconflictchecking,dataentrymustbeaccurateandcomplete.Theclient’snameistheprimarydatausedinconflictchecking,andspecialcaremustbetakenwhenenteringthisdata.Anyothernamesthatareorhavebeenusedbytheclientand/oralternativespellingsshouldalsoberecordedwithequalcare.AccuratelyrecordingthenameoftheOtherPartyorPartiesisalsocritical.

8.7.4 Supplementarydatathatcanbeusedtoidentifyaclientshouldbecollectedwhereverpossible.Thisincludesdateofbirth,fulladdressdetails,andphonenumber–researchhasshownthataperson’smobiletelephonenumberisoneofthemostreliableidentifiers,particularlyovertime.

Otherpartiesandrelatedclients8.7.5 AreliableconflictcheckispossibleonlyifcompletedetailsoftheOtherParty

orPartieshavebeenrecorded(seeNamesofOtherPartiesaboveat8.3.5).Inallmatters–otherthanthosewithintheverylimitedexceptionsat6.7.58-69andtheveryfewtypesoflegalproblemthatdonotinvolveOtherParties–thenamesofallOtherPartiesmustberecordedinthecentre’sdatabase.TheaccuracyofOtherPartyidentifyingdataisnolessimportantthanthatofclient’s.WhereLegalAdviceoranotherDiscreteAssistanceorOngoingAssistancehasbeenprovided



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tomorethanoneperson–forexampleadvicetoamarriedcouple–oneclient’sdetailsmustbeenteredintothe‘clientdetails’screen,andtheotherclientshouldstillberecordedas‘Relatedclient’orwhatevernameforotherclientthedatabaseprovides.

Duplicateclients8.7.6 EachclientmustberecordedonlyonceinCLASS,orthedatabasethecentreuses.

Ifthereismorethanonerecordforaclientthereisariskthatinformationabouttheclient,includingtheirservicehistory,isspreadamongmultipleclientrecords.Thisincreasestheriskofincorrectresultsfromtheconflictcheck.Duplicateclientdatashouldbecorrectedassoonaspossible,andworkersundertakingdataentryshouldbetrainedtoavoidcreatingduplicatecliententries.

timelinessofdataentry8.7.7 ItismandatorythatclientdetailsandServicedataisrecordedinCLASSorthe

centre’sowndatabaseassoonaspossible.CLASSiscloud-basedanditisexpectedthatsomeServiceProviderswillentertheclientandServicedataatthetimeofServiceprovision.WhereServiceProviderscompletehardcopyrecordsfirst,forentrybyotherslater,itiscriticalthatthisisdoneverypromptly.DelayinenteringdataintoCLASSorotherdatabasesubstantiallyincreasestheriskofincorrectconflictcheckresults.

8.7.8 Itisrecommendedthat,wherethedatasystempermits,centresconsidermaking‘temporarydataentries’forclientsmakingappointmentstoensurethataccurateconflictcheckingoccursduringtheperiodbetweenthetimewhentheclientisgivenanappointmentandwhentheyattendit.Thisway,iftheOtherPartycontactsthecentreforLegalAdviceorotherAssistanceinthatperiod,thecentrewillbeabletoidentifythatithasaconflictofinterestandcanmakeanappropriateReferralforthesecondparty.OncetheclienthasattendedforAdvice,thedataentryisupdatedtonotethattheclienthasattendedforAdviceandthe‘temporaryentry’isdeleted.

trainingforconflictchecking8.7.9 Workersresponsibleforundertakingconflictchecksmustreceiveadequate

training.Inaddition,allworkersenteringclientandServicedatamustbeproperlytrainedbothaboutuseofthedatasystemitselfandtobemadefullyawareoftherequirementsfordatacompletenessandaccuracy,anditscriticalimportancetoconflictcheckingandtheroleofthedatasysteminidentifyingandmanagingconflictriskatthecentre.

8.7.10 AllServiceProvidersprovidingLegalAdviceorotherDiscreteAssistanceorOngoingAssistanceServicestoIndividualsmustbetrainedintheconflictcheckingproceduresestablishedandimplementedatthecentre.Seealso6.7.7.

Datadefinitionsandtraining8.7.11 CentresfundedandreportingundertheNPAmustcomplywiththe

Commonwealth’sDSMandNPAdatareportingrequirements58,includingdatadefinitions.ThepeopleprovidingDiscreteandOngoingAssistanceservicesaretheprimarydatacollectorsforCLASS,andmustbefullytrainedincorrectdatacollectionprocedures,andpossessathoroughunderstandingofthedatadefinitions.

58DSMServicestypedefinitionsareincludedintheGlossaryatthebeginningofthisGuide,andwithintheDSM,availableat:Attorney-General’sDepartment,NationalLegalAssistanceDataStandards<https://www.ag.gov.au/LegalSystem/Legalaidprogrammes/Pages/National-Legal-Assistance-Data-Standards.aspx>(accessed31January2017).



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8.7.12 StaffmustnotenterdataintoCLASSortheircentre’sowndatabasebeforeundergoingformaltrainingintherelevantdatasystem.Training,includingonlinetraining,foraccessanduseofCLASSisavailableforallCLASSusersfromNACLC,whichalsoprovidesaCLASSHelpdeskthatisgenerallyfreetousers.

Scopeofdatarecordingincentres’databases8.7.13 Therewasconsiderablediversityacrosscentresintheextenttowhichdetailed

ServicedatawasrecordedinCLSIS,andthiswillnodoubtbethecaseinCLASSorincentresthatusetheirowndatabases.Someenterminimumdatanecessarytofulfilfundingaccountabilityandconflictcheckingrequirements,keepingdetailedrecordsonhardcopyfiles,whileothersnowmaintaindetaileddigitalrecordsorevencompletefilesofclientServices.

8.7.14 Wherethereissubstantialdestructionofpaperfilesduetofire,flood,theftorothermajorevent,thecentre’sdatabasemaybetheonlyremainingsourceofclientdata.Ontheotherhand,electronicrecordscanalsobevulnerableandcentresmustverifyforthemselvesthatconfidentialinformationandothervaluableinformationandrecordsaresecureandprotected.CLASShasanumberofsecuritymeasurestoprotectcentresfromlossofdata(suchasdatabeingreplicatedontwoseparatelylocatedserversinAustralia).Centresusingotherdatabasesshouldensurethattheirrecordsarebackeduponaserverorhardcopyastheyseefit.CentresmaystillbewisetokeepallhardcopyrecordsoftheirclientsandServices.

Datasecurityandunauthorisedaccess8.7.15 Ofnecessity,CLASSandanycentre’sowndatabasecontainconfidential

informationaboutclients.Itistheresponsibilityofthecentretoprotectclientconfidentialitybyensuringthatunauthorisedaccesstoclientdatadoesnotoccur.Accessandusageprotocolsandsecurityinstructionsmustbefollowedmeticulouslyandconsistentlybyallcentrestaffandanyvolunteersauthorisedtoaccessthedatasysteminanypart.Asageneralrule,centresshouldonlygiveeach‘user’theaccesspermissionstheyrequiretoundertaketheirduties.

Anycentrethatusesadatabasethatislocatedontheirserverlocallyshouldensurethattheirdataisbackedupweekly.

8.8 Files8.8.1 CentresneedtoensurethatallServiceProviderscomplywithgoodlegalpractice

managementfilekeepingstandards.Inthisstandard,‘files’referstobothhardcopydocumentsandelectronicfilesorrecordsrelatingtoaclientService.

Filenumberandfilerecord thisisaMandatoryStandard.

8.8.2 TheOngoingAssistanceServicewillalreadyhavebeengivenafilenumber(see8.3Intakerecordsandproceduresabove).Thecentre’scentralfileregistersystemmustalsorecordthatafilehasbeenopenedasanOngoingAssistancefile(ofwhatevertypeofService)andwhen.

Letterofengagementorclient/litigationagreement8.8.3 WheneverOngoingAssistanceisundertakenandafileisopened,itismandatory

thattheclientisadvisedoftheServicesthatthecentrehasagreedtoprovideandthatashortdescriptionofthisisrecordedinthefile(and,sometimes,inthefileregister59).Itisrecommended,asgoodpractice,thata‘client/litigationagreement’

59LegalProfessionUniformGeneralRules2015(NSW;Vic)r93(2).



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ora‘letterofengagement’orwritten‘retainer’isprovidedtotheclient,ifappropriate.(SeedefinitioninGlossaryandseethesamplelettersofengagementatappendixJ).ThisisaMandatoryStandardincircumstanceswherethelegalprofessionlawsoftheparticularstateorterritoryrequireit.Insomecases,forexamplewhereworkisdonequicklytomeetadeadline,thismaynotbepractical.Inthosecasesitisdesirabletoprovidetheclientwithwrittenconfirmationoftheworkthatwasundertakenassoonasispossibleafterwards,ifthatispracticable.

8.8.4 Evenifitisnotpracticaltogetaclientagreementsigned,itisgoodpracticetoconfirmthefollowinginwritingtoyourclient:

• whatyourcentreisagreeingtodo

• whatyouarenotagreeingtodo

• whathappensiffurtherRepresentationorotherOngoingAssistanceisrequired.

Limitationdate thisisaMandatoryStandard.

8.8.5 Legalproblemstowhichalimitationdateordatesapplymusthavethedatemarkedprominentlyonornearthefrontofthefile.Ifnolimitationdateisapplicable,thismustbenotedprominentlyonthefileas‘N/A’.Similarly,ifthelimitationdatehasexpired,thismustbeprominentlyindicatedas‘expired’.Limitationdatesmustalsoberecordedandmonitoredinthecentre’sfilereviewsystem.Insituationswherethecentreisonlyactingfortheclientinoneofanumberofpossibleactions,itmustbenotedinthefilethattheclienthasbeenadvisedofthelimitationdatesforallpossiblecausesofaction,andwhattheywereadvisedinrelationtoeach.(Thisisusuallyontheinitialadvicesheetorbywayofaletterofadvice.Thelimitationdaterelevanttothecause/sofactionforwhichthecentrerepresentstheclientistheonlylimitationdatethatmustbenotedonthefileinthespaceforrecordinglimitationdate/s.)

Frontoffileinformation thisisaMandatoryStandard.

8.8.6 Thefollowinginformationmustberecordedprominentlyonoratthefront(forexample,insidethefrontcover)ofallRepresentationorotherOngoingAssistancefiles:

• fullname/s,addressandtelephonenumber/sofclient

• fullname/softheOtherPartyorParties

• indicationthataconflictofinterestcheckhasbeendone

• problemtype

• filenumber

• limitationdate(seeabove)

• othercriticaldates(ifany)

• actionandreviewdates

• nameofworkerresponsibleforfile.



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Centresshouldconsiderclientconfidentialitywhendeterminingwhatinformationwillappearontheoutsidecoverofafile.

8.8.7 ThefollowinginformationmustberecordedinthefilewhenanewRepresentationorotherOngoingAssistancefileisopened:

• outlineoftheclient’sproblem

• outlineoftheLegalAdviceorLegalTaskoranyotherServicegiven(ifany)

• datefileopened(thismayberecordedonthefrontofthefile)

• dateinstructionsfirstreceived

• dateLegalAdvicegivenand/orotherServiceprovided(ifany).

8.8.8 Legalprofessionlawsmayprescribeadditionalrequirements.Forexample,practitionersinNSWandVictoriaarerequired60torecord(inthefileregister,inrespectofeach‘matter’)ashortdescriptionoftheservicesthatthelegalpractitionerhasagreedtoprovide.TheResponsiblePersonshouldcheckwhetherthereareanysuchadditionalrequirementsintheirjurisdictionandwherethereare,ensurethatallServiceProvidersattheircentrecomplywiththem.

Filenotes thisisaMandatoryStandard.

8.8.9 Filenotesmustbemadeofalltelephoneorface-to-faceattendanceswiththeclientoranyotherpersonspokentoinrelationtotheclient’sproblem.Filenotesshouldalsobemadeoftextmessagessentorreceivedoranyotherelectroniccommunication.Thefilenotesmustbelegible,dated,indicatethecircumstancesinwhichthenotewasmade(forexample,face-to-face,ortelephone),notethenameofthepersonmakingthefilenote,besignedorinitialled(eitherbyhandorelectronically)bythepersonmakingthefilenote(includingfilenotesonelectronicfiles),andsecuredinthefileor,inthecaseofelectronicfiles,beincludedintheclient’sServicefileorfolder.

Incomingoroutgoingcalls thisisaMandatoryStandard.

8.8.10 Recordsmustbemadeofallincomingandoutgoingcallsmadeorreceivedinrelationtoeachclient’scase,bythepersonwhotakesormakesacallinrelationtoit.Itisgoodpractice(andcanberelevanttocostsrecovery,torecordwhethereachcallwasmadefromorreceivedbytheServiceProvider).Messagestakenfromcallers,aswithanyotherrecordofcommunicationaboutthematter,mustbesecuredappropriatelyinthefileorenteredintotheelectronicfile.

Correspondence,courtdocuments,evidenceanddisbursements thisisaMandatoryStandard.

8.8.11 Unlessthereisonlyanelectronicfile,copiesofallcorrespondence,includingemails,shouldbekeptonthehardcopyfile.Filesshouldbekeptinasensibleandlogicalorder,withcourtdocumentsandevidenceseparatedfromfilenotesandcorrespondence.Filenotesandcorrespondenceshouldbesecuredtothefileinchronologicalorder,usuallyandmostconvenientlyinreversechronologicalorder.

8.8.12 Electronicrecords,includingoriginalrecordsorcopiesofmaterialonthehardcopyfile,shouldbestoredinanelectronicfilededicatedtoandeasilyidentifiableas

60LegalProfessionUniformGeneralRules2015(NSW;Vic)r93(2)(c).


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theparticularclientServicefileorfolder.Itisgoodpracticeforthatfoldertohavesub-foldersthatreflectthehardcopyfile,forexample,‘correspondence’and‘courtdocuments’.

8.8.13 Recordsofdisbursementsoranyotherfinancialinformationandrecordsshouldbekepttogetherandseparatefromotherdocumentsonthefile.

8.9 Clientinformationsecurity thisisaMandatoryStandard.

8.9.1 Centresmustprotectclientconfidentiality(see6.6)andclientlegalprivilege(see8.15)byensuringthatunauthorisedaccesstoclientinformationdoesnotoccur.Physicalfilesmustbekeptinasecurelocationandinsuchawayastopreventunauthorised(includinginadvertent)accessortheunauthorisedimpartingofclientinformation(thisincludesleavingafileinaplacewheretheclient’snamemaybeseenbyothers).Electronicfiles,recordsanddataconcerningclientsmustbekeptonasecurecomputernetworkthatisprotectedfromunauthorisedaccessfromoutsidethecentre.

8.9.2 Withinthecentre,strongpasswordsshouldberequiredtoaccessanycomputeronthecentre’snetworkandstrictpermissionsmanagementshouldoperate.Allcentredatathatiskeptlocallymustbebackedupatleastweekly.Mobiledevices(forexample,smartphones,laptops,notebooks)thatmaycontainconfidentialclientinformationshouldbestronglypasswordprotectedandalwayskeptinahighlysecureplaceandmanner.Portabledatastoragedevices(forexample,USBflashdrives)containingclientinformationneedtobetreatedlikefilescontainingconfidentialinformationandshouldbesecurelymanagedandstored.Remoteaccessshouldnotbeusedunlessitcanbedoneinasecuremanner.

8.10 Filemovements thisisaMandatoryStandard.

8.10.1 Whileitisgoodriskminimisationpracticetolimitfilemovementsbetweenthecentreandotherlocations,itissometimesnecessaryforfilestobetakenelsewhere,suchastocourt,counsel’schambers,prison,mediation,acentrebranchoffice,ortoaclientinterviewatanoutreachclinicortheclient’shome,ortravellingtoanyoftheselocations.Wherethisoccurs,thecentremusttakeallreasonablestepstomaintainthesecurityofthefile/s,tominimisetheriskofafilebeingdamagedorlostandtoprotectclientconfidentiality.

8.10.2 Eachcentremusthave,maintainanduseacentralfileregisterinsomeform(see8.3.11).Itisstronglyrecommendedasgoodpracticethatanyfilemovements,thatisanymovementfromitsprimaryplace,berecorded.Ideallytheregistershouldrecordthecurrentlocationofthefile,thedateandthenameofthepersonwhohasthefile.

8.10.3 Othergoodpracticerulestoreducetheriskofthefilegettinglostordamaged,orfallingintothehandsofathirdparty,includethat:

• thefileshouldneverleavetheofficeunlessitisnecessary

• thecurrentlocationofeveryfile,thenameofanypersonwhoremovesthefile,dateofremovalandpurpose/destinationisrecordedinafilemovementregisterorsomeotherwrittenrecordavailableatthecentre

• thefileshouldnotbeleftinacarifatallpossiblebutifitis,itmustbelockedawayandoutofsight


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• ifafileistakenoutsidealleffortshouldbemadetoconcealthenameandidentifyingdetailsoftheclientandideallythefileshouldbeconveyedinabriefcaseorbag

• thefilemustnotbeleftunattendedinapublicorapubliclyaccessibleplace.

8.10.4 Aclient’s‘file’includesallclientinformationincludingemailsandelectronicrecords.Similarcommon-sensegood-practicerulesshouldbeappliedtoclientinformationinthisform,forexample:

• clientdatashouldnotbetakenoutoftheofficeonmemorysticksorCDsetcunlessitisabsolutelynecessaryandisstronglypasswordprotectedorencrypted

• clientdatastoredonalaptopormobilephoneorotherdevicetakenoutsidethecentreshouldalsobestronglypasswordorotherwisesecurityprotected.

8.11 Clientrecords Clientrecordscanincludeawiderangeofforms:

• clientintakesheets

• diaries,bookingsheets

• journalsandcommunicationbooks

• notes,whetherhandwrittenortyped

• correspondence

• emailsandtheirattachments

• copiesororiginalsofdocumentsabouttheclientortheirlegalandrelatedproblem/sincludingmedicalrecordsandexpertopinions

• recordsofService/sprovidedtotheclient

• databaserecords

• audio,dictationandvideotapes

• digitalfiles

• photographs,scans,images.

8.12 Fileownership8.12.1 Generally,aclient’slegalfileisownedinpartbytheclient(forexample,original

clientdocuments)andinpartbythecentre(forexample,filenotes).Centresneedtobefamiliarwiththeprinciplesconcerningownershipoflegalandotherfiles,aswellasconsideranyimplicationsoftherelevantprivacylawsinrelationtoclients’entitlementstoaccessinformationheldaboutthem:see8.19.

8.12.2 Centrestaffandvolunteersdonotownclientfilesandmustnottreatthemastheirproperty.Whentheemploymentorvolunteerrelationshipends,thefilesandrecordsremainwiththecentre.

8.12.3 Insomeserviceagreements,fundingbodiesclaimownershipoffiles,partsofthem,orofsomeinformationorrecords.Centresshouldconsideranysuchclausescarefullybeforeagreeingtoanyserviceagreementandensurethattheyareonlyagreeingtotermswithwhichtheycanandwillcomply.

8.12.4 Theclaimingofownershipof,orevenarightofaccessto,clientlegalfilesbyafundingbodyisparticularlycontentiousbecausethecentreisobligedtoprotect

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itsclients’legalprivilege.Ifafundingbody,oranyotherthirdpartyseeksaccesstothefile,thecentreisobligedtoclaimprivilege(ontheirclient’sbehalf)anddenythatpartyaccesstoprivilegedpartsofthefileunlessanduntiltheyhavetheexpressconsentoftheclienttoreleasethosepartstothatpersonorbody.

8.12.5 Thisprivilegemayapplytofilescontaininganyclientinformation.Itrefersnotjusttohardcopybutalsotoelectroniccommunications.

8.12.6 Itisveryimportantthateachcentreunderstandthelegalsituationinrelationtoallthefilesandclientrecordsandinformationthattheircentrepossessesandconsiderif,whenandhowtheyexplainthatsituationtoclientsandhowtoprotectclientprivilegewhererelevant,aswellasensurethattheirlawyersmeettheirdutytoprotectclientconfidentiality–thetwooverlap,butaredifferent.

8.13 Closingfilespreparationforclosure


8.13.1 Beforeafileisclosed,itmustbereviewedbyaResponsiblePersonorNominatedPersontoensurethatthefollowingrequirementshavebeencompliedwith:

• theclientisadvisedinwriting:

- thatthefileisabouttobeclosed

- thatthefilewillbedestroyedaftersevenyears(orotherdateasapplicable)(seebelow)

- ofrelevantlimitationdates(ifany).

• thefollowingadministrativeprocesshasbeencompleted:

- anyoriginaldocumentsprovidedbyorobtainedonbehalfoftheclienthavebeenreturnedtotheclient

- allbillshavebeenpaid,truststatementssentandunusedtrustmoniesreturnedandaccountedfor,anytransitmoneyhasbeenpassedontotheappropriateperson/body

- thedatethefileisclosedisrecordedon,ataminimum,thecentralfileregisterandthefileitself.

Closure thisisaMandatoryStandard.

8.13.2 Thefilemustbeclosedonthecentre’sfileregister.

8.13.3 Theremusteitherbearecordonthefilethattheabovethingshavebeendone(forexamplebywayofachecklist)oranexplanationastowhytheyhavenotbeendone.

8.14 archivinganddestruction thisisaMandatoryStandard.

8.14.1 Allfilesmustbekeptforaminimumofsevenyearsfromthedatethatthefileisclosed.InrelationtoparticularclientsandparticulartypesoflegalissuesalongerperiodmayberequiredbylawandtheResponsiblePersonmustascertaintherequirements(ifany)thatapplyintheirjurisdictiontotheparticulartypeoflegalissueandensurethoserequirementsarecompliedwith.Forexample,inrespectofaclientunderalegaldisability(suchasbeingunder18orsomepeoplewithanintellectualdisabilityormentalillness)itmaybenecessaryinaparticular

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jurisdiction,oratleastprudent,toretainthefilebeyondtheseven-yearperiod.See8.14.7Destroyingfilesbelow.

archivingfilesphysically8.14.2 AfterfilesareclosedonCLASSoranyotherdatabasethefilecanbephysically

archived.Archivalarrangementsdifferfromcentretocentrebutshouldatleastmeetthefollowingcriteria:

• filesmustbestoredinasecureenvironmentawayfrompublicandunauthorisedaccess,eveninadvertentaccess

• filesshouldbearchivedinsuchawayastoallownecessaryaccesstocheckpotentialconflictsofinterestand/ortakecopiesoforreturnclientdocumentswheresucharequestismade.Somecentresarchivefilesbytheyeartheywereclosedandinalphabeticorder(clientfamilyname)foreachyear.OthercentresarchivebyCLSIS/CLASSfilenumberorcentrefileregisternumber

• wherethefileisnottobedestroyedthismustbeclearlymarkedonthefile–adestructiondateshouldbemarkedonfilesaspartoftheclosureandarchivalprocess

• howlongfilesarekeptwillvarydependingonjurisdictionalrequirementsinrelationtoparticulartypesoflegalproblemsandeachcentreshouldinvestigatethisissueincludingtherangeoflawsthatapplytoarchivinganddestructionofclientfiles,bothlegalandnonlegal

• serviceagreementsandfundingarrangementsmaycreateadditionalarchivalordestructioncriteriaandtheseshouldbeconsidered,asrelevant,byeachcentre.

archivingfileselectronically8.14.3 Ifacentreintendstoelectronicallyarchiveclientdataitshouldseekadviceabout

theapplicationofanystateorterritoryprivacy,informationorarchiveslawsthataffectarchivingofelectronicrecordsanddevelopapolicythatdealswithsecurityandintegrityofthedata.Ifacentreintendstoarchivefileselectronically(forexample,viaanonlinedocumentmanagementsystem,orscanningphysicalfilestomakeanelectronicrecordforstoragepurposes)theclient’sconsentwillberequiredbeforedestroyingdocumentstowhichtheclientisentitled(see8.14.7-10).Asystemofelectronicstoragethatsatisfiesthekeyrequirementsofreliability,integrityandaccessibilityassetoutinrelevantlegislationcanbeimplemented61.Adocumentthatrecordstheelectronicstorageprocessandpoliciesshouldalsobeprepared.62

8.14.4 Somedocumentsmustbestoredintheiroriginalhardcopyformandinasafeandeasilyaccessiblelocation,forexample:63

• titledeedsandanydocumentsrecordingdealingswithland

• wills

• originalexecutedagreements

• powersofattorneysorothersimilarauthorisations;and

• anyotherdocumentsorthingsheldbythecentreforsafekeeping.

61Forexample,inWA:ElectronicTransactionsAct2011(WA)s12. 62See:ASISO15489AustralianStandardonRecordsManagement. 63Forexample,inWA:LegalProfessionConductRules2010r28(4).

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8.14.5 Clientfilesthatareinelectronicformmustberetainedforthesameperiodoftimeasforaphysicalfile.Acentrewillneedtheclient’sconsenttodestroydocumentstowhichtheclientisentitledeveniftheyareinelectronicform(see8.14.7).

CLSISandCLaSSrecords8.14.6 CLSISrecordswererequiredtobekeptindefinitelyinorderforthemtobe

availabletobeassessedforpotentialconflictsofinterest.CLSISrecordscouldnoteverbe‘archived’inthesenseofbeingdeletedfromtheCLSISdatabaseasthisdeletedthemfromtheNationalProcessingCentre(NPC)database.TheAttorney-General’sDepartmentrequiredaccesstoallNPCrecordsforlongtermstatisticalreportingandanalysis.

Allcentres’datathatwasinCLSISisbeingmigratedintoCLASS.TheclientdatathatwasinCLSISwillthereforebeavailableinCLASSforongoingconflictchecking.CLASSrecordsmustalsoberetainedindefinitely.

Destroyingfiles8.14.7 Afile(physicalorelectronic)usuallycomprisesarangeofthingsincluding

correspondence,filenotesandreports(see8.11).Someoftherecordsinafilemaybetheclient’sdocumentsordocumentstowhichtheclientisentitled.64Clientconsentmustbeobtainedtodestroydocumentstowhichtheclientisentitled.Centresmustcomplywithrelevantlegalprofessionrulesintheirjurisdiction.Informedconsentshouldideallybeobtainedattheoutsetofthematterandinwriting.Thiscouldbedoneinaletterofengagement/clientagreementoraclientauthority,forexample:

Onceyourfilehasbeenclosed[Centre]isrequiredtokeepitforaperiodof7yearsafterwhichtimeyourfilewillbedestroyed.Pleasesignbelowtoindicateyourconsenttothisprocess.

SeealsothesamplelettersofengagementatappendixJ.

8.14.8 Itisrecommendedasgoodpracticethatcentresmakeandmaintainarecordofthename,filenumberanddestructiondateofeachfiledestroyed.

8.14.9 AusefulsampleFileDestructionChecklistisatappendixItothisGuide.ThischecklistwasdraftedbyandforQueenslandCLCs.Centresinotherstatesorterritoriesshouldensurethattheirspecificjurisdiction’srequirementsaremet,andamendthislistasappropriatebeforeusing.

8.14.10 Specialconsiderationsapplytothedestructionoffilescontaininginstructionsforwillsandpowersofattorney(POA),draftwillsandPOAandassociateddocumentation.Thisisbecauseproblems(forexample,questionsofcapacity,lostwills,negligence)donotcrystalliseuntilthetestator’sdeathorthePOAisexercised,whichmaybemanyyearsafterthedocumentisexecuted.ItisstronglyrecommendedasgoodpracticethatfilescontaininginstructionsforwillsandPOAanddraftwillsandPOAnotbedestroyedforatleast6yearsafteracauseofactionmightaccrue.Forexample,acauseofactionmightnotaccruetoanamedbeneficiaryuntilthetestatorhasdiedandtheexecutorhasassumedoffice.Ifthecentreretainstheoriginalwillitmustnotbekeptonthefile,ratheritmustbekeptinasecureplacewithaWills/SafeCustodyRegister(howeverdescribed)thatcomplieswithapplicablelegalprofessionlegislation.

64Centreswillneedtoconsideranyimplicationsoftherelevantprivacylawsinrelationtoclients’entitlementstoinformationheldaboutthem:see8.19.

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8.15 Clientlegalprivilege thisisaMandatoryStandard.

8.15.1 Clientlegalprivilegecanbedefinedas:

therightofapersontohavewithheldfromevidencecommunicationsbetweenthatpersonandhis/heradviser(orbetweenthelegaladviserandathirdparty),madeinthecourse…ofobtaininglegaladviceorwithreferencetolitigation.65

Thosecommunicationscanbeinhardcopy,electronicorotherforms.

8.15.2 Whenconsideringthetopicofprivilege,thecentreshouldensurethatithaspoliciesandprocedurestoidentifyandprotectprivilege.Staffandvolunteersshouldbetrainedinthisarea.

8.15.3 Whileotherprofessionssuchasaccountantsandsocialworkersmayalsobegovernedbyprofessionalcodesthatrequirethoseprofessionalstotreatclientinformationasconfidential,onlyclientlegalprivilegeis‘absolute’asopposedto‘qualified’innature.

8.16 thirdpartyaccesstoclientinformation8.16.1 Therearesomesituationswhereacentreisobligedtogiveaccesstoclient

information/recordstoathirdparty,forexample,pursuanttodiscoveryordersorsubpoenasorobligationsunderlegislationtoreportcertaintypesofoffences.Acentrecanalsoobtainaclient’sconsenttobeabletodiscloseinformation/recordstoathirdparty.

8.16.2 Eachcourthasitsownrulesthatsetoutthewayinwhichinformationrelevanttoacourtcasecanbeobtainedfromthepartiestothedisputeandfromthirdparties,ornon-partiesastheyareoftenknown.IfacentrereceivesarequestofthisnatureitshouldseeklegaladviceandalsoassistancefromthePIIrepresentative.Thecentreshouldalsoadvisetheclientoftherequest,unlesstheyarelegallyobligednotto.

thirdpartyornon-partydisclosure8.16.3 Thirdpartyornon-partydisclosureoccurswhereapartyinlegalproceedings

seeksdocumentsorrecordsheldbyathirdparty.66Thisisinadditiontothepowertoissueasubpoenaagainstdocumentsheldbyathirdparty.Non-partydisclosurecanberequiredwhen:

• thedocumentsoughtisdirectlyrelevanttoanallegationatissueinthepleadings

• thedocumentsoughtisinthepossessionorunderthecontroloftherespondent(thatis,therecipientofthenoticetodisclose),and

• thedocumentisonethatcouldberequiredtobeproducedattrial.

8.16.4 Whereanoticeofnon-partydisclosureisreceivedbyaclientorbythecentreitself,thecentreshouldcheckthatthenoticestatestheallegationaboutwhichthedocumentisdirectlyrelevant,andcertifiesthatthereisnootherwaytoobtainthedocuments.

65CCHMacquarieConciseDictionaryofModernLaw(CCHAustraliaLimitedNorthRyde1988)page77.Seealsothedefinitionof‘legalprofessionalprivilege’inLexisNexis,EncyclopaedicAustralianLegalDictionary,whichincludescasereferences.

66InQld:UniformCivilProcedureRules1999,s242.

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8.16.5 Thenon-partycanobjecttodisclosureonanumberofgrounds,suchas:

• theexpenseorinconvenienceofproduction

• theirrelevanceofthedocument

• lackofparticularity

• confidentiality

• effectsofdisclosureonanyperson

• failuretoeffectproperservice.

8.16.6 IntheeventthatthecentrereceivesarequestofthisnatureitshouldseeklegaladviceandshouldseekassistancefromthePIIrepresentative.

Subpoenas8.16.7 Asubpoenatoproducedocumentsdiffersfromanoticefornon-partydisclosure.

Asubpoenaisalegaldocumentissuedbythecourttoproducedocuments,giveevidence,orboth.67Asubpoenarequiresattendancebeforethecourtandcanberequestedbyeitherpartyorissuedbythecourtofitsownaccord.Likedisclosure,anargumentcanbeputtothecourtthatthesubpoenashouldbesetasideforreasonssuchas:

• therequestisirrelevant

• theinformationordocumentsareprivileged

• respondingwouldbeoppressive,includinginvolvingsubstantialexpense

• failuretocomplywiththerules(forexample,notaccompaniedby‘conductmoney’ornotproperlyserved).

8.16.8 Itisimportanttoseekadviceandpreparearesponseassoonasasubpoenaisreceivedandnotleaveittothelastminute,orfailtoattendcourttorespond,evenifthecentre’sargumentisthatitdidnothavetocomply.

8.16.9 Failuretocomplywithasubpoenaiscontemptofcourt.

8.17 Coercivepowers8.17.1 Therearesomestatutoryexamplesofcoercivepowerswhereapersoncanbe

compelledtoprovideinformationevenwherethe:

• informationisprivileged

• informationisconfidential

• persongivingtheinformationmayincriminatethemselves

• persongivingtheinformationmayincriminateanotherperson.

Commissionsofinquiryandstatutoryagencies,forexample,oftenhaveinformationgatheringpowersthatareverybroadranging.

8.17.2 Itisimportantinthesecasesto:

• checktherelevantlegislationanditsrequirementsandprotectionsifany

• checkanypenaltiesfornon-compliance

67Cth:FederalCourtRules2011,r24.12;ACT:CourtProceduresRules2006,reg6601;NSW:UniformCivilProcedureRules2005,reg33.2;NT:SupremeCourtRules,reg42.02;Qld:UniformCivilProcedureRules1999,s414;SA:SupremeCourtCivilRules2006,r172;Tas:SupremeCourtRules2000,reg495;Vic:SupremeCourt(GeneralCivilProcedure)Rules2015,reg42.02;WA:RulesoftheSupremeCourt1971,O36Br2.

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• seeklegaladviceifnecessaryandinformthePIIrepresentative,and

• informandconsultoradviseanyclientwhoseinformationisinvolved.

8.18 Freedomofinformation FreedomofInformation(FOI)andRighttoInformation(RTI)lawsprovidethe

publicwitharighttoaccessdocumentsheldbygovernmentdepartments,agenciesandministers.FOIlawsdonotapplytotheprivateorNGOsector,althoughtherearesomegovernment-ownedcorporationsthataresubjecttoFOIlaws.ThereareFOIlawsatFederal,StateandTerritorylevel.68FewcommunityorganisationssuchascentreswillbesubjecttoFOIorRTIlaws.IntheeventthattheCLCreceivesarequestofthisnatureitshouldseekassistancefromthePIIrepresentative.

8.19 privacylaws8.19.1 PrivacylawsexistataFederal,StateandTerritorylevel.69Eachcentreneeds

todeterminewhichlawsapplyandwhatstepsneedtobetakentoensurecompliancewiththerelevantlaw(s).Centresmayalsoberequiredtocomplywithprivacyobligationsunderoneormorefundingagreements.70

8.19.2 Itisrecommendedthatcentresdevelopaprivacypolicy.Asampleprivacypolicyisincludedatappendixh.Centresmayalsowishtodevelopseparateand/oradditionalprivacyprocedures.

8.19.3 Intheeventthatthecentrereceivesarequestwherecompliancewiththerequestmaybreachprivacyobligations,itshouldseekassistancefromarelevantlyexperiencedlegaladviserandthePIIrepresentative.

8.20 Libraryandarchiveslaws Libraryandarchiveslawsexistatastateandfederallevel.Libraryandarchives

lawsregulatethestorageofofficialandpublicrecordsandallowforpublicaccesstothoserecordsunderspecificaccesscriteria.Generally,itissafetoassumethattheselawswillnotapplytorecordskeptbyCLCs.IntheeventthataCLCreceivesarequestofthisnatureitshouldseekassistancefromthePIIrepresentative.

68Cth:FreedomofInformationAct1982;ACT:FreedomofInformationAct2016(whichcommenceson1July2017);NSW:GovernmentInformation(PublicAccess)Act2009;NT:InformationAct;Qld:RighttoInformationAct2009;SA:FreedomofInformationAct1991;Tas:RighttoInformationAct2009;Vic:FreedomofInformationAct1982;WA:FreedomofInformationAct1992.

69Forexample:PrivacyAct1988(Cth);intheACT:InformationPrivacyAct2014,HealthRecords(PrivacyandAccess)Act1997,FreedomofInformationAct2016(whichcommenceson1July2017),TerritoryRecordsAct2002(publicrecords),HumanRightsAct2004(righttoprivacy);intheNT:InformationAct2002(privacy,FOIandpublicrecords);inNSW:PrivacyandPersonalInformationProtectionAct1998,HealthRecordsandInformationPrivacyAct2002,GovernmentInformation(PublicAccess)Act2009,StateRecordsAct1998;inQLD:InformationPrivacyAct2009,RighttoInformationAct2009,PublicRecordsAct2002;inSA:StateRecordsAct1997;inTAS:PersonalInformationProtectionAct2004,RighttoInformationAct2009;inVic:InformationPrivacyAct2000,HealthRecordsAct2001,PrivacyandDataProtectionAct2014CharterofHumanRightsandResponsibilitiesAct2006,FreedomofInformationAct1982,PublicRecordsAct1973;inWA:FreedomofInformationAct1992,StateRecordsAct2000

70Forexample,CentresfundedandreportingundertheNationalPartnershipAgreementonLegalAssistanceServices(NPA)mustcomplywithCommonwealth’sNationalLegalAssistanceDataStandardsManualandNPAdatareportingrequirements.Principle5oftheManualrequiresdatatobe‘collected,storedanddisseminatedinaccordancewithAustralianPrivacyPrinciplesortheequivalentstateorterritoryprivacylaw,aswellastherelevantlegislativeandprofessionalrequirements’.Inaddition,thestandardtermsunderfundingagreementsundertheNationalPartnershiponLegalAssistanceinsomejurisdictionsincludeprivacyobligationsandrequirements.

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CHAPTER 9

Cross-checkingproceduresInthischapter:9.1 Introduction 127

9.2 participationinannualcross-checkandsatisfactorycompliancewith 127MandatoryStandardsoftheGuide

9.2.4Branchoffices,cross-borderservices,andserviceswithmorethanone 128ResponsiblePerson


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9.1 Introduction9.1.1 Cross-checkingiscriticaltoimplementingtheNationalPIIScheme:itensures

anddemonstratesthatacentreiscomplyingwiththeMandatoryStandardsoftheGuide.Participationincross-checkingisrequiredbyStandardA1.5oftheStandardssetoutintheNASGuidelines.DemonstratingsatisfactorycompliancewiththisGuide’sMandatoryStandardsisessentialforacentretoparticipateinandhavecoverundertheNationalPIIScheme,tosatisfactorilymeettheNACLCAccreditationCriteriaandtocomplywiththecriteriatobeafullmemberofastateorterritoryassociationforCLCs.

9.1.2 Cross-checkingisalsoanintegralfunctionoftheroleofthePIIcommitteesandPIIrepresentativesformonitoringriskmanagementwithincentres,andforhelpingindividualcentresmeasuretheirperformanceonkeyissuesfromyeartoyear.Itisamethodofprofessionalpeerreviewthatfacilitatesgoodpracticeandencouragesprincipalsolicitorstoreflectonthepracticesystemsintheircentresandwaysinwhichtheycanbeimproved.ItprovidesanopportunityforPIIrepresentativestoworkwithcentrestoidentifyandattempttoresolvelocalorsystemicissuesthatcometolightduringthecross-checks.Wherethoseissuesarenotresolvedtheyaretakentothestateorterritoryassociationand/ortheNationalPIINetworkfordiscussionandresolution.

9.2 participationinannualcross-checkandsatisfactorycompliancewithMandatoryStandardsoftheGuide


9.2.1 EachcentrethatisorwishestobeafullmemberofastateorterritoryassociationofCLCsmustparticipateintheannualcross-check,andmustdemonstratesatisfactorycompliancewiththeMandatoryStandardsoftheGuide.

9.2.2 Anannualcross-checkofallcentresthatarefullmembersofastateorterritoryCLCassociationiscoordinatedbyeachstateorterritoryPIIcommittee(orsimilarcommittee),oftensupportedbythestateorterritoryassociation,tomonitoreachparticipatingcentre’scompliancewiththeMandatoryStandardsinthisGuide.Allservices,programsandprojectsofeachcentreareincludedinthecross-check.Thecross-checkinvolvesavisittothecentre,andiscarriedoutusingtheCross-checkQuestionnaire(seeappendixD),whichiscompletedbyoneortwocross-checkersfromanothercentre/s,thecentre’sResponsiblePerson,allNominatedPersonsandavolunteerfromthecentre.Cross-checkerswillusuallybetheResponsiblePersonintheircentre(unlessotherwiseagreedbythePIIRepresentative).71

9.2.3 Allcentres72arecross-checkedinthismanner,andthecompletedquestionnaires,whichincluderesponsesbytheResponsiblePersontoanyissuesarisingduringthecourseofthecross-check,areassessedbythePIIrepresentative/s.ThePIIrepresentativemayalsoprovideageneralreporttothePIIcommitteeadvisingofthemostcommonoranysystemicfaultsorissuesdetectedbythecross-checks.Thecross-checkisdesignedtocheckindividualcentresystemsandprocedurestoensurethattheMandatoryStandardsofthisGuidearemet.Across-checkisnotasubstantivecheckoftheaccuracyorqualityoftheLegalAdviceorotherDiscreteAssistanceorOngoingServicethatisgiven.TheResponsiblePersonineachcentre

71Inexceptionalcircumstances,andonlywithpriorapprovalofthestateorterritoryPIIRepresentative,theResponsiblePersonmaydelegatethecross-checkingroletoanotherseniorlawyerwithintheircentre.PriorapprovalisstillrequiredevenwheretheproposeddelegateisaNominatedPerson.

72UndertheNAS,allfullmembercentresarerequiredtobecross-checkedeveniftheyarenotpartoftheNationalPIIScheme.

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isresponsibleforthesubstantivelegalcorrectnessofallLegalAdviceandotherServicestoIndividualsandrelevantServicesfortheCommunity(suchasCLE),andisresponsibleforimplementingsystemsandproceduresbywhichthatcontentqualitycanbechecked.Thecross-checkdoesverifythattheResponsiblePersonhasputinplacethoseandotherriskmanagementprocedures.

Branchoffices,cross-borderservices,andserviceswithmorethanoneresponsibleperson

9.2.4 WherecentreshaveofficesorotherwisedeliverServicesinmorethanonestateorterritory,73and/orwithmorethanoneResponsiblePerson,therewillbedifferentrequirementsforthecross-checkprocedures,dependingonhowthecentreoperates:

Acentrethatoperatesasmorethanonedistinctlegalpracticeundertheonelegalentity(whetheroverseenbyoneormorethanoneResponsiblePerson)isrequiredtoundergoaseparatefullcross-checkoneachdistinctlegalpractice.Eachcross-checkshouldbesignedbytheResponsiblePersonfortherespectivelegalpractice.

Acentrethatoperatesasonelegalpracticeencompassingseparateprojects,programsorservicesorbranchoffices,isrequiredtoundergoafullCross-checkQuestionnaireinrelationtothe‘headoffice’(injurisdictionA),andadditional‘branchofficechecks’ontheotheroffices/projects/servicesinjurisdictionBaspertheusualrequirementsofthisGuideforbranchofficechecks,andusingPartDofthequestionnaire(seeappendixD).The‘branchofficechecks’aretobecompletedagainsttheheadoffice’sfullcross-checkquestionnaire.IfthereismorethanoneResponsiblePerson(forexample,oneforeachbranchofficeorservice),thenallResponsiblePersonswillneedtojointlysignthesamecross-checkquestionnaire.

9.2.5 AcentrethatisamemberofmorethanonestateorterritoryCLCAssociation,regardlessofwhichprocedurein9.2.4applies,isrequiredtocomplywiththemembershiprulesforeachofthosestateorterritoryassociations,including:

1) AttendingthecompulsoryPIIcommitteemeetingsofeachofthestatesorterritoriesinwhichthecentreisamember;and

2) Participatinginthecross-checkprocessesofeachstateorterritoryinwhichthecentreisamemberifandasrequiredbytherespectiveassociation,by:

a) havingtherelevantcross-checkquestionnairesand/orbranchofficechecksundertakenbyacross-checkerfromthestateorterritoryinwhichthelegalpracticehasanofficeorbranchoffice;74and

b) undertakingacross-checkofanothercentreineachstateorterritoryinwhichtheyhaveanoffice.

9.2.6 Whereabranchofficecheckistobecarriedoutbyadifferentcross-checkerthanthepersonwhocarriedoutthefullheadofficecross-check(forexample,inthe

73Thisdoesnotrefertocentresthatareprimarilybasedinonestate,butthatundertakeoutreachservicesinanotherstateorterritory,orwhichprovideassistancetoclientsfromanotherstateorterritoryandwherenocentrefilesorrecordsarestoredintheotherstateorterritory,providedthattherelevantstatesand/orterritorieshaveidenticalorsubstantiallysimilarprofessionalconductrules.Inpracticessuchasthesebutwheretherelevantstatesand/orterritoriesdohavesubstantiallydifferentlegalprofessionalconductrules,thecentreshoulddiscussthecross-checkrequirementsthatwillapplywiththeirstateorterritoryPIIRepresentative/s.

74ThisisrequiredinordertosatisfytheprovisionofthecommonmembershiprulesofallCLCstateandterritoryassociationsthatrequiretheConvenorsofthestateandterritoryAssociations’PracticeandInsuranceCommitteesofwhichtheyareamembertobesatisfiedthatthemembercentrehasthenecessarysystemstocomplywiththisGuide(see1.4.4).

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caseofcentresthathaveofficesinmorethanonestateorterritory),bothcross-checkerswillneedtodiscussthefullcross-checkquestionnairepriortothebranchofficecheckbeingcarriedout,inordertoensureconsistency.

9.3 Confidentiality thisisaMandatoryStandard.

9.3.1 Cross-checkerssignanundertakingontheCross-checkQuestionnairethatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialaspartofthePIIprocess.

9.3.2 PIIrepresentativesmustgenerallytreatinformationacquiredduringthecross-checkprocessasconfidentialandnotdiscloseinformationthatisspecifictoaparticularcentreexceptonaneed-to-knowbasiswithinandforthepurposeoftheadministrationoftheScheme(seeChapter3).Wherethereisseriousandongoingnon-compliancewithoneormoreMandatoryStandardsintheGuide,thePIIrepresentativeand/orcommitteemayhavetoraisethematteronaneed-to-knowbasiswiththestateorterritoryassociation,theNationalPIINetworkand/orNACLC.

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CHAPTER 10

OtherInsuranceInthischapter:10.1 Introduction 131

10.2 publicliabilityinsurance 131

10.3 associationliabilityanddirectors’andofficers’insurance 131

10.4 Workerscompensation 131

10.5 Volunteerspersonalaccidentinsurance 131

10.6 Contentsinsuranceorofficepackinsurance 131

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10.1 Introduction Insuranceisakeyriskmanagementtool.Thereareanumberofotherinsurances

thatCLCsshouldormaywishtoobtain.

10.2 publicliabilityinsurance Publicliabilityinsuranceistheinsuranceprotectionaffordedtothepublicforloss

arisingfrominjuryorpropertydamagearisinginconnectionwiththecentre’soperations(forexample,whilevisitingthecentre,beingvisitedbyarepresentativeofthecentre,orataneventorganisedbythecentre).AllcentresthatarefullmembersofastateorterritoryCLCassociationareentitledtobecoveredbyabulkpublicliabilityinsuranceschemethathasbeenforanumberofyearsandisstillpresentlyprovidedbyNACLCatnocosttothecentre.

10.3 associationliabilityanddirectors’andofficers’insurance Directorsandofficers(‘D&O’)insuranceisdesignedtoprotectthepersonal

assetsofdirectorsandofficersfrompotentiallyunlimitedfinancialliabilityforlitigationifitisfoundthatthedirectorsorofficerswerepersonallyliableforwrongfulacts,errorsoromissionsintheperformanceoftheirmanagementduties.NACLCnegotiatesnationallyandoffersmembercentresanAssociationLiabilityInsurancepolicythatiscustomisedtosuitCLCs.Itprovidesarangeofinsurancecoverincludingformanagementliability(whichincludesD&Ocoveraswellascoverforoutsideentitydirectorsandforinternalmanagers),associationliability,employmentpracticesliability(forexample,forwrongfuldismissalordiscriminationclaims),fidelityloss,andothers.ThisinsuranceisavailableonapplicationthroughaNACLCmasterpolicyscheme.

10.4 Workerscompensationinsurance Workerscompensationinsuranceprotectsallworkerandemployeeentitlements

andcostsincurredwhenaworkerisinjured–mentally,emotionallyorphysically.ThiscompulsoryinsuranceisnotcurrentlyavailableaspartofaNACLCmasterpolicyschemeandshouldbeobtainedfromanappropriateinsurerinthecentre’sstateorterritory.Acentrethathasanemployeeoremployeesinanotherstateorterritory,willhavetotakeoutinsuranceforthatworkerinthatstateorterritory.

10.5 Volunteerspersonalaccidentinsurance Thisinsuranceprovidesno-faultcompensationtovolunteersforlossofincomeor

medicalexpensesflowingfromanaccidentwhileperformingvolunteerwork(forexample,atthecentre).ThisinsuranceisnotcurrentlyavailableunderanyNACLCmasterpolicyscheme.

10.6 Contentsinsuranceorofficepackinsurance Contentsinsurancecoversthebuildingorofficesinwhichthecentreishoused.

OfficePackInsurancecancoverpropertydamage,businessinterruptionlosses,theftandmoney,andglassbreakage,amongotherthings.ThisinsuranceisnotcurrentlyavailableaspartofaNACLCmasterpolicyscheme.

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