Victoria Legal Aid

January 2015

Schedule 3
Quality audits terms and conditions

Background

Victoria Legal Aid (VLA)will undertake quality monitoring through quality audits, compliance checks and complaints. This schedule outlines the policies and conditions relating to VLA’s quality auditing process.

Definitions

Authorised Representative means a representative of each party (as determined by the party he or she represents) who is authorised to make decisions on behalf of the party he or she represents in relation matters arising underthe Panel Deed.

Panel Certifier means a member of Provider Personnel who is approved in writing by VLA to certify grants of legal assistance.

Panel Entry Requirements means the requirements for the Provider’s inclusion on the Panel and the individual entry requirements for Panel Certifiers.

Performance Outcomes means the outcomes that VLA may initiatefollowing performance monitoring of legally aided matters, as set out in Schedule 6 of the Panel Deed and as amended from time to time and as published on VLA’s website at

Practice Standards means the Practice Standards as set out in Schedule 2 of the Panel Deed and as amended by VLA from time to time and published on VLA's website at

Provider means a private law practice or Independent Children’s Lawyer who is a member of the Panel.

Provider Personnel means:

(a)where the Provider is a Private Law Practice, the Australian legal practitioners who are partners, directors or employed Australian legal practitioners of the Private Law Practice; and

(b)where the Provider is an Australian legal practitioner who is an Independent Children’s Lawyer, that Australian legal practitioner.

Removal Procedures means the procedures that VLA will adopt when removing a Provider from the Panel, as set out in Schedule 5 of this Panel Deedand as amended from time to time and as published on VLA’s website at

Quality audits

Quality audit process

The content of a quality audit can be divided into two broad areas. Content that is “non-legal” in nature and content that is “legal” in nature. The audit process involves a tier 1 (non-legal content) audit followed by a tier 2 (legal content) audit where applicable. VLA is committed to ensuring that auditors have the necessary skills and expertise to undertake quality audits.

Practice standards

VLA’s practice standards are the principle tool to support the quality audit model. They also articulate VLA’s expectations of practitioners undertaking legally aided work. Clear and measurable minimum practice standards are key to the operation of the quality audit model. In addition to the practice standards, a suite of measures has been developed in order to provide practitioners with clarity on how they can meet the standards and to assist auditors in making fair and consistent decisions. The measures supporting the practice standards are published on VLA’s website at

Quality audit results and outcomes

Audit results and outcomes attach to theProvider or Panel Certifier being audited.

While the content of audits may differ, each audit will result in either a satisfactory or unsatisfactory result.

A satisfactory audit result reflects an overall acceptable level of performance identified during the audit. A satisfactory audit result maystill be received even if a practitioner does not meet 100% of the practice standards that are the subject of the audit, depending on the issue, facts and circumstances, and possible Performance Outcomes.

Following a quality audit, a range of PerformanceOutcomes are available. These PerformanceOutcomes are set out in Schedule 6 of the Panel Deed and as amended by VLA from time to time and published on VLA's website at

Performance Outcomes define the range of possible ‘responses’ to an audit result, which will recognise good performance, enforce adherence to the practice standards and promote continuous improvement of services delivered to legally aided clients.

PerformanceOutcomes are selected on the basis of all aspects of the practitioner’s performance, not just by overall result.

The range of potential PerformanceOutcomes is designed to be flexible enough to allow VLA to respond appropriately to the specific issues in each case.

Audit results and PerformanceOutcomes will be relevant to subsequent quality audits,Panel re-inclusion, Panel Certifier status and any other performance related processes.

1. General terms and conditions

1.1A Provider must nominate and provide VLA with the contact details of the Authorised Representative for matters relevant to the Panel Deed.

1.2A Provider must make legally aided files available to VLA (including arrangements for delivery at a VLA office),for auditing purposes within the time frame requested by VLA.

1.3 VLA will ensure that all files provided to VLA by a Provider for the purpose of auditing, will be stored in a secure location.

1.4A Provider must inform VLA in writing if the Provider or any Panel Certifier is no longer able to meet the applicable Panel Entry Requirements of the Panel

1.5A Provider must inform VLA in writing if the Provider or any Panel Certifier is not able to meet the particular Practice Standards relevant to the Panel

1.6Any notification made to VLA by a Provider under clause 1.4 or 1.5 must contain sufficient detail of the issue and the mechanisms that the Provider has put in place to remedy the issue.

2. Quality audit requirements

2.1A Provider is responsible for ensuring that all relevant material is provided to VLA prior to a quality audit taking place.

2.2A quality audit will take place on the assumption that all relevant material is provided to VLA and as such VLA is not obliged to revisit an audit as a result of a practitioner’s failure to provide relevant information when submitting a file to VLA for audit.

3. Rights of reconsideration and review

Reconsideration and review rights are contained in sections 34 and 35 of the Legal Aid Act 1978 (the Act). The rights of reconsideration and review contained in the Act relate to a decision “…with respect to the provision of legal assistance…”

3.1Quality audit results (i.e. satisfactory or not satisfactory) are not subject to reconsideration or independent review.

3.2Rights of reconsideration and review of PerformanceOutcomes following a quality audit are outlined in the Removal Procedures set out in Schedule 5 of this Panel Deedand as amended from time to time and as published on VLA’s website at

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