Responsible Public Authority: Queensland Law Society
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1 Responsible Public Authority: Queensland Law Society Queensland Disposal Authority Number (QDAN) : 674 Version: 1 Date of approval : 9 December 2011 Approved by State Archivist : Ms Janet Prowse QSA File Reference : QSA11/590 Scope of Retention and Disposal schedule This Schedule covers the core business records of the Queensland Law Society relating to the functions of Membership Services, Practice Governance, Legal Services and Dispute Management. It also covers the business records of the Legal Practitioners Admissions Board and the Continuing Professional Development Committee. This Schedule is to be used in conjunction with the General Retention and Disposal Schedule for Administrative Records (GRDS). References to repealed legislation within this Schedule may be taken to be a reference to current legislation if the context permits. Record Formats This Schedule applies to records created in all formats, unless otherwise specified in the class description. This includes, but is not limited to, records in business systems, maps, plans, photographs, motion picture and records created using web 2.0 media. Authority Authorisation for the disposal of public records is given under s.26 of the Public Records Act 2002 (the Act). No further authorisation is required from the State Archivist for records disposed of under this schedule. However, the disposal of all public records must be endorsed by the public authority s Chief Executive Officer, or authorised delegate, in accordance with Information Standard 31:Retention and Disposal of Public Records, and recorded in the public authority s disposal log. Public records that are not covered by an approved retention and disposal schedule cannot be disposed of by a public authority. Disposal of public records not covered by an approved retention and disposal schedule is a contravention of s.13 of the Act. Page 1 of 23
2 Revocation of previously issued disposal authorities Any previously issued disposal authority which covers disposal classes described in this retention and disposal schedule is revoked. Queensland Law Society should take measures to withdraw revoked disposal authorities from circulation. This includes, but is not limited to: QDAN 472 version 1, Department of Justice and Attorney General - Queensland Law Society - Financial Management and Human Resource records QDAN 476 version 1, Department of Justice and Attorney General - Queensland Law Society - Records relating to continuing legal education, alternative dispute resolution and various administrative classes QDAN 503 version 1, Department of Justice and Attorney General - Queensland Law Society - Records relating to auditing, indemnity insurance, complaints and receiverships For further advice on the currency of approved retention and disposal schedules, please contact Agency Services at Queensland State Archives on (07) Retention of Records All of the retention periods in this schedule are the minimum period for which the sentenced records must be maintained. Public records cannot be disposed of prior to the expiration of the appropriate retention period. However, there is no requirement for public records to be destroyed at the expiration of a minimum retention period. Public records must be retained for longer if: (i) (ii) the public record is or may be needed in evidence in a judicial proceeding, including any reasonably possible judicial proceeding the public records may be obtained by a party to litigation under the relevant Rules of Court, whether or not the State is a party to that litigation (iii) the public record must be retained pursuant to the Evidence Act 1977 (iv) (v) there is a current disposal freeze in relation to the public record, or there is any other law or policy requiring that the public record be retained. This list is not exhaustive. Page 2 of 23
3 Public records which deal with the financial, legal or proprietorial rights of the State of Queensland or a State related Body or Agency regarding another legal entity and any public record which relates to the financial, legal or proprietorial rights of a party other than the State are potentially within the category of public records to which particular care should be given prior to disposal. All of the retention periods in this approved schedule are the minimum period for which the sentenced records must be maintained. Records which are subject to a Right to Information application are to be retained for the period specified in section 9 INFORMATION MANAGEMENT of the General Retention and Disposal Schedule for Administrative Records in addition to their required retention period according to an approved retention and disposal schedule. The two periods run concurrently, and may result in a longer required retention period overall. This is in order to cover all appeal and review processes. Even though the records subject to an application may be ready for disposal according to an approved retention and disposal schedule at the time of the Right to Information application, the additional Right to Information retention requirements must still be applied. See section 9 INFORMATION MANAGEMENT of the General Retention and Disposal Schedule for Administrative Records for records of Right to Information applications. The disposal of public records should be documented in accordance with the requirements of Information Standard 31: Retention and Disposal of Public Records. For further advice on the retention and disposal of public records under an approved retention and disposal schedule, please refer to the Queensland State Archives website or contact Agency Services at Queensland State Archives on (07) Records created before 1950 Records described in QDAN 674 v.1 that were created before 1950 should be referred to Queensland State Archives for further appraisal before any disposal action is taken by the public authority. For further advice please refer to the Public Records Brief: Management of Public Records Created Before 1950 which is available from the Queensland State Archives website. Transfer of public records to Queensland State Archives Records covered by a class with the disposal action of Retain permanently should be transferred to Queensland State Archives with the approval of the State Archivist. Records covered by a class with the disposal action of 'Retain permanently by the Registry are not eligible for transfer to Queensland State Archives unless re-appraised and assigned a disposal action of 'Retain permanently'. Agencies are required to submit a transfer proposal containing details of the records under consideration for transfer. Queensland State Archives will assess the transfer proposal before formal approval to transfer is issued. Please refer to the Guideline on Transferring public records to Queensland State Archives available from the Queensland State Archives website. Page 3 of 23
4 The State Archivist reserves the right to revise any previous decisions made with regard to the appraisal and transfer of records. Contact Agency Services at Queensland State Archives on (07) for further details. Revision history QDAN Date of Approval Extent of revision 472 v.1 7/1/2000 Partial Schedule 476 v.1 15/2/2000 Partial Schedule 503 v.1 21/7/2000 Partial Schedule 674 v.1 9/12/2011 Comprehensive Schedule Page 4 of 23
5 CONTENTS 1. MEMBER SERVICES PRACTICE GOVERNANCE ADMISSIONS MANAGEMENT LEGAL SERVICES DISPUTE MANAGEMENT LEGACY RECORDS Page 5 of 23
6 1. MEMBER SERVICES The function of managing all aspects of registration and providing professional development for members of the Queensland Law Society. 1.1 MEMBERSHIP MANAGEMENT The activities associated with managing membership and registration of individuals (including volunteers), interstate members, law firms, multi disciplinary partnerships, incorporated practices, locally registered foreign lawyers, corporate, government and community lawyers Register of members Register of members kept in accordance with sections 81 and 210 of the Legal Profession Act 2007 and sections 9 and 21 of the Legal Profession Regulation Includes audit log of data maintained in a business system. Details listed in the register may include, but are not limited to: name and address of member Practising Certificate currency qualifications indemnity insurance certificate endorsements specialisation complaints and claims continuing professional development (CPD) points standing. Permanent Retain permanently. Page 6 of 23
7 1.1.2 Membership registration records Records relating to the registration of members with the Queensland Law Society. data collection forms applications for practising certificates applications for specialist accreditation Practice Management Course details applications to join the Queensland Law Society copies of certificates of admission renewal forms letters changes of particulars of individuals requests for replacement certificates resignations/retirements removal of supervision restriction on practising certificate. Includes hard copy and electronic records. Retain for 1 year after the data is entered into the register of members. Page 7 of 23
8 1.2 LAW FIRM REGISTRATION The activities associated with the registration of Queensland law firms Register of law firms Register of law firms kept in accordance with s.114 of the Legal Profession Act 2007 and s.41 of the Queensland Law Society Administration Rule Includes audit log of data maintained in a business system. Details listed in the register include, but are not limited to: name and address of the law firm members of the law firm appointment of external auditor details of Professional Indemnity Insurance, practice specialisation (accreditation) Practice Management Certificate currency claims history Law firm registration records Records relating to the registration of law firms with the Queensland Law Society. address and contact information insurance details and history Permanent Retain permanently. Retain for 1 year after the data is entered into the register of law firms. Page 8 of 23
9 specialisations of the law firm trust account information and Authorised Deposit-taking Institution (ADI) within the meaning of the Banking Act 1959 (Cwlth) trust account external auditor s details copies of Practice Management Certificates advice of change of particulars of the law firm advice of change of employees. Includes hard copy and electronic records. 1.3 PROFESSIONAL DEVELOPMENT The activities associated with providing training, assessment and accreditation to specialist practitioners and practice managers as well as professional development for legal practitioners under the Continuing Professional Development (CPD) Scheme. Includes seminars and conferences Register of overall results Register of assessment results from practice management courses kept in accordance with s.31 of the Queensland Law Society Administration Rule Includes audit log of data maintained in a business system Course material Records relating to the development and presentation of legal courses and curriculum management. Records may include, but are not limited: syllabus Permanent Retain permanently. Retain for 10 years after course is no longer offered. Page 9 of 23
10 curriculum course outline and notes on-line training material attendance records. See reference number for course material relating to the CPD Scheme Assessment records Records relating to exams or assessments taken at courses or individual training. completed examination scripts and other forms of assessment completed by students written/oral performance, assignments and presentations re-accreditation materials appeals correspondence marking guides. Retain for 3 months after release of results. Page 10 of 23
11 1.3.4 Compliance records - Continuing professional development (CPD) Scheme Records relating to audits of members attendances at courses that qualify for continuing professional development point credit. documents and details supplied to auditors correspondence concerning outcomes of audit requests for waiver Course accreditation - CPD Scheme Records relating to the accreditation and evaluation of legal courses by the Continuing Professional Development Committee. working papers on the development of the course curriculum and assessment guidelines. Retain for 7 years after last action. Retain for 5 years after last action. Page 11 of 23
12 1.3.6 Seminar and conference materials - CPD Scheme Records relating to seminars and conferences conducted or approved by the Queensland Law Society in accordance with the Queensland Law Society Administration Rule Course material may include, but is not limited to: speaker outlines and profiles presentation outlines handout notes audio-visual material. See reference number for course material relating to Practice Management certification and specialist accreditation. Retain for 2 years after last action. Page 12 of 23
13 2. PRACTICE GOVERNANCE The function of overseeing the professional conduct of each law firm operating in Queensland. Includes auditing trust accounts, investigations and the receipt and management of practice affairs for legal practitioners who have deceased or have abandoned their law firm. 2.1 TRUST ACCOUNT INVESTIGATIONS The activities associated with carrying out investigations as a result of routine random audits or appointment of a receiver Trust accounts audit records Records relating to routine audit investigations carried out on trust accounts of law firms by independent external examiners. External Examiners Reports (EER) law practice declarations trust money statements. Retain for 7 years after last action. Page 13 of 23
14 2.1.2 Trust accounts - investigation records Records relating to investigations of trust accounts of law firms approved by the Council of the Queensland Law Society. Includes routine investigations and investigations carried out as result of a complaint. appointment notice signed by President or two Council members working papers investigation reports reviewer s notes 2.2 COMPLAINTS correspondence with law firm and others. The activities associated with providing advice to the public regarding complaints against legal practitioners. Retain for 7 years after last action. Note: Complaint investigation records managed on behalf of the Legal Services Commission are not covered by this Schedule. Please refer to the Legal Services Commission Retention and Disposal Schedule for these records Enquiries procedural Records relating to enquiries about registered solicitors made by other members of the Queensland Law Society or by a member of the public. Includes enquiries that are not within the jurisdiction of the Legal Services Commissioner, or that are not progressed by the complainant. Excludes matters referred to the Legal Services Commissioner. Retain 2 years after last action. Page 14 of 23
15 2.3 EXTERNAL INTERVENTION The activities associated with supervising trust money as defined in s. 502 of the Legal Profession Act A receiver may be appointed to a law firm where the principal is deceased, abandoned the law firm or other appointment is approved by the council External intervention records Records relating to the daily management of the receivership kept in accordance with the Legal Profession Act correspondence with clients correspondence with security packet holders and other legal practitioners receipts for the disbursement of trust monies trust account records (cash books, trust ledgers etc.) receipts for the disbursement of current case files reports of the external intervener. Retain 7 years after last action. Page 15 of 23
16 2.3.2 Safe custody register Register created by the Queensland Law Society of securities (safe custody packets and other items) taken into possession. Details listed in the register may include, but are not limited to: client and name of law firm details of securities receipt for returned safe custody packets location of the packet or object held by the Society. Permanent Retain permanently by Queensland Law Society. Page 16 of 23
17 3. ADMISSIONS MANAGEMENT The function of supervising the process of admission to practice law in Queensland to the Supreme Court. Includes issuing practising certificates, supervising trainees and making recommendations to the Supreme Court on local academic and practical legal training courses. According to section 662 of the Legal Profession Act 2007 the Queensland Law Society provides secretariat and administrative support to the Legal Practitioners Admissions Board which is a separate statutory body established under the Legal Profession Act For records relating to the management of the Legal Practitioners Admissions Board see the General Retention and Disposal Schedule for Administrative Records. 3.1 ADMISSIONS The activities associated with the processing of applications for admission of legal practitioners to the Supreme Court, including trainees and articled clerks under the Legal Profession Act Admissions files Records relating to admission applications which have been accepted or refused by the Legal Practitioners Admissions Board or which have been withdrawn by the applicant. application documents including copies of academic and Practical Legal Training (PLT) qualifications and suitability reports file notes and other correspondence Board s recommendations objection notices and receipts assessments conducted by a university in Queensland (for those with overseas qualifications). Note: Most documents are copies. Originals are submitted to the Supreme Court. Retain for 1 year after last action. Page 17 of 23
18 3.2 COURSE REVIEW The activities associated with making recommendations to the Supreme Court regarding the approval of a course of legal study. Includes reviews of documents submitted by the course provider and reports and recommendations to the Chief Justice Initial or annual review and recommendation records Records relating to course outlines submitted for approval by the Legal Practitioners Admissions Board. Includes initial approvals and course revisions. course details correspondence with Dean of the university reconciliation statement recommendations made by the board to Dean of the university recommendations to Chief Justice acceptance by Chief Justice in Chambers advice to university of outcome. Note: Substantially the same records are also retained by the relevant university and the Supreme Court. Retain for 5 years after last action. Page 18 of 23
19 4. LEGAL SERVICES The function of providing legal services to the Queensland Law Society. Includes the interpretation and provision of advice to the organisation regarding legal matters, the drawing up of legal agreements and the handling of legal action and disputes. Also includes legal advice received from in-house consultants and external sources including Crown Law. For dispute resolution facilitation see DISPUTE MANAGEMENT. 4.1 ADVOCACY AND ADVICE The activities associated with identifying, researching, advocating and educating on current law reform issues of relevance to the Queensland legal profession and to support the Queensland Law Society s specialist Sections and Committees Advocacy and advice major matters Records relating to the development of advice on major legal matters concerning the operations and functions of the Queensland Law Society that lead to changes in legislation or accepted legal practice. council advice committee advice agenda papers minutes and correspondence submissions to government public advocacy material. Permanent Retain permanently. Page 19 of 23
20 4.1.2 Advocacy and advice other matters Records relating to the development of advice on legal matters concerning the operations and functions of the Queensland Law Society not covered by council advice committee advice agenda papers minutes and correspondence submissions to government public advocacy material. Retain for 10 years after last action. Page 20 of 23
21 5. DISPUTE MANAGEMENT The function of managing disputes as an Authorised Nominating Authority (ANA) and on behalf of the National Mediator Accreditation Committee (NMAC). 5.1 DISPUTE RESOLUTION FACILITATION The activity of facilitating mediation and alternative dispute resolution. Outsider specialists, experts and legal practitioners participate in the resolution Case management records Records relating to the scheduling, management and administration of cases and hearings and summary records allocating a case to an accredited provider. case registrations details of specialist providers summary notes of resolution decision documentation Certificates of Adjudication records maintained within the case management system. Retain for 2 years after last action. Page 21 of 23
22 5.1.2 Service provider records Records relating to the selection and appointment of accredited providers who handle disputes on behalf of the Queensland Law Society. contracts or letters of undertaking letters of appointment correspondence. Retain for 7 years after last action. Page 22 of 23
23 6. LEGACY RECORDS This section covers legacy records of the Queensland Law Society 1927 to Reference Description Date Range Status Disposal Action 6.1 MEMBERSHIP RECORDS Membership cards Membership summary records in card form containing all membership data covered in above Membership files Previously transferred membership records containing records of legal practitioners who were registered prior to 1991 and contained documentation from the period 1983 to 1991 when computer records were lost. 6.2 COMPLAINT INVESTIGATION Complaint records Records relating to complaints about legal practitioners prior to the establishment of the Legal Services Commission in Permanent Retain permanently Permanent Retain permanently. Up to 30 June 2004 Retain for 10 years after last action Page 23 of 23
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