January 2015
Performance outcomes
Background
VLA undertakes performance monitoring of legally aided matters by various means including
through the Compliance function, the Quality Audit function and the Complaints and Statutory
Compliance function. In order to ensure transparency and consistency of approach between these
various functions, the table below articulates the various performance outcomes that these
functions may initiate.
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 under the 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.
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
http://www.legalaid.vic.gov.au/information-for-lawyers/doing-legal-aid-work/panels/panelsconditions.
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 Deed and as amended from time to time and as
published on VLA’s website at http://www.legalaid.vic.gov.au/information-for-lawyers/doing-legalaid-work/panels/panels-conditions.
Performance outcomes
Following a performance monitoring function or other investigation, a range of outcomes are
available. These outcomes will be applied by VLA as needed to best address the issues identified
following an investigation or other performance monitoring function. Repeated failures to meet a
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practice standard or other standard, will be relevant to subsequent investigations, performance
monitoring functions, panel re-inclusion processes, and any other performance related processes.
While the possible outcomes range in severity, they are not hierarchical and do not need to be
applied sequentially. They may be instigated without any previous process taking place.
Performance outcome
Outcome description
Acknowledge good practice and
publish notable good practice
through an example or case study
in Legal Aid Brief
Where notable good practice is identified, this should be
acknowledged to the practitioner and more broadly, where
appropriate.
Educate Provider or Panel Certifier
Educate the Provider or Panel Certifier about how to meet
the failed standard/s, including providing tools as
appropriate. This may be achieved through peer mentoring
and advice, materials supplied by VLA or other relevant
training.
Remedial action
Where the impact of, or risk posed by the failure to meet a
practice standard can be rectified through remedial action,
the Provider or Panel Certifier may be directed to take
remedial action. VLA will specify the remedial action to be
undertaken (for example by sending the client a “final
reporting letter”).
Formal caution
The Provider or Panel Certifier will be formally cautioned
about their failure to meet the practice standards and will
be provided with specific details of the failures.
Impose conditions on a Panel
Certifier’s certifier status, and/or
the types of legally aided matters
assigned to them
Conditions may include:
Promoting good practice may be used as an opportunity to
educate other practitioners about the good practice of their
peers. This aims to establish a peer support network and
promote practitioners sharing good practice.
 implementing specific processes on all legally aided files
(e.g. completing relevant checklists)
 undertaking training/educational programs determined
by VLA
 performing specific types work within scope of panel
membership under supervision to gain required skills
 work under supervision on legally aided files (either by a
VLA lawyer or another private practitioner)
 placing restrictions on the types of work a Panel Certifier
can undertake (e.g. no ability to certify sex offence
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Performance outcome
Outcome description
matters)
The practitioner will be provided with specific details of the
failures and the reasons for VLA imposing conditions.
Monitor the Provider or Panel
Certifier more closely
VLA may decide that it is appropriate to monitor the
Provider or Panel Certifier more closely through:
a. flagging the Provider or Panel Certifier for a
targeted audit
b. changing the practitioner’s Panel Certifier status
from level 1 to level 2
c. changing the Panel Certifier’s risk profile.
This outcome aims to ensure that poor performance is
closely monitored.
Quality improvement plan
The quality improvement plan will be drafted by VLA and
will stipulate the improvement action, including what
action/s must be taken and any conditions imposed while
the plan is in place (e.g. restriction on types of matters
they can certify), the timeframe within which the
improvement actions are to be completed, and how VLA
will assess whether the Provider or Panel Certifier has
satisfactorily completed the quality improvement plan.
Transfer the Panel Certifier’s
legally aided matter/s
VLA may decide that it is appropriate to transfer the matter
in question and any of the Panel Certifier’s other legally
aided matters to another Panel Certifier or VLA
practitioner.
Referral to the Legal Services
Commissioner or Victoria Police
VLA may decide to make a formal report to the Legal
Services Commissioner and/or Victoria Police.
VLA may suspend the practitioner until the outcome is
known.
Immediate suspension from the
panel/immediate suspension of
Panel Certifier status
This outcome may be applied if VLA requires additional
time to investigate a failure, and consider whether
additional outcomes are required
This outcome will trigger VLA’s panel removals and
suspensions policies and process.
Removal from the panel/
revocation of certifier status
VLA may decide to consider removal of the Provider from
the Panel or revoke an individual practitioner’s Panel
Certifier status.
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Performance outcome
Outcome description
This outcome will trigger VLA’s panel removals and
suspensions policies and process.
Issue a Breach Notice
Following a Compliance check, VLA may decide to issue
the following breach notices:

File Review Notice (FRN)
The intention of a FRN is:
a. to educate Providers and Panel Certifiers about
their obligations and prevent serious breaches
b. to seek further information which will enable a
proper determination to be made by VLA

Non-compliance Notice (NCN)
The intention of a NCN is:

a.
to enable Providers and Panel Certifiers to note
the non-compliance issue
b.
to detail any remedial action the Provider or Panel
Certifier must undertake
Restitution Notice (RN)
The intention of a RN is:
a.

for VLA to impose a liability on the Provider to
make restitution not exceeding the amount
expended on the matter
Compliance Failure Notice (CFN)
The intention of a CFN is:
a. to note one or more instances of significant noncompliance
b. to detail any remedial action the Provide or Panel
Certifier must undertake

Compliance Failure Notice 2 (CFN2)
The intention of a CFN2 is:
a. to note one or more instances of repeated
significant non-compliance, or failure to take
remedial action
b. to detail any remedial action the Provider or Panel
Certifier must undertake
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Rights of reconsideration and review of performance outcomes
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…”
In accordance with the Act the rights of reconsideration and review apply to the following
performance outcomes:
a)
transfer the Panel Certifier’s legally aided matter/s
b)
Non-compliance Notice where the practitioner asserts that the guidelines and/or the
merits test were incorrectly applied by VLA
c)
Restitution Notice where the practitioner asserts that the guidelines and/or the merits
test were incorrectly applied by VLA
d)
Compliance Failure Notice/Compliance Failure Notice 2 where the practitioner asserts
that the guidelines and/or the merits test were incorrectly applied by VLA.
Rights of reconsideration and review do not apply to the following performance outcomes unless
the practitioner can demonstrate a clear error made by VLA:
a)
remedial action
b)
formal caution
c)
impose conditions on a practitioner’s Panel Certifier status, and/or legally aided matters
assigned to them
d)
monitor the practitioner more closely
e)
quality improvement plan
f)
referral to the Legal Services Commissioner or Victoria Police
g)
File Review Notice.
An example of a clear error would be where VLA made a decision but had omitted to take into
account some relevant material that was contained in the file.
Suspension from panel or of certifier status and removal from panel or
revocation of certifier status
Where a performance outcome is either:
a)
immediate suspension from the panel or immediate suspension of panel certifier status
b)
referral for removal from the panel or revocation of panel certifier status
the process to be followed will be in accordance with VLA’s Section 29A Panel Removal and
Certifier Status Revocation policy set out in Schedule 5 of the Panel Deed and as amended from
time to time and as published on VLA’s website at http://www.legalaid.vic.gov.au/information-forlawyers/doing-legal-aid-work/panels/panels-conditions.
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