The following firm policy takes effect for all files opened on or after 1 January 2023.

 

It applies to all files opened after that time, irrespective of whether the client has existing open files or is a returning client.

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A new area of risk management for law firms is identity fraud. Increasingly, government organisations and electronic filing systems leave the responsibility for identification with the lawyers and not with the clients, or third parties (such as banks, land titles office, courts, etc.) Misidentification of clients, or not undertaking reasonable steps to detect fraud, have been the cause of negligence actions against law firms.

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As a result of this, a number of automated tools exist for identification of clients. However, these are vastly inferior to the simplest methods of identification - face-to-face conversations. But this is not sufficient on its own.

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Firm policy

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Clients

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All clients, without exception, are subject to verification of identity requirements when opening a new file. This is irrespective of whether they are adult, private-paying or aided, or a return client. This should be completed at the first appointment or as soon as possible after this date.

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If identity verification has not occurred within 7 days of file opening, all further work on the file must be suspended until further notice and the client advised of this.

 

Clients should be advised to bring their identity documents to their first appointment, or to email them to us if attending electronically. Where possible, first appointments should be face-to-face or by weblink. First appointments by telephone should be the last resort.

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Third Parties

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Where are third party is being required to enter in to an agreement, signature or the like, including witnesses, verification of identity checks must be conducted. 

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What is the extent/requirements of the check?

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For criminal law, family parenting, family violence and restraint order matters, a minimum of 70 points of identification must be obtained. 

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For all commercial, property settlement, spousal maintenance, child support, civil litigation and conveyancing matters, a minimum of 100 points of identification must be obtained. Please note that in regards to interstate conveyancing matters, full identification in accordance with ALRCC Schedule 8 procedures is required, which requires the equivalent of 170 points.

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1. A completed VOI Sheet (see the File Insert - Cover Sheet) must be completed before substantial work is done, and in any circumstances, before 7 days have expired.

2. Copies of all identification documents must be scanned and kept on LEAP, and retained hard copy on file. The person making the copy should name, date and sign the reverse side.

  

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