10.4 Formal Engagement, Scope, Costs, and Document Plan

10.4 Formal Engagement, Scope, Costs, and Document Plan

The engagement stage converts a chosen course into an executable project. OCS 1.6 requires disclosure of the terms and exact scope. OCS 2.4 requires written confirmation, a compliant service agreement, appropriate client-money setup, invoices or receipts, cost estimates, and a detailed document list.

Define the client and scope

Identify every client covered by the agreement. The applicant, sponsor, employer, and payer are not automatically the same person. Joint representation requires conflict and confidentiality analysis and a plan for what happens if interests diverge.

Describe included work by stage: eligibility confirmation, forms, evidence review, submission, lodgement, response to routine requests, decision advice, or review. Expressly state exclusions such as merits review, court proceedings, skills assessment, tax advice, recruitment, translation, or sponsorship monitoring if they are outside the retainer. Name the responsible RMA and explain the permissible role of administrative staff.

The agreement must meet section 42 and Division 3 requirements: client and agent details; authority; work; consumer-guide confirmation; file treatment; fair fees; disbursements; payment and interest terms; and a fair refund policy. Provide the client a signed copy in a form they can retain. Do not receive connected money before the agreement is in force except under the controlled initial-consultation rule.

Cost and money plan

Separate professional fees from government and third-party disbursements. For hourly work, state the rate and reasonable time estimate. For fixed work, identify the total and meaningful milestones. List known disbursements or reasonable estimates and whether the client pays directly or the practice pays on their behalf.

Explain what money will be treated as client money, where it is held, what authorises payment out, when invoices and receipts issue, and when refunds become payable. A cost estimate should include foreseeable testing, health, police, translation, assessment, nomination, review, and dependent-applicant expenses without implying that uncertain third-party charges are fixed.

Criterion-linked document plan

A generic list such as “passport, qualifications, employment letters” is not enough. Map evidence to propositions:

Explain acceptable scans, certified copies, translations, expiry, and original-document handling. Ask the client not to obtain or alter documents through informal brokers. Verify anomalies and record provenance.

Responsibility and deadline controls

Create a matter plan listing validity deadline, evidence cut-off, internal review date, payment date, lodgement owner, quality reviewer, client approval, post-lodgement monitoring, and escalation contact. Leave enough time between the internal and legal deadline to remedy defects.

Confirm instructions in writing and obtain informed approval of final material before submission. The agent remains professionally responsible for the application; a clause making the client “responsible for all errors” cannot displace Code duties.

Scenario

An employer pays for a worker’s nomination and visa. Use separate scopes or a carefully structured joint arrangement, identify who receives which confidential information, allocate sponsor and applicant evidence, disclose fees and charges, and obtain written instructions from each client. If the employer demands access to the worker’s medical information, return to the confidentiality and conflict analysis rather than relying on the fact of payment.

Matter-launch meeting

Hold a short launch meeting after signature. Walk through scope, exclusions, responsibilities, internal and legal deadlines, evidence standards, communication frequency, money handling, complaint route, and what the client must report after lodgement. Confirm all clients understand joint-representation and disclosure arrangements. Demonstrate the secure document channel and explain why messaging-app copies or altered PDFs may be unsuitable. Turn the document plan into a live register with received, reviewed, verified, translated, accepted, and outstanding states; “uploaded” is not the same as legally adequate. Schedule a merits refresh before costly third-party steps and a final law check before filing. If a sponsor or other payer controls funds, confirm that payment does not transfer the applicant’s instructions or confidential information. The meeting notes and updated project plan should be placed on file. This small control reduces later disputes about who was meant to obtain evidence, pay a charge, answer a notice, or monitor expiry.