9.3 Client Files, Document Return, Transfer, and Closure

9.3 Client Files, Document Return, Transfer, and Closure

A client file is the evidence that advice, instructions, deadlines, money, and decisions were handled properly. The current rules are in sections 53 to 58 of the Code, not in section 61.

Secure documents and oral records

Section 53 requires documents belonging or relating to clients and former clients to be kept securely. Security is both physical and digital: access controls, encryption, backup, safe transmission, secure disposal, and a response plan should reflect the sensitivity of identity, health, family, and protection information.

Section 55 requires a contemporaneous written record of oral communications about immigration assistance, including instructions and advice. A useful file note records the date, participants, interpreter, issues, advice, warnings, instructions, and follow-up. Reconstructing a note after a complaint is not contemporaneous.

Required client-file contents

Section 56 requires the file to include the immigration matter, agreements and variations, relevant written communications, section 55 records, material oral communications with others, invoices and receipts, client personal documents, and evidence that originals were safely returned. Written, electronic, or mixed files are permitted. A family may share a file unless a client requests a separate one, but conflicts and confidentiality still require attention.

The file must be kept for seven years after the last action on the file for the client. Record the last-action date rather than assuming it is the visa decision or invoice date. OMARA may request access for its statutory functions.

Returning client documents

Section 54 requires documents to which a client is entitled to be returned within 14 days of a written request from the client, former client, or new RMA. Entitled documents include those given by or for the client and those paid for by or for the client. An RMA is ordinarily not entitled to claim a lien. The Code recognises only a narrow exception for a restricted legal practitioner who is eligible; it should never be treated as a general debt-collection device.

Outstanding fees can be pursued through appropriate contractual and civil processes. Passport retention or withholding a paid-for application can expose the client to severe immigration consequences and breach the Code.

Transfer and closure

Section 56 permits transfer of possession to another RMA. The receiving agent assumes the specified seven-year retention and confidentiality duties, while the original agent retains relevant confidentiality obligations. Before transferring active work or client money, document the client’s informed instruction, identify what moves, and preserve a complete audit trail.

At closure, reconcile the account; send final invoices, receipts, and any refund; return originals and record delivery; notify the client of the decision, consequences, and file status; archive the file securely; and record the last action. If the service agreement terminates, apply section 57 and forward later correspondence as section 58 requires.

Scenario

A former client owes AUD 2,200 and sends a written request for their passport and paid-for submission. The agent must identify the documents to which the client is entitled and return them within 14 days. The debt does not create a general RMA lien. The agent should preserve copies and delivery evidence, issue the final account, pursue any genuine debt separately, and keep the file for seven years after its last action.

File integrity checklist

At least at major milestones, export or preserve the exact lodged form and attachment set, correspondence metadata, portal receipts, advice, approvals, and oral notes. Use immutable audit history or versioning so a later correction does not erase what was originally known. Keep originals in a custody register showing receipt, storage, access, return request, delivery method, and proof of return. When transferring a file, inventory it, obtain the client’s written direction, identify any material withheld lawfully, securely transmit the records, and obtain the receiving RMA’s acknowledgement. Record which agent remains responsible for retention and pending deadlines. At closure, ensure the seven-year clock is tied to the actual last action, not a default decision date. Apply a legal hold if litigation, a complaint, insurance issue, or investigation requires longer preservation. When destruction is lawful, use a documented secure method and retain a minimal destruction record without keeping unnecessary client information. Periodically test whether an archived file can be retrieved completely and securely within a reasonable time. Record the completed test.