Legal Professional Privilege Form: Reporting Obligation

Legal Professional Privilege (LPP) Form: Reporting obligation

This is the form required to specify the basis on which you claim any relevant information or document is privileged from being given or produced on the ground of legal professional privilege (LPP).

It sets out information that must be provided to AUSTRAC, in a form approved by the AUSTRAC CEO.

This form is to be used when you wish to claim LPP in relation to a Suspicious Matter Report (SMR) or Threshold Transaction Report (TTR) you are required to give to AUSTRAC.

	NOTE: A separate form is required for where LPP is claimed over information or documents that would otherwise be responsive to a notice issued under the AML/CTF Act.

Under subsection 242(1) of the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (the AML/CTF Act), nothing in the AML/CTF Act affects the right of a person to refuse to give information (including by answering a question) or produce a document if the information would be privileged from being given on the ground of LPP; or the document would be privileged from being produced on the ground of LPP.

Complete this form to support your claim for LPP for each communication you claim is privileged. It will help AUSTRAC decide whether to review or challenge your claim. AUSTRAC expects that Department of Home Affairs Guidelines on LPP will be followed.

Under subsection 242(2) of theAML/CTF Act, a description of any documents or information provided in this form does not, of itself, amount to a waiver of LPP.

Timing for submission

Your completed LPP form must be submitted with your SMR or TTR.

A. LPP Claim accompanying a Suspicious Matter Report (SMR)

Paragraph 41(3)(aa) of the AML/CTF Act requires a reporting entity to give an LPP form to the AUSTRAC CEO at the same time as providing an SMR if:

1. The reporting entity reasonably believes that some (but not all) of the information required to be contained in the SMR is privileged from being given on the ground of legal professional privilege; and
2. The privilege, if it exists, it belongs to a person other than the reporting entity;

The reporting entity has 5 business days after the day on which the reporting entity forms the relevant suspicion to submit the SMR and this LPP form. The reporting entity has 24 hours where the suspicion relates to the financing of terrorism. The LPP form is to be provided to AUSTRAC in lieu of the information that is privileged from being given on the grounds of LPP.

Subsection 41(2A) of the AML/CTF Act establishes that a reporting entity may refuse to give a SMR if they reasonably believe that all of the information comprising the grounds on which they hold the relevant suspicion is privileged from being given on the ground of LPP. The reporting entity is also not required to give the AUSTRAC CEO an LPP form in this case.

B. LPP Claim accompanying a Threshold Transaction Report (TTR)

Paragraph 43(3)(aa) of the AML/CTF Act provides that if a reporting entity reasonably believes information required to be contained in a TTR is subject to LPP, they have must give an LPP form to the AUSTRAC CEO at the same time as providing the TTR, within 10 business days after the day the threshold transaction occurs. The LPP form is to be provided to AUSTRAC in lieu of the information that is privileged from being given on the grounds of LPP.

General notices

If you do not provide sufficient details supporting your claim, we may seek further information or evidence about your claim (including through our information-gathering powers, where appropriate) or commence Alternative Dispute Resolution (ADR) or legal proceedings to determine your claim.

We expect you to complete this form to the fullest extent possible. However, there may be circumstances where not all the particulars can be provided.

Consistent with subsection 242(2) of the AML/CTF Act, AUSTRAC will not argue responses provided in this LPP form amount to an unintended waiver of LPP. Under subsection 242(2), a description of any documents or information provided in this form does not, of itself, amount to a waiver of LPP.

Civil penalties may apply under Division 2 of Part 15 of the AML/CTF Act for failure to provide an LPP form in accordance with the Act.

It is a criminal offence under section 136 of the AML/CTF Act if a person gives information to the AUSTRAC CEO knowing that the information is false or misleading, or omits any matter or thing without which the information is misleading.

Privacy notice

AUSTRAC will collect personal information about you and relevant third parties, including name, position, organisation, and any other information required to particularise your LPP claim. Where reasonable in the circumstances and permitted under the AML/CTF Act, please ensure that any third parties are aware of the collection and the matters included in this notice prior to providing their personal information. This information will only be used for the purpose of assessing your LPP claim. The collection of personal information in this form is governed by the Privacy Act 1988 (Cth) and AUSTRAC's Privacy Policy, and further details about collection are set out in AUSTRAC's Privacy Statement.

1. Claim particulars

Provide the following details to explain the basis of your LPP claim for each communication you claim is subject to privilege.
This must be completed if you are acting in your capacity as a legal practitioner or non-legal practitioner.

Name of privilege holder(s)	Date	Claim	Form of communication	Dominant purpose	Legal issue	Title or subject line	Sender	Recipients
	Date the document was prepared or communication made.	Whether LPP is claimed in full or partially?	For example: letter, email, file note, oral communication.	The dominant purpose for which the communication was made, either: 1. Advice privilege OR 1. Litigation privilege	The legal issue being advised upon for which the advice is being sought, except to the extent that disclosure of the legal issue would also disclose the information subject to LPP.	If the communication is written, the title or subject line of the communication. (Except to the extent that disclosure of the title or subject line would also disclose the information subject to LPP)	Author(s) of the privileged communication and, if different, sender (name, position, organisation).	All people who have received the document (name, position, organisation); if email, this will include those in the ‘cc’ and ‘bcc’ fields.
	[DD/MM/YY]
	[DD/MM/YY]
	[DD/MM/YY]

• Add rows as needed.

2. Attestation and identity

By making this claim, you confirm that you reasonably believe that the information or document is subject to legal professional privilege, and that you have, including where you consider it would be impracticable or unlawful to obtain instructions from your client/former client in relation to the making of this claim:

• considered the nature of each communication and completed this Form in accordance with the law of LPP; and
• reviewed and determined the status of each communication in accordance with the law of LPP, including whether to the extent known privilege has been waived.

Identity of individual filling out this form

Full name
Position
Organisation
Email address
Date	[dd/mm/yyyy]

AUSTRAC Reference number (if known)
This is issued when submitting a report to AUSTRAC