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2017_specification [2017/07/25 17:29] frescom |
2017_specification [2017/07/25 17:52] frescom |
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employed Supervisor by such period as the notice specifies; or | employed Supervisor by such period as the notice specifies; or | ||
applying a Sanction. | applying a Sanction. | ||
+ | |||
Supervisor ratios | Supervisor ratios | ||
+ | |||
2.29 A FTE Supervisor who only undertakes supervision in the Prison Law Class | 2.29 A FTE Supervisor who only undertakes supervision in the Prison Law Class | ||
of Work only may supervise a maximum of six Designated Fee Earners or | of Work only may supervise a maximum of six Designated Fee Earners or | ||
Caseworkers. | Caseworkers. | ||
+ | |||
2.30 A FTE Supervisor who undertakes supervision in the: | 2.30 A FTE Supervisor who undertakes supervision in the: | ||
+ | |||
(a) Criminal Investigations and Criminal Proceedings and/or Appeals and | (a) Criminal Investigations and Criminal Proceedings and/or Appeals and | ||
Reviews Classes of Work; or | Reviews Classes of Work; or | ||
+ | |||
(b) Prison Law and any other Class of Work | (b) Prison Law and any other Class of Work | ||
may supervise a maximum of four Designated Fee Earners or Caseworkers. | may supervise a maximum of four Designated Fee Earners or Caseworkers. | ||
+ | |||
2.31 | 2.31 | ||
Individuals who only undertake administrative tasks (which you may not | Individuals who only undertake administrative tasks (which you may not | ||
Line 771: | Line 777: | ||
Client’s overall legal problem(s)) prior to a matter being opened are not | Client’s overall legal problem(s)) prior to a matter being opened are not | ||
Caseworkers for the purpose of these ratios or otherwise. | Caseworkers for the purpose of these ratios or otherwise. | ||
+ | |||
Designated Fee Earners | Designated Fee Earners | ||
- | February 2017 | + | |
- | 172.32 | + | 2.32 |
You are required to have a document that identifies all staff, their current | You are required to have a document that identifies all staff, their current | ||
jobs, and lines of responsibility. This must cover all Designated Fee Earners | jobs, and lines of responsibility. This must cover all Designated Fee Earners | ||
Line 1298: | Line 1305: | ||
papers so delivered. | papers so delivered. | ||
Application rules | Application rules | ||
+ | |||
4.20 | 4.20 | ||
In addition to the application rules set out in Paragraphs 4.21 to 4.39, | In addition to the application rules set out in Paragraphs 4.21 to 4.39, | ||
application rules relating to specific Units of Work are set out in Sections 9 | application rules relating to specific Units of Work are set out in Sections 9 | ||
to 13. | to 13. | ||
+ | |||
Application forms | Application forms | ||
+ | |||
4.21 Unless the terms of this Specification or we expressly provide otherwise in | 4.21 Unless the terms of this Specification or we expressly provide otherwise in | ||
writing, you must not provide Contract Work unless the Client is within the | writing, you must not provide Contract Work unless the Client is within the | ||
jurisdiction, and has completed the relevant application form. | jurisdiction, and has completed the relevant application form. | ||
+ | |||
4.22 Where an application form is required, except in relation to a determination | 4.22 Where an application form is required, except in relation to a determination | ||
that a Client qualifies for Criminal Proceedings, a copy of the completed | that a Client qualifies for Criminal Proceedings, a copy of the completed | ||
form must be kept by you on the file, and its correct completion will be | form must be kept by you on the file, and its correct completion will be | ||
checked upon Audit. | checked upon Audit. | ||
+ | |||
4.23 We may prescribe different application forms for different Classes or Units | 4.23 We may prescribe different application forms for different Classes or Units | ||
of Work or Clients. | of Work or Clients. | ||
+ | |||
4.24 Failure to complete properly the requisite form may lead to the costs of the | 4.24 Failure to complete properly the requisite form may lead to the costs of the | ||
Matter or Case being disallowed on Assessment. The Financial Eligibility | Matter or Case being disallowed on Assessment. The Financial Eligibility | ||
- | February 2017 | + | Test (where relevant) and the Client details must be fully completed and |
- | 28Test (where relevant) and the Client details must be fully completed and | + | |
the form signed by the Client in your presence. Work carried out before | the form signed by the Client in your presence. Work carried out before | ||
the completion and signing of the form will not be remunerated. Limited | the completion and signing of the form will not be remunerated. Limited | ||
exceptions to these principles for Advice and Assistance are contained in | exceptions to these principles for Advice and Assistance are contained in | ||
Sections 9 to 13 for specific Units of Work. | Sections 9 to 13 for specific Units of Work. | ||
+ | |||
Application on behalf of a Child or Protected Party | Application on behalf of a Child or Protected Party | ||
+ | |||
4.25 | 4.25 | ||
You may only accept an application for Contract Work on behalf of a Child | You may only accept an application for Contract Work on behalf of a Child | ||
or Protected Party from: | or Protected Party from: | ||
+ | |||
(a) in the case of a Child, a parent or guardian or other person in whose | (a) in the case of a Child, a parent or guardian or other person in whose | ||
care he or she is; or | care he or she is; or | ||
+ | |||
(b) in the case of a Protected Party, from a deputy or attorney under the | (b) in the case of a Protected Party, from a deputy or attorney under the | ||
Mental Capacity Act 2005; or | Mental Capacity Act 2005; or | ||
+ | |||
(c) in the case of a Child or Protected Party, an appropriate adult or any | (c) in the case of a Child or Protected Party, an appropriate adult or any | ||
other person acting for the purposes of any proceedings as his or her | other person acting for the purposes of any proceedings as his or her | ||
litigation friend; or | litigation friend; or | ||
+ | |||
(d) in the case of a Child or Protected Party, any other person where | (d) in the case of a Child or Protected Party, any other person where | ||
there is good reason why none of the persons specified in (a) to (c) | there is good reason why none of the persons specified in (a) to (c) | ||
above can make the application (and that good reason is noted on | above can make the application (and that good reason is noted on | ||
the file), provided that: | the file), provided that: | ||
+ | |||
(i) there is sufficient connection between the Child or Protected | (i) there is sufficient connection between the Child or Protected | ||
Party and the other person to ensure that the other person is | Party and the other person to ensure that the other person is | ||
likely to act responsibly in the interests of the Child or Protected | likely to act responsibly in the interests of the Child or Protected | ||
Party; and | Party; and | ||
+ | |||
(ii) the other person has sufficient knowledge of the Child or | (ii) the other person has sufficient knowledge of the Child or | ||
Protected Party, the problem and the Child’s or Protected | Protected Party, the problem and the Child’s or Protected | ||
Party’s financial circumstances (where relevant) to give proper | Party’s financial circumstances (where relevant) to give proper | ||
instructions to you; and | instructions to you; and | ||
+ | |||
(iii) no application may be accepted under Paragraph 4.25(d) if | (iii) no application may be accepted under Paragraph 4.25(d) if | ||
made by a member, director, partner, shareholder, associate or | made by a member, director, partner, shareholder, associate or | ||
employee of your organisation. | employee of your organisation. | ||
+ | |||
4.26 Where you accept an application under Paragraph 4.25, the application will | 4.26 Where you accept an application under Paragraph 4.25, the application will | ||
be in the name of the Child or Protected Party but signed on his or her | be in the name of the Child or Protected Party but signed on his or her | ||
Line 1351: | Line 1373: | ||
Protected Party but signed by the person who is applying on behalf of the | Protected Party but signed by the person who is applying on behalf of the | ||
Child or Protected Party with an annotation to that effect. | Child or Protected Party with an annotation to that effect. | ||
+ | |||
4.27 Where relevant, the appropriate means, of the Child or Protected Party | 4.27 Where relevant, the appropriate means, of the Child or Protected Party | ||
and, in appropriate cases, those who have care and control of, or are liable | and, in appropriate cases, those who have care and control of, or are liable | ||
to maintain, or usually contribute substantially to the Child or Protected | to maintain, or usually contribute substantially to the Child or Protected | ||
Party’s maintenance, must be taken into account in applying the Financial | Party’s maintenance, must be taken into account in applying the Financial | ||
+ | |||
Eligibility Test. | Eligibility Test. | ||
Instructions directly from a Child | Instructions directly from a Child | ||
+ | |||
4.28 | 4.28 | ||
You may accept instructions directly from a Child in the following | You may accept instructions directly from a Child in the following | ||
circumstances: | circumstances: | ||
+ | |||
(a) | (a) | ||
- | February 2017 | ||
by exercising the Delegated Function in relation to proceedings which | by exercising the Delegated Function in relation to proceedings which | ||
that Child is entitled to defend without a litigation friend; or | that Child is entitled to defend without a litigation friend; or | ||
- | 294.29 | + | |
- | 4.30 | + | |
(b) where only Police Station Advice and Assistance is sought; or | (b) where only Police Station Advice and Assistance is sought; or | ||
+ | |||
(c) where: | (c) where: | ||
+ | |||
(i) there is good reason why none of the persons specified in | (i) there is good reason why none of the persons specified in | ||
Paragraphs 4.25(a) to (d) can make the application on the | Paragraphs 4.25(a) to (d) can make the application on the | ||
Child’s behalf; and | Child’s behalf; and | ||
+ | |||
(ii) the Child is old enough to give instructions and understand the | (ii) the Child is old enough to give instructions and understand the | ||
nature of the advice and proceedings. | nature of the advice and proceedings. | ||
Where Advice and Assistance (other than Police Station Advice and | Where Advice and Assistance (other than Police Station Advice and | ||
Assistance) or Advocacy Assistance is provided to a Child: | Assistance) or Advocacy Assistance is provided to a Child: | ||
+ | |||
(a) the Child must sign the application form him/herself; and | (a) the Child must sign the application form him/herself; and | ||
+ | |||
(b) you must consider whether it is just and equitable not to aggregate | (b) you must consider whether it is just and equitable not to aggregate | ||
the Child’s means with those of the person liable to maintain him or | the Child’s means with those of the person liable to maintain him or | ||
her. | her. | ||
+ | |||
The presumption is that there should be aggregation but you can decide | The presumption is that there should be aggregation but you can decide | ||
not to aggregate (and assess only the Child’s means) if, having regard to | not to aggregate (and assess only the Child’s means) if, having regard to | ||
Line 1385: | Line 1415: | ||
aggregation is more likely to be justified where there is a conflict between | aggregation is more likely to be justified where there is a conflict between | ||
the Child and the person liable to maintain him or her. | the Child and the person liable to maintain him or her. | ||
+ | |||
Postal applications | Postal applications | ||
+ | |||
4.31 | 4.31 | ||
You may exercise the Delegated Function to accept an application for | You may exercise the Delegated Function to accept an application for | ||
Advice and Assistance by post from a Client where it is reasonable to do | Advice and Assistance by post from a Client where it is reasonable to do | ||
so, but not where the Client is resident outside the European Union unless; | so, but not where the Client is resident outside the European Union unless; | ||
+ | |||
(a) such residence is purely temporary and the Client cannot can without | (a) such residence is purely temporary and the Client cannot can without | ||
serious disadvantage delay the application until he or she has | serious disadvantage delay the application until he or she has | ||
returned to England or Wales; or | returned to England or Wales; or | ||
+ | |||
(b) the Advice and Assistance could not be applied for on the same | (b) the Advice and Assistance could not be applied for on the same | ||
Matter by a person resident in England or Wales; or | Matter by a person resident in England or Wales; or | ||
+ | |||
(c) it is otherwise reasonable to accept the application. | (c) it is otherwise reasonable to accept the application. | ||
+ | |||
4.32 The Delegated Function to grant an application for Advocacy Assistance will | 4.32 The Delegated Function to grant an application for Advocacy Assistance will | ||
apply to all proceedings for which it is available, as specified in Sections 9 | apply to all proceedings for which it is available, as specified in Sections 9 | ||
to 13. | to 13. | ||
+ | |||
4.33 Where you use the Delegated Function to grant an application for Advocacy | 4.33 Where you use the Delegated Function to grant an application for Advocacy | ||
Assistance, a written application is granted by the signature of a practising | Assistance, a written application is granted by the signature of a practising | ||
Line 1408: | Line 1445: | ||
completed and signed by the Client before signature by you. The grant will | completed and signed by the Client before signature by you. The grant will | ||
not operate retrospectively. | not operate retrospectively. | ||
+ | |||
4.34 If a written application is not required under this Specification, a check | 4.34 If a written application is not required under this Specification, a check | ||
should be made that the Client satisfies any scope limitations and | should be made that the Client satisfies any scope limitations and | ||
Qualifying Criteria and a note should be made on file. | Qualifying Criteria and a note should be made on file. | ||
- | February 2017 | + | |
- | 304.35 The Delegated Function to grant Advocacy Assistance carries with it the | + | 4.35 The Delegated Function to grant Advocacy Assistance carries with it the |
corresponding duty to refuse it when any applicable Qualifying Criteria are | corresponding duty to refuse it when any applicable Qualifying Criteria are | ||
not satisfied. When refusing, you should make it clear that you are doing | not satisfied. When refusing, you should make it clear that you are doing | ||
so on behalf of us and applying the terms of the Contract. | so on behalf of us and applying the terms of the Contract. | ||
+ | |||
4.36 The Delegated Function to self-authorise the instruction of Counsel in | 4.36 The Delegated Function to self-authorise the instruction of Counsel in | ||
Advocacy Assistance proceedings must be exercised in accordance with the | Advocacy Assistance proceedings must be exercised in accordance with the | ||
provisions relating to the instruction of Counsel set out in this | provisions relating to the instruction of Counsel set out in this | ||
Specification. | Specification. | ||
+ | |||
4.37 The Delegated Functions set out in Paragraph 4.4(g) and (h) above which | 4.37 The Delegated Functions set out in Paragraph 4.4(g) and (h) above which | ||
only apply to Associated Civil Work must be exercised in accordance with | only apply to Associated Civil Work must be exercised in accordance with | ||
Line 1425: | Line 1465: | ||
only exercise these Delegated Functions if your Office meets the Quality | only exercise these Delegated Functions if your Office meets the Quality | ||
Standard, in accordance with an Authorisation. | Standard, in accordance with an Authorisation. | ||
+ | |||
4.38 Where you are authorised to exercise the Delegated Function to accept an | 4.38 Where you are authorised to exercise the Delegated Function to accept an | ||
application for Advice and Assistance from a Client who has received | application for Advice and Assistance from a Client who has received | ||
Line 1434: | Line 1475: | ||
the actual provision of Advice and Assistance is less likely to be justified | the actual provision of Advice and Assistance is less likely to be justified | ||
and the costs, which are likely to be considered reasonable, will reduce. | and the costs, which are likely to be considered reasonable, will reduce. | ||
+ | |||
4.39 The Delegated Function in Paragraph 4.4(d) above does not operate | 4.39 The Delegated Function in Paragraph 4.4(d) above does not operate | ||
retrospectively. Work done prior to the date of exercise of the Delegated | retrospectively. Work done prior to the date of exercise of the Delegated | ||
Line 1439: | Line 1481: | ||
calculation of work done when submitting a costs Claim. | calculation of work done when submitting a costs Claim. | ||
Unique File Numbers (UFN) and filing requirements | Unique File Numbers (UFN) and filing requirements | ||
+ | |||
4.40 Before your first point of contact with us on any Matter or Case, you must | 4.40 Before your first point of contact with us on any Matter or Case, you must | ||
assign a UFN in the format set out in Paragraph 4.41 to each separate | assign a UFN in the format set out in Paragraph 4.41 to each separate | ||
Matter or Case other than those involving only the provision of Contract | Matter or Case other than those involving only the provision of Contract | ||
Work by a court Duty Solicitor acting as such. | Work by a court Duty Solicitor acting as such. | ||
+ | |||
4.41 The UFN must be calculated with reference to the date on which you first | 4.41 The UFN must be calculated with reference to the date on which you first | ||
undertook Contract Work for the Client (which may be earlier than the date | undertook Contract Work for the Client (which may be earlier than the date | ||
on which the UFN is actually assigned). You must use the following UFN | on which the UFN is actually assigned). You must use the following UFN | ||
format, which is: | format, which is: | ||
+ | |||
(a) the date on which Contract Work was first undertaken for the Client | (a) the date on which Contract Work was first undertaken for the Client | ||
in the Matter or Case set out in the six digit numerical format of | in the Matter or Case set out in the six digit numerical format of | ||
DDMMYY; followed by | DDMMYY; followed by | ||
+ | |||
(b) a “/” followed by; and | (b) a “/” followed by; and | ||
+ | |||
(c) a sequential number unique to that day. The numerical sequence | (c) a sequential number unique to that day. The numerical sequence | ||
part of the UFN will return to 001 at the beginning of each day. | part of the UFN will return to 001 at the beginning of each day. | ||
Boundaries between Classes and Units of Work | Boundaries between Classes and Units of Work | ||
+ | |||
4.42 | 4.42 | ||
Advice and Assistance does not extend to cover Representation, no matter | Advice and Assistance does not extend to cover Representation, no matter | ||
Line 1460: | Line 1508: | ||
Advice and Assistance or Advocacy Assistance to the Client on the same | Advice and Assistance or Advocacy Assistance to the Client on the same | ||
Matter, which gave rise to the Criminal Proceedings, unless a Criminal | Matter, which gave rise to the Criminal Proceedings, unless a Criminal | ||
- | February 2017 | + | Investigation is ongoing in respect of other offences relating to the same |
- | 31Investigation is ongoing in respect of other offences relating to the same | + | |
Matter. Where Representation is available, you must make an application | Matter. Where Representation is available, you must make an application | ||
at the earliest opportunity. | at the earliest opportunity. | ||
+ | |||
4.43 Work for the same Client may be treated as a separate Matter if it involves | 4.43 Work for the same Client may be treated as a separate Matter if it involves | ||
the provision of Advice and Assistance or Advocacy Assistance under this | the provision of Advice and Assistance or Advocacy Assistance under this | ||
Line 1469: | Line 1517: | ||
requiring a separate application (where relevant) and which can be claimed | requiring a separate application (where relevant) and which can be claimed | ||
separately in accordance with this Specification. | separately in accordance with this Specification. | ||
+ | |||
4.44 You must identify, and record on the appropriate Matter or Case file, any | 4.44 You must identify, and record on the appropriate Matter or Case file, any | ||
point at which the work, which you are performing for a Client, becomes a | point at which the work, which you are performing for a Client, becomes a | ||
separate Matter or Case. | separate Matter or Case. | ||
+ | |||
4.45 Where two or more separate Matters or Cases arise, each one must be the | 4.45 Where two or more separate Matters or Cases arise, each one must be the | ||
subject of a separate application form and determination (where relevant). | subject of a separate application form and determination (where relevant). | ||
You must decide whether you may Claim the work under this Contract and | You must decide whether you may Claim the work under this Contract and | ||
the appropriate Qualifying Criteria will apply to each Matter or Case. | the appropriate Qualifying Criteria will apply to each Matter or Case. | ||
+ | |||
4.46 Where two Matters are genuinely different problems requiring separate | 4.46 Where two Matters are genuinely different problems requiring separate | ||
advice at the same time on one occasion only, then they must be treated | advice at the same time on one occasion only, then they must be treated | ||
as the same Matter, despite the fact that they would normally be treated | as the same Matter, despite the fact that they would normally be treated | ||
as separate Matters. | as separate Matters. | ||
+ | |||
4.47 Where two or more Matters arise from the same set of circumstances, they | 4.47 Where two or more Matters arise from the same set of circumstances, they | ||
must not be treated as separate Matters for the purposes of Police Station | must not be treated as separate Matters for the purposes of Police Station | ||
Advice and Assistance, or Free Standing Advice and Assistance. | Advice and Assistance, or Free Standing Advice and Assistance. | ||
+ | |||
4.48 Where two or more Cases would be dealt with under one determination or | 4.48 Where two or more Cases would be dealt with under one determination or | ||
as part of the same Case, one application form must be completed and the | as part of the same Case, one application form must be completed and the | ||
Case must be treated as one matter. | Case must be treated as one matter. | ||
+ | |||
4.49 In each Matter or Case, a single application form must be completed to | 4.49 In each Matter or Case, a single application form must be completed to | ||
identify the issues and provide general, preliminary advice. If one legal | identify the issues and provide general, preliminary advice. If one legal | ||
Line 1491: | Line 1545: | ||
the provision of any further Advice and Assistance. The following points | the provision of any further Advice and Assistance. The following points | ||
should be noted: | should be noted: | ||
+ | |||
(a) the fact that you may be giving initial advice to the Client about | (a) the fact that you may be giving initial advice to the Client about | ||
potentially different outcomes arising from the same set of | potentially different outcomes arising from the same set of | ||
originating circumstances does not in itself mean they are separate | originating circumstances does not in itself mean they are separate | ||
Matters; and | Matters; and | ||
+ | |||
(b) the fact that circumstances have changed or developments have | (b) the fact that circumstances have changed or developments have | ||
occurred as the case has progressed will not mean that a separate | occurred as the case has progressed will not mean that a separate | ||
Matter arises if the Advice and Assistance continues to be provided | Matter arises if the Advice and Assistance continues to be provided | ||
on the same overall legal issue. | on the same overall legal issue. | ||
+ | |||
4.50 Where multiple application forms are used then you must record the | 4.50 Where multiple application forms are used then you must record the | ||
reasons on file and be able to justify your decision on Assessment or Audit. | reasons on file and be able to justify your decision on Assessment or Audit. | ||
+ | |||
4.51 Duplicated work must not be claimed on related files. | 4.51 Duplicated work must not be claimed on related files. | ||
+ | |||
4.52 Where different fee-earners undertake work for the same Client on | 4.52 Where different fee-earners undertake work for the same Client on | ||
different Matters, care must be exercised to ensure that no duplication of | different Matters, care must be exercised to ensure that no duplication of | ||
Line 1508: | Line 1567: | ||
check must be made to ensure that there has been no duplication. If | check must be made to ensure that there has been no duplication. If | ||
duplicated work has been claimed in error, you must notify us. | duplicated work has been claimed in error, you must notify us. | ||
- | February 2017 | + | |
- | 324.53 If a Client seeks advice as to whether he or she should change Provider | + | 4.53 If a Client seeks advice as to whether he or she should change Provider |
from a Provider already providing Advice and Assistance it is not justified | from a Provider already providing Advice and Assistance it is not justified | ||
to consider this as a separate Matter to the advice being given by the | to consider this as a separate Matter to the advice being given by the | ||
previous Solicitor. Paragraph 4.38 must be applied before any advice is | previous Solicitor. Paragraph 4.38 must be applied before any advice is | ||
given as a separate Matter. | given as a separate Matter. | ||
+ | |||
4.54 Charges laid at the same time which are dealt with under one | 4.54 Charges laid at the same time which are dealt with under one | ||
determination, or are heard together, or form part of the same Case, must | determination, or are heard together, or form part of the same Case, must | ||
be dealt with as one Case. | be dealt with as one Case. | ||
+ | |||
4.55 Advice given on related issues, which could be considered to be a “series of | 4.55 Advice given on related issues, which could be considered to be a “series of | ||
offences”, must be dealt with as a single case, rather than separate cases. | offences”, must be dealt with as a single case, rather than separate cases. | ||
Line 2233: | Line 2294: | ||
allocated in respect of that Duty Solicitor at the conclusion of that specified | allocated in respect of that Duty Solicitor at the conclusion of that specified | ||
period in accordance with Paragraphs 6.47 to 6.49. | period in accordance with Paragraphs 6.47 to 6.49. | ||
- | February 2017 | + | |
- | 476.34 | + | 6.34 |
Where we receive notification of any of the events specified in Paragraphs | Where we receive notification of any of the events specified in Paragraphs | ||
6.29(d), (e) and (f) we will decide whether that Duty Solicitor should be | 6.29(d), (e) and (f) we will decide whether that Duty Solicitor should be | ||
excluded or suspended from acting as a Duty Solicitor. | excluded or suspended from acting as a Duty Solicitor. | ||
Duty Solicitors joining your organisation | Duty Solicitors joining your organisation | ||
+ | |||
6.35 If you wish to add new Duty Solicitors to Schemes you are a member of | 6.35 If you wish to add new Duty Solicitors to Schemes you are a member of | ||
you must apply for them to undertake Duty Solicitor work by completing a | you must apply for them to undertake Duty Solicitor work by completing a | ||
Line 2246: | Line 2308: | ||
and will result in you being allocated Duty Slots on that Scheme when | and will result in you being allocated Duty Slots on that Scheme when | ||
Rotas are next issued. | Rotas are next issued. | ||
+ | |||
6.36 New Duty Solicitors who are Engaged by you and for whom you submit a | 6.36 New Duty Solicitors who are Engaged by you and for whom you submit a | ||
CRM12 form may undertake Back-up work and cover Duty Slots already | CRM12 form may undertake Back-up work and cover Duty Slots already | ||
Line 2252: | Line 2315: | ||
added to the list of Panel members (if the Scheme is a Panel Scheme) only | added to the list of Panel members (if the Scheme is a Panel Scheme) only | ||
once you have received confirmation we have approved their application. | once you have received confirmation we have approved their application. | ||
+ | |||
6.37 You may not submit a CRM12 form or seek to obtain Duty Slots in respect | 6.37 You may not submit a CRM12 form or seek to obtain Duty Slots in respect | ||
of Duty Solicitors who: | of Duty Solicitors who: | ||
+ | |||
(a) will not be Engaged by you during the Rota period or who do not | (a) will not be Engaged by you during the Rota period or who do not | ||
meet the competence requirements in Paragraphs 6.15 to 6.20; or | meet the competence requirements in Paragraphs 6.15 to 6.20; or | ||
+ | |||
(b) are not habitually resident in England and Wales unless you have | (b) are not habitually resident in England and Wales unless you have | ||
received our express written approval to submit a CRM12 form; or | received our express written approval to submit a CRM12 form; or | ||
+ | |||
(c) notwithstanding any other | (c) notwithstanding any other | ||
payment for the use of their | payment for the use of their | ||
Line 2263: | Line 2330: | ||
your organisation and used | your organisation and used | ||
are commonly referred to as | are commonly referred to as | ||
+ | |||
(d) are temporary staff engaged to cover periods of maternity or | (d) are temporary staff engaged to cover periods of maternity or | ||
paternity leave of a Duty Solicitor of up to 12 months (because you | paternity leave of a Duty Solicitor of up to 12 months (because you | ||
will have access to Slots allocated in respect of that Duty Solicitor on | will have access to Slots allocated in respect of that Duty Solicitor on | ||
maternity or paternity leave); or | maternity or paternity leave); or | ||
+ | |||
(e) are temporary staff engaged to cover periods of sick leave of a Duty | (e) are temporary staff engaged to cover periods of sick leave of a Duty | ||
Solicitor you have used to obtain Duty Slots whilst you have the | Solicitor you have used to obtain Duty Slots whilst you have the | ||
Line 2279: | Line 2348: | ||
result of such a breach and payments made as a result shall be an | result of such a breach and payments made as a result shall be an | ||
“overpayment or mispayment” as defined in Clause 14. | “overpayment or mispayment” as defined in Clause 14. | ||
+ | |||
6.38 You must not submit a CRM12 for a Duty Solicitor during any period of his | 6.38 You must not submit a CRM12 for a Duty Solicitor during any period of his | ||
or her suspension or exclusion from Duty Scheme work. | or her suspension or exclusion from Duty Scheme work. | ||
+ | |||
6.39 Where a Duty Solicitor: | 6.39 Where a Duty Solicitor: | ||
(a) | (a) | ||
- | February 2017 | ||
is under investigation, faces an outstanding criminal charge or has | is under investigation, faces an outstanding criminal charge or has | ||
been convicted of a criminal offence which is not treated as spent | been convicted of a criminal offence which is not treated as spent | ||
under the Rehabilitation of Offenders Act 1974; or | under the Rehabilitation of Offenders Act 1974; or | ||
+ | |||
48(b) | 48(b) | ||
has been the subject of any adverse findings by the Adjudication | has been the subject of any adverse findings by the Adjudication | ||
Line 2294: | Line 2365: | ||
we may refuse the CRM12 for that Duty Solicitor, provided that we give | we may refuse the CRM12 for that Duty Solicitor, provided that we give | ||
you and the Duty Solicitor written reasons for our decision. | you and the Duty Solicitor written reasons for our decision. | ||
+ | |||
Approval of applications | Approval of applications | ||
+ | |||
6.40 | 6.40 | ||
Where we approve a CRM12, we will notify you and the Duty Solicitor | Where we approve a CRM12, we will notify you and the Duty Solicitor | ||
within 30 days of the date of receipt of the application. | within 30 days of the date of receipt of the application. | ||
Refusal of applications | Refusal of applications | ||
+ | |||
6.41 If we do not approve a CRM12 we will notify you and provide a statement | 6.41 If we do not approve a CRM12 we will notify you and provide a statement | ||
of reasons for the decision within 30 days of receipt of the application. If | of reasons for the decision within 30 days of receipt of the application. If | ||
Line 2304: | Line 2378: | ||
have that decision reviewed under the provisions of Clause 27 of the | have that decision reviewed under the provisions of Clause 27 of the | ||
Standard Terms. | Standard Terms. | ||
+ | |||
6.42 A refusal of an application under Paragraph 6.41 will be on the basis that | 6.42 A refusal of an application under Paragraph 6.41 will be on the basis that | ||
we do not have adequate evidence that the Duty Solicitor who is the | we do not have adequate evidence that the Duty Solicitor who is the | ||
Line 3626: | Line 3701: | ||
Assistance (Own Solicitor) | Assistance (Own Solicitor) | ||
Scope | Scope | ||
+ | |||
9.113 | 9.113 | ||
You may provide Free Standing Advice and Assistance under this Unit of | You may provide Free Standing Advice and Assistance under this Unit of | ||
Line 3632: | Line 3708: | ||
work undertaken under this Unit of Work and operates as a Costs | work undertaken under this Unit of Work and operates as a Costs | ||
Limitation. | Limitation. | ||
+ | |||
Qualifying Criteria | Qualifying Criteria | ||
+ | |||
9.114 The Sufficient Benefit Test set out in Section 3 must be satisfied in order to | 9.114 The Sufficient Benefit Test set out in Section 3 must be satisfied in order to | ||
provide Free Standing Advice and Assistance. | provide Free Standing Advice and Assistance. | ||
+ | |||
9.115 Regulations impose a Financial Eligibility Test which must be satisfied in | 9.115 Regulations impose a Financial Eligibility Test which must be satisfied in | ||
order to provide Free Standing Advice and Assistance. Documentary | order to provide Free Standing Advice and Assistance. Documentary | ||
evidence as to the Client’s means must be kept on your file. | evidence as to the Client’s means must be kept on your file. | ||
Witnesses | Witnesses | ||
+ | |||
9.116 | 9.116 | ||
You may only provide Advice and Assistance to a witness if there is a | You may only provide Advice and Assistance to a witness if there is a | ||
complicating factor (as specified in the Contract Guide). | complicating factor (as specified in the Contract Guide). | ||
Complaints of maltreatment by the Police | Complaints of maltreatment by the Police | ||
+ | |||
9.117 These complaints must be dealt with as part of the general advice on the | 9.117 These complaints must be dealt with as part of the general advice on the | ||
overall case. The only time a separate application for Advice and | overall case. The only time a separate application for Advice and | ||
Line 3648: | Line 3729: | ||
serious and proper issue which cannot be dealt with within the context of | serious and proper issue which cannot be dealt with within the context of | ||
the general criminal advice being given. | the general criminal advice being given. | ||
+ | |||
9.118 These cases must not be confused with claims against the police in relation | 9.118 These cases must not be confused with claims against the police in relation | ||
to wrongful arrest, false imprisonment or malicious prosecution for which | to wrongful arrest, false imprisonment or malicious prosecution for which | ||
an application for a determination for Associated Civil Work must be made | an application for a determination for Associated Civil Work must be made | ||
to us. | to us. | ||
+ | |||
Case Starts and Ends | Case Starts and Ends | ||
Application procedures | Application procedures | ||
+ | |||
9.119 | 9.119 | ||
The CRM1 and CRM2 application forms must be completed in accordance | The CRM1 and CRM2 application forms must be completed in accordance | ||
with Section 4. | with Section 4. | ||
+ | |||
Postal applications | Postal applications | ||
+ | |||
9.120 | 9.120 | ||
You may only exercise the Delegated Function to accept an application for | You may only exercise the Delegated Function to accept an application for | ||
Advice and Assistance by post from a Client where there is good reason to | Advice and Assistance by post from a Client where there is good reason to | ||
do so. You must note the good reason on your file. | do so. You must note the good reason on your file. | ||
+ | |||
Telephone advice | Telephone advice | ||
+ | |||
9.121 | 9.121 | ||
You may Claim payment for advice given to a Client over the telephone | You may Claim payment for advice given to a Client over the telephone | ||
before that Client has signed the application form only where: | before that Client has signed the application form only where: | ||
- | (a) | + | |
- | February 2017 | + | (a) the Client cannot for good reason attend your Office; and |
- | the Client cannot for good reason attend your Office; and | + | |
- | 78(b) the Client meets the Qualifying Criteria for the provision of Advice | + | (b) the Client meets the Qualifying Criteria for the provision of Advice |
and Assistance (including the Financial Eligibility Test); and | and Assistance (including the Financial Eligibility Test); and | ||
+ | |||
(c) the Client has subsequently signed the application form. | (c) the Client has subsequently signed the application form. | ||
+ | |||
Outward Travel | Outward Travel | ||
+ | |||
9.122 | 9.122 | ||
You may Claim for the mileage or actual cost of public transport for travel | You may Claim for the mileage or actual cost of public transport for travel | ||
but not travelling time, except as allowed below to visit a Client away from | but not travelling time, except as allowed below to visit a Client away from | ||
your Office before the application form is signed, where: | your Office before the application form is signed, where: | ||
+ | |||
(a) the visit is justified for good reason (and you note that good reason | (a) the visit is justified for good reason (and you note that good reason | ||
on your file); and | on your file); and | ||
+ | |||
(b) the Client meets the Qualifying Criteria for this Unit of Work and has | (b) the Client meets the Qualifying Criteria for this Unit of Work and has | ||
subsequently signed the application form. | subsequently signed the application form. | ||
+ | |||
9.123 Where you are visiting the Client in detention, prison or hospital then you | 9.123 Where you are visiting the Client in detention, prison or hospital then you | ||
may also claim the travelling time at the appropriate rate. The provisions | may also claim the travelling time at the appropriate rate. The provisions | ||
of Paragraphs 9.122(a) and (b) above will need to be satisfied before any | of Paragraphs 9.122(a) and (b) above will need to be satisfied before any | ||
Claim is made. | Claim is made. | ||
+ | |||
9.124 Costs must be reasonably incurred taking account of all the circumstances | 9.124 Costs must be reasonably incurred taking account of all the circumstances | ||
including, for example, the distances involved as against the availability of | including, for example, the distances involved as against the availability of | ||
Line 3690: | Line 3785: | ||
attend on the Client at all, bearing in mind that telephone advice can be | attend on the Client at all, bearing in mind that telephone advice can be | ||
given and applications accepted by post. | given and applications accepted by post. | ||
+ | |||
Previous Advice and Assistance | Previous Advice and Assistance | ||
+ | |||
9.125 | 9.125 | ||
You may not make a Claim for Advice and Assistance given to a Client who | You may not make a Claim for Advice and Assistance given to a Client who | ||
has received Advice and Assistance for the same Matter from another | has received Advice and Assistance for the same Matter from another | ||
Provider within the six months preceding the application, except where: | Provider within the six months preceding the application, except where: | ||
+ | |||
(a) there is a gap in time and circumstances have changed materially | (a) there is a gap in time and circumstances have changed materially | ||
between the first and second occasions when the Advice and | between the first and second occasions when the Advice and | ||
Assistance was sought, for example, a Client has been charged or | Assistance was sought, for example, a Client has been charged or | ||
convicted in the intervening period; or | convicted in the intervening period; or | ||
+ | |||
(b) the Client has reasonable cause to transfer from the first Provider | (b) the Client has reasonable cause to transfer from the first Provider | ||
e.g. conflict of interest; or | e.g. conflict of interest; or | ||
+ | |||
(c) the first Provider has confirmed to you that he or she will be making | (c) the first Provider has confirmed to you that he or she will be making | ||
no Claim for payment for the Advice and Assistance; or | no Claim for payment for the Advice and Assistance; or | ||
+ | |||
(d) Advice and Assistance was originally given at a Police Station. | (d) Advice and Assistance was originally given at a Police Station. | ||
When providing Advice and Assistance in the circumstances set out in this | When providing Advice and Assistance in the circumstances set out in this | ||
Paragraph you must record the justification for doing so on the file. For the | Paragraph you must record the justification for doing so on the file. For the | ||
avoidance of doubt, this is a Delegated Function. | avoidance of doubt, this is a Delegated Function. | ||
+ | |||
9.126 | 9.126 | ||
If a Client changes Designated Fee Earner within the same organisation or | If a Client changes Designated Fee Earner within the same organisation or | ||
Line 3715: | Line 3817: | ||
Assistance in addition to the first Provider. However, if the Client instructs | Assistance in addition to the first Provider. However, if the Client instructs | ||
another Provider and the same Solicitor does not continue to provide | another Provider and the same Solicitor does not continue to provide | ||
- | February 2017 | + | Advice and Assistance to the Client, this will be Advice and Assistance from |
- | 79Advice and Assistance to the Client, this will be Advice and Assistance from | + | |
‘another Provider’. | ‘another Provider’. | ||
+ | |||
9.127 | 9.127 | ||
You cannot Claim for Advice and Assistance under the terms of any of the | You cannot Claim for Advice and Assistance under the terms of any of the | ||
exceptions contained in Paragraphs 9.125(a) to (d) above where: | exceptions contained in Paragraphs 9.125(a) to (d) above where: | ||
+ | |||
(a) The Client simply disagrees with the first advice and wants a second | (a) The Client simply disagrees with the first advice and wants a second | ||
opinion; | opinion; | ||
+ | |||
(b) There is only a short time between the first and second occasions | (b) There is only a short time between the first and second occasions | ||
when the Advice and Assistance is sought and no material change of | when the Advice and Assistance is sought and no material change of | ||
circumstances has occurred; | circumstances has occurred; | ||
+ | |||
(c) The change requested is from a second to a third Provider (unless | (c) The change requested is from a second to a third Provider (unless | ||
exceptionally it is reasonable for a further change);or | exceptionally it is reasonable for a further change);or | ||
+ | |||
(d) There is no reasonable explanation for the Client seeking further | (d) There is no reasonable explanation for the Client seeking further | ||
+ | |||
Advice and Assistance from a new Provider. | Advice and Assistance from a new Provider. | ||
+ | |||
9.128 Where Advice and Assistance is provided in contravention of the terms of | 9.128 Where Advice and Assistance is provided in contravention of the terms of | ||
Paragraph 9.125, then the work undertaken must not be claimed or paid | Paragraph 9.125, then the work undertaken must not be claimed or paid | ||
as Contract work. | as Contract work. | ||
+ | |||
9.129 If the Client has received previous Advice and Assistance but you provide | 9.129 If the Client has received previous Advice and Assistance but you provide | ||
further Advice and Assistance under Paragraph 9.125, you must assign a | further Advice and Assistance under Paragraph 9.125, you must assign a | ||
Line 5814: | Line 5923: | ||
you must arrange for the Client to complete the application forms by post, | you must arrange for the Client to complete the application forms by post, | ||
after you receive instructions and before you commence work. | after you receive instructions and before you commence work. | ||
+ | |||
12.17 In Advice and Assistance Matters, you should, wherever possible conduct | 12.17 In Advice and Assistance Matters, you should, wherever possible conduct | ||
the matter by way of correspondence with the Client, or by video link or | the matter by way of correspondence with the Client, or by video link or | ||
telephone, if such facilities are available. Personal attendance must be | telephone, if such facilities are available. Personal attendance must be | ||
justified on a file note. | justified on a file note. | ||
+ | |||
Telephone advice before application forms are signed | Telephone advice before application forms are signed | ||
+ | |||
12.18 | 12.18 | ||
+ | |||
12.19 | 12.19 | ||
You may only include in your Case costs time spent giving advice to a | You may only include in your Case costs time spent giving advice to a | ||
Client over the telephone before that Client has signed the application form | Client over the telephone before that Client has signed the application form | ||
where: | where: | ||
+ | |||
(a) the Client meets the Financial Eligibility Test and you are satisfied | (a) the Client meets the Financial Eligibility Test and you are satisfied | ||
that the Sufficient Benefit Test is met; or | that the Sufficient Benefit Test is met; or | ||
+ | |||
(b) the Client subsequently signs the CRM1 and CRM2, or CRM1 and | (b) the Client subsequently signs the CRM1 and CRM2, or CRM1 and | ||
CRM3 application forms and is financially eligible. | CRM3 application forms and is financially eligible. | ||
Line 5831: | Line 5946: | ||
forms to your Client, after you have given the advice, to be signed and | forms to your Client, after you have given the advice, to be signed and | ||
returned to you. | returned to you. | ||
- | February 2017 | + | |
- | 13212.20 You must not make any Claim in this Class of Work if your Client has not | + | 12.20 You must not make any Claim in this Class of Work if your Client has not |
signed the application forms or has been properly determined by you as | signed the application forms or has been properly determined by you as | ||
not being financially eligible. | not being financially eligible. | ||
+ | |||
12.21 You must not make a Claim in this Class of Work in circumstances where | 12.21 You must not make a Claim in this Class of Work in circumstances where | ||
you provide ad hoc telephone advice to a Client on an issue which develops | you provide ad hoc telephone advice to a Client on an issue which develops | ||
Line 5841: | Line 5957: | ||
outlined in Paragraph 12.59(c) below. | outlined in Paragraph 12.59(c) below. | ||
Commencing a Matter in this Class of Work | Commencing a Matter in this Class of Work | ||
+ | |||
12.22 | 12.22 | ||
When this Contract commences, subject to Paragraph 12.4, you are | When this Contract commences, subject to Paragraph 12.4, you are | ||
Line 5846: | Line 5963: | ||
Work, subject to the Matter passing the Sufficient Benefit Test and the | Work, subject to the Matter passing the Sufficient Benefit Test and the | ||
Client being financially eligible. | Client being financially eligible. | ||
+ | |||
General Provisions on Starting a New Matter | General Provisions on Starting a New Matter | ||
+ | |||
12.23 Advice and Assistance or Advocacy Assistance must be allocated an | 12.23 Advice and Assistance or Advocacy Assistance must be allocated an | ||
individual Matter appropriately and in accordance with the provisions set | individual Matter appropriately and in accordance with the provisions set | ||
out here. | out here. | ||
+ | |||
12.24 These provisions govern when a Matter may be commenced and when it is | 12.24 These provisions govern when a Matter may be commenced and when it is | ||
legitimate to commence more than one Matter for one Client. Where | legitimate to commence more than one Matter for one Client. Where | ||
Line 5857: | Line 5977: | ||
in accordance with these Paragraphs be carried out under a single Matter. | in accordance with these Paragraphs be carried out under a single Matter. | ||
Conversely, you must not include clearly unrelated work to a single Matter. | Conversely, you must not include clearly unrelated work to a single Matter. | ||
+ | |||
12.25 You must not begin more than one Sentence Case, or more than one | 12.25 You must not begin more than one Sentence Case, or more than one | ||
Parole Board Case for a Client at any one time. If you commence a | Parole Board Case for a Client at any one time. If you commence a | ||
Sentence Case and a Parole Board Case concurrently, you must claim for | Sentence Case and a Parole Board Case concurrently, you must claim for | ||
each Matter separately. | each Matter separately. | ||
+ | |||
12.26 If you commence a Disciplinary Case for a Client, and are subsequently | 12.26 If you commence a Disciplinary Case for a Client, and are subsequently | ||
instructed by that Client on a new, unrelated and distinct Disciplinary Case, | instructed by that Client on a new, unrelated and distinct Disciplinary Case, | ||
Line 5867: | Line 5989: | ||
Where you provide Advice and Assistance and then Advocacy Assistance in | Where you provide Advice and Assistance and then Advocacy Assistance in | ||
a Disciplinary Case or in a Parole Board Case | a Disciplinary Case or in a Parole Board Case | ||
+ | |||
12.27 Where you are instructed on a Disciplinary Case or a Parole Board Case in | 12.27 Where you are instructed on a Disciplinary Case or a Parole Board Case in | ||
circumstances where it is clear that there is going to be an oral hearing, | circumstances where it is clear that there is going to be an oral hearing, | ||
you must start the Case as Advocacy Assistance. | you must start the Case as Advocacy Assistance. | ||
+ | |||
12.28 Where you are instructed on a Disciplinary Case or a Parole Board Case in | 12.28 Where you are instructed on a Disciplinary Case or a Parole Board Case in | ||
circumstances where it is not clear that there is going to be an oral | circumstances where it is not clear that there is going to be an oral |