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2017_specification [2017/07/25 17:48]
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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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
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 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.
2017_specification.txt · Last modified: 2018/09/04 18:50 by frescom