& Tender The 2017 Crime Contract & Tender Contents The - - PowerPoint PPT Presentation

The 2017 Crime Contract & Tender

The 2017 Crime Contract & Tender

The 2017 Crime Contract & Tender

Contents

• The Tender
• The 2017 Contract

The 2017 Crime Contract & Tender

The Tender - Overview

• What needs to be submitted
• How to successfully complete the tender
• The procurement requirements
• Completing and uploading the attachments

The 2017 Crime Contract & Tender

What needs to be submitted

• Organisation ITT
• One or more individual ITTs
• Input directly onto portal
• Inputting text into a spreadsheet
• Timetable

The 2017 Crime Contract & Tender

How to successfully complete the tender

• Manage my profile
• Organisation ITT
• Organisation & Contact Details
• Grounds for Mandatory Exclusion
• Grounds for Discretionary Exclusion
• Crime Contract (Procurement) Requirements
• Declarations

The 2017 Crime Contract & Tender

Completing & Uploading the Attachments

• Supervisor form
• Indemnity form
• SQM / Lexcel certificate
• Uploading the forms

The 2017 Crime Contract & Tender

Submitting the bid – some tips

• Failure to respond
• Not checking tenders that have been ‘submitted’
• Not asking others for help
• Not checking that at least two ITTs have been submitted
• Leaving it late
• Browser

The 2017 Crime Contract & Tender

Annexes

• Summary of FAQs
• LAA FAQs with additional views from DG Legal
• Supervisor standard form with guidance

The 2017 Crime Contract & Tender

The 2017 Crime Contract

The 2017 Crime Contract & Tender 2017 Standard Crime Contract & Specification :

composition

• structure of the old 2010 contract
• bits from the pre 2010 contracts
• bits of the failed 2015 two tier contracts
• a bit of ghost busting
• more detailed performance requirements
• more onerous record keeping requirements

NO SUBSTITUTE FOR READING

THE CONTRACT THE SPECIFICATION

https://www.gov.uk/government/publications/standard-crime-contract-2017

IFA FAQ

https://www.gov.uk/government/publications/legal-aid-crime-tender-2017

Clause 1 Interpretation / definitions of terms “Case” means all the work carried out under this Contract in Criminal Proceedings and Prison Law for all Clients represented by you in those proceedings in respect of:

• ne offence (that is an offence for which the Client is charged or summoned
• r otherwise required to appear in court); or

more than one offence, where one or more charges or informations are preferred or laid at the same time; or where the offences are allegedly founded on the same facts or form part of a series

• f offences;

“Contract Work” means the work that you may perform for Clients in the Category or Categories of Law and/or Class(es) of Work specified in your Schedule(s) and the Specification under, or by virtue of, this Contract; “Contract Report Form” means such form as we may specify (in any format we specify, including electronic format) for making claims or for providing information about you and/or this Contract including, Contract Work, your performance under and compliance with this Contract or your legal status and constitution;

“Employee” means an individual who undertakes Contract Work on your behalf and who: is a director, member or partner of your organization; or holds a contract

• f employment with you; and ….has employment rights…. For the avoidance
• f doubt, individuals who are self- employed, independent contractors or

hold a contract for services do not meet this definition. “Supervisor” means an Employee of your organization who actively supervises staff and meets all the Supervisor standards in Section 2; "Designated Fee Earner" means a person who is designated by you to undertake Contract Work under this Specification (including Agents) in accordance with Paragraphs 2.27 to 2.33; “Caseworker” means an employee who is not a Supervisor, but who is a fee- earner who regularly undertakes criminal defence work to whom a specific caseload of Contract Work is allocated and is responsible for the progression of those cases, within their specific caseload, under supervision. Caseworker includes paralegals;

Clause 2: Relationship and communication Clause 2.2 You shall ensure that neither you nor any of your Affiliates embarrasses us

• r otherwise brings us into disrepute by engaging in any act or omission

which is reasonably likely to diminish the trust that the public places in us, regardless of whether or not such act or omission is related to your obligations under this Contract. Any operation of this Clause is subject to our obligation to act as a responsible public body and any sanction must be proportionate. Clause 2.10 As well as a postal address or DX number and telephone number, you must have at least one operational email address/account, which must be able to send and receive emails, which may contain sensitive information, over the Government Secure Intranet;

Service Standards [para. 2 Specification] Supervisor Ratio requirements re how many Designated Fee Earners [DFEs] or caseworkers supervised:

• Supervisor undertaking only prison law supervision: may supervise up to a

maximum 6 DFEs / caseworkers

• Otherwise: a Supervisor of Investigations/Proceedings , Appeals, Prison law

may supervise up to a maximum 4 DFEs caseworkers [2.29 -2.30 ]

• A provider must Employ at least one Full Time Equivalent Supervisor who

meets the supervisor standards set out in Paragraphs 2.22 to 2.25.

• Supervisors who qualify may act as a Supervisor for more than one Class of
• Work. [2.6 ]

Eligibility to be a Supervisor [Specification paras. 2.15 - 22] All Supervisors must meet one of the following supervisory skills standards: (a) have supervised at least one FTE DFE/Caseworker in the relevant Class of Work for at least one year in the previous five year period; or (b) have completed such training covering key supervisory skills LAA approve from time to time in the previous 12 month period; or (c) have achieved Level 3 or higher NVQ standard (or any replacement from time to time) in supervising in the previous five year period. Guidance doc https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/5395 56/guidance-on-crime-supervisor-requirements-2016.pdf

Supervisors

• Criminal Investigations and Criminal Proceedings Class of Work

2.20: Must during the Contract Period, have in the previous 12 months undertaken at last 350 hours of direct casework - may include direct (documented) supervision. If Supervisor works part-time: requirement is 1050 hours of direct casework which may include direct (documented) supervision in the previous 5 years 2.21 All Supervisors must have: (a) CLAS; and (b) a current non-conditional practising certificate for the previous three years; and (c) at any time during the Contract, in the previous 12 months have undertaken a minimum of 6 Police Station cases(of which no more than two can be Tel. advice where there is no subsequent PS attendance); (d) at any time during the Contract, in the previous 12 months have undertaken: (i) a minimum of 20 magistrates’ court Representations and advocacy [may include Representation of a Client during a magistrates’ ct duty session with one session counting as one Representation only); or (ii) undertaken a minimum of 10 magistrates’ court Representations and advocacy and five Crown Court Representations and advocacy

Supervisors

• Criminal Investigations and Criminal Proceedings Class of Work [contd.]

2.7 Supervisors must work from one or any combination of your Offices. 2.8 Supervisors may act as a Supervisor at a maximum of two of your Offices 2.9 an individual may not act as a Supervisor for you if they act as a Supervisor for another Provider. 2.18 Each Supervisor must conduct file reviews for each DFE or Caseworker they supervise [no. file reviews must reflect the skills, knowledge/experience of f/e. Must record outcome of file reviews, together with the details of corrective action taken (if any). 2.19 If a DFE /Caseworker undertakes Contract Work in a location other than where their Supervisor is based, the Supervisor must conduct, as a minimum, face-to-face supervision at least once per calendar month.

Supervisors [ctd.]

• Prison Law Class of Work

2.20: must have in the previous 12 months undertaken at last 350 hours of direct casework - may include direct (documented) supervision. If part-time:1050

• hrs. direct casework which may include direct (documented) supervision in

the previous 5 years 2.24 must have, in the previous 12 months, undertaken for you a minimum of four Representations for four Clients before the Parole Board or the Independent Adjudicator/Prison Governor. 2.25 A Supervisor in the Prison Law Class does not have to be legally qualified. However, he or she must meet the Supervisor standards the Specification. 2.7 Supervisors must work from one or any combination of your Offices. 2.8 Supervisors may act as a Supervisor at a maximum of two of your Offices 2.10 A Prison Law Supervisor may also act as a Supervisor for a maximum of one

• ther Provider

Supervisors [ctd.]

• Prison Law Class of Work

2.18 Each Supervisor must conduct file reviews for each DFE or Caseworker they supervise [no. file reviews must reflect the skills, knowledge/experience of f/e. Must record outcome of file reviews, together with the details of corrective action taken (if any). 2.19 If a DFE /Caseworker undertakes Contract Work in a location other than where their Supervisor is based, the Supervisor must conduct, as a minimum, face-to-face supervision at least once per calendar month.

Supervisors [ctd.]

• Appeals and Reviews Class of Work only

2.26: must have held current non-conditional practising certificate for previous 3 yrs

• r 350 hrs direct casework incl direct documented supervision [FTE]/1050 hrs
• pt. time incl direct documented supervision

2.7 Supervisors must work from one or any combination of your Offices. 2.8 Supervisors may act as a Supervisor at a maximum of two of your Offices 2.9 an individual may not act as a Supervisor for you if they act as a Supervisor for another Provider. 2.18 Each Supervisor must conduct file reviews for each DFE or Caseworker they supervise [no. file reviews must reflect the skills, knowledge/experience of f/e. Must record outcome of file reviews, together with the details of corrective action taken (if any). 2.19 If a DFE /Caseworker undertakes Contract Work in a location other than where their Supervisor is based, the Supervisor must conduct, as a minimum, face-to-face supervision at least once per calendar month.

Designated Fee Earners [DFEs] Requirements 2.32: required to have a doc. that identifies all staff, their current jobs, and lines of responsibility - must cover all DFEs and must show: (a) whether the fee-earner is a Duty Solicitor, Solicitor, an Accredited Rep, a Probationary Rep or other non-Solicitor personnel; and (b) any fee-earner codings or PIN numbers used by them. 2.34: Where a DFE is an Accredited Rep, you must maintain a record of the evidence of compliance with the requirements needed to maintain Accredited Rep status. 2.36: You must designate all fee earners who regularly undertake Contract Work . 2.37: You must designate all Supervisors that carry out Contract Work 2.39: 80% of Police St. wk./ 50% of Advocacy Asst /Ct representation must be by DFEs

Office requirements [Specification 2.41 – 54]

• must be appropriate
• must have constant right of access during business hrs
• be open/accessible to Clients,
• be permanently staffed [can share]
• contain suitable facilities to interview Clients, witnesses other persons in a private

interview room

• may operate single/central contact number regardless no. of offices.
• Excluded from office definition: hotels, vehicles, residential, virtual, service offices

[unless have exclusive use] Moving Office

• you will only remain eligible for Duty Schemes you joined by virtue of your
• riginal Office address where your new Office address is also within the

geographical ambit of that Scheme; and

• you will not be eligible to join any additional or new Duty Scheme by virtue
• f your new Office address.

KPI The Key Performance Indicators that must be met in any three month rolling period 1 To avoid a reduction of more than 15% of your costs on Assessment on any of your Claims for:

Police Station Advice and Assistance (Escape Fee Cases); Free Standing Advice and Assistance Claims; Advocacy Assistance Claims; Magistrates’ court non-Standard Fees; Prison Law Escape Fee Cases; Prison Law non-Standard Fees.

If costs are reduced by > than 15% on Assessment in any 3 month rolling period, then you have not met KPI 1. 2 To accept and deal appropriately with a minimum of 90% of communications (howsoever received) from the DSCC for Police Station Advice and Assistance when you are the allocated Provider on a Duty Solicitor Scheme Rota. If you do not accept 90% of communications from the DSCC in any three month rolling period when you are the allocated Provider on a Rota, then you have not met KPI 2. 3 Where you are a member of a Virtual Court Duty Scheme: To ensure your Duty Solicitors accept a minimum of 90% of the calls you receive to attend a Virtual Court hearing. If you do not accept 90% of the communications you receive in any three month rolling period when you are the allocated Provider on a Rota, then you have not met KPI 3. 4 To ensure that 95% or more of your Cases conclude before any change of Provider under the Contract.

Duty Solicitor Provisions [Specification paragraph 6] Status: Duty Solicitors may be either your employees or self-employed persons - however, they must in all cases be Engaged by you Continuing ability re duty solicitor deployment: To maintain membership - must always have a duty sol on a scheme [6.2] (a) 2 hrs CPD annually re relevant issues (b) Undertaking minimum. 36 ct. hearings/police st attendances in rolling 12month period to incl (i) minimum 12 magistrates ct hearings (ii) minimum 12 police st attendances [not tel advice] (iii) further 12 from above or crown ct (iv) magistrates ct duty slots [rep at least 1 def] Minimum 3 cts and 3 police st attendances in each rolling 3 month period (c) Undertaking 4 police st duty slots allocated (d) must undertake a minimum of 14 hours’ Contract Work for you pw from the Office for which those Duty Slots have been obtained – measured on rolling monthly basis

Duty Solicitor Provisions [continued] Wrongful retention of slots – Sanctions/ clawback [6.26] Retaining Slots in name not meeting the requirements is a material breach of Contract and entitles LAA to issue a Sanction under Clause 24: You are not eligible to receive payment for any work undertaken on Duty Slots

• btained as a result of such a breach and payments made as a result shall be an

“overpayment or mispayment” Duty to maintain compliance records [6.27] Duty to immediately Notify duty sol change of circumstances [6.29] Failure will result in reduction of slots New CRM 12 design COLP Declaration Prohibition on “Ghosts” [6.37] Bar on making payment for use of duty sol details on CRM 12 where duty sol is not “engaged and integrated into your organization” Breach of this provision is a fundamental breach - payments made as a result shall be an “overpayment or mispayment”

Clause 3 Working with third parties Clause 3.7 (a) all agreements you make with Approved Third Parties under which the fees payable by you exceed £250 per Matter or Case, must require them to keep accurate records of the time they spend on the work you have appointed them to do and of the work done; and (b) all agreements you make with Agents, Counsel or sub-contractors in connection with Contract Work, must require them to keep accurate records

• f the time they spend on the work you have appointed them to do and of the

work done.

Clause 6: referral fees 6.8/6.9 You must not make/receive any payment, or provide/receive any other benefit, to any third party (including any other Provider) for the referral or introduction (directly or indirectly) of any Client or potential Client to you. 6.10 Where you: make any payment or provide any other benefit; or receive any payment or any other benefit; in circumstances that suggest a possible breach of Clauses 6.8 or 6.9, the presumption will be that the payment or benefit was made, provided or received in breach of this Contract and the onus will be on you to show that was not the case.

Clause 7: Looking after Clients, compliance and self-monitoring 7.3: When instructing an advocate to conduct Crown Court advocacy services, before giving such instructions you must consult the Client about the use and the selection of Counsel or in-house advocate and advise the Client of the name; status; experience; and suitability, of the advocate in each case having regard to the nature of case and its complexity and existence of alternative Counsel or in- house advocate whom the Client may choose to be instructed (subject to availability). If you have determined through reasonable enquiries that there is no alternative advocate actually available, you must also advise the Client of that fact. 7.4 Where Counsel or in-house advocate is instructed pursuant to Clause 7.3; if the chosen Counsel or in-house advocate becomes unavailable you must take all reasonable steps to instructs another Counsel or in-house advocate of equivalent standing and, so far as is practicable, advise the Client of the merits and suitability

• f the proposed replacement.

7.5 You must keep records re 7.3/4 above

Clause 7.19: IT requirements Must have an IT System.. Your IT System must include the following as a minimum: (a) a system to identify all your Contract Work files; (b) a system to enable you to identify Client conflicts; (c) a system for identifying relevant matters/cases when acting for a Client in a multiple matters and/or cases; (d) a system for accessing a list of all matters/cases that are open and closed (e) a system which identifies key dates in respect of any matter and/or case; (f) a time recording system for all matters and cases; (g) a system for identifying an up-to-date record of the value of WIP (including disbursements shown separately) on all matters/cases; (h) access to LAA website; (i) access to your LAA Online Account; (j) at least one operational secure email account,

IT requirements [ clause 7.19 continued] (k) a system that must be capable of being used by you to work electronically within the criminal justice system and with other criminal justice agencies (including the prosecution and police). This means (without limitation) that the system must be: (i) able to accommodate and accept evidence …in accordance with the CPR; (ii) capable of being accessed/used remotely (e.g. at courts & police stations); (iii) able to connect to any relevant IP based video conference system; and (iv) archive digital material including prosecution evidence served electronically 7.20: All personnel who require it must have access to a secure email 7.25: Must have a business continuity plan – reviewed annually 7.26: You must make up-to-date daily back-ups of information that is in electronic format and store such backups on a regular basis offsite. 8.10 Electronic Files: In respect of files held electronically, must hold in pdf format - ensure files contain complete record as would be incl. in paper file,

Clause 8: Records to keep and forms to fill & return 8.1: files “must be maintained in an orderly manner…” 8.2: must record all information required promptly and accurately – repeated failure = fundamental breach 8.3: lists records required from (a) to (o) incl. File reviews/ Corrective actions Client complaints/satisfaction surveys E&D policy operation Accounts/ WIP/ financial info listed in clause 4 advice to clients on advocates in crown court

• ffice manual

maintenance of duty sol compliance 8.6: securely maintain files/records for 6 years 8.11: You must complete, and return to us within such period as we may specify, such Contract Report Forms as we may reasonably specify.

Clause 24: Sanctions Sanctions for Material/persistent breaches 8 types of sanctions: 1 suspend types of Contract Work and Delegated Functions 2 refuse to pay for specified Contract Work 3 suspend payments 4 suspend you from taking on any new Matters or cases 5 exclude individuals from being Supervisors or performing Contract Work 6 suspend or remove some or all of your duty slots 7 suspend you from holding yourself out as a Provider 8 termination of the Contract

The 2017 Crime Contract & Tender

Contact details

David Gilmore Avtar Bhatoa

• T. 01664 822492

020 7556 1035

• E. david@dglegal.co.uk

abhatoa@bullivantlaw.com

• W. www.dglegal.co.uk

www.bullivantlaw.com

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