Legal Services is an in-house solicitors office. It advises Schools, Departments and Corporate Services within the University and liaises with external bodies and solicitors and barristers, as required.  The Director reports directly to the Registrar and Secretary.

• The Director of Legal Services is Carolyn Pike who can advise on almost all  of the matters which come into the Legal Services office including drafting of commercial contracts, governance and charitable issues, the drafting of legislation and policies, issues relating to students and grievances, together with some property work.
  
• Dave Ash is Deputy Director. Dave has direct responsibility for ensuring compliance with the Data Protection Act and the Freedom of Information Act, and has a wide ranging portfolio including international contracts, dispute resolution, IPR, and implementing and monitoring this Protocol which ensures that all instructions to external legal advisers are issued via Legal Services. 
  
• Diana Dawson advises on property matters and contractual issues.
  
• James Piggott advises on Disability and Race Equality issues, student complaints and appeals and on the University’s relationship with local NHS Trusts. 
  
• Dawn Jeynes deals with day to day matters arising from the Freedom of Information Act and the Data Protection Act, including subject access requests and co-ordinating FOI enquiries.
  
• The office is responsible for compliance with the Data Protection Act and the Freedom of Information Act. The Director is the University’s Data Protection Officer.

Legal Services is not authorised by the Law Society for England and Wales to advise staff or students on personal matters.

Legal Services does not charge Schools or Departments directly for the advice and assistance it provides in house. The Legal Services budget does not include provision for consulting external lawyers. Therefore authorisation to commence work that will attract fees must be obtained from either the Head of the Budget Centre who will be responsible for the fees (where the matter is solely for the School/ Budget Centre) or the Registrar and Secretary (where the matter is important for the University as a whole). The Registrar and Secretary has funds to pay for legal fees only in the case of a matter being of importance for the University as a whole.  In due course this budget for legal professional fees will be transferred to the Director of Legal Services, who will then make such decisions in consultation with the Registrar and Secretary, when necessary.

Following competitive tender, the University has service level agreements with a panel of external solicitor’s firms. Generally litigation and employment related matters are referred to them, together with some substantial matters where specific expertise is required.  Solicitors within Legal Services can also directly obtain opinion from Counsel, when appropriate.

Instructions from the University to external legal advisers must be directed  through either the Registrar and Secretary’s Office or Legal Services. This will enable accurate, relevant and timely advice to be obtained and costs to be monitored in accordance with the agreed Service Level Statements.

In order to expedite the appointment process, members of the University are requested to follow the following steps:

Please consult with a solicitor within Legal Services as soon as possible to establish whether the University can deal with the matter internally, or whether there are steps which must be taken prior to instructing external lawyers (e.g whether more information on the matter in hand is required, or whether there are internal processes which must be followed). This can be by email or telephone.

If it is agreed that the matter should be referred to external lawyers, please prepare a briefing letter, including all relevant information and referencing all relevant documentation, internal legislation (eg Ordinances or Regulations) letters etc.

Incorporate within the briefing letter an indication of the level of legal complexity of the matter (i.e. if it involves an unusual situation and a specific partner is required or if it is more routine work which can be carried out by a  junior solicitor), and  whether or not a specific fees structure or arrangement is required. Legal Services will advise on these points, or draft if necessary.

Send the draft to Legal Services who may request further information, and/or clarify the legal instructions. Having decided which external lawyers to instruct Legal Services may amend the letter and incorporate matters arising from the relevant service level statement.

Depending on the issues raised, Legal Services may request that all correspondence is either directly with the member of staff concerned, or that all correspondence must be solely with Legal Services. Occasionally it may simply be appropriate for Legal Services to be copied in on correspondence.

Where there is a series of similar transactions an agreed method of instruction could be formulated, with a simple notification to Legal Services of the nature and title of the matter, so that all invoices can be accounted for and reconciled. Periodic reviews of outstanding  matters will be provided to Legal Services under the relevant service level agreement with external lawyers.

Personnel Matters

In respect of contentious issues, the Director of Personnel Services will establish the facts of the issue at the earliest opportunity.  The Director of Personnel Services will then contact the Director of Legal Services to discuss the matter and together they will make a decision as to whether or not the matter can be dealt with in-house (with support from Legal Services as appropriate), or should be referred to external solicitors.  If the decision is that the matter should be referred to one of the University’s panel solicitors, Legal Services will decide the appropriate firm and if necessary the fee earner within the firm for referral.  The Director of Legal Services will assist where necessary in the preparation of written instructions including matters relating to proposed charges.  The reporting mechanisms for the panel solicitors will also be agreed at that time.

In the absence of the Director of Personnel Services, one of the Assistant  Directors will act on his/her  behalf.  With respect to  instructing external solicitors, advice can be obtained from any of the qualified solicitors within the Legal Services team, although in the absence of the Director of Legal Services, it is anticipated that the Deputy Director will take a lead role.

For Personnel Services it is proposed to set up a small general billing account to facilitate short pieces of advice from external solicitors as required.  This will include telephone advice in excess of the 15 minutes provided without charge by Pinsent Masons as part of the service.  This will be a pilot scheme for one year and then reviewed by the Registrar and Secretary.

Authority

By virtue of the University’s Charters, Statutes, Ordinances and Regulations the Registrar and Secretary has authority to instruct external solicitors or counsel and to obtain such advice as is necessary in order to protect the University’s interest.  This authority includes the ability to prosecute or defend any matter before a Court of Law, or other appropriate authority.  At the time of initial instruction, Legal Services will endeavour to obtain an indication of the likely costs to be incurred.  Where these costs are estimated to exceed £100,000 per matter, the Registrar and Secretary will consult with the Vice-Chancellor before initiating instructions or proceeding with the legal action.  Where the anticipated expenditure on external legal services is estimated to exceed £200,000 the Registrar and Secretary shall  consult with both the Vice-Chancellor and the University Treasurer, or his designated Deputy . 

In all cases where the Registrar and Secretary has been required to consult with either the Vice-Chancellor alone, or the Treasurer and the Vice-Chancellor, the matter shall be reported to the next Council meeting.

4.05.13/Protocol 30.9.05