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Name of Procedure: Procedure for Seeking Legal Advice
Procedure Number: GP037A
Author: Bianca McClounan, Claims & Litigation manager
Ratified by: Risk & Governance Committee
Date: March 2008
Due for Revision: At end of contract
Date Policy becomes live: April 2008
This policy should be read in conjunction with the following policies and
procedures:
Claims & Litigation Policy
Equality & Diversity:
This procedure has had an impact assessment against race, equality, diversity
and age criteria in line with current legislation.
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Consultation Route.
Date of Issue Version Distribution Amendments
14/2/2008 1 Risk Management
Services.
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CONTENTS
1. Key Policy Points Page 4
Introduction Page 4
Flowchart Guide for the Use Of This Policy Page 4
2. Procedure Page 5
2.1 Introduction Page 5
2.2 Authorisation Page 5
3 Contact Page 5
4 Alternative Provider Page 6
5 Costings Page 6
6. References Page 6
7. Equality & Diversity Impact Assessment Page 7
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1. Key Procedure Points.
1.1. Introduction
• Wiltshire Community Health Service is the arm’s-length provider body of
Wiltshire PCT and is wholly owned by and accountable to Wiltshire PCT.
• Wiltshire PCT is committed to promoting equality and respect for diversity for
the people of Wiltshire and for our staff. Our aim is to ensure that the way we
work with individuals and communities - and their representatives - and with
our staff challenges inequality and affirms difference. This means all our
services are accessible, appropriate and sensitive to the needs of individuals.
• All staff working for Wiltshire Primary Care Trust must comply with the agreed
procedure. This includes staff in the provider and commissioning arm of the
PCT
• Responsibility for the implementation of the procedure rests with line
managers;
• Implementation of the procedure will ensure that the Trust complies with the
ALE requirements and Standards of Better Health.
1.2 Flowchart.
Flowchart Guide for The use of this Procedure
Procedure for seeking Legal Advice
Do you work for Wiltshire
PCT in a role that may
require seeking legal advice
Yes
No
Need to read policy, but
Need to read full not required to have full
policy knowledge of policy
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2. Procedure for seeking Legal Advice
2.1. Introduction
The Primary Care Trusts (PCT) activities generate occasions, both routinely
and exceptionally according to the processes involved, when it is advisable to
obtain a specialist legal opinion.1 The purpose of obtaining such legal advice is
to ensure the activities of the PCT are lawful and to support staff who may be
required to give evidence in relation to legal matters. Such matters may
include:
Property transactions
employment law
litigation in the event of third party claims
Coroners court
Mental Health Act
Mental Capacity Act
data protection
Freedom of Information
independent contractor contracts
performers list regulations
law relating to other statutory responsibilities.
Expertise exists within the PCT on many of these and other matters and this
should be sought in the first instance. Only when this expertise is not sufficient
due to the complexity of the matter, or where there is an action which only a
legally qualified officer can undertake, should the PCT’s legal advisors be
contacted.
The PCT uses Beachcroft LLP for the provision of legal advice and services
and the procedure for accessing their legal advice is given below:
2.2 Authorisation
There will be some staff who regularly require access to legal advice. The
following officers are authorised to seek professional advice independently,
without previous involvement of the Claims and Litigation Manager:
Chief Executive
all Directors
Assistant Director of Employee Services
Assistant Director of Workforce Development
Assistant Director of Human Resources
Designated nurse for Safeguarding Children
Claims and Litigation Manager
Facilities Manager
Authorised Managers will receive invoices for advice they have sought, which
they should check and authorise for payment, but costs will be attributed to
central cost centres. This will allow monitoring of total spend.
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3. Contact
3.1 Within normal working hours (0900–1700 hrs, Monday to Friday), staff who
have need of legal advice should, in the first instance, discuss the matter with
their line manager. The matter should be escalated as necessary to ensure
senior managers are aware of the problem and may be able to suggest a
course of action which will resolve the matter.
If the matter cannot be resolved by the local manager, he/she should discuss
the matter with the Claims and Litigation Manager who will agree whether to
seek legal advice from our advisors and who is best placed to do this.
3.2 In an emergency staff who have need of legal advice can directly contact the
Claims and Litigation Manager who will assess the situation and advise
accordingly.
3.3 Outside normal working hours, staff that have the need of legal advice should,
in the first instance, use the on-call procedure. The senior manager on-call
and/or the Director on-call if necessary, will seek legal advice where they feel
it appropriate. The out of hours telephone numbers for Beachcroft are 01962
705500 or 0117 918 2000. A copy of these contact details are available in
the senior managers and directors on-call packs.
The Senior Manager/Director on call should inform the Claims and Litigation
Manager on the next working day. They will review the matter to determine if
any further action is required.
Some matters do not require detailed legal advice but a quick response to
endorse the PCT’s proposed action or provide useful pointers to consider.
Beachcroft LLP provides free individual advice on matters that require up to 10
minutes telephone advice in all areas of work.
4. Alternative Provider
There may be specific individual circumstances which warrant the use of an
alternative legal service provider, for example a conflict of interest or continuity
of advice on a transferring service. Such circumstances should always be
tested with the PCT’s Claims and Litigation Manager.
5. Costings
The cost of legal advice will routinely come from a central budget, except where
it is a one off ad-hoc matter or is as a result of a claim.
On a monthly basis Beachcroft LLP will invoice the PCT for the work they
have undertaken on our behalf. The Claims and Litigation Manager will check
items with the relevant manager, and then approve the invoice.
6 References
1
Auditors Local Evaluation tool
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7.
Document
Equality & Diversity Impact Assessment
Title of Document Procedure for Seeking Legal Advice
Is the document new or existing? New
Date document was created March 2007
Does this document contain the Trust’s Yes √ No
statement on Equality?
Date document is due to be reviewed March 2011
Who was/will be consulted over this document? Risk Management Services
What is the main purpose of this document? To ensure the activities of the PCT are
lawful and to support staff who may be
required to give evidence in relation to
legal matters.
Who is this document aimed at or who will be All staff
affected by it?
What are the likely implications for the Trust of Successful implementation of the procedure
this document? will support the PCT’s corporate governance
framework.
What, if any, are the resource implications of this None, central budget is agreed.
document?
What is the legislation, ethic or other guiding Good practice, NHS LA and ALE
principle behind this document? requirements
Is this document likely to have an adverse effect No
on any specific group taking into account: sex,
gender, ethnicity, colour, national origin,
disability, physical or mental health.
Could this document discriminate directly or No
indirectly against any staff group with reference
to Sex, Race Disability Discrimination acts or the
Regulations on Religion or Belief and Sexual
Orientation? If so how?
If this document could be discriminatory in any
way, what actions will be taken to remedy this?
Where will this document be stored and how will Stored on PCT intranet, accessed by all staff
it be accessed? via their manager or directly from the intranet
Reviewed by : Anne Kennedy Date: 15/02/08
Title: Clinical Director.
Risk log
Risk description Likelihood (1-5) Severity (1-5)
Low (6) 2 3
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