Application for Approval to Provide Legal Aid Services Guidelines

Application for Approval to Provide Legal Aid Services Guidelines This guide clarifies terms used in the application forms and will assist you in completing an application to become an approved provider of legal services under section 77 of the Legal Services Act 2011. Please note that you may not provide legal aid or specified legal services unless you have first been approved (section 75 of the Legal Services Act 2011) and secondly you have entered into an agreement to do so (section 69 (b) of the Legal Services Act 2011). To be approved, you must provide sufficient information to satisfy the criteria set out in the Legal Services (Quality Assurance) Regulations 2011. When to use the application form You can use these forms if you are: applying to be approved for the first time (whether as a lead provider lawyer or employment advocate, a supervised provider or a provider of specified legal services) an existing approved provider, and you are applying for approval in other areas of law. How the form is structured This application is in four parts: Part 1 Part 2 Part 3 Part 4 Information about you, your systems and your work experience history areas of law information about your experience and competence, case examples and work samples Your references Your supervision arrangements. If you are applying for approval as a lead provider or as a provider of specified legal services you must complete: Part 1 Part 2 Information about you, your systems and your work experience history areas of law information about your experience and competence, case examples and work samples Part 3A Your references. If you are applying for approval as a supervised provider you must complete: Part 1 Information about you, your systems and your work experience history Part 3B Your references If you are applying for approval as an employment advocate you must complete: Part 1 Information about you, your systems and your work experience history Part 3A Your references. These can be completed online or by hand. How to complete the application form (Part 1 4) Use this guide to help you to fill in the forms. Check you have answered all the questions on the forms related to you. We can only assess your application if your application is complete. You may complete the application forms: online, and either sign with an electronic signature or print and sign by hand by printing and completing using a blue or black pen. Please ensure that your handwriting is legible. You may send the application forms by email or by post. If you are sending the forms by email, you do not need to send a hard-copy as well. You will need to get your referees to complete the relevant parts of the reference form. If you are applying for approval as a supervised provider, you will also need to get your employer or lead provider/s to provide an undertaking on the supervision arrangements form. Please note that the forms can only be completed online on Adobe Reader or Adobe Acrobat, not Mac OS Preview or any other PDF viewer. If you complete the forms online, you will be able to save the form/s for your own records and/or return to them later to complete. Part 4 Your supervision arrangements. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 1 / 10

Make sure you have: completed the application using the Ministry of Justice form provided the required documentary evidence (eg certificate of standing, client care letter and/or letter of engagement with the legal aid obligations clearly outlined) completed the relevant parts of the forms provided the required number of work samples/references or other proof The contents of this guide This guide clarifies terms used in the forms, and provides a checklist to help you make sure your application is complete. We will not return original documents to you including original Certificates of Standing. Please do not bind your application and if possible submit your application single sided. provided, where relevant, supervision arrangements, and undertakings from the nominated supervisor. Part 1 Information about you, your systems, and your work experience history Types of providers Lead providers (lawyers or employment advocates) Lead providers are lawyers or employment advocates who have demonstrated that they meet the criteria for approval, and therefore have been approved in one or more areas of law. Lead providers: may receive a contract from the Ministry of Justice (Ministry) relating to one or more areas of law for which they are approved; may have matters assigned to them; and are responsible for the overall management and conduct of any assigned legal aid case including any substantive hearings. Providers of specified legal services Providers of specified legal services are lawyers who have demonstrated that they meet the criteria for approval, and therefore have been approved in one or more areas of law. Providers other than lead providers (supervised providers) Supervised providers are providers approved to provide legal services under the supervision of an approved lead provider. Supervised providers are lawyers: who may not have matters assigned to them; who are not responsible for the overall management and conduct of any legal aid case, including any substantive hearings; and whose approvals are subject to the condition that they are supervised by an appropriately approved lead provider. Existing providers Existing provider are lawyers or employment advocates who have one or more current approvals to provide legal aid services or specified legal services under the Legal Services Act 2011. Providers of specified legal services: may receive a contract from the Ministry relating to one or more areas of law for which they are approved; and are responsible for the overall management and conduct of any matters for which they are rostered. Part 1 Section 1 Area/s of law for which you are seeking approval Please mark clearly the areas of law for which you are seeking approval. You will need to complete the additional areas of law form, based on your selection. Your details Write the name/s you want to appear on all Ministry documentation. Practice/employer Please provide the name of your practice or name of the firm or practice you are employed at. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 2 / 10

Contact details We need your contact details to communicate with you and send you notices. We will communicate with you primarily by email unless there is a specific need for us to contact you by telephone or post. Please ensure you provide a valid street address, postal address, direct dial and/or mobile phone numbers and an email address where we can contact you. Current approval status for legal aid If you are a current provider, please ensure that you provide us with your current provider number. Please indicate clearly your current approvals as a lead provider and/or supervised provider. Part 1 Section 2 Professional entry requirements Lawyer If you are applying for approval as a lawyer (lead provider, supervised provider or provider of specified legal services) then you must provide a valid Certificate of Standing issued by the New Zealand Law Society (NZLS). You can provide a certified copy of your Certificate of Standing or the original (but not a copy). If you are an existing legal aid lawyer, you are not required to submit a Certificate of Standing unless you have been notified otherwise in writing. The Certificate of Standing records: The date and place of your admission details Whether you hold a current practising certificate Whether you are entitled to practise on your own account and in what capacity Upheld complaints and disciplinary tribunal matters from 1 August 2008 Any disciplinary charges before the New Zealand Lawyers and Conveyancers Disciplinary Tribunal or any similar previous bodies Whether the NZLS considers that you are a person of good standing. The Certificate of Standing is generally only valid for three months and must be valid when we receive your application. Further information on how to apply for a Certificate of Standing is available on the NZLS website at: www.lawsociety.org.nz/home/for_lawyers/regulatory/ legal_aid_provider_certificate_of_standing The Ministry also requires information on: Any conditions attached to your practising certificate Any upheld or substantiated complaints these include NZLS, Legal Services Agency or Ministry complaints Whether your approvals have been suspended or cancelled Any convictions not covered by the Clean Slate Act 2004. In providing information on any of the above matters, you can use additional pages if required. Employment advocate If you are applying for approval as an employment advocate you must provide evidence of your membership in the Employment Law Institute of New Zealand Inc. Part 1 Section 3 Service delivery requirements All applicants applying for approval must have satisfactory service delivery systems. The Legal Services (Quality Assurance) Regulations 2011 require providers to have service delivery systems that support you to provide and account for legal aid services and specified legal services in an effective, efficient and ethical manner. We assess this by ensuring you have processes and systems in place to: Manage client service requirements and expectations Manage scheduling conflicts Manage complaints Manage conflicts of interest Invoice your time accurately Maintain accurate client files. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 3 / 10

You will also need to provide copies of your client care letter and/or standard letter of engagement that you provide to legal aid clients. This may be the same document. Please ensure the client care letter refers to the Ministry of Justice not the Legal Services Agency and clearly refers to any legal aid obligations that you or your client are required to comply with, ie submissions of invoices to the Ministry, obligations relating to repayment and changes to financial circumstances. If you are an existing provider, and there have not been any changes, or only minor changes to your Service Delivery Systems since your most recent approval was granted, you do not need to complete sections 2 to 4 of Part 1 of the application form unless notified otherwise. Minor changes includes changes to phone numbers or email addresses. Part 1 Section 4 Admission and your work experience history If you are a lawyer you will need to complete Part 1 Section 4. We require this information to determine your litigation experience level and therefore rate of pay if you are approved and contracted. The information is also used when assessing your competence and experience. If you are an existing legal aid lawyer, you are not required to complete this section unless you are applying to increase your litigation level. Please ensure that you clearly record your employment history starting with the most recent work first. Only work experience in the form of representing clients, undertaken while holding a practising certificate, may be considered as litigation experience. For further guidance on litigation experience, see Part 1 Approvals www.justice.govt.nz/services/information-for-legal-professionals /information-for-legal-aid-providers/legal-aid-provider-manuals /provider-manual/provider-manual Part 1 Section 5 Acknowledgement and consent The information you provide helps us to assess whether you meet the criteria for approval. We may verify information from the persons/bodies referred to in your application. We hold the information that we collect securely. You may access this information and request any personal information be corrected. Please complete and sign the declaration which confirms that the information you have provided is accurate and complete. Part 2 Areas of law Part 2 Section 1 Experience in the relevant area of law All applicants applying for approval as a lead provider (lawyer) or provider of specified legal services must provide case examples and work samples as evidence of their experience and competence in the relevant area of law for which they are seeking approval. Recent experience Recent legal experience is considered to be relevant post admission legal experience gained in the last five years. This section is used to assess your experience in the relevant area of law. For each area of law, the criteria requires you to have a minimum length of experience. Section 1 requires you to state the approximate number of cases in which you have appeared as counsel. You are not required to provide information across the whole five years; however you must demonstrate recent experience by identifying the types of proceedings you have been involved in. Other experience If you do not have recent experience, please provide a summary of your relevant experience. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 4 / 10

PART 2 SECTION 2 Demonstrating your experience and competence Case examples All applicants applying for approvals as a lead provider (lawyer) or provider of specified legal services must provide case examples and work samples as evidence of their experience in the relevant area of law for which they are seeking approval. Case examples should be cases where you played a substantial and active role and need to demonstrate your involvement across a range of cases relevant to the area of law. You may include your experience as a legal aid provider or in the private sector or both. Each area of law has a case example form. You will need to complete the relevant number of case examples in accordance with the criteria. Each form identifies the minimum number of case examples and details the information required for that area of law. Please note the Ministry recommends providing case examples which are recent (within the last five years) however you may use case examples which are not recent (outside the last five years). Where your case examples are not recent, you may ask that other proof of your current legal knowledge and experience be considered. Please outline this in your cover letter. The main form only provides for one case example, you will need to use the Additional Case Example Form to provide further examples as required. Please note that: if you complete the examples online, you will need to save each example on your computer or print each example before using the form for another example. If you print and complete the examples, please make copies of the Additional Case Example form as required. Helpful tips If you are applying at the same time for Criminal Provider Approval Level 2 and Police Detention Legal Assistance, you may also use the same case examples and work sample/s. If you are applying at the same time for approval as a lead provider for Family and Family Legal Advice Service, you may use the same case examples and work sample/s. If you are applying at the same time for more than one sequential Criminal Provider Approval Level (PAL), for example Criminal PAL 1 4, you will only need to provide information to satisfy the criteria for the highest category. If you are applying for Criminal PAL 1 and PAL 2, you only need to provide information for Criminal PAL 2. If you are applying at the same time for Criminal PAL 1 3 and PDLA, you will only need to provide information for Criminal PAL 3. For further information please refer to the Legal Services (Quality Assurance) Regulations 2011. Active and substantial involvement Active and substantial involvement encompasses participation at two stages: Pre-court or preparation. This includes research, client consent, liaising with the opposing counsel, drafting submissions and court documents Court or proceedings. This includes trials, hearings (where relevant), experience and attendance at court, making opening address, leading evidence, examining and cross examining witnesses and experts, addressing the court, closing addresses and presenting submissions. You do not have to demonstrate all the tasks in every example provided, but you do need to demonstrate that you can manage a case from start to finish. While some case examples may not demonstrate the entire range of involvement compared to others, overall the case examples must demonstrate active and substantial involvement. PART 2 SECTION 3 Case example form There are forms specific to the following areas of law: Civil Criminal (includes Criminal Provider Approval Level 1 4, Police Detention Legal Assistance) Duty Lawyer Family (includes Family Legal Advice Service) Mental Health Māori Land Court and Māori Appellate Court Waitangi Tribunal Refugee and Protected Persons Court of Appeal and Supreme Court. MOJ0052.1-JAN14_APPLICATION FOR APPROVAL TO PROVIDE LEGAL AID SERVICES GUIDELINES PAGE 5 / 10

Please complete the form in full. This information will be used to assess your experience and competence in the area of law for which you are applying. The forms also require you to provide the contact details of a person who can verify the information in each case example. We may contact this person to verify your role in the matter. Please check the section on the case example form that identifies the number of case examples you are required to provide. Part 2 Section 4 Work samples Work samples are documents substantiating the statements made by applicants in their application form about their experience and competence, and demonstrate substantial and active involvement in a particular area of law. Work Samples can include: correspondence to or on behalf of clients, research note, affidavits, opening and closing addresses and examination notes. You may provide photocopies of your work samples, please do not send original documents as they will not be returned. Work samples do not have to be neat, tidy and or typed. Working documents/notes are also accepted. If your work samples are in relation to private clients please ensure you delete or black out the client s name before submitting to us. How many work samples do you have to send in? You are NOT required to submit work samples for every case example. If you are seeking approval in one area of law only, you must provide two work samples which relate to that area of law. If you are seeking approval in more than one area of law then you must provide one work sample for each area of law. If you are unable to provide work samples, you can ask the Secretary to consider other proof of your current legal knowledge and experience. Please outline this in your cover letter. Helpful tip You may provide judgments to demonstrate your involvement, however please direct us to the specific page numbers. Part 2 Section 5 Course/s completed The Secretary will need to be satisfied that you have the appropriate knowledge and skills for the specified area. The Secretary can take into account any relevant professional courses you have successfully completed or participated in as a faculty member. Courses are not mandatory but they can support your competence and experience especially for junior lawyers. The Secretary has determined that the courses or equivalent components as described in Part 2 of the application form are relevant to the specific area of law. If you have completed the course, please provide a copy of the certificate of completion. If you are unsure of the courses you have completed, you may contact the Council of Legal Education and request a list of the courses you have completed. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 6 / 10

Part 3 References You will need references from at least two work-related referees. If you are applying for approval in more than one area of law, you must provide one reference for each area. For example: If you are seeking approval for Criminal legal aid only, you must provide two references, both relating to your Criminal experience; If you are seeking approval for Criminal and Family legal aid, you must provide two references, one for Criminal and one for Family. The two references must be from different referees, although the same referee may comment on your competence and experience for both areas of law; If you are seeking approval for Criminal, Family and Civil legal aid, you must provide three references, one for each area. The references must be from at least two different referees although the same referee may comment on your competence and experience for more than one area of law; Your referees must use the reference form provided in Part 3A or 3B of the application form. Additional references may be provided in the form of a separate letter; and You must provide at least one independent reference from a referee who does not work in the same firm, practice or chambers. We may contact your referees to verify the information you have provided and discuss the comments. Part 3A References Lead provider, provider of specified legal services, employment advocate This reference form applies to applicant s seeking approval as a lead provider, a provider of specified legal services or an employment advocate. If you are applying for approval in one area of law, you must provide at least two references. If you are applying for approval in more than one area of law, you must provide at least one reference for each area of law for which you are applying. Helpful tip You may provide a reference from a Senior Lawyer who has experience at the Court of Appeal/Supreme Court if applying for approval in Court of Appeal/Supreme Court You may provide a reference from the District Inspector or Psychiatric staff if applying for approval in Mental Health. Please ensure that your referees: Are experienced in the area of law for which you are seeking approval; and Have direct experience and recent knowledge of your skill in the area of law or category for which you are seeking approval; and/or Where you are applying for Criminal Provider Approval Level, have a higher Criminal Provider Approval Level than the Criminal Provider Approval Level for which you are applying or are a peer at Criminal Provider Approval Level 4. If you are unable to provide references, you can ask the Secretary to consider other proof of your current legal knowledge and experience. Please outline this in your cover letter. Part 3B References Supervised provider This reference form applies to applicants seeking approval as a supervised provider. We may contact your referees to verify the information you have provided and discuss the comments. If you are seeking approval in one area of law, you must provide at least two references. Please ensure that at least one of your referees is the lead provider that will be supervising you in the area of law for which you are applying. If you are seeking approval in more than one area of law, please ensure that your referees are the people that will be supervising you in the areas of law for which you are seeking approval. In some cases this may be the same person. If this is the case, you will need to provide an additional reference. This could be a law lecturer, law tutor or professionals tutor. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 7 / 10

As a supervised provider, you may undertake the following types of activities under the supervision of an appropriately approved lead provider: Providing advice and information to clients Preparation of cases Undertaking court proceedings Producing documents/correspondence Communicating with Judges, other lawyers, experts, court staff Working with people from different cultural backgrounds Engaging in peer review discussions. Referees must not be related to you, and must be able to comment on your character and suitability to conduct the types of activities described above. Part 4 Supervision arrangements Supervised providers are lawyers who may not have matters assigned to them. Your supervisor must be a lead provider and hold approval/s in the area/s of law in which you seek approval. You must either complete Section 2A (if you are employed), or Section 2B and provide the name/s of the lead provider/s that will be providing supervision relevant to the area/s of law for which you are seeking approval. Section 2A If you are employed, you and your employer must complete section 2A and your employer must provide an undertaking confirming your employment status and the supervision arrangements. Section 2B If you are a barrister sole, or working under the supervision of a lead provider outside of your firm or chambers you must complete Section 2B. The lead provider supervising your work must provide an undertaking and note how you will be supervised. If you are going to be supervised by different lead providers for different areas of law, please ask each lead provider named to complete the undertaking from lead providers form. You can copy and use the additional undertaking from lead provider form for additional undertakings. The undertaking must identify how you will be supervised and how often you will be supervised. It must also confirm that you will be supervised in the following activities: Providing advice and information to clients Communicating with Judges, other lawyers, experts, court staff Preparation of cases Working with people from different cultural backgrounds Undertaking court proceedings Engaging in peer review discussions Producing documents/correspondence. Checklist for completing the application Please refer to the separate checklist below to ensure you have included all the required material with your application. Please ensure that your application and all supporting documents are in the prescribed format, single sided (unbound). Lead Provider (Lawyer) or Provider of Specified Legal Services checklist: Part 1 Information about you, including: Areas of law for which you are applying A certified copy of your Certificate of Standing this must be valid when the application is received by the Ministry Information about your service delivery systems For upheld complaints, copies of NZLS determinations or decisions Your Client Care letter and/or your standard letter of engagement Information about your work experience history Signed declaration. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 8 / 10

Part 2 Areas of law Either Legal experience in the area of law for which you are applying, or Other proof of your current knowledge and experience Required number of case examples relevant to the areas of law in the area/s of law for which you are applying Either Required number of work samples related to the case examples in the area/s of law for which you are applying, or Other proof of your current knowledge and experience Information on course/s completed relevant to the area of law including any certificates. Part 3A References Either At least two references, or Other proof of your current knowledge and experience If you are seeking approval in more than one area of law, there must be one reference for each area of law. Lead Provider (Employment Advocate) checklist: Part 1 Information about you, including: A copy of your membership of the Employment Law Institute of New Zealand Information about your service delivery systems Your Client Care letter and/or letter of engagement (if you have one) Information about your work experience history Signed declaration. Part 3A References Either At least two references in the prescribed format, or Other proof of your current knowledge and experience Supervised Provider checklist: Part 1 Information about you, including: Areas of law for which you are applying A certified copy of your Certificate of Standing this must be valid when the application is received by the Ministry Information about your service delivery systems For upheld complaints, copies of NZLS determinations or decisions Attach your Client Care letter and/or letter of engagement (where applicable) Information about your work experience history Signed declaration. Part 3B References: At least two references One reference must be from the lead provider/s supervising you If you are seeking approval in more than one area of law, there must be one reference from the lead provider supervising you in that area of law. Part 4 Supervision Arrangements: Evidence of arrangements for being supervised by a lead provider and Either Attach undertaking from your employer confirming your employment status and supervision arrangements, or Attach undertaking/s from a lead provider supervising you confirming your supervision arrangement. Incomplete applications The Ministry will return your application if it is incomplete or not in the prescribed format. MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 9 / 10

Where to send your application When you have completed this application form please email to: legalaidprovider@justice.govt.nz or post to: Provider and Community Services Ministry of Justice Level 6, The Vogel Centre, 19 Aitken Street, Wellington 6011 or SX10125, Wellington Withdrawing as a provider If you wish to withdraw as an approved provider, or withdraw as a provider from one or more areas of law, you must immediately notify the Ministry in writing: email to: legalaidprovider@justice.govt.nz or post to: Provider and Community Services Ministry of Justice Level 6, The Vogel Centre, 19 Aitken Street, Wellington 6011 or SX10125, Wellington MOJ0052.1-june13_Application for Approval to Provide Legal Aid Services guidelines Page 10 / 10