Part 5
Precedent documents and resources

This part of the Handbook contains a bank of precedents and resources which have kindly been shared by clinicians from a number of different institutions.¹ The documents have been anonymised² and, although liability for accuracy and legal compliance remains with individual clinics, they are intended to offer practical examples of documents that may be useful in clinics. They are not intended to be definitive or exhaustive and will need to be tailored to reflect an individual clinic’s requirements and in response to legislative and regulatory developments. Not all clinics will consider that they need all of the documents provided here and some clinics will find that they need documents for which no template has been provided.

In some instances, we have included more than one template of the same type of document in order to demonstrate the different approaches taken by different clinics. For example, we have included three different types of student agreements/contract.

Some of the precedents provided here will have been adopted and tailored from other sources, in some cases a many years ago. Original sources are not always known and therefore cannot be credited.

5.1 Contracts and handbooks

5.1.1 Student handbooks

5.1.2 External supervisor handbook: Option 1

5.1.3 External supervisor handbook: Option 2

5.1.4 Student agreement: Option 1

5.1.5 Student agreement: Option 2

5.1.6 Student agreement: Option 3

5.1.7 Client information agreement

5.1.8 Third party confidentiality agreement

5.2 Policies and procedures

5.2.1 Data protection and records retention policy

5.2.2 Privacy notice: Option 1

5.2.3 Privacy notice: Option 2

5.2.4 Client identification policy

5.2.5 Complaints procedure

5.2.6 Social media policy

5.2.7 Student disciplinary code

5.3 Checklists and practice documents

5.3.1 Appointment confirmation letter

5.3.2 Client appointment confirmation

5.3.3 Attendance form: Interview

5.3.4 Interview aide memoire

5.3.5 Client equality and diversity monitoring form: Option 1

5.3.6 Client equality and diversity monitoring form: Option 2

5.3.7 Case close-down checklist

5.4 Learning and teaching

5.4.1 Model module outline for a law clinic including assessment: Option 1

5.4.2 Model module outline for a law clinic including assessment: Option 2

5.4.3 Model module outline for a law clinic including assessment: Option 3

5.4.4 Model module outline for a Streetlaw module including assessment: Option 4

5.4.5 Learning diary

5.4.6 Student evaluation form: Option 1

5.4.7 Student evaluation form: Option 2

5.5 Other useful resources

5.5.1 Client feedback questionnaire: Option 1

5.5.2 Client feedback questionnaire: Option 2

5.5.3 Law School Clinic Advisory Board: Terms of reference

5.5.4 Legal Advice Centre: Annual report

5.5.5 Data audit

5.5.6 Digital and IT resource list

Part 5.1
Contracts and handbooks

5.1.1 Student handbooks

It is good practice for clinics to have a handbook for student volunteers which outlines the way that the clinic operates and sets out the expectations of all clinic participants.

The precise content of the Student handbook will vary from clinic to clinic, depending upon the type of service the clinic provides, the way that it operates and the policies it has in place. You may have a number of different handbooks within your clinic, each tailored to reflect the different processes involved in different projects that you are running.

Precedent student handbooks

There are some excellent materials freely available to download that provide a good starting point for preparing the Student handbook for your clinic.

• Law Works has a Student handbook available to download at: <http://www.lawworks.org.uk/solicitors-and-volunteers/resources/template-student-handbook>

• The London South Bank University Legal Advice Clinic Team also published an operational manual specifically for drop-in clinics, which is available to download at: <https://www.lawworks.org.uk/solicitors-and-volunteers/resources/sample-drop-university-clinic-handbook>

• A version of York University’s Streetlaw handbook is available at: www.gaje.org/abstract-richard-grimes/

You may wish to adapt and incorporate a number of the documents contained elsewhere in Part 5 of this Handbook into your Student handbook. You may notice that some of those documents have been taken from the above resources and edited to suit individual clinic requirements.

5.1.2 External supervisor handbook: Option 1

Supervisor handbook

Important information and contact details

Client enquiry line

Email

Telephone

Address

Staff

Name

Email

Telephone

Important note about contact

• Email: It is best to use the [clinic@university].ac.uk email address to ensure your email is dealt with. All [clinic/centre] staff check this account regularly.

• Phone: It is best to use the direct number [insert]. The [clinic/centre] public line is extremely busy and highly likely to direct you straight to voicemail, which could result in a delay.

Contacting student advisers

Students should not email you directly from their own [personal] email addresses. Any emails sent to you about a case should come from the student email account:

[email]@[university].ac.uk

If you need to speak to a student over the phone, please contact [insert name] and we can arrange a call with the student adviser.

Opening times

Client appointment sessions take place on [day] between [time] and [time].

The office is open: [specify hours]

Location and directions: [specify location and directions]

Areas of law covered at the [clinic/centre]: [specify areas]

Advising process [amend as necessary]

Appointment schedule [two-appointment schedule]

*[During [specify months] there will be no student advisers, which means you will be interviewing and advising the client. You may have an observer who can note-take but cannot assist with the case or drafting the letter of advice.]

Key information for the appointment sessions

• Oral feedback: After the appointment there is scheduled time for you to give feedback to the student. We ask that you give them some feedback on their interview technique/client rapport, etc. and that you discuss the future advice letter with them.

• Feedback form: After the session you will be asked to complete short feedback forms on the students. These are vital to their development and to the student adviser competition. The form will be given to you by the receptionists. Please do not leave without completing these forms.

• Firm name: The clients should not be told which firm you work for – otherwise they may try to contact you there.

• Greeting the client: The students will greet the client in reception and bring them into the appointment room. They will introduce you as their ‘supervisor’.

• Giving advice: During the session it is important that advice is not given to the client by student or supervisor.

• Student-led appointments: Please do let the student lead the interview unless you feel that there is a specific need to intervene. You may find the client tries to speak to you when they find out you are the supervisor. If this happens you may find it easier to make a note to avoid eye contact and to move back your chair slightly.

• Data protection notice: As a data processor for the university you will be asked to sign a data protection form by the receptionists. You will only need to sign this form once.

• Please refer to the Law Society guidance on Data Protection: www.lawsociety.org.uk/advice/practice-notes/data-protection.

Client documents

The 14-day advising period will begin once we have all relevant documents from the client. Clients are asked to bring all documents with them to the interview or provide them to us in advance of their appointment. If they fail to provide us with all their documents seven days after the interview, their case will be closed (discretion will be used where appropriate).

If necessary you are able to remove a copy of the client documents from the [clinic/centre]. These documents will not be redacted. It will be your responsibility to ensure that any documents you remove from the [clinic/centre] are shredded once the advice letter has been sent to the client. If you are taking documents away, you will be asked by the receptionist to sign a book which indicates that it is your responsibility to shred the documents in a timely manner. There will also be a reminder sticker placed on the documents.

If you need to request further documents from a client, please ask them to send the documents to [email]@[university].ac.uk.

If you would prefer an electronic copy, we can scan the client documents and email them to you the day after the client appointment.

Deadlines

You can decide whether you would prefer to complete the skeleton outline with the student adviser during the post-interview meeting or whether you would like them to write it up and send it to you for approval. If you choose the former option, please go straight to Step 3.

Step 1: Receiving the skeleton letter (one day after the client interview)

The skeleton is designed to be a useful tool to ensure letters have focus and structure. Sometimes a student may include an area of law in the skeleton which is irrelevant and realise this during the research and drafting stages. For this reason there may be times when you leave an area in the skeleton but make the observation in the comments section that this may prove irrelevant when the final letter is completed, and state the reason. It is easier to take information out of a draft letter than include it. If the student has included paragraph numbers and you do not like this you may wish to say, and vice versa. The skeleton should have different headings which a student will use within the letter and the relevant subheadings. The facts section should be as full as possible at this stage. Each letter will be different: some will have a series of IRACs for different legal issues around the same problem; some letters will just have one.

• Please note: You can also complete the skeleton with the student adviser in the post-interview meeting. If you choose to do this, you can go straight to Step 3.

Step 2: Skeleton will be returned to your student adviser (two days after the interview)

Your student adviser will expect to receive a checked skeleton from you that outlines whether their research areas and structure are correct.

Step 3: First draft of the letter from your student adviser (seven days after the interview)

• The letter should not contain any of the client’s personal details.

• There should be an accompanying bibliography; if there is not, please request one.

Step 4: Returning the first draft to your students (10–11 days after the interview)

• If you require the students to do further research or drafting, you should return the first draft before the stated deadline.

• If you are unhappy with the spelling, punctuation or grammar, we again ask that you notify [specify centre supervisor] in good time so this can be addressed with the students.

• ‘Track changes’ is the easiest way for the students to see and address the changes/suggestions you have made. It also avoids issues with handwritten notes and allows for a thorough review of the students’ work.

• In addition to track changes, there is also a section at the end of the letter where we ask you to mark some set criteria as excellent, good, average or poor. There is space for you to add some more general comments and observations.

• We check every advice letter before it is posted for spelling, grammar and presentation, but when you return it to us, you are confirming the legal information is correct.

• Trainees should have their letter approved by their supervisor before it is returned to us.

• Your email to the students with the letter attached must state whether you approve its posting.

• We appreciate you have a busy schedule but ask that if there is going to be a delay, you inform us immediately. It is important to the reputation of the [clinic/centre] that we are able to manage the client’s expectations of our service.

• If you send the letter back after this deadline we request that the letter is returned ready to post to avoid further delay to the client.

Step 5: Sending the letter to the client (14 days after the interview)

• The letter will be emailed (or posted if this has been specifically requested by the client) from the [clinic/centre] at 1pm on the stated deadline.

• Unless you inform us in advance that there will be a delay the client will expect to receive the letter 14 days after their appointment.

What are clients expecting?

Client information

Clients are provided with the following information before the interview:

• The [clinic/centre] is a preliminary advice centre and we cannot represent the client or provide ongoing advice.

• If they cancel their appointment with less than 24 hours’ notice, do not attend or arrive 15 minutes or more late, they will not be offered another appointment.

• They need to bring all documents with them to the interview or provide them to us in advance of their appointment. The 14-day advising period will begin once we have all relevant documents.

• We are unable to provide ongoing assistance. In some instances, clients will have further questions or want to clarify points in the letter after it has been sent to them. If this is the case, we may contact you to see if there is any scope for answering those questions and ask the student adviser to draft a response for you to review (provided the questions are not extensive, relate to the letter and are not outside the scope of the advice sought). If this is the case, and you are happy to review the student adviser’s response do let us know, but you are under absolutely no obligation to do so.

Client expectations

The client will expect the following service from the [clinic/centre]:

• To receive the advice letter within 14 days of their appointment at the [clinic/centre].

• To be informed of any delay and to be provided with a new date by which they can expect to receive their advice letter. If you are busy and there will be a delay to the client, we understand this, but we must let the client know in advance and manage their expectations.

• A template letter to the opponent. Wherever possible the students should draft a template letter(s) for the client to use. These letters can arise in a number of situations and circumstances. For example, it may be a letter to the opponent in a case, or some draft text that they can use to send to a relevant person. Template letters/pieces of text should be provided to a client on the very clear understanding that we do not represent the client, we only advise. As a result the letter must be sent by them and they must not purport in any way that we have sent the letter. It is not unusual for the names and addresses, etc. to be left blank for the client to complete, for example [insert name here].

What are the student advisers expecting?

Pre-appointment meeting

The students are likely to be nervous as they will not have dealt with clients before. They may need guidance on the types of questions they should ask. The students should have researched the area of law beforehand and have drafted their questions or topics for questioning.

Appointment

The students should be given every opportunity to ask the client their questions. If you would like the client to repeat some information or clarify a point for your notes then you may intervene. If, at the end of the interview, you feel the students have missed any points you should ask the client these questions. The students should give you the opportunity to ask any questions once they have finished.

Post-appointment meeting

The students benefit from your advice on the research they need to complete and the structure of the advice letter, particularly as each supervisor requires a different approach. A lot of supervisors find that the more time spent discussing the structure and research areas at this stage, the less time is needed later when the letter is sent to them.

Student adviser training

The students have received training on the following areas:

• [Clinic/centre] procedures

• Interviewing a client (open questions, followed by more specific closed questions)

• Drafting

• Researching

• Subject-specific training for each subject area that will arise in their project.

Key information

Student roles

The student adviser will lead the client interview, research and draft the letter. They are expected to have done research before the client interview and contribute heavily in the pre and post-interview meetings.

There will also be a note-taker in attendance at the client interview. Their role is to simply take notes at the appointment, but they can contribute to the pre and post-interview meetings as well. The case details will have been sent to the note-taker in advance of the appointment but they are not expected to have done any research and will not be involved in writing the advice letter.

Conflict of interests

A conflict of interest check is done before the client is seen; therefore no issues of conflict should arise during the client interview. If problems do arise, please inform the session supervisor.

Your details

To ensure that our processes are as smooth as possible it is essential that we have the correct contact details for you. For this reason, when you attend we will ask you to confirm your email address and contact number. This is to ensure we are always up to date and there are no unnecessary delays when sending emails.

Outlook reminders

You will receive Outlook reminders to inform you of your deadlines.

Referrals

Referrals to the Free Representation Unit, the Bar Pro Bono Unit and LawWorks can be made through the [clinic/centre] if the client is in need of representation. Ask the session supervisor for more information.

Security

The students are trained to bring the client into the room and direct them into the chair that is furthest from the door. This is a security precaution.

There are panic buttons in each advising room located on the walls (box with a red top). The button is the red part of the box on the top. In most of our interview rooms these panic alarms are located near the chair furthest from the door and therefore where the client usually sits. For this reason a student in each interview will be wearing a portable panic alarm around their neck.

In addition, at each advice session there is a porter/commissionaire on hand for assistance. They have security training and can immediately contact security if necessary. They are located [insert location].

Most of our advising rooms are used as offices during the day. For security reasons we make a special effort to ensure that they are tidy and that there are not unnecessary objects lying around the rooms when they are being used as interview rooms.

If during a session you have any concerns about a client, please stop the interview and inform the session supervisor.

You do need to be aware of the security precautions taken by the [clinic/centre]. The students will be shown where the panic buttons are before the client appointment sessions.

[Annexes A to C contain example documents you may wish to use]

Annex A: Case details form

Annex B: Skeleton

Facts of the case

Outline the facts of the case to make sure that you have covered them all and everyone agrees what was heard in the interview.

Use the IRAC method:

• Issues: as agreed with your supervisor in the post-interview meeting.

• Rules: state and explain the relevant legal rule.

• Application: apply the rule to your facts.

• Conclude: by explicitly answering the question or taking a position on the issue.

Annex C: Advice letter template for students

Client reference number: [Insert client number]

[Insert date]

Privileged & confidential

[Insert client name and address]

Dear [Insert client title and surname]

Re: Your appointment with the [clinic/centre] on [insert date of appointment]

Thank you for attending your appointment with us and using the services of the [clinic/centre]. Although we cannot provide you with representation in any proceedings and do not hold ourselves out to be a firm of solicitors, our advice is free and we aim to provide the same high standard of service expected by a law firm.

Our advice is based on the following documents you provided:

• [insert titles of documents]

[Please use the IRAC method for your structure]

We hope that the information above provides you with a comprehensive understanding of the legal questions you asked us to address. Should you require any assistance in the future in any other matters, please do not hesitate to contact us.

[EITHER:]

[IF YOU ARE EMAILING THE LETTER:]

We would be extremely grateful if you could take a few moments to complete this short form, as your feedback is important to the development of our services: [insert link].

[OR]

[IF YOU ARE POSTING THE LETTER:]

Please find a Client Questionnaire enclosed; we would be extremely grateful if you could take a few moments to complete this short form, as your feedback is important to the development of our services.

Yours sincerely

[Insert your name]

Student Adviser

Ensure that the Director/Coordinator/Administrator has checked the letter

Note to supervisor: please could you complete the feedback below.

Feedback to student adviser

When providing feedback, please take into consideration that student advisers are either second or final-year students and that this is their first opportunity to write in a non-academic practical environment. Therefore, feedback should be supported with constructive suggestions that enable them to develop their skills for the future.

• Structure of the letter

• Grammar

• Spelling

• Understanding of the law

• Delivery of advice

• Overall standard

• Do you have any further comments and suggestions that may help the student adviser develop their skills?

5.1.3 External supervisor handbook: Option 2¹

[Insert name of clinic]

A law clinic operated by [insert name of university and external partners]

SOLICITOR HANDBOOK²

[INSERT YEAR]

Contents

1. Introduction

2. Key people

3. How [insert name of clinic] works

(A) Stage 1: Query received from client

(B) Stage 2: Allocation of query

(C) Stage 3: Client appointment

(D) Stage 4: Drafting letter of advice to client

(E) Stage 5: Approval of letter of advice to client

(F) Stage 6: Sending letter of advice to client

4. Time-keeping

5. Record-keeping

6. Further information

Schedule 1 : Flowchart of the [insert name of clinic] process

Schedule 2 : Map of the Law School

Schedule 3 : Law school student feedback form

Schedule 4 : Money laundering guidance

1. Introduction

1.1 Thank you for volunteering your time to take part in [insert name of clinic]. [Insert name of clinic] is a pro bono scheme which was launched [insert date] by [insert details of partners] in conjunction with the Law School at the [insert name of university].

1.2 [Insert name of clinic] involves [insert name of law firm] solicitors supervising students in the provision of free legal advice to people in the local community who would not normally be able to access it.

1.3 The aims of [insert name of clinic] are:

(a) to provide free legal advice for members of the local community

(b) to provide law students with practical legal experience.

1.4 [Insert name of clinic] is one of the ways our firm ensures we discharge our responsibility for improving access to justice and upholding the rule of law.

2. Key people

2.1 [Insert key contacts for the clinic within the law firm that provides supervising solicitors]

2.2 Law School
[Insert name] is responsible for [insert name of clinic] at the law school and [his/her] contact details are:
[Insert details]

2.3 Please remember to copy in [insert email address] into all correspondence (internal and external).

3. How [insert name of clinic] works

A flow chart of the [insert name of clinic] process can be found at Schedule 1.

(A) Stage 1: Query received from client

1. [Insert name of clinic]’s clients are members of the local community. Insert name of clinic] is advertised in public places within the community, e.g. community centres, GP surgeries, etc.

2. All contact with clients is handled by the law school’s student committee. Clients contact [insert name of clinic] by telephoning [insert number] or [emailing [insert email].

3. The law school’s student committee speaks to the client and completes a pro-forma that contains information about the client and preliminary details of their query. If the query is something that they know our firm can supervise, they will provide the client with a provisional appointment. All clients will be seen by appointment only.

4. [Insert name of clinic] appointments will take place on [insert day [The Clinical Legal Education Handbook evenings between [insert times] at the university. However, there can be some flexibility in exceptional circumstances. [Insert name of clinics]]] is a term-time only project. It will not operate during university holidays or the examination period. The term dates [insert name of clinic] will operate in [insert academic year] are:

Autumn term      [insert dates]

Spring term       [insert dates]

5. The law school committee will send the pro-forma to the [insert firm name] committee members who are on a rota (committee members are on duty for one week on a rota basis). The [insert firm name] committee member will ask the secretaries to undertake a conflict check and determine whether the query is something that [insert firm name] can assist with.

6. The [insert firm name] committee member will have responsibility for the matter throughout the process. The [insert firm name] committee member is responsible for good record-keeping and should therefore be copied into all emails between [insert firm name] volunteers and students.

7. If [insert firm name] cannot assist the client, the [insert firm name] committee member will inform the law school committee. The matter will be referred to another firm if it is within their expertise.

(B) Stage 2: Allocation of query

1. If [] committee member will identify which specialism is required and which volunteer is next on the rota for that specialism.

2. The [insert firm name] committee member will then approach the insert firm name] can assist the client, the [insert firm name relevant [insert firm name] volunteer with the client pro-forma and ask if the provisional date for the interview is convenient, and if not, ask them to suggest alternatives.

3. If the [insert firm name] volunteer confirms they can take on the matter the [insert firm name] committee member will email the law school committee to confirm:

(a) that [insert firm name] can take on that particular enquiry

(b) that they are the committee member with responsibility for the client

(c) the details of the [insert firm name] volunteer

(d) whether the [insert firm name] volunteer can attend the proposed date for the interview OR suggest a date and time for the interview to be rearranged.

4. The law school will appoint two students to be responsible for the client. The law school students will undertake initial research and email the [insert firm name] volunteer with:

(a) their name and contact details

(b) their opinion as to the key issues raised by the client

(c) their provisional questions to be covered during the client appointment.

5. The [insert firm name] volunteer will need to read the outline provided by the students and discuss this with the students either via email or telephone or on the day of the appointment during the pre-appointment briefing. The students are aware that individual solicitors will approach this in the way that best suits them. In all cases there will still be a preappointment briefing.

(C) Stage 3: Client appointment

1. On the date of the client appointment, the [insert firm name] volunteer will need to attend:

[Insert address]

From the meeting point the [insert firm name] volunteer will be guided by one of the student committee to a room in the law school where the client interview will take place. (A map is attached at Schedule 2. The Law School building is [insert number] on the map.)

2. [Insert firm name] volunteers will be expected to get to the law school for the client appointment. Available transport options are:

[Insert details]

Expenses Insert firm name] volunteers may reclaim travel expenses in the usual way by [insert details].

3. A law school committee member will meet the [insert firm name] [volunteer at the entrance to the law school.

4. If [insert firm name] volunteers have any difficulties getting to the appointment, please call the student coordinators on [insert number]. If you cannot get through then you should call [insert details].

5. In the unlikely event that an emergency should arise during a clinic session (for example, a client or student falling ill) you should call the university’s Security Control team on [insert number]. One of the student committee should then contact the Clinic Director on their mobile.

6. On the day of the appointment, the [insert firm name] volunteer should arrive 30 minutes beforehand to enable a pre-appointment briefing to take place with the law school students. During this briefing you should liaise with the law school students about which questions they should ask the client, advise them as to the most pertinent issues in the client’s case and suggest the best way to handle the appointment as a whole.

7. No advice should be given during the client appointment. All advice must be given in writing. The client will receive a letter of advice within two weeks of the appointment.

8. The student team will consist of two students who will be expected to lead the appointment. The appointment should usually last no longer than 30 minutes. Ideally the [insert firm name] volunteer should only need to observe the appointment to ensure the students are asking the right questions, getting the right level of information and are not providing any face-to-face legal advice. If it is necessary to intervene, we would ask that the reasons for doing so are clearly explained to the students in the post-appointment briefing so that they can learn from the experience as much as possible.

9. After the appointment, the [insert firm name] volunteer will need to conduct a post-appointment briefing with the law school students. Ideally this should take place immediately after the appointment has ended and should not take more than 30 minutes. The law school students should be provided with an outline of the key issues they need to focus on in their research (if relevant) and in their letter of advice. The students should be reminded that they must send their attendance note and draft letter of advice to the [insert firm name] volunteer within of the appointment. Please remember to copy [insert email seven days address] into all correspondence with the law school students.

10. The [insert firm name] volunteers should only be supervising the work of the law school students. They are not being asked to take on that work themselves. The law school students retain responsibility for the work for each client, although the [insert firm name] volunteer has ultimate responsibility for the content of the advice given.

(D) Stage 4: Drafting letter of advice to client

1. The law school students will conduct any further research and draft a letter of advice to the client. The law school students may ask a relevant law lecturer at the university to check any aspects of the law that they refer to in their letter of advice. For reasons of confidentiality, the specific facts of the case and the identity of the client will not be disclosed to the law lecturer who helps the student with research issues. [Insert name] should check the format of the letter before it is forwarded to [insert firm name].

2. Once the draft letter of advice is completed, the law school students will forward it to the [insert firm name] volunteer who will finalise and approve it or provide feedback and invite the students to redraft. This process can be facilitated by the [insert firm name] committee member; however, in practice we have found that the [insert firm name] volunteer often prefers the direct contact with the law school students.

(E) Stage 5: Approval of letter of advice to client

1. The [insert firm name] volunteer will need to review the draft letter of advice. Ideally the [insert firm name] volunteer will suggest changes and allow the students to make those changes, rather than amend the letter themselves. This will allow the students to learn more effectively from the experience. However, due to the for the client to two-week deadline receive the letter after the appointment, the [insert firm name] volunteer may need to occasionally take a more active role.

2. The [insert firm name] committee member is there to assist the [insert firm name] volunteer with undertaking further research, amending the letter and liaising with the law school students.

3. The [insert firm name] volunteer or, if the volunteer has less than three years’ PQE, someone with more than three years’ PQE in the appropriate area of law will need to approve the final draft of the letter. The [insert firm name] committee member will email the approved letter to the Clinic Director.

4. The [insert firm name] volunteer and [insert firm name] committee member should complete a feedback form with regard to the students’ performance (see the Law school student feedback form at Schedule 3).

(F) Stage 6: Sending letter of advice to client

1. The Clinic Director will sign the letter of advice on behalf of the law school and send it to the client.

2. There will be no ongoing legal representation by the law school students or the [insert firm name] volunteer on behalf of the client. The letter of advice may signpost the client to other sources of assistance.

3. The client will be sent a feedback form by the law school regarding [insert name of clinic].

4. Time-keeping

Any time spent on [insert name of clinic] by [insert firm name] staff should be recorded under file number [insert]. Time spent on [insert name of clinic] is deemed to be valuable time by [insert firm name].

5. Record-keeping

5.1 While each case is ongoing, the client’s file will be securely kept in the law school pro bono room. Students have been trained on confidentiality requirements.

5.2 All emails or documents [insert firm name] receive or create should be e-filed on the [insert name of clinic] folder (matter number: [insert]) under the correct client. The client folder will be called the client first initial and the first three letters of their last name (e.g. A KET).

5.3 The folder looks like this:

Insert image]

Please ask a committee member if you need any assistance. They will file all client emails and documents into which they are copied. So please remember to copy them into all emails between you and the law school students.

5.4 Please make sure the following documents are e-filed:

(a) Client pro-forma.

(b) Summary of issues and questions prepared by the law school students.

(c) Draft letter of advice provided by the law school students.

(d) Final letter of advice approved by [insert firm name] volunteer.

5.5 The [insert firm name] committee member will ensure that a spreadsheet is kept up to date throughout the matter (document number [insert]).

6. Further information

If you have any questions about [insert name of clinic] please contact: [insert details].

Schedule 1: Flowchart of the [insert name of clinic] process

For emails you send to the university, please remember to copy in: [insert email address]

Schedule 2: Map of the Law School [insert map]

Schedule 3: Law school student feedback form

Professional volunteer feedback

Student volunteers

Professional volunteer

Professional committee member/Clerk

Client reference

Date of appointment

1.     With 10 being the highest score and 1 the lowest, please rate the students in respect of the following:

2.     Was there anything that the students did particularly well?

3.     Is there anything that the students should aim to improve upon?

Signed:_______________________

Professional volunteer/Professional committee member/Clerk

(Delete as appropriate)

Dated:_______________________

Once completed, please email to [insert email address].

Schedule 4: Money laundering guidance

[Insert your clinic’s guidance on money laundering procedures here. There is an example at Part 5.2.4].

5.1.4 Student agreement: Option 1

Participant contract

This contract is between you, a participant in the [insert clinic name], and [insert clinic name]. It sets out your primary obligations to the [insert clinic name] and our commitment to you. You will find further details of the procedures you must follow during your work in the [insert clinic name] Handbook.

1. General principles

The [insert clinic name] undertakes a range of pro bono activities. All activities carried out in the name of the [insert clinic name] will be insured against usual risks and this includes professional indemnity cover.

Participants in the [insert clinic name] undertake a designated induction and training programme and must enter into this contract as a pre-requisite to participation in the [insert clinic name].

All of the [insert clinic name] activities are supervised by professionally qualified personnel and the [insert clinic name] is managed by a Director who meets current Solicitors Regulation Authority (SRA) supervisory requirements.

The clinic activities take place at such times and in such places as shall be notified, following consultation where possible with participants.

The activities are designed to provide a legal service that meets expected professional standards and complies with regulatory requirements. The activities provide participants with a sound and structured educational experience. In the event that any of the activities do not serve this educational aim the [insert clinic name] reserves the right, subject to professional obligations, to withdraw from the activity in question. However, if professional obligations conflict with educational aims then our professional duty will prevail.

Every participant will, so far as is possible, receive detailed feedback on all aspects of his or her contribution to the [insert clinic name]. Some participants will be assessed on their performance in the [insert clinic name] while others will participate on a pro bono basis. The operational rules will be the same for both.

Upon successful completion of the allocated time in the [insert clinic name] participants will be awarded a Certificate of Participation.

2. Organisational matters

In order to serve the professional and educational aims of the [insert clinic name] all participants must comply with the following:

2.1 Attend punctually for any scheduled [insert clinic name] session.

2.2 If unable to attend, inform [insert clinic name] staff according to the procedures set out in the [insert clinic name] Handbook.

2.3 Dress in a manner appropriate to working in a solicitor’s office at any time when meeting clients face to face.

2.4 Work involving contact with clients is to be undertaken only at times when a member of [insert clinic name] staff is available, unless prior authorisation is given.

2.5 No advice of any kind can be given without first getting approval from a [insert clinic name] solicitor. Advice may only be given in writing. You must never give oral advice.

2.6 No correspondence of any nature can be sent out without a member of the [insert clinic name] staff’s counter signature. Advice letters must be counter-signed by a [insert clinic name] solicitor.

2.7 You must tell clients that the [insert clinic name] is supervised by a qualified solicitor with a practising certificate.

2.8 There must always be at least two participants in attendance during any face-to-face client contact.

2.9 All casework where a client’s personal details or the nature of the case affecting the client could be identified must be carried out either in the [insert clinic name] office or in other premises approved by [insert clinic name] staff.

2.10 To preserve the confidentiality of the [insert clinic name]’s cases, you must not receive personal visitors or personal telephone calls on premises being used by [insert clinic name].

2.11 No documentation relating to a case, whether in hard or electronic copy, shall be kept in any place other than the [insert clinic name] office or other place approved by [insert clinic name] staff. For example, no documentation relating to a client’s case may be kept on a participant’s own computer or mobile devices.

2.12 In order to enable you to actively reflect on your experience and so that you can share your experiences with other participants you must attend a weekly firm meeting and a weekly meeting with all clinic participants and [insert clinic name] staff. This is an essential part of your participation in the [insert clinic name] and will ensure that you and other participants get the most out of the experience.

2.13 All participants must provide a copy of their up-to-date study timetable, contact address and telephone number to [insert clinic name] staff. This is because [insert clinic name] staff may need to contact you and therefore must know where you are and how to do so.

3. Professional and ethical matters

In order that we meet the professional standards set by the SRA and our other obligations as ethical lawyers we must observe the following:

3.1 Everyone working within the [insert clinic name] must be familiar with the rules regulating the work of solicitors, in particular the Solicitors Regulation Authority Standards and Regulations. A copy of the relevant Standards and Regulations, and guidance to them, is available in the [insert clinic name] office and on the SRA website: www.sra.org.uk.

3.2 We are unable to take or continue any action on behalf of a client against [insert university name], its governors, subsidiaries, employees or current students, any former client or in any other circumstance where a conflict of interest has arisen or might arise. In such cases and where possible, the client will be referred elsewhere, after the reason for our inability to act – conflict of interest – has been explained.

3.3 Participant(s) must ensure that at all times their conduct is in accordance with the profession’s regulatory framework and the [insert clinic name]’s Equal Opportunities policy. This applies to all conduct – conduct of the case, conduct when dealing with clients, [insert clinic name] staff and third parties and conduct between participants.

3.4 A breach of professional conduct may result in the offending participant being removed from the [insert clinic name].

3.5 Participants must ensure that their files are managed in accordance with the [insert clinic name] protocols. A failure to do so may be treated as a breach of required professional standards. It may also mean that the file will be taken over by other participants or [insert clinic name] staff and no Certificate of Participation in the [insert clinic name] will be issued to the offending participant. [Insert clinic name] staff will advise how relevant protocols can be met and the operational rules are set out in the [insert clinic name] Handbook.

3.6 No decision to remove a participant from the [insert clinic name] programme will be made without the participant being given the opportunity to explain his or her behaviour. The Director will then discuss the matter with [insert clinic name] staff before making a decision. If a participant is removed from the [insert clinic name] a right of appeal will lie to the [insert law school name] Head of School who will conduct the appeal as he or she shall think fit, subject to rules of natural justice.

3.7 For reasons of confidentiality, you must not discuss or disclose to any persons other than other participants, or [insert clinic name] staff, matters confidential to the [insert clinic name] and its clients.

3.8 For reasons of confidentiality, files must not normally be removed from the [insert clinic name] office or other authorised premises. If it is necessary to take a file from the [insert clinic name] office or other authorised premises you must first obtain permission to do so from [insert clinic name] staff and the file must be signed out and returned as soon as the purpose for its removal has been met.

3.9 Your duty not to discuss or disclose to any unauthorised person matters confidential to the [insert clinic name] or any other matters which may come to your knowledge through your clinical work, continues after you have ceased to participate in the [insert clinic name].

3.10 In order to comply with professional rules and procedures and principles of good practice, all advice given and work done by participants must be carried out under the overall supervision of a solicitor with a practising certificate.

3.11 It is a breach of these rules to do any of the following without [insert clinic name] staff authority:

– see or contact a client

– send out any material of any sort, whether on headed or un-headed paper, in connection with any matter the [insert clinic name] is actually or potentially handling, or has handled

– agree to take any other step for a client.

3.12 In order to comply with professional rules, correspondence, incoming and outgoing, must be seen and checked by [insert clinic name] staff. A all [insert clinic name] solicitor must approve and counter-sign all advice letters.

3.13 The decision as to whether the client can be offered advice will only be taken with the agreement of [insert clinic name] staff, after consultation with you.

3.14 No individual participant may continue to deal with a case if it appears that he or she may have any personal involvement or vested interest in the client’s problem. If any such involvement is identified, the student must consult a member of the [insert clinic name] staff before discussing the matter further with the client.

4. Payment in money or kind

Due to the nature of the [insert clinic name]’s work and structure there are restrictions imposed on payments for and to the [insert clinic name ]. These are:

4.1 We do not charge clients for our services.

4.2 We do not handle clients’ money and no payment of any kind should be taken from or for a client.

4.3 The offer of any gift by a client or any other person in connection with [insert clinic name] work may be permissible but must be referred to a [insert clinic name] solicitor for approval.

5. Assistance under the Access to Justice Act 1999

Even though, mainly for resource reasons, we do not normally represent clients beyond initial advice, and even if we do not currently use public funding for legal services, we are professionally obliged to:

5.1 Inform all clients of the possibility of assistance under the Act (known as ‘legal aid’).

5.2 Give clients a copy of the Information for clients leaflet which contains reference to the legal aid scheme.

6. Client care

There are strict obligations on us in terms of ensuring requisite standards of client care. To comply with these we must ensure the following:

6.1 All clients advised by the [insert clinic name] are given a copy of the This should be given to the client at the commencement of the first interview. The contents of this should be explained clearly to the client.

6.2 Clients may only be given advice in writing and only after proper consideration and research and with the approval of a [insert clinic Information for clients leaflet.

6.3 No casework can be undertaken unless the client has signed the Information for clients leaflet.

6.4 It is essential that you complete work in accordance with the timescales set out in the Handbook or agreed with [insert clinic name] staff. You must let [insert clinic name] staff know immediately if this is not going to be possible.

6.5 Where an appointment for a client is made, participants will be expected to keep that appointment. In the event of a participant not being able to keep an appointment, for example due to illness, he or she must inform [insert clinic name] staff in accordance with the procedure laid down in the Handbook.

The above rules and requirements are there for good reason. We now ask you to sign this contract to indicate your agreement and commitment.

We hope that you enjoy the experience of working in the [insert clinic name]. You should find that if you follow the procedures your learning will be greatly enhanced and you will make a very valuable and much appreciated contribution to unmet legal need.

Please read the following and, if you agree to be bound by it, sign the form where indicated.

Thank you for your interest and anticipated involvement.

Declaration

I have read, understand and accept the terms of this contract so far as it relates to me and undertake to respect the confidentiality of the [insert clinic name] and its clients at all times. I acknowledge that I may be removed from the [insert clinic name] if I fail to attend a meeting with a client or any firm or case management meeting without good reason or if I breach the rules of professional conduct. I undertake to read the [insert clinic name] Handbook and abide by its procedures.

Signed by participant ……………………………………………

Name of participant ……………………………………………

Date                            ……………………………………………

Signed by [insert clinic name]

Director                       ……………………………………………

Name of Director

[insert director name]    ……………………………………………

Date                               ……………………………………………

5.1.5 Student agreement: Option 2

Student volunteer contract¹

This contract is between you and [insert name of university]. It sets out only your primary obligations. You will find further details of the procedures that you must follow during your work with [insert name of clinic ] in the Student handbook, the policies referred to in this agreement and other documentation provided to you by [insert job title²].

Organisational/internal matters

1.1 Advice clinic sessions

1.1.1 Clients will telephone [insert name of clinic] for an appointment which will be held on days fixed in advance by the Clinic Director[s].

1.1.2 Where allocated to a client case as a student volunteer, you will respond promptly to [insert name or job title to confirm that you are able to attend your allocated appointment.

1.1.3 To ensure the smooth running of the client appointment you must arrive at [insert venue] at least 45 minutes before the scheduled appointment.

1.1.4 After the appointment you will need to allow at least one hour for your post-appointment review with the professional volunteer (supervising solicitor or barrister), follow-up work and paperwork. All client files must be maintained in accordance with the procedures laid down in the Student handbook. Written notification will be given of any changes.

1.1.5 You must attend punctually during the agreed hours.

1.1.6 If you are unable to attend as agreed, it is your responsibility to inform [insert name] according to the procedure set out in the Student handbook.

1.1.7 You are expected to dress in a manner appropriate to working in a law firm.

1.2 Contact with clients

1.2.1 No advice of any kind can be given without first checking with the professional volunteer. Advice may only be given in writing. You must never give oral advice.

1.2.2 Before a client leaves the interview, you must ensure, so far as is possible, that you have checked that all relevant information has been obtained. This includes a signed [Client information agreement]³ and the required identification documents. All documentation should be stored on the paper file in a locked filing cabinet.

1.2.3 No correspondence of any nature can be sent out without the professional volunteer’s authorisation and a Clinic Director’s signature.

1.2.4 You must tell clients that [insert name of clinic] is supervised by professional volunteers who are qualified solicitors and barristers with practising certificates.

1.2.5 The decision as to whether any advice on a case can be given will be made by the professional volunteer in consultation with you. In the event of disagreement, the professional volunteer will make the final decision.

1.2.6 You must never include any information that could identify the client or the case in the body of an email. All such information should be included in password-protected Word documents. You should never state what the password is in the email to which the document is attached.

1.3 To preserve the confidentiality of [insert name of clinic]’s affairs, you must not receive personal visitors or personal telephone calls in the clinic office.

1.4 You must comply with the university’s Data Protection policy and Information Security policy at all times.⁴ You must also:

1.4.1 complete the mandatory data protection training required by the Clinic Director[s] prior to participation in the clinic

1.4.2 comply with any instructions that you are given by the Clinic Director[s], administrator(s) and/or professional volunteer(s) in relation to data protection

1.4.3 ensure that you comply with the clinic’s Privacy Notice⁵ when handling client data.

Please read the documents referred to in this section carefully prior to your participation in [The Clinical Legal Education Handbook insert name of clinic]. Please note that these documents may be updated from time to time and therefore you should check you are familiar with the most recent version.

1.5 In order to enable you to reflect on what you have learnt you will be invited to a meeting to discuss your experience. This is an essential part of your participation in the clinic.

1.6 Working in pairs is also an essential part of your [insert name of clinic] experience. It develops communication skills and confidence, and means responsibility and workloads are shared and work double-checked.

1.7 A student feedback form must be completed at the end of each case.

1.8 All student volunteers working in [insert name of clinic] must provide a copy of their most up-to-date telephone number to the Clinic Administrator. This is because we may need to contact student volunteers about the case they are working on.

Professional and ethical matters

2.1 We are unable to take any action on behalf of a client against the [insert name of university], any of its branches or subsidiaries, its governors, employees, current students or any former client of [insert name of clinic]. The client may be signposted elsewhere, after the reasons for our inability to act have been explained.

2.2 Professional responsibilities and confidentiality

2.2.1 The duty of confidentiality extends to all [insert name of clinic] matters.

2.2.2 Everyone working within [insert name of clinic] must be familiar with the Solicitors Regulation Authority’s Standards and Regulations. In particular, the SRA Principles and the parts of the SRA Code of Conduct for Solicitors, RELs and RFLs on confidentiality. A copy of the Standards and Regulations is available [insert location].⁶

2.2.3 Student volunteers must ensure that at all times their conduct is in accordance with the profession’s conduct rules. This applies to all conduct – conduct of the case, conduct when dealing with the professional volunteer and [insert name of clinic] staff, and conduct as between student volunteers.

2.2.4 A breach of professional conduct may result in the student volunteer being removed from [insert name]. This is a matter for the Clinic Director[s] [in conjunction with the professional volunteer where appropriate].

2.2.5 Student volunteers must ensure that their client file is managed in accordance with the [insert name of clinic] protocols. A failure to do so will be treated as a breach of the professional conduct rules. It will also mean that the client file cannot be signed off as closed. The Clinic Director[s] can advise how relevant protocols can be met.

2.2.6 For reasons of confidentiality you must not discuss or disclose to any persons, other than your fellow student volunteer(s), the professional volunteer, the Clinic Coordinator(s), the Clinic Administrator(s) or Clinic Director[s], matters confidential to [insert name of clinic] and its clients.

2.2.7 For reasons of confidentiality, client files and any documents relating to a client’s case must not normally be removed from the clinic office. You agree that you will only undertake work relating to the client’s case in the clinic office, using the computers available and in accordance with the provisions of the Student handbook. You further agree that you will only save electronic documents in the electronic folder set up for your case on the secure clinic drive.

2.2.8 For reasons of confidentiality you must only use your university email address to send and receive any communications relating to your case. You must switch off any automatic forwarding and/or links from the university account to personal accounts.

2.2.9 Your duty not to discuss or disclose to any other persons matters confidential to [insert name of clinic], its clients, or any other matters which may come to your knowledge through your work, continues after you have ceased to participate in [insert name of clinic].

Supervision

3.1 All advice given and work done by student volunteers must be under the overall supervision of their assigned professional volunteer (supervising solicitor or barrister).

3.2 It is a breach of these rules to do any of the following without the authority of the professional volunteer:

3.2.1 See or contact a client

3.2.2 Send out any material of any sort, whether on headed or non-headed paper, in connection with any matter [insert name of clinic] is actually or potentially handling, or has handled

3.3.3 Agree to take any other step for a client.

3.3 All correspondence and outgoing documentation must be authorised by the professional volunteer and signed by a Clinic Director.

3.4 The decision as to whether the client can be offered advice will only be taken with the agreement of the professional volunteer, after consultation with the student volunteer.

3.5 No individual student volunteer may continue to deal with a case if it appears that they may have any personal involvement or vested interest in the client’s problem. If any such involvement is identified, the student volunteer must consult the professional volunteer before discussing the matter further with the client.

Money

4.1 We do not charge clients for our services.

4.2 No payment should be received from or on behalf of a client.

4.3 The offer of any gift by a client or any other person in connection with [insert name of clinic] must be referred to the professional volunteer and the Clinic Director[s].

4.4 We have a professional duty to inform all clients of the possible availability of the assistance under publicly funded advice and representation (formerly known as ‘legal aid’). This is covered in the Client information agreement.

Client care

5.1 All clients advised at [insert name of clinic] must be given a copy of the Client information agreement. A copy of this document will have been sent to the client, along with the letter confirming their appointment. The client will be asked to bring the document with them. However, you should have a spare copy with you in case they forget. The contents of the Client information agreement should be explained clearly to the client at the start of the first appointment.

5.2 Clients may only be given advice in writing and only after proper consideration and research and with the approval of the professional volunteer.

5.3 No casework can be undertaken unless the client has signed the Client information agreement and provided the required identification documentation.

5.4 It is essential that you complete work in accordance with the timescales set out in the Student handbook or agreed with the professional volunteer. You must let the professional volunteer and Clinic Director[s] know immediately if this is not going to be possible.

5.5 Where an appointment for a client is made, the student volunteers must keep that appointment. In the event of a student volunteer not being able to keep an appointment, they must inform the Clinic Director[s] and the professional volunteer in accordance with the procedure laid down in the Student handbook.

I have read and accept the terms of this contract and undertake to abide by those terms and to respect the confidentiality of [insert name of clinic] and its clients at all times.

I consent to my personal data, including my name and contact details, being shared with the client and with the [insert name of clinic] partner firms and chambers.

I understand I will be removed from [insert name of clinic] if I fail to attend an appointment with a client or any case management meeting without good reason or if I breach the rules of professional conduct or any of the rules contained within this agreement.

I further understand that if I breach the university’s conduct rules in the course of my involvement with [insert name of clinic] I may be subject to the university’s student disciplinary procedure⁷ and that if I breach the rules on client data that are contained in the Student handbook and the Privacy notice that may lead to the university having to notify the Information Commissioners

Office, which could result in significant fines and reputational damage for the university.

I undertake to read the [insert name of clinic] Student handbook and abide by its procedures.

Name of student               …………………………………………………………..

Signed                                …………………………………………………………..

Date                                   …………………………………………………….......

5.1.6 Student agreement: Option 3

[Insert name of clinic]: Clinic membership rules

By joining the [insert name of clinic], I agree to:

1. Be an active member of the clinic until there is formal intimation that I no longer wish to take part in clinic activities, graduate or am removed from clinic membership in terms of its rules and procedures.

2. Uphold and protect the confidentiality of all clients without exception. In particular, this means that confidential details of cases should only be discussed with law clinic staff and other members on a need-to-know basis.

3. Act with respect to clients, members of the public, one another, and clinic staff.

4. Complete all required casework diligently and expeditiously.

5. Give reasonable notice or find suitable replacements if I cannot make an appointment with a client.

6. Check my university email every day and respond timeously to emails about clinic matters.

7. Ensure that I uphold all my clinic obligations, most importantly (but not only) to clients, and if I am not going to be able to do so to give ample notice to my fellow case advisor and relevant clinic staff.

I declare that I have read and understood the above.

Signed:

Full name:

Date:

5.1.7 Client information agreement¹

1. About [insert name of clinic]

1.1 The [insert name of clinic] enables students studying at the [insert name of university] to obtain practical legal experience. Students are not professionally qualified but will be supervised by solicitors or barristers holding practising certificates. The [insert name of clinic] Director, [insert name] and/or a student [insert name of clinic] coordinator will also be in attendance on appointment days.

1.2 The solicitors supervising [insert name of clinic] cases are regulated by the Solicitors Regulation Authority (SRA) and the barristers are regulated by the Bar Standards Board (BSB). This means that [insert name of clinic] must meet all of the relevant standards about managing a law office, conducting casework professionally and otherwise looking after its clients. If you would like to see what these rules are in detail, you can do so by visiting the SRA website at: http://www.sra.org.uk and clicking on ‘SRA Standards and Regulations’ and by visiting the BSB website at: http://www.barstandardsboard.org.uk and clicking on ‘BSB Handbook’.

2. What you can expect from [insert name of clinic]

2.1 Upon receiving your request for advice from [insert name of clinic] you will be asked to provide some personal details that will be shared via email with the supervising solicitors and barristers in [insert name of clinic] before an appointment can be arranged.

2.2 An appointment will be made for you to attend [insert name of clinic] where you will be interviewed by two student volunteers. The student volunteers will not be able to give you any advice at this appointment. After your appointment the student volunteers will discuss the case with a supervising solicitor or barrister. If at this stage it appears that we will be unable to give you advice, due to the nature of the case, pressure of time or complexity, you will be informed in writing. In such cases, you will, wherever possible, be given information on other organisations that may be able to help you.

2.3 If [insert name of clinic] is able to offer advice the letter of advice will normally be sent to you by post within 14 days of the appointment. If for any reason it is not possible for us to meet this deadline, you will be informed either in writing or by telephone.

3. What service can [insert name of clinic] offer?

3.1 [Insert name of clinic] provides an advice-only service. This means that we cannot represent you in court or at any other hearing. However, where possible [insert name of clinic] will signpost you to an appropriate body or organisation. We do not offer assistance beyond initial advice, for example we cannot do any letter-writing or form-filling on your behalf.

3.2 Should you need to contact [insert name of clinic] at any time please email [insert email address] or call [insert number] and leave a message. A member of our team will get back to you as soon as possible. Please note that [insert name of clinic] is not open during weekends.

3.3 You may end your instructions to us in writing at any time. Once we have agreed to take on your case, we may decide to stop acting for you only with good reason. We must give you reasonable notice that we will stop acting for you.

4. What will it cost?

4.1. [Insert name of clinic] does not charge for its services. However, you should be aware of the following points:

4.1.1 You may be eligible for publicly-funded help and representation to pursue or defend your claim (formerly known as ‘legal aid’). [Insert name of clinic] can signpost you to a solicitor or barrister who may be able to obtain such assistance for you. If you are eligible to receive assistance you may be liable to pay a contribution. You may also be liable to repay your costs from any money or property recovered.

4.1.2 If you decide to pursue court or tribunal proceedings you may be ordered to pay the costs of your opponent if you lose your case.

4.1.3 [Insert name of clinic] cannot brief barristers on your behalf.

5. Insurance

5.1 [Insert name of clinic] has insurance cover provided by the [insert name of university], [insert names of any partner organisations that provide lawyers to supervise] who supervise [insert name of clinic].

5.2 The university’s insurance policy is held with: [insert details]. Their address is: [insert address]. Our policy number is: [insert number]. The cover is for up to [insert amount] for any one claim. If we do fall short of the expected standard we are obliged to advise you of this and of your right to complain and seek advice and possible compensation. Details of insurance cover held by [insert names of partner organisations] are available upon request. If the university or any of the other parties named above have to make a notification under the terms of their insurance policy, information about you and your case may be seen by our insurers.

6. What we expect of you

As our client, we expect you to be cooperative, frank and truthful about all aspects of your case and to tell us as soon as possible about any changes in your circumstances as they affect your case.

7. What if I wish to make a complaint?

7.1 We hope you will be satisfied with the service provided by [insert name of clinic]. If you are unhappy please ask to see a [insert name of clinic] Director and talk things over to see if you can solve the problem. If you wish to complain in writing, you should address your complaint to:

[Insert details]

We have a written procedure in place that details how we handle complaints which is available upon request from [insert name], [insert name of clinic] Director, who can be contacted on [insert number].

We have eight weeks to consider your complaint. If we have not resolved it within this time you may complain to the Legal Ombudsman.

If you are not satisfied with our handling of your complaint you can ask the Legal Ombudsman to consider the complaint. The Legal Ombudsman can be contacted as follows:

– By post: PO Box 6806, Wolverhampton WV1 9WJ

– By telephone: 0300 555 0333 or 0121 245 3050

– By email: enquiries@legalombudsman.org.uk

Normally, you will need to bring a complaint to the Legal Ombudsman within six months of receiving a final written response from us about your complaint or within six years of the act or omission about which you are complaining occurring (or if outside of this period, within three years of when you should reasonably have been aware of it).

The Solicitors Regulation Authority could also help you if you are concerned about our behaviour. This could be for things like dishonesty, taking or losing your money or treating you unfairly because of your age, a disability or other characteristic. You can raise your concerns with the Solicitors Regulation Authority via its website or by calling 0370 606 2555.

If you are unhappy about the way we manage your personal information you have a right to object to the Information Commissioner, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF (Tel: 0303 123 1113)/https://ico.org.uk/make-a-complaint/²

8. Student advisers and supervisor

8.1 Your student advisors are: [insert names]

They are being supervised by: [insert name of supervising lawyer] of [insert name of university or name of organisation of supervising lawyer if different] who has overall responsibility for supervision of your matter.

9. Data protection

9.1 All cases are treated in the strictest confidence in accordance with best practices of the legal profession. This means your case will normally only be discussed by you, the student volunteers, university staff and students involved in the operation of [insert name of clinic] and staff from the partner law firm or chambers involved in your case. Information obtained during these discussions on or in relation to your case will be deemed ‘personal information’ as it relates to yourself and or your associates as identifiable individuals.

9.2 [Insert name of clinic] complies with the Principles set out in the Data Protection Act 2018 and the General Data Protection Regulation (GDPR). Personal information shall be processed in accordance with the Privacy notice contained at Appendix 1 of this agreement by university students and staff working within [insert name of clinic] and by staff from [insert name of any partner organisations that provide supervising lawyers] for the purpose of providing legal services to you, and for the purpose of case management and service delivery. Personal information will not be disclosed to third parties except as above, in accordance with the Privacy notice set out at Appendix 1 and:

• where you have explicitly requested or consented to the personal information being shared with a named third party

• where disclosure of personal data is required by law and where such disclosure is not protected by professional legal privilege and does not first require consent to be obtained

• where parties conduct audit or quality checks on our practice. These parties are required to maintain confidentiality in relation to your case

• where it is required by our regulators, the Solicitors Regulation Authority or the Bar Standards Board

• where it is required under the Proceeds of Crime Act 2002 which imposes a duty on lawyers to report certain information to the authorities, where, for example, it seems that some assets in your case were derived from a crime. If we have to make a report we may not be able to tell you that we have done so.

External firms or organisations may conduct audit or quality checks on our practice from time to time. They may wish to audit/quality check your file and related papers for this purpose. It is a specific requirement imposed by us that these external firms or organisations fully maintain confidentiality in relation to any files and papers which are audited/quality checked by them.

10. Storage of personal information

In providing services to you, [insert name of clinic] shall store documents relating to your case in hardcopy and/or electronic format. We shall have in place technical and security measures which shall be of a standard generally observed in the legal profession. We shall store client records containing personal information securely for a period of not less than six years after the date on which your letter of advice is sent, unless there is an explicit requirement to destroy the information before that period, or retain the information for longer.

11. [Proof of identity

11.1 The law requires solicitors to get satisfactory evidence of the identity of their clients and sometimes people related to them. This is because solicitors who deal with money and property on behalf of their client or advise clients on matters relating to money can be used by criminals wanting to launder money.

11.2 To comply with the law, we need to get evidence of your identity as soon as possible. Details of the documents that you will need to provide us with were set out in our letter to you dated [insert date].³ If you cannot provide us with the specific identification requested, please contact us as soon as possible to discuss other ways to verify your identity. We will not be able to provide any advice to you until you have provided the identification we require.]

I confirm that I have read the above and accept the terms set out above and I hereby consent to [insert name of clinic] handling my case on the basis described in this document.

I consent to members of [insert name of clinic], namely [insert name of university], [insert names of partner organisations providing supervising lawyers] using, sharing and processing my personal data (including sensitive personal information) in the ways explained above and in the Privacy notice at Appendix 1 and in order to undertake identity and conflict of interest checks, to comply with statutory reporting obligations including those in respect of money laundering and fraud, and in order to deal with my request for advice. Such personal data will be safely stored in accordance with current data protection legislation at all times.

I consent to my information being shared between [insert name of university], [insert names of any partner organisations providing supervising lawyers] by email.

Name of client: ………………………………………………

Signed :              ……………………………………………

Date:                  …………………………………………...

Appendix 1: Privacy notice [ insert Privacy notice]

See 5.2.2 and 5.2.3 for examples.

5.1.8 Third party confidentiality agreement¹

I acknowledge that during my visit to [insert name of clinic], I may have access to confidential information and personal data belonging to clients of [insert name of clinic] (‘confidential information’).

I shall not, either during my visit to [insert name of clinic], or at any time thereafter, use or disclose to any third party (save for the student volunteers and supervising lawyers allocated to the case to which the confidential information relates or to the Clinic Director[s]) any confidential information.

This restriction does not apply to:

(a) any use or disclosure authorised by the client or required by law; or

(b) any information which is already in, or comes into, the public domain otherwise than through my unauthorised disclosure.

Name:         _________________

Signature:  _________________

Date:           _________________

Part 5.2
Policies and procedures

5.2.1 Data protection and records retention policy¹

Background

1. The [insert name of clinic/centre] is part of [insert name of university] and as such [university] is the data controller of personal data processed by the [clinic/centre]. The [insert name of clinic/centre] adheres to the [university] Data protection policy.²

Client information

2. Details of client enquiries are recorded in both hard and electronic copies.

3. Details of client enquiries are retained for up to one year unless the enquiry proceeds to being a case. This period starts from the end of the academic year when the client enquiry was made to the [clinic/centre].³

4. If an enquiry proceeds to be a case, the [case summary form] and all other documents relevant to the case will be kept for six years as part of the client case file. This period starts from the end of the academic year when the client enquiry was taken. If the enquiry does not become a case, the [case summary form] is deleted at the end of the academic year.

5. All client answerphone messages that come to the client telephone answer machine are deleted as soon as they are logged on the [clinic/centre] system.

6. All emails containing client enquiries are deleted at the end of each academic year.

Case files

7. Hardcopy case files are made when a case has been booked for an appointment. They are retained for the duration that the case is active [or for one additional academic year if the case relates to an assessment document].

8. When the case has been electronically saved and archived, the hard copy of the file is destroyed (unless it is part of an assessment as stated above).

9. Electronic client files are retained for six years in password-protected files that only [ clinic/centre] staff have access to. This period starts from the end of the academic year when the case was dealt with.

10. The [client emails/contents of a client email folder] forms part of the correspondence of the client file. As such it is kept for six years.

Appointment information

11. An electronic appointment list is kept outlining all the appointments that are booked in for [ clinic/centre] appointments and contain details of who has worked on the case. This contains basic client contact information and details of the opponent in the case. This version is kept in [specify university data storage system] [indefinitely] [for six years. This period starts at the end of the academic year when the appointment was held.] This is for the purposes of client case records and to ensure client conflict checks are carried out for new clients.⁴

Student information (appointments and projects)

12. Hard copies of student applications that are made for the purposes of selection are shredded at the end of the academic year.

13. All registers taken at training events or other events are scanned into the university hard drive and hard copies are shredded. Electronic versions are kept for six years and then deleted. This period starts from the end of the academic year when they were taken.

14. Student applications are held on the university hard drive for six years. This period starts from the end of the academic year that they relate to.

15. Lists of student advisers (including contact details) are kept for six years. Student names are also kept on the appointment list for six years. These periods start from the end of the academic year that they relate to. This is for the purposes of reference writing and in the case of a complaint/query relating to a case.

16. Student references are saved on the [specify university data storage system] and saved for six years.

17. Student applications are submitted via [specify method and any encryption]. These are password-protected. [Specify staff] have access to these, which are retained for two years and then deleted. This period starts from the end of the academic year that they relate to.

18. Scanned copies of student Disclosure and Barring Service (DBS) certificates are kept on the [specify university data storage system] for six years.

19. [Include details of other student groups and data control time limits].

Supervisor information

20. Hard copies of a volunteer supervising lawyer’s information (supervisor) is not kept.

21. Supervisor details are kept in the [specify relevant project spreadsheet] and retained for six years. This period starts from the end of the academic year that the document relates to.

22. Supervisor details are kept on a [specify data storage location] on the university’s [specify data storage system]. The information is kept for six years. This period starts from the end of the academic year that it relates to.

External organisations and schools

23. Details of [schools/external organisations] enquiring or taking part in [specify project] are retained for six years electronically on the [specify university data storage system].

24. Feedback forms for [specify project] are retained for six years. This period starts from the end of the academic year that they relate to.

Miscellaneous

25. Incident records are kept electronically for six years. This period starts from the end of the academic year that they relate to.

26. Anonymous equality and diversity data is kept for ten years electronically on the [specify university data storage system]. This period starts from the end of the academic year that it relates to.

27. Data processor forms are retained for six years on the university hard drive. This period starts from the end of the academic year that it relates to.

For data retention or protection queries please contact [specify person] at [insert email address]. For [university] data retention or protection queries please contact [specify person if required] at [insert email address].

5.2.2 Privacy notice: Option 1

[Insert name of clinic]: Privacy notice¹

This Privacy notice provides information about how the university uses the personal data we collect where you engage with our [insert name of clinic]. It supplements the page on our website [insert link to university’s webpage setting out how the institution uses data].

The [insert name of clinic] is run by the law school at [insert name of university]. It [insert brief description of the work done by your clinic]. [Much of this work is done under the supervision of volunteer lawyers from law firms and barristers chambers.]

Please read the information set out below carefully before requesting assistance from [insert name of clinic]. Please feel free to contact [insert name and job title of appropriate contact] at [insert email address and telephone number] if you do not understand any part of the information, or ask a friend or relative or other person known to you or otherwise (such as a translator) to assist you with the information.

How does this Privacy notice relate to other privacy notices?

If you are also a current student or alumni of [insert name of university] then our Current students or Alumni and supporters privacy notices will also apply to you.

[Sometimes another organisation will also be a data controller of your personal data, for example one of the partner law firms or barristers’ chambers that we work with which may provide supervision for our students when they are working on your case. These organisations should have their own privacy notices explaining how they use your data.²]

What personal data will be processed?

If you approach us to ask us for advice, we will process biographical and contact details, as well as information that you provide to us about your legal query such as the problems you are facing and the other people involved.

Depending on your query we might need to ask you for and use information about you which is of a sensitive nature, for example information about your health and finances.

What is the purpose of the processing?

We will use your information to help you in connection with the legal problem you have come to see us about. We will also use it in the first instance in order to determine whether your query is a matter that we are able to assist you with. For example, some legal queries will be too complex for a student law clinic to advise on, or we may find that we, or one of our partner firms, has already provided advice to another party involved in your query and are therefore unable to take on your case due to a conflict of interest.

You do not have to provide us with any information, or give your consent for us to share your personal information. However, our ability to act on your behalf might be affected if you do not.

What is the legal basis of the processing?

Normally, we process your data with explicit consent. Sometimes we do so because it is necessary for:

• The performance of our agreement to provide you with legal advice or in order to take steps at your request before entering into an agreement with you to provide legal advice. This will include:

– determining whether your query is one that we are able to assist you with

– determining whether we can find a volunteer lawyer to supervise your case

– providing legal advice and assistance to you.

• Compliance with a legal obligation (for example, identity checks under money laundering legislation) or regulatory obligation (for example, reporting to the Solicitors Regulation Authority).

• The performance of tasks we carry out in the public interest (for example, the educational benefits for our students of giving legal advice).

• For the purposes of an external organisation’s legitimate interests (for example, to enable your access to external services such as the supervision from our partner law firms and chambers).

We will only process your special category data with your explicit consent or if it is necessary:

• for the establishment, exercise or defence of legal claims

• very occasionally, to protect your or another person’s vital interests and you are not capable of giving your consent (for example, in an emergency)

• in the substantial public interest.

Who will your personal data be shared with?

Within the university, your data is shared with only those university staff and students who need to be able to access it for the purpose of running our pro bono services and advising you on your case.

Before we agree to take on your case we may need to share your information (including special category personal information, for example relating to your racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership) with the law firms and barristers’ chambers that assist with our cases in order to try and find a volunteer lawyer to supervise your case. We will inform you in advance where we need to convey information about you to a third party and will only share information about you where we have obtained your prior consent either verbally or in writing. Your information may also be shared with third parties:

• where you have explicitly requested or consented to the personal information being shared with a named third party

• where disclosure of personal data is required by law and where such disclosure is not protected by professional legal privilege and does not first require consent to be obtained

• as part of audit or quality checks on our practice carried out by external firms or organisations. They may wish to audit/quality check your file and related papers for this purpose. It is a specific requirement imposed by us that these external firms or organisations fully maintain confidentiality in relation to any files and papers which are audited/quality checked by them

• where it is required by our regulators, the Solicitors Regulation Authority or the Bar Standards Board

• under the Proceeds of Crime Act 2002, which imposes a duty on lawyers to report certain information to the authorities, where, for example, it seems that some assets in your case were derived from a crime. If we have to make a report we may not be able to tell you that we have done so.

If we need to obtain any information about you from a third party for the purpose of assisting you we will only do so once you have provided us with your consent.

We ensure we have appropriate data sharing agreements in place before sharing your personal data with any other data controllers.

Your personal data is shared as is necessary, on a considered and confidential basis, with several external organisations that assist with processing your information. These organisations act on our behalf in accordance with our instructions and do not process your data for any purpose over and above what we have asked them to do. We make sure we have appropriate contracts in place with them. Sometimes your personal data is processed by these organisations outside the European Economic Area (EEA) (for example, because they use a cloud-based system with servers based outside the EEA), and if so, we make sure that appropriate safeguards are in place to ensure the confidentiality and security of your personal data.

We do not share your data with external organisations for marketing their products or services. We do not sell your personal data to third parties under any circumstances, or permit third parties to sell on the data we have shared with them.

How long is your data kept?

We will only keep your personal information for as long as necessary, which will depend on the type of information held and the reason for holding it.

We will keep information about you only for as long as we need it in order to:

• comply with any legal requirement concerning your information

• be able to respond in the event that a complaint is made

• ensure that information about you is accurate and up to date

• undertake research and statistical analysis.

Where you make an enquiry with us but we are not able to take on your case, we will not keep your details for longer than 12 months.

Where we have given you legal advice, we will have to retain some basic personal information about you (such as your name, address, basic details about the nature of your query and the other parties involved) indefinitely, in order to comply with regulatory requirements that we do not take on any cases for other clients in the future where there might be a conflict of interest with your case. We will delete all other information seven years after our letter of advice is sent to you.

Your rights in relation to your data

Details about your rights are set out on the website page [insert link to university webpage]. This also explains how to ask any questions you may have about how your personal data is used, exercise any of your rights or complain about the way your data is being handled.

5.2.3 Privacy notice: Option 2

Privacy notice

1. Who we are

The [insert name of university] (‘we’ or ’us’) are a ‘data controller’ for the purposes of the data protection legislation (including the Data Protection Act 1998 and the General Data Protection Regulation (GDPR)) and we are responsible for, and control the processing of, your personal information.

2. Your privacy

We are committed to protecting your privacy. This notice explains how the university and [insert name of clinic] collect and process your personal information for the purposes of providing general legal advice.

3. Information we collect

We obtain personal information about you from the following sources.

Information provided by you:

We may process the following personal information about you:

(a) Your title, full name (including former name or alias), gender, date of birth.

(b) Your contact information (home/term-time address, telephone number(s), email address).

(c) Your business details, including positions, organisation, professional memberships and qualifications.

(d) Your outside interests and memberships.

(e) Your financial information (including your bank/building society details).

(f) Information available through the media or the world wide web.

(g) Your family/next of kin details, including your spouse/partner.

(h) Other information you share with us.

Personal information we collect about you may include ‘special categories’ data, such as information about your racial or ethnic origin, religious or other beliefs, physical or mental health and criminal offences/proceedings.

‘Special categories’ data would only be processed where you have provided it yourself (with your consent), for example during discussions with any of our representatives or where such is recorded for the purposes of assessing accessibility requirements arising as a result of a disability, or where this information has already been made public or processing is required by law.

The [insert name of university] uses cookies to improve the content and experience of its website users, but rest assured that these do not allow for us to identify you personally. More information on how to manage cookies can be found [insert].

4. How we use your data

We collect your personal data solely for the purpose of providing you with general legal advice concerning the issue that you have visited us about; such information will only be shared between those supervisors and students whom are working on your case. Occasionally our supervisors will be solicitors in practice whom are external to our organisation.

In relation to special categories data, we collect personal information to enable us to deliver these services and to better understand our community so that we can better meet your needs and improve our services. This data is shared periodically with LawWorks anonymously.

We may process your personal information for the following purposes:

(a) Due diligence
Should you choose to make a gift or donation to the university, we may process your personal information for due diligence purposes and in line with our Corporate fundraising policy[insert link].

(b) Communications
We may, from time to time, contact you by email, post or telephone to pursue the purposes mentioned above and in particular for the following reasons:

• to keep you up to date with the progress of your legal matter

• to invite you to events that may be of interest to you

• to invite you to support our fundraising activities

• to keep you up to date with other relevant information, which we think may be of interest to you.

If you would like to opt out of the above communications, please let us know. See 9. How to contact us below for further information.

5. Who your information may be shared with

Your personal information is held in a secure location (locked filing cabinet) and may also be held on a cloud-based client management system. We will not disclose your personal data to other companies within our group, third parties working in partnership or on behalf of the university, and/or government agencies unless required to do so by law.

We do not transfer your personal information to third parties outside the European Economic Area (EEA) or to territories without adequate levels of protection. Where personal data is processed by a third party, we take reasonable steps to ensure that the data is processed strictly according to the instructions of the university, for the relevant purposes only and securely destroyed or returned upon completion/termination. We take reasonable steps to ensure that third party processors are subject to written legal obligations in respect of data protection and the duty of confidentiality.

We do not sell or rent any personal information or data supplied by you. We may compile aggregate statistics and provide them to third parties, but we do not include personal information that identifies individual users.

6. Retention

We may retain your personal information for a period of six years or as long as necessary and in line with our statutory/regulatory obligations where appropriate.

If you wish to request for any of your records to be removed from our database, or would like to opt-out of any or all communications from the [insert university name], please see 9. How to contact us and 7. Rights of data subjects below for further information.

7. Rights of data subjects

(a) Right to request a copy of your information
You can request a copy of your information which we hold (this is known as a subject access request). If you would like a copy of some or all of it, please visit [insert link to relevant university webpage].

(b) Right to correct mistakes in your information
You can require us to correct any mistakes in your information that we hold free of charge. If you would like to do so, please write to us (see 9. How to contact us below) and provide us with enough information to identify you, as well as inform us of the information that is incorrect and what it should be replaced with.

(c) Right to ask us to stop contacting you with direct marketing
If you would like to amend your mailing subscriptions or unsubscribe you can do so by emailing [insert email address].

8. Lawful basis for processing

The university may rely on one or multiple grounds for processing your personal data including:

(a) You have provided consent for the processing.

(b) There is a contractual commitment to provide the services and, therefore, processing is necessary to meet those contractual obligations.

(c) The information is available to the public at large.

(d) The processing is necessary for the purposes of legitimate interests of the university or other third parties and does not affect the fundamental rights and freedoms of the individuals concerned.

9. How to contact us

[Insert contact details]

If you have any concerns or believe that your personal information is being handled in a manner which is contrary to statutory requirements, you may wish to contact the university’s Data Protection Officer via [insert email address] or complain to the Information Commissioner’s Office via www.ico.org.

10. Revisions to the privacy notice

We may revise this privacy notice at any time in response to changes in the law or other factors. We encourage you to periodically visit this page to review the most current policy, or obtain a copy by contacting us directly.

5.2.4 Client identification policy¹

[Insert name of clinic]: Guidance

It is essential that every client who comes to [insert name of clinic] has been properly identified before any advice is given to them. This note explains why that is the case and describes how identification must be carried out.

Why must we identify clients?

There are a number of reasons why we must verify the identity of a client. The most important of those are as follows:-

1. Are they who they say they are? We must be sure that a client is who they say they are and that any documents that they would like us to review (during their interview or afterwards) rightfully belong to them and have been legitimately obtained.

2. Is the client applying undue pressure on another party? Verifying a client’s identity may help to alert us to the possibility that the client or some other person is being taken advantage of.

(For example, perhaps a son might bring documents belonging to his mother and ask to receive advice in respect of them in order to coerce his mother into taking some particular action that would be beneficial for him).

3. Are we at risk of committing (or being party to) a criminal offence? Money laundering legislation requires us to verify a client’s identity if that client is seeking advice which falls within the ‘regulated sector’. The reason for this is to prevent law firms and other organisations from unwittingly committing or becoming complicit in money laundering activity. Failure to comply with this requirement is a criminal offence.

The ‘regulated sector’ includes:

• Participation in financial or real property transactions concerning:

– Buying and selling of real property or business entities;

– managing of client money, securities or other assets;

– opening or management of bank, savings or securities accounts;

– organisation of contributions necessary for the creation, operation or management of companies; or

– creation, operation or management of trusts, companies or similar structures.

• Provision of advice about the tax affairs of a client.

• Formation of companies or other legal persons.

• Acting or arranging for another person to act:

– as a director or secretary of a company;

– as a partner of a partnership; or

– in a similar position in relation to other legal persons.

• Provision of a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or arrangement.

• Acting or arranging for another person to act:

– as a trustee of an express trust or similar legal arrangement; or

– as a nominee shareholder for a person other than a company whose securities are listed on a regulated market.

(It is participating in a transaction to assist in the planning or execution of the transaction or otherwise acting for or on behalf of a client in the transaction).

Even if the subject matter that a client is seeking advice on does not appear at first to fall within the regulated sector at the outset, it may end up straying into the regulated sector and sometimes this can be very early on. For example, advice on the process of divorce might stray into divorce settlement advice and thus into the provision of tax advice. Another example is when advising on employment issues.

For that very reason, most law firms now choose to verify the identity of all clients at the outset of a matter, whether or not it appears at that stage to fall within the regulated sector. The Solicitors’ Regulation Authority (‘SRA’) encourages that approach.

4. Are there any other risks? Even where none of the above apply and the advice sought is definitely not within the regulated sector, additional potential risks still exist; sham litigation, for example, may amount to money laundering.

[Insert name of clinic]’s Policy

For all of the reasons above, according to [insert name of clinic]’s policy you must obtain certain documents to check the identity of all clients whether or not regulated sector work is involved.

Under no circumstances must any legal advice of any kind (most importantly, any tax advice) be provided to a client before identify documents have been produced by the client.

What documents do I require from the client?

If the client is an individual, we require either:

• one document from list A; or if this is unavailable

• one document from list B and another from list C

•

For trustees of a trust

If the client is a trustee, we must verify the identities of a minimum of two trustees and identify who (by knowing their names and contact details) the ultimate beneficial owners of the trust are.

For each trustee, we require:

• one document from list A; or if this is unavailable

• one document from list B and another from list C

The ultimate beneficial owners of the trust are:

• the settlor;

• the trustees;

• the beneficiaries;

• where the individual (or some of the individuals) benefiting from the trust have not been determined, the class of persons in whose main interest the trust is set up, or operates;

• any individual who has control over the trust.

Control means power (whether exercisable alone, jointly, with another person or with the consent of another person) under the trust instrument or by law to:

• dispose of, advance, lend, invest, pay or apply trust property;

• vary or terminate the trust;

• add or remove a person as beneficiary or to or from a class of beneficiaries;

• appoint or remove trustees or given another individual control over the trust; or

• direct, withhold consent to or veto the exercise of a power mentioned in the bullet points above.

A protector of a trust is likely to be an ultimate beneficial owner.

To identify the ultimate beneficial owners you should see the original, or original certified copy of the trust document and ask the trustees whether anyone else (other than those mentioned in the trust document) exercise control over the trust or benefits from the trust.

For partners in a partnership

If the client is a partner in a partnership, we must verify the identities of a minimum of two partners and identify who the other individuals who would fall within the definition of ultimate beneficial ownership are. For each partner, we require:

• one document from list A; or if this is unavailable

• one document from list B and another from list C.

An ultimate beneficial owner of a partnership is anyone who:

• exercises ultimate control over the management of the partnership;

• owns or controls (whether directly or indirectly) more than 25% of the partnership assets, or voting rights – this will include anyone who is entitled to more than 25% of the partnerships profits; or

• anyone else who controls the partnership.

To identify the ultimate beneficial owners of a partnership you should examine the original partnership agreement (if there is one) and ask the partners to explain the ownership and control structure.

What do I do with the documents once I have them?

The documents should be obtained from the client before their interview begins. Once you have the necessary documents you must take a photocopy, which you must then certify and file on the [insert name of clinic] system.

In order to certify a document:

• write “Certified to be a true copy of the original seen by me” on the face of the document;

• sign and date (with today’s date) the document (never back date a certification); and

• print your name and “[insert name of clinic]” underneath your signature.

What if the client does not bring the documents to the interview?

At the time when you agree the date and time of the interview with a client, you should inform them of the need for them to bring their identity documents with them and stress that legal advice cannot be provided without those documents.

You should then remind the client:

• when you send them a letter confirming their appointment; and

• when you call them 24 hours before their interview.

In the event that a client forgets to bring the documents with them, the interview can still go ahead but no letter of advice can be released to the client under the identity documents have been produced. You are reminded that the interview is a fact-finding exercise ONLY and no legal advice (oral or otherwise) is to be given during any interview in any event.

If the client attempts to provide at the interview, or subsequently sends you, a photocopy of the original document as opposed to the original document itself, that will not be sufficient. Also, in order to be able to certify a copy of a document as a true copy of the original you must have seen the original. Do not be tempted to certify a photocopy as a true copy of the original when you have seen the original at some point in the past. You should certify the photocopy as soon as you have copied the original.

What do I do if I think this policy has been breached?

If at any time you become aware of any breach or possible breach of this policy you should disclose details as soon as possible to a member of staff in the clinic.

5.2.5 Complaints procedure [Insert clinic name]

At the [insert clinic name] we endeavour to provide a high quality service to all of our clients. If for any reason you are dissatisfied with the service you have received, or the way your case is being conducted, please take the steps below.

Stage 1: Informal resolution

You should normally try to resolve your complaint with [insert job title and name of staff member¹]. You can contact them in writing or by telephone using the details below:

[Insert contact address and telephone number]

Whether or not a resolution is reached at an informal stage, a record will be maintained of your concerns and our response.² We will inform you in writing of the outcome of this stage of the process.

Stage 2: Formal investigation

If your complaint is not resolved at the informal stage of the process, you should contact [insert name of staff member or job title³], who has ultimate responsibility within the Law School for complaints. They can be contacted using the details below:

[Insert contact address and telephone number]

[Insert name of staff member of job title] will carry out an investigation, or will appoint someone to do so on their behalf. This may involve inviting representations from all concerned, including you. The person carrying out the investigation will compile and provide a report, including conclusions and a proposed way forward. If you remain unsatisfied, you may proceed to the external stage.

Stage 3: External stage: The Legal Ombudsman⁴

If you are not satisfied with our handling of your complaint you can ask the Legal Ombudsman to consider the complaint. The Legal Ombudsman can be contacted as follows:

• By post: PO Box 6806, Wolverhampton, WV1 9WJ

• By telephone: 0300 555 0333 or 0121 245 3050

• By email: enquiries@legalombudsman.org.uk

Normally, you will need to bring a complaint to the Legal Ombudsman within six months of receiving a final written response from us about your complaint or within six years of the act or omission about which you are complaining occurring (or if outside of this period, within three years of when you should reasonably have been aware of it).

[⁵Referral to partner organisations

If, at any stage in the complaints process, the university considers that your complaint relates to an area that falls within the remit of one of our partner organisation[s] [insert name(s) of partner organisations⁶] then we will refer the matter to the relevant partner to be dealt with in accordance with their own complaints procedures, details of which will be provided upon referral. The university’s own process may continue alongside the partner’s complaints process or may be delayed pending the outcome of that process.]

5.2.6 Social media policy

[Insert name of clinic/centre]

For the purposes of this document, social media includes, but is not limited to, the following:

• Facebook

• Snapchat

• Twitter

• LinkedIn

• Instagram

• WhatsApp

• Tinder

or any similar platforms.

Client enquiries

The [clinic/centre] does not take client enquiries from social media platforms. Clients who contact the [clinic/centre] on social media platforms should be told to make an enquiry via [telephone/email/our online enquiry form: edit as appropriate]. The [clinic/centre] does not handle any client communication through social media.

The same policy applies for enquiries relating to [clinic/centre] projects.

Contact between students working together

Students working on cases in the [clinic/centre] should avoid communicating with each other via social media unless this is essential (for example, to communicate the fact that one member of a team may be late/unable to attend a session). No discussion of client cases on social media should take place and, in particular, there must be no mention of any information that could identify a client.

Contact between students and clients

Students should not contact clients on social media or in any way accept their ‘friend requests’ or similar invitations while they are working at the [clinic/centre].

Students should not contact school students or other contacts made through [specify clinic/centre project] on social media.

Students will use their name on the bottom of client advice letters and in other [clinic/centre] projects. Students should be aware when they are presenting themselves on social media (especially when using their name), that clients or other [clinic/centre] project stakeholders may search for them.

If a client, or other person connected with using the [clinic/centre] services, contacts a student on social media, students should immediately draw this to the attention of the [specify staff member] and not respond.

Contact between students and [clinic/centre] staff

Students should not contact [clinic/centre] staff on social media while they are working on projects at the [clinic/centre]. All queries should be directed to the [ clinic/centre/staff shared email address (specify@specify.ac.uk)] or a staff member’s individual professional email address if the matter is of a personal nature.

Failure to comply with this policy may result in disciplinary action.

5.2.7 Student disciplinary code¹

1. Introduction

The [insert name of clinic] is committed to creating an environment where all clinic members and staff are able to perform their duties to the best of their ability. However, the [insert name of clinic] also recognises that there may be occasions when disciplinary and/or performance problems arise, and that it needs to ensure confidential and quality services to its clients and uphold its reputation for doing so.

The purpose of this policy is to ensure that, if problems do arise, they are dealt with fairly and consistently. This policy sets out the action that shall be taken when problems occur.

2. Overarching principles

Any disciplinary action to which a clinic member is subject shall be underpinned by the following principles:

The procedure is designed to establish the facts quickly and to deal consistently and confidentially with disciplinary issues.

At every stage, the clinic member shall be advised in writing (which includes email) of the nature of the complaint and shall be given the opportunity to state their case in a meeting before any decision is taken on whether to impose a warning or other disciplinary sanction.

At every stage, complainants and those subject to complaint can be expected, as far as possible, to be dealt with confidentially and with respect for their privacy. However, any person who is the subject of complaint will be advised, and an appropriately redacted copy of the concern or complaint and any associated evidence will normally be copied to them, in order that they are given the opportunity to respond. It may also be necessary to disclose information to others in order to deal with the concern or complaint and, in these circumstances, the parties concerned will be informed of such a disclosure.

The clinic member shall be given the opportunity to be accompanied by another clinic member at any disciplinary meeting.

When a decision has been made regarding whether or not disciplinary or any other action is justified, the clinic member shall be informed in writing.

There is a right to appeal against any disciplinary action taken against a clinic member.

3. Identifying a problem

If any clinic member, staff or volunteer becomes concerned that another clinic member has acted:

(a) in breach of the membership rules as signed on joining the clinic or practice rules as contained in the Law clinic handbook; or

(b) in a manner deemed contrary to the interests of the clinic

they should bring this to the attention of the Clinic Director, Deputy Director or a Clinic Supervisor. Complaints received anonymously will not normally be accepted, except where there are compelling reasons, supported by evidence, for the matter to be investigated.

For the avoidance of doubt, acting in a manner deemed contrary to the interests of the clinic includes but is not limited to:

• Failing to adhere to, without good reason, any law clinic policy.

• Breach of confidentiality.

• Bringing the law clinic into disrepute.

• Breach of the university’s policies on harassment, bullying, etc.

• Not responding to emails/communication relating to clinic business within 24 hours (48 hours on the weekend).

• Once a case is allocated by a firm manager, the clinic member must accept/decline the case within 24 hours. If declining, a reason must be given.

• Acting inappropriately in the clinic or while representing the clinic in the community.

• Misuse of clinic space; this includes but is not limited to unauthorised printing, using the clinic space for non-clinic activities, giving out the clinic door code to non-clinic members, etc.

• Not completing a case without good reason and without providing adequate notification to the supervisor.

• Not submitting casework (this includes attendance notes and advice letters) within the deadline set out by the supervisor.

• Repeatedly not submitting advice letters to the expected clinic standard.

• Not declaring a conflict of interest as soon as you become aware of it.

• Being unfit for work through alcohol or illegal drugs.

• Deliberate damage to law clinic property.

• Any criminal conviction which calls into question suitability to be a clinic member.

• Failure to notify the law clinic of any criminal conviction, in any jurisdiction, whether spent or otherwise.

• Failure to notify the law clinic of any criminal proceedings ongoing in this or any other jurisdiction.

• Any other criminal acts.

4. Initial informal investigation

Upon being made aware of a concern that a clinic member has acted:

(a) in breach of the practice rules; or

(b) in a manner deemed contrary to the interests of the clinic the issue should be investigated by the relevant case supervisor if it relates to the conduct of a case or by the Director or Deputy Director if it relates to any other issue, who may decide:

• that there is no substance to the alleged complaint

• that the matter is not sufficiently serious or is otherwise not suitable for disciplinary action

• to attempt to resolve the matter by informal discussion with the clinic member where the allegation is of minor misconduct.

In all these cases no disciplinary action shall take place, nor shall any record be made against that clinic member.

5. Formal investigation by the Management Committee

If the matter is regarded by the Director/Deputy Director or supervisor as serious or otherwise suitable for disciplinary action, it should then be formally investigated by a Disciplinary Subcommittee of the Management Committee, comprising of two non-student members of the Management Committee, chaired by the Director or Deputy Director, but excluding the member who conducted the initial informal investigation.

At the outset of the investigation, the clinic member shall be sent a letter which shall contain:

• details of the complaint against the clinic member

• arrangements for an investigatory meeting

• the right to be accompanied by another clinic member

• copies of any relevant documents being relied on.

The Disciplinary Subcommittee shall first speak with the initial investigator and any other persons who may have relevant information, such as the person who first raised the issue being investigated.

Subsequently, the Subcommittee will invite the clinic member under investigation to attend a meeting at which the allegations can be discussed. The meeting should take place as soon as is reasonably possible, but with sufficient time for the clinic member to consider their response to the information contained in the letter and no later than ten working days after notification of the complaint to the clinic member. The clinic member under investigation will have the right to be accompanied by another clinic member.

If, in the course of its investigations, the Disciplinary Subcommittee discovers further potential instances where the clinic member has acted:

(a) in breach of the practice rules; or

(b) in a manner deemed contrary to the interests of the clinic the Disciplinary Subcommittee may, where appropriate, consider this conduct together with the conduct which was the subject of the initial investigation and the member shall be notified accordingly.

6. Decision by Disciplinary Subcommittee

After considering all relevant information, the Subcommittee may decide to:

• dismiss the allegation, in which case no record of the proceedings will be kept

• decide that the clinic member requires further training

• issue a written warning to the clinic member about their future conduct

• terminate clinic membership, but only if the clinic member has had prior written warning of their conduct or their conduct is deemed by the Disciplinary Subcommittee to be sufficiently severe to warrant immediate termination of membership. For the avoidance of doubt, conduct sufficiently severe to warrant termination of membership without prior written warning includes, but is not limited to:

– commission of a crime of dishonesty

– assault against another clinic member or member of the public

– intentional breach of confidentiality without good cause

– deliberate failure to gain the necessary supervisor authorisation for action in relation to cases such as letters to clients and third parties, pleadings, etc.

In making a decision to issue a warning or to terminate membership, the Disciplinary Subcommittee shall consider:

• all previous written warnings

• the length of time since any previous warnings

• the conduct of the clinic member in the intermediate period.

Once the majority of the Disciplinary Subcommittee has reached a decision, it shall inform the Management Committee of its decision before communicating it to the clinic member.

The clinic member shall receive a letter from the Chair of the Disciplinary Subcommittee outlining:

• an overview of the investigation

• findings in fact

• any findings that the clinic member has acted in breach of the constitution or practice rules, or that the member has acted in a manner deemed contrary to the interests of the clinic

• what decision has been taken

• reasons for that decision

• nature of the right to appeal.

If a clinic member receives more than two warnings within a 12-month period, the clinic member can have their membership instantly terminated if the Disciplinary Subcommittee feels that this is the more appropriate course of action.

7. Appeals

If a clinic member wishes to appeal against any disciplinary decision, they must appeal in writing to the Head of the Law School within seven days of the disciplinary decision being communicated to them, who shall hear the appeal within four weeks of receipt of the appeal, and the clinic member will be invited to a meeting with the Head of School and will have the right to be accompanied by another member of the clinic to the appeal meeting.

The decision of the Head of School will be final.

Part 5.3
Checklists and practice documents

5.3.1 Appointment confirmation letter

Date: [insert date]

Ref: [File number]

Private and confidential

[Name of client]

[Address]

Dear [name]

Appointment confirmation

Further to your telephone conversation with [insert name/role], I write to confirm that the following appointment has been arranged:

Day: [day]

Date:[DD MM YYYY]

Time: [00:00]

The appointment will take place at [insert location] where your student adviser will meet you. Please find directions enclosed for your convenience.

Please also find enclosed a document entitled the Client information agreement.¹ This explains how [insert name of clinic] works, what you can expect from [insert name of clinic] and the documentation you are required to bring to your appointment. Please ensure that you read and sign this document, returning it to us on the day of your appointment.

[Insert one of the following three options regarding identification documents depending upon whether the client is an individual, a trustee or a partner in a partnership. Delete the other options as appropriate.²]

[For a client who is an individual]

For identification purposes, please bring to your interview either:

• One document from List A

OR (if this is unavailable)

• One document from List B and another from List C.

[For a client who is a trustee]

For identification purposes, please bring to your interview either:

• One document from List A

OR if this is unavailable

• One document from List B and another from List C.

(Please note: We will need to see these identification documents in respect of both yourself and at least one other trustee.)

[For a client who is a partner in a partnership]

For identification purposes, please bring to your interview either:

• One document from List A

OR if this is unavailable

• One document from List B and another from List C.

(Please note: We will need to see these identification documents in respect of both yourself and at least one other partner.)

We will not be able to provide you with any advice until we have received the proof of identification documents required.

Please note that we will contact you by telephone 24 hours before your appointment to confirm that you are still available to attend. If you have not heard from us, please contact us by no later than 10am on the day of your appointment to confirm your attendance.

If we cannot get hold of you and we have not heard from you by 10am on the day of your appointment, then your appointment will be cancelled. We cannot guarantee that the appointment will be rearranged.

If you have a disability and require any reasonable adjustments to be made in order to assist you during your appointment or in the provision of our advice, please let us know by calling [insert number]. If you leave a message a member of our team will call you back.

Should you be unable to attend your appointment for any reason, we would be grateful if you could notify us as soon as possible. Otherwise, we look forward to meeting you shortly. Should you have any queries, please do not hesitate to contact us on [insert number].

Yours sincerely

[Insert name]

[Insert name of clinic] Director

5.3.2 Client appointment confirmation

Client name: [insert name]

Reference number: [insert reference]

Appointment date: [insert date]

Appointment time: [insert time]

Purpose of the law clinic

[Insert clinic/centre name] has been established to enable law students at the university to obtain practical legal experience while providing a service to the local community. Everyone working in the law clinic, except the Director, Deputy and Coordinators, are volunteers.

Our service

You will receive a maximum 45-minute appointment with two student advisers and their supervising solicitor. Sometimes there may be two supervising solicitors with the students. Fourteen working days after the appointment you will receive a letter of advice outlining the strength of your case and the choices that may be available to you. We are unable to provide representation at court or tribunal but we can refer you to other organisations for free representation. They have their own assessment process so we cannot guarantee they will take on your case.

We are a preliminary advice service allowing you to assess the strength of your case before you pursue it further. Unfortunately, we are unable to provide follow-up advice but will be able to provide you with details of where you can receive this.

Advice process

Please note that this process takes 14 working days. If there is a delay we will notify you.

Cancellations

If you:

• do not provide us with 24 hours’ notice that you cannot attend your appointment

• do not attend your appointment

• are more than 15 minutes late to your appointment

• cancel your appointment twice

we will not be able to offer you another appointment in the future. Discretion will be used where appropriate.

This is due to the high demand for our services. We are only able to help a small number of clients each week and therefore missed appointments are a lost opportunity for another person in need of free legal advice. The lawyers and the students give their expertise and time voluntarily, free of charge and spend time prior to the interview preparing. A missed appointment is a waste of their time and our resources.

What you need to bring

We are unable to offer you advice until you have provided us with photocopies of the following documents [delete those that are not relevant]:

• Employment contract

• Employee handbook

• Pay slips

• Correspondence with employer, i.e. letters, emails, etc.

• Notice of dismissal

• ET1

• ET3

• Notice of hearing

• Job description

• Tenancy agreement

• Inventory

• Correspondence with landlord, i.e. letters, emails, etc.

• Receipts

• Contract

• Terms and conditions

• Leasehold

• Freehold

• Correspondence with opponent, i.e. letters, emails, etc.

• Information which will assist you to understand their work

• Parental responsibility agreement

• Partnership certificate

• Visa information

• Charge sheet

• Summons

• Court date letter

• Court papers

• Business plan

• Articles

• Board minutes

• Shareholders’ resolutions

• Accounts

• General terms and conditions of business

• Tax forms/correspondence with HMRC

• Companies House forms

• Banking documents/security/guarantees

• [Insert other documents as appropriate]

• Any other relevant documents or correspondence

You should provide photocopies of these documents before your appointment.

If you provide this information at a later date, the 14-day period will begin from the date of receipt.

If two weeks have passed from your initial interview and we have not been provided the relevant documents, your case will be closed. We may not rebook your appointment until it is clear you are able to provide the previously requested documents.

Queries and complaints

If you have any queries about your appointment or our services please call or email us.

Please direct complaints to the Deputy Director [insert name] at [insert email address].ac.uk. If you feel that your complaint has not been dealt with adequately it will be directed to the [insert clinic/centre] Advisory Panel.

Data protection information

[Insert details of data protection/privacy policy as appropriate]

Entry

[Insert travel/other directions for getting to the clinic/centre]

[Drafting note: This document can be used prior to a client interview but will not constitute a Terms of engagement letter. See Part 5.1.7 for a Client information agreement.]

5.3.3 Attendance form: Interview

[Insert name of clinic]

1. Personal and general details

Date: .................. Case/File number............................................

Time interview commenced……………finished……………

Name(s) of client(s) .................................................................

Address .................................................................................

................................................................................................

................................................................................................

Tel no: mobile ……………... daytime ............................

Email address .......................................................................

Law clinic supervisors:

Academic ........................................................................

Solicitor ..........................................................................

Student advisers:

(1) ...............................................................................

(2) ...............................................................................

Brief description of client’s matter ..........................................

..................................................................................................

..................................................................................................

..................................................................................................

..................................................................................................

Interviewed by............................................................................

Has client consulted a solicitor previously on this matter? Yes No

If Yes, name of solicitor/firm and address..........................

..................................................................................................

..................................................................................................

Details of opponent(s) (full name and address) .........................

..................................................................................................

..................................................................................................

Is there a conflict of interest? Yes No

Details and action required: ......................................................

..................................................................................................

..................................................................................................

2. Pre-interview checklist

If you have answered No to any of the above questions, please justify:

.......................................................................................................

.......................................................................................................

.......................................................................................................

3. Interview details

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

Please continue on a separate sheet if necessary.

4. Post-interview

Action to be taken (indicating who by and when) ......................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

5. Advice session

Date: …........… Time commenced: .......… Time finished: ..........

Present: .............................................................................

Summary of advice given:

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

6. File closure

If the answer to any of the above questions is No, please provide details:

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

5.3.4 Interview aide memoire

[Insert name of clinic]

You will need to follow your aide memoire, and obtain first instructions from your client.

1. Meet and greet the client

• Confidence

• Handshake

• Formal greeting

• Put the client at ease

• Introduce yourself

2. Obtaining personal information

• Name

• Address

• Contact numbers

• Email address

• Best time to contact them?

• Seen a solicitor about this matter previously?

3. Formalities

• Explain purpose of interview

• Explain nature of the service

• Provide information as to costs

• Inform client re rules of confidentiality

• Provide the Client information agreement

• Ask the client if they are happy to proceed

4. Interview details

• Ask open question to get information from the client

• Summarise instructions

• Obtain further information by asking closed questions

• Take notes: have you got everything down?

• Have you asked for copies of relevant documents?

• Have you identified the client’s concerns?

• Have you checked with your fellow student volunteer/supervisor that you have all of the necessary information?

5. Closing the interview

• Advise the client of next steps:

– What will you do?

– What do they need to do? (e.g. provide copies of documents, notify us of their availability for next appointment)

• Would they prefer a follow-up appointment or written advice?

• Is there anything else that has been missed?

• Ask the client to complete the Equality and diversity monitoring form

• Say goodbye appropriately

5.3.5 Client equality and diversity monitoring form: Option 1

Disability

The Equality Act 2010 defines disability as ‘a physical or mental impairment which has a substantial & long term adverse effect on a person’s ability to carry out normal day to day activities’.

Do you consider yourself to have a disability?

Yes ……….     No ……….      Prefer not to say …….

Age

Please indicate which category you fall into:

Ethnicity

Please indicate your ethnicity group:

Gender

Do you identify yourself as:

Household income

Please indicate which income bracket your household falls into:

Legal issue

Please indicate which area of law your legal issue falls within:

We would be grateful if you could comment on the service you have received today, and how useful you feel it was for you:

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

.........................................................................................................

Thank you for taking the time to complete this form. The data collected will be used to assist in monitoring the effectiveness of the [insert name of clinic] and related clinics, and in order to analyse and evaluate which sectors of the community we have served, and how we can widen this in the future.

Please note that the data may also be shared with LawWorks, a registered charity, who operate, assist and enable access to free, independent, pro bono legal advice in England and Wales.

5.3.6 Client equality and diversity monitoring form: Option 2

Date: ______________

The data you provide will assist us in monitoring the effectiveness of our equality and diversity policies. It will also assist us in any funding applications we make in the future. The collection of this information complies with the General Data Protection Regulation 2018 and is in accordance with our privacy policy, which you can access at [insert link/details of address where policy available]. This information will only be used to prepare analyses and aggregated statistical reports and to develop policies [insert any other use].

5.3.7 Case close-down checklist

Client ref: .................................................................................

Date letter sent: .........................................................................

Date file submitted: .....................................................................

Submitted on time: Yes/No:.......................................................

Signing this form confirms the above actions are complete. Ensure a member of staff has signed off this file. Please leave completed and signed form at the top of your client file.

Part 5.4
Learning and teaching

5.4.1 Model module outline for a law clinic including assessment: Option 1

Name of module: Law Clinic

Programme: LLB

Module leader: [insert name]

Credit rating: 20 (at levels 5 and 6)

Duration and terms: The module is delivered in one term and is offered in both the Autumn and Spring terms. The timing of individual student activity may vary and is likely to be compressed into shorter periods to reflect caseloads and client contact opportunities.

Students will be expected to complete their casework by the end of either Term 1 or Term 2 depending on which term they have been allocated to. Students will work on clinic cases in groups known as student law firms (SLFs).

Teaching programme: This will consist of weekly workshops for the whole clinic cohort, a weekly meeting for each SLF, meetings as case management requires and other occasional, plenary sessions.

Procedural requirements: Students must comply with professional behaviour requirements, including attendance at meetings and conduct of casework. Failure to observe such requirements may result in removal from the module.

Student numbers: For supervisory reasons this module is limited to an annual cohort of 50 students from Years 2 and 3. Selection is based on option first choices and in the event of over-subscription, a ‘lottery’ draw.

Module content and delivery: This module gives students the opportunity to participate in ‘real’ cases for clients across a range of identified areas of unmet legal need including: social security benefits claims; housing problems; consumer issues; employment and family cases; and advice for small businesses.

Through this participation students will be able to develop and apply their theoretical understanding of substantive law, procedure, legal and related skills, and professional values and ethical considerations, in a practical setting.

Clients may be individuals or organisations who require advice and possibly representation, or who are seeking more general assistance including help with legal research or advice on law reform. All students will get the opportunity of working in the in-house clinic based at the [insert university name] Law School and in external projects involving particular specialisms.

All student work will be supervised by suitably qualified and experienced members of staff. Students will work on allocated cases and take part in both individual tasks and collective work as part of their SLF activity.

Outcomes and assessment

Module learning outcomes (MLOs)

After completing the module all students should be able:

• Through a critical analysis of at least one aspect of substantive law encountered during the module, to demonstrate a clear understanding of the legal principles involved, as evidenced by documented research and subsequent advice given.

• With reference to a range of clinic-related experiences, to identify the fundamental principles underpinning the skills that lawyers need to have to effectively carry out their work.

• In complying with applicable standards of professional conduct and client care requirements, to show a sound appreciation of the constraints on and expectations of a university-based legal service provider.

• (For Year 3 students only): With reference to one aspect of law, procedure or other regulatory matter encountered during the module, to identify the relevant merits or shortcomings of that provision including, if relevant, a critical reflection on how that law, procedure or regulatory provision might be improved.

Assessment method

Assessment is structured and weighted as follows:

MLO 1: An advice letter to a ‘client’, based on a given scenario, supported by fully documented legal research (40 per cent of the overall module weighting). The assessment task is to be completed in Week 1 of the term following study of the module.

MLO 2: An oral examination (viva) based on the student’s understanding of the nature and extent of the skills necessary for a lawyer to effectively carry out their work (30 per cent). The viva is held in Week 9 of the term of study.

MLO 3: A group mark (for the work of each SLF) based on the extent to which all of the case files handled by that SLF meet professional practice requirements (10 per cent) and (for Year 2 students only) a reflective report (up to 1,500 words) on whether and to what extent tension exists between the educational aims of a clinic and the legal service needs of clients (20 per cent). The group mark will be determined by Week 1 of the term following study of the module and the critique is to be submitted by Week 6 of the term of study.

MLO 4 (For Year 3 students only): A critique (up to 1,500 words) of the relative merits or shortcomings of one aspect of the law, procedure or other regulatory provision arising in the context of work carried out in the clinic (20 per cent). The critique is to be submitted by Week 2 of the term following study of the module.

Recommended reading

The following texts are recommended:

• Kevin Kerrigan and Victoria. Murray (eds), A student guide to clinical legal education and pro bono (Palgrave Macmillan, 2011).

• Frank Bloch (ed), The global clinical movement: Educating lawyers for social justice (Oxford University Press, 2010).

• Hugh Brayne, Nigel Duncan and Richard Grimes, Clinical legal education – active learning in your law school (Blackstone Press, 1998) (currently out of print but excerpts on the university intranet and hard copy available in the clinic).

Additional reading will be referred to during the module. The intranet Clinic pages contain a set of helpful additional materials, including academic writings and sample portfolios and feedback.

5.4.2 Model module outline for a law clinic including assessment: Option 2

Name of module: Practical Legal Skills

Programme: LLB

Module leader: [insert]

Credit rating: 20 (level 6)

Module description

This module provides students with the opportunity to develop practical legal skills and ethical awareness through one of the following:

(A) Participation in the Legal Advice Centre where students will have the opportunity to offer legal advice, under the supervision of a qualified solicitor, to members of the public.

(B) Participation in mooting. Mooting is the process by which students will be able to argue cases in a mock trial and thereby develop their advocacy skills.

(C) Undertaking a placement approved by the university. This will normally be with a firm of solicitors or the local council.

Students will have a choice, subject to their course requirements and to the number of places available, to study the law in practice in one of the above elements of practical legal skills.

Mooting will allow students to develop their advocacy and presentation skills. Participation in the Legal Advice Centre and undertaking a placement with a solicitors’ firm or other relevant legal placement will complement the students’ academic legal studies with practical skills and problem solving.

Learning outcomes

Students should be able to:

1. Recognise and distil complex arguments from factual or hypothetical information and prioritise them in terms of their relevance and importance, as well as presenting arguments concisely, persuasively and to a high standard to either clients or a mock court.

2. Show preparedness and presence of mind to respond orally or in writing to complex questions on points of law.

3. Conduct in-depth independent study of an area of substantive law involved in practical legal skills, demonstrating research skills.

Teaching programme

This module will run in Semester 1 as a compulsory module. For Weeks 1–5 (Weeks 6–10 of the university’s academic calendar) students will attend, per week:

• 1 x 2-hour lecture

• 1 x 2-hour seminar.

Students will be placed in seminar groups based on which practical legal activity they have been assigned to.

From Week 6, the student will be placed on their practical legal activity, which they must participate in on a weekly basis for six weeks. Students are expected to undertake a minimum of four contact hours per week on their allocated activity.

Module assessment

Assessment No.1

Learning Outcomes met: LO1 & LO2

Weighting: 25 per cent

Assessment type: Oral presentation (5 minutes)

Assessment No.2

Learning Outcomes met: LO3

Weighting: 75 per cent

Assessment type: Research (3,000 word report)

Book resources/recommended reading

5.4.3 Model module outline for a law clinic including assessment: Option 3

Module title: Legal Advice Centre

Short module title: Legal Advice Centre

Module code: [insert]

Credit value: 30.00

Credit level: Academic Level 6

Department: Law School

Semester/year-long : Autumn & Spring Session

Details of accreditation by professional, statutory or regulatory body: N/A

Module leader: [insert name]

Module appraisers: [insert names]

Module pre-requisites (module code/s only): N/A

Maximum student numbers on module (if applicable): N/A

Module description (including outline content)

Key to this module will be the development of the law student’s practical legal skills. The module is a vehicle for the study of law through the application of theory to practice.

Students will have the opportunity to enhance their employability skills by interviewing clients, researching the relevant law and drafting legal documents. It is also an opportunity to gain internships with law firms and Citizens Advice.

Learning outcomes

• Develop the ability to work in a team and consider the law applicable to the client.

• Research and analyse the relevant laws and highlight the various legal options available to the client.

• Demonstrate the ability to draft legal documents.

• Demonstrate the ability to manage a case file from the initial interview with the client through to closure of the file.

• Demonstrate the ability to conduct professional interviews in a structured and ‘client-centric’ manner.

• Demonstrate an ability to present complex legal information in a manner appropriate to the specific client.

• Gain an appreciation of client care issues such as client confidentiality and legal ethics.

• Develop an understanding of the law in other common law and civil law jurisdictions.

Assessment

Assessment will be by a portfolio consisting of evidence of:

• practical legal research

• drafting of legal documents

• a reflective diary/journal.

Late submission of coursework

Tutors will advise students of the date the coursework has to be handed in. A student must normally submit their coursework by the deadline. However, in exceptional circumstances a student may be able to negotiate an extension with the Extensions Tutor provided this is done before the deadline for submission. The decision to grant an extension is at the discretion of the Extension Tutor and is not an automatic right to which the student is entitled.

If a piece of work is submitted up to 14 days after the deadline or the agreed extension, no mark above 40 per cent will be awarded except where an agreed extension is in place. Where a piece of work is submitted after 14 days following the deadline or agreed extension, the work will receive a zero mark.

Assessments and learning outcomes

The detail of the assessments, which will vary from year to year, will ensure that the students always have an opportunity to achieve the Learning Outcomes for the module.

Reassessment

When a student fails to obtain an overall pass mark considering all the elements of assessment, they will be required to re-present themselves, unless agreed otherwise by the Law Assessment Board. This will be in the form a second submission of the portfolio. It will involve student engagement with their supervisor to identify any inaccuracies in the student’s law, drafting and interviewing skills.

Expected methods of delivery

The teaching methods used on this module will be varied, using a selection of lectures, workshops, guest lectures and Blackboard facilities as a learning space. Module delivery will consist of a small number of introductory and other occasional plenary sessions, attendance at a firm’s meeting and attendance in the Centre and at other venues as and when required by casework demands.

Delivery of this module will be conducted via a combination of academic-led, non-academic-led and self-directed learning. The assessed coursework focuses on practical legal skills and the ability to demonstrate a capacity for reflection on the legal skills and the legal process with all its attendant ethical and professional demands.

Teaching and supervision will be held primarily at the Centre’s offices located in the [insert].

Students will be supervised during the client interview, after which they will receive feedback from their supervisor. The teaching space will be used for the students to conduct their practical legal research and drafting.

5.4.4 Model module outline for a Streetlaw module including assessment: Option 4

Streetlaw¹

Teaching and learning profile

Aims of the module (i.e. the broad educational purposes)

Streetlaw is a vehicle by which the public can be made more aware of their rights and responsibilities. This module educates students about public legal education, pro bono work, street law and clinical legal education.

Students learn specific areas of law and run three Streetlaw projects designed to educate different groups in the community on that area of law. Strategy, reflection, feedback and principles of teaching/engaging audiences will be key features of each Streetlaw project.

Students taking this module will:

1. Gain knowledge of the theories of public legal education and practice delivering public legal education.

2. Specifically learn three substantive areas of law to a standard where students can deliver the Streetlaw projects and answer questions from the community.

3. Develop the skills of teamwork, reflection, organisation, time management, teaching and communication.

Learning outcomes (i.e. knowledge, skills and attributes to be developed through completion of this module)

On completion of the module, students will be able to do the following.

Academic content

1. Demonstrate an understanding of and an ability to engage in the theories of Streetlaw and public legal education.

2. Explore and apply legal rules, doctrines and concepts in specific and real contexts.

Disciplinary skills

1. Comprehend complex legal topics, and effectively communicate the information to different community groups from different backgrounds.

2. Demonstrate enhanced legal research skills.

Attributes

1. Use legal knowledge to design, manage and participate in a group to deliver public legal education initiatives.

2. Self-reflect and assess self-progress.

3. Identify the information needs appropriate to different professional groups and community groups and tailor the public legal education project accordingly.

Module contents

In essence, Streetlaw is a vehicle by which the public can be made more aware of their rights and responsibilities. […] the law students learn a great deal more than the law they teach – about the communities they serve and the role that law and lawyers have in addressing the legal needs of the public.

(Richard Grimes, David McQuoid-Mason, Ed O’Brien and Judy Zimmer, ‘Street Law and social justice education’ in Frank S Bloch (ed), The global clinical movement: Educating lawyers for social justice (Oxford University Press, 2011.)

This module is a unique opportunity to work with different community groups to inform their knowledge of the law. The module covers the theory and history of Streetlaw as well as public legal education more widely. Students will also learn academic content (relating to community activities) and develop communication skills, organisation skills, an ability to undertake teamwork and creativity.

Other advice about the module

Lectures

The course will be taught through a mixture of seminars and preparation for community projects. Some community activities may be outside of the scheduled seminar times.

Independent private study

This module requires a significant amount of private study. This includes reading preparation for each class and independent/group work preparing for community-based workshops.

All students need to undertake Disclosure and Barring Service (DBS) checks prior to the module starting and have satisfactory clearance. [Insert name of appropriate person/team] will assist with this.

Miscellaneous

This module involves working on clinical legal education projects at [insert name of clinic]. This includes interacting with the public (including school-aged pupils). Students on the module must abide by the rules and procedures of the [insert name of clinic]. Any breach of these rules may result in the student being removed from practical work with the community which may mean that they are not able to complete part of the assessment.

Assessment profile

5.4.5 Learning diary¹

Your details

Projects you are a student adviser on:

Areas of law you have/will advise on:

Dates of client appointments:

1.

2.

3.

4.

5.

What do you hope to achieve from being a student adviser?

1.

2.

3.

4.

5.

Training

What training have you completed? (please tick)

Key notes from training sessions

Please reflect on each of your training sessions.

What were the five most important things you learnt in each session?

LAC introduction

[Leave sufficient blank space for notes]

Interview training

[Leave sufficient blank space for notes]

Drafting training

[Leave sufficient blank space for notes]

Research training

[Leave sufficient blank space for notes]

Computer training

[Leave sufficient blank space for notes]

Subject-specific training 1

[Leave sufficient blank space for notes]

Subject-specific training 2

[Leave sufficient blank space for notes]

Subject-specific training 3

[Leave sufficient blank space for notes]

Other training notes

[Leave sufficient blank space for notes]

Client case 1

Did your case have any ethical issues?

[Leave sufficient blank space for notes]

What feedback did you get from your supervisor on the night of the appointment?

[Leave sufficient blank space for notes]

Summarise the feedback given to you by your supervisor from your first and (where relevant) second draft.

[Leave sufficient blank space for notes]

What have you learnt from completing this case?

[Leave sufficient blank space for notes]

What are you going to work on in your next case?

[Leave sufficient blank space for notes]

Interesting points raised at debrief session:

[Leave sufficient blank space for notes]

[Repeat the above for each case the student will be assigned to]

Reflection on [clinic/centre] experience

Did you meet the learning outcomes you wrote down at the beginning of this diary?

If not, what was different? Why do you think this was the case?

[Leave sufficient blank space for notes]

The top five skills you learnt from working in the [clinic/centre]:

1.

2.

3.

4.

5.

Key aspects to mention on job applications or during interviews about your [clinic/centre] experience:

1.

2.

3.

4.

5.

The five areas you need to work on most are:

1.

2.

3.

4.

5.

Areas/skills were you good at during the year:

1.

2.

3.

4.

5.

Notes

[Leave sufficient blank space for notes]

5.4.6 Student evaluation form: Option 1

This student evaluation form has two sections and requires completion for every case.

Section 1 focuses on your experiences dealing with your clients and associated casework, and section 2 upon the supervision and support you received.

Student views are important to us as they help us improve the education we offer to our students and the service we give to the public.

Section 1: Case evaluation

Student name (optional):

File number:

Nature of case:

[You must fill out the file number and nature of case prior to submission in all cases]

1. Please provide a synopsis of your case

2. Legal research

To what extent did the research required for this case improve your legal research skills?

3. Substantive law

Did your participation increase your understanding of the law, applicable to the case(s) you were involved in?

4. Problem-solving

Did your participation in this case increase your capacity to apply the law to practical problems?

5. Other skills

Did your participation in this case increase your understanding of the skills that lawyers use in their day-to-day work?

6. Ethics and professional responsibility

Did your participation in this case increase your awareness of the ethical and professional issues affecting a lawyer in practice today?

7. Overall impression

Do you consider the experiences gained dealing with this case, or in the clinic, to be a valuable part of your legal education?

8. Your experience

What did you enjoy the most about this case and the [clinic] module?

What did you least enjoy about this case and the [clinic] module?

In your opinion, how could the [clinic] module be improved?

9. On average, how many hours’ work did you spend on your case and on the [clinic] module?

10. Support: Do you feel that you received enough support?

From [clinic] staff

From the members of your [student law firm]

Other [clinic] students

11. Is the workspace in the [clinic] satisfactory?

If you believe improvements are needed or could be made, please tell us about them.

12. Would you like more training?

If you would, please tell us what you think is missing or could be improved upon.

13. What aspects of the [clinic] module have been the most beneficial for your legal education?