Legal Aid Agency Framework Document Legal Aid Agency Framework Document
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Legal Aid Agency Framework Document Legal Aid Agency Framework Document Contents 1 Introduction 4 2 Aims and objectives 5 3 Roles, responsibilities and governance 6 4 Accountability to Parliament 11 5 Finance, performance and reports 12 6 Legal Aid Agency staff 16 7 Audit and assurance 17 8 Provision of corporate services 18 Annex Compliance with government-wide corporate guidance and instructions 22 Legal Aid Agency Framework Document 1 Introduction 1.1 The Legal Aid Agency is an executive agency 1.7 Any departure from the provision of the of the Ministry of Justice (the Department), Framework Document must be agreed in established in 2013. writing on a case-by-case basis between the Permanent Secretary and Chief Executive, if 1.2 The Legal Aid Agency was set up in order appropriate, with the approval of the Lord to support the strategic aims of Ministers Chancellor or delegate, and minister at Her and the Department. Its main aim is to Majesty’s Treasury. commission and administer legal aid services in England and Wales. 1.8 Any questions concerning the interpretation of this Framework Document will be resolved 1.3 This Framework Document sets out by agreement between the Permanent the arrangements for the governance, Secretary and the Chief Executive. accountability, financing, staffing and operation of the Legal Aid Agency, agreed between the Permanent Secretary and the Chief Executive of the Legal Aid Agency with the approval of the Lord Chancellor. 1.4 Copies of this Framework Document and any subsequent amendments will be placed in the libraries of both Houses of Parliament. Copies will be available on the Department’s website. 1.5 This Framework Document will be reviewed formally every three years under arrangements agreed between the Permanent Secretary and the Chief Executive and approved by the Lord Chancellor. It may, however, be reviewed at any other time if they so wish. 1.6 Amendments to this Framework Document must be agreed by the Permanent Secretary and the Chief Executive and approved by the Lord Chancellor or delegate. Major amendments must be agreed by Her Majesty’s Treasury, as required. 4 Legal Aid Agency Framework Document 2 Aims and objectives 2.1 The Legal Aid Agency’s role is to commission and administer legal aid services in England and Wales, taking account of the relevant provisions of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 and the policy and strategy set by ministers and the Department. 2.2 The Legal Aid Agency’s purpose and objectives, as agreed by the Lord Chancellor are set out in the Legal Aid Agency Business Plan. The Business Plan is available online. 5 Legal Aid Agency Framework Document 3 Roles, responsibilities and governance Ministerial Responsibilities The Chief Executive 3.1 The Lord Chancellor will account for the 3.6 The Chief Executive is appointed by the Legal Aid Agency’s business in Parliament Permanent Secretary of the Department, and will determine policy on the availability in consultation with the Lord Chancellor. of legal aid. Remuneration will be agreed in accordance with the performance and reward The Permanent Secretary arrangements for members of the Senior 3.2 The Permanent Secretary is the Civil Service. Departmental Sponsor of the Legal Aid Agency. 3.7 The Chief Executive is accountable to the Permanent Secretary for his or her personal 3.3 The Permanent Secretary advises the Lord performance and through the Permanent Chancellor on how well the Legal Aid Secretary to the Lord Chancellor for the Agency is performing. performance of the Legal Aid Agency. The Chief Executive will sit on the Department’s 3.4 The Permanent Secretary’s responsibilities Executive Management Committee of the include: Board. endorsing Legal Aid Agency Corporate 3.8 The Chief Executive is responsible for the and Business Plans before they are leadership of the Legal Aid Agency and its submitted to the Lord Chancellor, and day-to-day operations and management. ensuring the Legal Aid Agency conforms to departmental policy and has the 3.9 The Chief Executive is responsible for delegations and authorities necessary effective leadership of the Legal Aid for effective delivery and continuous Agency, ensuring robust planning and improvement. sound financial management. These responsibilities include: 3.5 The Permanent Secretary is also the Principal Accounting Officer (PAO) of the efficient and cost-effective management Department. The PAO is accountable to of the Legal Aid Agency so as to ensure Parliament for the public funds delegated to it achieves its outcomes the Chief Executive of the Legal Aid Agency. effective leadership to the staff of the The PAO also advises the Lord Chancellor on: Legal Aid Agency preparing the Legal Aid Agency’s how well the Legal Aid Agency is strategy and Business Plans, ensuring achieving its strategic objectives and that they reflect departmental policy whether it is delivering value for money and strategy how the Legal Aid Agency’s strategic developing structures which assign aims and objectives contribute to the responsibilities and accountabilities Department’s wider strategy and in such a way that the Legal Aid priorities, and Agency can effectively deliver its an appropriate budget for the Legal Aid separate commissioning and delivery Agency in the light of Department’s responsibilities within the delegated overall public expenditure priorities. allocation 6 Legal Aid Agency Framework Document ensuring robust financial planning and The Chief Executive as Accounting Officer a full understanding of the costs of the 3.12 The Chief Executive is designated as the Legal Aid Agency’s activities Legal Aid Agency Accounting Officer ensuring that the Legal Aid Agency and (AO) by the PAO of the Department, with the providers it commissions comply responsibilities as set out in Chapter 3 of fully with all relevant legislative and Managing Public Money, and is accountable corporate governance requirements, and to the PAO and to Parliament for those supporting the Director of Legal Aid responsibilities. Casework’s role where these are held by seperate individuals, in making 3.13 In the event that the Legal Aid Agency determinations in individual legal aid decides to delegate activities within its cases. In supporting the Director of remit to external providers, whether they Legal Aid Casework in this role, the Chief be public sector or private providers, the Executive must ensure that he or she AO shall ensure that such delegation is does not compromise the independence subject to a robust governance regime, of the Director in decision making in an evidenced in a statement of accountability. individual case. 3.14 In providing the Statement of 3.10 The Chief Executive will advise the Lord Accountability the AO shall ensure that any Chancellor through the Permanent such regime is supported by a process of Secretary on matters relating to the regular review and monitoring, to ensure operational delivery of ministerial and that governance arrangements are current departmental policies on legal aid and fit for purpose. operations. The Chief Executive will retain a standing right of access to the relevant Delegation of duties Minister. Any urgent matters or difficulties 3.15 The Chief Executive may delegate the arising in the relationships or responsibilities day-to-day administration of his or her between the Department and the Legal Aid AO responsibilities to other employees in Agency will be escalated, as appropriate, the Legal Aid Agency and/or other public for discussion between the Permanent or private organisations. However, he or Secretary and the Chief Executive. she shall not assign absolutely to any other person any of the responsibilities set out in 3.11 If the Chief Executive does not also hold the this document. office of the Director of Legal Aid Casework (see paragraph 3.19 below), the Chief Responsibilities for accounting to Parliament Executive is responsible for supporting the 3.16 As AO, the Chief Executive’s responsibilities Director of Legal Aid Casework’s role in to Parliament include: making determinations in individual legal aid cases. In supporting the Director of signing the accounts and ensuring Legal Aid Casework in this role, the Chief they are prepared according to the Executive must ensure that he or she does not requirements set out in this document compromise the independence of the Director signing a Statement of Accounting in decision making in an individual case. Officer’s responsibilities and a Governance Statement for inclusion in the Legal Aid Agency annual report and accounts 7 Legal Aid Agency Framework Document ensuring that effective procedures for The Director of Legal Aid Casework handling complaints about the Legal Aid 3.19 Determinations in individual legal aid Agency are established and made widely cases will be made by a statutory office known within the organisation holder, a civil servant designated by acting in accordance with the terms of the Lord Chancellor as the Director this document, Managing Public Money of Legal Aid Casework under section and other instructions and guidance 4 of the Legal Aid Sentencing and issued from time to time by the Punishment of Offenders (LASPO) Act Department, Her Majesty’s Treasury and 2012. Under section 4(3) of the LASPO the Cabinet Office, and Act 2012 the Director must comply giving evidence, normally with the PAO, with the directions given by the Lord when summoned before the Public Chancellor about the carrying out of Accounts Committee (PAC) on the Legal the Director’s function under the Act, Aid Agency’s stewardship of public funds. and must have regard to guidance given by the Lord Chancellor about Responsibilities to the Department the carrying out of those functions. 3.17 The Chief Executive’s particular However, under section 4(4) of the responsibilities include informing and LASPO Act 2012 the Lord Chancellor agreeing with the Department regarding: must not give a direction or guidance about the carrying out of the Director’s progress in helping to achieve its policy functions in relation to an individual objectives and in demonstrating how legal aid application.