Quality Assurance Scheme for Advocates (Crime) Invitation to Tender

Transcription

1 Quality Assurance Scheme for Advocates (Crime) Invitation to Tender Joint Advocacy Group, December 2011 Page 1 of 110

2 Table of Contents PART 1 GENERAL CONDITIONS PART 2 THE QUALITY ASSURANCE SCHEME FOR ADVOCATES (QASA) PART 3 APPLICATIONS SEEKING APPROVAL TO BE A QASA ASSESSMENT ORGANISTATION PART 4 APPLICATIONS SEEKING APPROVAL TO DELIVER DEFINED DEVELOPMENT QASA CPD APPENDICES Appendix 1 Proposed Heads of Agreement Appendix 2 Categories of offence according to level Appendix 3 Assessment Framework (summary) Appendix 4 Criminal Advocacy Evaluation Form Appendix 5 Statement of Standards Page 2 of 110

3 Introduction 1. The Solicitor s Regulation Authority (SRA), Bar Standards Board (BSB) and the Institute of Legal Executives Professional Standards (IPS) * the Regulators + have been working together via the Joint Advocacy Group (JAG) to develop a scheme (QASA or the Scheme) to quality assure the standards of lawyers working as advocates in the criminal courts. 2. An outline of the Scheme is as follows: advocates will be accredited at one of four levels a level 1 advocate undertakes work in the Magistrates Court and a level 4 advocate is able to appear in the most serious and complex hearings in the Crown Court advocates may progress through the four levels by demonstrating through assessment that they meet the required standard for the next level. Advocates who choose to remain at their current level will be required to re accredit at that level once every five years there will be two methods of assessment within the Scheme: assessment via judicial evaluation or a combination of assessment via an assessment organisation and judicial evaluation. Advocates using assessment organisations will be assessed in a range of simulated exercises. The Scheme is more fully described in Part Two of this document. 3. This document ( the ITT ) has been produced for organisations who intend to seek approval to be authorised to: undertake assessment of advocates competency under QASA at levels 2, 3 and 4 offer defined developmental CPD under QASA. 4. The document is arranged as follows: Part 1: General Conditions for the submission of tenders, selection and approval Part 2: The Scheme Part 3: Applications seeking approval to be a QASA Assessment Organisation Part 4: Application seeking approval to deliver Defined Developmental QASA CPD Page 3 of 110

4 PART ONE General conditions 5. Each application for approval will be considered by a panel established by JAG. The panel will identify if any further information or clarification is needed and request this from the organisation. Proposed Time Scales 6. The Table below sets out the timescales for submission of all tenders, selection and approval Action Date Invitation to Tender (ITT) available 15 December 2011 Acknowledgement of receipt of Tender by organisation 23 January 2012 Closing date for submissions 9 March 2012 Confirmation of receipt of submission 12 March 2012 Shortlisting w/c 12 March 2012 Interviews/approval events w/c 19 March 2012 Contracts agreed w/c 26 March 2012 Approved organisations announced w/c 2 April 2012 Approved organisations operational 1 August Approved organisations will be required to enter into a formal agreement with the SRA who is authorised by the BSB and IPS to be the contracting regulator for this aspect of the Scheme. Proposed Heads of Agreement are set out in Appendix All information provided by the organisation in support of its application will be treated as confidential information. A decision to grant approval will be treated as public information. 9. The SRA will not be liable for any costs incurred by any organisation responding to this ITT. 10. The Regulators are committed to the promotion of equality and diversity principles and to ensuring that those principles are embedded in its culture and work. The Regulators expect its suppliers to demonstrate a similarly high level of commitment to promoting equality and diversity. Page 4 of 110

5 11. The preparation of the Tender will be made without obligation by the SRA or any of the Regulators to acquire any of the provision included in the Tender, or to select any organisation s response, or to discuss the reasons why a Quotation is accepted or rejected. 12. Please provide all information requested and include, where appropriate, any supporting documents. This will assist the panel to ensure a fair assessment of the applications. Purpose and objectives of the documentation 13. The purposes of this Invitation to Tender (ITT) and accompanying documentation are: to provide prospective approved organisations with sufficient information to understand and respond to the requirements of the Scheme to ensure a consistent level of information is obtained from each organisation to provide a structured framework for the subsequent evaluation of each organisation's submitted bid and to ensure the proposals meet the needs of the Scheme to provide a basis for selecting a short list of organisations for interview The objectives of this exercise are to: identify and approve the organisation/s that meet best meet the requirements via a fair and transparent process identify the optimum organisation/s against the requirements of the specification Description of Provision Required 14. Submissions are invited from organisations, working on their own or in consortia arrangements, with the experience and capability to: provide assessment of an advocate s level of achievement for the purposes of the Scheme ( Approved QASA Assessment Organisation ) (see Part Three of this document) deliver defined development CPD to advocates of levels 2, 3 and 4 for the purposes of the Scheme ( Defined Developmental QASA CPD ) (see Part Four of this document). An organisation may apply for approval for one or more of the provision listed in this paragraph. Instructions about the submissions 15. Five hard copies and one electronic copy of your application should be submitted to The Education and Training Unit, Solicitors Regulation Authority, Ipsley Court, Berrington Close, Redditch B98 0TD or DX Redditch, to jo.welsh@sra.org.uk by no later than 9 March Organisations which are short-listed will be invited to attend an approval event (which will include interviews and presentations) before a panel who will evaluate which of the short-listed Page 5 of 110

6 organisations meets the criteria set out within this document and appears best able to deliver the provision described in Part Three and Part Four of this document. Approval events will take place week commencing 19 March The panel will comprise suitably qualified individuals with knowledge and experience of: Training and assessment of advocacy Assessment of competence in a real work environment Legal education and training Education standards and quality assurance 18. Members of the panel will be required to confirm that no conflict of interest arises in respect of their membership of the selection panel. A member of staff from one of the Regulators within the JAG will also attend the approval event and act as clerk. The clerk will be responsible for documenting discussions and decisions. 19. One member of the panel will act as Chair and will hold a pre-meeting with other panel members and the clerk to agree the structure of the approval event. At the approval event, the Chair will make introductions, outline procedures, invite short-listed organisations to make representations, ensure that all items are fully discussed and that the applicant organisation is provided with an opportunity to deal comprehensively with all matters discussed. 20. At the conclusion of the approval event, each panel member will score each of the organisations interviewed against the criteria. The Chair will then call a meeting of the panel to consider each panel member s views and to obtain a consensus on the strengths and weaknesses of the submissions. There will be a written record of this stage of proceedings. 21. The panel is not bound to accept the lowest financial bid of any of the submissions. 22. Those organisations which are unsuccessful in their submissions will be notified in writing by no later than 26 March All enquiries should be directed to Mandy Gill, The Education and Training Unit, Solicitors Regulation Authority, Ipsley Court, Berrington Close, Redditch B98 0TD, mandy.gill@sra.org.uk Selection of organisations for short-listing and for appointment 24. The panel members will consider submissions and the extent to which they match the criteria set out below and will score each submission using a scoring range as follows: Page 6 of 110

7 Scoring Range Grade Range Criteria 0 Does not meet the requirement 1-3 Demonstrates a basic level of response to the requirement 4 6 Demonstrates an acceptable level of response to the requirement 6 9 Demonstrates a high level of response to the requirement 10 Demonstrates an exceptional level of response to the requirement 25. For submissions under Part Three (applications to be a QASA assessment organisation) the scoring range above will be applied to the criteria set out below against which the submissions will be judged. Criteria 1 Demonstrable experience of delivering effective work-based competency assessment in the legal or other comparable sectors 2 A clearly articulated approach to and methodology for delivering the work including: A timetable for delivery and proposed locations for delivery Weighting 20% 50% Proposed content of the assessment (10%) Sample materials for assessing advocates against the advocacy standards at levels 2, 3 and 4 (25%) Quality assurance arrangements to ensure consistent, reliable and fair assessment of advocacy (10%) 3 A demonstrably knowledgeable and experienced team to be used to develop and deliver effective work-based competency assessment in the legal or other comparable sector 4 Detailed understanding of and commitment to equality and diversity issues in own practices and in the development and 20% 10% Page 7 of 110

8 delivery of assessments. 26. For submissions under Part Four (applications to deliver Defined Developmental CPD) the scoring range above will be applied to the criteria set out below against which the submissions will be judged. Criteria 1 Demonstrable experience of delivering effective professional training in assessing competence in the legal or other comparable sector 2 A clearly articulated approach to and methodology for delivering the work including: A timetable for delivery (5%) Weighting 20% 50% The format and structure of training (10%) Sample materials (25%) Proposed methods of evaluating successful completion of the training and proposed methods for data collection ob attendance and successful completion of training (10%) 3 A demonstrably knowledgeable and experienced team to be used to develop and deliver training 20% 4 Detailed understanding of and commitment to equality and diversity issues in own practices and in the development and delivery of training. 10% 27. In the case of all submissions, the overall benchmark score for to achieve selection for interview will be 60%. Page 8 of 110

9 PART TWO - The Quality Assurance Scheme for Advocates QASA or the Scheme Background 28. The origins of the Quality Assurance Scheme for Advocates (QASA) lay in Lord Carter s Report of 2006 into legal aid procurement. In that report, Lord Carter said: There is a client driven need for the quality assurance of advocacy to be more than a reactive mechanism addressing specific complaints or concerns The initial development of a scheme was taken forward by the Legal Services Commission (LSC) until 2009 when under the project sponsorship of the Legal Services Board (LSB), responsibility for the development and delivery of a scheme was taken on by the three main regulators of advocates: the Bar Standards Board (BSB), the Solicitors Regulation Authority, (SRA) and ILEX Professional Standards (IPS) * the Regulators The Regulators established the Joint Advocacy Group (JAG) to take forward the development of a quality assurance scheme for advocacy (crime). JAG comprises representatives from each of the Regulators with experience of criminal advocacy, quality assurance and competency assessment, education and training and professional standards. The Scheme 31. Eight principles are central to the Scheme. They are that the Scheme: I. Applies to all criminal advocates II. Is accountable to the regulators and independent from the representative bodies III. Is proportionate and targeted IV. Is economic V. Is straightforward VI. Carries the confidence of the public and the professions and is in the public interest VII. Has consistent and fair assessment VIII. Has common advocacy standards 32. An outline of the Scheme is as follows: advocates will be accredited at one of four levels a level 1 advocate undertakes work in the Magistrates Court and a level 4 advocate is able to appear in the most serious and complex hearings in the Crown Court advocates may progress through the four levels by demonstrating through assessment that they meet the required standard for the next level. Advocates who choose to remain at their current level will be required to re accredit at that level once every five years there will be two methods of assessment within the Scheme: assessment via judicial evaluation and assessment principally via an assessment organisation with some element of Page 9 of 110

10 judicial evaluation. Advocates using assessment organisations will be assessed in a range of simulated exercises. The Statement of Standards 33. The Scheme is founded on a single set of standards which will apply to all advocates and which identify the skills and behaviours expected of a criminal advocate. The same set of standards applies to all advocates regardless of the level at which the advocate is operating. 34. Within the standards are a set of performance indicators providing clear criteria of what is expected of an advocate at each of the four levels. The standards and accompanying performance indicators for each standard at each level are set out in the Statement of Standards. The current version of these are attached at Appendix 2, but it should be noted that they may be subject to change.. This is the key reference tool for those involved in the Scheme, whether as advocates, judges or external assessors. Where the assessments are undertaken in an assessment organisation, the assessments used to assess the level at which the advocate has performed must be blue-printed against these standards. 35. The four levels of the Scheme are mapped to complexity of work ranging from cases dealt with in the Magistrates Courts at level 1 through to level 4 cases of the most complex nature dealt with in the Crown Court. The JAG has developed guidance on the offences covered by each level. The current version is attached at Appendix 2. This may however change from time to time. The assessment framework 36. The assessment framework developed by JAG allows advocates to either progress through the levels or to re-accredit at the same level if they wish to remain in the Scheme. The assessment framework is set out below and is summarised in the table attached in Appendix An advocate can enter the Scheme at any level provided he or she demonstrates competence at that level and has been granted rights of audience for level 2 and above. Advocates joining the Scheme at level 1 will have demonstrated level 1 competency requirements via the individual regulator s education and training pathway (i.e. for solicitors by completion of the Legal Practice Course, training contract and Professional Skills Course, for barristers by completion of the Bar Professional Training Course and pupillage, and ILEX members who have qualified as Legal Executive Advocates ). 38. A level 1 advocate wishing to progress to level 2 has the following routes available options: Route 1: (in the case of solicitors) obtain Higher Rights of Audience by successful completion of the Higher Rights of Audience Assessment (which will be mapped against the Scheme s standards to ensure that advocates completing the Higher Rights assessments have also met the level two standards) and the successful validation of their level 2 status through two pieces of judicial evaluation; or Page 10 of 110

11 Routes2: (in the case of barristers) by obtaining judicial evaluation from five cases completed under provisional license. 39. Advocates who wish to progress from level 2 to 3 or 3 to 4 have two options for assessment: Option 1: Judicial evaluation in a live, real work environment; Option 2: assessment by an assessment organisation via a series of simulated exercises and an additional element of judicial evaluation. The advocate is able to choose which method best fits with the advocate s circumstances and will also determine when s/he would like to initiate the process of progression. 40. The advocate seeking to progress via judicial evaluation will be required to obtain a maximum of five pieces of judicial evaluation over a 12 month period, three of which must confirm that the advocate is competent at their current level and appears ready to progress to the next level. The advocate must obtain the evaluations in consecutive cases and will be required to confirm to their regulator on their application that they have obtained no more than five Criminal Advocacy Evaluations Forms (CAEFs - see paragraph 52 and Appendix 4) over the previous 12 months and that all of their judicial evaluations are listed on the application. It will be a matter of professional conduct if the advocate misleads their regulator. 41. The advocate will invite the judge to complete an evaluation form which the advocate will retain. As soon as the advocate has three competent evaluations, the advocate will submit these evaluations to their regulator and apply to be accredited at the higher level. 42. On receipt of the advocate s application, the advocate will be granted provisional accreditation at the higher level. This reflects the fact the advocate has necessarily been assessed against the standards at the lower level and is not yet tried in a case at the higher level. Following the provisional accreditation the advocate must be judicially evaluated and obtain CAEFs in two of their first five cases at the new level, having been assessed against the standards for the higher level. The advocate will then submit the evaluations to their regulator at which point the advocate will become fully accredited at the new level. 43. Advocates who are evaluated as not competent at the higher level will revert to their previous level. 44. An advocate may also make an application to progress via assessment undertaken in an assessment organisation. This will involve the advocate being assessed as competent in a range of simulated court room and practical assessments. Advocates attending an assessment organisation will be assessed against the standards for the level to which they aspire. 45. On passing the assessments, the advocate will apply to their regulator for recognition at the new level. On receipt of the advocate s application, the regulator will grant the advocate a provisional accreditation at the higher level. This reflects the fact the advocate is not yet tried in Page 11 of 110

12 a case at the higher level. Once provisionally accredited the advocate must be judicially evaluated and obtain CAEFs from two of their first five cases at the new level, having been assessed against the standards for the higher level. The advocate will then submit the evaluations to their regulator at which point the advocate will become fully accredited at the new level. 46. Advocates who are provisionally accredited and are evaluated as not competent in the provisional accreditation status will revert to their previous level. 47. The Scheme is competency based: there is no limit on the number of attempts which an advocate may have to progress. The advocate who chooses to try and progress via judicial evaluation will, as above, be capped at the number of evaluations s/he may seek in a single 12 month period. It is proposed that advocates who are not initially successful in their attempts to progress are advised to wait for at least six months before making a further attempt. Reaccreditation 48. If an advocate chooses to remain at the same level for a prolonged period, he or she must reaccredit every five years. At level 1 this will be demonstrated by requiring advocates to show that they continue to meet the level one standard by successfully completing approved CPD or by any other suitable method which has been approved by JAG. 49. Advocates at levels 2, 3 and 4 who apply for reaccreditation will, as with progression, be subject to assessment either by judicial evaluation or by an assessment organisation. It will be for the individual advocate to determine which assessment method best suits their individual circumstances. As with the assessment requirements for progression, advocates will need to obtain a maximum of five pieces of judicial evaluation over the 12 months immediately prior to their reaccreditation date, three of which must confirm their competence at their current level. 50. Having commenced the process of reaccreditation by obtaining their first CAEF, the advocate will then be required to obtain their further CAEFs in consecutive cases. The advocate will be assessed against the standards for their current level undertaking cases at that level. Advocates using the assessment organisation route will be assessed in simulated exercises against the standards for their current level. 51. Advocates who seek re-accreditation through the assessment centre route will also need one piece of judicial evaluation confirming their competence at their chosen level. The Criminal Advocacy Evaluation Form 52. The performance of an advocate during an assessment is to be recorded on the Criminal Advocacy Evaluation Form (CAEF) (Appendix 4). The CAEF sets out the advocacy standards and the performance indicators which are intended to define what is expected of the advocate at each level. These performance indicators must be applied by assessment organisations assessing advocacy performance in a simulated setting (and will be used by judges assessing advocacy in Page 12 of 110

13 court i.e. undertaking judicial evaluation). Assessment organisations may use the CAEF or equivalent tool to record the performance of an advocate undertaking assessment. Approval of assessment organisations 53. All advocates at Level 2 and above may choose to remain at the same level or progress to the next level. The Scheme sets out clear and precise criteria which must be met by an advocate wishing to re-accredit at the same level or progress to the next level. The former involves either the submission of satisfactory judicial evaluation or the successful completion of appropriate simulated assessments completed at an approved assessment organisation. Where the advocate wishes to progress from level 2 to level 3 or level 3 to level 4, he or she may rely entirely on judicial evaluation or must use a combination of assessments successfully completed at an approved assessment organisation and judicial evaluation. 54. JAG has decided that advocacy which is not assessed by a judge in court must be assessed only by organisations authorised by JAG on behalf of the three regulators. Organisations which meet all of the requirements set out in Part Three of this document and provide the most advantageous solution will be selected. Subject to these conditions, JAG will approve a maximum of 4 organisations to ensure sufficient accessibility for advocates who wish their advocacy competency to be assessed other than entirely by judicial evaluation. Demand 55. It is not possible to predict accurately how many advocates will join the Scheme, the level at which they will join and the rate at which they decide to progress. The most recent monitoring data collected by the three regulators indicates that 4,500 solicitors have Solicitor Higher Rights of Audience for Crime status and between 6,000 6,500 barristers and 40 Legal Executive Advocates are also eligible to join the Scheme. Equally, it is not possible to predict how many advocates will opt for assessment by assessment organisation or by judicial evaluation. Prospective providers will however need to demonstrate that they have sufficient capacity to manage the assessment process effectively and should indicate on their submission the maximum numbers which they would be able manage. Page 13 of 110

14 PART THREE applications seeking approval to become an Approved QASA Assessment Organisation for: (i) (ii) (iii) Level 2 advocates Level 3 advocates Level 4 advocates 56. This section sets out the conditions and requirements which an organisation must meet to be approved by the Joint Advocacy Group ( JAG - acting on behalf of the Regulators) as a QASA assessment organisation for the purposes of the Quality Assurance for Advocates Scheme ( Approved QASA Assessment Organisation ). 57. The approval process requires each organisation to satisfy JAG that it is a viable organisation, adequately resourced with appropriate governance and that that its assessments meet the requirements of a systematic procedure for measuring an advocate s level of achievement according to the competency standards for the relevant level as defined in the Statement of Standards (Appendix 5). These requirements are more fully set out in paragraph 61 below. It will be a condition of any approval that the organisation submits to and complies with any monitoring and other quality assurance activity undertaken by JAG or any one, or all of the Regulators. Approval of the organisation 58. An organisation seeking approval to be an Approved QASA Assessment Organisation must satisfy JAG that: 58.1 the organisation s structure, core business and financial arrangements are viable and that it has robust and effective governance and that it will be able to consistently provide a systemic procedure for measuring an advocate s level of achievement according to the competency standards defined in the QASA Statement of Standards (Appendix 5) 58.2 the organisation has in place effective policies, procedures and processes to ensure that it operates in a fair and transparent manner 58.3 the organisation will be able to have in place an integrated set of assessments which are blue-printed against and support the QASA Statement of Standards (Appendix 5) 58.4 the staff are appropriately qualified and experienced to undertake the role and remain so through relevant staff development and appraisal, in particular they must ensure that their assessors and quality assurers are both occupationally knowledgeable and competent. This means they should possess the relevant knowledge and skills to assess an advocate s competency against the standards required by the Scheme 58.5 the assessments provide relevant and timely feedback to advocates Page 14 of 110

15 58.6 that the quality assurance framework is rigorous and effective 58.7 that the organisation has in place an effective staff development policy to ensure that all assessors remain appropriately qualified and experienced to undertake assessment and are regularly appraised for staff development needs 58.8 the organisation is able to offer the assessment in a range of locations throughout England and Wales 59. Subject to the organisation complying with any monitoring and quality assurance requirements, approval is valid for a period of three [3] years after which the organisation must seek reapproval. 60. Following successful approval, if an organisation intends to make any of the following changes, it must notify the SRA in writing of such changes. The SRA will determine what if any effect such change has on the organisation s ability to retain its approval status and continue to meet its obligations to the SRA: any substantial changes to the organisation any significant changes or modifications to the approved assessment regime any changes in staffing or other resources any changes to the quality assurance arrangements. 61. To enable the panel to determine whether the criteria for selection and appointment are met, the following evidence and information must be submitted with the application: Information required Section 1 Financial and organisational viability Please provide the following information: 1.1 the name of the organisation seeking to be an Approved QASA Assessment organisation 1.2 the principal nature of the organisation s business, the organisation s legal status and governance arrangements 1.3 information about the status of directors (or equivalent) and all individuals involved in the assessment process including CVs of key personnel 1.4 disclosure of adverse findings/formal investigations in relation to the provider/key personnel Page 15 of 110

16 1.5 name, , postal address and phone number of a key contact 1.6 current annual report, including profit and loss data 1.7 budget forecasts for the project for the current and next 12 months Section 2 Resources Please provide the following information: 2.1 a people chart/organogram to include a role description of key personnel who will be involved in the assessment design and the assessment of the advocate (including providing feedback) 2.2 the CVs of key personnel involved in the assessment design and assessment of the advocate (including providing feedback) 2.3 evidence that will support stakeholders confidence in the organisation s ability to provide an assessment regime that is fit for purpose and meets the objectives of QASA 2.4 details of any identified risks which the organisation foresees may arise in undertaking this work and a summary of the mitigating actions that it would take to reduce or eliminate the risk 2.5 if the organisation intends to engage sub-contractors to work on the design or assessment of advocates, please identify how the organisation will ensure that those engaged have the relevant qualifications and experience and how they will be supervised 2.6 details of the organisation s staff development policy (which must evidence also its commitment to equality and diversity ) 2.7 details of facilities and resources for the conduct of assessments 2.8 details of the maximum and minimum number of candidates that the organisation can assess in a 12 month period and how it is able to respond to fluctuating demand Section 3 Assessment infrastructure Please provide the following information: 3.1 the volume and nature of the organisation s experience of assessing candidates in respect of SRA, BSB or IPS qualifications and schemes, or other regulated professional qualifications and training including details of: its registration and tracking system data management and data security arrangements management and security of assessment documents Page 16 of 110

17 3.2 a detailed assessment strategy explaining the proposed style and format of the assessments, how the assessments will be set and assessed and indicating how the assessment: is reliable: the assessment should generate results that provide a reliable measure of performance of the QASA standards will systematically assess the advocate s competencies at the relevant level is valid: the assessment should generate results that provide a fair and accurate measure of the required competency in accordance with the QASA standards. A sample level 2, 3 and level 4 assessment exercises must be submitted with the initial application for accreditation as an assessment organisation. 3.3 assessment regulations which must as a minimum address: mitigation and extenuating circumstances re-assessment assessment offences (which must include a requirement to notify JAG within 28 days of all proven assessment offences) the constitution and conduct of assessment boards appeals 3.4 details of assessor training, induction, continuing staff development and appraisal 3. 5 procedures, mechanisms and resources for identifying and meeting the entitlements of a candidate with disabilities 3.6 details of how and when feedback will be provided to advocates 3.7 where relevant, written invigilator guidelines to include: provisions to ensure the security and safekeeping of the assessment papers and documents information about permitted materials the number of invigilators for each assessment Section 4 Quality Assurance Please provide the following information: 4.1 details of the systems for external scrutiny of arrangements for assuring quality, maintaining standards and ensuring consistency of judgement by assessors Page 17 of 110

18 4.2 details of the organisation s internal systems and procedures to assure quality and standards, identify good practice and promote enhancement 4.3 details of systems which the organisation will employ to monitor compliance with its equality and diversity policy and commitment 4.4 mechanisms for obtaining written candidate feedback and how this will contribute to the organisation s assurance and enhancement activities Section 5 Candidate information Please provide the following: 5.1 a draft candidate handbook 5.2 the organisation s written complaints handling procedure which provides that complaints are handled promptly, fairly and effectively in accordance with it 5.3 evidence of a confidentiality policy which contains procedures to cover all information given to the organisation by the candidate, confidentiality of the candidate s results, procedures to follow if confidentiality is breached Section 6 Equality and Diversity Section 7 Fees and charges Please provide evidence that the organisation has adopted and implemented an appropriate equality policy designed to prevent discrimination and harassment and promoting equality and diversity within the organisation and in all its activities and in respect of its relationship with candidates and other third parties. Please provide: 7.1 a statement of the costs the organisation expects to incur in undertaking the work 7.2 a statement of the proposed fees to be charged Page 18 of 110

19 PART FOUR Applications seeking approval to be authorised to deliver Defined Developmental QASA Continuing Professional Development Introduction 62. This section sets out the conditions and requirements which an organisation must meet to be approved by the Joint Advocacy Group ( JAG - acting on behalf of the Regulators) to deliver Defined Developmental Continuing Professional Development to advocates pursuant to the Quality Assurance of Advocates Scheme ( Defined Developmental QASA CPD ). 63. The approval process requires each organisation to satisfy JAG that: it is a viable organisation, adequately resourced with appropriate governance its able to offer continuing professional developments to advocates who either because of their own assessment and evaluation of their needs, or by reason of a recommendation of their respective regulator, wishes to undertake continuing professional development to enable the advocate to meet the competency standards in levels 2, 3 or 4 of the Scheme it has in place a robust and effective quality assurance framework. These requirements are more fully set out in paragraph 66 below. It will be a condition of any approval that the organisation submits to and complies with any monitoring and other quality assurance activity undertaken by JAG or any one or all of the Regulators. Approval of the organisation 64. An organisation seeking approval to deliver Defined Developmental QASA CPD must satisfy JAG that: 64.1 the organisation s structure, core business and financial arrangements are viable and that it has robust and effective governance and that it will be able to consistently undertake the delivery of Defined Developmental QASA CPD on behalf of the Regulators 64.2 the organisation has in place effective policies, procedures and processes to ensure that it operates in a fair and transparent manner 64.3 the staff are appropriately qualified and experienced to design and deliver continuing professional development aligned to levels 2, 3 and 4 of the Scheme and remain so through relevant staff development and appraisal 64.4 its quality assurance framework is rigorous and effective. 64. Subject to the organisation complying with any monitoring and quality assurance requirements, approval is valid for a period of three [ 3] years after which the organisation must seek reapproval. 65. Following successful approval, if an organisation intends to make any of the following changes, it must notify the SRA in writing of such changes. The SRA will determine what if any effect such Page 19 of 110

20 change has on the organisation s ability to retain its approval status and continue to meet its obligations to the SRA: any substantial changes to the organisation any changes in staffing or other resources any changes to the quality assurance arrangements. 66. To enable the panel to determine whether the criteria for selection and appointment are met, the following evidence and information must be submitted with the application: Information required Section 1 Financial and organisational viability Please provide the following information: 1.1 the name of the organisation seeking authorisation to deliver Defined Developmental QASA CPD 1.2 the principal nature of the organisation s business, the organisation s legal status and governance arrangements 1.3 information about the status of directors (or equivalent) and all individuals involved in the design and delivery of CPD including CVs of key personnel 1.4 disclosure of adverse findings/formal investigations in relation to the provider/key personnel 1.5 name, , postal address and phone number of a key contact 1.6 current annual report, including profit and loss data 1.7 budget forecasts for this project for the current and next 12 months Section 2 Resources Please provide the following information: 2.1 a people chart/organogram to include a role description of key personnel who will be involved in the design and delivery of defined Developmental QASA CPD 2.2 the CVs of key personnel involved in the design and delivery of Page 20 of 110

21 Defined Developmental QASA CPD 2.3 evidence that will support stakeholders confidence in the organisation s ability to design and deliver Defined Developmental QASA CPD which meets the objectives of QASA 2.4 details of any identified risks which the organisation foresees may arise in undertaking this work and a summary of the mitigating actions that it would take to reduce or eliminate the risk 2.5 if the organisation intends to engage sub-contractors to work on the design or delivery of Defined Developmental QASA CPD, please identify how the organisation will ensure that those engaged have the relevant qualifications and experience and how they will be supervised 2.6 details of the organisation s staff development policy (which must include compulsory equality and diversity training) 2.7 details of facilities and resources to be used Section 3 Infrastructure Please provide the following information: 3.1 the volume and nature of the organisation s experience of designing and delivering a high standard of continuing professional development in respect of the Regulators respective qualification pathways and schemes, or other regulated professional qualifications and training including details of: its registration and tracking system data management and data security arrangements management and security of assessment documents 3.2 evidence of a comprehensive understanding of the standard of performance required at levels 2, 3 and 4 and a learning and teaching strategy which will support the development of curricula mapped against the competency standards 3.3 details of staff training, induction, continuing staff development and appraisal 3.4 procedures, mechanisms and resources for identifying and meeting the entitlements of an advocate with disabilities 3.5 details of how and when feedback will be provided to advocates. Organisations will be expected to provide a sample of CPD materials relevant to each level as part of the approval process. Section 4 Please provide the following information: Page 21 of 110

22 Quality Assurance 4.1 details of the organisation s internal and external systems and procedures to assure quality and standards, identify good practice and promote enhancement 4.2 details of systems which the organisation will employ to monitor compliance with its equality and diversity policy and commitment 4.3 mechanisms for obtaining written feedback from advocates and how this will contribute to the organisation s assurance and enhancement activities Section 5 Candidate information Please provide the following: 5.1 a sample programme of CPD and delegate information 5.2 the organisation s written complaints handling procedure which provides that complaints are handled promptly, fairly and effectively in accordance with it 5.3 evidence of a confidentiality policy which contains procedures to cover all information given to the organisation by the advocate and the procedures to follow if confidentiality is breached Section 6 Equality and Diversity Section 7 Fees and charges Please provide evidence that the organisation has adopted and implemented an appropriate equality policy designed to prevent discrimination and harassment and promoting equality and diversity within the organisation and in all its activities and in respect of its relationship with candidates and other third parties. Please provide: 7.1 a statement of costs which the organisation expects to incur in undertaking the work 7.2 a statement of the proposed fees to be charged to advocates Page 22 of 110

23 APPENDIX 1 Quality Assurance Scheme for Advocates (Crime) Assessment and CPD Services Heads of Terms Page 23 of 110

24 Quality Assurance Scheme for Advocates (Crime) Assessment and CPD Services Heads of Terms (A) These Head of Terms ("the Heads") set out the underlying principles on which the Solicitors Regulation Authority ("SRA") intends to enter into contracts (each a "Contract") with a number of suppliers (each a "Supplier") for the provision of assessment and continuing professional development ("CPD") services ("the Services") for the Quality Assurance Scheme for Advocacy ("the Scheme") currently under consideration. (B) It is not a summary of the contract. This will be negotiated and agreed in detail with potential suppliers of the services as part of the bid evaluation and supplier selection process and will reflect the individual specific technical, commercial, and operational bids received and being discussed. (C) Potential suppliers are required to consider and agree with the principles set out in these Heads as part of the bidding process and compliance (or as the case may be noncompliance) will form an integral part of the bid evaluation and Supplier selection process. (D) For the avoidance of doubt the SRA does not commit to entering into detailed contractual negotiations with any potential Supplier. In addition the SRA is not obliged to and does not commit to entering into identical contracts, (in legal, commercial, operational terms or in any other aspect) with all Suppliers. (E) The Society may at its discretion award a Supplier either a single consolidated Contract for both accreditation services and CPD services, or a separate Contract for just one or both of the Services. 1 The SRA anticipates that a potential Supplier may represent a "consortium" or similar grouping of different commercial or academic organisations and/or individuals. The SRA s strong preference is to contract directly with one lead Supplier of the Services who shall be solely liable to the SRA for all performance of the Services and obligations under the Contract. The SRA does not wish to contract with more than one legal entity as parties to the Contract with the SRA. However in the event that, despite the SRA s expressed Page 24 of 110

25 preference, a number of potential Suppliers wish to jointly contract with the SRA, with each as a direct party to the Contract, the SRA shall require that each separate Supplier shall be jointly and severally liable, in respect of all other Suppliers in the consortium, for the performance of all obligations under the Contract and for all loss or damages suffered by the SRA in respect of the Contract 2 The SRA shall be entitled to enforce certain provisions concerning intellectual property and confidentiality directly against any sub-contractor. 3 Although not party to the Contract the Bar Standard Board ("BSB") and ILEX Professional Standards ("IPS") shall be entitled, as third parties, to enforce certain provisions concerning intellectual property and confidentiality directly against the Supplier under the Contracts (Rights of Third Parties) Act The SRA shall be solely liable to the Supplier for the SRA's obligations under the Contract. The Supplier shall have no contractual nexus with and no remedies against the BSB or IPS. 5 The Supplier shall enter into its own agreements with any other commercial or academic organisations or individuals in a consortium in respect of the performance of the Services but shall remain primarily liable at all times for all obligations to the SRA under the Contract, including those arising from the failure of any individuals or consortium sub-contractors. 6 The Supplier must ensure that the terms of any sub-contract it enters into with individuals or consortium sub-contractors are consistent with and do not conflict with the terms of the Contract. 7 All sub-contracts in respect of a member of a consortium must contain a provision permitting the SRA to take a novation or assignment of the sub-contract on early termination of the Contract with the lead Supplier. 8 The Contract shall be for term of three (3) years in the first instance. The SRA shall have an option to extend the Contract for an additional Term of up to 2 further years to a maximum of five (5) years. 9 The SRA may elect to award a conditional Contract under which the Supplier shall be required to meet one or more conditions prior to commencing the provision of Services. Failure to meet such conditions shall entitle the SRA to terminate the Contract with immediate effect. 10 The SRA shall be entitled to terminate the Contract on notice to the Supplier in the event of statutory, regulatory or policy changes impacting on the requirement for the Services. 11 All personnel involved in the performance of the Services must be appropriately qualified and trained and conduct the activities with the professional integrity, skill and diligence to be expected of a leading assessment and/or CPD providing organisation. The Supplier shall not change any named personnel involved in the Services without the Agreement of the SRA. The SRA, acting reasonably, shall be entitled to require the Supplier to replace any individual involved in the performance of the Services. Page 25 of 110

26 12 The Supplier shall ensure the Services are available on a nationwide basis and that there is sufficient availability reasonably to meet demand. The Supplier shall comply with any minimum requirements the SRA may set in respect of locations and frequency of Services. 13 The Supplier shall be responsible for the provision of all necessary administration, facilities, resources and materials necessary and the performance of the Services. The Society shall be entitled to require, approve and require changes to such resources 14 The Supplier shall comply with any timescales detailed in the Contract for (and time shall be of the essence of) the performance of the Services. 15 The Supplier shall comply and cooperate with management information and contract management requirements as may be required by the SRA. The Suppler will also comply or cooperate all arrangements for monitoring the performance of the Services by the Supplier. This may include, without limitation, Society attendance at the Services, formal assessments by SRA appointed monitors and external examiners, and compliance with any applicable methodologies in respect of the Services (such as by way of example marking methodology) for quality assurance and other purposes. 16 The Supplier will cooperate or other instructions notified to it by the SRA in respect of the Contract, and fully co-operate with the SRA and any other appropriate third parties (including the BSB and IPS). 17 The SRA shall be able to terminate the Contract, for convenience, on 90 days written notice. 18 Copyright and all other intellectual property rights in any material provided by the SRA (or by the BSB and IPS as applicable ) to the Supplier shall remain with the SRA and the Supplier shall be licensed to use such material solely for the purposes of the Services under the Contract. 19 Copyright and all other intellectual property rights in any material developed or provided by the Supplier in respect of the Services shall, as between the parties, remain with the Supplier and the Supplier shall grant a licence to the Society to use the materials and to sub-license the material for purposes related to the Scheme. 20 The Supplier shall keep confidential all information, concerning the SRA, BSB or IPS, or their members which is confidential or which could reasonably be considered to be confidential in nature and which is obtained as a result of or arising from the performance of the Services, and in respect of personal data, comply with all requirements of the Data Protection Act The Supplier shall charge fees ("Fees") as set out in the Contract, directly to attendees at assessment and CPD Services ("Attendees"). Such Fees shall be calculated to take into account a contribution from the Supplier ("the Contribution") towards the SRA's costs of the Scheme. Page 26 of 110