Part 1626

It is impermissible for an individual, while engaged in legal services activities funded by LSNF, to provide legal services for or on behalf of an ineligible alien beyond normal intake and referral services, except for an alien who has been battered or subjected to extreme cruelty or whose child has been battered or subjected to extreme cruelty (without the active participation by the alien) in the United States by a spouse or parent of the alien (or by a member of the spouse’s or parent’s family residing in the same household as the alien and the spouse or parent consented or acquiesced in the cruelty or battery) provided that the legal assistance directly relates to the prevention of, or obtaining relief from, the battery or cruelty. (Applicants who have been battered or subjected to extreme cruelty must be served with non-LSC funds.)

Unless the only service provided is brief advice and consultation by telephone, which requires no written attestation, a citizen seeking representation from LSNF shall attest in writing to the fact of his or her U.S. citizenship on the form attached. Verification of citizenship shall not be required unless LSNF intake staff has reason to doubt that a person is a United States citizen. Factors such as a person’s accent, race, color, appearance, national origin, occupation and ability to speak English may not be considered in evaluating whether there is reason to doubt U.S. citizenship. If verification is required, LSNF shall accept the original, a certified copy, or a photocopy that appears to be complete, correct and authentic of any of the following documents: U.S. passport, birth certificate, naturalization certificate, U.S. citizenship identification card, or baptismal certificate showing place of birth within the U.S. and date of baptism within two months after birth. LSNF may also accept any other authoritative document such as a document issued by INS, by a court or by another governmental agency, that provides evidence of citizenship. If a person is unable to produce any of the documents listed, he or she may submit a notarized statement signed by a third party, who shall not be an employee of LSNF and who can produce proof of that party's own U.S. citizenship, that the person seeking legal assistance is a U.S. citizen.

LSNF may provide legal assistance to aliens who are present in the United States and who are:

1. lawfully admitted for permanent residence;

2. married to U.S. citizens and have pending applications for adjustment of status;

3. parents of a U.S. citizen and have pending applications for adjustment of status;

4. unmarried children under the age of 21 of a U.S. citizen and have pending applications for adjustment of status; or

5. lawfully present in the U.S.

a. pursuant to a refugee admission;

b. based on a granted asylum by the Attorney General;

c. as a result of being granted conditional entry to the United States before April 1, 1980, because of persecution, fear of persecution, or being uprooted by catastrophic natural calamity; or

d. as a result of the Attorney General's withholding a deportation.

LSNF may also provide legal assistance to (1) special agricultural workers whose status is adjusted to temporary resident alien; (2) "H-2" non-immigrant agricultural workers for matters arising under their specific employment contracts in the areas of wages, housing, transportation and other specified employment rights; (3) Canadian-born American Indians; (4) members of the Texas Band of Kickapoo; or (5) indigent foreign nationals seeking assistance pursuant to the Hague Convention on the Civil Aspects of International Child Abduction.

Unless the only service provided is brief advice and consultation by telephone, which requires no verification, to verify eligibility of aliens seeking representation, LSNF shall accept originals, copies, or photocopies (that appear to be complete, correct and authentic) of the documents identified in the attached appendix. Where an alien has documentation that does not fit into the categories listed in the eligibility form but does fit in the categories listed on the appendix, the documentation should be specified on the form and sent with a copy of the form to the executive director. Because of changes in immigration law and forms, the list of documents on the appendix may not be exhaustive. LSNF may accept any other authoritative document issued by the INS, by a court, or by another governmental agency, that provides evidence of alien status. Where an alien has documentation that does not fit into the categories listed on the appendix, the documentation should be reviewed with the executive director (or designee) to determine eligibility. LSNF, upon request, shall furnish each person seeking legal assistance with a list of documents in the appendix.

In an emergency, LSNF may provide legal services to an applicant prior to the applicant's providing written attestation of citizenship or proof of eligibility if the conditions listed on the U.S. Citizenship Determination or the Alien Eligibility Form under "Emergencies" are met and the additional required information is completed by LSNF staff, including written documentation detailing the nature of the emergency. If to the knowledge of LSNF a client who was eligible becomes ineligible through a change in circumstances, LSNF must discontinue representation consistent with the applicable Rules of Professional Responsibility.

LSNF will maintain records to document its compliance with this policy. LSNF is not required to maintain records regarding the immigration status of clients represented on the basis that they or their children have been battered or subjected to extreme cruelty in the U.S.

It is the goal of LSNF to provide full representation to its potential clients through either direct representation by LSNF or appropriate referral in instances where representation is prohibited under this policy. LSNF is not required to maintain records of alien status for individuals who are rejected or referred.

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9/97

7/98

Attachments (citizenship determination & alien eligibility forms below)

U.S. CITIZENSHIP DETERMINATION

I hereby certify that I am a citizen of the United States of America.

Signed:_______________________________________________________________________

Print Name:___________________________________________________________________

Date:________________________________________________________________________

If there is reason to doubt an applicant's claim of citizenship, you must require documentary evidence of U.S. citizenship from the applicant, and make a copy of the evidence, which will be placed in the case file. If the applicant is not a U.S. citizen, LSNF must complete the Alien Eligibility Form.

An original or certified copy of any of the following documents is acceptable as proof of U.S. citizenship:

1. U.S. passport

2. Birth certificate

3. Naturalization certificate

4. U.S. Citizenship Identification Card (INS Form 1-197)

5. Commuter Status Card (INS Form 1-178)

6. Baptismal certificate showing place of birth within the U.S. and a date of baptism within two months after birth

If a person is unable to produce any of the above documents, he or she may submit a notarized statement signed by a third party, who shall not be an employee of LSNF and who can produce proof of that party's own U.S. citizenship, that the person seeking legal assistance is a U.S. citizen.

If an applicant is found not to be a U.S. citizen, you must use the Alien Eligibility Form to determine whether he or she is an eligible or ineligible alien. A copy of the Alien Eligibility Form must be sent to the Executive Director.

EMERGENCIES: IN AN EMERGENCY, LEGAL SERVICES MAY BE PROVIDED PRIOR TO PROVIDING PROOF OF ELIGIBILITY, IF

1. It is not feasible for an applicant claiming citizenship to come to LSNF's office or otherwise physically transmit documentation to Legal Services of North Florida before commencement of representation, in which case such required information as can be obtained orally shall be recorded by LSNF and written documentation shall be submitted as soon as possible; or

2. An applicant is physically present, but cannot produce required verification of citizenship, in which case he or she shall sign this form and identify the documents that will be produced to verify citizenship (such documentation to be submitted as soon as possible); and

3. The applicant's "emergency" falls within the criteria for emergency assistance defined in LSNF's determination of priorities; and

4. LSNF informs clients accepted under these procedures that only limited, emergency legal assistance may be provided them without satisfactory documentation and that failure or inability to produce satisfactory documentation will compel LSNF to discontinue representation consistent with its professional responsibilities as soon as the emergency no longer exists.

____________________________________________________________________________________________________________________________________________________________

For persons requiring representation under this section, staff must check the following information, as it applies:

_____ The applicant has indicated he/she is a U.S. citizen and will be completing a U.S. Citizenship Determination Form and returning it to this office as soon as possible.

_____ The applicant has been asked to submit proof of citizenship as soon as possible. The applicant believes he/she can produce ________________________________________________________________________________________________________________________________________________

TELEPHONE CONTACT: No written documentation or verification of eligibility is required when the only service provided is brief advice and consultation by telephone (though an oral declaration of citizenship will be sought).

(This form becomes a part of all case files.)

ALIEN ELIGIBILITY FORM

Original - To Case File

Copy of Form & Proof - To Executive Director

If an applicant is not a U.S. citizen, you must determine whether he/she is an eligible or ineligible alien. Except when the only service provided is brief advice and consultation by telephone, the alien must submit appropriate documents to verify eligibility. If the alien is found eligible, check the appropriate category and proof below. A copy of the proof must be kept with the case file.

Name ____________________________________________________________

Intake Sheet No._________________________________________________

Date ____________________________________________ Check here if

ineligible alien __

Check here if eligible but no proof of eligibility due to emergency __

I. __ PERMANENT RESIDENT OR H-2A WORKER

Required Proof (check applicable item):

__ Alien Registration Receipt Card (INS Forms I-151, I-551 or AR-3)

__ Temporary Evidence of Lawful Admission for Permanent Residence (INS Form I-181B)

__ Valid passport and immigrant visa

__ Verification that Special Agricultural Worker (SAW) application was granted (I-688 card marked “210")

__ H-2A Visa (only for legal assistance relating to wages, housing, transportation, and other employment rights provided in the worker’s contract)

II. __ MARRIED TO A U.S. CITIZEN, OR IS A PARENT OR AN UNMARRIED CHILD UNDER THE AGE OF 21 OF SUCH A CITIZEN AND HAS FILED AN APPLICATION THAT HAS NOT BEEN REJECTED FOR ADJUSTMENT OF STATUS, PERMANENT RESIDENCY WITH INS OR WITH THE AMERICAN CONSULATE, OR SUSPENSION OF DEPORTATION.

Required Proof (Check one from A and one from B):

A. __ Fee receipt issued to the alien by the INS at the time Application for Status as Permanent Resident (INS Form I-485) was filed.

or __ Copy of the Application for Status as Permanent Resident accompanied by a notarized statement, signed by the alien, that such form was filed with INS.

or __ Copy of the Application for Immigrant Visa and Alien Registration (Department of State Form FS-510) accompanied by a notarized statement, signed by the alien, that such form was filed with a consulate office.

or __ Copy of the Application for Suspension of Deportation (INS Form I-256A) accompanied by a notarized statement, signed by the alien, that such form was filed with INS.

And one of the following:

B. __ Copy of alien's marriage certificate accompanied by proof of the spouse's U.S. citizenship.

or __ Copy of the U.S. birth certificate, baptismal certificate, adoption decree, or other documents demonstrating that the alien is the parent of a U.S. citizen under the age of 21.

or __ Copy of the alien's birth certificate, baptismal certificate, adoption decree, or other documents demonstrating that the alien is a child under the age of 21, accompanied by proof that the alien's parent is a U.S. citizen.

or __ Copy of the Petition to Classify Status of Alien Relative for Issuance of Immigrant Visa (INS Form I-130) containing information that demonstrates that the alien is related to such a U.S. citizen spouse, parent, or child, accompanied by a notarized statement that such form was filed with INS or the American Consulate.

III. __ LAWFULLY PRESENT IN U.S. UNDER SECTION 207, OR 208, OR 203(a)(7) OF THE IMMIGRATION AND NATIONALITY ACT (REFUGEE/ASYLEE/CONDITIONAL ENTRANT).

Required Proof:

__ Arrival-Departure Record (INS Form I-94) marked "Section 207" or "Refugee" (if claiming refugee status), "Section 208" or "Asylum" (if claiming asylum status), or "Section 203(a)(7)" or "Conditional entry" (if claiming conditional entrant status).

IV. __ LAWFULLY PRESENT IN U.S. AS A RESULT OF THE ATTORNEY GENERAL'S WITHHOLDING OF DEPORTATION PURSUANT TO SECTION 243(h) OF THE IMMIGRATION AND NATIONALITY ACT.

Required Proof:

__ Arrival-Departure Record (INS Form I-94) marked "Section 243(h)," or a court order or letter signed by an immigration judge stating that the Attorney General is withholding deportation of the alien.

V. __ AGRICULTURAL WORKERS

Required Proof:

__ Arrival-Departure Record (INS Form I-94) or passport stamped “H-2A.”

VI. __ SPECIAL AGRICULTURAL WORKER TEMPORARY RESIDENT

Required Proof:

__ INS Forms I-688, 688A, or 766 indicating issuance under Section 210.

__ OTHER DOCUMENTATION LISTED ON THE APPENDIX TO PART 1626.

Specify:____________________________________________________________________________________________________________________________

__ OTHER DOCUMENTATION REVIEWED WITH THE EXECUTIVE DIRECTOR OR DESIGNEE.

Specify:____________________________________________________________________________________________________________________________

EMERGENCIES: IN AN EMERGENCY, LEGAL SERVICES MAY BE PROVIDED PRIOR TO PROVIDING PROOF OF ELIGIBILITY, IF

1. It is not feasible for an alien to come to LSNF's office or otherwise physically transmit documentation to Legal Services of North Florida before commencement of representation, in which case such required information as can be obtained orally shall be recorded by LSNF and written documentation shall be submitted as soon as possible; or

2. An alien is physically present, but cannot produce required documentation, in which case he or she shall make a written statement identifying the category under which he or she claims eligibility and the documents that will be produced to verify that status (such documentation to be submitted as soon as possible); and

3. The applicant's "emergency" falls within the criteria for emergency assistance defined in LSNF's determination of priorities; and

______________________________________________________________________________

For persons requiring representation under this section, the applicant must complete the following:

I am not a U.S. citizen but am claiming eligibility for legal services on the basis of my status under Section ___ above. I will produce documents to verify my status as soon as they are available to me.

_____________________________________

Signature

_____________________________________________________________________________

TELEPHONE CONTACT: No written verification of eligibility is required when the only service provided is brief advice and consultation by telephone (though an oral declaration of eligible alien status will be sought).

Part 1643

POLICY ON ASSISTED SUICIDE, EUTHANASIA AND MERCY KILLING

It is impermissible for an individual, while engaged in legal services activities funded by LSNF, to assist in, support or fund any activity or service, or to bring suit or provide any other form of legal assistance for the purpose of

A. Securing or funding any item, benefit, program or service furnished for the purpose of causing or the purpose of assisting in causing the suicide, euthanasia or mercy killing of any individual;

B. Compelling any person, institution or governmental entity to provide or fund any item, benefit, program or service for such purpose; or

C. Asserting or advocating a legal right to cause or to assist in causing the suicide, euthanasia or mercy killing of any individual.

This policy shall not apply to legal services for the purposes of withholding or withdrawing of medical treatment, medical care, nutrition or hydration; abortion; the use of items, goods, benefits or services furnished for purposes relating to the alleviation of pain or discomfort, even if they may increase the risk of death, unless they are furnished for the purpose of causing or assisting in causing death; or the provision of factual information regarding applicable law on assisted suicide, euthanasia and mercy killing.

None of the restrictions contained in this policy apply to support activities, litigation or other legal assistance related to assisted suicide, euthanasia or mercy killing, using non-LSC funds.

It is the goal of LSNF to provide full representation to its potential clients through either direct representation by LSNF or appropriate referral in instances where representation is prohibited pursuant to this policy, and such policy adversely impacts the client.

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02/98

Part 1642

POLICY ON ATTORNEYS' FEES

A. Except as permitted by paragraph B below, no employee of LSNF may claim or collect and retain attorneys' fees in any case undertaken on behalf of a client of LSNF where an award of attorneys' fees is available pursuant to federal or state law (including payment to an attorney from a client’s retroactive statutory benefits). An award includes an order approving a settlement agreement which provides for payment of attorneys’ fees. This prohibition extends to private attorneys who are under contract with LSNF but does not extend to private attorneys who undertake pro bono representation of eligible clients referred by LSNF.

B. This prohibition does not apply to:

(1) cases filed prior to April 26, 1996 (though it shall apply to any additional claim for a client made in a case pending on April 26, 1996);

(2) payments made for cases in which a court appoints LSNF or an employee of LSNF to provide representation pursuant to a statute or a court rule or practice equally applicable to all attorneys in the jurisdiction (and in which LSNF or the employee on behalf of LSNF receives compensation under the same terms and conditions as are applied generally to attorneys practicing in the court in which the appointment is made);

(3) cases in which the claim for attorneys' fees is not based on federal or state law (including common law);

(4) payments received as a result of sanctions imposed by a court for violations of court rules or practices or statutes relating to court practice (including but not limited to Rule 11 or discovery rules of the Federal Rules of Civil Procedure or similar state court rules or practices or statutes, or Section 57.105 or sanction provisions of Chapter 120, Florida Statutes, or other statutory sanction provisions in federal or state law);

(5) reimbursement of costs and expenses from an opposing party; or

(6) payments made to LSNF or one of its employees pursuant to a grant, contract or other agreement by a governmental agency or other third party for representation of clients.

C. Any fees received pursuant to paragraph B above shall be allocated to the fund in which LSNF's LSC grant is recorded in the same proportion that the amount of Corporation funds bears to the total amount expended by LSNF to support the work and shall be recorded during the accounting period in which the money is received.

D. When a case results in a recovery of damages or statutory benefits to a client, LSNF may accept reimbursement from the client for out-of-pocket costs and expenses incurred in connection with the case if the client has agreed in writing to reimburse LSNF for such costs and expenses.

E. LSNF may require a client to pay court costs when the client does not qualify to proceed in forma pauperis.

LSNF will maintain records to document its compliance with this policy.

It is the goal of LSNF to provide full representation to its potential clients through either direct representation by LSNF or appropriate referral or cocounseling in instances where a claim for attorneys' fees is prohibited but such prohibition would adversely impact the representation.

5/97

9/97

POLICY ON BOARD MEMBER TRAVEL

Board members who are requested by the Recipient to attend meetings out of town shall be reimbursed by the Recipient according to the same policy that applies to staff members as stated in the personnel policies and procedures of the program.

Part 1617

POLICY ON CLASS ACTIONS

It is impermissible for any individual, while engaged in legal assistance activities funded by LSNF, to initiate or participate in any class action, pursuant to Rule 23 of the Federal Rules of Civil Procedure, or Rule 1.220 of the Florida Rules of Civil Procedure, including acting as amicus curiae or cocounsel, or representing an individual client who seeks to intervene in, modify, or challenge the adequacy of the representation of the class.

It is permissible for an individual, while engaged in legal assistance activities funded by LSNF, to (1) engage in non-adversarial activities including efforts to remain informed about, or to explain, clarify, educate or advise others about the terms of an order granting relief in a class action case; (2) provide individual representation of a client seeking to withdraw from or opt out of a class or obtain the benefit of relief ordered by the court in a class action case; and (3) refer clients who may wish to pursue claims on behalf of themselves and others through a class action to a non-LSC funded entity or attorney.

It is the goal of LSNF to provide full representation to its potential clients through either direct representation by LSNF or appropriate referral in instances where class action representation is prohibited but would benefit an individual or group of clients seeking assistance.

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12/96

09/97

Part 1636

POLICY ON CLIENT IDENTIFICATION AND STATEMENT OF FACTS

A. Unless a court of competent jurisdiction has entered an order protecting the identity of a plaintiff from disclosure based on a finding (after notice and an opportunity for a hearing on the matter) of probable serious harm to the plaintiff if the disclosure is not prevented, an individual, while engaged in legal services activities funded by LSNF, shall:

(1) identify each plaintiff he/she represents by name in any complaint he/she files or in a separate notice to the defendant against whom the complaint is filed where disclosure in the complaint would be contrary to law or court rules or practice;

(2) identify each plaintiff it represents to prospective defendants prior to engaging in pre-complaint settlement negotiations (if initiating litigation is contemplated and the client has authorized LSNF to file suit if negotiations are unsuccessful); and

(3) maintain in each client’s file documentation indicating the reason that identification of that client’s name was not made when a court of competent jurisdiction has entered a finding that probable serious harm to the plaintiff will occur if the disclosure is allowed.

B. Prior to initiating action described in A above, an individual, while engaged in legal services activities funded by LSNF, will prepare a dated written statement signed by each plaintiff it represents enumerating the facts supporting the complaint that are known to the plaintiff. This can be accomplished by having the client sign a draft or copy of the original complaint and dating that draft or copy. The statement must be in English and, if necessary, in a language other than English that the plaintiff understands.

C. Copies of these statements must be filed in each client’s case file and in a master file in each office.

D. A statement is not required in the event of an emergency if LSNF reasonably believes that delay is likely to cause harm to a significant safety, property or liberty interest of the client, provided that a statement is signed after LSNF proceeds with the litigation or negotiation as soon as possible thereafter. LSNF shall maintain in the case file a statement of the nature of the emergency.

E. Statements prepared pursuant to this policy shall not be disclosed except to the Legal Services Corporation or to a federal department or agency auditing or monitoring LSNF or to any auditor or monitor receiving federal funds to audit or monitor LSNF in compliance with Section 509 of Public Law 104-134.

G. This policy applies to cases for which private attorneys are compensated by LSNF but not to cases referred by LSNF to attorneys who accept them on a pro bono basis.

LSNF will maintain records to document its compliance with this policy.

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04/97

09/97

07/98

Part 1644

POLICY ON DISCLOSURE OF CASE INFORMATION

For each case filed in court after January 1, 1998, by attorneys employed by LSNF, LSNF shall collect the following information:

1. The name and full address of each party to a case unless

a) the information is protected by an order or rule of court; or

b) the information is protected by state or federal law; or

c) LSNF’s attorney reasonably believes that revealing such information would put the client at risk of physical harm, such as in domestic violence cases;

2. The cause of action;

3. The name and full address of the court where the case is filed;

and

4. The case number assigned to the case by the court.

LSNF will collect the information described above. If required and determined not to violate client confidentiality, LSNF will provide the information in semiannual reports to the Legal Services Corporation and will make the information available in written form to any person so requesting it for a charge of $.25 per page copying cost plus actual postage.

6/98

POLICY ON EXECUTIVE SESSION

1. Unless the Board of Directors of LSNF finds that the public interest requires otherwise, a meeting or a portion thereof may be closed to public observation (and information pertaining to such meeting or portion thereof may be withheld) if the Board determines that the meeting or portion thereof will more probably than not:

(a) Relate solely to the internal personnel rules and practices of LSNF;

(b) Disclose matters specifically exempted from disclosure by state or federal law;

(c) Disclose trade secrets and commercial or financial information obtained from a person and privileged or confidential;

(d) Involve accusing any person of a crime or formally censuring any person;

(e) Disclose information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;

(f) Disclose investigatory records compiled for the purpose of enforcing law, or information which if written would be contained in such records, but only to the extent that production of such records or information would:

(1) interfere with enforcement proceedings,

(2) deprive a person of a right to a fair trial or an impartial adjudication,

(3) constitute an unwarranted invasion of personal privacy,

(4) disclose the identity of a confidential source,

(5) disclose investigative techniques and procedures, or

(6) endanger the life or physical safety of law enforcement personnel.

(g) Disclose information the premature disclosure of which would be likely to frustrate significantly implementation of a proposed LSNF action, except that this paragraph shall not apply in any instance where LSNF has already disclosed to the public the content or nature of its proposed action, or where LSNF is required by law to make such disclosure on its own initiative prior to taking final action on such proposal; or

(h) Specifically concern LSNF's participation as a party in a civil action, administrative proceeding, or arbitration.

For that portion of a meeting that is closed to public observation, the Board will be in "executive session."

POLICY ON EXPENDITURE OF GENERAL FUNDS

AND AGREEMENTS FOR CLIENT RELATED SERVICES

General Fund Expenditures

For all program general funds, the executive director shall have the authority to approve the purchase of property/equipment not exceeding $20,000, or contract for consultant services not exceeding $10,000, without board approval.

Purchase of Non-expendable Property/Equipment

The executive director is authorized to purchase property/equipment subject to the availability of funds and the following conditions:

1. Purchase of property/equipment with a cost up to $2,000 may be made at the discretion of the executive director without competitive quotations.

2. Purchase of a single item of property/equipment of $2,000 to $5,000 may be processed on the basis of telephone quotations. Quotations shall be recorded and filed for audit purposes. At least three quotations shall be obtained.

3. Purchase of a single item of equipment of more than $5,000 must be based on written solicitations for bids, with at least three quotations. Solicitations and quotations must be filed and maintained for audit purposes.

4. For the purchase of a single item of property/equipment exceeding $20,000, the executive director must explain the need and obtain prior approval from the board of directors.

5. It is recognized that, in some instances, certain items due to technical quality requirements or the lack of dependable vendors must be purchased from a "sole source." When such a situation occurs, the solicitation of bids is waived but the circumstances must be well documented and all relative materials filed for audit purposes. The board of directors must be informed when a purchase exceeding $20,000 will be made from a "sole source."

6. All purchases of nonexpendable property/equipment (i.e., property having an acquisition cost exceeding $100 or a useful life of more than a year) must be supported by a purchase order, vendor's invoice, or other documentation.

General Consultant Services

The executive director is authorized to enter into consultant contracts (other than expert witnesses or attorneys or consultants on behalf of eligible clients or audit services) subject to the availability of funds and up to the following amounts without board approval: contracts up to $10,000 or for fees up to $522 per day or $70 per hour.

Other Services

With the exception of those services specifically mentioned herein, the executive director shall have the authority to contract for services up to $30,000 without approval from the board.

Emergency Selection

The executive director shall have the authority to contract for services or to secure purchase of property/equipment on an emergency basis without following any of the steps outlined above. The executive director shall have such authority under circumstances when delay incident to giving opportunity for the normal selection process would be detrimental to the interests of the program, provided all such action shall be reported to the board at its next regularly scheduled meeting.

Dues, Subscriptions, Professional Fees

All dues, subscriptions, and professional fees may be paid out of the general unrestricted funds at the discretion of the executive director, so long as they do not exceed the customary and reasonable sums in light of the legal services community experience.

Agreements for Client Related Services - General & LSC Funds

The executive director is authorized to enter into co-counseling agreements on behalf of eligible clients without board approval, so long as the hourly rate to be reimbursed by LSNF does not exceed 50% of the local prevailing market rate for that type of service (unless a successful fee award by the court awards a higher amount to co-counsel).

The executive director is authorized to enter into agreements for expert witnesses and consultants on behalf of eligible clients without board approval, so long as the hourly rate to be reimbursed by LSNF does not exceed 75% of the local prevailing market rate for that type of service (unless a successful fee award by the court awards a higher amount to co-counsel).

2-15-95

Part 1609

POLICY ON FEE GENERATING CASES

Legal Services of North Florida will undertake representation in fee generating cases when the following circumstances exist:

1. The case has been rejected by a local lawyer referral service or by two private attorneys, or

2. Neither a referral service nor two private attorneys will consider the case without payment of a consultation fee, or

3. The client is seeking social security disability or SSI benefits, in which case no rejection by the private bar is required, or

4. The executive director of LSNF, after consultation with the private bar, has determined that the type of case is one that private attorneys do not accept or do not accept without prepayment of a fee, or

5. The executive director of LSNF has determined that

a) referral of the case is not possible because documented efforts to refer similar cases in the past generally have been futile, or

b) emergency circumstances compel immediate action before referral can be made (after which, if appropriate, an attempted referral must be made at a later date if consistent with professional responsibility), or

c) recovery of damages is not the principal object of the case and substantial statutory attorneys' fees are not likely to be available.

LSNF will maintain records to document compliance with this policy.

4/97

Part 1610

POLICY ON FUNDS RECEIVED FROM SOURCES OTHER THAN LSC

It is the policy of Legal Services of North Florida that funds received from sources other than LSC for the provision of legal services shall not be used by the program for purposes prohibited by the Act or Corporation regulation, unless such use is authorized by 45 CFR, §§1610.4, 1610.6 or 1610.7.

All funds received from tribal sources will be used in accordance with the purposes for which those funds were provided. All funds received from public or IOTA or private sources will be used in accordance with the purposes for which those funds were provided and will not be used for any activity prohibited by the LSC Act or any activity that is inconsistent with §504, 110 Stat. 1321 (1996).

LSNF may use non-LSC funds to provide legal assistance to an individual who is not financially eligible for services under 45 CFR Part 1611, provided that the funds are used for the specific purposes for which those funds were provided and are not used for any activity prohibited by the LSC Act or prohibited by or inconsistent with §504, 110 Stat. 1321 (1996).

Except for receipt of contributions of less than $250, LSNF may not accept funds from any source other than the Corporation unless LSNF provides to the source of the funds written notification of the prohibitions and conditions which apply to the funds.

If LSNF transfers LSC funds to another person or entity, the prohibitions and requirements referred to in Part 1610 will apply both to the LSC funds transferred and to the non-LSC funds of the person or entity to whom those funds are transferred, except:

1. Persons or entities receiving a transfer of LSC funds may either use the funds transferred consistent with LSNF’s priorities or establish their own priorities consistent with 45 CFR Part 1620.

2. For a transfer of LSC funds to bar associations, pro bono programs, private attorneys or law firms, or other entities, for the sole purpose of funding private attorney involvement activities pursuant to Part 1614, the prohibitions of Part 1610 shall apply only to the funds transferred.

Except for transfer of LSC funds to entities for the sole purpose of funding private attorney involvement activities, persons or entities receiving a transfer of LSC funds are required to maintain records of time spent on each case or matter undertaken with the funds transferred.

LSNF must have objective integrity and independence from any organization that engages in restricted activities as defined in 45 CFR §1610.8.

All funds received by LSNF other than LSC funds shall be accounted for as separate and distinct receipts and disbursements in a manner directed by the Corporation from time to time.

7/98

POLICY ON INVESTMENT

Legal Services of North Florida will invest funds that are not needed for immediate use into short-term certificates of deposit or money market accounts that provide the maximum return with minimal risk. No more than $100,000 may be invested in any institution. Investments through banks must be FDIC insured. Investments may be made through brokerage firms that are SIPC guaranteed and are one of the 20 largest brokerage firms in the United States. Investments in brokerage firms shall be made to the extent possible into Certificates of Deposit and in no event shall more than $100,000 be placed in non-CD investments.

No investment shall be made in equities or long-term bonds.

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Part 1632

POLICY ON REDISTRICTING

A. It is impermissible for any individual, while engaged in legal services activities funded by LSNF, to represent any party or participate in any other way in litigation related to any effort that is intended to or would have the effect of altering, revising, or reapportioning a legislative, judicial or elective district at any level of government (including influencing the timing or manner of the taking of a census).

B. LSNF shall not make available any funds, personnel, or equipment for use in any effort (whether by request or otherwise) to revise a legislative, judicial or elective district at any level of government.

C. Consistent with its priorities, except for the prohibition in Paragraph A above, an individual, while engaged in legal services activities funded by LSNF, may engage in litigation brought under the Voting Rights Act of 1965 as amended.

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12/96

9/97

Part 1637

POLICY ON REPRESENTATION ON BEHALF OF PRISONERS

It is impermissible for an individual, while engaged in legal services activities funded by LSNF, to initiate or participate in any civil litigation on behalf of a person who is incarcerated in a federal, state or local prison, whether as a plaintiff or as a defendant, or to participate on behalf of such an incarcerated person in any administrative proceeding challenging the conditions of incarceration. "Incarcerated" means involuntary physical restraint of a person who has been arrested for or convicted of a crime.

If to the knowledge of the LSNF staff handling a client’s case, that client becomes incarcerated after litigation has commenced, staff will use his or her best efforts to withdraw promptly from the litigation unless the period of incarceration is anticipated to be brief and the litigation is likely to continue beyond the period of incarceration. An anticipated period of incarceration of less than three months will be considered brief.

LSNF will maintain records to document its compliance with this policy.

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4/97

9/97

Part 1633

POLICY ON RESTRICTION ON REPRESENTATION IN CERTAIN EVICTION PROCEEDINGS

It is impermissible for an individual, while engaged in legal services activities funded by LSNF to defend any person in a proceeding to evict that person from a public housing project if:

a) the person has been charged (by an appropriate governmental entity) with or has been convicted of illegal sale, distribution, or manufacture of a controlled substance or possession of a controlled substance with intent to sell or distribute; and

b) the eviction proceeding is brought by a public housing agency on the basis that the illegal drug activity for which the person has been charged or for which the person has been convicted threatens the health or safety of other tenants residing in the public housing project or employees of the public housing agency.

LSNF will maintain records to document its compliance with this part.

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12/96

09/97

Part 1612

POLICY ON RESTRICTIONS ON LEGISLATIVE AND ADMINISTRATIVE ACTIVITIES, PROHIBITED ADVOCACY TRAINING, PARTICIPATION IN PUBLIC

DEMONSTRATIONS AND RELATED ACTIVITIES, AND ORGANIZING

I. LEGISLATIVE AND ADMINISTRATIVE RULE-MAKING PROHIBITIONS

A. Except as permitted by Sections B and C below, it is impermissible for any individual, while engaged in legal services activities funded by Legal Services of North Florida (LSNF), to:

1.attempt to influence the passage or defeat of any legislation or constitutional amendment; or any initiative, referendum or similar procedure of the Congress, any state legislature or local council, or similar governing body acting in a legislative capacity;

2.attempt to influence any provision in a legislative measure appropriating funds to, or defining or limiting the functions or authority of, LSNF or the Legal Services Corporation (e.g., self-help lobbying);

3.attempt to influence the conduct of oversight proceedings of any legislative body concerning LSNF or the Legal Services Corporation;

4.attempt to participate in or influence any rulemaking or attempt to influence the issuance, amendment, or revocation of any executive order--(rulemaking is defined to include agency processes for formulating, amending, or repealing rules, regulations or guidelines of general applicability and future effect issued by the agency pursuant to Federal, State or local rulemaking procedures, including notice and comment rulemaking, negotiated rulemaking and adjudicatory proceedings that are formal adversarial proceedings used to formulate or modify an agency policy of general applicability and future effect);

5.engage in any grassroots lobbying activity;

6.pay for any personal service, advertisement, telegram, telephone, communication, letter, printed or written matter, administrative expense or related expense, associated with any activity prohibited in the five preceding paragraphs.

B. Notwithstanding the prohibitions outlined in A, it is permissible for any individual funded by LSNF to:

1.provide administrative representation for an eligible client in a proceeding that adjudicates the particular rights or interests of such eligible client or in negotiations directly involving that client’s legal rights or responsibilities including prelitigation negotiation and negotiation in the course of litigation;

2.initiate or participate in litigation challenging agency rules, regulations, guidelines or policies unless otherwise prohibited by law or the Legal Services Corporation regulations;

3.apply for a governmental grant or contract;

4.communicate with a government agency for the purpose of obtaining information, clarification, or interpretation of the agency’s rules, regulations, practices or policies;

5.inform clients, other recipients, or attorneys representing eligible clients, about new or proposed statutes, executive orders or administrative regulations;

6.communicate directly or indirectly with the Legal Services Corporation for any purpose including commenting upon existing or proposed Legal Services Corporation rules, regulations, guidelines, instructions and policies;

7.participate in meetings or serve on committees of bar associations, provided that no resources of LSNF are used to support, and LSNF is not identified with, activities of bar associations that are devoted to prohibited legislative or rulemaking activities;

8.advise a client of the client’s right to communicate directly with an elected official;

9.participate in activity relating to the judiciary, including the promulgation of court rules, rules of professional responsibility and disciplinary rules; or

10.participate as legal adviser to, as a LSNF representative to, or as a member of an organization, task force, consortium, advisory board, or committee, which has as its primary purpose improving service to LSNF clients, sharing information about community resources or needs, providing community legal education, or any other nonprohibited purpose.

C. Non-LSC funds of LSNF may be used:

1.to respond to a written request from a governmental agency or official thereof, elected official, legislative body, committee or member thereof, made to an employee or to LSNF to

a) testify orally or in writing;

b) provide information which may include analysis of or comments upon existing or proposed rules, regulations or legislation, or drafts of proposed rules, regulations or legislation; or

c) participate in negotiated rulemaking.

2. Such participation must be made under the following conditions:

a) communications made in response to requests may be distributed by the employee only to the party or parties that made the request or to other persons or entities only to the extent that such distribution is required to comply with the request;

b) no employee of LSNF shall solicit or arrange for a request from any official to testify or to otherwise provide information in connection with legislation or rulemaking; and

c) each employee shall maintain copies of all written requests received and any written responses made in response thereto and provide such requests and responses to the executive director (or designated designee).

3.LSNF employees may use non-LSC funds to provide oral or written comments to an agency and its staff in a public rulemaking proceeding which includes notice and comment rulemaking and other public proceedings.

4.LSNF employees may use non-LSC funds to contact or communicate with or respond to a request from a state or local governmental agency, a state or local legislative body or committee, or a member thereof, regarding funding for LSNF, including a pending or proposed legislative or agency proposal to fund LSNF.

II. ADVOCACY TRAINING

1. It is impermissible for any individual, while engaged in legal assistance activities funded by LSNF, to support or conduct a training program for the purpose of (1) advocating a particular public policy, or (2) encouraging or facilitating political activities, labor or antilabor activities, boycotts, picketing, strikes, or demonstrations, or the development of strategies to influence legislation or rulemaking, or (3) disseminating information about such policies or activities.

1. Attorneys and paralegals may participate in any training program, including skills, substantive and management training, which assists such employees to provide adequate legal assistance to eligible clients or advise eligible clients as to the legal rights of the clients.

III. PROHIBITION ON DEMONSTRATIONS, BOYCOTTS, STRIKES AND CERTAIN OTHER ACTIVITIES.

1. It is impermissible for any individual, during working hours, while providing legal assistance or representation to LSNF’s clients or while using resources provided by the Legal Services Corporation or by private entities,

1. participate in any public demonstration, picketing, boycott or strike except as permitted by law in connection with the employee’s own employment situation; or

2.encourage, direct or coerce others to engage in such activities.

2. It is impermissible for any individual employed by LSNF at any time to engage in or encourage others to engage in any

1.rioting or civil disturbance;

2.activity determined by a court to be in violation of an outstanding injunction of any court of competent jurisdiction; or

3.other illegal activity that is inconsistent with an employee’s responsibilities under applicable law, Legal Services Corporation regulations, or the Rules of Professional Responsibility of Florida.

3. Attorneys for LSNF may inform and advise a client about legal alternatives to litigation or the lawful conduct thereof and may take such action on behalf of a client as may be required by professional responsibilities or applicable state or local law.

IV. PROHIBITED ORGANIZING ACTIVITIES

1. It is impermissible for any employee, while engaged in legal assistance activities funded by the Legal Services Corporation or private entities, to initiate the formation, or to act as an organizer, of any association, federation, labor union, coalition, network, alliance, or any similar entity.

1. Employees may attend informational meetings at which information about new developments in law and pending cases or matters are discussed.

1. Employees may provide legal advice or assistance to eligible clients who desire to plan, establish or operate organizations, including preparing articles of incorporation and bylaws for such organizations. Employees may also provide legal advice or assistance to eligible community groups or organizations, on both organizational issues and on substantive legal issues of interest to the organization.

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4/97

9/97

Part 1638

POLICY ON SOLICITATION

It is impermissible for an individual, while engaged in legal services activities funded by LSNF, to represent a client as a result of in-person, unsolicited advice, or to refer to other LSC funded programs any individual to whom he or she has given in-person unsolicited advice. "In-person unsolicited advice" means a face-to-face encounter, a personal letter, or a telephone call from a LSNF employee to an individual advising that individual to obtain counsel or to take legal action given by LSNF (or another LSC funded program) when that individual did not seek the advice (unless the individual already has an attorney/client relationship with LSNF).

In compliance with this policy, an individual, while engaged in legal services activities funded by LSNF, may provide information regarding legal rights and responsibilities, and information regarding LSNF's services and intake procedures through community legal education activities such as outreach, public service announcements, maintaining an ongoing presence in a courthouse to provide advice at the invitation of the court, disseminating community legal education publications, and giving presentations to groups that request them. If an eligible individual, as a result of information provided through the activities described in this paragraph, seeks legal representation, LSNF may provide that representation (so long as the individual's request to LSNF did not result from in-person unsolicited advice).

This part does not prohibit representation or referral of clients by LSNF pursuant to a statutory or private ombudsman program.

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4/97

9/97

Part 1627

POLICY ON SUB GRANTS

All subgrants entered by LSNF must be submitted in writing to the Legal Services Corporation for prior written approval as required by 45 CFR §1627.3. All subgrants shall contain a provision providing their orderly termination in the event that LSNF’s funding is terminated or LSNF is not funded and for suspension of activities if LSNF’s funding is suspended. LSNF shall obtain Corporation approval for any substantial changes in the work program of a subgrant or an increase or decrease in funding of more than ten percent. LSNF shall be responsible for ensuring that subrecipients comply with the financial and audit provisions of the Corporation and shall be responsible for repaying the Corporation for any disallowed expenditure by a subrecipient. All contracts between LSNF and a subrecipient shall provide for the same oversight rights for the Corporation with respect to subrecipients as apply to LSNF.

The requirements of this policy shall apply to all subgrants by one recipient to another recipient.

07/98

Membership Fees and Dues

LSNF will not use LSC funds to pay membership fees or dues to any private or nonprofit organization either on behalf of LSNF or on behalf of an individual employed by LSNF. This policy does not apply to payment of Florida Bar dues which are mandated as a requirement of the practice of law in the state of Florida. The executive director shall have the discretion of spending LSC or non-LSC funds to pay Florida Bar dues.

04/97

Contributions

LSNF will not contribute or give Legal Services Corporation funds to another organization or to an individual.

LSNF will maintain records to document compliance with this policy.

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7/98

Part 1639

POLICY ON WELFARE REFORM

It is impermissible for an individual, while engaged in legal services activities funded by LSNF, to initiate legal representation or participate in any other way in litigation, lobbying or rule-making, involving an effort to reform a federal or state welfare system, including:

A. Litigation challenging laws or regulations enacted as part of an effort to reform a federal or state welfare system;

B. Rule-making involving proposals that are being considered to implement an effort to reform a federal or state welfare system; or

C. Lobbying before legislative or administrative bodies undertaken directly or through grassroots efforts involving pending or proposed legislation that is part of an effort to reform a federal or state welfare system.

For purposes of this policy, "federal or state welfare system" includes all of the provisions, except for the Child Support Enforcement provisions of Title III, of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 and subsequent legislation enacted by Congress or the states to implement, replace or modify key components of that Act or by states to replace or modify key components of their General Assistance or similar means-tested programs (conducted by states or counties with state funding or under state mandates).

Consistent with its priorities, LSNF will represent individual eligible clients who are seeking specific relief from a welfare agency if the relief does not involve an effort to amend or otherwise challenge existing law in effect on the date of the initiation of the representation. "An effort to amend or otherwise challenge existing law" does not proscribe an action to enforce existing law. Thus, in representing an eligible client seeking individual relief, LSNF may challenge a policy on the basis that it violates an agency regulation or state or federal law, or may challenge the application of an agency's regulation, or the law on which it is based, to the individual seeking relief.

Notwithstanding the provisions of this policy, LSNF may, consistent with its policy on legislative/administrative advocacy, use non-LSC funds to comment in a public rule-making proceeding or respond to a written request for information or testimony from an appropriate official or agency regarding an effort to reform a federal or state welfare system.

It is the goal of LSNF to provide full representation to its potential clients through either direct representation by LSNF or appropriate referral in instances where representation is prohibited pursuant to this policy and such prohibition adversely impacts the client.

6/5/97

9/97

INTEROFFICE MEMORANDUM July 3, 1998

TO: The File

FROM:Kris Knab

RE: 45 CFR Part 1609

On December 3, 1997, correspondence was sent from LSNF to the president of each local bar association in its service area, including August Aikens, President of The Barristers, William Hunter, President of the Bay County Bar Association, Nicolas Yonclas, President of the Franklin County Bar Association, Brian Hayes, President of the Jefferson County Bar Association, Kelvin Wells, President of the Okaloosa-Walton County Bar Association, Frank Baker, President of the Panhandle Bar Association, Wendy Morris, President of the Tallahassee Women Lawyers, Stewart Parsons, President of the Gadsden County Bar Association, and Robert Cohen, President of the Tallahassee Bar Association, regarding the respective bar’s interest in obtaining referral of potentially fee generating cases. Specific examples of cases in which statutory fees were available were provided to the bar association presidents, including family, consumer, landlord-tenant, and employment discrimination actions. The presidents of the bar associations were requested to respond by the end of that month (or provide a time frame within which they would respond) after which LSNF would presume that they were not interested in referrals of cases involving statutory fees (without prepayment of a fee). With the exception of Bay County, LSNF received no response from any other bar associations and has concluded that private attorneys do not accept, without prepayment of a fee, fee generating cases based on statutory fees.

Personal injury actions will be automatically referred to two private attorneys or to a local referral service. Except in Bay County, LSNF (consistent with its priorities) will undertake representation of clients where statutory fees are available without need for referral to the private bar.

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M16 (re:POL06)

INTEROFFICE MEMORANDUM July 8, 1997

TO: Staff

FROM: Kris Knab

RE: Alien Representation

Attached please find a copy of the alien policy pursuant to the new regulations. Prior to April 26, 1996, LSNF was able to represent aliens whether they were "eligible" or "ineligible" under the LSC guidelines, so long as LSC money was not used. As you have previously been informed, the new restrictions now apply to all sources of funds so that any "alien" who applies for services from LSNF must meet the requirements in the attached policy in order for us to represent him or her. Please note that LSNF may still refer an ineligible alien to other attorneys or entities, that you have an obligation if an eligible alien becomes ineligible to discontinue representation consistent with your professional responsibility, and that you must fill out an Alien Eligibility Form unless the only service provided for an eligible alien is brief advice and consultation by telephone.

As in the past, you must send a copy of the Alien Eligibility Form (and a copy of the proof) to the executive director.

Please also note that this regulation does not apply to victims of domestic abuse when the legal assistance is directly related to the prevention of or obtaining relief from the abuse. Examples of the types of cases contemplated by this exception are given in the comment to the rule and include assistance to secure housing, medical or income assistance for the abused spouse and children as well as seeking suspension of deportation.

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MEM03

INTEROFFICE MEMORANDUM February 26, 1998

TO: Staff

FROM:Kris Knab

RE: Assisted Suicide, Euthanasia and Mercy Killing

Attached please find LSNF’s policy regarding a new regulation which became effective January 30, 1998, restricting the use of LSC funds to assist in activities related to assisted suicide, euthanasia or mercy killing. Please note the policy does not apply to assistance related to withholding or withdrawing of medical treatment or care, nutrition or hydration, or the use of services furnished for purposes relating to the alleviation of pain (even if the risk of death is increased). Therefore, it does not impact our ability to provide legal assistance to clients in preparing advance directives such as living wills and powers of attorney (unless an advance directive seeks to secure death by active means). It also does not prohibit LSNF employees from providing information on applicable law related to assisted suicide, euthanasia or mercy killing. Finally, it does not apply to activities funded by non-LSC funds.

Please place this in your policy notebook for future reference.

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M14

INTEROFFICE MEMORANDUM July 8, 1997

TO: Staff

FROM:Kris Knab

RE: Attorneys' Fees Policy

Attached please find a copy of the attorneys' fees policy which prohibits LSNF or its employees from claiming or collecting attorneys' fees except in cases filed prior to April 26, 1996 (so long as new claims are not raised) or for cases in which a LSNF employee is court-appointed and entitled to reimbursement as a result of the court appointment. The prohibition does not apply to sanctions imposed by a court for violations of court rules (including discovery rules) or practices or statutes relating to court practice, or to reimbursement of costs and expenses from an opposing party. Additionally, the prohibition does not apply to cases in which the claim for attorneys' fees is based on an agreement between the parties (such as enforcement of a lease or settlement agreement containing a provision that the prevailing party pays).

In cases where you determine that attorneys' fees may be claimed and awarded but are prohibited pursuant to this policy, you should determine in your professional judgment whether representation will be adversely affected by not claiming attorneys' fees (such as impairing settlement negotiations, impeding quick resolution of litigation or providing less impetus for the adverse party to alter its illegal practices). In cases where representation will be adversely impacted in your judgment, you should pursue (with input from your managing attorney) referral to or cocounseling with a pro bono attorney or a non-LSC funded entity. If that is not possible you should explain the disadvantages of not seeking fees to the client and inform the client of other options, such as private counsel (of their own choosing or through the Florida Bar Referral Service, the yellow pages, or a local referral service).

If the client requests LSNF to proceed in representation, the attorney shall have the client sign a consent. Attached is a draft form that can be modified if necessary for that purpose. There may be instances in which you feel representation without a claim for fees would so materially affect the handling of the case that you cannot provide adequate representation. In those cases you must decline representation even if the client is willing to consent.

For any case filed after April 26, 1996, in which a potential fee claim is based on federal or state law, you should not include a request for attorneys' fees but should include a request for reimbursement of costs and expenses. You should also continue to seek sanctions where appropriate against opposing parties whether allowed by statute (such as sections 57.105 and 768.79, Fla. Stat. and sanction provisions in Chapter 120).

(This policy also addresses instances in which you feel that a client is not qualified to proceed in forma pauperis, in which case you may require that client to pay court costs.)

[MEM09]

Attachment

CONSENT

I, ____________________________, have been informed by _______________________, an attorney employed by Legal Services of North Florida, Inc., that the case for which I have sought representation is one in which attorneys' fees may be claimed based on federal or state law. I have been informed that LSNF is prohibited from claiming those fees in my case and that in __________________'s professional judgement LSNF's inability to claim those fees may result in a less desirable settlement or slower resolution of my case. (Insert other reasons that may be applicable.) LSNF has attempted to refer my case to a private pro bono attorney (or to _________________________), but has not been successful. LSNF has also informed me of ways I can seek private counsel. I understand the disadvantages that have been explained to me about LSNF's inability to accept fees and I continue to seek LSNF's services to represent me in my case.

_____________________________________

(signature)

INTEROFFICE MEMORANDUM June 19, 1997

TO: Staff

FROM:Kris

RE: Case Acceptance Criteria

Attached please find a copy of the newly adopted board priorities for our program. Priorities should be considered as an initial threshold over which applications must pass in order for LSNF to consider representation. However, during Case Acceptance, criteria to determine which cases that fall within the priorities should be accepted should be applied, including:

1. issues affecting safety of applicants,

2. issues affecting basic necessities of food or shelter or family integrity,

3. the number of eligible applicants or clients who would be affected by undertaking representation,

4. whether the type of case was specifically identified as a priority need by a focus group during the last needs assessment (as denoted by an asterisk next to the type of case on the priorities list),

5. the likelihood of success on the merits,

6. the availability of other representation,

7. the severity of consequences to the client,

8. the time period in which the action must be taken to protect the client's interests,

9. the resources required in handling the case, including time and expense, and

10. referral from a judge or a funding entity (such as a commissioner

whose county has adopted a filing fee add-on).

If an applicant falls within any of the priorities listed, a denial should not be based upon falling outside the priorities. (In other words, the only cases which should fall outside priorities are cases such as prisoner representation, name changes, etc., that do not appear anywhere within the list of priorities acceptable within the program.) If an applicant is turned down based upon the criteria applied, the denial should so state (i.e., the committee did not accept your case because it did not fit within case acceptance criteria adopted by our program). Unless the applicant is denied based on priorities, funding source restrictions, or financial eligibility, the client should not be given an opportunity to appeal. I will be developing form closure letters to assist you in choosing quickly the appropriate letter to send to applicants who are denied and including, where appropriate, language for appeal.

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M13

MEMORANDUM July 8, 1998

TO: Staff

FROM: Kris Knab

RE: Client Identification

Attached please find a copy of our in-house policy regarding the federal requirement that we identify plaintiffs we represent to defendants in cases that we initiate and in precomplaint settlement negotiations, and that we maintain in each client file and in a separate file a statement of facts from each client for whom we file a complaint or for whom we engage in precomplaint settlement negotiations. In cases in which the identity of a party is protected by state law, a separate notice may be provided to the defendant without naming the plaintiff in the complaint. Until further notice, please continue to have clients for whom statements are required sign and date copies of actual or (for cases involving precomplaint settlement negotiations) draft complaints. If you find it necessary to prepare a separate statement (for instance because it is more expedient than preparing a draft complaint) please use the attached form. Provide a copy of each signed complaint or form to the person designated by your office's senior attorney to file in a master file.

It is important to note that obtaining a statement is not required in emergency situations such as threats to take the client's child out of state, threats to assault the client, or possible eviction of a client without following required legal procedures (though one must be subsequently obtained). However, a statement of the nature of the emergency must be maintained in the case file. Additionally, statements are not required in cases in which the attorney or legal assistant is delivering advice and brief services or is attempting to resolve a matter through negotiation in which (at the time of the attempt to resolve the matter) there is no contemplation of litigation.

Disclosure of a client's identity is also not required when a court has entered an order based on a finding of probable serious harm to the plaintiff if the disclosure is not prevented. Documentation regarding the reason that identification of that client’s name was not made must be in that client’s file. Finally, this regulation does not apply to defendants represented by LSNF for counterclaims filed against a plaintiff or for representation of clients in administrative proceedings that respond to an action taken by a government agency (such as unfavorable disability or welfare decisions).

This regulation specifically points out that it is not intended that it create any new right of access to information for parties to a lawsuit--i.e., the other side should not be able to obtain this statement of facts pursuant to a discovery request (because of rules protecting client confidentiality and governing attorney-client privilege). However, that issue may not totally be resolved and to the extent the statement is merely a copy of the complaint or draft complaint, there should be no ongoing ethical issues that arise.

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M02

Attachment

SAMPLE STATEMENT OF FACTS

REQUIRED BY PUBLIC LAW 104-134, SECTION 504(A)(8)

Plaintiff, ___________________, signed this statement of facts to comply with the requirements of Section 504(a)(8) of Public Law 104-134. This statement was written by plaintiff’s attorney in contemplation of litigation. Plaintiff has instructed LSNF to prepare a complaint and the facts contained in this statement form the basis of the complaint. Plaintiff intends to assert and does not waive any right to assert attorney-client privilege or work product privilege in signing this statement. Plaintiff intends for this statement to be retained in LSNF’s files and that it not be released to any person except for the auditors and monitors described in federal law or pursuant to other applicable court rules or a court order.

[Set out brief statement of facts or include factual allegations of complaint or factual statement in proposed demand letter.]

Signed:___________________________ Date:______________________

(Client Signature)

INTEROFFICE MEMORANDUM June 15, 1998

TO: Staff

FROM: Kris Knab

RE: Disclosure of Case Information

Attached please find a new policy established as part of changes to the Appropriations Act passed by the last Congress. The information we are required to keep does not apply to PAI cases. It does apply to cases handled by staff as well as contract attorneys. It only applies to actions filed on behalf of plaintiffs or petitioners (i.e., not to defendants), and only to the original filing of a case (except for appeals if a LSNF attorney was not the attorney of record in the case below). It does not apply to administrative cases, but does apply to judicial appeals of administrative actions.

As you will note, we are required to collect this information for all cases beginning January 1 of this year. With the conversion to our new software program, we felt it best to wait until the system was operational and go back to fill in the required information. Connie will get with you to instruct you on inputting the data for all future cases and to obtain the necessary information retroactive to January 1. Please note, only partial data needs to be collected for domestic violence cases or other cases where we believe we will endanger a client by releasing names and addresses, and the policy does not apply at all to social security or other administrative cases or to cases in which we file defensive pleadings.

Please place this in your policy notebook for future reference.

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M15

Attachment

INTEROFFICE MEMORANDUM July 3, 1998

TO: Legal Staff

FROM:Kris Knab

RE: Emergencies Outside of Priorities

As you may recall, one of the items that we did not approve in our program priorities was name changes. However, we are able to do those if they fall within an emergency category. You may have some requests for this assistance pursuant to some of the domestic violence grants that we have entered. If so, those cases must be presented to me (or in my absence to Scott, or in Scott’s and my absence, to your managing attorney) for approval.

KK:mjr

“MStaf-Emer...KEE”

MEMORANDOM July 8, 1997

TO: Staff

FROM:Kris Knab

RE: Fee Generating Cases

Attached please find a copy of the in-house policy on fee generating cases. This policy is based on modifications to the old regulation. Fee generating cases include cases in which statutory fees are available. As such this regulation technically applies to family law cases, landlord-tenant cases, many consumer statutes, etc. Outside of the circumstances listed below, a referral to two private attorneys (or to a local lawyer referral service if one is available) is required for all fee-generating cases.

Circumstances in which the case does not have to be referred out include: If neither a local referral service nor two private attorneys will consider the case without payment of a consultation fee, if the case is a social security or SSI case, if the case is one that normally private attorneys do not accept without prepayment of a fee (though we need to have some contact with the local bar associations to trigger this exception), if the program has documented attempts to refer similar cases that have been unsuccessful in the past, if emergency circumstances warrant, or if recovery of damages is not the principal object of the case and substantial statutory fees are not likely to be available.

I will be preparing a communication to the presidents of the local bar associations to try to verify with them that the private bar is not interested in certain types of cases involving statutory fees. Until we receive information otherwise from the private bar, we will continue to refer only those cases that we believe they may be interested in without prepayment of a fee.

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M01

INTEROFFICE MEMORANDUM July 8, 1997

TO: Staff

FROM:Kris Knab

RE: Legislative and Administrative Activities

Attached please find a copy of the policy regarding prohibited legislative and administrative activities. Basically, as in the past, LSNF may represent people in individual administrative hearings, may participate in litigation challenging agency rules and regulations and policies (so long as they do not involve welfare reform), may inform clients about new or proposed statutes or regulations, and may continue to participate on bar committees provided that no resources are used to support prohibited legislative or rulemaking activities and that LSNF is not identified with such prohibited activities.

LSNF employees may also continue to participate in activities related to the judiciary, such as promulgating court rules, disciplinary rules, etc.

Because Florida programs have non-LSC funds, LSNF is able to respond to written requests from government agencies or officials, or elected officials, so long as the requests are not solicited by LSNF or its employees and the responses are made directly to the people who make the requests. Also, LSNF employees may provide oral or written comment to an agency in public rulemaking proceedings and may communicate with local and state agencies or governmental entities regarding funding for LSNF. Involvement in the activities described in this paragraph requires prior approval either through the monthly senior attorney meeting or by the executive director.

As in the past, LSNF employees may not engage in certain training activities or participate in public demonstrations, boycotts, etc., nor may LSNF employees engage in grassroots lobbying, which in essence is defined as a direct suggestion to the public to contact public officials to take a position on pending or proposed legislation, regulations or executive decisions. Rather than the old quarterly reports, LSNF is only required to report activities under this section semiannually.

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M04

INTEROFFICE MEMORANDUM July 7, 1998

TO: Staff

FROM:Kris Knab

RE: Prisoner Representation

Attached please find a copy of LSNF's policy on representation of prisoners. The policy prohibits LSNF from representing a prisoner in any civil litigation or in an administrative proceeding challenging the conditions of incarceration. It does not prohibit LSNF from providing advice or brief service to prisoners, or representation in other administrative proceedings.

"Incarcerated" is defined as the involuntary physical restraint in a penal facility maintained under governmental authority of a person who has been arrested for or convicted of a crime. The definition includes:

• pretrial detainees, and

• persons on furlough or on daytime work release;

but does not apply to:

• parolees or probationers, because they are no longer physically held in custody in a prison,

• juvenile offenders who have not been charged as adults, because charges against juveniles are generally considered to be civil in nature,

• persons who are held involuntarily in mental health facilities,

• persons serving a term of successive weekends in prison, or

• persons incarcerated for civil contempt.

"Federal, state or local prison" includes penal facilities maintained under governmental authority, including private facilities under contract with state corrections departments to house convicted criminals. It also includes local jails.

If a person represented by LSNF becomes incarcerated, LSNF must use its best efforts to withdraw unless the period of incarceration is expected to be less than three months and the litigation will outlast that period. In that event, the LSNF staff handling the case will prepare a statement detailing the reasons why he/she anticipates that the period will be brief and the litigation will out No new issues or matters may be undertaken for that client during the brief incarceration period.

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MEM 05

INTEROFFICE MEMORANDUM July 8, 1997

TO: All Staff and Board Members

FROM: Kris Knab

RE: Regulation Regarding Application of Federal Law to LSC Recipients

Attached please find a copy of 45 CFR Part 1640, which requires that you be notified that LSNF and its board and employees are subject to federal laws relating to bribery of public officials or witnesses, embezzlement or theft of federal funds, attempts to defraud the government, obstruction of federal audits, and making false statements and claims to the federal government.

According to the regulation, if LSNF or an employee or board member has been convicted of or judgement has been entered against them for a violation of any of the related federal laws, such conviction or judgement shall constitute a violation of the agreement between LSNF and LSC, resulting in termination by LSC of LSNF's LSC grant. (If the violation results from a conviction or judgement against an employee or board member, the Corporation must first determine that LSNF knowingly or through gross negligence allowed the employee or board member to engage in the activities which led to the judgement or conviction.)

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M08

4/97

INTEROFFICE MEMORANDUM July 8, 1997

TO: Staff

FROM:Kris Knab

RE: Solicitation Policy

Attached please find a copy of LSNF's policy on solicitation. This policy prohibits you as an employee from advising an individual who has not sought your advice to obtain counsel or take legal action through LSNF. You are also prohibited from advising such an individual to seek legal assistance from another LSC funded program. The policy prohibits contacts made through face-to-face meetings, by personal letter, or by telephone. It does not apply if you have an attorney/client relationship--i.e., you could advise a client to take legal action on an unrelated legal matter.

The regulation recognizes that we can provide information regarding legal rights and responsibilities, or provide information regarding our services and intake procedures, through community legal education activities such as outreach, public service announcements, maintaining an ongoing presence in a courthouse to provide advice at the invitation of the court, disseminating community legal education publications, and giving presentations to groups that request them. Thus, unless a group is a client of LSNF's, we should not make contact with a group to make a presentation. However, we could schedule a presentation and generally invite clients or the public through public service announcements, etc. We also can represent people who seek our services as a result of these activities (so long as you do not, for instance, walk up to a person after the presentation, engage that person in discussion and advise them to seek legal assistance if they do not seek such advice).

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mem06

INTEROFFICE MEMORANDUM July 8, 1997

TO: Staff

FROM:Kris Knab

RE: Welfare Reform Policy

Attached please find a copy of LSNF's policy on welfare reform. LSNF is prohibited from initiating legal representation or participating in efforts to reform federal or state welfare systems. Unlike the interim regulation which applied only to state and federal AFDC programs and specifically excepted food stamps, SSI and other programs, the final regulation is applicable to all provisions of the Personal Responsibility Act of 1996 (except child support enforcement) and subsequent federal and state laws enacted to implement, replace or modify key components of that Act. The Personal Responsibility Act replaced the AFDC program with the Temporary Assistance for Needy Family (TANF) Block Grant. The regulation applies to state replacements to AFDC continued under TANF or conducted under waivers granted by HHS. Not included in the Personal Responsibility Act are the Job Training Partnership Act, Medicaid, Medicare, Unemployment Insurance, Veterans Benefits, and Social Security.

The comment to the regulation points out that a “key component” is intended to mean a fundamental restructuring of a welfare program, such as the transformation of an entitlement program into a block grant program. It no longer includes all of the examples of key components previously included in the comment to the interim regulation.

Another significant change from the interim regulation is the inclusion of regulations within the definition of “existing law.” LSNF may of course continue to represent individual eligible clients who are seeking specific relief from a welfare agency. Under the interim regulation that representation included the ability to challenge a regulation on that basis that it violated a higher state or federal law or to challenge the agency’s interpretation of the law. Under the final regulation, we are restricted to challenging an agency policy that violates a regulation, state or federal law; challenging a regulation only if it was not formally promulgated pursuant to public notice and comment procedures; or challenging the application of an agency’s regulation, or the law on which it is based, to the individual seeking relief. As before, LSNF may not, as part of representing an individual seeking specific relief, attempt to amend or challenge a federal, state or local statutory law or ordinance in effect on the date of the initiation of the representation.

Because LSNF receives other sources of funds than LSC, LSNF may comment in a public rulemaking proceeding or respond to a written request for information or testimony from an appropriate official (pursuant to LSNF's policy on legislative/administrative advocacy) regarding an effort to reform a federal or state welfare system.

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mem07

Attachment