45 C.F.R. 1609.4

Recordkeeping

1.         Pursuant to 45 C.F.R. 1609.4, the recipients should maintain written policies and procedures to guide staff in complying with 45 C.F.R. Part 1609.

2.         If the recipient relies on 1609.3(b)(2), relating to consultation with the private bar, to accept a fee-generating case without first attempting referral, the recipient shall maintain:

(a) A memorandum containing the names of appropriate representativesof the private bar with whom the recipient has discussed fee-generating cases and the bases on which the recipient has concluded that private attorneys in its service area do not accept, or do not accept without prepayment of a fee, particular types of fee-generating case; and

(b) A list of the types of such fee-generating cases that private attorneys do not accept.

3.         Recipients shall establish a recordkeeping system which includes appropriate documentation in individual case files or elsewhere that indicates the basis for taking each fee-generating case not included in paragraph 2 above, including records that:

(a) indicate the date when a referral was rejected by the lawyer's referral service; or

(b) indicate the names of two private attorneys who rejected the referral; or

(c) indicate that neither the lawyer referral service nor two named private attorneys would consider the referral without prepayment of a consultation fee;

(d) indicate that the recipient's executive director, or designee, has determined that the case cannot be referred to the private bar because one of the following circumstances exist including documentation:

 

(i) that past attempts to refer similar cases have generally been futile; or

 

(ii) describing the emergency circumstance that compelled the recipient to take immediate action before referral could be made of a fee-generating case; or

 

(iii) that recovery of damages was not the principal object of the recipient's client's case and substantial statutory attorneys' fees are not likely to be available.

4.         As part of its recordkeeping system, the recipient shall maintain a separate file that identifies and summarizes each instance in which a fee-generating case, other than cases accepted under 1609.3(b)(2) (paragraph 2. above), was accepted. (A copy of LSC's form should be used as the summary.)

5.         For court-appointed cases that would otherwise be considered to be fee-generating, recipients should include in the client's file or in a central file copies of the court order directing that the recipient or employee of the recipient provide representation in the case and a copy of the statute or court rule that permits such appointment. If the appointment was made orally or was subject to an unwritten practice, the recipient should include an appropriate written description of the appointment or practice.

 

 


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