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Northamptonshire Rights & Equality Council: Policies

Casework Policy

NORTHAMPTONSHIRE RIGHTS & EQUALITY COUNCILA Company limited by Guarantee. Registered in England No: 04734851

A Registered Charity No: 1097767Web Site: www.northantsrec.org

twitter @NorthantsrecFacebook www.facebook.com/Northantsrec

Main/Northampton Office: c/o Northampton College, Booth Lane, Northampton NN3 3RF. Tel: 01604 400808

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CASEWORK POLICY

CONTENTS

Introd u cti o n

Who is the NREC able t o a ssist?

When might the NREC w ithdraw assistance?

Who makes decisions to gr a nt or refuse assistance?

Don a tio n s

Data Protecti o n Act 1998 and NREC Casework records

Appendices

Appendix 1: Flow Chart – Employment Cases

Appendix 2: Flow Chart – Service Cases

Appendix 3: Obligations and Liabilities

Appendix 4: Policy on Donations to the NREC

Appendix 5: Policy on Settlement of Cases

CASEWORK POLICY

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INTRODUCTION

Northamptonshire Rights and Equality Council (NREC) seeks to provide a free service to those who wish to complain of discrimination or seeking other forms of advice and assistance. However, due to limited resources, this service cannot be extended to everyone in all circumstances. The following outlines the NREC’s policies and criteria for giving/offering that support and/or the circumstances in which it may be refused or withdrawn. We hope this will be of assistance to everyone who is involved with the NREC and/or those who seeks its services.

It is also the intention of the NREC to encourage and support other appropriate agencies to provide this service, and thus share in the responsibility to maximise the level of support and resources available to clients. Where appropriate, the NREC will work to ensure that client(s) maximise the level of support they receive from others, who more clearly have a responsibility to assist them (e.g. their trade union) and/or to get financial support to pursue their claim from (say) insurance policies, legal aid, etc.

The NREC receives financial support and grants in respect of its work - including casework - from the Borough Council of Wellingborough, Northampton Borough Council and Kettering Borough Council, clients (through donations) and supporters and friends. We formally acknowledge and thank everyone for this support and hope it will continue in the future.



WHO IS THE REC ABLE TO ASSIST?

The following initial criteria will apply in determining who will receive The NREC’s advice and assistance in a casework context:

For allegations of unlawful discrimination the client lives and/or works in Northampton, Wellingborough, East Northants or Kettering.

the complaint or advice sought falls within the scope of the Equality Act 2010 or any other equality enactment, and/or involves any allegation of discrimination, abuse or harassment.

If the claim is of strategic importance1 then this will add increased weight to the NREC trying to provide either in-house or external support. (See Appendix 1 & 2).

When the client is not already receiving advice and support from another agency, - e.g. CAB, trade union, solicitor, another REC.

When the client does not have access to any source of assistance.

When the client is not eligible for legal aid or other potential other source(s) of financial support (e.g. Legal Protection Insurance)

Referrals from another agency - NREC will not normally accept referrals from another agency if the agency has been involved in the case for more than 4 weeks and is seeking the NREC's involvement at 'short notice', e.g. prior to an impending Employment Tribunal hearing, or in order to meet some other impending deadline, i.e. immigration/nationality or Employment Tribunal/County Court application deadline.

WHEN MIGHT THE NREC WITHDRAW ASSISTANCE?

The NREC reserves the right to withdraw support, if:

1 A claim is of strategic importance if there will be benefits from successful litigation not only to the individual concerned but also to other employees/the community, e.g. an “indirect” discrimination claim; it tests a particular point of law; it is likely to influence the future policies or practices of an important local or national company and/or service provider.



1. The client has been aggressive, violent or acted otherwise unreasonably to a members of the NREC's staff or volunteers.

2. The client has persistently not kept to their obligations (as detailed under “Liabilities and Obligations” – see Appendix 3)

3. It becomes apparent that the merits of the case are not arguable or the case/application is clearly unlikely to succeed. (See Appendix 1 and Appendix 2 for the process applied in determining cases which may be provided with representation at an Employment Tribunal or Court, either by the NREC or others).

4. The client is reluctant to accept reasonable advice, including advice to accept an offer to settle2 or resolve the case without the need for legal action and advice on costs.

5. There is a significant breakdown in trust and confidence between the NREC and the client that cannot be resolved.

6. The case is particularly complex, in circumstances in which it would disproportionately and adversely affect the resources of the NREC. In such circumstances it is likely that the NREC’s assistance will be limited to initial advice and assistance and help in finding other professional support (See Appendix 1 and Appendix 2).

7. For some exceptional reason (e.g. sudden illness of an NREC staff or other crisis) totally outside of the NREC’s control, we are unable support a client and the NREC is unable to make alternative arrangements.

8. The client is in a state of depression or (in exceptional cases) suicidal; the Equality Officer will make a judgement about whether it would be acting in the best interest of the client to support them in pursuing their claim to an Employment Tribunal/County Court hearing. If the Equality Officer believes it would not be acting in the client's

2 Settlement of CasesThe NREC will always try to resolve a claim to the clients’ satisfaction. However, given the NREC regards attending a Court or an Employment Tribunal as a last resort, serious consideration will be given to an offer to settle the claim. However, negotiations on the terms of the settlement will not be entertained until an explanation of the client’s treatment has been received. (See Appendix 5)



best interest in that to proceed would cause further serious stress, the Applicant will be advised of the NREC's intention to withdraw.

Who Makes Decisions to grant or refuse assistance?

Any decisions about support, refusal of support, or withdrawal of support (or the level at which support is given), will be made in the first instance by the NREC Officer who is “case accountable”. However, if there are any doubts or other concerns then the decision should be made only after consulting with the Chief Executive, and/or following discussion at a casework review meeting. If any client is dissatisfied with this decision then they shall be invited to use the NREC’s Complaint Procedure (copy available on request).

All decisions, and the reasons for them, shall be recorded in writing and placed in the case file. All decisions shall only be reached by reference to this Policy, or other NREC policies that may be relevant.

A client has the right to be given full reasons, in writing, why support has been refused or withdrawn. If a client wishes to

complain about the decision a copy of the NREC’s Complaints Policy will be made available to them.

Donations to NREC

The NREC is a registered charity an depends on the continued and active support of individuals and other agencies in the local community for its work to continue. We welcome support for our work in a variety of different ways, including offers of financial donations. If a client is pleased with work we have undertaken on their behalf, and they wish to make a financial donation to the NREC, this will be gratefully received. A receipt will be issued for any cash financial donation received. (See Appendix 4)

Data Protection Act 1998 and NREC Casework Records

The NREC keeps case files on all clients in two forms: computerised and manual records.

All clients have the right to inspect their records or to receive a copy, or any individual documents contained within the casework file, if prior notification is received from the client.



The NREC does not give case files to clients when the case is closed. These are stored by the NREC and then deposited with an archive normally within two years.

For records held in the County Record Office , the office will not open these files to the public for 100 years, although. The NREC can retrieve or view them if necessary and arrangements can also be made for clients to view their case file at the County Record Office, following a formal request to the NREC.

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If any client has any questions or concerns about this policy, or indeed any other matter concerning the conduct of their case, they

have right to ask for an explanation and/or further information. REC staff have a duty to provide this information.

If in doubt.....ask! We aim to please

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Northamptonshire Rights & Equality Council: PoliciesAppendix 1

ASSISTANCE TO COMPLAINANTS OF DISCRIMINATION

EMPLOYMENT CASEWORK

Yes

No

Yes

No No

Yes

No

Yes

Appendix 2ASSISTANCE TO COMPLAINANTS OF DISCRIMINATION

SERVICE CASEWORK

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Does client meets initial criteria for assistance

On completion of the investigation does the EO ‘judge’ the complaint to have merit to proceed

and/or is it of strategic importance?

Does the case present legal and evidential complexity? Is the case listed for hearing for

more than 4 days?

Assistance limited to settlement and/or client referred to another agency

NREC to refer complaint to a solicitor for counsel’s opinion on the merits of the case. If the opinion is favourable NREC pays for the opinion

The NREC will consider paying legal costs and/or other ways of funding will be investigated e.g. Legal Protection Insurance.

NREC will do all in its power to try and secure support for the case.

Client is advised that the complaint lacks merit. NREC assistance would be limited to negotiating a settlement

and/or referral to another agency.

No Further Assistance (NFA) from NREC other than referral to another

agency.No

Was counsel’s opinion favourable?

Representation to be providedin-house by NREC.

Does client meet initial criteria for assistance? NFA from NREC. Alternative assistance sought. Case referred

and/or advised no redress


No

Yes

No

Yes

No

Yes

No

YES

Yes

Yes

No

YES

‘NFA’ = No further Assistance. ‘Fresh claim’ = no advice given/work undertaken by another agency* for definition of ‘strategic importance’ see page 4

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Is it a ‘fresh claim’ and is it within EHRC time limits?

At this stage the complaint would be referred to a solicitor so that counsel’s opinion on the merits of the case can be obtained. NREC pays for the opinion.

Case formally referred to EHRC. NREC to assist EHRC

as needed.

Case formally referred to solicitor. NREC assist solicitor and counsel as needed.

Was counsel’s opinion favourable?NFA from NREC. Referral

to another agency.

NFA from NREC. Alternative assistance sought. Case

referred. If ‘out-of-time’ client advised no redress available

NFA from NREC. Alternative assistance sought. Case referred

and/or advised no redress

On completion of the investigation does the Complainant Aid Officer judge the

complaint to have merit and/or be of strategic importance*?

NFA from NREC. Alternative assistance sought. Case

referred.

At this stage the complaint would be referred to the EHRC with a request to provide legal representation. The counsel’s opinion would accompany the referral/request for assistance.

Is the client eligible for Legal Aid and/or has Legal Protection Insurance?

Has legal representation been granted by EHRC?

NFA by the NREC other than to assist in finding an alternative source of assistance e.g. solicitor operating ‘no win, no fee’ scheme.

No

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APPENDIX 3

Obligations and Liabilities between NREC and clients

General Obligations of clients to NREC

In order for the NREC to provide a professional and efficient service there are some responsibilities that must be borne by clients:

to keep the NREC fully informed of any changes in their circumstances which affect their case

to respond to letters or messages from the NREC within a reasonable period

to provide the NREC with all information (in confidence) which is relevant to the case

to accept reasonable advice from the NREC

to treat the NREC staff and volunteers with respect. We will not tolerate racial, sexual, homophobic or transphobic harassment or abuse, or other unreasonable behaviour

In circumstances where the above obligations are not met the NREC reserves the right to cease further assistance and all obligations on the NREC would then cease.

Obligations of NREC to clients:

to keep clients informed of any developments in their case, as and when they occur within a reasonable time

to advise and represent clients to the best of the NREC's abilities

to keep all matters confidential within the NREC, unless the client specifies otherwise



to enable and facilitate the client to have full control and direction over their case and for all decisions to be reached in an informed way by the client themselves

to keep all personal possessions (passports etc.) secure until returned to the client

Financial liabilities of clients:

Besides the foregoing, the NREC cannot be held liable for the following:

Expenses incurred by the client in pursuing their cases (travel, subsistence, etc.)

Costs arising from legal liability, unless they are the result of professional negligence or misconduct. This includes awards of costs that may arise at Employment Tribunal, or in other circumstances.

However, in these respects, the NREC undertakes to advise and assist clients to claim any entitlement that may be due so as to minimise the costs incurred by them. The NREC also undertakes to advise clients about any legal or other costs that they may be liable to incur, before they arise.



APPENDIX 4

Donations to NRECThe NREC is a registered charity and depends on the continued and active support of individuals, and other agencies, in the local community for its work to continue. We welcome support for our work in a variety of different ways, including offers of financial donations. If a client is pleased with work we have undertaken on their behalf, and they wish to make a financial donation to the NREC, this will be gratefully received. A receipt will be issued for any cash financial donation received.

It is the policy of the NREC that no staff member shall receive a financial donation personally. However, staff are permitted to receive small gifts 'in kind', at the client's discretion. If any staff member receives a personal financial donation/gift it will constitute a disciplinary offence.

Voluntary Donations in the event of Financial Settlements or Awards

The NREC's services are completely FREE. If, however, the NREC is successful in formally negotiating a financial settlement on behalf of a client, and/or is successful in winning an award at Employment Tribunal or other court or tribunal, it is the policy of the NREC to actively seek a voluntary donation from the client of 10% of any settlement/award/compensation (after the deduction of any costs etc., outside of the control of the client).

Client's Consent to a Voluntary Donation This policy in respect of voluntary donations will be drawn to the attention of all clients at the time a casework file is opened in their name. It will also be clearly explained to them, if necessary in their community language. The client will be asked to sign/date to confirm this has been done and that they agreed to make a voluntary donation.

Payment of Award or Settlement to the Client

In the event of any settlement or award the NREC will generally require that the full award is payable to the NREC in the first instance. If a 10%



voluntary donation to the NREC has been agreed by the client then this will be deducted and the balance of the award or settlement will be paid by the NREC (normally by cheque) to the client once the original cheque has been cleared by the NREC's bank (this would normally be within 10 working days).



APPENDIX 5

Model Settlement Terms in cases of discrimination

If a settlement of a case of discrimination is possible, the NREC will try to secure a settlement on the following basis. However, this may not always (if ever) be possible. Any proposed settlement terms will be discussed with the client concerned and will attempt to balance and/or reconcile the individual client's wishes and the need for the NREC to pursue its general aims and objectives.

An attempt will be made to secure settlement terms containing the following elements:

1. Equal Opportunities. A future commitment by the respondent to fully adopting an equality diversity policy and action plan, with reference to any Code of Practice in employment and/or other good practice guidelines.

2. Public Settlements. We will attempt to avoid, as far as is reasonable in the circumstances, any conditions on settlements which seek to keep them "private". The NREC believes in openness and public accountability as much as possible.

3. Notice. The respondents to display a notice, giving details of the terms of the settlement (but without referring to the applicant), where the alleged act of discrimination took place, for a period of three months. The wording of the notice to be agreed as part of the settlement.

4. Apology and/or admission of discrimination to the individual concerned.

5. Implementation and monitoring of the Equality and Diversity Policy. We will try to gain an agreement to meet with the NREC and/or EHRC to plan the Policy and action plan, as in (1) above. Further meetings after six and twelve months will follow this, in order to monitor effectiveness of the policy.

6. Financial terms. The financial terms of settlement will be assessed with reference to the effects (of the alleged act of discrimination) on the individual relating to:



(a) feelings and emotions(b) personal integrity(c) mental well-being and the effects of stress(d) capacity to work normally, earn a living and live a free life(e) good name/reputation(f) loss of privacy(g) relationships (partner, children, parent(s) and friends)(h) professional and future job prospects or career opportunities(i) co-workers, colleagues and peers(j) actual loss - i.e. loss of income, pension rights, statutory

rights, etc.

Advisory, Conciliation and Arbitration Service (ACAS).

In employment related cases a standard letter will be sent to ACAS for each case file opened indicating a willingness to enter into negotiations on settlement or resolution of the complaint. However, such negotiations will not be entertained until a reply to the Race Relations Questionnaire and/or an explanation of the client’s treatment has been received.

Last reviewed: 2nd September 2014

Next review date: 1st May 2016


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