Legal Support Services Deskbook
Management of Services
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4.1 General Management of Legal Support Services
The FDIC's goal is to utilize experts and LSS providers that possess the necessary knowledge, background, research capabilities, and other expertise in the particular field for which the provider will be providing services. Consistent with this goal, the FDIC expects the expert or LSS provider to manage time carefully. Expert and LSS provider costs should be competitive.
Consistent with the terms of the executed agreement with the FDIC, the FDIC will not pay for costs associated with:
- Excessive conferencing (including, but not limited to, billing for administrative instructions, billing for repetitive or daily meetings among contractors, staff, etc.);
- Unnecessary review of documents or files;
- Unnecessary polishing of documents (including, but not limited to, unnecessary reviews, updates, or amendments to documents or files);
- The "learning curve" for FDIC work; and
- Unfocused research or research not required by Oversight Attorney.
Experts or LSS providers are required to discuss staffing with the Oversight Attorney and assign no more employees than are necessary to adequately provide services to the FDIC. The expert or LSS provider must refrain from rotating assignments away from employees knowledgeable about FDIC or using FDIC projects for the purpose of training other personnel. Departures of personnel from experts or LSS providers organization must be listed in a contract amendment.
Providing services in a cost-effective manner requires that the expert or LSS provider:
- Consult the Oversight Attorney on strategic, tactical, or cost-related decisions concerning the services that are being provided;
- Provide to Oversight Attorney, upon request, a copy of all contracts for expenses and orders with a value over $100,000, with subcontractors, consultants, and other parties engaged by expert or LSS provider to work on FDIC matters. Furnish a copy of the contract or order under a letter confirming permission to use the particular third party;
- Have a clear understanding of the role of the expert, LSS provider, the Oversight Attorney;
- Define the goals and objectives to be achieved;
- Develop a formal case plan, if required by the Oversight Attorney, that will achieve the FDIC's goals and objectives, which requires approval of the Oversight Attorney and his delegated authority when appropriate; and
- Be advised of all significant developments.
Decisions that should be made by consultation with the Oversight Attorney (absent exigent circumstances) include, without limitation:
- Secretarial overtime;
- Use of temporary employees or summer interns;
- Contacts with FDIC business staff;
- Research; and
- Staffing at conferences, court appearances, depositions, or meetings.
The Legal Division expects timely, cost-effective solutions. Failure to conform to the required cost-saving measures noted above may result in disallowance of the billed amounts by the Legal Division.
FDIC management procedures require that the expert or LSS provider keep the FDIC Oversight Attorney fully informed as to the status of services that are being handled. A status report may be submitted as often as directed to the Oversight Attorney for each service the expert or LSS provider is providing.
- Be brief but meaningful;
- Emphasize developments since the last report;
- Discuss and compare case status to the budget and whether the service is proceeding in line with the case plan; and if not
- Explain in detail why actual costs differ from projected or budgeted amounts.
4.2 Case Plan
A formal case plan and schedule shall be prepared for each matter handled by experts and shall be closely monitored by the Oversight Attorney. If required, the Oversight Attorney may develop a formal case plan for each LSS provider. The case plan will be utilized by the Oversight Attorney to summarize the strategy for the services.
Upon commencement of services the expert or LSS provider should discuss the matter with the Oversight Attorney. If required by the Oversight Attorney, a case plan and budget should be prepared that sets forth the major steps the expert or LSS provider will take to accomplish the service. The case plan should also detail and schedule the work to be performed, identify the expert or LSS provider and support staff that will perform the work, and indicate the total hours each person (or class of people) identified will spend on the work. The case plan is a vital tool in cost control and oversight.
4.3 Case Plan Submission
The following steps outline the submission and approval process:
- Once the case plan is completed, it is submitted to the Oversight Attorney for approval. This package consists of the case plan and when necessary the budget.
- he Oversight Attorney will review the case plan and budget. If it is satisfactory, the Oversight Attorney will recommend approval by the appropriate FDIC delegated authority.
- The Legal Division will notify the expert or LSS provider when the case plan is approved.
4.4 Amended Case Plan Submission
Once completed, the amended case plan and budget should be submitted to the Oversight Attorney for approval.
The amended case plan and budget should be submitted in the same manner as the original case plan, as instructed in the retention letter. This package consists of the amended case plan and budget form. See steps 2 and 3 under 4.3 (Case Plan Submission) to complete the submission and approval process.
4.5 Criminal Referrals
The Legal Division has a responsibility to notify and, where appropriate, assist law enforcement officials including the Office of Inspector General in investigating conduct that may constitute a violation of criminal statutes. The expert or LSS provider should report any information that indicates possible criminal behavior to the Oversight Attorney. The Oversight Attorney may either file a Suspicious Activity Report Form - Word or instruct the expert or LSS provider to do so under Legal Divisions guidelines.
The FDIC does not have authority or responsibility for instituting, conducting, or disposing of criminal proceedings. As a matter of policy, the settlement of civil litigation on behalf of the FDIC may not, expressly or by implication, extend to the disposition of any criminal charges or recommendations with respect to such charges, or to the disposition of any potential criminal or civil liability for fraud against the FDIC or the United States. Furthermore, in conducting civil litigation, including settlement negotiations, under no circumstances may the expert or LSS provider agree to withhold from law enforcement authorities any information relating to a possible criminal violation or investigation.