A good paralegal programme requires procedures for proper registration of new cases, referrals, and reporting. Files need to be complete and up-to-date so that, even in the absence of the paralegal, another paralegal will be able to help clients who may have travelled long distances to the office. Proper file-keeping lends consistency and professional rigor to the work of paralegals. It facilitates monitoring and supervision by lead paralegals and managers and provides the raw materials for any evaluation of the programme.

WHAT IS A CASE MANAGEMENT SYSTEM?

A case file would consist of:Intake form, an action log, statement by parties and other documents and material.

INTAKE FORM: This is divided into two: the “Client Intake Section and the”Case Resolution Section.” Paralegals must complete the “Client IntakeSection” of the intake form when registering a new case. If the paralegal office is a branch, then a copy of the intake form with the “Client IntakeSection” filled out may be sent to the head office for entry into the database. When a case is resolved, paralegals must complete the “Case ResolutionSection” of the intake form. The case is officially closed after a specified monitoring period – if necessary – has passed without breach or failure of the resolution. A copy of the intake form with the”Case Resolution Section” filled out is then sent to the head office to update the database. The case file is then put into a “resolved” binder. Until a case is resolved it is “pending.”

ACTION LOG:This records or logs every step taken by theparalegaltowards resolving a particular case. It isalways clipped together withthe intake form. Each action log entry shouldinclude the date and a summary of what tookplace (e.g., “visited police station” or”telephoned client and provided progressupdate”). The action log should containsufficient details to enable a supervisor oranother paralegal follow the thread of thecase. Each entry should also include anestimate of time and money spent on astated action.

STATEMENTS:These are facts/narratives from parties andwitnessesabout events relevant to the problem orcase. Statements are takendown by paralegals and signed by thestatement-makers. They may be used inevidence. Statements can be recorded in the following:

  1. DAILY LEDGER: This book records the daily activities of paralegals. Each activity undertaken in the day is recorded, noting the date, the activity, and the case name and number if the activity is case-related. Ledger entries should be succinct and should only take a few seconds to write. A supervisor would look at the ledger to have a sense of how a paralegal spends his or her time daily. If a supervisor wants to learn about a particular case, she would consult the case file.
    1. CASE DATABASE: this system tracks the overall efforts of paralegals. It aggregates case records submitted at the start and conclusion of cases. It includes information on client demographics, case types, distance and time to the paralegal office, institutions engaged in the process of resolution and outcomes. The data is then analyzed for trends and fed back into the programme.

REFERRAL SYSTEMS

Referral systems are important in any problem-solvingprogramme such as a legal assistance/justice service, healthcare service delivery, etc. Most of the work done by paralegals isprofessional and dynamic in nature and often requires theassistance of other outside actors and fellow paralegals both inthe same and in other locations.

An effective referral system that focuses not only within anorganisation but withother organisations/institutions will greatly improve servicedelivery.

TYPES OF REFERRALS AND REFERRAL PROCEDURES

Internal/Intra-referral (i.e. within an organisation)

INTERNAL-HORIZONTAL– When a paralegal is referring a case, he/she sends the file tothe otherparalegal with a cover note stating the reason(s) for referringthe case and what he/she wants the other paralegal to do on thecase. A list setting out the contents of the case file shouldaccompany the casefile.-The paralegal sending the case should only send a duplicate ofthe file, keeping the original at the office.

The paralegal should request for updates either directly or through his/her lead paralegaland should record in action any development that is communicated to him/her.When the case is resolved the two files should be put together by the paralegal thatadmitted the case as he/she report the case closed.

EXTERNAL/INTERNAL REFERRAL

This is the referral that is done across organizations. One organization refers a case to another justice service/paralegal organization. A  paralegal should inform the lead paralegal who should inform the director / manager. Paralegals should not wait for the permission of the manager/director to proceed but they should have the permission of the lead paralegal.

-Paralegal calls counter parts in other organization to inform them of the referral indicating thenature of the request. He then writes letter to counter-part paralegal stating what he she wants to be done. The paralegal then makes a copy of the entire case file and sends that copy to the other paralegaloffice.

EXTERNAL VERTICAL

The paralegal should start by consulting the lead paralegal, who shouldconsult the manager/ director/ coordinator within the organisation. The lead paralegal or the manager/director/coordinator should contact theother organisation to discuss and agree on the potential referral.

The paralegal should ensure that the case is properly prepared with all documents together and the file properly updated. The paralegal sending the case should record that he is sending it in the ledger, indicating date and purpose of referring. Ordinarily, paralegals should only send a copy of the case file keeping the original at the office. If the referral is for the purpose of litigation then the original file should be sent and a copy kept in the office. A list setting out the contents of the case file should accompany the casefile.

The manager/coordinator/lawyer should write a letter acknowledgingreceipt of the case file, indicating that the list matches the documents in the file.The paralegal should request for updates either directly from the manager/coordinator/ lawyer of the other organisation or through his/her leadparalegal. He should write down on the action log anydevelopment communicated tohim/her.

REFERRING CASES FOR LITIGATION

Intra or inter organisational referrals for thepurpose of litigation have to complywith the guidelines contained in this document.Originals of all documents and exhibits must beprovided to the recipient. When what is requiredis merely standing-in representation in respect ofa particular case in a situation where thereferring organisation’s lawyer is unavailable,sufficient information should be provided toenable the recipient make the appropriaterepresentation. There is anobligation to report back to the referringorganisation with the appropriate update.

BENEFITS OF REFERRALS

  1. Increase access to justice.
  2. More justice issues addressed – cases will not be dropped as a result oflocation;
  3. More judicious use of limited resources, as paralegals will not be expected totravel across wide areas;
  4. Wider coverage.

FOCUS OF THE REFERRAL SYSTEM

  • Tracing witnesses in a case in court which another paralegal either in the same organisation, or partner paralegal organization, is working on;
    • Identifying family members/ potential sureties for people in prison/ police cell for whom paralegals are advocating bail, either in the same or other partner organisation;
    • Doing quick interviews and fact findings on a matter another paralegal mishandling either within the same organization or a partner paralegal organisation;
    • Helping contacting other parties to a case
    • Helping a referred client access medical examination/treatment and counselling;
    • Helping a referred client access other services, including savings and loan schemes and training;
    • Working with government structures (navigating authorities) in handling community level problems;
    • Standing-in representation in respect of court cases in situations where the referring organisation’s lawyer is unavailable or its offices are not located in the towns where the courts are located;
    • Collective work on high-level advocacy and public interest litigation
    • Do other important work on a case as the situation may warrant;
    • Assist in conducting mediation; If a paralegal thinks a case would benefit from referral to another organisation for a particular service, they should discuss this with the lead paralegal and/or director/coordinator/ manager. A paralegal should discuss the possibility of referring with the client, and if the client agrees, the paralegal should contact the other organization and provide the necessary information orally. They should not generally give the other organisation documents belonging to the case. In certain exceptional circumstances, this may be necessary, but it should only be done with the consent of client and after consultation with management (lead paralegal, coordinator/director, etc.).

REFERRAL TO OTHER TYPES OF ORGANISATIONS

(e.g., medical, other service provision, and so forth)

The paralegal should not just send orrefer a client to another institution, butshould physically go with client.The name and particulars of theperson/official receiving the case shouldberecorded for reference.

After referring the case, the paralegalreferring the case should be constantlyfollowing up on the case to know what ishappening and to give guidance andconfidence to the client.The paralegal should keeplogging the development on thecase in both theledger and the action log on thecase file.

If an institution handles a casein a manner that is in some wayunsatisfactory,the paralegal should inform thelead paralegal and/or thecoordinator/director/lawyer ofthe organisation immediately.

Always make sure the case isreferred to the appropriateperson at theorganisation, e.g., adomestic violence caseshould not be sent to thecomplaints department ofthe police but to the FamilySupport Unit

REFERRALS FROM OTHER ORGANISATIONS

A paralegal organisation may receivecases from other organisationsincluding government institutions.Such cases should be handled usingthe normal case intake procedures ofthe organisations.

 Where the referring organisation sorequests, and without prejudice toconfidentiality, general updates onthe case may be provided periodically

THINGS TO CONSIDER IN DESIGNING A REFERRAL SYSTEM

  1. For a referral system to work properly, the partner organisations/institutions may need to agree on certain things and sign an MoU.
  2. Organizations that have offices in big towns may receive/handle more referred cases as they have access to courts, regional offices of state institutions/departments, etc.
  3. Should organisations provide resources, including financial andhuman, to another organisation handling a case, and if so under what circumstances/ to cover what?