CCMS Provider: Hints and Tips for Prior Authority Requests

Hints and tips when submitting a prior authority amendment

• Please note there is a new checklist that may assist in making sure you have included everything

The LAA has been part of a judicial working group looking at improvements to the instruction of expert witnesses in family cases, it was recommended that this hints and tips document could be useful to providers.

Please provide supporting documents on submission of every prior authority request.

For expert instruction:

• Court order
• Estimate
• Letter of instruction or list of questions
• Alternative quotes (wherever possible)
• Other parties’ certificate references

For intermediary instruction:

• Psychological/psychiatric report
• Estimate

For the instruction of an international law expert:

• Court order
• Estimate
• Letter of instruction or list of questions
• Alternative quotes (wherever possible)
• Other parties’ certificate references
• CV

For drug and alcohol testing:

• Court order
• Estimate
• Alternative quotes (wherever possible)
• Other parties’ certificate references

For client travel:

• Court order listing the hearing (if travelling to court)
• Quotes

Please do not forget to provide the password for password protected documents.

If for any reason, the requested documents are not available or are not relevant to a particular application, please address this on submission to avoid unnecessary document requests. 

Apply for prior authority at the earliest opportunity as prior authority does not operate retrospectively.

• Prior authority amendments are generally processed on a 1-2 working day turnaround.
• If there is any delay in submitting prior authority and; as a result, the request needs to be considered urgently please contact the team at CivilPriorAuthorityRequests@justice.gov.uk in order that your request may be expedited.
  Alternatively, you can contact the Customer Services Team on 0300 200 2020.
• If your prior authority request is submitted after the court deadline for the filing of an expert report but that deadline has been missed, please confirm this on submission.
• A prior authority request is not considered retrospective until the report has been completed.
• If a prior authority request is refused as retrospective; this is not an indication that the cost will not be met, only that the cost will need to be justified on assessment.

Provide sufficient detail in your prior authority application to justify an increased number of hours or an exceptional hourly rate.

• The letter of instruction should include a case background wherever possible. Where the letter of instruction does not include a case background or is not available yet please provide a separate summary of case.
• If the letter of instruction has yet to be agreed, please provide a draft list of proposed questions.
• Please ensure the expert’s estimate includes a breakdown (e.g. hours for reading, report writing, attendance with client, attending an experts’ meeting, attending court).
• Where the expert has requested additional hours for reading, please confirm the volume of documents to be considered by the expert.
• Where the company instructed hires multiple experts with varied qualifications, please specify which expert will be undertaking the work and provide a copy of their CV.

When requesting an exceptional hourly rate, please provide alternative quotes.

• If no alternative quotes have been obtained, please confirm why.
• Please confirm on submission if you have approached other experts who have declined the instruction, providing evidence if possible.
• Where there is a more cost-effective alternative quote, please confirm why the expert was not selected.

There are several ways to challenge a prior authority decision.

Application Fixer:

• If you believe a mistake has been made on your application, such as a calculation error or incorrect apportionment of costs, you can contact ApplicationFixer@justice.gov.uk who will forward your concern to the prior authority team.

Requesting a review:

• You have the right to an informal review of every prior authority decision.
• There is no right of appeal to an independent costs assessor.
• To request an informal review of a prior authority decision, please submit a legal appeal request via CCMS.
• Please note, we cannot accept requests to review via email.
• Once submitted via CCMS as a legal appeal request, requests to review can be expedited by contacting the team via email CivilPriorAuthorityRequests@justice.gov.uk
• Requests to review should be submitted by the lead solicitor (The provider who submitted the initial prior authority request). If you received prior authority via provider ad-hoc notification, transferred from another certificate, we will not accept your request to review.
• If the prior authority decision is overturned or amended on review on the lead certificate, a notification will be sent to all parties informing them of the change.  

The team are happy to address any queries

Case Enquiries:

• Case enquiries relating to prior authority can be submitted via CCMS.
• The team will also accept prior authority enquiries via email at CivilPriorAuthorityRequests@justice.gov.uk

General Reminders

• Prior authority is not required for expert travel and accommodation, unless exceptional. This can be justified on assessment.
• Prior authority is granted exclusive of VAT.
• You can apply for multiple experts on the same prior authority amendment.
• Whilst a prior authority amendment is pending a decision, you will not be able to submit an additional amendment via CCMS.
• The ‘number of hours’ section on CCMS relates to the total number of hours requested by the expert for the whole assessment.
• If an expert exceeds the number of hours granted under prior authority, these hours can still be claimed by being justified on assessment.
• If you need to adjust a prior authority after it has been granted (e.g. the expert’s hours increase following receipt of medical records), you can do so by submitting a case enquiry with the expert’s updated estimate attached. A fresh prior authority is not required.
• Where there are ongoing proceedings, it is expected that HMCTS will provide an interpreter at the hearing when requested. If an interpreter is required for matters outside the courtroom or for client-solicitor privileged conversations inside the courtroom then the cost should be allowable under the legal aid certificate.
• The prior authority team cannot change the expert type where this is entered incorrectly on submission. However, we can note the correct expert type on CCMS for the attention of the billing team. This will not, however, be reflected on the certificate.
• If an expert requests hours in excess of the guideline, please ensure you claim for the total number of hours and not just the hours in excess of the guideline. 
• If the team have given a decision in principle for the instruction of an interpreter above the codified rate, further instruction of the same interpreter at the same hourly rate can be justified on assessment. Each instruction should be evidenced for the Finance Team.
• The same principle applies to the instruction of an advocate or an intermediary: Where the team have agreed the cost is reasonable, further instruction of the same advocate at the same hourly rate can be justified on assessment. Each instruction should be evidenced for the Finance Team.
• Please read the prior authority notification letters carefully and in full to ensure you are fully informed on the decision.

Helpful links:

Relevant Guidance	Guidance on the Remuneration of Expert Witnesses   Civil Finance Electronic Handbook
Quick Guide (How to submit a prior authority amendment via CCMS)	CCMS provider: submitting a prior authority – Legal Aid Learning
Guidance on assessments of neurodiversity	Prior authorities in respect of neurodivergent client assessments – Legal Aid Learning
Webinar (prior authority hints and tips from 38:10)	Managing live cases webinar – Legal Aid Learning