APPENDIX XI.A. Legal Services Litigation and Resolutions Branch

APPENDIX XI.A. Legal Services – Litigation and Resolutions Branch

Effective Date: December 11, 2008

Resolution No. 072865 adopted December 7, 2004, as clarified by Resolution No. 073261 adopted May 16, 2005 and Resolution No. 074567 adopted December 5, 2006

LEGAL SERVICES[1]

Function/Position / General Counsel / Deputy General Counsel / Associate General Counsel, Assistant General Counsel / Regional Counsel,
Deputy Regional Counsel / Senior Counsel / Supervisory Counsel,
Counsel, Section Chief-Field, Managing Attorney /
LEGAL REFERRAL AUTHORITY:
Execute LSA,
amendments and terminations / Full / Full / Full / Full / As Delegated / Not Delegated (except Supervisory Counsel, PLG only)
Execute a Legal Referral, modifications and terminations / Up to Payment Approval Authority [2] / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority for Supervisory Counsel (PLG)
Delegated to Section Chief-Field and Managing Attorney up to $250,000 for competitive contracts and $10,000 for noncompetitive[3]
Approve Legal Matter budget, amended budget / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority / Not Delegated
Function/Position / General Counsel / Deputy General Counsel / Associate General Counsel, Assistant General Counsel / Regional Counsel,
Deputy Regional Counsel / Senior Counsel / Supervisory Counsel,
Counsel, Section Chief-Field, Managing Attorney
PAYMENT APPROVAL AUTHORITY:
Approve payments per matter for a Legal Referral[4] or modification[5] / $2 million Competitive
$50,000 Noncompetitive / $2 million Competitive
$50,000 Noncompetitive / $1 million Competitive
$25,000 Noncompetitive / Regional Counsel $1 million Competitive
$25,000 Noncompetitive
Deputy Regional Counsel
$500,000 Competitive
$25,000 Noncompetitive / $500,000 Competitive
Noncompetitive Not Delegated / Not Delegated
Approve payment of Legal Referral invoices / Up to Approved Legal Matter Budget Ceiling / Up to Approved Legal Matter Budget Ceiling / Up to Approved Legal Matter Budget Ceiling / Up to Approved Legal Matter Budget Ceiling / Up to Approved Legal Matter Budget Ceiling / Up to Approved Legal Matter Budget Ceiling for
Supervisory Counsel (PLG)
As Delegated for Counsel, Section Chief-Field, Managing Attorney
RELATED MATTERS:
Approve resolution of conflicts of interest / Full (GC Delegated Authority to Conflicts Committee Chair)[6] / Not Delegated / Not Delegated / Not Delegated / Not Delegated / Not Delegated
Legal Audits[7] / Unlimited / NA / NA / NA / NA / NA

[1] The General Counsel as chief contracting official for legal services, has the authority to contract for legal services under section III.b of the Resolution. That authority may be delegated to the senior Legal staff. The term “Legal Services” is defined in section I.n. of the Resolution. This delegation applies to the use of outside counsel and/or related legal support services, such as use of expert witnesses, non-lawyer services, and any services that support the professional services of either in-house attorneys or outside counsel.

[2] For purposes of this matrix, the phrase, “Up to Payment Approval Authority” refers to the approved aggregate payment amount or ceiling for a specific legal matter.

[3] Non-competitive contracts, for the purpose of this redelegation, do not include sub- or additional contracts with previously engaged firms.

[4] The term “Legal Referral” is defined in section I.k of the Resolution to include referrals for any legal services.

[5] Pursuant to § IV.b of the Resolution the General Counsel has delegated payment authority of $2,000,000 for competitive legal referrals and $250,000 for non-competitive legal referrals.

[6] See, e.g., 12 CFR Part 366

[7] Authority for Legal Audits is delegated to COB only.