APPENDIX XI.C. Legal Services Supervision Branch

APPENDIX XI.C. Legal Services – Supervision 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]

SUPERVISION BRANCH

Function/Position / General Counsel / Deputy General Counsel / Assistant General Counsel (OBRAS)[2] / Regional Counsel, Deputy Regional Counsel / Senior Counsel, Supervisory Counsel (Offensive Goodwill) / Counsel (Offensive Goodwill)
LEGAL REFERRAL AUTHORITY:
Execute LSA,
amendments and terminations / Full / Full / Full, in Consultation with DGC / As Delegated / As Delegated / Not Delegated
Execute a Legal Referral, modifications and terminations / Up to Payment Approval Authority [3] / Up to Payment Approval Authority / Up to Payment Approval Authority / Up to Payment Approval Authority in Consultation with AGC (OBRAS) / Up to Payment Approval Authority / Up to Payment Approval Authority
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 in Consultation with AGC (OBRAS) / Up to Payment Approval Authority / Up to Payment Approval Authority
Function/Position / General Counsel / Deputy General Counsel / Assistant General Counsel (OBRAS) / Regional Counsel, Deputy Regional Counsel / Senior Counsel, Supervisory Counsel (Offensive Goodwill) / Counsel (Offensive Goodwill)
PAYMENT APPROVAL AUTHORITY:
Approve payments per matter for a Legal Referral[4] or modification[5] / $2 million
Competitive
$250,000
Noncompetitive / $2 million
Competitive
$250,000
Noncompetitive / $100,000
Competitive
$125,000
Noncompetitive / $50,000 Competitive
$125,000
Noncompetitive / $50,000
Competitive
$125,000
Noncompetitive / $5,000 Competitive
$5,000
Noncompetitive
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 / Not Delegated
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] / Full / 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] OBRAS – Open Bank Regional Affairs Section

[3] 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.

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

[5] Pursuant to section 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.