ARCHIVED:The UK's departure from the EU means that it is no longer possible for the UK court’s to make a reference to the Court of Justice. References were previously made under old Part 68 and the old associated practice direction, both were revoked on IP completion day (31 December 2020 at 11 pm). The old Part 68 and practice direction are accessible here: For guidance, see: • Practice Note: Brexit post implementation period—CPR changes [Archived] including, in particular, main section: Part 68—References to the European Court • News Analysis: Brexit next steps: The Court of Justice of the European Union and the UK Definitions and rules The CPR provisions for dealing with a reference to the Court of Justice were set out in old Part 68 and old associated practice direction 68. Rules This Practice Note makes reference to the following: • old Part 68 and old practice direction 68 • Rules of Procedure of the Court of Justice—referred to in this Practice Note as Rules of Procedure • Court

This Practice Note outlines the issues that arise in relation to giving, or seeking, an employment reference (ie a reference concerning the employee’s employment history) in respect of an existing, former or prospective employee. The employer may also be asked to provide a financial reference for an employee, eg in relation to a mortgage application. Such a reference typically involves the provision of brief, factual details, such as dates of employment, remuneration and the extent to which the employment is permanent. This Practice Note is concerned only with employment references. For an overview of the practical issues to consider when requesting or providing a reference, see: Checklist for references. Acas has produced guidance on job references, including: • when an employer must give a reference • what employers can say in a reference • what an individual can do if they cannot get a reference • what an individual can do if they get a bad reference The Information Commission’s Office (ICO) draft guidance on recruitment and selection is under review for changes made by the Data

Where a national court or tribunal of an EU Member State finds the interpretation of a point of EU law ambiguous in relation to an ongoing case, the court may, and in some cases must, make a reference to the Court of Justice or the General Court for a preliminary ruling. This Practice Note explores the features of the system of preliminary rulings alongside: • the scope and objectives of this system • the circumstances when a court or tribunal may or must make a preliminary reference • the appropriate stage at which the reference for a preliminary ruling should be made • the meaning of ‘national court’ and ‘national tribunal’ in this context • the procedure for making a reference for a preliminary ruling, and • the stages of a preliminary reference Background reading a statistics on preliminary references are available in the annual reports of the Court of Justice of the European Union (CJEU). Definitions and rules Definitions Definitions used

Role of the Upper Tribunal (Lands Chamber) (the Tribunal) The Tribunal is a specialist chamber of the Upper Tribunal established to determine disputes concerning land in England and Wales and its valuation, and to hear appeals against decisions of certain other tribunals. Among its jurisdictions, the Tribunal determines disputes over compensation relating to the compulsory acquisition of land and the injurious affection of land; disputed compensation relating to tree preservation orders; the validity of blight and purchase notices; appeals against certificates of appropriate alternative development and other land valuation disputes where the parties have agreed to refer the matter to the Tribunal where it acts as arbitrator. For information on compensation relating to compulsory purchase, see Practice Note: Compulsory purchase—compensation. Rules and Practice Directions The Tribunals system is a dispute resolution service which supports, and is part of, the broader court system. It is administered by HM Courts & Tribunals Service (HMCTS) and is governed by the Tribunals, Courts and Enforcement Act 2007 (TCEA 2007). TCEA 2007, Pt 1 created

IN THE MATTER OF THE housing grants, construction and regeneration act 1996 And IN THE MATTER OF AN ADJUDICATION BEFORE [Name of Adjudicator] Between [Name of party 1]        The Referring Party and [Name of party 2]        The Responding Party _______________________________________ Referral notice _______________________________________ Introduction 1 Pursuant to the Notice of Adjudication dated [date] this is the Referring Party’s Referral Notice. 2 This Referral Notice is accompanied by a Bundle, which includes a chronology of events together with relevant documents: 2.1 chronology of relevant events at tab [insert] 2.2 [insert] at tab [insert] 2.3 [insert] at tab [insert] The Parties 3 The Referring Party is [Full Name of Party 1][(‘Abbreviated Name of Party 1’)] of [address], and [provides OR undertakes] [insert services/role Party 1 carries out in course of its business for the Works]. 4 The Responding Party is [Full Name of Party 2] (‘[(‘Abbreviated Name of Party 1’)] of [address], and [provides OR undertakes] [insert services/role Party 2 carries out in the course of its business and for the Works]. Overview of the dispute 5 In summary, [brief overview of the dispute]. The Notice of Adjudication 6 [By Clause [insert clause number] of the Contract OR In the absence of a compliant express contractual adjudication regime and pursuant

1 Background information Name of introducer/fee sharer [Insert name] Financial or other terms of the arrangement [Insert financial and/or other terms] Name of person responsible for relationship with this introducer/fee sharer [Insert name] Name of person conducting this due diligence exercise [Insert name] Date of due diligence exercise [Insert date] 2 Compliance issues Is

1 Background information Name of introducer/fee sharer [Insert name] Financial or other terms of the arrangement [Insert financial and/or other terms] Name of person responsible for relationship with this introducer/fee sharer [Insert name] Name of person conducting this due diligence exercise [Insert name] Date of due diligence exercise [Insert date] 2 Personal injury compliance Will you receive referrals for the purpose of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO 2012) or the SRA Glossary? ☐  Yes (continue with the rest of Section 2)☐  No (move to Section 3) Does the referral arrangement require you to make any payments (including sharing your fees) for the purpose of LASPO 2012, s 56? ☐  Yes☐  No If yes, are those payments:(A) for the referrals/the referral arrangement itself, or(B) as consideration for the provision of services or for another reason and not as a referral fee? ☐  (A)—this is a prohibited referral fee and you cannot proceed on this basis ☐  (B)—continue with the rest of Section 2 Do any of the following apply?:—payment for services appears to be excessive—receipt of referrals is conditional on

This Practice Note reflects requirements for law firms and solicitors in the SRA Code of Conduct for Solicitors RELs, RFLs and RSLs (Code for Individuals) and the SRA Code of Conduct for Firms (Code for Firms) in relation to referral and fee sharing arrangements. The SRA's core regulatory requirements in relation to referral and fee sharing arrangements are found in the two Codes of Conduct, which should be read in the context of the SRA Principles (SRA Principles). This Practice Note also reflects SRA guidance (which relates almost exclusively to personal injury referral fees). This Practice Note deals with situations where a third party refers clients to you and/or you enter into a fee sharing agreement with a third party. There is a separate Practice Note for situations where you introduce clients to third parties—see Practice Note: Introductions to third parties. SRA Principles The SRA Principles set out the ethical standards expected of all those regulated by the SRA. These are mandatory and require you to act: • in a way that upholds the constitutional

1 General information Date of review [Insert date] Person conducting review [Insert name] 2 Referral and fee sharing file audits carried out since last periodic review Complete the following table based on any referral and fee sharing file audit records completed since the last periodic review. Date of each audit Number of client files reviewed per audit [Insert date of first audit] [State how many client files were reviewed during the audit] [Insert date of second audit] [State how many client files were reviewed during the audit] [Insert date of third audit] [State how many client files were reviewed during the audit] 3 [ Client spot checks carried out since last periodic review Complete the following table based on any client spot checks completed since the last periodic review. Date spot check carried out Number of spot checks conducted [Insert

This Referral and fee sharing checklist is intended for law firms. It is designed to help you determine whether you have the systems in place to comply with applicable regulatory and legislative requirements in relation to referral and fee sharing arrangements. It reflects the SRA regulatory regime and the Legal Aid, Sentencing and Punishment of Offenders Act 2012. The SRA Standards and Regulations are accompanied by case studies and guidance in a variety of formats, such as Q&As, warning notices, decision trees and ‘topic guidance’. See Practice Notes: Referral and fee sharing arrangements and Personal injury referrals—SRA examples, flowchart and guidance. This Referral and fee sharing checklist deals with situations where a third party refers clients to you and/or you enter into a fee sharing agreement with a third party. For situations where you introduce clients to third parties, see subtopic: Introductions to third parties. For guidance on what constitutes a referral, introduction or referral fee, see Practice Note: Referral and fee sharing arrangements—Definitions. Types of work Requirement Compulsory or recommended Comments (if any) ☐

1 Introduction 1.1 This policy applies when we receive referrals of potential clients from third parties and/or agree to share our fees with third parties. 1.2 For guidance on our policy and procedures when referring clients to third parties, see our separate Introduction to third parties policy. 2 Key definitions 2.1 A ‘referral’ occurs when another person, business or organisation: 2.1.1 introduces or refers clients to the firm; 2.1.2 recommends our firm to clients; or 2.1.3 otherwise puts the firm and clients in touch with each other. This includes referrals from other solicitors. 2.2 The person, business or organisation making the referral is the ‘introducer’. Referrals could be made in return for: 2.2.1 a fee—this is known as a referral fee; 2.2.2 other consideration, eg a payment to a charity or third party—we also class this as a referral fee; 2.2.3 cross referrals, eg we could agree to refer clients to a law firm that specialises in work that we do not on the basis that they refer clients to us in our specialist areas. 2.3 These are all ‘referral arrangements’. On occasion, we may receive a one-off referral from a third party or another firm with no strings attached. This is still

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