Ending a caseEnding a caseEnding a caseEnding a caseEnding a caseEnding a caseEnding a caseEnding a caseEnding a caseEnding a case:monitoringEnding a caseEnding a case:monitoringEnding a caseEnding a case:monitoringEnding a caseKey performance indicators (KPIs):rejection rates for licensed workKey performance indicators (KPIs):refusal rates for licensed workKey performance indicators (KPIs):licensed work– assessment reduction 10 per cent maxKey performance indicators (KPIs):immigration CLR positive outcomeKey performance indicators (KPIs):fixed fee margin–20 per cent maxKey performance indicators (KPIs):controlled work–assessment reduction 10 per cent maxKey performance indicators (KPIs)Ending a case:monitoringEnding a case
5.67Standard Civil Contract Specification 2013 para 3.66 sets out the circumstances in which you can close your file and claim your costs.
5.68Most are obvious: the client decides not to proceed, or decides to take the matter forward themselves; a representation certificate is granted, or you cannot act further due to a conflict of interest or other professional conduct issue; or the matter simply reaches a logical conclusion.
5.69One is less obvious, which is where the client fails to give instructions for three months (unless the matter is on hold, for example, because you are waiting for a third party to act or you have agreed it with the client). You have to watch out for this, because on a costs/contract compliance audit (see chapter 19) the LAA may say that the case terminated at that point, and disallow all profit costs and disbursements after it. This is important in escape fee cases.
5.70You cannot stop work or close a matter simply because the value of your costs is equal to, or more than, the fixed fee.
1Standard Civil Contract Specification 2013 para 3.6. Equally, you should not delay making an application for a certificate that would otherwise be appropriate so that your costs cross the escape fee threshold.
2Standard Civil Contract Specification 2013 para 3.7.5.71You should close and claim for your case as soon as you properly can, as apart from anything else, the date of the claim is when time starts to run to open a new matter start if the client subsequently needs further advice.
5.72You have to submit a claim for controlled work standard fee matters within six months of the ending of the matter.
3Standard Civil Contract Specification 2013 para 4.32.5.73Note that claims for escape fee cases have to be submitted within three months of the standard fee claim on that case.
4Standard Civil Contract Specification 2013 para 4.17.5.74If you fail to submit claims within time limits ‘persistently’, you may receive a contract warning notice, which could lead to contract termination.
5Standard Contract 2013 clause 14.5.Ending a case – monitoring
5.75The LAA monitors organisations remotely, using the data they supply as a matter of course when applying for funding or claiming at the end of the case.
5.76The Standard Contract 2013 includes key performance indicators (KPIs). We will deal with all the KPIs in this section for completeness, although some relate to controlled work and some to licensed work. Some KPIs apply to all categories of law and a few are category specific. Standard Civil Contract Specification 2013 paras 2.50–2.66 contains the detailed rules. Note that there are fewer KPIs than in some previous contracts. In particular the requirement to use 85 per cent of NMS has gone, as has that to achieve a substantive benefit for clients (save for Immigration/asylum CLR, see KPI 6, para 2.66 of the specification).
5.77Failure to meet KPIs can result in further audit or monitoring and could be taken into account when bidding for a new contract.
6Standard Contract 2013 clauses 11.4 and 11.5. Therefore, it is important for caseworkers to be aware that their performance under the contract can affect the organisation as a whole.
Key performance indicators
5.78KPIs are monitored on a rolling three-month basis, rather than on each individual case. A summary of the KPIs is as follows. They are set out in full from para 2.50 onwards of the Standard Civil Contract Specification 2013 (with equivalent provisions in the other civil contracts).
KPI 1 – Controlled work (non-fixed fee) – assessment reduction 10 per cent max
When your ‘escape cases’ are assessed (these are the cases that used to be called exceptional cases, where the costs on a time and item basis are 3 × the fixed fee), the costs claimed must not be reduced by more than 10 per cent. This includes disbursements but not VAT. This KPI will be calculated across a minimum of three months and a minimum of ten cases.
KPI 2 – Licensed work – assessment reduction 15 per cent max
This sets a similar target in relation to licensed work cases that are claimed on a time and item basis. This KPI will be calculated across a minimum of three months and a minimum of five cases.
KPI 3 – Fixed fee margin – 20 per cent max
The LAA is concerned that some organisations will select clients with straightforward cases that do not require much work, in order to retain a high surplus under each fixed fee case. This KPI can only be met if the total cost of cases under fixed fees when calculated in minutes and items is at least 80 per cent of the appropriate fixed fees.
This KPI applies to controlled work cases, and Family Private and Public Law Representation Scheme cases that are paid by way of fixed fees.
KPI 4 – Rejection rates for licensed work – 5 per cent max in the schedule period
Rejections are when applications or claims are refused because of technical errors in form completion, or lack of enclosures etc. This applies to applications for legal aid (known as applications for determinations that an individual qualifies for legal aid in the post LASPO scheme), and claims for payment. There are separate KPIs for applications for funding (KPI 4A) and for claims (KPI 4B).
KPI 5 – Refusal rates for licensed work – 15 per cent max in the schedule period
This applies to applications for legal aid which are refused because the LAA considers that the practitioner has failed to show that they meet the applicable means or merits test.
KPI 6 – Immigration CLR positive outcome – 40 per cent minimum
This KPI is taken as an indicator of quality and applies to Immigration CLR work only.