Key performance indicatorsQuality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):standard civil contract 2013Key performance indicators (KPIs):controlled work–assessment reduction 10 per cent maxKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):licensed work– assessment reduction 10 per cent maxKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):fixed fee margin–20 per cent maxKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):rejection rates for licensed workKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):refusal rates for licensed workKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):immigrationKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):additional service and monitoring requirementsKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs):housing possession court duty schemesKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Quality standardsPerformance monitoringKey performance indicators (KPIs)Service standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:supervisorsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:locationService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)Service standards Standard Crime Contract 2017:referral and signposting arrangementsService standards Standard Crime Contract 2017Quality standardsPerformance monitoringKey performance indicators (KPIs):service standards Standard Crime Contract 2017Key performance indicators (KPIs)
19.57Both the civil and crime versions of the Standard Contracts have mandatory key performance indicators (KPIs).
19.58Somebody should be monitoring key performance indicators, usually a Head of Department or Partner. Some can be monitored at individual file level, others will require the collection of data by department/work type. Contract managers monitor KPI reports, which are flagged as ‘red’, ‘amber’ or ‘green’. Failing to meet KPIs will not in itself result in sanctions being taken against you or contract notices being raised. However, your contract manager may contact you to ask you to explain the reasons that your organisation is ‘out of profile’. If it is an issue which the contract manager thinks should be corrected, then you will be asked to formulate an action plan for doing so. Being ‘out of profile’ may also trigger an on-site or other type of audit.
19.59Both the civil and crime versions of the Standard Contract have key performance indicators (KPIs).
19.60The LAA monitors KPIs on a three-month rolling basis rather than on individual files, with minimum numbers where volumes are low.
Standard Civil Contract 2013: Key performance indicators
1Standard Civil Contract 2013 Specification paras 2.50–2.66.KPI 1 – Controlled work (non-fixed fee) – assessment reduction 10 per cent max
19.61When your ‘escape cases’ are assessed (these are the cases where the costs on a time and item basis are 3 x the fixed fee), the costs claimed must not be reduced by more than 10 per cent. This includes disbursements but not VAT.
KPI 2 – Licensed work – assessment reduction 10 per cent max
19.62This sets the same target in relation to licensed work cases that are claimed on a time and item basis.
KPI 3 – Fixed fee margin – 20 per cent max
19.63The 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 on a time and item basis is at least 80 per cent of the appropriate fixed fees.
19.64This 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
19.65Rejections 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.
KPI 5 – Refusal rates for licensed work – 15 per cent max in the schedule period
19.66This 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 merits test.
KPI 6 – Immigration CLR positive outcome – 40 per cent minimum
19.67This KPI is taken as an indicator of quality and applies to Immigration CLR work only.
Service standards – civil and family
19.68Service standards are to be found in the applicable contract specification.
19.69The general rules under the 2013 Contract are set out in the Standard Civil Contract 2013 Specification paras 2.1–2.66.
19.70Use of agents and third parties. You may use agents, counsel and third parties where it is in your client’s best interests. The specification allows independent consultants to carry out work under the contract as long as the supervision conditions are met. However, it is important to note that you cannot use an agent to meet the service standards. So, for example, you cannot use an agent to meet the Supervisor standards.
19.71Supervisor standards. See above for Supervisor standards under the 2013 Contract and below for subsequent contracts.
19.72Minimum numbers of matter starts. Although the specification allows minimum numbers to be specified, usually they are not. See below for exceptions.
19.73
Presence in the procurement area. You must comply with the presence requirements set out in your schedule, that is, your office must comply with the requirements for a permanent or part time presence
2Standard Civil Contract 2013 Specification paras 2.33–2.36.. You may be allowed to deliver outreach services. If so, these must be noted on your schedule.
19.74Referral and signposting arrangements. You must have referral and signposting arrangements in place. For those categories of law delivered exclusively through the telephone gateway from April 2013, you must signpost clients or potential clients to the helpline unless that Client or potential Client is an Exempted Person as described in the procedure regulations.
19.75The exclusive categories are debt (post-LASPO, where the client’s owner-occupied home is at risk and involuntary bankruptcy), education (post-LASPO, special educational needs cases) and discrimination (eg consumer and employment cases).
19.76Exemptions to the mandatory single gateway include where the client is a child or in detention or has previously been assessed by CLA as requiring advice face-to-face for this case.
19.77Telephone advice is also available in those cases remaining in-scope, in housing and family, but is not the mandatory route for clients to access legal aid in those categories.
Additional service and monitoring requirements
19.78There are additional service standards for family, actions against the police and public law, immigration and mental health, see below. Organisations with contracts to deliver housing possession court duty schemes also need additional monitoring systems, also shown below.
Family
19.79There are appointment service standards in the Family category. When you are contacted by a client for whom you intend to provide services, (and have sufficient matter starts) you must offer a first appointment to the client within 48 hours of the initial contact in Emergency Cases, or within ten working days of the initial contact in all other cases.
3Standard Contract 2013 Specification para 7.165.Actions against the police etc and clinical negligence
19.80KPI 6: in the Standard Contract 2013 KPI6 was replaced with a requirement to obtain a substantive benefit outcome in 30 per cent of cases funded under legal representation.
4Standard Contract 2015 Specification para 2.63.19.81KPI 7: in cases that proceed beyond initial investigation, substantive benefit outcomes must be 50 per cent in sctions against the police etc and 60 per cent in clinical negligence.
Immigration and asylum
19.82The Immigration Specification paras 8.15–8.22) sets down requirements for caseworkers and supervisors to be accredited under the Immigration and Asylum Accreditation Scheme. It also limits the type of work that can be done by reference to the level of accreditation. For example, only level 2 caseworkers can conduct CLR cases or use devolved powers to grant CLR.
19.83In this category you must use 90 per cent of your Asylum matter starts to clients who are physically located in the designated Immigration/Asylum Procurement Area.
Community care
19.84The Standard Civil Contract 2015 applies.
19.85You must also employ a 0.5 FTE Authorised Litigator who can demonstrate experience of undertaking Community Care cases.
Mental health
19.86The Standard Civil Contract 2014 applies.
19.87There are particular presence requirements, which are set out in paragraphs 7.4–7.5 of the 2014 Mental Health Specification. The requirements you have to meet will be recorded in your Contract schedule.
19.88You must employ an Authorised Litigator.
19.89In addition to the overall requirement to employ a FTE Supervisor per four caseworkers in a procurement area, you must employ a supervisor in each procurement area where you have a schedule for at least 17.5 hours a week.
19.90All advocates before the MHT (except self-employed counsel) must be members of the Law Society Mental Health Accreditation Scheme.
5Standard Civil Contract 2014 Specification para 7.6.19.91In this category 70 per cent of clients must be physically located in the Procurement Area in which you have been granted matter starts. 30 per cent of your matter starts may be used for clients who are not physically located in the Procurement Area in which you have been granted matter starts.
Housing Possession Court Duty Schemes
19.92If you provide a client with advice at court and, within six months of doing so, subsequently open a new housing matter start in relation to the same case then you cannot claim any payment for providing the service at court. The costs of providing the service will be included in the housing matter start fixed fee.
6Standard Civil Contract 2013 Specification para 10.24.19.93You need a monitoring system to monitor these cases and make adjustments where necessary.
Key performance indicators – Standard Crime Contract 2017
19.94The following crime KPIs
7Standard Crime Contract 2017 Specification para 2.65. must be met in any three-month rolling period:
•Claims for costs must not be reduced on assessment by more than 15 per cent: (Police station advice and assistance (escape fee cases); free standing advice and assistance claims; advocacy assistance claims; magistrates’ court non-standard fees; prison law escape fee cases; prison law non-standard fees.
•You must accept 90 per cent of communications from the DSCC (and deal with them appropriately) when you are on the rota.
•You must accept 90 per cent of calls to attend a virtual court hearing when you are on the rota.
•95 per cent or more of your cases must conclude before any change of provider under the contract.
Service standards – Standard Crime Contract 2017
19.95Section 2 of the Crime Specification 2017 contains the service standards for criminal defence work.
19.96Supervisors: You must have at least one person who meets the LAA’s standard for supervisors and they must carry out their duties in accordance with the contract – which contains the familiar Specialist Quality Mark standards for supervision and file review.
19.97See ‘Supervisors’ above for ratios of supervisors to other staff.
19.98You must designate the staff who work under the Crime Contract and the work they can do. Designating staff means naming the people who do work under the Criminal Contract, ensuring they meet the standards required by the contract, Specialist Quality Mark and duty solicitor requirements set out in the contract
8Standard Crime Contract 2017 Specification paras 6.15–6.69. and keeping records as shown below.
19.99Note that the Duty Solicitor requirements in the 2017 contract were designed to eliminate the phenomenon of ‘ghosts’, so expect qualifying criteria to be checked.
9Standard Crime Contract 2017 Specification para 6.22. Duty Solicitors do not have to be ‘employees’;
10Standard Crime Contract 2017 Specification para 6.21. but they do have to do 14 hours work for you per week from the office relevant to their slots.
11Standard Crime Contract 2017 Specification para 6.23.19.100Fee earners should be ‘designated’, unless they do less than three hours’ contract work a month.
12Standard Crime Contract 2017 Specification para 2.36. Those who regularly undertake fee earning criminal work under the contract: crime supervisors, CILEx supervisors, duty solicitors, accredited and probationary representatives, must be designated.
19.101The Contract Specification sets out percentages of Crime Contract work which must be performed by designated fee earners:
•Advocacy in the magistrates’ court: 50 per cent must be done by designated staff.
•Police station advice and assistance: 80 per cent must be done by designated staff.
13Standard Crime Contract 2017 Specification para 6.39. •First contact with a client in the police station must be within 45 mins in 80 per cent of cases.
14Standard Crime Contract 2017 Specification para 9.24. 19.102
Location: You may only perform contract work from the office(s) specified in your schedule.
15Standard Crime Contract 2017 Specification para 2.41–2.52. Offices must be physically accessible for clients from Monday to Friday, and you must have arrangements in place to ensure that during business hours, clients are able to speak to someone by telephone to arrange appointments and to contact you about emergency matters. If you move your office out of your original postcode area, you must ask the LAA’s permission. Even if the LAA consents you will not be able undertake work on additional duty schemes which are accessible only by virtue of your new office address.
16Standard Crime Contract 2017 Specification para 2.54d.19.103
Referral and signposting arrangements: You must have appropriate arrangements in operation to refer clients or potential clients to another provider if you do not provide the services that the client requires or for some other reason are unable to take on their case.
17Standard Crime Contract 2017 Specification para 2.55.