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File assessment
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What is file assessment?
File assessment is a file audit process created by peer reviewers, independent consultants and LSC staff.
The assessment is split into two parts:
- File Assessment – Value for Money (FAVFM)
- File Assessment – Quality of Advice (FAQ).
Whilst both tools have been developed they are not currently being used.
It is planned that trained senior caseworkers will carry out the assessments.
It is part of a range of tools to assess the quality of advice and value for money of service providers.
Value for money
There are two sets of criteria – one for crime and one for all civil categories.
The criteria are used to assess the provider’s performance against the contract, regulations and funding code, including the reporting of claims.
This helps demonstrate that legal aid funds are properly managed, providing value for money services for the client, the government and the taxpayer.
The process does not include a detailed assessment of costs on a case. It is not an equivalent to, or an alternative for the contract compliance audit (CCA). There is no costs extrapolation as a result of the process.
The overall rating will either be pass or fail accompanied by a Red, Amber or Green risk rating. All issues will be detailed in the feedback report.
Quality of advice
Criteria have been developed or are in the process of being developed to cover the following categories of law:
- family
- mental health
- debt
- housing
- immigration
- welfare benefits
- consumer general contract.
We intend to assess for each category where the total value of the provider’s contract in the category is less than £50,000.
If no category has a total value of legal aid work above £50,000, the largest category by value will be peer reviewed.
No provider will complete the quality assessment process without undergoing at least one peer review.
We have and continue to work closely with peer reviewers to:
- develop the quality of advice criteria
- train LSC caseworkers to carry out the assessment.
We will use the criteria to assess the quality of service provided to the client. It covers the following:
- information obtained from the client
- advice that is given
- steps taken to progress the case
- client care.
File assessment awards a ‘pass’ or ‘fail’.
Where a pass at file assessment quality is achieved in a category, our service providers will have:
- an indication of peer review rating of between 1 and 3
- a feedback report with suggestions to improve performance for future peer review
File assessment is not equivalent to peer review as it is a different process. It is carried out by LSC senior caseworkers and not independent practitioners.
All providers will eventually have a peer review in all categories they hold contracts in.
Where a provider fails file assessment quality the files will be forwarded for immediate peer review.
Data integrity
To monitor performance using our quality profiles system it is essential that the data we receive are correct, especially case outcomes and case type.
Checking closed files under file assessment value for money ensures that service providers are reporting accurately.
For more information
Please contact your LSC account manager with any further queries.
Last updated: 16 May 2007