Texas Access to
Justice Foundation
Changes in Closing &
Legal Problem Codes
& New Outcomes
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December 10, 2007
This webinar
training will be as
easy as sitting
in your favorite chair
and watching your
favorite movie
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Write down your questions and save them
until the question and answer period
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Before we begin, we will test your observation
powers: This person is: a) on his way to the
airport; b) going to see his vet or c) late for the
webinar mtg due to weather conditions?
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The changes we will cover will impact a number of areas in
your program where collecting, reporting and managing
client data is crucial
What reports for
TAJF will
be affected?
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Deadlines for Changes
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Any case closed in 2007 is governed by the
current Case Service Reporting Instructions.
Any case closed in 2008 will be governed by the
2008 Case Service Reporting instructions.
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Deadlines for Changes
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For cases opened prior to January 1, 2008 and still open
as of that date, programs may have to adjust the legal
problem codes before case closure. There have been
changes to the legal problem codes and an appropriate
closing codes under the 2008 Case Service Reporting
requirements should be selected for all cases closed
after January 1, 2008.
All cases opened January 1, 2008 and thereafter must
follow the requirements of the 2008 Case Service
Reporting requirements.
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Deadlines for
Changes
It should be noted that there are cases that
have been reportable under the current
Case Service Reporting requirements which
are not reportable under the 2008 CSR
requirements. These cases may continue to
be reported in 2007 but not in 2008.
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Closing code
changes
The following closing codes will be discontinued
after January 1, 2008:
C – Referred After Legal Assessment
D – Insufficient Merit to Proceed
E – Client Withdrew, and
J – Change in Eligibility Status
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What is a case
A "case" is a distinct legal problem or a set of closely related
legal problems of a client, and legal activities or processes
used in resolving those problems. The case must have
been accepted by the program and includes advice,
counsel and limited action, as well as other types of legal
representation. A client with two or more closely related
problems will be considered as presenting a single case if
all of the problems will be resolved through a single legal
process or forum. The provision of legal information
solely, does not constitute a case.
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Closing code changesDid we mention?
As we stated, the following closing codes will be
discontinued after January 1, 2008:
C – Referred After Legal Assessment
D – Insufficient Merit to Proceed
E – Client Withdrew, and
J – Change in Eligibility Status
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Closing code changes
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A.
B.
F.
G.
H.
I.
Counsel and Advice:
Limited Action: RENAMED
Negotiated Settlement without Litigation:
Negotiated Settlement with Litigation:
Administrative Agency Decision:
Court Decision: REVISED & AMENDED
(a)
Uncontested Court Decisions
(b)
Contested Court Decisions
(c)
Appeals:
K. Other:
L.
Extensive Service (not resulting in Settlement or Court or
Administrative Action): NEW
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DEFINITIONS
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Closure Category A – Counsel and Advice
A case closed in which the program provided legal
advice to an eligible client. (e.g., the advocate
ascertained and reviewed relevant facts, exercised
judgment in interpreting the particular facts
presented by the client and in applying the
relevant law to the facts presented, and counseled
the client concerning his or her legal problem)
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DEFINITIONS
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Closure Category B – Limited Action
A case closed in which the program took
limited action(s) on behalf of an eligible client
that addressed the client’s legal problem that
is not so complex or extended as to meet the
requirements for Closing code Category L.
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DEFINITIONS
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Closure Category F – Negotiated
Settlement Without Litigation
A case closed in which the program
negotiated and reached an actual settlement
on behalf of a client without any court or
administrative actions pending.
This category should be reserved for cases in
which the program conferred with another
party so as to reach a resolution of the
client’s legal problem.
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DEFINITIONS
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Closure Category G – Negotiated
Settlement With Litigation
A case closed in which the program
negotiated and reached an actual settlement
on behalf of a client while a court or formal
administrative action was pending. This
category should be reserved for cases in
which the program conferred with another
party so as to reach a resolution of the
client’s legal problem.
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DEFINITIONS
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Closure Category G – Negotiated Settlement With
Litigation (continued)
This category includes only: (1) cases in which an appearance
has been entered before a court or administrative agency as
counsel of record; or (2) cases in which the settlement was
reached prior to the program’s entry as counsel of record,
provided that the program was actually representing the client.
In the second instance, there should be documentation of the
settlement in the case file – preferably a copy of the actual
settlement agreement, written confirmation of the settlement
with the opposing party, or, if neither of these are available, a
copy of a communication to the client outlining the terms of the
settlement.
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DEFINITIONS
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Closure Category H – Administrative Agency
Decision
A case closed in which the program
represented a client in an administrative
agency action that resulted in a casedispositive decision by the administrative
agency or body, after a hearing or other
formal administrative process.
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DEFINITIONS
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Closure Category I. – Court Decision
A case closed in which the program represented a client in a court
proceeding that resulted in a case dispositive decision made by the
court. This category is divided into the following three subcategories:
Uncontested Court Decisions – either there is no adverse party or
the adverse party does not contest the case;
Contested Court Decisions – there is an adverse party and that
party contests the case;
Appeals to an appellate court taken from a decision of any court or
tribunal. This category does not include appeals or writs taken from
administrative agency decisions or lower trial court decisions to a
higher level trial court acting as an appellate court, whether they are
on the record or de novo proceedings.
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Administrative law & court
decisions
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Only cases in which the program attorney or advocate or pro
bono attorney is entered as counsel of record may be closed as
Closure Category H (administrative decision) or I (court
decision).
Assistance to pro se litigants cannot be closed in Closure
Categories H or I.
You do not include settlements made during the course of
litigation approved by the administrative agency or court,
voluntary dismissals or the grant of a motion to withdraw as
counsel. However, although it may not be technically case
dispositive, a case closed after a TRO or similar interim order
made on the merits has been entered, may be closed in this
category when the litigation is not pursued further.
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DEFINITIONS
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CSR Closure Category K – Other
A closed case that does not fit any of the
other CSR case closure categories.
Cases which fit two or more CSR categories
may not be closed in this category, but
should be closed in the category which best
reflects the level of service provided.
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DEFINITIONS
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Closure Category L – Extensive Service (not
resulting in Settlement or Court or
Administrative Action)
A case closed in which the program
undertook extensive research, preparation of
complex legal documents, extensive
interaction with third parties on behalf of an
eligible client, or extensive on-going
assistance to clients who are proceeding pro
se.
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DEFINITIONS
Closure Category L – Extensive Service (cont)
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Some examples of extensive service include
the preparation of complex advance
directives, wills, contracts, real estate
documents or other legal documents, or the
provision of extensive transactional work.
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Are you still following along?
We are almost done!
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Now to test your knowledge: How would
you close the following cases
1) You file pleadings in court, the other side fails to
appear & you obtain a default judgment.
2) You enter an appearance before an administrative
tribunal & negotiate a settlement with the agency.
3) Your cases involving multiple levels of assistance
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Testing your knowledge
4) You engaged in communications by letter, telephone
or other means to a third party;
5) You prepared of a simple legal document such as a
routine will or power of attorney;
6) You provided legal assistance to a pro se client that
involves assistance with preparation of court or other
legal documents.
7) You just helped someone by providing some Pro Se
pleadings.
8) You referred someone to a local Alternative Dispute
Resolution program.
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Testing your knowledge
9) You have agreed to a settlement, negotiated with an
administrative agency prior to the filing of a formal
administrative proceeding.
10) You answered some questions at a workshop you
attended.
11) Your program’s web site provides information ,
assistance & legal information.
12) You just settled a case through court ordered
mediation.
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Testing your knowledge
13) You just entered into a settlement of pending court
or administrative actions and the court or
administrative agency issues an order memorializing
the settlement.
14) You entered into a settlement with a landlord but
did not appear in court.
15) You obtained a TRO but after months go by, your
client disappears
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Testing your knowledge
16) You just entered into a settlement made during the
course of litigation that was then approved by the
administrative agency.
17) You filed a voluntary dismissal or the grant of a
motion to withdraw as counsel.
18) You just resolved your case informally through
contacts with an administrative agency, but without
any formal administrative agency action.
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Testing your knowledge
19) You are about to close your case after extensive
interaction or negotiations with another party which
do not result in a negotiated settlement.
20) You are about to close your case after litigation is
initiated in which the program appears as counsel of
record but it does not result in a negotiated
settlement, administrative agency or court decision.
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Answers
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You already know them so there is no
need to give them right?
Great job!
(but just in
case)- next chart
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Answers
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1. I. Court Decision: (a) Uncontested Court Decisions
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2. G. Negotiated Settlement with Litigation
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3. You report only the highest level of service
provided when a program provides more than one
type of assistance to a client during the same
calendar year when attempting to resolve essentially
the same legal problem, as demonstrated by the
factual circumstances giving rise to the problem.
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Answers
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4. B.Limited Action
5. B.Limited Action
6. B.Limited Action
7. B.Limited Action
8. No Case
9. F.Negotiated Settlement without
Litigation:
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Answers
10. Depends- if application taken and
accepted; specific facts provided- then
A. Counsel and Advice: if not, no case.
11. No Case
12. G.Negotiated Settlement with
Litigation:
13. G.Negotiated Settlement with
Litigation:
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Answers
14. Maybe B. Limited Action, or
F. Negotiated Settlement without
Litigation.
15. L. Extensive Service
16. G. Negotiated Settlement with
Litigation
17. L. Extensive Service
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Answers
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18. Maybe B. Limited Action or maybe
F. Negotiated Settlement without
Litigation- depending upon level of
service.
19. L. Extensive Service
20. L. Extensive Service
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New Legal Problem Codes
New Major Benefits (Outcomes)
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The list of common types of legal problems experienced by
clients (and self explanatory) and are assigned a numeric Legal
Problem Code ranging from one to 99 describing the type of
legal problem. Legal Problem Codes are grouped in ten broad
Legal Problem Categories. There are 37 new and or revised
law problems within the ten broader categories
The major benefit section is to report client benefits achieved on
all cases closed during the fiscal year. Grantees are to count
the ONE most significant outcome achieved for each case as
cases can only be counted once in this section. There are 28
new benefits added.
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New (or revised)
Legal Problem Codes
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CONSUMER/FINANCE
04 – Collection Practices/Creditor Harassment
05 – Predatory Lending Practices (Not Mortgages)
08 – Unfair and Deceptive Sales and Practices (Not Real Property)
EDUCATION
11 – Student Financial Aid
12 – Discipline (Including Expulsion and Suspension)
13 – Special Education/Learning Disabilities
14 – Access (Including Bilingual, Residency, Testing)
15 – Vocational Education
EMPLOYMENT
22 – Wage Claims and other FLSA (Fair Labor Standards Act) Issues
23 – EITC (Earned Income Tax Credit)
24 – Taxes (Not EITC)
25 – Employee Rights
26 – Agricultural Worker Issues (Not Wage Claims/FLSA Issues)
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New (or revised)
Legal Problem Codes
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JUVENILE
43 – Emancipation
44 – Minor Guardian/Conservatorship
HEALTH
53 – Government Children’s Health Insurance Programs
54 – Home and Community Based Care
55 – Private Health Insurance
56 – Long Term Health Care Facilities
57 – State and Local Health
HOUSING
62 – Homeownership/Real Property (Not Foreclosure)
63 – Private Landlord/Tenant
65 – Mobile Homes
66 – Housing Discrimination
67 – Mortgage Foreclosures (Not Predatory Lending/Practices)
68 – Mortgage Predatory Lending/Practices
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New (or revised)
Legal Problem Codes
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INCOME MAINTENANCE
71 – TANF
72 – Social Security (Not SSDI)
78 – State and Local Income Maintenance
INDIVIDUAL RIGHTS
85 – Civil Rights
86 – Human Trafficking
MISCELLANEOUS
91 – Legal Assistance to Non-Profit Organization or Group (Including
Incorporation/Dissolution)
93 – Licenses (Drivers, Occupational, and Others)
96 – Advance Directives/Powers of Attorney
97 – Municipal Legal Needs
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New Outcome Benefits
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CONSUMER
205 Stopped or avoided predatory lending practices
EDUCATION
1100 Avoided fraudulent student financial aid practices
1101 Avoided corporal punishment or delayed suspension or expulsion
1106 Avoided barriers to educational services
EMPLOYMENT
2201 Obtained wages, back (or equal) pay or overtime due
2301 Obtained assistance in applying for EITC
2401 Obtained taxpayer advocacy assistance with Federal income taxes
2501 Enforced employee rights under state or federal law
2601 Addressed issues adversely impacting agricultural workers
FAMILY
3301 Obtained guardianship (adult)
3302 Prevented guardianship (adult)
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New Outcome Benefits
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JUVENILE
4301 Obtained emancipation of minor
4401 Obtained protection of rights by representing minor in guardianship or conservatorship
HEALTH
5301 Obtained, preserved or increased Children’s Health Insurance Program benefits
5401 Obtained, preserved or increased home and/or community based care benefits
5501 Obtained, preserved or increased private health insurance benefits
5601 Obtained , preserved or increased access to long term health care facilities
5701 Obtained, preserved or increased assistance in filing for Crime Victim's Compensation
HOUSING
6201 Obtained assistance in homeownership
6501 Prevented loss of /or eviction of mobile home
6601 Overcame, or obtained redress for, discrimination in obtaining or keeping housing
6701 Avoided or delayed foreclosure or other loss of home
6801 Rescinded, modified and/or avoided mortgage because of predatory lending practices
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New Outcome Benefits
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INCOME MAINTENANCE
7802 Obtained, preserved or increased assistance in filing for Crime
Victim's Compensation
INDIVIDUAL RIGHTS
8601 Prevented and/or obtained relief from, the battery or cruelty,
sexual assault or trafficking, or related crimes, for victims of
trafficking or family members
MISCELLANEOUS
9103 Obtained tax exempt status
9104 Obtained judicial relief
9302 Obtained occupational license
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Questions & Answers
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Thanks for your attention and it should
be smooth sailing from here on right??
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