Figure 2: Peer Review Collation Sheet (Example Housing areas of law) Case Identifi er Diagnosis Information & Advice Support & Action Overall Quality of Advice (Y/N) 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 Case 1 r r r N √ x x x Case 2 g g a Y √ √ Case 3 Case 4 Case 5 Case 6 Case 7 Case 8 Case 9 Case 10 Case 11 Case 12 Case 13 Case 14 Case 15 Quality of Advice Compliance Score The Scottish Legal Aid Board 14
Legal Research and Feedback Adviser Competence Undertakes research effectively. This includes evidence of the following: COMPETENCES PEER REVIEW ASSESSMENT Locates and retrieves information relevant to clients' enquiries Assessed under Information & Advice With support, locates and retrieves information relevant to clients' enquiries in a standard, current textbook and/or information system Assessed under Information & Advice Uses second tier advice and/or specialist services to help research the law Assessed under Information & Advice Diagnoses clients' legal position where possible and within the limitations of Type I advice Assessed under Diagnosis. Type I is not advice and not included in peer review With advice and support from a Type II or III adviser, discusses options with clients Assessed under Information & Advice Identifies where urgent action is necessary including to meet time limits Assessed under Information & Advice Recognises need for more skilled advice or when cannot advise, for practical, legal or ethical reasons Assessed under Information & Advice Provides appropriate and sufficient information for clients and explains it clearly and accurately in a way they can understand Assessed under Information & Advice Helps clients to re-assess their situation and goals in the light of the information Assessed under Information & Advice Gathers and/or clarifies relevant facts by interview, telephone or e-mail with third parties Assessed under Diagnosis and Information & Advice Researches relevant legislation and case law, government, regulatory and industry guidance and Codes of Practice, policy statements, etc. Assessed under Diagnosis and Information & Advice
COMPETENCES PEER REVIEW ASSESSMENT Assesses the chances of success of different options and provides feedback and advice the possible options which arise Assessed under Information & Advice Discusses all options and consequences with clients Assessed under Information & Advice Helps clients to assess the appropriateness of the options and to make an informed choice Assessed under Information & Advice Checks clients' understanding of the advice given and where necessary, provides a written summary Assessed under Information & Advice Form Completion Adviser Competence Effectively completes forms for all areas of advice. COMPETENCES PEER REVIEW ASSESSMENT Includes concise, relevant statements of evidence/information Assessed under Information & Advice Attaches additional relevant information/evidence where appropriate or required e.g. Minimal Asset Scheme (MAP) Assessed under Information & Advice Makes arrangements for follow-up of forms which are submitted Assessed Support & Action Checks accuracy of information on forms completed by third parties Assessed under Information & Advice and Support & Action
Effective and Appropriate Referrals Adviser Competence Recognises own and agency's limits and makes effective and appropriate referrals. COMPETENCES PEER REVIEW ASSESSMENT With advice and support from a Type II or III adviser, recognises limits of expertise and accurately identifies when an internal or external referral may be needed Assessed under Information & Advice and Support & Action clients all relevant information about possible referral to help them to decide whether it is appropriate Assessed under Information & Advice Gives clients any help needed to minimise any barriers to pursuing a referral Assessed under Information & Advice and Support & Action Makes referral to another agency which is better placed to deal with the matter after ascertaining availability of service, access times/arrangements, communicating with the other agency Assessed under Support & Action COMPETENCES PEER REVIEW ASSESSMENT Informs clients of likely or eligibility for help with costs if agency being referred to makes charges for services Assessed under Information & Advice Recognises cases which are either beyond the scope of the agency or which the adviser does not have sufficient knowledge and experience to advise about Assessed Diagnosis and Information & Advice Liaises with other agency to ensure a smooth transfer of the work Assessed under Support & Action Supplies relevant factual details and documents Assessed Information & Advice
Appendix 3: Peer review process flow diagram Pre-Assessment Case Selection Assessment Reporting Agency contacts SLAB to confirm they have completed the self- assessment and are ready for Peer Review SLAB sends agency a pre- assessment questionnaire (PAQ) and case selection grid (CSG) Agency submits PAQ and CSG to SLAB via email Co-ordinator picks 30 files from CSG per topic of advice (i.e. housing, welfare benefits, money/debt) and confirms to agency Available slot for PR Log-in details and guidance for Cloud server List of files they must submit Deadline for submitting files Agency uploads files to Cloud and confirm to Co- ordinator that all files now available Co-ordinator 15 randomly selected files per topic of advice into allocated folders on Cloud for Peer Reviewers Assessment undertaken by peer reviewer Assessment completed and peer review report submitted to SLAB If agency does not attain required score, case files will be passed to another peer reviewer for second assessment sent to Moderation Committee members for review Moderation Committee meets once a quarter to: Discuss reports Decide on whether agencies proceed to Report sent to agency along with: Decision of moderation committee If agency obtains required assessment score – details on proceeding to audit If agency does not obtain required assessment score – details on going through the process again Co-ordinator confirms to peer reviewer that files are available and deadline for Agency SLAB Peer Reviewer in 12 months submitting final report The Scottish Legal Aid Board 29