SUPERVISION SYSTEMS IN A LEGAL SERVICES OFFICE Donna

SUPERVISION SYSTEMS IN A LEGAL SERVICES OFFICE Donna S. Mac. Rae Three Rivers Legal Services, Inc. 3/8/2021 December 11, 2019

Effective Systems are your friends.

LEARNING GOALS 1. Understand why Supervision Systems are important 2. Understand the basic elements of a successful Supervision System 3. Explore ways to enhance your program’s Supervision Systems

WHY ARE SUPERVISION SYSTEMS IMPORTANT? 1. Support a culture that values high quality legal work 2. Support compliance with ethical duty to supervise 3. Provide a road map and institutionalize best practices

FOUR COMPONENTS OF A COMPREHENSIVE SUPERVISION SYSTEM 1. Establish and Communicate Performance Expectations 2. Monitor Ongoing Work 3. Evaluate Performance 4. Promote Professional Development

CONSIDERATIONS 1. American Bar Association Standards for the Provision of Civil Legal Aid (2006) • Standard 6. 3 – Responsibility for the Conduct of Representation • Standard 6. 4 - Review of Representation 2. Legal Services Corporation Performance Criteria • Area Three, Criterion 1 - Legal Representation

ELEMENT ONE ESTABLISH AND COMMUNICATE PERFORMANCE EXPECTATIONS Ø Agreed upon explicitly Ø Result in high quality legal services Ø Advocate is responsible for achieving standards Ø Supervisor is responsible for promoting an environment that makes achievement possible

METHODS TO ESTABLISH AND COMMUNICATE PERFORMANCE EXPECTATIONS INFORMALLY (OUTSIDE THE FORMAL SUPERVISION SYSTEM) • Communicate a powerful message about what is expected But • Not necessarily uniformly communicated, agreed upon or understood • Methods may be less than ideal

INFORMAL METHODS � Mission and vision statements � Recruitment process and hiring criteria � Training and orientation � Awards, honors, promotions � THE REAL STANDARD - The supervisor’s personal code of conduct and professional performance

FORMAL METHODS �Case load expectations �Time and hour requirements �Grant requirements �Job descriptions �Case handling protocols �Written performance standards �Unit work plans �Regional advocacy plans �Promotion and advancement standards �Evaluation forms and criteria

INDIVIDUAL PERFORMANCE STANDARDS • Individual work plans • Professional development plans • Training plans • Mentoring contracts • Self evaluations

ELEMENT TWO MONITOR ONGOING WORK • Focus and frequency change over time • Address numerous aspects of an advocate’s work • Wide range of effective strategies may be utilized

METHODS OF MONITORING ONGOING WORK • Review of case management system data • Review of actual work product in process • Review of open files • Observation • Meetings to exchange information and answer questions • Review of files at closing

ELEMENT THREE EVALUATE PERFORMANCE • Reflects performance standards and expectations • Based on the ongoing review of work • Guides formulation of professional development goals • Informs training decisions

INFORMAL EVALUATION • Must occur regularly - in conjunction with the on-going review of work • Must be timely • Supervisor must develop effective feedback skills

FORMAL EVALUATION • Typically once a year or more frequently for newer lawyers (3 months and 6 months) • Many excellent evaluation protocols; but all have common characteristics

ELEMENTS OF AN EFFECTIVE FORMAL EVALUATION • Assess performance compared to Performance Standards • Performance Standards established and communicated in advance • Advocate provided with the tools and training to meet the Performance Standards • Based on specific examples observed by supervisor • Clear, concise, focused - No mixed messages • No surprises

ELEMENT FOUR PROMOTE PROFESSIONAL DEVELOPMENT • Develop advocates’ skills to meet legal needs of the client community and • Provide tools, opportunities and guidance to achieve individual professional development goals

PROFESSIONAL DEVELOPMENT CONTINUES THROUGHOUT AN ADVOCATE’S CAREER • Advocates are responsible for their own professional development • Supervisors are responsible for encouraging an environment that promotes professional development

PROFESSIONAL DEVELOPMENT STRATEGIES FOR EXPERIENCED ADVOCATES � Mentor relationships � Co-counsel and second chair � Opportunities to become a recognized substantive expert � Leadership opportunities in program, region, state � Opportunities to share accomplishments and expertise � Facilitate networking with judges and bar leaders

PROFESSIONAL DEVELOPMENT STRATEGIES FOR INEXPERIENCED ADVOCATES • Establish a clear expectation that they are proactive problem solvers for clients • Require legal research and a legal memo in every case assigned; case debrief • Don’t be an answer book • Utilize effective case acceptance/review sessions • Encourage self-reflection and critical analysis

KEY THINGS TO KEEP IN MIND 1. Don’t make your systems aspirational make them work for you. 2. The goal is to produce high quality work for clients! 3. Take ownership: you don’t work for the system; the system works for you.

USING YOUR CASE MANAGEMENT SYSTEM FOR SUPERVISION

WHY USE YOUR CMS FOR SUPERVISION? � On-demand access to client files online � Especially helpful with remote supervision � Encourages uniform case maintenance and uniform review by supervisor � Makes it easier to consult with supervisee on issues � Meaningful comparisons to other advocates in the law firm, and to best practices & standards � Helps to analyze client demographics, staff efficiency, emerging trends for clients and staff, outcomes for clients and compliance with regulations and funders

Gloria Goodintentions

USING REPORTS FROM YOUR CMS By running and reviewing summary reports in your CMS, you can see: • the main benefit received by the client, including any money received • percent of staff time spent on cases vs. percent of time spent on non-case work • compare your supervisee’s number of closed cases by problem code and reason closed to other staffers, or to firm averages

HOW DO YOU USE YOUR CMS FOR SUPERVISION? • Is it policy? • Used by all supervisors? • Used regularly and consistently? • Are supervisors trained in all the bells & whistles? • What works, what doesn’t? • The MIE Guide is a tool to help you assess your strengths and challenges in using your CMS for supervision.

THE MIE CMS GUIDE • The Process • An Overview: • • • Overall Use in Supervision Use in Intake Use in Ongoing Cases Use in Case Closures Use in Staff Development and Evaluation • Ratings and action plan sections with examples throughout.

“MY CURRENT ASSIGNMENTS” Matter/Case ID# 19 -0320183 19 -0318757 Name Legal Problem Code Date Opened 87 Criminal Record Expungement N/A 34 Name Change 11/03/2019 87 Criminal Record Expungement 10/03/2018 33 Adult Guardian/Conservators hip 09/21/2018 87 Criminal Record Expungement N/A Assignment Type Case Status 95 Wills and Estates 87 Criminal Record Expungement 96 Advance Directives/Power of Attorney 95 Wills and Estates 96 Advance Directives/Power of Attorney 87 Criminal Record Expungement 17 20 Primary N/A A. Investigating Facts C. Waiting On Client Documents Primary D. Drafting Pleadings/Answer 20 Primary Passthru for Manager Review 17 10/07/2019 Primary 20 01/29/2018 Primary D. Drafting Pleadings/Answer K. Court/Agency Ruling Pending N/A 09/25/2019 Primary N/A A. Investigating Facts 39 20 11/12/2019 Primary 0. To be closed. 20 01/10/2018 Primary Q. Other - See Notes 25 05/06/2019 Primary D. Drafting Pleadings/Answer 20 17 -0296014 31 Custody/Visitation 87 Criminal Record Expungement 10/19/2017 Primary Q. Other - See Notes 13 19 -0317500 31 Custody/Visitation 08/26/2019 Primary D. Drafting Pleadings/Answer 20 19 -0319635 62 Home Ownership/Real Property (not Foreclosure) 10/23/2019 Primary D. Drafting Documents 20 18 -0309643 18 -0309992 19 -0320184 19 -0318987 18 -0304408 19 -0319583 19 -0318738 19 -0320079 18 -0304289 19 -0315427 Primary Days Since Last Activity 11 115

“AGE” OF CASE Lake City Stale Cases Assigned Primary Client Office Advocate. Case ID# Name Lake City A. J. 170294784 190317192 Days Since Last Date Most Total Recent Time For Current Case Time Entered Timeslip Case Status Days Since Most Date Last Note Recent Changed Date Note 08/19/201 9 08/27/201 9 57. 26 0. To be closed. Q. Other - See 4. 25 Notes 09/23/201 9 08/27/201 9 08/30/201 9 Q. Other - See 50. 9 Notes D. Drafting 12. 55 Pleadings/Answer 05/21/201 9 08/14/201 9 06/13/201 9 Q. Other - See 11. 2 Notes C. Waiting On 3. 69 Client Documents 11/09/201 7 08/14/201 9 06/27/201 9 04/09/201 9 08/23/201 9 08/17/201 8 07/08/201 9 07/25/201 9 07/03/201 9 07/16/201 9 08/26/201 9 08/16/201 9 103 95 93 93 C. J. 170302062 180310019 08/14/201 9 06/13/201 9 170300987 170303899 180304391 180305840 190317834 170296834 07/08/201 9 07/25/201 9 07/03/201 9 07/15/201 9 08/26/201 9 08/16/201 9 108 168 109 171 J. A. 144 127 149 57. 63 0. To be closed. 137 96 100. 85 0. To be closed. N. Negotiating 7. 35 Settlement 106 83. 64 H. Hearing Set 146 129 151 138 97 107

AGED OPEN CASES REPORT IN LEGAL SERVER

MAIN BENEFITS REPORT

CLOSED CASE REPORT FAB - Brief Negotiated Counsel Service - Settlement Close and Limited (without Reason Advice Action Litigation) Problem Code Category Consumer Education Employment Family Health Housing Income Maintenance Individual Rights Miscellaneous GNegotiated Settlement (with Litigation) HAdministrative Agency Decision Ia Uncontested Court Decision Ib Contested L Extensive Court Decision Services 0 0 0 Totals 0 18 10 1 54 0 57 10 0 20 10 0 5 14 13 0 11 169 70 0 30 0 55 0 0 0 10 0 2 13 0 3 4 0 30 0 3 30 0 0 20 18 1 1 2 1 0 5 1 8 19 5 3 82 1 70 25 13 44 262

ADVOCATE ANALYSIS (TIME)

CLOSED CASE TIME ANALYSIS

CLOSED CASES TO BE REVIEWED Lake City Closed Case for Mgr Review Primary Advocate Case ID# Last Name Legal Problem Code Close Reason Date Closed Location of File Office Name 19 -0315442 31 Custody/Visitation A - Counsel and Advice 05/06/2019 Paperless File Lake City 18 -0310337 32 Divorce/Sep. /Annul. Ia - Uncontested Court Decision 05/20/2019 Paperless File Lake City 19 -0314280 37 Domestic Abuse G - Negotiated Settlement (with Litigation) 05/20/2019 Paperless File Lake City 19 -0314793 32 Divorce/Sep. /Annul. Ib - Contested Court Decision 05/20/2019 Paperless File Lake City 19 -0315556 37 Domestic Abuse Ib - Contested Court Decision 05/20/2019 Paperless File Lake City 19 -0315593 37 Domestic Abuse Ib - Contested Court Decision 05/23/2019 Paperless File Lake City 19 -0313269 32 Divorce/Sep. /Annul. A - Counsel and Advice 06/05/2019 Paperless File Lake City 19 -0314762 32 Divorce/Sep. /Annul. A - Counsel and Advice 07/02/2019 Paperless File Lake City 19 -0312857 32 Divorce/Sep. /Annul. Ia - Uncontested Court Decision 07/22/2019 Paperless File Lake City 18 -0311627 36 Paternity Ib - Contested Court Decision 07/22/2019 Paperless File Lake City 19 -0315656 37 Domestic Abuse L - Extensive Services 07/22/2019 Paperless File Lake City 19 -0315906 37 Domestic Abuse L - Extensive Services 07/22/2019 Paperless File Lake City Abel, Jessica

WEEKLY TIME REPORT Total Time Per Employee Total: Caseworker Name Mac. Rae, Donna Freed, Valerie Feagle, Jennifer Jackson, Aimee Conner, Jeffrey Calvin, Emily Adler, Mitzi Sparks, Annemarie Abel, Jessica Keen, Sheri Total: 49. 1 37. 5 38. 2 39. 5 42. 1 37. 5 38. 5 37. 8 30. 25 387. 95

Overview: PERFORMANCE METRICS • Increase objectivity in annual evaluations Process: • Every quarter, when logging into Kemps, each staff member gets a slide show of 6 reports. • Following staff review, each supervisor gets a slide show of employee graphs. Data: • Already existing in the case management system, now available to staff and supervisors in an easy to digest way. Goal: • To enhance professional development • To assure best practices are followed • To improve client service

Time to Clients & Projects Back Next

QUESTIONS? ? ?