Case Service Report (CSR) Handbook: A Comprehensive Guide for Legal Services

Chapter I: Purpose, Scope, and Effective Date

1.1 Purpose

The Case Service Report (CSR) Handbook provides detailed instructions on how to accurately count and document cases reported to the Legal Services Corporation (LSC). This handbook is designed to guide the collection of quantifiable case information, ensuring LSC grantees report consistent data that can be reliably aggregated to reflect the scope of civil legal services delivered across the nation.1 Case statistics serve as a crucial metric LSC uses to evaluate grantee performance. However, it’s important to note that case statistics alone do not determine the overall effectiveness of the legal services provided by a grantee.2 The accuracy of case information submitted to LSC is paramount for securing continued federal funding for legal services. LSC relies on this statistical and other relevant data when making its annual funding requests to Congress.

1.2 Scope

This Handbook outlines the procedures for recording and reporting cases as defined in § 2.1 and 45 CFR § 1635.2(a). It establishes requirements for using automated case management systems to track both active and closed cases. This Handbook does not cover matters defined by 45 CFR § 1635.2(b), which are now reported separately as “Other Services.”

1.3 Effective Date

The January 1, 2008, edition of the CSR Handbook superseded all previous editions, Frequently Asked Questions, and Answers. Subsequent updates in 2011 and 2017 take precedence over any conflicting language in prior versions of the CSR Handbook or other LSC guidance related to CSRs.

Chapter II: Key Definitions

2.1 Definition of Case

For CSR reporting, a case is defined as the provision of LSC-permissible3 legal assistance (defined below) to an eligible client facing a legal problem, or a set of closely related legal issues. These cases must be accepted for assistance in accordance with the LSC Act, appropriations acts, regulations, and other applicable laws.4 The CSR should encompass all cases involving LSC-permissible legal assistance provided to clients deemed LSC-eligible, including cases funded partially or entirely by non-LSC sources.5

Grantees can record and report legal assistance as a case only when the following conditions are met:

(a) The client satisfies all eligibility criteria for receiving legal assistance under the LSC Act, appropriations acts, regulations, and other relevant laws.

(b) The client’s case aligns with program priorities (or qualifies as an emergency case under the program’s emergency intake procedures).

(c) The legal services program has officially accepted the client for service through its intake system or another established procedure for verifying client eligibility.6

(d) The legal assistance provided to the client meets the criteria of one of the CSR Closure Categories detailed in Chapter VIII of this Handbook.7

(e) The type of legal assistance rendered to the client is an authorized use of LSC funds (e.g., not a class action lawsuit).

(f) The client’s legal problem(s) are permissible under LSC funding guidelines and not prohibited by the LSC Act, regulations, or other applicable laws (e.g., abortion litigation).

Cases meeting these criteria are included in the CSR, regardless of adherence to 45 CFR § 1611.9—Retainer Agreements or 45 CFR Part 1636—Client Identity and Statement of Facts.

2.2 Definition of Legal Assistance

For CSR purposes specifically, legal assistance is the provision of limited or extended service on behalf of a client or clients, meeting the criteria defined in the CSR Closing Categories in Chapter VIII.8 Legal assistance is tailored to the client’s specific circumstances and involves a legal analysis adapted to their factual situation. It necessitates applying legal judgment to interpret facts and apply relevant law.9 Providing legal assistance establishes an attorney-client relationship.10

2.3 Definition of Legal Information

For CSR purposes, legal information is defined as providing substantive information that is not tailored to address an individual’s specific legal issue.11 It is general in nature, does not involve applying legal judgment, and does not recommend a specific course of action. For instance, simply providing a pamphlet or brochure is legal information, not legal assistance. Giving general details, such as the deadline for filing an answer after service, is also legal information because it is not tailored to specific facts. Providing legal information alone does not create an attorney-client relationship.

Legal information on its own is not considered legal assistance. The provision of legal information alone can only be reported as an Other Service in the Other Services Report (OSR). A program cannot report the same level of assistance as both a case for an eligible client and as an Other Service for an ineligible client.

2.4 Definition of Client

For CSR purposes, a client is defined as a person (or group) who is:

(a) financially and otherwise eligible12 to receive LSC-funded legal assistance under the LSC Act, appropriations acts, regulations, and other applicable laws (regardless of the funding source used for the services).13

(b) accepted for legal assistance through an intake system or other established program procedure for ensuring client eligibility.14

2.5 Who Can Provide Legal Assistance

Legal assistance in a case must be provided by:

(a) An attorney authorized to practice law in the jurisdiction where the assistance is given.

(b) A non-attorney authorized to provide representation in a legal matter, such as an SSI case, where the non-attorney has been deemed qualified by the administrative tribunal.

(c) A non-attorney under the direct supervision of a licensed attorney, in accordance with the rules of practice in the jurisdiction(s) where the program operates (unless attorney supervision is waived or non-attorney assistance is allowed under specific circumstances).

The job title of the person providing assistance does not need to be “attorney” or “paralegal.” However, they must be authorized to provide legal assistance under applicable rules of practice and maintain time records as required by 45 CFR Part 1635.

Chapter III: Case Management Systems

3.1 Use of Automated Case Management Systems

Grantees are required to use automated case management systems (CMS) with procedures that ensure the accurate and timely recording of information essential for effective case management. These systems and procedures must guarantee that grantee management has:

(a) Timely access to accurate case information.

(b) The capacity to meet the reporting requirements of funding sources.

To fulfill reporting requirements, grantees’ case management systems and procedures must be capable of reporting cases by funding source, grant type (e.g., Basic Field—General, —Agricultural Worker, —Native American), Private Attorney Involvement (PAI) component, jurisdiction (e.g., county or city), and individual office.

Case management systems should also have sufficient technological capabilities to ensure cost-effective and efficient data and workflow management. Key features of sufficient technological capacity include:

Single data entry.
Automated reporting to eliminate manual calculation or tabulation.
The ability to easily review data and information from multiple perspectives.
Promotion of data integrity, including assistance in identifying erroneous data.

Furthermore, grantees should keep their case management system technology updated to leverage future technological advancements.

3.2 Single Recording of Cases

Using automated case management systems and procedures, grantees must ensure that cases involving the same client and legal problem are not recorded and reported to LSC more than once. See §§ 6.1 through 6.5. Systems and procedures should include a process for checking for duplication among both open and closed cases. This check can be performed:

(a) When cases are initially entered into the case management system.

(b) Later, when case information can be systematically reviewed, but before reporting to LSC.

One method for systematic review involves generating case management reports that list instances of multiple open and/or closed cases for the same client and legal problem. Reviewing these reports can reveal duplicate records in the case management system. Grantees must take steps to eliminate duplicate cases before reporting case service information to LSC.

3.3 Timely Closing of Cases

Grantees must ensure the timely closure of cases so that case service reports submitted to LSC provide current and accurate information on both open and closed cases for the grant term (typically January 1 through December 31). After the grant term, LSC allows 45 days for grantees to take reasonable steps to ensure cases where legal assistance has ended and is unlikely to resume are closed before submitting case service reports to LSC. For PAI cases, see § 10.3 for specific case-closing requirements.

The goal is for grantees to report cases as closed in the grant year when assistance ceased. All cases must be reported by the end of the grant year following the year assistance ceased. The following requirements apply for timely reporting:

(a) For CSR Limited Service cases (Categories A and B), the goal is to report cases as closed in the grant year they were opened. However, they can also be reported later if:

(i) The case is opened after September 30; it may be reported in either the year opened or the following year.

(ii) Any file or case management system entry states a reason to keep the case open into the next year; the case must be closed in the grant year when assistance concluded.

(b) For CSR Extended Service cases (Categories F through L), the goal is to report cases as closed in the grant year assistance was completed. However, they may also be reported in the grant year following completion.15 A case is considered ongoing in a grant year if: (1) it is pending in court or an administrative agency that year; (2) there is a record of legal work for the client that year; or (3) a case management system or file entry explains why the case should remain open through that year.

Grantees should use methods to ensure timely case closure, such as generating reports on case open duration. Reviewing these reports can indicate whether cases are being closed promptly. Another method is to run a report of open cases with no time-keeping entries in the last 90 days, which can suggest cases that may be completed but not closed.

3.4 Management Review of Case Service Reports

Grantees must implement procedures for management review of case service information for accuracy and completeness before submission to LSC. At minimum, this should include reviewing management reports (as described in §§ 3.2 and 3.3) or another review method to ensure cases are closed timely and not reported more than once in the same year.

Before submitting CSRs to LSC, the executive director or designee must review them to ensure the information fairly represents the volume and types of CSR cases provided during the grant year. Grantees must be able to generate a detailed list of open and closed cases to support reported case service information and verify its accuracy.

3.5 Identification and De-selection of Non-CSR Cases

Grantees must establish a method within their case management systems to de-select case files for CSR reporting that were opened as LSC-eligible but are not reportable as CSR cases. Examples include: (1) cases properly opened where the client withdrew before legal assistance; (2) cases where client intake information was erroneous, revealing ineligibility;16 (3) cases opened due to administrative or computer error; (4) duplicate case files; (5) cases closed untimely (§ 3.3); or (6) cases lacking required documentation (e.g., citizenship attestation).

LSC does not mandate a specific de-selection method. However, grantees must adopt a method for case handlers and staff to easily close non-CSR cases using an “exit” code or field to de-select and exclude them from the CSR.17 Any system that effectively de-selects non-CSR eligible files from CSR reports is acceptable. One method is to close these case files with a closing code like “X” (or another letter near the alphabet’s end) to designate them as non-CSR cases.

3.6 Limitation of Defaults in Systems That Capture or Record Eligibility Data

Systems capturing or recording eligibility data must not use defaults for these critical eligibility fields:

Income
Assets
Household size
U.S. citizenship
Eligible alien status
LSC eligibility

LSC also recommends avoiding defaults for other fields crucial to CSR information accuracy. Defaults can reduce data accuracy by suggesting values and enabling accidental intake completion without proper consideration of field topics.

Chapter IV: Reporting Requirements

4.1 General Requirement

Each grant year, grantees must report case service information to LSC as part of the annual Grant Activity Report, submitted in the first quarter of the following year. Reported case information should include both closed and open case numbers. LSC will provide detailed instructions on submitting case information to all grantees.

4.2 Private Attorney Involvement Cases

For each grant year, recipients of Basic Field—General grants must report case information for their PAI components separately from staff Basic Field cases. This requirement does not apply to Basic Field—Agricultural Worker and Basic Field—Native American grants. Cases closed by private attorneys, law students, law graduates, or other professionals (“PAI case handlers”)18 using Agricultural Worker or Native American grant funds should be reported as Agricultural Worker or Native American cases, not PAI cases.19 Chapter X provides further guidance on reporting PAI cases.

4.3 Reporting LSC-Eligible Cases Irrespective of Funding Source

Recipients should report all cases where client eligibility has been determined under LSC requirements, regardless of funding source, provided these cases are completed by the grantee or PAI attorneys. Cases without eligibility determinations cannot be reported to LSC.20 This chapter does not require grantees to document client financial eligibility for cases fully funded by non-LSC sources unless reported to LSC. LSC may require separate data collection on non-CSR cases. For example, LSC currently requests separate reporting for closed cases funded by Title III or IV of the Older Americans Act that meet all CSR requirements except financial eligibility. See Program Letter 03-2.

4.4 LSC Subrecipient Cases

Grantees subgranting LSC funds under 45 CFR Part 1627 should report all subgrant cases that are LSC-funded (partially or fully) and meet CSR criteria. Recipients cannot report cases handled by subrecipients that are not LSC-funded, regardless of whether they and their clients meet LSC criteria. Organizations receiving only non-LSC funds from an LSC grantee are not subrecipients under 45 CFR Part 1627, and their cases cannot be reported to LSC.

However, grantees using non-LSC funds to meet the PAI requirement through arrangements with another organization can report the non-LSC funded cases closed by that organization and reported to the grantee as Part 1614 PAI cases if they meet this Handbook’s definitions and requirements.

4.5 Reporting for Separate Service Areas

Recipients funded for multiple LSC service areas must report case service information separately for each area. For example, a grantee with grants for two adjacent geographic service areas for Basic Field—General grants, or for Basic Field—General for part of a state and Basic Field—Agricultural Worker for the entire state, must provide separate CSRs for each service area.

Chapter V: Documentation Requirements

5.1 General Requirement

For each case reported to LSC, grantees must capture and maintain necessary case and client information for effective case management. This can be done through electronic entries in a CMS database, notations on intake sheets or hard-copy documents, or automated intake systems.21 For each reported case, information must describe (at minimum) the requirements of this chapter and:

(a) Client’s name.
(b) Client’s legal problem(s).
(c) Level(s) of legal assistance provided.
(d) Funding source(s) supporting the case.

5.2 Requirements Pertaining to Client Eligibility

For each reported case, grantees must document that client eligibility was determined according to LSC requirements, including §§ 5.3 (income), 5.4 (assets), and 5.5 (citizenship and alien eligibility). Eligibility documentation should be recorded electronically in a CMS record or in a simple form as per 45 CFR § 1611.7(b). Signatures can be in any legally valid format, including electronic signatures.22 Grantees must preserve this information for five years or as required by LSC (e.g., through grant assurances or special conditions).23 Electronically recorded compliance information must be backed up to prevent data loss.

5.3 Income Documentation Requirements

For each reported case, grantees must record the number of household members and total household income,24 excluding income in domestic violence situations as per 45 C.F.R. § 1611.3(e).25 Total household income must be recorded even if zero. Intake systems must include questions to determine total household income, and programs must provide evidence that these questions are consistently asked and answered. For group clients, programs must collect information demonstrating that the group meets the financial eligibility criteria of 45 CFR § 1611.6.

For cases using financial exceptions for applicants exceeding 125% of federal poverty guidelines, eligibility documentation must detail the specific facts and factors used for this determination as required by 45 CFR § 1611.5. The CMS must save the applicant’s gross income as a separate field to record that the applicant initially exceeded the basic income level but was served under over-income exceptions. Calculations involving income ceiling exceptions must not alter the recorded gross income.26

If an applicant’s sole income source is a government program for low-income individuals, the program may determine financial eligibility based on these benefits per 45 CFR § 1611.4(c) (if the Board has policies permitting this). The program must record household size, income source, and the specific government program. A Board resolution or minutes evidencing this policy must be on file. No further income or asset documentation is needed.

5.4 Asset Documentation Requirements

For each reported case, grantees must document the total value of household assets or the reason asset determination is not needed under 45 CFR Part 1611, or why assets are excluded (e.g., in domestic violence cases).27 Programs may exclude asset categories per Board-adopted guidelines under 45 CFR § 1611.3(d).

Intake procedures must include questions to determine total non-excluded household assets, and programs must provide evidence of consistent staff practice. Grantees should use the equity value of non-excluded assets, not fair-market value, for asset eligibility.28 Total non-excluded household asset value must be recorded, even if below guidelines or zero.29 For cases where non-excluded assets exceed asset ceilings (per 45 CFR § 1611.3(d)(1)) but the program waives this, eligibility documentation must explain the factual basis for the waiver as required by 45 CFR § 1611.3(d)(2).

If excluded assets are included in the CMS asset field, they should be labeled to prevent inclusion in eligibility calculations.

If an applicant’s sole income is from a low-income government program, asset documentation is not required if financial eligibility is determined based on program participation (as described in § 5.3).

Furthermore, when an applicant receives income from a government program that is not their sole income source, grantees may determine asset eligibility in two situations: (1) The applicant receives benefits from a government means-tested program with more restrictive asset standards than the grantee’s guidelines. (2) The grantee’s Board has formally accepted such a program’s asset eligibility standard. Grantees must document this determination in the case record instead of the total asset value and keep supporting information, like the government program’s asset standards or Board action evidence, on file.

5.5 Citizenship and Alien Eligibility Documentation Requirements

Cases reported to LSC must comply with citizenship or alien eligibility requirements under 45 CFR Part 1626.30 Programs must document compliance with either § 1626.4 (eligibility under anti-abuse laws regardless of citizenship) or § 1626.5 (U.S. citizenship or qualifying immigration status). For group clients, programs must collect information reasonably demonstrating that the group meets Part 1626 eligibility requirements as per Advisory Opinion 2016-003.

According to 45 CFR §§ 1626.6 and 1626.7, the required documentation level depends on the service type. For Counsel and Advice or Limited Action (CSR Closure Categories A and B) provided by telephone or non-in-person means without continuous representation, programs can document Part 1626 eligibility with a written notation or computer entry of the client’s response to citizenship or eligible alien status questions.31

For cases with in-person client contact or continuous representation beyond Counsel and Advice or Limited Action (CSR Closure Categories A and B), documentation must include either: (a) a written citizenship attestation; or (b) alien eligibility documentation, as required by 45 CFR §§ 1626.6(a) and 1626.7(a). A citizenship attestation should state:

I am a citizen of the United States: Signature of applicant .

Date: _______

This attestation can be a separate document or part of another document (like an intake sheet or retainer agreement), provided there is a separate signature line specifically for the citizenship attestation. Checkboxes or a general statement attesting to intake information truthfulness are insufficient. Signatures can be in any legally valid format, including electronic signatures.32

5.6 Legal Assistance Documentation Requirements

For each reported case, the case file or CMS must describe the legal assistance provided. This description should demonstrate that the assistance qualifies as a case and supports the selected case closure category.

Chapter VI: Types of Case Services

6.1 Case Service Definitions

Chapter VIII defines categories of case services for LSC reporting. When closing cases, grantees should report each case once, based on the service level that best reflects the assistance provided, according to the Handbook’s definitions and guidance.

6.2 Cases Involving Multiple Levels of Assistance

When multiple service types are provided to an eligible client within the same calendar year for essentially the same legal problem, the program should report only the highest level of service. For example, if a program initially provides Advice and Counsel and later negotiates a settlement for the same problem, the case should be reported only as a Negotiated Settlement.33

6.3 Cases Involving Repeated Instances of Assistance

Repeated instances of assistance for the same legal problem within the same calendar year should be reported as a single case. For example, if a client returns with the same ongoing legal issue and receives assistance multiple times, it should be reported as one case, even if Counsel and Advice or Limited Action were provided on multiple occasions.

6.4 Cases Involving Related Legal Problems

For cases involving related legal problems:

(a) For Counsel and Advice (CSR Closure Category A) cases only, assistance on related legal issues provided contemporaneously or within a short timeframe is presumed to be one case. However, this presumption can be rebutted, and multiple cases may be reported if legal issues are sufficiently distinct, evidenced by:

(i) Different Legal Problem Categories,34 such as Family and Housing.35

(ii) Different Legal Problem Codes within the Individual Rights or Miscellaneous Legal Problem Categories.36

(iii) Different adverse parties, even within the same Legal Problem Category or Code.

(iv) Substantially different underlying facts.

(b) For all other cases (CSR Closure Categories B to L), related legal problems should be reported as a single case if the program attempts to resolve them simultaneously through a single legal process. For court cases, if problems are resolved under one Civil Action Number, only one case is reported. Multiple Civil Action Numbers indicate multiple cases. For example, related child custody and support problems addressed in one pleading are a single case. However, if addressed in separate actions or courts, they may be reported as multiple cases.

6.5 Cases Involving Appeals

If a program represents a client at the trial court or administrative agency level and then in an appeal to an appellate court (45 CFR §§ 1605.2 and 1605.3), the initial decision should be reported as one case.37 A separate case should be opened for the appeal.38 If a case is remanded, the appeal should be closed under CSR Closure Category I(c), and a new case opened for proceedings post-remand.

6.6 Alternative Forms of Service

Grantees may provide alternative services like ADR, pro se clinics, workshops, legal education, kiosks, and web assistance.39

(a) These services can be reported as a case only if:

(i) They qualify as a case under § 2.1.
(ii) They qualify as legal assistance under § 2.2.
(iii) The recipient is a client under § 2.4.
(iv) The service provider is an attorney or a supervised non-attorney as per § 2.5.

(b) Related services to the same client for essentially the same legal problem are reported as specified in §§ 6.2 and 6.3.

(c) Alternative services in § 6.6 can be reported under the CSR category that best fits the actual service provided, as defined in Chapter VIII. If only legal information is provided (not legal assistance), it is categorized as an “other service,” not a case.40

Chapter VII: Referrals

7.1 Referrals of Applicants to Another Entity

Referral alone is not a case service. Referring an applicant to another entity is an Other Service, not a CSR case, regardless of screening or LSC eligibility.

A case including a referral can be reported only if it otherwise qualifies as a case under CSR Handbook requirements.

7.2 Transfers to PAI Case Handlers, Subrecipients, or Program Offices

Referral does not include transferring an intake or accepted case from one program office to a PAI case handler, subrecipient, or another office within the same program. This is a single case handled by the program, not a closed case and a new open case. If a client is assigned to a PAI case handler, the case can be closed only after the PAI case handler completes all work and reports the case as closed.41 Similarly, for referrals to subrecipients or other offices within the program, closure is reported after work completion and case closure reporting by the subrecipient or other office.

Chapter VIII: Case Closure Categories

8.1 Purpose of Case Closure Categories

Case closure categories define the level of service provided in each case.42 This chapter defines common service levels grantees provide to eligible clients. All legal assistance reported as a CSR case must:

(a) Qualify as a case, as defined in § 2.1 and 45 CFR § 1635.2(a).
(b) Be provided to an eligible client, as defined in § 2.4.
(c) Be documented as required in Chapter V.

8.2 Limited Service Case Categories

CSR Closure Category A—Counsel and Advice

Cases closed under Counsel and Advice involve providing legal advice to an eligible client. This includes ascertaining and reviewing relevant facts, exercising judgment in interpreting facts and applying law, and counseling the client about their legal problem.

CSR Closure Category B—Limited Action43

Limited Action cases involve taking limited action(s) on behalf of an eligible client to address their legal problem, not complex or extended enough for CSR Category L. Examples include letters, phone calls, simple legal documents like routine wills or powers of attorney, or pro se client assistance with document preparation.

8.3 Extended Service Case Categories

CSR Closure Category F—Negotiated Settlement Without Litigation

Negotiated Settlement Without Litigation cases are closed when a settlement is negotiated and reached on behalf of a client without pending court or administrative actions. This category is for cases where the program conferred with another party to resolve the client’s legal problem, including pre-formal administrative proceeding settlements. The file should document the settlement with a written agreement, confirmation, or communication to the client outlining settlement terms. Pro se cases cannot be closed in this category.

CSR Closure Category G—Negotiated Settlement With Litigation

Negotiated Settlement With Litigation cases are closed when a settlement is negotiated and reached while a court or formal administrative action is pending. This is for cases where the program conferred with another party to resolve the legal problem. Settlements of pending actions are closed here, even if the court or agency issues an order memorializing the settlement.

This category includes: (1) cases with court or agency appearance as counsel of record; or (2) settlements reached before the program’s counsel entry, if the program represented the client in negotiations (not pro se assistance) and settlement documentation exists. Documentation should include a settlement agreement, written confirmation, or communication to the client outlining settlement terms.

CSR Closure Category H—Administrative Agency Decision

Administrative Agency Decision cases are closed when the program represented a client in an administrative agency action resulting in a case-dispositive decision after a hearing or formal process (e.g., welfare department hearing office decision). This excludes settlements approved by agencies, voluntary dismissals, or withdrawal motions.44 Informal resolutions through agency contacts should be closed under CSR Closure Categories B—Limited Action or F—Negotiated Settlement without Litigation, depending on service level.

CSR Closure Category I—Court Decision

Court Decision cases are closed when the program represented45 a client in a court proceeding resulting in a case-dispositive court decision.46 This category is divided into:

(a) Uncontested Court Decisions—no adverse party or the adverse party does not contest the case.

(b) Contested Court Decisions—an adverse party contests the case.

(c) Appeals—appeals to an appellate court from any court or tribunal decision (45 CFR §§ 1605.2 and 1605.3). This excludes appeals or writs from agency decisions or lower trial court decisions to a higher trial court acting as an appellate court.47

CSR Closure Category K—Other

Other cases are closed cases that do not fit any other CSR closure category. Cases fitting multiple categories should be closed in the category best reflecting the service level, not in this category.

CSR Closure Category L—Extensive Service (not resulting in Settlement or Court or Administrative Action)

Extensive Service cases are closed cases involving extensive research, complex document preparation, extensive third-party interaction, or ongoing assistance to pro se clients. Examples include complex advance directives, wills, contracts, real estate documents, extensive transactional work, or extensive negotiations not resulting in settlement. Cases closed after litigation initiation also fall here when the program is counsel of record and a withdrawal or voluntary dismissal is entered, or the case does not result in settlement or agency/court decision.

This category is for cases exceeding CSR Closure Categories A—Counsel and Advice or B—Limited Action, where no other closing code is appropriate (e.g., F, G, H, or I). Factors favoring Category L include: (1) high factual complexity; (2) sophisticated legal analysis; (3) drafting non-routine pleadings or documents; and (4) significant legal research. Substantial time charged to the case can also indicate extensive services.

Chapter IX: Legal Problem Categories and Codes

Each closed case must be assigned one numeric Legal Problem Code from these ten broad categories:

CONSUMER/FINANCE

01—Bankruptcy/Debtor Relief
02—Collection (Including Repossession/Deficiency/Garnishment)
03—Contracts/Warranties
04—Collection Practices/Creditor Harassment
05—Predatory Lending Practices (Not Mortgages)
06—Loans/Installment Purchase (Not Collections)
07—Public Utilities
08—Unfair and Deceptive Sales and Practices (Not Real Property)
09—Other Consumer/Finance

EDUCATION

11—Reserved
12—Discipline (Including Expulsion and Suspension)
13—Special Education/Learning Disabilities
14—Access (Including Bilingual, Residency, Testing)
15—Vocational Education
16—Student Financial Aid
19—Other Education

EMPLOYMENT

21—Employment Discrimination
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)
29—Other Employment

FAMILY

30—Adoption
31—Custody/Visitation
32—Divorce/Separation/Annulment
33—Adult Guardian/Conservatorship
34—Name Change
35—Parental Rights Termination
36—Paternity
37—Domestic Abuse
38—Support
39—Other Family

JUVENILE

41—Delinquent
42—Neglected/Abused/Dependent
43—Emancipation
44—Minor Guardian/Conservatorship
49—Other Juvenile

HEALTH

51—Medicaid
52—Medicare
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
59—Other Health

HOUSING

61—Federally Subsidized Housing
62—Homeownership/Real Property (Not Foreclosure)
63—Private Landlord/Tenant
64—Public Housing
65—Mobile Homes
66—Housing Discrimination
67—Mortgage Foreclosures (Not Predatory Lending/Practices)
68—Mortgage Predatory Lending/Practices
69—Other Housing

INCOME MAINTENANCE

71—TANF
72—Social Security (Not SSDI)
73—Food Stamps
74—SSDI
75—SSI
76—Unemployment Compensation
77—Veterans Benefits
78—State and Local Income Maintenance
79—Other Income Maintenance

INDIVIDUAL RIGHTS

81—Immigration/Naturalization
82—Mental Health
84—Disability Rights
85—Civil Rights
86—Human Trafficking
87—Criminal Record Expungement
89—Other Individual Rights

MISCELLANEOUS

91—Legal Assistance to Non-Profit Organization or Group (Including Incorporation/Dissolution)
92—Indian/Tribal Law
93—Licenses (Drivers, Occupational, and Others)
94—Torts
95—Wills/Estates
96—Advance Directives/Powers of Attorney
97—Municipal Legal Needs
98—Tribal Court—Criminal
99—Other Miscellaneous

Chapter X: Private Attorney Involvement Cases

10.1 Definition and Reporting of Private Attorney Involvement Cases

For CSR purposes, a PAI case is defined as:

(a) Providing permissible legal assistance for a legal problem (or related problems) that would be permissible with LSC funds.

(b) By a PAI case handler.48

(d) To an eligible client accepted by the grantee as per LSC Act, regulations, and other applicable law requirements.

Representation by law students, graduates, and other professionals qualifies for CSR only when before an administrative tribunal allowing non-attorney representation. This provision applies only to PAI cases and does not affect other PAI activities authorized under 45 CFR Part 1614.

(a) Grantees can record and report private attorney legal assistance as a case only if:

(i) All provisions of Chapter II and 45 CFR § 1614.4(a) are met.

(ii) The legal assistance was provided by a PAI case handler in the grantee’s PAI program, either compensated or volunteer (pro bono).

(b) Grantees should report cases as follows:

(i) Staff Cases. If a PAI referral fails and program staff provides assistance, the case must be closed and reported as a staff case, not PAI, with time charged to staff allocation, not PAI allocation. Referral attempt time can be charged to PAI.

(ii) No CSR Case. If a PAI referral fails and staff provides no assistance, the file cannot be closed as a CSR case. Referral attempt time can still be charged to PAI allocation.

(iii) Staff or PAI Case—Co-counsel. In co-counsel cases between PAI case handlers and staff, the case can be closed as either PAI or staff (but not both), at the program’s discretion.

(iv) Staff or PAI Case. If both staff and a PAI case handler provide assistance but not co-counsel, the case should be closed as staff or PAI depending on who provided the highest service level. For example, PAI advice and counsel followed by staff obtaining a court order should be closed as a staff case.

10.2 Single Recording of PAI Cases

Grantees must ensure cases involving the same client and legal problem are not recorded and reported to LSC more than once (e.g., as both staff and PAI cases), adhering to § 3.2 for single recording of PAI cases.

10.3 Timely Closing of PAI Cases

Grantees must ensure timely PAI case closure for accurate CSR reporting of open and closed cases for the grant term (January 1 – December 31). While closing all cases, including PAI, in the year of last assistance is desirable, all PAI cases can be closed and reported either in the year assistance concluded or the following grant year.49 This uniform rule applies to all PAI cases, whether Extended or Limited Service, pro bono or compensated, and is independent of staff case rules in § 3.3. Compensated case timeliness rules now align with pro bono cases.

Grantees should use methods to ensure timely PAI case closure, such as generating reports on PAI case open duration to assess timely closure.

10.4 Case Oversight and Follow-Up

Grantees must create oversight and follow-up systems to track timely referral, follow-up, and disposition of PAI cases.50

Effective oversight and follow-up systems include:

A program policy specifying a referral timeframe, after which the case returns to staff or the client is informed of no assistance.
A tickler system reminding staff to request status/closure updates from PAI case handlers via letters, calls, or emails.
Program staff selecting appropriate closing codes for PAI case handler assistance or program review/approval of PAI case handler-selected codes.
A program policy outlining a plan to: (1) identify and periodically follow up on all open PAI cases; and (2) administratively close untimely or dormant cases to exclude them from future CSRs.

10.5 PAI Case Documentation

For each reported PAI case, grantees must record case and client information per Chapter V, including §§ 5.2 (client eligibility), 5.3 (income), 5.4 (assets), 5.5 (citizenship and alien eligibility),51 5.6 (legal assistance documentation), client name, legal problem(s), and assistance description.52

Sufficient information must be in the file or CMS to support the selected closing code. In the absence of PAI case handler closing information, court or other reliable source information is sufficient.

CSR FREQUENTLY ASKED QUESTIONS

For further guidance, please consult the CSR Frequently Asked Questions.

1 See § 4.4 regarding application of these requirement to subrecipients.

2 See, e.g., LSC Performance Criteria.

3 LSC restrictions apply to the use of LSC funds and to some uses of non-LSC funds. See 45 CFR Part 1610 (Use of Non‑LSC Funds).

4 Chapters VI and VII of this Handbook contain further guidance on when to treat service to a client as a case. A corresponding definition of a “case” for timekeeping purposes appears at 45 CFR § 1635.2(a). Chapter IV of this Handbook contains additional guidance regarding LSC reporting requirements.

5 See § 4.3 regarding reporting of non-LSC funded cases and § 4.4 regarding cases handled by LSC subrecipients. Recipients are permitted to use non-LSC funds to provide otherwise permissible services to a client who exceeds the Part 1611 financial eligibility limits, but the case may not be reported to LSC for CSR purposes.

6 The point at which a case is “accepted” for service depends on the type of service provided and the process by which the program provides the service. For example, when an eligible applicant seeks advice over the telephone, “acceptance” occurs when a staff member or participating private attorney determines that the applicant qualifies for service and indicates acceptance of the case through assignment of a case number or other means of demonstrating case acceptance (e.g., a notation in the file or in the case management system).

7 The legal assistance must actually be provided to the client in order for the assistance to be reported as a case in a CSR. For example, if the program performs legal research but does not advise the client of the results of the research, this would not constitute a CSR-reportable case. Similarly, if the program sends a letter to a client containing legal advice which is then returned to the program as undeliverable (and the program has not orally advised the client), this also would not constitute a CSR-reportable case.

8This use of “legal assistance” applies only to the CSR Handbook and to references to cases as defined in the Handbook. A different definition of legal assistance appears in the LSC Act and regulations. 42 U.S.C. § 2996a(5), 45 CFR § 1600.1.

9 Assistance that is not legal in nature (e.g., provision of a social service, referral for financial assistance, or other assistance) is not legal assistance.

10 See ABA Standards for the Provision of Civil Legal Aid 137 (2006), Standard 3.6 on the Provision of Legal Information (“The giving of legal advice is legal representation and creates an attorney-client relationship.”).

11 For CSR purposes, LSC has adopted the definition of legal information in Standard 3.6 on the Provision of Legal Information in the ABA Standards for the Provision of Civil Legal Aid 136–144 (2006).

12 Examples of LSC eligibility requirements can be found at 45 CFR Part 1611—Financial Eligibility, 45 CFR Part 1626—Restrictions on Legal Assistance to Aliens, and 45 CFR Part 1637—Representation of Prisoners.

13 See § 4.3 regarding reporting of non-LSC funded cases.

14 See Program Letter 16-6 regarding automated systems (such as online or telephone systems) for collecting financial-eligibility information and/or making financial-eligibility determinations.

15 For example, if the last assistance on behalf of the client was noted in the file in May 2010, the case must be closed no later than grant year 2011 and must be reported in the CSR reports for that grant year.

16 If there was a change in the client’s circumstances after acceptance, the case may be counted as a CSR case, but if the client was ineligible at the time of intake, the case may not be counted.

17 If a program uses a “rejected” code, it shall be used only for applicants who do not qualify for program services or who are otherwise not accepted for services by the program. Cases for eligible clients that have been accepted for services cannot subsequently be coded as “rejected.” Grantees should have the ability to distinguish between cases that were initially rejected and cases that were initially accepted but could not be reported as closed cases in the CSR.

18 LSC revised 45 CFR Part 1614 in 2014. 79 Fed. Reg. 61770 (Oct. 15, 2014). LSC expanded Part 1614 to allow recipients to allocate costs to the PAI requirement associated with activities involving law students, law graduates, and other professionals in the delivery of legal information and legal assistance to eligible clients. For more information about the revised PAI rule, including how the changes affect reporting of PAI cases in a grantee’s CSR, please see the PAI frequently asked questions on www.lsc.gov.

19 Nevertheless, Agricultural Worker or Native American funds expended to pay or support PAI case handlers may still be counted towards a program’s 12.5% PAI expenditure requirement.

20 See Footnote 3 regarding LSC restrictions on non-LSC funded cases.

21 See Program Letter 16-6 regarding automated systems (such as online or telephone systems) for collecting financial-eligibility information and/or making financial-eligibility determinations.

22 See Program Letter 16-2 regarding the use of e-signatures.

23 Electronic recordation may include scanned copies of any paper documents related to eligibility, including citizenship attestations, retainer agreements, etc. The scans must capture the visible data relevant to eligibility that appears on the documents including handwriting and signatures.

24 See 45 CFR § 1611.2(i), which states: “‘Income’ means actual current total cash receipts before taxes of all persons who are resident members of and contribute to the support of applicant’s household, as that term is defined by the recipient.”

25 When an applicant is a “victim of domestic violence, the recipient shall consider only the assets and income of the applicant and members of the applicant’s household other than those of the alleged perpetrator of the domestic violence . . . .” 45 CFR § 1611.3(e) (emphasis added). See Footnote 27 regarding financial eligibility for domestic violence victims and exclusion of assets associated with an alleged abuser.

26 Whatever method is used to determine income eligibility, a program must still record the client’s gross income and maintain it as a separate field from the adjusted gross income. A mathematical deduction of over-income exceptions (or “spend-down”) is not required under 45 CFR § 1611.5. If a program chooses to use a mathematical deduction (or “spend-down”) to determine whether an applicant is eligible, it must still indicate in its records the factual basis for the decision to accept the client’s case, even if the deductions bring the applicant’s income below 125% of the federal poverty guidelines.

27 The grantee “shall not include any assets held by the alleged perpetrator of the domestic violence, jointly held by the applicant with the alleged perpetrator of the domestic violence, or assets jointly held by any member of the applicant’s household with the alleged perpetrator of the domestic violence.” 45 C.F.R. § 1611.3(e). See Footnote 24 regarding financial eligibility for domestic violence victims and exclusion of income associated with an alleged abuser.

28 For example, a client’s asset could have a fair-market value of $30,000, but if it is encumbered by a loan in the amount of $28,000, the client’s equity value in the asset would be only $2,000.

29 The system cannot use a default value; someone must make an actual entry to record an amount of household assets in each case. See § 3.6 regarding defaults.

30 See Footnote 3 regarding LSC restrictions on non-LSC funded cases.

31 The requirement for a written notation is not satisfied by a default “eligible” entry in the intake system—the system must capture information provided by or on behalf of the applicant in each case. See § 3.6 regarding defaults.

32 See Program Letter 16-2 regarding the use of e-signatures.

33 This requirement applies during the course of the calendar year. If a program has already closed and reported a case in one calendar year, and the client returns for additional service in a subsequent calendar year, the program must report the additional service as a separate case in the subsequent year, provided that the case otherwise meets the requirements and definitions of this Handbook.

34 See Chapter IX for a listing of Legal Problem Categories and Codes.

35 Different Legal Problem Codes within one Legal Problem Category are reported as one case, except as stated in subsection (ii) above. For example, counsel and advice provided for codes Custody—31 and Divorce—32 are one case because both codes are in the Family category.

36 Legal Problem Codes in these Legal Problem Categories may represent very different subject matter (e.g., in the Miscellaneous category: Indian/Tribal Law—92 and Wills/Estates—95).

37 Note that only appeals to an appellate court fall within the definition of appeals in this Chapter and within the parallel definition of appeals in Chapter VIII, CSR Closure Category I(c). “Appeals” from an administrative agency to a trial court or from a lower level trial court to a higher level trial court are not included in 45 CFR Part 1605 and should be reported as only one case under CSR Closure Category I(b).

38 Prior to opening a new case as an appeal or remand under § 6.5, a new client eligibility determination is required as well as an assessment of merit.

39 Although 45 CFR § 1635.2(b) lists the operation of a pro se clinic as an example of a “matter” (now reported under “Other Services”), the provision of legal assistance to an attendee at a pro se clinic qualifies as a case when the service provided meets the definition of a case in § 2.1 of this Handbook and the person receiving the legal assistance meets the definition of a client in § 2.4 of this Handbook.

40 See also ABA Standards for the Provision of Civil Legal Aid 136–144 (2006), Standard 3.6 on the Provision of Legal Information.

41 See § 10.1(b)(i) regarding cases in which the PAI assignment is not successful.

42 The following closing codes were discontinued in 2008 and should not be used: Categories C—Referred After Legal Assessment, D—Insufficient Merit to Proceed, E—Client Withdrew, and J—Change in Eligibility Status.

43 ;“Limited Action” as defined in this Handbook is synonymous with “brief services” as described in 45 CFR § 1611.2(e).

44 See CSR Closure Categories G and L for guidance in closing such cases.

45 Only cases in which the program attorney or advocate or PAI attorney is entered as counsel of record may be closed as CSR Closure Category H or I. Assistance to pro se litigants cannot be closed in CSR Closure Categories H or I.

46 This does 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.

47 Such cases should be closed only once as CSR Closure Category I(b)—Contested Court Decision.

48 See footnote 18 regarding when attorneys, law students, law graduates, and other professionals qualify as PAI case handlers.

49 For example, in the event a PAI case handler closed an advice and counsel case in May 2009 but did not report it as closed to the program until December 2010, the program could report the case in its 2010 CSR. However, if the PAI case handler closed the advice and counsel case in May 2009 but did not report it as closed to the program until June 2011, such case is untimely and cannot be reported in the CSR.

50 See 45 CFR § 1614.4(a)(3).

51 PAI cases are subject to the same Part 1626 requirements as staff cases. See § 5.5. Either the program or the PAI case handler may obtain the necessary documentation and conduct any necessary review. In some situations, the PAI case handler will have the first in-person contact with the client and must obtain any required signed citizenship attestation or other documents for the file and conduct any required review of the client’s alien eligibility documents.

52 There must be sufficient information in the file or in the case management system to support the closing code selected to close the case. In the absence of closing information from the PAI case handler, information obtained from the court or other reliable source is sufficient.