1.2.3 - Adviser uses the correct and current information sources Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training records – Inc. case recording Resource Database Advice forums Subscriptions Membership Updates Internal Updates Advice Link Advice Pro Library Staff meetings 1.2.4 - Diagnosis is adequately recorded Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – Inc. case recording training Supervision meetings and minutes 1.3 - 1.3.1 - All issues raised by the client initially or after exploration are adequately addressed Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Supervision meetings and minutes 1.3.2 - Clients are supported to understand how factors could contribute to their situation Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Supervision meetings and minutes 1.3.3 - Clients are made aware of the consequences of any recommended course of action Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Supervision meetings and minutes if
1.4.3 - Clients are given advice in the manner most suited to their needs and circumstances Channels of advice giving are well promoted (e.g. website, promotional materials etc.) Triage Policies and Procedures Accessibility Policies and Procedures Referral agreements Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Interpreting policies and procedures Service Level Agreement for alternative arrangements 1.4.4 - All advisers show the ability to their interview style and language to suit individual client’s circumstances, abilities or disabilities Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Complaints policy Suggestion box Comments, complements and Comments policy 1.4.5 - Advice is provided in a cost effective way which does not compromise respect for clients or limits the effectiveness of the support given Channels of advice giving are well promoted (e.g. website, promotional materials etc.) Triage Policies and Procedures Accessibility Policies and Procedures Referral agreements Case File Reviews Quality of Advice Audits Shadowing/Observation/Call Listening Training and CPD records – inc. case recording Service Level Agreement for alternative arrangements 1.5 - Signposting and referral 1.5.1 - Provider has access to and utilises a wide range of relevant, high quality referral mechanisms Referral procedures/agreements/memorandum of understandings with other organisations Referral statistical reports Data Protection Policies and Procedures 1.5.2 - Advisers are aware of a full range of alternative sources of information Mapping of local and regional services to signpost / refer too Using specialist services – Specialist Support/Business Debtline/HMRC tax and benefits/City Wide Tribunal Training Team meetings and presentation Evidence of active promotion
Training plans 1.6.4 - Advisers recognise when they should seek help from other advisers or referral agencies Inductions Team meetings Internal referral mechanism and reports Supervision and Support Organisational flow chart Training and CPD records Training plans 1.6.5 - Providers can show evidence of regular contact with statutory agencies which facilitate good sharing of information. Reports to funders are up to date and of good standard. Funder meeting’s agenda, minutes Events agenda, minutes, attendance list Seminars agenda, minutes, attendance list Conferences agenda, minutes, attendance list Funder reports Local/Regional strategic meeting’s agenda, minutes, attendance list Regional AGMs agenda, minutes, attendance list Local AGMs agenda, minutes, attendance list correspondences Organisational Open Days invite lists Awareness sessions agenda, minutes, attendance list CPD records 1.7 Case management 1.7.1 – A case management system is available to all advisers, paid or voluntary, while they are working on advice cases Advice Pro CARMA Bespoke case system Robust paper based system Case management policy and procedure 1.7.2 - All case records should be updated by the adviser responsible for the advice session or trained admin staff, ideally at the time or immediately afterwards, but in all cases within 8 hours of the advice session Case File Reviews Quality of Advice Audits Service Delivery Plan Case Recording Guide Data risk register, policy and procedure 1.7.3 - Data/client records must be maintained and stored in line with current data protection requirements Data Protection Policies and Procedures Data Retention Policies and Procedures Clear Desk Policies and Procedures Clear Screen Policies and Procedures Data Checklist 1.7.4 - There should be evidence of regular management checking of data security Data Risk Checklist Clear Desk Policies and Procedures Clear Screen Policies and Procedures
1.7.5 - The case record content should reflect the scale, nature and complexity of the client’s needs. Case File Reviews Quality of Advice Audits Quality Assurance Feedback forms Training record inc. case recording training 1.7.6 - Detail should only be recorded relevant to the case Case File Reviews Quality of Advice Audits Training Record inc. case recording training 1.7.7 - All relevant detail should be included for complex cases Case File Reviews Quality of Advice Audits Training records/plans 1.7.8 – All advisers have individual logins to the case management system Case recording systems Case recording identifiers Licence agreements Data risk register, policy and procedure Case management policy and procedure 1.8 - of 1.8.1 - Clients are assisted to utilise self help opportunities where appropriate Self-help/signposting reports Evidence of providing self-help materials Organisations databased detailing local support groups 1.8.2 - Clients are encouraged and supported to develop new skills or capabilities Signposting or referring to other organisations reports Referral agreements/procedures Financial capability reports Digital assistance reports Employability reports Soft outcome reports Client skills reports Volunteer strategy Internal/External referral agreements 1.8.3 - Clients are regularly surveyed to seek their views and to determine the effectiveness of advice given Client feedback surveys Focus Groups Telephone surveys Client feedback reports 1.8.4 - A complaints system in place and promoted to clients Complaint Policy and Procedure Complaint statement Complaint leaflets/promotion in centre Suggestion box Comments, complements and complaints policy and procedure a
2.1.12 - Clients dealt with in the most efficient and effective manner Triage policy, procedure and flow chart Customer Journey Policy and Procedure 2.1.13 - Range of contact methods available to include telephone advice, appointments, face to face provision and email access as a minimum Evidence channels of advice that centre can offer Website Annual report Promotional materials/signage Social media Digital access – webchat, app etc, email 2.1.14 - There should be a waiting area for clients of sufficient size for the nature of the provision Observation of waiting area 2.2 - Case management 2.2.1 - A secure system is compliant with relevant legislation and regulations should exist for regular management checking of case records Case management guide IT policy and procedure Case recording systems Data Protection policy and procedure 2.2.2 - The level of risk associated with each adviser should determine the frequency and extent of case record checking (i.e. new advisers or those who have shown poor performance should be checked regularly, other less frequently) Induction policy and procedure Probation policy and procedure Case management policy and procedure Case File Review policy and procedure Quality of Advice Audit policy and procedure Conflict of Interest policy and procedure 2.2.3 - There should be record of case checking and any action taken to address (i.e. staff training, clients contacted, etc.) Case management policy and procedure Case File Reviews Quality of Advice Audits Adviser Feedback from Quality Assurance Adviser Training Records 2.2.4 - Case records are comprehensive and relevant Case File Reviews Quality of Advice Audits 2.2.5 - Records do not contain unnecessary detail Case File Reviews Quality of Advice Audits 2.2.6 - Records clearly show the analysis of client’s Case File Reviews Quality of Advice Audits 2.2.7 - Records clearly show evidence of appropriate information sources used Case File Reviews Quality of Advice Audits 2.2.8 - There is a record of advice given to the client Case File Reviews Quality of Advice Audits
3.3.9 - Volunteers feel valued and are given the same development opportunities as paid staff Volunteer strategy, policy and procedure Volunteer recognition policy and procedure Training and development policy and procedure 3.3.10 - All staff and volunteer personnel files are complete and up to date HR policies Volunteer policy and procedure 3.3.11 - records are maintained securely Data Retention policy and procedure 3.4 - Learning and development 3.4.1 - All advisers are regularly monitored to assess their face to face people skills Shadowing/observation policy/procedure/feedback 3.4.2 - All advisers are regularly assessed to review their telephone interview skills Call listening policy/procedure/feedback 3.4.3 - Remedial training is given to any adviser regularly receiving negative client feedback Quality Assurance feedback and remedial training action plan CPD framework Adviser training records 3.4.4 - All paid or voluntary advisers are trained to the agreed minimum standard Training and Development policy and procedure CPD framework Adviser training records 3.4.5 - All paid advisers receive a minimum of 3 days CPD training per annum CPD framework Adviser training records 3.4.6 - All volunteer advisers receive a minimum of 2 days update training per CPD framework Adviser training records 3.4.7 - Providers have an annual training budget at least equivalent to 2% of salary bill plus £150 per volunteer Training and develop policy and procedure Evidence of centres training budget 4 - Organisational Requirements 4.1 - Governance 4.1.1 - Up to date constitution or M&As in place Evidence of constitution or M&As Charity commission number 4.1.2 - Appropriate and complete records of meetings and organisation kept Board/Team/Department minutes 4.1.3 - Current strategy and business plan in place and being used by management and board Strategic plan Business plan 4.1.4 - All relevant policies in place and up to date Staff handbook
4.3.8 - All premises in which advice is provided must meet all relevant legislation and current health and safety standards Health and Safety register 4.3.9 - Premises should be kept in good decorative order and adequately heated Detail any maintenance contracts/Landlord responsibilities 4.3.10 - Clients and staff should have access to clean and safe toilet facilities Detail of toilet facilities and maintenance 4.4 - Financial controls 4.4.1 - Accounts prepared and externally audited (or prepared as appropriate) within 6 months of year end Evidence of annual audited accounts Details of external accountant auditors 4.4.2 - Internal financial records of appropriate standard Financial policies and procedures Financial Reports – annual, quarterly, monthly 4.4.3 - Financial updates for Board/committee at least quarterly Evidence of financial reports for Board Board Agenda 4.4.4 - Financial systems, checks and balances that can ensure accountability, probity and minimal exposure to financial risk Financial policies and procedures Financial forecasting Financial restructuring Annual profit and loss accounts Annual balance sheet Fraud policy and procedure 4.4.5 - Ideally have financial reserves equivalent to 6 months running costs Reserves policy and procedure Financial policies and procedures 4.5 - Risk Management 4.5.1 - Risk Policy and Strategy in place Risk policy and strategy Conflict of Interest 4.5.2 - Risk Register up to date and reviewed at least 6 monthly Risk register 4.5.3 - Major risks being actively reviewed by Board/Committee and managed by senior staff Board agenda Evidence of risk reports for Board 4.5.4 - Board/committee members covered by Directors and Officers liability insurance Insurance policies 4.5.5 - appropriately recorded and managed Risk policy and procedure 4.5.6 - Adviser supervision and case checking at appropriate level to reflect risk and track record Case management policy and procedure Case File Reviews Quality of Advice Audit 4.5.7 - All premises, staff and clients to be covered by appropriate insurance Insurance policies