Advice Quality Standard

V2

Assessment Visit – Preparation Guide

Contents

Introduction

Monitoring Assessment - Every 2 Years...... 3

Before the Assessment Staff Details and Additional Information...... 6

During the Assessment...... 7

Additional Non-Mandatory Information...... 8

Telephone Services...... 9

Assessment Feedback - Closing Meeting...... 10

Full Initial Assessment - New Applicants...... 11

Assessment Feedback - Closing Meeting...... 12

Infiormation for Staff and Volunteers...... 12

Introduction

The Advice Service Alliance and Recognising Excellence recognise that preparing for an Advice Quality Standard can be a little daunting, particularly if it is for the first time. This document is designed to help you as the Quality Representative prepare for your forthcoming AQS Assessment. It outlines the process, and also outlines the documentation which the assessor will need to receive, and by when, and also the documentation to which the assessor will need to have access when on-site at the time of the actual Assessment visit. It is intended that the document will be a useful aide-memoire for you, to facilitate the assessment and communicate with your Board, staff and volunteers.

Desktop and Initial Assessment – New Applicants Only

If you are applying for the AQS for the first time, the assessment process will include a Desktop audit of your systems and policies prior to the on site Initial Assessment. The Desktop audit seeks to confirm whether from a paper perspective, your organisation is ready for an AQS assessment. As part of this process, we will consider the various written policies and procedures that underpin the way you work as an organisation, against the requirements of the AQS standard.

The documents identified within Table 1 will form part of the Desktop audit review and you will be required to submit this to us at the same time as your assessment application. It is usual for there to a number of corrective actions arising from this exercise and you will be provided with an opportunity to act on these prior to the follow up Initial Assessment.

The Initial Assessment seeks to confirm the practical implementation of the written policies and procedures across the advice team.

Monitoring Assessments – Every 2 years

Your organisation will previously have undergone a Desktop and a Full Initial Assessment and a further Monitoring Assessment is required every 2 years; this must be completed by your renewal date or your AQS certification will automatically expire. In preparation for your organisation’s earlier Desktop assessment and the subsequent Full Initial Assessment your organisation will have drafted a number of policies and procedures to support the certification process.

Table 1 below sets out the documents (policies and procedures) which your organisation must have in place and that are required in order to be compliant with the Advice Quality Standard. They may be comprised in your Office Manual or Quality Manual or held as individual documents. These are the documents that your assessor will need to access before visiting your organisation. Preferably, you will be able to send copies of the documents to your assessor by e-mail or ‘hard copy’ if you do not have electronic copies of the documents. You may wish to use the third column of the table as an ‘aide memoire’ to record which documents you have been able to forward to the auditor ahead of their visit.

Please note that where your organisation is to be audited against the Telephone Services elements of the standard, those provisions will need to be evidenced in the documentation, where appropriate, or during the assessment visit. For further information see the Telephone Services section within this document.

Table 1

The AQS Framework Reference / Required Documents / Forwarded Y/N
A1.1, A1.2, B1.1, D5.1 / A written business plan or strategy for the provision of services.
A.1 / Marketing / Promotion Plan / Communication Strategy (can be part of written plan or strategy)
A3.1, D1.1 / Equality and Diversity Policy
A3.2, B1.3, B1.6, B1.7 / A written policy and procedure for active Signposting and Referral
C1.1 / Memorandum and Articles of Association
C1.2 / Member of recognised representative body e.g. Advice UK Certificate
C1.3 / Evidence of Regulatory Authorisations i.e. FCA / OISCC (where applicable)
C1.4 / Organisation Chart / Structure / Organagram
C1.6 / Information Commissioner’s Office evidence
C2.3 / Risk Assessment / Risk Register / Risk Map
C3.3 / Professional Indemnity Insurance Certificate
C3.1 / Financial management procedures / regulations
D1.2 / Recruitment and Selection Procedure
D1.3 / Induction Procedure / Induction Checklist
D1.5 / Disciplinary and Grievance Procedures
D2.1 / Performance Review / Appraisal procedures
D2.2 / Training and Development Policy
D2.4 / Regulated Advice Professional Standards i.e. Money Advice Service Quality Framework (where applicable) *
D3.1 / Job Descriptions / Role Profiles
D3.2 / Written procedures to match the skills and competencies of all members of staff to the roles they fulfil.
D3.4 / Written procedure for providing timely information about changes in the law
D4.3 / Written process for the allocation of enquiries
The AQS Framework Reference / Required Documents / Forwarded Y/N
D4.4 / Written process for supervision
D5.1, D5.2 / If certified for Advice with Casework: Up to date case 1 forms for the subject based or client based area (s) of casework
E1.4 / Conflict of Interest Policy/Procedure
E1.5 / Key Dates Policy /Procedure
E1.9 / Client Consent / Authorisation to Act process
E1.10 / Case Closure Procedures
E1.11 / File Destruction Policy
E2.1, E2.2, E2.4 / Written Procedure for Independent File Review
E4.1 / Supervision Policy
F1.5 / Written Procedure for ensuring matters are dealt with in the future if they cannot be dealt with immediately
F1.6 / Written procedure for informing clients about the progress of the enquiry
F1.8 / Written procedure for identifying when information must be confirmed to the client in writing
F1.9 / Service Standards / Customer / Client Charter
F3.1 / Confidentiality Policy / Data Protection Policy
F4.1 / Written section criteria for other service providers used (e.g. barristers, translators, BSL consultants)
G1.1 / Complaints Policy - written procedure for identifying and dealing with complaints by clients
G2.3 / Procedures for up-dating Quality Processes (which may be in a Quality Manual / Office Manual)
G3.1 / Written procedure for obtaining feedback from clients, service providers and funders

*See Separate Money Advice Service Self Assessment Checklist

Before the Assessment - Staff Details and Additional Information

Additional information required before the on-site Full Initial Assessment will include the following:

  • A list of staff and relevant volunteers with names, job titles, departments, locations, hours and days worked. This information is essential and will ensure your assessor is able to produce an assessment plan that will provide structure to the on-site assessment, minimising disruption and ensuring the assessment runs smoothly
  • If you are carrying out casework, a list of open files, sorted by caseworker, in order that the assessor may select files for individual assessment during the visit
  • Additional background information on the organisation this can include:

Advice Leaflets

Promotional material / brochures

‘How to Complain / Making A Complaint’ leaflets

Annual Report

Impact / Evaluation Reports

  • Additional Quality Standard Reports / Assessments:

Investors in People

IS0 9001:2015

matrix

During the Assessment

During the assessment the assessor will need to have access to the documents set out in Table 1 if they have not been sent to them previously. However, access to documents prior to the on-site assessment ensures your assessor has an understanding of your organisation and allows more time for open discussion during the course of the on-site assessment. The assessor will also require access to the following central records during the on site assessment; Table 2 sets out the central records required.

Table 2

Evidence / Standard Reference
Quarterly and annual reviews of Service Plans /Strategy / Business Plan / A1.3, C2.1
Central records of client non attendance at appointments / B1.2, B2.2
Directory of alternative service providers / B1.4
Central record of referrals (incoming and out-going) / B1.5, B2.2
Annual review of referral records / B1.5
Central record of feedback on services provided by organisations to which clients have been referred / B2.1
Information Commissioner’s Office Registration / C1.6
Evidence of annual independent financial review / audited / examined accounts / C3.1
Evidence of Professional Indemnity Insurance / C3.3
Annual Budget
Quarterly reports of variance of income and expenditure against budgets Annual balance sheet
Annual profit and loss account / C3.5
Central training records linked to professional competencies and professional development (where appropriate) / D2.3, D2.4
Annual review of training and development plans / D2.2
Client records and files (where applicable – filing cabinets or file lists for open and closed cases) / E1.1
Key dates diary system / E1.5
Central record of independent file reviews / E2.2
Annual review of independent file review outcomes / E3.4
Your central record demonstrating evaluation of external service providers / F4.3
Central records of complaints / G1.2
Annual review of quality processes / G2.2
Annual review of service user feedback / G3.2, G3.3

Additional Non-Mandatory Information

In preparing for you audit you may wish to prepare additional documents / evidence that demonstrates good practice within your organisation that reinforces the policies and procedures you have in place. Although these documents are not mandatory your assessor may ask to see them during the on-site audit examples include:

  • Board of Trustee / Management Committee meeting minutes
  • Chief Executive / Director / Service Manager Reports
  • Team Meeting Minutes
  • Samples of Funder Reports
  • Case Studies

Telephone Services

If your organisation is to be certified in relation to the Telephone Services level of the standard, the following additional evidence of compliance will need to be provided either before (where appropriate) or during the audit visit. See Table 3 below:

Table 3

Telephone Services Evidence / Standard Reference
Evidence that the service plan includes details relevant to a telephone service / A1.2 TS
Evidence that information about telephone services has been given locally, regionally and nationally / A2.1 TS
Evidence that the AQS logo is displayed where possible / A2.2 TS
Evidence that the cost implications have been discussed / are displayed or a more suitable face-to-face service considered / B1.8 TS
Evidence that the call-handling system has been considered in Service Plan / Business Plan review / C2.1 TS
Evidence that telephone advice skills have been addressed in training and development plans / D2.3 TS
Evidence of supervisor access and anti “burn out” procedures in work allocation / D4.1 TS
D4.3 TS
Evidence as to how authorisation is obtained from clients to act for them / D5.1 TS
D5.2 TS
Evidence that telephone advisers are given time to maintain call records / E1.6 TS
Where premium call rates apply, evidence that relevant information is provided to clients / F2.3 TS
Evidence of appropriate levels of confidentiality and privacy / F3.2 TS
Evidence that complaints information is given on client care letters, publicity materials and leaflets / G1.1 TS
Evidence of client feedback system / G3.1 TS
G3.2 TS
G3.3 TS

Assessment Feedback – Closing Meeting

The outcome of the assessment and the initial findings will be discussed with you Quality Representative and other members of staff that you chose at the verbal closing meeting. Should your organisations assessment result in corrective actions your assessor will provide you with a Corrective Action Report within 2 workings days in order for you to start to address these areas as quickly as possible. A subsequent full detailed report of the findings will be forwarded to you following the assessment, internal and external verification procedures carried out by Recognising Excellence and the Advice Service Alliance. Please be aware that the verification procedures can take up to 3 weeks after your assessment visit.

You will also receive a new certificate, AQS logo and user guidelines.

Initial Assessment (New Applicants)

An initial assessment takes place after a Desktop Assessment of your documentation has been completed. The documents set out in Table 1(spanning pages 4 and 5)will have been provided by you for the‘off site’ Desktop Assessment review by the assessor.

The purpose of an Initial Assessment is to complete the assessment process and to enable the assessor to gain confidence that the Standard is being met and for your organisation to be certified against the Advice Quality Standard. Your assessor may identify a number of corrective actions that you will need to evidence and complete within 28 days in order for you to receive the award and enter the 2 yearly cycle of monitoring audits. It is expected that most organisations will receive a number of corrective actions during an initial assessment.

All the items set out in Table 2would not normally be expected to be available during the Full Initial Assessment. For example, you will probably have not carried your first annual review of your Service Strategy or other annual reviews. You should however have started to compile the records in Table 4:

Table 4

Evidence / Standard Reference
Central record of referrals (incoming and out-going) / B1.5, B2.2
Central records of client non attendance at appointments / B1.2, B2.2
Central record of feedback on services provided by organisations to which clients have been referred / B2.1
Evidence of annual independent financial review / audited accounts / C3.1
Annual Budget, Annual profit and loss account, Annual Balance Sheet
Quarterly reports of variance of income and expenditure against budgets / C3.5
Evidence of Professional Indemnity Insurance / C3.3
Central training records linked to professional competencies and professional development (where appropriate) / D2.3, D2.4
Client records and files (where applicable – filing cabinets or file lists for open and closed cases) / E1.1
Key dates diary system / E1.5
Central record of independent file reviews / E2.1
Central record demonstrating evaluation of external service providers / F4.3
Central record of complaints / G1.2
Quality procedures / G2.2
Procedures for receiving feedback from clients, service providers, funders / G3.1

Assessment Feedback – Closing Meeting

The outcome of the assessment and the initial findings will be discussed with you Quality Representative and other members of staff that you chose at the verbal closing meeting. Should your organisations assessment result in corrective actions your assessor will provide you with a Corrective Action Report within 2 workings days in order for you to start to address these areas as quickly as possible. A subsequent full detailed report of the findings will be forwarded to you following the assessment, internal and external verification procedures carried out by Recognising Excellence and the Advice Service Alliance. Please be aware that the verification procedures can take up to 3 weeks after your assessment visit.

You will also receive a certificate, AQS logo and user guidelines.

Information for Staff and Volunteers

Staff and volunteers can often feel apprehensive about the assessment process particularly if they are selected to participate; they should be reminded that the assessment process is designed to assess the organisation not the individual and should view the process as a continuous improvement tool. You should use the preparation time to stress to workers that they are not being interviewed or tested, and that there are no wrong or right answers to the questions they are asked.

Staff should meet with the assessor in a confidential office space where they feel comfortable and can answer questions candidly. Your assessor will stress the confidential process and the need to takes notes during their discussion however, staff names with the exception of the Quality Representative and Senior Managers will not be included in the report.

AQS V2 Assessment Guide November 2016 1