Summary

4. Standards for Providing the Service

• Standard 4.3
• Standard 4.4
• Standard 4.5
• Standard 4.6

5. Standards around Competence

• Standard 5.2
• Standard 5.3
• Standard 5.4
• Standard 5.5
• Standard 5.6
• Standard 5.7

Summary

Your organisation should only provide documentation that specifically refers to the requirements of the individual standard and as such only the best evidence should be uploaded.

On your ‘Self-Assessment and Application Form’ you must specifically refer to the appropriate section, paragraph and page for each of the documents you provide to verify how the documents evidence that your organisation meets the specific requirements of the relevant standard.

Where you do not provide this information the audit function will not review your documents and you will be requested to provide this clarification as part of any further audit request.

In addition, please do not upload multiple documents that do not add any further evidential value to the best evidence, if the audit function requires further clarity, we will ask for this.

4. Standards for Providing the Service

Standard 4.3

4.3.1
All service providers must maintain regular contact and liaison with other providers in their locality. Referral agreements must be established between agencies to ensure that service users receive a consistent and seamless service.

The agency must be able to show that they demonstrate a good knowledge of other relevant advice service providers in your locality in relation to housing, and/or welfare benefits, and/or money debt advice. All agencies should maintain:

• a directory with contacts of relevant service providers in their local area, which should be maintained by the service and updated no less than once every twelve months.

Alternatively, you should be able to provide evidence that you attend and/or are members of local advice agency forums or groups that include housing, welfare benefit, and money debt advice. This is best evidenced through copies of:

• the most recent meeting minutes or agendas,
• email invites for meetings, and/or
• membership or Service Level Agreements,

that shows the details of the other advice organisations involved.

4.3.2
Your agency must have a:

• documented referral policy and procedure

in place that will set out how your organisation will receive and make referrals into and out of the advice function. To clarify, these documented policies must show the processes for:

• referrals to other external agencies
• receiving referrals from external agencies.

Where formal referral agreement or Service Level Agreements are established between organisations the transfer of service users between these providers should be subject to the terms of agreement and meet the requirements detailed on page 174 of the Scottish Government Framework document held on their website.

Standard 4.4

4.4.1
All services must have systems which ensure that service user information and case files are well organised. Agencies must have an effective and efficient case management system that meets each of the indicators as set out on page 174 of the Scottish Government Framework document held on their website, which should:

• identify and trace all documents and correspondence relating to a case
• identify any conflict of interest
• centrally record any key dates in cases (for example, expiry of a time limit) to ensure that action is taken by the adviser or, in their absence, by the service in appropriate time
• ensure that casework is kept in a way that the records are clear to another caseworker
• record the advice that has been provided to ensure that the status of a file and any action taken can be easily verified
• ensure that there is proper authorisation and monitoring of undertaking given on behalf of the service provider
• generate data that allows for monitoring the number of cases, time spent, and type of case undertaken by each adviser to ensure that they are within their capacity.

To best show how you meet these indicators, please provide:

• screenshots from your case management system, remembering to redact any personal client data, to verify each point.

Do not provide procedure documents unless you operate a paper-based case management system. Where this applies, the procedures documents must specifically set out the processes relating to the bullet points mentioned. In such cases you must refer to the specific document, section, page and paragraph, otherwise you will be issued with a further request to provide this detail as per the self-assessment requirements.

Standard 4.5

4.5.1
Agencies must have a casework procedure that can be applied consistently to all service users.

Your agency is required to have casework procedures consistently applied by advisers that covers the outset of the case, progress of the case and closing the case. The best evidence to verify compliance with this standard is to provide copies of:

• the relevant procedure document or documents that specifically set out the processes relating to each of the indicators, as set out on page 176 of the Scottish Government Framework document held on their website.

Please assist us by not providing multiple documents that do not relate to the bullet points below. The audit function does not need to view all your procedures.

You must refer to the specific document, section, page and paragraph to verify each bullet point below, otherwise you will be issued with a further request to provide this detail as per the self-assessment requirements.

At the outset of a case, procedures should identify:

• the requirements of the client
• what action is to be taken
• if someone is to be responsible for the case and who this will be
• key dates in the matter
• any expectations of the service provider on the user of service, for example fees that may be charged including disbursements and commissions
• management information relevant to the service, for example, housing tenure,

and procedures will ensure, in progressing casework, that:

• a case plan is prepared if appropriate
• information on progress is passed to the user of the service at appropriate intervals
• information on any changes is communicated promptly to the user of the service,

and procedures will ensure that at the end of a case, a:

• report following actions is completed and, if appropriate, confirmed in writing (not only verbally) to the service user on the outcome with an explanation of any action the user of the service should now take
• return to the user of the service any original documentation, except where the user of the service has agreed that the agency should maintain this information (the user of service should be informed of storage arrangements and how they can access this information).

Standard 4.6

4.6.1
Agencies must ensure that the casework files of individual advisers are subject to suitably qualified, independent review.

Your agency should have arrangements for case files to be reviewed by a supervisor, or other adviser under the control of the supervisor, who has not been involved in the day-to-day conduct of the case.

The best evidence to provide in relation to this standard is:

• a copy of your case files review policy

that specifically sets out the requirements covering:

• responsibility for undertaking file reviews
• the frequency of undertaking file reviews
• a record of the outcomes of reviews
• a record of any corrective action taken,

and where case files are not reviewed in-house:

• agreements with other advice providers to provide supervision and/or peer review.

The audit function will also request to see documentary evidence to support that the file reviews are being undertaken in accordance with your policy for all advice providers whether paid or unpaid.

5. Standards around Competence

Standard 5.2

5.2.1
All service providers must ensure that they have systems to identify the skills and knowledge required to meet users’ needs and the procedures to match these requirements with staff and volunteers delivering the service.

The audit function needs to establish that there are documented systems, procedures and processes in place which ensure that staff have the relevant skills and knowledge to meet users’ needs.

All agencies can provide the following best evidence to support that you meet the indicators of the standard:

• Job descriptions and person specifications – to verify the skills, knowledge or experience required by those delivering the service and the tasks they are required to perform
• Appraisal and/or supervision and/or one-on-one meeting – which can ensure that the work undertaken by the post holder is within their capacity and competence
• Processes in place for ensuring that those delivering the service are briefed in any relevant changes to legislation, regulation, and so on, relevant to their area of service, as per standard 4, internal communication.

In addition, agencies must ensure procedures are in place for advisers to inform their supervisor if the case is beyond their competence.

Standard 5.3

5.3.1
All service providers must ensure that those delivering the service are provided with adequate training and development. The audit function needs to view your documented policies, which is best evidenced through providing copies of your:

• induction policies/procedures
• appraisals or supervision policies/procedures
• training and development policies/procedures, noting that this relates to identifying required future training to support the advice work.

As part of the audit review, we may thereafter request a sample of recent documentation to evidence the procedures that you have in place.

5.3.2
Advisers paid or unpaid, with less than five years of experience should undertake no less than 35 hours of training per year. Advisers paid or unpaid, with more than five years of experience should undertake no less than 20 hours of training per year. There is no pro rata allowance for part time advisers. This is best evidenced through:

• providing a copy of your agencies policy that relates to training record processes and a blank training record
• training records – all advisers must have their own individual training records (do not provide copies, see notes below)
• documentary evidence of externally provided training (do not provide copies, see notes below) must be retained and include the:
  • name of attendee
  • course name and provider
  • date of training
  • duration and length of training.

The audit function may request a sample of training records and evidence that must show the above detail, such as emails, online or paper bookings, and/or training certificates to support attendance at externally provided training, whether held in-house, online or at a third-party location.

Standard 5.4

5.4.1
All service providers must ensure that all staff involved in delivering the service have core competences before they advise the public.

The agency is required to ensure that those delivering the service have the skills and knowledge to provide advice to the public, including the relevant core competences listed in the framework. For all agencies providing advice, we consider the requirements under ‘Section 2: Competences for Advisers’ as set out on page 37 and 38 of the Scottish Government Framework document held on their website.

Best evidenced through providing copies of your agencies:

• Peer Review – Moderation Committee outcome report(s) for each topic where you have met the required score.

Where your agency applies for additional accreditation for any Topic under Type I, once the SNSIAP audit function has reviewed your initial self-assessment, we will request that your agency complete templates for a sample of core competencies under Type I to show that your organisation is aware of the administrative procedures to support the Section 2 core competencies. When completing these
templates please refer to the source of evidence for the administrative processes to support the advice function, for example:

• access to a library of reference points such as AdviserNet, Child Poverty Action Group (CPAG), legislation or legislative websites with sections/acts
• training and qualifications.

For clarity the audit function does not require access to any client case files.

Standard 5.5

5.5.1
All service providers must ensure that all cases are dealt with by an adviser competent in that area of law.

Your agency is required to evidence that your advice service can demonstrate that advisers meet the requirements of Section 2 of the standards for the relevant area of law.

To demonstrate that advisers meet the requirements of Section 2, we have previously set out the requirements to be considered under the slides for standards 4.6, 5.2, 5.3 and 5.4 and as such we advise that you view those corresponding slides.

For the evidence required here, do not duplicate work and please refer to the previous relevant standard.

You can provide additional documentary evidence if you feel it is appropriate, however please ensure any additional information is specific to the requirements of the standard and does not reiterate the information provided under standards 4.6, 5.2, 5.3 and 5.4.

5.5.2
An agency must be able to demonstrate that the advisers, paid or unpaid, undertake advice work of no less than three hours per week for Type I, no less than six hours per week Type II, and no less than twelve hours per week for Type III.

Best initial evidence is:

• a statement of fact from your agency stating that the minimum hours are met or an explanation as to why hours are not met.

The audit function will then select a test sample of advisers, both paid and unpaid (if appropriate) and request to see documentary evidence for:

• paid staff – contract of employment or screenshot from HR systems showing hours
• unpaid advisers – physical or digital sign in sheets and/or time records for the most recent three-month period to evidence the hours carried out on an ongoing basis.

Mandates stating hours that volunteers will endeavour to undertake are not evidence of actual hours volunteered and will not be accepted as evidence.

5.5.3
Agencies are required to have supervision arrangements in place to oversee the work of the adviser in their topics, in line with the requirements of standard 5.6.

Best evidence for all organisations is:

• a copy of your supervision policy detailing the controls in place to meet standard 5.6.

This should be uploaded as part of the self-assessment and will set out your agency’s quality or peer review of work undertaken by advisers.

As part of our review, we will ensure that supervision arrangements are in place to oversee the work of the advisers in relation to housing, welfare benefits, and money debt advice, by carrying out a test sample of advisers if required.

You may have previously provided evidence under standard 4.6 and 5.2 to support the supervision undertaken by your organisation. You may wish to cross refer this evidence to support this standard.

Standard 5.6

5.6.1
All service providers must ensure that all information and advice work is supervised by a suitably qualified individual, from inside or outside the service.

Your agency is required to evidence that your advice service can demonstrate that supervisors meet the requirements of Section 2 of the standards for the relevant area of law.

To demonstrate that supervisors meet the requirements of Section 2, we have previously set out the requirements to be considered under the slides for standards 4.6, 5.2, 5.3 and 5.4 and as such we advise that you view those corresponding slides.

For the evidence required here, do not duplicate work and please refer to the previous relevant standard.

You can provide additional documentary evidence if you feel it is appropriate, however please ensure any additional information is specific to the requirements of the standard and does not reiterate the information provided under standards 4.6, 5.2, 5.3 and 5.4.

5.6.2
An agency must be able to demonstrate that the supervising advisers whether paid or unpaid for Type I undertake information and advice related work no less than six hours per week and for Type II and III no less than twelve hours per week. Best initial evidence is:

• a statement of fact from your agency stating that the minimum hours are met or an explanation as to why not met.

The audit function will then select a test sample of supervising advisers, both paid and unpaid (if appropriate), and request to see documentary evidence for:

• Paid staff – contract of employment or screenshot from HR systems showing hours
• Unpaid supervisors – physical or digital sign in sheets, time records, etc. for the most recent three-month period to evidence the hours carried out on an ongoing basis.

Mandates stating hours that volunteers will endeavour to undertake are not evidence of actual hours volunteered and will not be accepted as evidence.

Standard 5.7

5.7.1
All service providers must ensure that they understand the work of other services in their localities.

Whilst standard 4.3 shows details of your knowledge of local advice agencies, this standard focuses on evidence to support attendance at conferences, seminars and other meetings both locally and nationally, face to face or virtual, which may be recorded as part of the advisor’s training records. This can be best evidenced through copies of the most recent:

• minutes, agendas and/or email invites to meetings
• memberships of networks and/or forums
• Service Level Agreements

which should show the details of the other agencies that were in attendance.