https://www.slab.org.uk/advice-agencies/scottish-national-standards-for-information-and-advice-partners/snsiap-guidance-notes-type-i-agencies-only/
https://www.slab.org.uk/advice-agencies/scottish-national-standards-for-information-and-advice-partners/snsiap-guidance-notes-type-i-agencies-only/
1. General Management Standards
3. Standards for Accessibility and Customer Care
4. Standards for Providing the Service
5. Standards around Competence
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.
1.1.1
This standard requires that a document or online resource outlining the management structure of the advice service is available. This needs to show there is a structure in place for the advice function team, best evidenced through:
or alternatively relevant:
1.1.2
This standard sets out that staff and volunteers can describe the scope of their role and, where appropriate, identify to whom, when and how they could refer matters for decision, best evidenced through:
or alternatively relevant:
1.2.1
Where an agency is carrying out its normal business function there must be process and control documents in place to verify these procedures which includes the advice function and all relevant corporate staffing and management policies.
Standard 1.2.1 requires that a manual or online resource of all policies and procedures is available.
It is expected that agencies will have a suite of Polices and Procedure documents held centrally and in a digital format, best evidenced through a screenshot of the location of the policies:
or alternatively relevant:
1.2.2
This standard requires that all staff and volunteers are aware of, and have access to, the policies and procedures relevant to their role. This will be evidence to support how your agency makes sure that staff and volunteers know about these policies and where to find them, best evidenced through:
or alternatively relevant:
1.3.1
All service providers must have robust systems for financial management. This means that the agency is required to evidence that the service has a clear financial strategy and financial management processes best evidenced through:
Monitoring could be:
or alternatively relevant:
1.4.1
Agencies must be clear regarding their internal communication.
We are looking for the agency to have an internal communications strategy, and/or approaches and channels that meet people’s needs.
Please bear in mind that this standard does not relate to external communication with clients or other agencies. The audit function is looking at internal communication undertaken in the advice function, which will be best evidenced through:
or alternatively relevant:
The documentation provided here must be relevant to the advice function, for example advice updates or changes in advice guidance and legislation.
1.5.1
Each service provider must be able to demonstrate that it is complying with all relevant general legislation.
This standard is looking to verify that your agency has knowledge of the legislation relevant to the agency and its role as a service provider and employer. The SNSIAP audit function sets out that compliance with this standard is best evidenced through:
NOTE: You may have previously provided copies of these relevant policies under standard 1.2 and if so, please do not duplicate work for yourselves, just ensure that you refer to previous documents if appropriate.
1.5.2
This standard requires documentary evidence to verify that your agency has current insurance that provides the necessary protection, for example, Public Liability Insurance, employers’ insurance, and so on. As such the SNSIAP audit function need to be provided with evidence of your agencies up to date Public Liability Insurance and employers’ insurance policies, best evidenced through:
or alternatively relevant:
2.1.1
All service providers must be clear about the remit of their service and the boundaries of their service.
Agencies need to be able to ensure that the strategic aims and objectives of the advice service for housing, and/or welfare benefits, and/or money debt, are clearly identified. Whilst your agency may provide other services, we ask you to ensure the evidence provided includes the strategic aims and objectives for the advice topics covered under the standard.
The strategic aims and operational objectives for the service needs to include:
This can be best evidenced through:
This should be available to the public so that prospective clients can establish the advice service provided, or alternatively relevant:
2.2.1
This standard considers advice statistics as it is a requirement that all services must undertake a regular exercise to determine the profile of their local community, including income deprivation, work deprivation and housing deprivation and any special needs that may exist.
You will be able to show that your agency maintains relevant deprivation indices of the local community relative to the advice function provided by you and that these profiles are maintained and updated at least once every two years.
Documentary evidence of the gathering of demographic information is best evidenced through:
You may also be able to evidence this through the preparation of funding applications and/or the monitoring of funded projects, as you will be collating statistical data to support these applications and to verify that you are meeting the requirements and KPI’s of the projects.
You can see the type of information to be collated on pages 17, 18 and 144 of the Scottish Government Framework document held on their website, which you may already collate as part of funding applications or planning for the in-house funded advice function.
Please note that hearsay statements of a review are not evidence of collation of statistics and formal review and are not accepted by the SNSIAP audit function.
2.2.2
As part of the data your agency collates in 2.2.1, you will need to evidence how this information is used to identify the specific advice needs of the local community.
This is best evidenced through:
or alternatively relevant:
Please note that hearsay statements of a review are not evidence of collation of statistics and formal review and are not accepted by the audit function.
2.3.1
For future planning it is imperative that all service providers develop long-term plans that cover a period of three to five years to provide direction for the advice service provided as accredited under the standard for housing, and/or welfare benefit, and/or money debt advice.
There requires to be a documented business plan for the advice services that anticipate future demand, availability of resources and advice patterns. A plan must be documented and best evidenced through:
or alternatively relevant:
The documents should:
The business plan should be supported by evidence that those responsible for the planning and management of the service monitor the service against this plan at least annually. This might be evidenced, for example, by management committee minutes, and minutes of the most recent meetings will be good evidence to support this process.
A business plan that does not consider the advice being provided by the service and the advice accredited under the standards will not meet this standard. As such do not provide documentation that does not consider the advice being accredited under the standard.
2.4.1
All services must produce an annual service plan that seeks to ensure the best match between the needs of service users and the resources available to provide the service.
This process will support the requirements under standard 2.3, ensuring that the service remains relevant and that the long-term plans are monitored.
The annual service plan requires to identify the service that will be provided and how the demand for advice will be met:
The plan should be presented and best evidenced through:
or alternatively relevant:
This should be supported by evidence that those responsible for the planning and management of the service monitor the service against this plan at least once every three months.
If your agency seeks feedback from service users, as required under standard 3.12, you may incorporate this feedback to support this standard along with standards 3.3, 3.4, 3.5, 6.1 and 6.2 which consider location, method of delivery, opening hours and accessibility to support the process for planning.
However the required information is collated, the service plan should be summarised and available to service users and potential service users, as it is vital that service users are aware what advice is provided.
Typically, this may be on your website or a document that is available in a public setting.
2.5.1
All services must regularly review their work against the aims and objectives for their service. The SNSIAP audit function need to see documentary evidence of the collation of the advice service statistics, and the analysis and consideration by those responsible for advice service planning, not general stats for the agency.
This will be best evidenced by a download or collation of statistics from your case management system or recording system through:
or alternatively relevant:
Please ensure that these relate to the advice function and the topics that are accredited under the standard, that is housing, and/or welfare benefits, and/or money debt.
In addition, documentary evidence of the review of these statistics will be required, through a monitoring report, paper, and/or minutes of most recent meeting where these have been considered.
2.5.2
All services must make the results of these reviews available in a publicly accessible format at least once a year.
Copies of the evidence as set out previously through annual reports or funders reports are required to be available to the public and evidence is required to verify how this is achieved, best evidenced through:
or alternatively relevant:
2.6.1
All services must be subject to regular independent review and/or evaluation once every three years.
The standard states that an independently conducted review or evaluation, commissioned either internally or externally, should be undertaken at least once every three years and any independent review undertaken, internally or externally, should cover:
Agencies that are audited through the National Standards accreditation scheme will be able to use the audit to demonstrate that they have reviewed the quality of outputs and efficiency of their service (numbers 2 – 4). The audit will also seek to establish systems for ensuring the continued relevance of their service. However, it does not make a judgement on how relevant the service is. Prior to securing accreditation agencies will need to demonstrate that they have sought the views of service users and other stakeholders and that this evidence has been used in reviewing the remit of the service.
What do we mean by internal or external?
The reviewer either internally or externally does not need to have relevant experience or an involvement in an advice function. The review is looking at the administrative processes of your organisation, including Service remit, Efficiency, Effectiveness, Impact, and Relevance.
External reviews could be facilitated through a service level agreement with another advice function or similar organisation, whereby you could provide a reciprocal service in relation to the independent review requirements and therefore not incur any direct financial cost.
If an external review has not been possible, an internal review must involve, as a minimum, consultation with service users and other stakeholders.
Internal reviews could be carried out by an audit function, business reviewer, a senior staff member who is not directly involved in the advice function or by a Board member who has business experience.
What evidence is acceptable?
The evidence required to support the internal or external review is best evidenced through:
It is to be noted that where an advice agency provides all their advice through funded projects, which are restricted to the requirements of the funder, then you may wish to provide copies of the funding applications and the most recent monitoring/review reports that the funders require, to establish that there is regular independent review and/or evaluation by these independent funders.
All reviews and evaluations (and summaries of reviews and evaluations) should be made publicly available.
3.1.1
All service providers must be committed to providing equity of access to services for all.
An agency must have a clear statement explaining how the advice service meets the needs of the whole community, including those with protected characteristics defined in the Equality Act 2010, and how this is measured (except when the advice service is for a defined sector of the population).
Best evidence is a copy of your:
or alternatively relevant:
which meets the requirements defined above and explains how the service intends to implement the policy and measure its effectiveness.
3.2.1
Agencies are required to have a published customer care policy which covers all staff involved in delivery of the service.
Best evidence here is a copy of your:
which requires all of those involved in the delivery of service, including non-technical staff, such as reception staff, to relate to the public in a courteous and respectful way.
This should be supported by documentary evidence to verify that the policy is published, best evidenced through:
in order that all parties are aware of the requirements.
3.2.2
Agencies must have a policy clearly defining expectations in relation to service user behaviour, best evidenced through a:
Any expectation that the service has of its service users, in particular what may cause the service to be removed, such as failure to meet appointment times or verbal abuse, should be documented and communicated to users as well as being prominently displayed, best evidenced through:
3.3.1
All service providers must have procedures to review their premises at least once every three years, and this requirement should be set out as an action plan or strategy paper. Advice agencies need to include:
Your documented action plan or strategy paper needs to show how you agency has verified that all premises from which the service is delivered (including own offices, outreach and surgery locations) are reviewed at least once every three years.
Please take note that organisations which seek feedback from service users, as required under standard 3.12, may incorporate this feedback to support this standard along with 2.4, 3.4, 3.5, 6.1 and 6.2 which consider location, method of delivery, opening hours and accessibility to support the process for planning. This is best evidenced through:
or alternatively relevant:
3.4.1
All service providers must regularly review the methods of delivery for their service to ensure both the accessibility and effective use of resources.
The process in place for reviewing the effectiveness of each method of delivery, including email, conference calls, face to face meetings, and digital means of communication of advice is required to be undertaken at least once every two years. This information should be considered by your agency and used to make improvements.
Agencies that seek feedback from service users, as required under standard 3.12, may incorporate this feedback to support this standard along with 2.4, 3.4, 3.5, 6.1 and 6.2 which consider location, method of delivery, opening hours and accessibility to support the planning process.
All organisations should provide a copy of documentary evidence to support the process in place and verification that this information is used to make improvements is best evidenced through:
3.5.1
All service providers should regularly review their hours of service to ensure that these meet the needs of their current and potential service users.
The documented process in place for reviewing the opening hours of the advice service sets out that this should be carried out at least once every two years.
Agencies that seek feedback from service users, as required under standard 3.12, may incorporate this feedback to support this standard along with 2.4, 3.4, 3.5, 6.1 and 6.2 which consider location, method of delivery, opening hours and accessibility to support the planning process.
All organisations should provide a copy of documentary evidence to support the process in place and verification that this information is used to make improvements, best evidenced through:
3.6.1
All service providers must ensure that potential service users are aware of the service that is provided.
Your agency is required to ensure that there is a plan in place to promote the advice service in ways that meet the needs and preferences of potential service users. This could be best evidenced by the production of:
that details how the service’s target users will be informed of the existence of the service. This should be clearly linked to the community profile and needs assessment requirement in standard 2.2. Depending on where and how the service is being provided, a separate promotional budget could be identified.
If a formal plan is not in place, then evidence should be provided of how your organisation makes the public and service users aware of the service, best evidenced through:
You will need to provide a summary detailing how this is made available to the public or service users.
3.7.1
All service providers must be able to deliver information in a range of formats and community languages that are appropriate to the needs of disabled people and the local community.
A policy relating to the provision of information in alternative formats is a documented procedure that ensures all written information from the agency can be produced in a way that is impact assessed to ensure it is accessible to disabled people and people whose first language is not English, for the provision of written information to produce flyers, documents, and correspondence in alternative formats.
Self-production of materials or in partnership with other providers, such as local authorities or NHS Health Trusts, should highlight the provision of the information directly by your agency or sign-posting agreements to other services which agree to undertake this work on the service’s behalf.
Best evidenced through:
or alternatively relevant:
3.8.1
Services must not disadvantage users whose first language is not English.
In relation to the use of interpreters, the agency is required to have policy and procedures in place.
Type I service providers should be able to demonstrate that they can provide an ‘active’ sign-posting service to all members of the community. Referral sources in appropriate languages should be maintained by service providers and copies of these are required to be provided.
Best evidenced through:
or alternatively relevant documented:
3.9.1
All service providers must have effective and appropriate policies on confidentiality and access to information.
You are required to have policies and procedures in place relating to the holding of client information and access to this information, confidentiality and forms of authority, which is best evidenced through:
However, you must ensure that the indicators under the standards are clear. For Type I the policies are required to set out:
These indicators are clearly set out in the Scottish Government Framework document held on their website and it is advised you refer to these in your Self-Assessment and Application Form.
3.10.1
Service providers must have procedures in place for the safe maintenance of files and for file destruction. Agencies are required to have a documented policy and/or procedures in place relating to storage and destruction of files, best evidenced through:
You must ensure that the evidence provided sets out the process for the indicators under this standard, which are:
3.11.1
Service providers must have an effective complaints procedure and adequate insurance to provide rights of redress, which is best evidenced through a:
The complaints procedure must:
3.11.2
The service is required to have Professional Indemnity Insurance. You may have previously provided this insurance policy under standard 1.5, so you may only need to refer to that standard. If not, this is best evidenced through providing an up to date copy of a:
which shows current date of coverage.
3.12.1
All service providers must have procedures that actively encourage feedback from service users. The service should have procedures in place and documented records of collation, best evidenced through:
that enable service users to provide feedback on the quality of service they have received and allows the agency to use this to inform service planning, which is best evidenced through:
Indicators required to be considered through feedback for all agencies include:
From the indicators required here, an agency that seeks feedback as per this standard will be able to use this information to support the further standards, including 2.4, 3.3, 3.5, 6.1 and 6.2 that consider quality of service, location provided, method of delivery, opening hours, and accessibility to support the process for planning.
The indicators can be found on page 170 of the Scottish Government Framework document held on their website.
4.1.1
All service providers must provide an independent and impartial service that can represent the interests of its service users.
You should have in place a written policy and staff training which demonstrates that the service places the interests of service users before their own or a third party’s interests.
Compliance with this standard is best evidenced through providing a copy of your agencies:
which must clearly outline that the advice service provider will place the interests of service users before their own or a third party’s interests.
Where the service provider may be providing a service that could place their own agency or other third parties’ interests above the service user’s interests, the service should be able to demonstrate that the service user is made aware of these constraints and that alternative, independent sources of help are signposted.
4.2.1
All services must have arrangements to ensure that their service has access to up-to-date reference materials and appropriate journals.
The up-to-date reference materials and journals in paper and/or online format must be relevant to the advice service that your agency is providing in relation to housing, and/or welfare benefits, and/or money debt advice. As the audits are carried out remotely, best evidence will be through copies/screenshots/photos of:
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:
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:
that shows the details of the other advice organisations involved.
4.3.2
Your agency must have a:
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:
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.
4.4.1
Note: Not required for Type I agencies.
4.5.1
Note: Not required for Type I agencies.
Note: Not required for Type I agencies.
4.7.1
All service providers must have robust means of recording service wide activity and service use.
Agencies are required to gather the relevant client data subject to the type of agency and money debt topic provided. The indicators can be found on page 178 and 179 of the Scottish Government Framework document held on their website.
Type I advice providers are required to collate:
Optional data includes disability, faith and sexuality.
The best way of evidencing this gathering of data is to provide:
In addition, for all agencies there is a requirement to record data on the number of cases by type and topic. Best evidence will be:
to verify the topics as defined under the standards. This should specify the count by either the number of service users, the number of cases (and, where appropriate, the number of enquiries which do not become cases), and the number of episodes of advice.
5.1.1
All service providers must have a clear commitment to equal opportunities in employment practice.
Agencies should have a documented equal opportunities policy which is effectively applied to its employment practises and volunteers. The audit function needs you to provide a copy of your:
in relation to the recruitment of paid staff and/or taking on of volunteers, that verifies:
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:
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:
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:
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.
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:
Once we have reviewed your initial self-assessment, we will request that your agency complete templates for a sample of core competencies 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:
For clarity the audit function does not require access to any client case files.
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:
The audit function will then select a test sample of advisers, both paid and unpaid (if appropriate) and request to see documentary evidence for:
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:
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 5.2 (and 4.6 if you are a Type II/III agency) to support the supervision undertaken by your organisation. You may wish to cross refer this evidence to support this standard.
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 5.2, 5.3 and 5.4 (and 4.6 if you are a Type II/III agency) 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 5.2, 5.3 and 5.4 (and 4.6 if you are a Type II/III agency).
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:
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:
Mandates stating hours that volunteers will endeavour to undertake are not evidence of actual hours volunteered and will not be accepted as evidence.
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:
which should show the details of the other agencies that were in attendance.
6.1.1
All service providers must have premises which ensure that the service can be accessible to all members of the community and is adequate to the needs of the service users.
Your agency is required to demonstrate that they have taken action to ensure all premises are accessible and meet the needs of service users. There are unique indicators for Type I (and Type II/III agencies), and you will need to ensure that you have considered the indicators set out on page 45 of the Scottish Government Framework document held on their website. This is best evidenced through:
for all premises used by the advice function on a minimum three year basis, including remote and satellite offices, managed by your agency or not, to ensure that the requirements set out on page 191 of the Scottish Government Framework are met.
It may be that you set your findings out in an accessibility plan, and this would be good evidence to verify meeting the standard.
6.1.2
Agencies are required to consult with service users and potential service users, including disability groups, about the adequacy of their premises at least once every three years.
Organisations that seek feedback from service users, as required under standard 3.12, may incorporate this feedback to support this standard only if accessibility has been considered.
Your agency is also required to consult with potential service users, including disability groups. Best evidenced through:
6.2.1
Service providers must pay sufficient attention to human resource planning to maintain service outputs and inform future planning. For all agencies, policies and procedures should be in place to minimise disruption to the service provided to clients in the event of staff and volunteer sickness or absence, best evidenced through:
6.3.1
All services must be able to demonstrate that their annual budget (standard 1.3) is sufficient to resource the requirements of these standards and the commitments established in the Service Plan (standard 2.4).
Each element of the service plan, and the plan to meet these standards, is costed and identified as a one-off or ongoing requirement and included with the service’s annual budget. It is acknowledged that this information may be difficult to evidence as the funding may be subsumed into your normal day-to-day costings, and if that is the case then you should:
If it is set out as an ongoing requirement and included with the service’s annual budget, this will be best evidenced through a: