So what has changed in the AQS from Jan 2017
- 1. VERSION 2
- 2. How to Navigate this Presentation • To move forward through the presentation click on the NEXT button anytime after it starts flashing. • Click on the BACK button to go back to the previous slide, • Where you see orange text underlined, click on the text to go to the named resource • You can return to the main menu at any time by clicking on the RETURN TO THE MAIN MENU BUTTON RETURN TO MAIN MENU
- 3. Welcome to Version 2 of the Advice Quality Standards This short presentation will lead you through the key changes we have made in Version 2 to the Quality Framework For a full summary of all amendments, click here The Advice Quality Standard is a quality standard for legal advice services. It comprises a set of standards designed to ensure that a service is well run and has its own quality control mechanisms that assure the quality of the information and advice the service provides. NOTE – It is important that you read the new AQSv2 in full to be sure you are aware of all the requirements RETURN TO MAIN MENU
- 4. Summary of General Changes The AQS award is made for a period of 2 years and at the end of this period, the Advice Quality Standard will lapse (and with it the licence to use the logo) unless a renewal assessment visit has been undertaken and an award pending. It is therefore essential to arrange your assessor visit in good time to avoid the award lapsing In general, Version 2 of the AQS has become rather more prescriptive to enable a greater understanding of the standards required, and expanded the Guidance to clarify what is required to meet the standard. For example, we have tightened up wording from ‘should’ to ‘must’ to promote a tighter, sleeker and more efficient system. RETURN TO MAIN MENU
- 5. MAIN MENU The Quality Framework A. Access To Service B. Seamless Service C. Running The Organisation D. People Management E. Running The Service F. Meeting Clients’ Needs G. Commitment To Quality RETURN TO MAIN MENU
- 6. So what’s changed? A. ACCESS TO SERVICE • You’ll find some of the information about evidence requirements has been moved into the guidance sections Evidence GuidanceEvidence RETURN TO MAIN MENU
- 7. So what’s changed? A. ACCESS TO SERVICE NEW Evidence required: A1.2 You must have a business plan for the current year and in outline for a further two years ahead A1.3 You must have a review process for both the strategy and the business plan STRATEGY AIM PROMOTION FINANCE BUSINESS PLAN RETURN TO MAIN MENU
- 8. So what’s changed? A. ACCESS TO SERVICE • NEW Evidence required: A2.3 You must ensure that local service providers are aware of the services that you offer through regular monitoring of referrals made into your organisation and by reviewing your referral network. RETURN TO MAIN MENU
- 9. So what’s changed? A. ACCESS TO SERVICE • NEW Evidence required: A3.1 and A3.2 • You must have an equality and diversity policy in effective operation that is compliant with the provisions of the Equality Act and precludes discrimination in selecting and dealing with clients in the target groups. • Where restrictions only allow the service or services to be offered to specific client groups, this must be reflected in your signposting and referral procedures. RETURN TO MAIN MENU
- 10. So what’s changed? B. SEAMLESS SERVICE • The evidence requirements for signposting and referrals - B1.4 & B1.5 - have been merged into B1.5. B1.4 B1.5 RETURN TO MAIN MENU
- 11. So what’s changed? B. SEAMLESS SERVICE • NEW Evidence B1.4 You should have a directory of alternative local service providers that is kept up to date and used to support effective signposting and referral. RETURN TO MAIN MENU
- 12. So what’s changed? B. SEAMLESS SERVICE NEW Evidence B1.8 When signposting or making a referral to another service provider, you must ensure that the client is told what role your organisation will take and what service they can expect from the other service provider. RETURN TO MAIN MENU I will give you some information about Gizajob who will liaise with me on your case
- 13. So what’s changed? B. SEAMLESS SERVICE NEW Evidence B1.10 Sharing information with other organisations RETURN TO MAIN MENU Client consent to sharing information Referred Service Provider
- 14. So what’s changed? B. SEAMLESS SERVICE • NEW Evidence B2.1 & B2.2 Service providers should establish and manage an effective referral network of service providers through: RETURN TO MAIN MENU FEEDBACK MAINTAINING RECORDS MONITORING & REVIEW
- 15. So what’s changed? C. RUNNING THE ORGANISATION • Holders of the Advice Quality Standard must have structures and procedures which ensure effective management of the organisation and its resources • This evidence section has been considerably re ordered and strengthened to include requirements regarding the Information Commissioner’s Office and the Regulatory Frameworks. You must read this carefully and in full RETURN TO MAIN MENU
- 16. So what’s changed? C1 – New evidence required including: C1.1 Need to evidence independence C1.2 Your Organisation should be a member of a recognised representative body C1.3 Where appropriate, your organisation must be a member of a regulatory body. C1.4 You must have a clear written description of how the service is organised and/or an organisational chart. C1.5 Your decision-making structure should be defined in writing with an identification of key personnel and their areas of responsibility, including the designated person responsible for ensuring the organisation meets the Advice Quality Standard. C1.6 Your organisation must be registered with the Information Commissioner’s Office. RETURN TO MAIN MENU
- 17. So what’s changed? C2 – Service providers must ensure availability of resources to provide the service when and where it is needed. New evidence required including: C2.1 You must review levels of service performance against your service plan on a quarterly basis. C2.2 Subsequent decisions about your service capacity are reviewed to reflect your available resources. C2.3 You must carry out an annual risk assessment and maintain a risk register, which clearly identifies all key known risks and what mitigating actions will be taken. RETURN TO MAIN MENU
- 18. So what’s changed? C3. Service providers must maintain effective financial control. C3.1 Financial management is exercised in line with agreed statements of financial policies, procedures and authorities approved by the governing body. You must provide evidence of financial review by an independent source. C3.2 You must demonstrate how you use financial information to assist in reviewing the provision of services. C3.3 You must have professional indemnity insurance in place in accordance with the requirements of your relevant professional association. Organisations that are not members of a recognised association should be insured for not less than £250,000. Note: AdviceUK provide an insurance service to their members RETURN TO MAIN MENU
- 19. So what’s changed? C3. Service providers must maintain effective financial control (continued) C3.4 You must be able to provide evidence of compliance with regulatory requirements where appropriate. C3.5 You must be able to produce the following documentation and show how it has been used in managing the organisation: • Annual budget; • Quarterly reports of variance of income and expenditure against budgets; • Annual profit and loss account or income and expenditure account; • Annual balance sheet RETURN TO MAIN MENU
- 20. So what’s changed? D: PEOPLE MANAGEMENT Holders of the Advice Quality Standard must ensure that staff and trustees possess or develop the skills and knowledge required to meet clients’ needs. This entire section has been extended and strengthened in light of current understanding of the role of diversity in work places generally and in relation to better advice giving in particular. RETURN TO MAIN MENU
- 21. So what’s changed? D1: New references to the Equality Act 2010 This section extends the responsibilities under the Act not to discriminate, to all existing and potential members of staff including volunteers. New Evidence is required including: • D1.3 need for induction processes for all people who join the organisation or change role. (old D2.1) • D1.4 ensuring the workforce reflects the community • D1.5 requirement for clear disciplinary and grievance processes RETURN TO MAIN MENU
- 22. So what’s changed? D2: Training and professional development opportunities are provided for all staff and volunteers who work within the service including management of the organisation. NEW Evidence required: • D2.1 Organisations must have systems for staff appraisals, which must be undertaken at least annually and recorded. • D2.2 Training and development plans must support the needs of the service and must be reviewed annually. • D2.3 All training and professional development undertaken must be recorded on individual training and development plans • D2.4 Where advice is delivered as part of a regulated service you must ensure that you comply with relevant professional standards and professional development frameworks. RETURN TO MAIN MENU
- 23. So what’s changed? D3 Organisations must have procedures to ensure clients get advice from the most appropriate source, that take account of the knowledge and skills of staff This section remains essentially the same. other than there is a new evidence requirement at D3.4 which is merged with the previous D3.5 D3.4 New Evidence required: • Staff should have easy access to relevant and up-to date legal reference material. • There must be a process in place to provide timely information to staff about changes in the law pertinent to their service delivery. RETURN TO MAIN MENU
- 24. So what’s changed? D4 Organisations must have processes to ensure the delivery of quality work to clients This section remains essentially the same other than there is a new evidence requirement at D4.5: NEW Evidence required: • D4.5 If you deliver advice as part of a regulated service, you must ensure that you comply with relevant professional standards and professional development frameworks for supervision. RETURN TO MAIN MENU
- 25. So what’s changed? D5 Client cases are dealt with by competent staff. This section remains essentially the same other than there are new evidence requirements at both D5.1 and D5.2 NOTE: Both D5.1 and D5.2 now apply and must be evidenced I work 3 days a week Jo - Money Advice Caseworker I work 1 day a week Sam - Money Advice Caseworker I work 3 days a week Pat - Benefits Advice Caseworker RETURN TO MAIN MENU
- 26. So what’s changed? D5.1 - New Evidence – Organisations must: • Identify the individual caseworkers undertaking casework in the service strategy and • Demonstrate that at least one of them spends at least 12 hours pw dealing with cases falling within the relevant casework category and any other identified caseworkers spend at least 6 hours pw each dealing with cases falling within the relevant casework category; and • Demonstrate that they (either individually or together) have undertaken casework across the breadth and depth of subjects within the relevant casework category within the last calendar year and subsequently every 12 months. RETURN TO MAIN MENU
- 27. So what’s changed? D5.2 - New Evidence – Organisations must: • Identify a casework supervisor who meets the required criteria. These are designed to: • Demonstrate previous experience in casework. • Demonstrate availability to supervise caseworkers • Demonstrate continued involvement in on-going casework RETURN TO MAIN MENU
- 28. So what’s changed? E RUNNING THE SERVICE Holders of the Advice Quality Standard must have processes and procedures that ensure an effective and efficient service to their clients. In this section, a lot of numbering has been changed and there are significant new evidence requirements RETURN TO MAIN MENU
- 29. So what’s changed? E1. Client information and case files are well organised. You must ensure that clients provide consent for any information or data held on them and that this is recorded before it can be shared with any external parties, including external organisations or service providers and AQS Assessors E1.2 - New Evidence Case files should be retained for a minimum period of six years RETURN TO MAIN MENU
- 30. So what’s changed? E1.4 - New Evidence – Organisations must: Have procedures in place to identify and deal with any conflict of interest in acting for a client. E1.5 - New Evidence – Organisations must: Operate a key dates and action items diary, where appropriate. E1.6 - New Evidence: Systems for storing case files and information records must be orderly and progress on case files and information records should be clear to any other caseworker. RETURN TO MAIN MENU
- 31. So what’s changed? E1.4 - New Evidence – Organisations must: Have procedures in place to identify and deal with any conflict of interest in acting for a client. E1.5 - New Evidence – Organisations must: Operate a key dates and action items diary, where appropriate. E1.6 - New Evidence: Systems for storing case files and information records must be orderly and progress on case files and information records should be clear to any other caseworker. E1.7 - New Evidence: Case files and information records must include a clear written record of the advice the client has received. RETURN TO MAIN MENU
- 32. So what’s changed? E1.8 - New Evidence – Introduces reference to the Freedom of Information Act (previously in F1.9) - Organisations must: Have procedures in place to ensure clients know their right under the Freedom of Information Act to see all information held on them, and how they can obtain this. E1.9 - New Evidence – Organisations must: Ensure that clients provide consent for any information or data held on them and that this is recorded before it can be shared with any external parties, including external organisations or service providers and AQS Assessors E1.10 - New Evidence – Organisations must: Have and operate a clear case closure policy to ensure that the number of cases open at any one time is manageable within the capacity of the organisation. RETURN TO MAIN MENU
- 33. So what’s changed? E2. Independent review of quality of work and follow up where needed. E2.1 and E2.2 are merged to become E2.1 E2.1 - NEW Evidence – Organisations must: Ensure that samples of work are independently reviewed to ensure the quality of advice provided and adherence to service procedures. The number of cases that should be reviewed and the frequency of case reviews should be set according to each adviser’s skills and experience and the volume and complexity of work. RETURN TO MAIN MENU
- 34. So what’s changed? E2.5 Becomes NEW Evidence E2.4 and allows for external review of quality of advice given E2.4 – NEW Evidence Reviews should be undertaken by supervisors or delegated to another experienced person within the organisation or, where appropriate, externally. RETURN TO MAIN MENU
- 35. So what’s changed? E3. Feedback process for service and performance reviews The wording of Evidence 3.1 and 3.2 has changed to increase accountability and to ensure action is taken where appropriate: Evidence 3.1 - Results of independent reviews are fed back to the Management Committee or Board of Trustees. Evidence 3.2 - Results of independent reviews of samples of work are fed back to the individual by the supervisor. Excellent work! RETURN TO MAIN MENU
- 36. So what’s changed? E4 is a NEW Requirement : All advisers must have access to appropriate support and supervision E4.1 - New Evidence – Organisations must: Have in place a system of supervision available to all advisers and Caseworkers E4.2 - New Evidence - All staff must be aware of the arrangements for supervision and how to access this E4.2 - New Evidence - All staff must record on case file when supervision has been sought and the outcome of any discussions Supervision Rota Advisor Date Time Pat 3.2.17 2.00 Jay 4.2.17 10.00 Sam 5.2.17 12.00 RETURN TO MAIN MENU
- 37. So what’s changed? F: Clients using a service that holds the Advice Quality Standard are entitled to receive advice and information relevant to their needs. F1.4 - New Evidence – Clients should be informed of and consulted about any potential costs from any opposing party they may become liable for as a result of any action the organisation undertakes on their behalf, before any costs are incurred. RETURN TO MAIN MENU
- 38. So what’s changed? F1.5 - New emphasis regarding pending actions: Where action cannot be taken immediately, e.g. when a client is awaiting a decision regarding an appeal, systems should be in place to ensure action is taken in the future. The procedures must address potential time restrictions, limitations or deadlines. F1.8 - New Evidence – You must have procedures to identify when information must be confirmed to clients in writing. As a minimum, your clients should receive a clear written record of advice where an organisation is taking legal proceedings on behalf of the client before these have commenced. F1.9 - NEW Evidence - includes requirement for service standards document You should inform clients of what they can expect of the service and this should be set out in a service standards document. RETURN TO MAIN MENU
- 39. So what’s changed? F2 - Client charges are transparent and explained at the outset Where a charge is involved, this must be pointed out at the outset, before any costs are incurred, to enable the client to go elsewhere if necessary. The only changes are to the ordering of the evidence F2.1- F2.3 RETURN TO MAIN MENU
- 40. So what’s changed? F3 - Clients are entitled to confidentiality, privacy and fair treatment. To maintain the confidence of clients, it is essential that services be provided in a private, confidential and fair manner F3.1 – New Evidence – You must ensure that client information is treated confidentially. When client information needs to be given to a third party, client consent must first be given. F3.2 – Evidence broadened to include client privacy across all communication media - You must have arrangements in place to ensure privacy in meeting or contact with clients where required. This must cover face-to-face meetings, telephone contact, Skype and webchat facilities. RETURN TO MAIN MENU
- 41. So what’s changed? F4 - Quality is maintained where part of the service is delivered by an external provider Services provided by others are part of the overall service provided to the client. It is, therefore, important that the quality of that service is monitored. F4.3 – Wording changed to clarify requirements re external providers: You must ensure that any service provided externally is monitored and recorded. RETURN TO MAIN MENU
- 42. So what’s changed? G1. There is a clear complaints process in operation. If a person is unhappy with the service they received they may want to complain, formally or informally. They might tell you directly, ask to see someone more senior or they may want to write. Complaints are important as they tell you how well the service meets people’s expectations, and can provide information to help you to improve the service. RETURN TO MAIN MENU
- 43. So what’s changed? G1.1 – Extended Evidence You must have a clear procedure or policy in place for identifying and dealing with complaints, which addresses the stages, timelines, who should be involved and potential outcomes, who to complain to, who has overall responsibility for the complaints process, and how complaints may be escalated. This must be clearly communicated to clients and other stakeholders. G1.2 - Strengthens requirement for monitoring quality: You must keep a central record of complaints made and how they were resolved. This must be reviewed on a regular basis to support staff training and development. G1.3 – Extended Evidence G1.3 You must inform your governing body of the number and nature of complaints received and their outcomes, on a regular basis. RETURN TO MAIN MENU
- 44. This is the end of the summary of changes made to Version 2 of the Advice Quality Standards. We hope you have found it useful, BUT, it is important that you read the new AQSv2 in full to be sure you are aware of all the requirements RETURN TO MAIN MENU