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The Advice Quality Standard

v.1 December 2013

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Contents Page

Summary and Introduction 3

1. The Advice Quality Standard 4

1.1 The Standard 4

1.2 Essential Elements to the Advice Quality Standard 4

1.3 Levels of the Advice Quality Standard

1.4 Advice Quality Standard Logo 4

1.5 Structure 4

2. About the Advice Quality Standard 5

2.1 Introduction 5

2.2 Contents of the Advice Quality Standard and Definitions 5

2.3 – 2.7 Contents of the Telephone Requirements and Definitions 6

3. The Quality Framework 7

Telephone Requirements 49

4. Annex A: Casework Definitions 70

5. Annex B: Supervisor Standards for the Advice 117

Appendix C: Logo Guidance 119

Appendix D: Advice Quality Standard Agreement 120

Glossary of Terms 122

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Summary and Introduction

1. This document defines the Advice Quality Standard Individual quality criteria and

requirements are detailed in Section 3. Applications for the Advice Quality Standard are

invited from any legal advice service able to fulfil the requirements of the standard.

2. The Advice Quality Standard is owned by the Advice Services Alliance. The Advice

Services Alliance is the umbrella body for independent advice services in the UK. Our

members are national networks of not-for-profit organisations providing advice and help on

the law, access to services and related issues.

3. The Advice Quality Standard can be applied to any legal service operating at the

Generalist level, including those receiving funding from sources such as charities, local

authorities, or other public funding. An advice service is defined as one that is able to

provide basic initial legal advice in most areas of law; an Advice with Casework Level

service is also able to provide clients with ongoing help with their problem, for example

corresponding with third parties on the client’s behalf. The Advice Quality Standard is

primarily an organisational standard, designed to ensure legal advice organisations are well

run and provide good client care. The Advice Quality Standard gives assurance regarding

quality of advice by means of several proxies which, whilst not direct measures of quality

are fundamental to reliable delivery of a quality service. Key requirements include

training, supervision and file review.

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1 The Advice Quality Standard

1.1 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.

1.2 There are three essential elements to the scheme:

The specification of standards of quality assurance;

The independent audit of the standard to ensure that standards are being achieved and

maintained;

Continuous improvement in the service offered by suppliers of legal services to their

clients.

1.3 Advice Level and Advice with Casework Level of the standard are described in this

document.

Advice Quality Standard Logo

1.4 Holders of the Advice Quality Standard may use the Advice Quality Standard logo, in

accordance with the associated guidance, which is published separately.

1.5 Structure

The standards cover seven key quality areas

known as the Quality Framework:

Access to Service:

This covers planning the service, making

others aware of the service and non-

discrimination.

Seamless Service: This covers signposting and referral to

other agencies.

Running the Organisation: This covers the roles and responsibilities

of key staff and financial management.

People Management: This covers equal opportunities for staff,

training and development, supervisors

and supervision and casework criteria.

Running the Service: This covers client information and case

management, independent review of

files and feedback to advisers.

Meeting Clients’ Needs: This covers information to clients,

confidentiality, privacy and fair

treatment and maintaining quality

where someone else delivers part of the

service.

Commitment to Quality: This covers complaints, other user

feedback and maintaining quality

procedures.

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2. About the Advice Quality Standard

2.1 Providers need to apply for the Advice Quality Standard at the level that best fits

their service. These are defined below:

Advice Level

2.2 The Advice Quality Standard defines General Help as services that provide the

following:

Diagnosing clients’ problems.

Giving information and explaining options.

Identifying further action the client can take.

Giving basic assistance, e.g. filling in basic forms, contacting third parties to

seek information.

This will generally be done in one interview although there may be some follow-up

work. The client then retains responsibility for further action.

Advice with Casework Level

2.3 The service may also be providing a casework service, i.e. taking action on behalf

of clients in order to move the case on. This may include negotiation and advocacy

on the client’s behalf to third parties on the telephone, by letter or face-to-face.

By definition, most cases will involve follow-up work with the service provider

retaining responsibility for this.

2.4 The current casework categories are split into subject and client based case

categories as follows:

Subject Based

Consumer / General Contract

Debt

Employment

Health and Community Care

Housing

Immigration / Nationality

Welfare Benefits

Client Based

Asylum Seekers and Refugees Casework

Disability Casework

Older People Casework

Racial Discrimination and Racial Harassment Casework

Students Casework

Women Casework

Young People Casework

Detailed definitions of the individual Casework categories are provided in Annex A.

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Telephone requirements

2.5 Organisations that provide, by telephone, legal advice or services as a part or all of

its work at either Advice Level or Advice with Casework Level can be audited against

additional telephone standards to be awarded the Advice Quality Standard with

telephone.

2.6 The requirements of the telephone level should be read in conjunction with both the

Advice Level or Advice with Casework Level requirements. The evidence for certain

aspects of the service will be different from evidence that is required for face- to-

face services

2.7 Examples of work under the scope of the telephone requirements are:

National, regional or local telephone help lines;

Organisations who offer an additional telephone services to their face-

to- face service;

Organisations who provide a service solely by the telephone.

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Section 3: The Quality Framework

3.1 The Advice Quality Standard for Advice Level or Advice with Casework Level of

service were developed from a basic framework, with the Telephone level subsequently

being developed along similar lines. There are seven areas within the framework that are

translated into each standard.

QUALITY FRAMEWORK

A. ACCESS TO SERVICE The aim of the Advice Quality Standard is to

improve access to legal services and to base the

delivery of services on local needs and priorities.

Members of the Advice Quality Standard should be

aware of the environment in which they operate

and develop their services to meet the needs of

their community.

B. SEAMLESS SERVICE Where a member of the Advice Quality Standard

cannot provide the particular service needed by the

client, they must inform the client and direct them

to an alternative service provider, where available.

C. RUNNING THE

ORGANISATION

Members of the Advice Quality Standard must have

structures and procedures that ensure effective

management of the organisation and its resources.

D. PEOPLE MANAGEMENT Members of the Advice Quality Standard must

ensure that staff possess or acquire the skills and

knowledge required for meeting the clients’ needs.

E. RUNNING THE SERVICE Members of the Advice Quality Standard must have

processes and procedures that ensure an effective

and efficient service to their clients.

F. MEETING CLIENTS’

NEEDS

Clients using a Advice Quality Standard provider are

entitled to receive advice and information relevant

to their needs.

G. COMMITMENT TO

QUALITY

All members of the Advice Quality Standard are

committed to improving the quality of their service.

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Advice Quality Standard

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Advice Level

A. ACCESS TO SERVICE The aim of the Advice Quality Standard is to improve access

to legal services and to base the delivery of services on

local needs and priorities. Members of the Advice Quality

Standard should be aware of the environment in which they

operate and develop their services to meet the needs of

their community.

Requirement A1 The service should be appropriate to the needs of the local

/ target community.

Purpose: To meet this you will need to show that the service knows about the

problems and information needs that members of the local community face

(in terms of problems they meet every day, where they may need legal

advice).

Evidence:

A1.1 A written strategy that sets out the key objectives or core values and

principles of the service provider and what it aims to achieve, in detail for

the following 12 months and, in outline, for a further two years ahead.

A1.2 The plan should identify;

The type and level of services provided, including casework if

offered (e.g. how many caseworkers / how many hours of casework

and in which subject areas, or the name of the casework supervisor

and how the services will be provided).

The skills and resources necessary to deliver the strategy.

The service strategy should be reviewed at least every 12 months in the

light of the composition and needs of the local community. The annual plan

should be reviewed quarterly. The reviews should wherever possible be

based on evidence to evaluate performance against objectives.

Organisations applying for the Advice Quality with telephone standard

will be required to meet the additional requirements for A1.2 (Page 45)

Guidance:

A1.1 Planning is one of the cornerstones of effective service provision. The

strategy or plan should be “alive” and easily understood by staff at all

levels in the organisation. It should be relevant to the objectives agreed

for the individual organisation and take into account the needs of the local

community in terms of how they access the service in its broadest sense.

(cont’d)

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Guidance (cont’d)

(A1.1 cont’d)

The plan is essentially an expression of the organisation’s service strategy

and as such should contain explicit statements of intent.

The plan should include the following headings:

Community profile and needs.

Client groups to be served.

Service aims and objectives.

Main types of service delivery e.g. main areas of work, appointments

and opening hours.

Proposed enhanced and new services.

A marketing or promotional plan which targets potential service users

and relevant organisations appropriately with key information.

Approaches to service delivery e.g. outreach service.

Funding strategy: opportunities for expansion through new sources of

funding e.g. training, administration support, information technology

and accommodation.

Ensuring Equal Opportunities.

If the level of service offered includes casework, the plan should

identify the caseworkers carrying out the work including the specific

areas of casework or the name of the casework supervisor.

Physical Access.

Methods used for gaining feedback from service users for developing

the organisation

A1.2 The organisation should review its future plans for work alongside any

relevant local or national strategies which identify needs for particular

client groups or which relate to the provision of advice and legal services.

These strategies are crucial to organisational development and

opportunities. Keeping up to date with these strategies is likely to give an

early warning of changes in priorities that may impact on clients or service

users or on the provision of legal advice.

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Requirements A2 The community should be made aware of the service that

is being offered.

Purpose: If the service is to be of value, members of the community will need to

know what services are available locally.

Evidence:

A2.1

A2.2

The service provides details about the type of work they do to relevant

local service providers, funders and the public (including how they can be

accessed eg opening hours) and seeks their feedback on the service

Following certification, the Advice Quality Standard logo is displayed in

accordance with guidelines.

Organisations applying for the Advice Quality with telephone standard

will be required to meet the additional requirements for A2.1 & A2.2 (

page 46)

Guidance:

A2.1 Organisations may wish to incorporate this information into their strategy. (See

A1)

Requirements A3 Organisations must be committed to providing equality of

access to legal services for all clients.

Purpose: Legislation and good practice rely on services being delivered to members

of the community without discrimination, both at the point of service

delivery and in planning which services to deliver and how. Organisations

aimed at a particular target group must also practice signposting for clients

not in the target group.

Evidence:

A 3.1 An equal opportunities policy in effective operation that precludes

discrimination in selecting and dealing with clients in the target group.

A 3.2 Where organisational principles or charter only allow the service to be

offered to specific client groups, this should be reflected in the signposting

and referral procedures in B1.2.

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Advice Level

B. SEAMLESS SERVICE Where a holder of the Advice Quality Standard cannot

provide the particular service needed by the client, they

must inform the client and direct them to an alternative

service provider, where available.

Requirement B1 Clients should receive timely service from an appropriate

source either by signposting or referral.

Purpose: In order for individuals to receive the right advice at the earliest

opportunity, it is important that information (about the scope of services

and how they can be accessed) is available.

It is also important to monitor the use of the service, as this will help to

make improvements and refinements as well as providing accurate

information about the need for different types of service.

Evidence:

B1.1

B1.2

The service provider will need to describe clearly the service that it is

capable of delivering.

Where appointments are offered, the organisation should record client

attendance and use information on non-attendance for service improvement

B1.3 A procedure and process(es) for conducting signposting and referral exist

and are in effective operation and staff must be able to demonstrate how

they identify when to signpost or refer.

B1.4 Records of referrals are maintained (including records of all instances where

no suitable service provider could be found), and reviewed at least annually.

B1.5 Records of all instances where no suitable service provider was found when

the need for signposting or referral was identified. This information is made

available on reasonable request to the auditor.

B1.6 For signposting, your procedure must confirm that, as a minimum, you will

signpost any individual whom your organisation is unable to help.

B1.7 For referrals, your procedure must include, as a minimum, the practical

steps to be taken to identify appropriate service providers, including giving

first consideration to Advice Quality Standard holders, and the

circumstances in which use of a service without the Advice Quality Standard

might be appropriate.

B1.8 Access to the Advice Quality Standard Directory is available, and there is a

process to ensure that details about alternative service providers are kept

up to date

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B1.9 When signposting or referral to an external service provider is used, the

client is told what role your organisation will take and they know what

service to expect at the new service provider.

See change to note in earlier sections

Evidence:

B1.10 A means of recording feedback on the services provided by the

organisation to which clients have been referred or signposted and, on

reasonable request, to provide this information to the auditor

B1.11 Discussion with the client, where relevant, of the cost implications of them

being signposted or referred elsewhere. This discussion is subsequently

noted on the file.

B1.12 Information about advice or assistance already given (and any relevant

documentation) is forwarded to the new service provider.

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Guidance:

The referral and signposting process is paramount in maintaining a seamless service of

legal providers in the community, hence the importance of operating a robust referral

and signposting system. The policy should include guidance as to when the advisers /

caseworkers are expected to signpost and the circumstances when referral may be more

appropriate (e.g., service has undertaken a significant amount of work, information

needs to be passed on, they are unsure about whether the second agency can accept

new clients etc.).

The need for signposting will usually arise when the individual first provides information

about the type of legal problem they have and you realise they require a service that

your organisation cannot provide. Although it is not a requirement for you to decide

which alternative provider they should see, or to offer assistance in making

arrangements for them, you are likely to consider this appropriate in certain

circumstances. You should at least offer to guide clients through the list of holders,

provide a list of local organisations that you have produced by area of law, provide your

own recommendation (as long as Advice Quality Standard holders are identified and/or

given preference) or provide web address of the Advice Quality Standard directory. This

can be achieved in a variety of ways including use of Advice Quality Standard publicity

materials or inclusion within own publicity materials.

The need for referral arises only where you have established client relationship in a

current matter. Good referral practice means that you will usually identify the need for,

and make, a referral before you reach the point where you cannot offer further help. In

the case of referrals (unlike signposting), you are expected to make arrangements for

the client to see someone from the new organisation.

It is important that an organisation not only operates the referral and signposting

mechanism correctly but also is able to identify when the adviser has reached the limit

of their experience, knowledge or competence. Referral or signposting can be internal

to a more experienced adviser prior to referring or signposting externally. The ability to

understand the competence of an individual is a key skill required of the supervisor. The

audit process will look carefully for evidence that the point of referral or signposting has

been correctly assessed.

Records for all referrals should identify the client or case, who made the referral, the

matter type, to whom the client was referred (justifying the selection of any service that

does not hold an Advice Quality Standard and the reason for the referral (e.g. related to

the scope of the matter type, to case capacity or to the limits of the adviser’s

competence). Records should be kept every time a suitable service provider could not

be found when the need for a referral had been identified, and these records include the

subject matter and what (if anything) was done to progress the client’s case further.

Organisations needing to use referral or signposting must be confident that the client will

receive a quality service from the new provider. This is a key aspect of the Advice

Quality Standard. The list of Advice Quality Standard holders details all local Advice

Quality Standard holders and they would normally be the first choice when selecting

suitable services. Where no Advice Quality Standard holders exist, other providers may

be used but organisations should ensure they are justified in using them. Evidence of

other quality standards or a record of recent good service would be satisfactory.

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Guidance Continued:

The list of providers should contain correct information about your organisation (or steps

should have been taken to correct errors). You will have to demonstrate that you have

access to current details (i.e. telephone number(s), type(s) of service offered, opening

times, charging information, languages offered and disabled access availability) for any

alternative service providers used (i.e. ones not in the Directory).

There should be a procedure for recording feedback on the services provided by external

referral organisations, which you may need to provide to the auditor on reasonable

request. As a minimum you should ask the client to return to your service should there

be any problems and have a mechanism for recording this feedback. We recommend

that you also undertake monitoring exercises on the quality of agencies to which you

have signposted or referred clients.

The purpose of monitoring is for the organisation to ensure that signposting and referrals

are made at the level of adviser’s competence, to an appropriate organisation and

according to the needs of the client. This is best achieved by maintaining records of

referrals / signposting including to whom and the subject area. The detailed monitoring

can be carried out periodically (for example 1 month in every 6). These records can also

be used to record any client feedback and identify trends for the review of service. The

organisation will need to prove evidence of the monitoring exercise to the auditor.

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Advice Level

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.

Requirement C1 Legal service providers have a clear management structure

that identifies the roles and responsibilities of individuals in

the delivery of the service.

Purpose: It is important to the delivery of all quality services that members of staff

know the limits of their own abilities and role and where to turn for help if

faced with a problem that is beyond them.

Evidence:

C1.1 A clear written description of how the service is organised.

C1.2 The decision-making structure is defined in writing together with an

identification of key personnel and their areas of responsibility, including

the person who has ultimate responsibility for ensuring the organisation

meets the overall Advice Quality Standard.

C1.3 Where a Management Committee runs an organisation, the committee needs

to demonstrate independence, funding bodies remain a minority within the

committee membership, the governing document is detailed and the

relationship between the committee and those running the organisation is

made clear.

C1.4 Organisations are members of recognised representative bodies. Where the

service provider is not affiliated, the auditor may consider whether they are

appropriate to be a holder of the Advice Quality Standard.

Guidance:

Roles of individuals responsible for making decisions within the organisation need to be

defined. The description of an organisation’s structure might be in the form of a

diagram / family tree but must be contained in a written document accessible to all

staff. Where a management committee is involved in running the organisation, the

decision-making process is identified from its written constitution together with the

definition of its role, quorum and terms of reference. Up to date lists of members need

to be kept together with an identification of their roles and responsibilities.

Organisations are therefore asked to belong to recognised bodies that have agreed

national practices for dealing with serious misdemeanours. All practising solicitors are

subject to regulation by the Solicitors Regulatory Authority. Most advice services are

members of recognised national bodies.

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Guidance Continued

Where an applicant is truly independent and is not affiliated to a national legal service

body, the auditor will discuss the organisation with the Solicitors Regulation Authority

and the Advice Services Alliance in order to determine its suitability for the Advice

Quality Standard.

The auditor will take into account relevant information disclosed during the process

about the service and individuals working within it in determining whether or not an

organisation is suitable to become or remain an Advice Quality Standard holder. Where

records for individuals show that they need supervision, this will be tested at audit.

Requirement C2 Legal service providers ensure availability of resources to

provide the service when and where it is needed.

Purpose: It is essential that quality services make best use of limited resources.

Evidence:

C2.1 Those responsible for running the organisation review levels of service

performance against the service strategy every 12 months.

As above

C2.2

C2.3

The organisation should monitor the take up of services including

attendance/non-attendance by clients in order to ensure effective use of

resources available.

Subsequent decisions about service capacity are reviewed to reflect

available resources.

Guidance: See end of section C3

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Requirement C3 Service providers maintain effective financial control.

Purpose: It is important that organisations produce basic financial information and

monitor this information regularly. This will ensure that an organisation’s

limited resources are managed and aids financial stability and viability and

assists with longer term planning.

Evidence:

C3.1 Financial management is exercised in line with agreed statements of

financial policies, procedures and authorities relevant to the organisation.

C3.2 Evidence of financial review by an independent source must be given.

C3.3 Organisations use financial information to assist in reviewing the provision

of services.

C3.4

C3.5

C3.6

Current professional indemnity insurance exists in accordance with section

37 of the Solicitor’s Act 1974. Non-solicitor organisations must be insured

to the minimum amount required by the relevant association.

Organisations, which are not members of a recognised association, should

be insured for not less than £250,000. Statutory bodies may have other

arrangements.

Organisations will have produced the following documentation and shown

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

Organisations will have carried out an annual risk assessment, clearly

identifying all key known risks and what mitigating actions will be taken

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Guidance C2 & C3:

Cost control has always been particularly important in the advice sector where funding is

limited and often uncertain but with the objective of obtaining best value. The standard

does not seek to impose anything other than financial prudence. Services will have a

variety of financial reports; the most appropriate will depend upon the nature of the

organisation and the range and focus of their provision.

Organisations are required to have policies in relation to finances. This may specify

what their resources will be used to provide. Financial procedures would normally

include the production of a budget that looks at income and expenditure. Some funders

may specify reports identifying how funding has been utilised. These would need to be

reflected. It is usual to have someone within the organisation with overall financial

responsibility. Some individuals may have authority to deal with certain levels of

expenditure; these need to be clearly described.

Financial year-end reports need to be prepared. The reports should then be reviewed by

an independent source. Organisations that are registered charities will need these to be

audited. Auditors will seek evidence of the review. Financial information should be

reviewed regularly in order to be confident of the continuing stability of the

organisation. This information should feed into the annual review of service

performance. Decisions can then be taken about what changes (if any) need to be made

to the service strategy given the existing financial position. It may be that an increased

amount of funding is available and as a result, services may be able to expand. Where

there are fewer resources available the service will need to decide where they are

focused.

All organisations should undertake a risk assessment at least on an annual basis. Charities

will have to undertake this exercise as part of their governance arrangements, but other

organisations should also show evidence on having engaged with this process.

Management committees and/or Boards of Trustees should be engaged in the process and

in particular identifying what actions will be taken to mitigate risks identified. A regular

review of the risk analysis will identify if these actions have been successful.

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General Help

D. PEOPLE

MANAGEMENT

Holders of the Advice Quality Standard must ensure that

staff possess or develop the skills and knowledge required

to meet the clients’ needs.

Requirement D1 A clear commitment to equal opportunities and the fair

treatment of all staff.

Purpose: To ensure that staff are not discriminated against in terms of race, gender,

religion, disability or sexual orientation.

Evidence:

D1.1 An equal opportunities policy in effective operation that precludes

discrimination in the selection recruitment and treatment of staff.

D1.2 Open recruitment processes that evaluate skills, knowledge and experience

of those applying for posts.

Guidance:

The recruitment procedure should be designed to ensure that:

Recruitment is fair and effective, with no discrimination, except as

allowed within current legislation.

Advertising, whether internal or external, reflects the job and person

description.

Interviewing is conducted consistently.

Documentation is retained to provide feedback to candidates and is

available for audit. Interview or assessment notes for all short-listed

candidates (whether recruited or not) should be kept for not less than 12

months.

Organisations may have disciplinary processes. These need to be open and available to

all staff.

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Requirement D2

Training and development opportunities are provided for

all staff and volunteers who work within the service

including management of the organisation.

Purpose: If a service is to be used to its potential, attention needs to be given to

staff knowledge and skills, including issues of customer care in the service

they deliver.

Evidence:

D2.1 Induction procedures for people who join the organisation.

D2.2 Systems for review / feedback on personal performance to be undertaken at

least annually and recorded.

D2.3 Training and development plans to support the needs of the service,

reviewed annually.

As above

D2.4 All training to be recorded on training records.

Guidance:

The core induction process will generally be consistent across the various job types

within the organisation and should include all volunteers, paid staff, management

committee and/or trustees where applicable. Where specific employees need an

individual approach this should be documented on file where appropriate. Any new

adviser recruited to undertake legal work should have an understanding of core

procedures.

Many organisations already have appraisal systems in place. Whatever feedback or

appraisal system is adopted, consider whether the system is:

Appropriate for the type of organisation; too formal in a small

organisation, or too informal in a large one will lead to difficulties;

Able to relate the performance of the individual to the needs of the

service;

A two way communication process to facilitate feedback from staff;

Able to identify training needs as well as set objectives.

Individual training and development plans should be prepared for all members of staff

and the information in them should follow from issues identified at the appraisal.

Training records need to be kept for all members of staff and should include records of

informal and formal training. Where relevant professional competencies apply, evidence

of meeting these should be recorded (for example MAS competencies). Training records

should be reviewed annually for individuals but also collated in order to provide

feedback to management.

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Requirement D3 Procedures to ensure clients get advice from the most

appropriate source taking account of the knowledge and

skills of staff.

Purpose: Another key need for clients is to have confidence in the ability of the

person who deals with their problem or enquiry.

Evidence:

D3.1 All staff are aware of their responsibilities. These may be documented in

job descriptions.

D3.2 Procedures to match the skills and competencies of all members of staff to

the roles they need to fulfil.

D3.3 All staff are aware of the need to inform the supervisor if the case is beyond

their competence.

D3.4 Ready access to relevant legal reference material as documented by service

providers and a method of regular updating.

D3.5 Process for giving timely information to relevant staff about changes in the

law pertinent to their service delivery.

Guidance:

The supervisor will have an understanding of the abilities of advisers / caseworkers

within the organisation. Cases and enquiries need to be matched to the capabilities and

workloads of advisers. Supervisors will be asked to identify how this process is

undertaken.

The abilities and experience of each individual needs to be borne in mind when

identifying how the member of staff needs to be supervised. It is for the supervisor to

assess the competence of individuals using various tools such as induction, training and

appraisal processes (see D2). Frequent, formal discussion may be appropriate for those

who have little experience. It may be necessary to have all incoming and outgoing post

reviewed. For experienced advisers, a less formal approach may be warranted.

Organisations will need to identify what approach they have taken and with whom. This

will need to be set out in a manner that allows everyone involved to understand how it

works in practice.

Clear job descriptions will assist in identifying responsibilities for individuals together

with an understanding of the skills needed to deliver each of the roles.

The referral process is a key part of the Advice Quality Standard. Clients should be

advised to the level of the organisation’s competence and not beyond. Supervisors must

ensure that advisers only assist clients to their individual level of competence,

experience and skill. This requires supervisors to be familiar with individual advisers /

caseworkers’ abilities, to regularly review the advice given and to check that referrals

have been made correctly.

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Requirement D4 Processes to underpin the delivery of quality work for the

client.

Purpose: To ensure overall quality control of the work done by an organisation. This

can best be achieved by advisers having access to a suitably experienced

person, who can provide guidance and manage the conduct of advisers.

Evidence:

D4.1 Organisations identify at least one person responsible for supervising

individuals that work with clients. The supervisor must have:

At least two years’ recent and ongoing experience (either by

undertaking advice themselves or involvement in others’ cases).

Have experience of managing advisers.

Demonstrate how they have maintained their knowledge of legal

changes and practice.

Be accessible to those working within the organisation.

As above

D4.2 Where there is more than one person identified as the supervisor there must

be at least one person ultimately responsible for meeting the requirement

of the standard. This may be one of the supervisors or the manager of the

service (see C1.2)

D4.3 A method of allocating cases / enquiries to advisers / caseworkers according

to their abilities.

As above

D4.4 A supervision system that is tailored to the skills of the individual.

27

Guidance:

The role of the supervisor is to provide appropriate guidance and assistance to the

supervised personnel in the delivery of a quality legal service. The supervisor need not

hold a formal legal qualification but will need to comply with the requirements set out at

D4.1. The supervisor acts as a resource for supporting advisers, although they do not

need to have detailed knowledge themselves of each area of work delivered by the

service given the diversity of work offered by generalist providers.

Recent experience is defined as two years in the last four. Where there is a gap of over

12 months it will be necessary for the supervisor to demonstrate how they have brought

their knowledge up to date.

Supervisors need to maintain their own caseload or demonstrate an involvement in cases

that other advisers are responsible for. Experience has shown that this continuing

practical involvement is necessary for supervisors to retain knowledge about best

practice. Their involvement would primarily be focused on cases where advisers seek

assistance or guidance.

Supervisors managing the delivery of the service by advisers need experience of

supervising staff, unless they are the sole provider. This experience may be

supplemented by attendance on management or supervision courses and by mentoring

from other individuals (possibly outside of the organisation).

‘Accessibility’ to a supervisor is key to making arrangements work. Occasions where the

supervisor is not in attendance at the office need to be catered for i.e. where the

supervisor is not full time or it is not practical or necessary for them to attend the office

every day.

Where a supervisor leaves, the organisation will need to demonstrate, at the next

periodic audit, that arrangements to appoint a suitably qualified replacement had been

made as quickly as possible (either by way of recruitment or by training). In the interim,

temporary arrangements need to be put in place with someone that possesses as many of

the attributes of a supervisor as possible.

28

Requirement D5 Client cases are dealt with by competent staff.

Purpose: Where the service undertakes casework on behalf of clients (defined as

taking action on a client’s behalf including negotiation and advocacy) it is

essential that the work be carried out by someone with relevant

competence.

Evidence: Only for Advice with Casework level

D5.1 Organisations identify the individual caseworkers undertaking casework in

their service strategy and:

Demonstrate that at least one of the identified caseworkers spends

at least 12 hours per week and any other identified caseworkers

spend at least 6 hours per week each dealing with cases falling

within the relevant casework category.

Demonstrate that the caseworkers (either individually or together)

have undertaken casework across the specified range of subjects

within the relevant casework category within the last calendar year

and subsequently every 12 months

As above

OR

D5.2 Organisations identify a casework supervisor who meets the required

criteria. These are designed to:

Demonstrate previous experience in the casework category. See

Annex A

Demonstrate availability to supervise caseworkers.

Demonstrate continued involvement in on-going casework.

As above

29

Guidance.

It is a key requirement for any client accessing a casework service that the advice they

receive is correct and is most appropriate to their problem and circumstances. This is

most likely to be achieved where caseworkers have a specified depth and breadth of

experience, or competence. Organisations applying for the Advice with Casework level

will therefore need to demonstrate that their caseworkers are competent to undertake

casework in the relevant category (ies) of work.

It is also important that within the casework categories, a minimum range of casework

can be undertaken by the service. This improves access for clients and reduces the need

for referrals.

Casework is taking action on behalf of clients. This is likely to include

negotiation and advocacy on the client’s behalf to third parties on the

telephone, by letter or face-to-face.

Casework involves putting the client’s case to a third party in order to

move the case on. This will often involve getting them to make or to

change a decision in the client’s favour.

Third parties may include central or local government departments,

housing associations, employers, people to whom the client owes money,

tribunals and courts.

Most cases will involve follow-up work, although occasionally it may take

place in the interview.

The provider is likely to retain responsibility for further action.

Not included are: very simple form-filling, or writing letters or making telephone calls

on behalf of users or purely to seek information.

Casework categories are defined in Annex A where details are provided about both the

scope of case types falling into each category and the minimum range of cases that must

be undertaken by the service as a whole.

Organisations providing a casework service (as defined by the requirements above) will

usually concentrate on cases within a specific area of law (e.g. Housing casework).

Where the service is established to support a particular client group they may

concentrate on cases that relate to the types of problems for clients in that particular

target group (e.g. Disability casework). The casework categories have been developed

to reflect these different approaches.

A certain amount of experience in a specified range of cases will be just one of the

measures used to demonstrate the competence of individual caseworkers. Supervisors

will also need to have regard to the requirements that relate to training and

development of individuals with regard to their casework skills. This provides a cross-

reference to the requirement to provide a seamless service as it is also clearly important

that caseworkers understand the limits of their competence and provide signposting or

make referrals wherever appropriate.

Casework supervisor requirements are fully detailed in Annex A.

As above

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31

Advice level

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.

Requirement E1 Client information and case files are well organised.

Purpose: In order to access information quickly and easily, it is important that

records are stored in an organised way.

Evidence:

E1.1 Access to client records for audit purposes.

E1.2 Systems are in place to locate the client’s information record / case file

and to trace all relevant documents (which should be retained for a

minimum period of six years.

E1.3 Procedures to identify and deal with any conflict of interest in acting for a

client.

E1.4 A description of what the provider considers to be key dates and a diary

system for dealing with them.

E1.5 Systems for case files / information records to be orderly and progress on

case files / information records to be clear to any other caseworker.

E1.6 There must be a written record of the advice the client has received on the

case file / information record.

As above

E1.7

E1.8

E1.9

Organisations collect and make available data reasonably required by the

Advice Services Alliance in assessing the performance of Advice Quality

Standard.

Procedures are in place to ensure clients know of their right to see the

information held on them and how they go about obtaining this.

Organisation has a clear file destruction policy which is acted on

systematically.

32

Guidance:

E1.1 In order to show the organisation meets the standard, auditors will require

access to client records. This can either be access to filing cabinets or

provision of file lists. The lists can be hand written or computerised but must

contain the names or other means of identification of every client who is

currently still receiving or has received help. It should be clear from the list

whether the file is ongoing or closed. Files can be selected from filing

cabinets but it will be necessary to ensure that they are segregated into open

/ closed records and each year clearly distinguishable. Clients need to be

made aware that it is possible their file may be audited. Clients need to be

made aware that they have the right to see their file and the process for

doing this (including redaction) and that it is possible their file may be

audited.

E1.2. How information on the file is set out will be entirely decided by the service

provider. Having set out how records and files should be maintained it is then

a matter of getting that practice adopted within the organisation. The

process for opening files / records for clients may vary according to the

nature of the client’s problem. The key thing is to be able to locate the

whereabouts of all relevant information about a client.

E1.3 Procedures for identifying conflict of interest should allow for identification

to take place as early as possible. They should clearly describe how the

process is undertaken and who is responsible for doing it. As a minimum the

organisation should have a written procedure to deal with the following:

Acting for both sides in a dispute.

The client is presenting a case that involves a member of the

organisation staff or management committee.

The client is presenting a case that the adviser or other member of

staff knows is based on false information.

The client’s case involves or potentially involves undertaking action

against the organisation or a funder.

E1.4 The decision as to what constitutes a key date within an organisation will be

influenced by the service that is provided. Advisers within the organisation

are expected to share a common understanding of what constitutes a key date

e.g. court date, tribunal hearing and how it should be recorded.

33

E1.5 Keeping clear and orderly case records is important for a number of reasons:

It ensures that the agency holds relevant information on clients

so that they do not need to keep repeating details of their case.

Clients themselves often do not keep records and it allows them

to access information they might need.

To allow other advisers to easily understand the progress on a

case if they need to undertake some work or respond to an

enquiry from a client or deal with a third party.

To provide evidence to back up a client’s case where there is a

dispute with a third party about facts (e.g. lost

correspondence, previous discussions, dates etc.).

To be used as part of supervision with advisers, to discuss the

progression of cases and to identify training and development

needs.

To demonstrate that organisational policies are being followed

and that clients are getting a consistent service.

As evidence where there has been a complaint against the

service.

To identify conflicts of interest.

For clarity it is helpful to develop a standard form for case recording.

Case records should identify:

Client details. We recommend that name and address are kept

as a minimum, however even where the client does not wish

these to be recorded, a case record should be kept.

The date and the adviser who dealt with the enquiry. You may

also want to use codes to identify the type of contact, e.g.

face-to-face interview, letter, telephone call, home visit etc.

Details of the enquiry and what the client would like to be done

about the problem. Where there is more than one enquiry

these should be recorded separately.

Advice given and action taken, including signposting or referrals

internally or to external organisations. Copies of relevant

documents e.g. application forms, letters.

Follow up work agreed, who will do it and any key dates.

Subsequent contacts with the client and third parties should all

be recorded on the file in a similar format to the first enquiry.

Cont…

34

Case notes should contain all the relevant information, but should not be

overlong as this may make the files difficult to review. The notes may refer

to attached documents, e.g. letters to the client, where the relevant

information is contained within them.

You will also need to decide how to incorporate monitoring requirements set

down by your funders e.g. clients’ ethnicity, gender, postcode or borough,

time records and so on.

You will also need to decide how to incorporate monitoring requirements set

down by your funders e.g. clients ethnicity, gender, postcode or borough,

time records and so on.

You should ensure that all advisers are made aware of your case recording

policy.

E1.6 Services will determine for themselves the circumstances in which it is

necessary for a client to receive written information. Where letters have not

been sent to the client, there must be some other way of substantiating the

information that the client has received.

E1.7 With the development of the Advice Quality Standard, it is anticipated that

information such as the numbers and demographic profile of clients accessing

services may be required from time to time in order to understand whether

the Advice Quality Standard delivers its objectives. Whilst there is no formal

framework that has been adopted for this purpose, holders of the Advice

Quality Standard will need to collect and make available such information as

is reasonably required. The determination and collation of the information

will be open to consultation with representatives from the lead professional

bodies.

35

Requirement E2 Independent review of quality of work and follow-up where

needed.

Purpose: An independent review enables organisations to test the quality of advice

and procedures to enable them to identify both strengths and weaknesses.

Evidence:

E2.1 Samples of work are independently reviewed to ensure the quality of legal

advice provided and adherence to service procedures.

E2.2 The number of cases and the frequency of review are described according

to each person’s experience and quality of work. This will need to be

justifiable to an auditor.

E2.3 A record of the review is retained on the case file and stored centrally.

E2.4 Systems are in place to ensure corrective action, identified at file review, is

done.

E2.5 Reviews are undertaken by supervisors or delegated to another experienced

person within the organisation.

Guidance:

36

Providers need to have simple systems that review a sample of work undertaken on

behalf of clients. The review is an independent check of a random sample of each

person’s work. It focuses on establishing whether the quality processes have been

followed by the adviser and if there are any problems in the way that the case is being

handled. In determining this, the reviewer should have best practice in mind in relation

to the area of work. As a quality control sample, it is very informative in identifying

those areas where the quality of advice needs to be improved and establishing

compliance with the organisation’s procedures.

The frequency with which the review needs to be undertaken and the number of files

looked at will be influenced by a number of factors including the experience and skills of

each individual, the number of clients that they see and the outcome from previous

reviews. There will not be a fixed requirement as to the number of files reviewed. This

will vary with each organisation and the individuals within the organisation and on what

other checks the organisation has on the advisers’ work such as checks built into advice

supervision, training and peer support. It is probably easier to specify a particular

number of files (e.g. three per worker every 2 months), but it could also be specified as

a percentage.

Organisations need to select a process that works for them having taken these factors

into account. The number and frequency can then be changed as the process evolves.

Auditors will want to understand how the decisions were arrived at and may, where they

are not satisfied, seek corrective action to increase the number or frequency of reviews.

Reviews do not have to be conducted only by the supervisor. They should, however, be

undertaken by a person who is able to recognise best practice and has an understanding

of how that applies to the area of work (i.e. a supervisor (see D4.1) or an experienced

caseworker). When supervisors delegate this task to someone else, there needs to be a

feedback process to ensure that the supervisor remains aware of the performance given

by individuals.

Records of reviews need to be collected centrally. Outcomes from reviews should be

included within the performance appraisal or feedback given to individuals.

37

Requirement E3 Feedback process for service and performance reviews.

Purpose: In order to continually improve the service to clients, regular feedback to

individuals is essential.

Evidence:

E3.1 Results of independent reviews are fed back to the individual by the

supervisor.

E3.2 A summary of information from reviews is used in giving feedback to

individuals within their appraisal. Where an individual performance is found

to consistently fall below the standard set by the organisation remedial

action is taken and recorded.

E3.3 Reviews of the central record are undertaken at least annually to identify

any potential organisational improvements.

E3.4 Results of the central record review are used to inform the review of

service performance undertaken every 12 months.

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39

Advice Level

F. MEETING CLIENTS’

NEEDS

Clients using a services that holds the Advice Quality

Standard are entitled to receive advice and information

relevant to their needs.

Requirement F1 Clients receive information and independent advice

relevant to their needs.

Purpose: How individuals choose to resolve legal problems will often depend not only

on the problem, but also on the circumstances and experiences of the

individual. An option suitable for one person will not therefore necessarily

suit another and this needs to be considered when giving information and

advice.

Evidence:

F1.1 Processes that ensure clients receive independent advice.

F1.2 Records show the client’s needs, any advice given and the actions to be

taken next and by whom. In all appropriate circumstances, client

authorisation must be clearly given and recorded.

F1.3 Clients are informed where the advice given includes action that the

organisation may not be able to undertake and the reason (e.g.

organisational competence and policies of funders). Where the reasons

include conflict with the policies of funders, or statutory duties, the

organisation will need to demonstrate that the advice given was

independent.

F1.4 Clients are informed of any potential costs from any opposing party they

may become liable for as a result of any action the organisation undertakes

on behalf of the client.

F1.5 Where action cannot be taken immediately systems are in place to ensure it

happens in the future.

F1.6 Systems ensure clients are kept informed about the progress of a case and,

in particular, any change in future action.

F1.7 Clients are informed of the outcome of their enquiry / case where it is

known and this is noted on the file.

40

F1.8

F1.9

F1.10

Procedures identify when information must be confirmed to clients in

writing. As a minimum, clients receive a clear written record of advice

where the agency is taking legal proceedings on behalf of the client and

these have commenced.

Clients are informed of their rights under the Data Protection Act to access

information held on them and of when such information will be destroyed.

Clients are informed of their expectations of the service including required

behaviour of clients.

Guidance:

The concept of the Advice Quality Standard is to ensure that clients are able to access

legal services based on local needs and priorities. The requirements in this section aim

to ensure that the client receives the help that they need in a way that is clearly

understandable to them. Procedures that deliver this help need not be complex but all

advisers will need to share a common understanding of how they work in practice.

Organisations are left to determine when written communication to the client will be

necessary and auditors will use this description when looking at the content of client

files.

Any progress made should be recorded on the case file/enquiry record and clients kept

informed of actions taken on their behalf. Clients should be provided with an

authorisation to act form or a written consent form in circumstances where the

organisation acts on the clients’ behalf.

Organisations should ensure that they provide each client with all the information they

need to know about how their case will be managed and what expectations the

organisation has of them. This could take the form of a leaflet, letter, verbal brief or

Client Charter.

41

Requirement F2 Costing structures are transparent and explained at the

outset.

Purpose: Where a charge is involved, this must be pointed out at the start before any

costs are incurred, to enable the client to go elsewhere if necessary.

Evidence:

F2.1 Where the client may have to pay the funder or the service provider, clear

information about the cost and pricing structure is given in writing at the

start of the case.

F2.2 Where clients have to bear the cost of the advice, or contribute towards it,

they are given clear cost updates, in writing whenever there is a change

from the last estimate and at least every six months.

F2.3 If a charge is made for a service, clients receive an explanation of the

charges and are told where they may be able to get the service free.

As above

Guidance:

Many general service providers do not pass any of the costs of meeting their client’s

needs on to the client. Where this is the case, the organisation should have this

principle enshrined in their financial policies referred to elsewhere. They will not need

to inform the client of the cost of any of the action. Where the client takes action or

defends proceedings they will need to be informed that there is a possibility (however

slight) that they may have to contribute towards the costs of the other side.

Where the client is asked to meet some of the costs of the action, information about the

potential costs must be given to the client at the start of the matter. It is accepted that

at the beginning of a case this information may best be given by supplying a range of

figures that the cost of the case is anticipated to fall between. As more information is

known, this range can then become more tailored to the situation of the particular

client.

42

Requirement F3 Clients are entitled to confidentiality, privacy and fair

treatment.

Purpose: To maintain the confidence of clients, it is essential that services be

provided in a private, confidential and fair manner.

Evidence:

F3.1 Client information is treated confidentially. Where access to information is

required to be given to a third party, clients know that this may happen.

F3.2 Arrangements should be made to ensure privacy in meeting with clients,

where required.

As above

Guidance:

The organisation should develop written policies and procedures for ensuring that client

information is treated in a confidential manner and which identifies situations where

they may breach confidentiality e.g. Prevention of Terrorism Act, child abuse,

prevention of harm etc. In these circumstances, the client should be informed of the

policy.

We do not seek to specify what facilities need to be available to clients but it is

important that clients can be seen in circumstances that provide for privacy.

43

Requirement F4 Quality is maintained where part of the service is delivered

by someone else.

Purpose: Services provided by others have an impact on the overall service provided

to the client. It is, therefore, important that the quality of that service is

monitored.

Evidence:

F4.1 Where part of the advice / case is done by someone outside the service

provider, they are selected using objective criteria, including the principles

of equal opportunity. The client will need to be advised, at the outset, if

they are going to be charged for this service.

F4.2 Clients know who will be doing the work and have a say in who that is, if

applicable.

F4.3 The service provided externally is evaluated and recorded.

Guidance:

This section applies to the situation where an organisation needs to use a third party to

undertake work on behalf of the client whilst still maintaining responsibility for the case

themselves.

Where a service provider needs to use an expert or agent they should be appointed on

the basis of selection criteria which should include:

Manner with client

Speed of response

Previous experience

Field of expertise

Reputation

Value for money

Organisations may wish to consider compiling a list of persons / service providers who

meet their requirements, particularly where the person / organisation is not a holder of

the Advice Quality Standard.

The organisation needs to have a system that evaluates the service that was received

and a method of recording the evaluation. This will include using the selection criteria.

A central record bringing the information together would be a useful method for ensuring

the evaluation is completed. These records would then assist in selecting the external

services that are needed.

The use of each expert or agent should be noted on the case file.

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45

General Help

G. COMMITMENT TO

QUALITY

All holders of the Advice Quality Standard are committed

to improving the quality of their service.

Requirement G1 There is a clear complaints process in operation.

Purpose: If a person is unhappy with the service they received they may want to

complain. 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 provides important information

that could improve the service.

Evidence:

G1.1 Procedures for identifying and dealing with complaints by clients.

As above

G1.2 Clients are informed who to complain to and who has overall responsibility

for the complaints process.

G1.3 Central records are kept of complaints made and how they were resolved.

Guidance:

Delivering a service for clients is based upon understanding what the client needs and

managing that expectations. Where clients are unhappy with any aspect of the service

they should feel supported by a complaints process that provides for the effective

handling of all complaints. It is essential, therefore, that the service defines what a

complaint is and the process for how they will be dealt with. Improving the quality of

service will take into account the expressed opinions of clients.

Auditors will be looking for evidence that all complaints received are being handled

effectively. Critical to this process is an agreed definition of complaint.

46

Requirement G2 Providers have a clear commitment to quality service and

regular review of performance.

Purpose: Quality services need to be maintained and this is best done by appointing

someone to be responsible for all quality systems. This person will make

sure that changes are made where necessary and that everyone in the

organisation is kept informed.

Evidence:

G2.1 Organisations demonstrate a commitment to quality by appointing a named

individual to oversee the quality processes.

G2.2 Service providers review all quality processes annually.

G2.3 A system for updating the quality processes and procedures and the date

that they came into effect.

G2.4 Staff can access up-to-date copies of the quality processes.

Guidance:

The nominated individual should be familiar with the quality processes and understand

the nature of the work carried out by the organisation. They will need to have sufficient

authority within the organisation to ensure that any corrective action that may be

necessary is implemented.

They will also be the focus of communication between the organisation, the body

overseeing the award of the Advice Quality Standard and the referral information.

Copies of the quality processes may be kept in a Quality Manual.

Requirement G3 There is a facility for clients to participate in the

development of the service provided.

Purpose: Regular feedback from clients will enable service standards to be developed

and improved.

Evidence:

G3.1 Procedures for obtaining feedback from clients including complaints to

providers about the service they received.

As above

47

G3.2 Feedback is analysed annually to identify trends.

As above

G3.3 Service providers review their performance and their strategy in the light of

the results of the analysis of feedback and complaints.

As above

Guidance:

The quality of advice is the main element of the broader concept of Client Satisfaction.

The client’s main concern is that the advice they have been given is accurate and

pertinent but the client is unlikely to be aware of what the best legal advice is – the

client’s lack of knowledge is the prime reason for seeking legal help.

We can, however, attempt to measure other aspects of client satisfaction including

helpfulness and approachability of the organisation’s staff, timely response to telephone

calls, understandable information, good explanations, listening behaviour etc. These are

subjective in that they relate to how each client defines these aspects but by collecting

a significant number and examining trends an organisation can become aware of areas

for improvement in the ways that the organisation interfaces with its clients. Previous

research has shown that asking clients for their opinions and then forming a type of

national average is not an accurate way of rating how one organisation performs against

another. Each organisation is generally too small for an appropriate sample size.

However, client feedback used by an organisation to establish trends and identify

development issues is valuable.

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49

Advice Quality

Telephone Standard

(NB. Requirements should be read in conjunction with the Advice

Quality Standard).

50

A. ACCESS TO SERVICE

Requirement A1 The service should be appropriate to the needs of the

local / target community

A1.2

To make the standard more appropriate to a telephone service, the service plan

should include details of:

A call-handling system;

Any backup system for information and communications technology (ICT)

failure;

The structure of the call centre or organisation; this can be provided in a

family tree;

Arrangements to ensure equality of access for the target group, including

people who are deaf or hard of hearing or whose first language is not English,

and consideration of evening and weekend opening.

For additional guidance please refer to requirement A1.2 under the General

Help section (Page 11)

51

Guidance:

A1.2 Access arrangements to telephone services may be less obvious to clients than for

a face-to-face service, so it is appropriate to know how a telephone service is

structured to facilitate access. There are other access issues that are relevant to

telephone services, e.g. are there text-messaging facilities for people who are

deaf or hard of hearing? Is there an interpretation service for people whose first

language is not English?

Providers should show that they are aware of the needs of their client group and

consider what provisions are necessary according to these needs. For example,

textphones and/or Typetalk may be appropriate. It may be appropriate to recruit

staff with particular language skills where the service is provided for communities

in which languages other than English are commonly spoken, or subscribe to a

service such as Language Line. Advisers should be given training so they are

aware of the expectations of them where communication is difficult.

Where the organisation is unable to provide a service to people because of

communication difficulties, they must be actively signposted to another service.

Where there is no suitable alternative service, records must be kept and made

available to the audit body on reasonable request.

The organisation’s postal address should be included on stationery and on

publicity material.

The call-handling system should explain the initial and ongoing access

arrangements for the client. You may wish to consider the following points: Is

there an answerphone message? Is there any out-of-hours information? Can a

client leave a message and will they be called back? Is there an automated

response?

The details of the call-handling system will depend upon issues such as the size of

the organisation, the number of advisers providing the service, the client group,

and the telephone and/or computer technology used by the service. For a small

organisation, there may be only one telephone line and answerphone. The

standard does not require complicated systems and expensive technology.

However the service is structured, it is important that the system for accessing

the service and dealing with calls is clear to clients and to workers.

Details of any backup system for ICT failure could include maintenance

agreements with reasonable callout times for telephone or computer systems, and

paper-based information and record-keeping systems for times when computer-

based systems are unavailable. Organisations will not be expected to demonstrate

that they are providing the same volume or type of service in the event of ICT

failure, but they must show that they have contingency plans.

For additional guidance please refer to requirement A1.2 under the General

Help section (Page10)

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Requirement A2 The community should be made aware of the service that

is being offered

A2.1 Evidence:

Information about the service should be given to relevant national and local

services.

An answerphone message, if there is one, should include further information

about the service for people who call out of hours.

For additional guidance please refer to requirement A2.1 under the

General Help section (Page 11)

A2.2

Evidence:

Following certification, the Advice Quality Standard logo should be

displayed, where possible.

For additional guidance please refer to requirement A2.2 under the

General Help section (Page 11)

Guidance:

A2.1 Organisations that hold the Advice Quality Standard will find out about the service

through the list of holders. However there are other types of organisation that

provide services to people, which may wish to refer their clients for legal advice,

e.g. statutory providers such as health services or social services, or other not-for-

profit organisations such as those which provide housing, day centres or counselling.

A2.2 It is not possible to “display” a logo over the telephone, but you are expected to use

the logo on any stationery and publicity material. A welcome or answerphone

message could contain the information that you hold the Advice Quality Standard.

This may help the client feel confident about using your service. However, we

recognise that answerphones may already contain a lot of information for the client

to take in, and there may be a limit to the length of message; therefore this is not

compulsory.

For additional guidance please refer to requirement A2.1 & A2.2 under the

General Help section (Page 11)

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54

B. SEAMLESS SERVICE:

Requirement B1 Clients should receive timely service from an

appropriate source either by active signposting or

referral

B1.8 Evidence:

Telephone services should discuss with clients the cost implications of actively

signposting or referring them to other services, and give confirmation of costs in

writing.

Services should demonstrate that they assess whether a face-to-face service may

be more appropriate for clients.

For additional guidance please refer to requirement B1.8 under the General

Help section (Page 15)

Guidance:

B1.8 It is probably rare for a telephone service to take responsibility for contacting the other

service on behalf of a client, i.e. a making referral, but where this happens, clients must

have the cost implications confirmed in writing. This includes cases where the referral is

to a premium rate service.

To demonstrate that an assessment is made of whether a client needs face-to-face advice,

a requirement for such an assessment could be included in the organisation’s active

signposting and referrals policy; it should be ensured that all advisers are aware of this

requirement.

For additional guidance please refer to requirement B1.8 under the General Help

section (Page15)

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56

C. RUNNING THE ORGANISATION

Requirement C2 Legal service providers ensure availability of resources to

provide the service when and where needed

C2.1

Evidence:

The call-handling system must be monitored and considered in the review of

service.

For additional guidance please refer to requirement C2.1 under the General

Help section (Page20)

Guidance:

C2.1 You will see from the guidance for requirement A1 that telephone services should

include the way they handle calls in their initial service plan. Services will need to

monitor the effectiveness of this call-handling system, as the demand for the

service is not so immediately apparent as for face-to-face services where there may

be long queues in a waiting room.

Where a service is provided by telephone, it may not be apparent how many people

are having difficulties getting through or are unable to access the service at all.

Where the technology is available, information collected could include the number

of calls received, handled or lost. For other services, this information could be

collected on a periodic basis by including questions in the user satisfaction

questionnaire asking how easy or difficult it was to make telephone contact.

The review of service required by C2 should include the results of any such call

monitoring. This may result, for example, in a restructuring of opening hours, or a

change in the use of telephone technology such as answerphones.

For additional guidance please refer to requirement C2.1 under the General

Help section (Page 20)

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58

D. PEOPLE MANAGEMENT

Requirement D2 Training and development are provided for all staff who

work within the service

D2.3

Evidence:

Services must show how individual training and development plans have addressed

telephone advice skills.

For additional guidance please refer to requirement D2.3 under the General

Help section (Page 23)

Requirement D4

Procedures to ensure clients get advice from the most

appropriate source taking account of the knowledge and skills

of staff

D4.1

Evidence:

The accessibility of a supervisor is particularly relevant to telephone services.

For additional guidance please refer to requirement D4.1 under the General

Help section (Page 25)

D4.3

Evidence:

The system of allocating work to advisers must include procedures to avoid burn-

out.

For additional guidance please refer to requirement D4.3 under the General

Help section (Page 25)

Requirement D5 Cases are dealt with by competent staff

D5.1

and

D5.2

Evidence:

These requirements apply in full to those organisations providing a casework

service by telephone.

For additional guidance please refer to requirements D5.1 & D5.2 under the

General Help section (Page 25)

59

Guidance:

D2.3 Different skills are needed to elicit information and give help over the telephone

than when working face to face. Training should be appropriate for the needs of

the organisation.

Some of the issues that training could cover include:

Communicating on the telephone, including listening and responding;

Understanding the nature of dealing with enquiries on the telephone;

Beginning and ending calls;

Structuring a telephone interview:

Handling difficult calls, such as silent calls, distressed callers or abusive calls:

Considering issues relating to the organisation’s policies such as the call-

handling system, confidentiality, signposting and referrals, complaints and user

feedback, and use of information resources:

Supervising other staff (for supervisors):

Training may be provided internally or externally.

For additional guidance please refer to requirement D2.3 under the General

Help section (Page 23)

Guidance:

D4.1 Availability of supervision at all times that advice (and casework, if applicable) is

undertaken is a key requirement of the Advice Quality Standard at the Advice level

and above.

Regular supervision meetings should be held as appropriate to the experience of the

adviser. If the supervisor is not physically present, they must be contactable, e.g.

by telephone. If the supervisor is not based at the same site as the

adviser/caseworker, formal contact should be made weekly with each adviser. This

may include the monitoring of calls and/or records of calls, or discussion of the

work the adviser has undertaken. There must be a face-to-face supervision meeting

at least monthly. Supervisors should demonstrate how they undertake supervisory

tasks such as becoming familiar with advisers’ capabilities and ensuring the advisers

do not take on work beyond their capacity.

It is important that supervisors are aware of the practical difficulties of providing

support when the adviser is at a different location from the supervisor. Supervisors

should ensure that advisers feel able to contact them. This should be raised as a

point of concern in supervision where advisers are not making contact regularly.

A deputy, ideally with the same knowledge and experience of the advice subject,

should be appointed for any period that the supervisor is absent or not contactable,

e.g. due to a holiday or when working different hours to the adviser. This is

60

particularly relevant when a telephone service operates for 24 hours. If the deputy

does not have equivalent knowledge and experience to the supervisor, this must be

reflected in the level of service that is offered during the supervisor's unavailability.

As a minimum, the deputy should have at least two years’ ongoing experience of the

advice (and casework, if applicable) that the organisation offers.

For longer absences, e.g. holidays and sickness, the use of a deputy should not

exceed four weeks, nor be a continually repeated occurrence. Following a period of

absence, the casework supervisor should demonstrate that they have received

feedback from the deputy and that they have undertaken a review of advisers’

casework. Where the casework supervisor is part time, formal contact must be

made at least once a week between the casework supervisor and any advisers

undertaking casework, including the checking of cases. The casework supervisor

will need to demonstrate they have received feedback from the deputy in the above

situations.

Effective supervision arrangements are particularly important in the case of a

virtual call centre, i.e. where advisers are based at many different sites linked by a

common telephone system, giving the appearance to the client of being at one site.

Auditors will seek evidence to ensure that advisers and caseworkers have access to

the knowledge, experience and support of a supervisor or suitable deputy at all

times.

D4.3 Supervisors need to ensure that there is sufficient time between calls for completing

necessary paperwork, particularly a record of advice. Advice records should be

completed as soon as possible after the call to ensure that they are accurate.

Advisers should complete records at the end of a shift as a minimum, and must

demonstrate how they recall details of the enquiry if there is a time lapse between

taking the call and writing up.

Burn-out

Defined as “physical or emotional exhaustion, especially caused by stress” – Oxford

Reference Dictionary.

Systems to avoid burn-out should be developed. The culture of an organisation is

important in allowing advisers control over taking a break and asking for support

where they have had a particularly long or difficult call. Staffing levels and opening

hours should be considered accordingly (e.g. having more than one adviser able to

take calls at any time, and managing the length of shifts). Organisations should also

be aware of health and safety requirements, e.g. those relating to workspace and

VDUs etc.

For additional guidance please refer to requirement D4.1 & D4.3 under the

General Help section (Page 25)

D5 Casework over the telephone is, perhaps, relatively new, but is being undertaken by

some services and is likely to increase. In addition to the requirements of D5 (from

the standard General Help workbook), services will need to consider how they obtain

authorisation from clients to act on their behalf. For example, telephone technology

allows three-way calls, so the adviser can negotiate with a third party and involve the

61

client in the telephone call.

For additional guidance please refer to requirement D5.1 & D5.28 under the

General Help section (Page 25)

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63

E. RUNNING THE SERVICE

Requirement E1 Client information and case files are well organised

E1.6

Evidence:

Supervisors should give advisers time in between calls to allow records to

be maintained.

For additional guidance please refer to requirement E1.6 under the

General Help section (Page31)

Guidance:

E1.6 Organisations must record information and advice given on client records. Relating

to D4, supervisors should give advisers time in between calls to allow records to be

kept. Record keeping is vital for telephone services. The advice given is more

likely to rely upon a client’s description or interpretation of their situation (e.g. a

determination letter from the Benefits Agency, a stamp in a passport) rather than

the adviser being able to see supporting documents for confirmation. For this

reason, notes may need to be more comprehensive than for face-to-face advice

where this supporting information is easily available and kept on file.

For additional guidance please refer to requirement E1.6 under the General

Help section (Page 31)

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65

F. MEETING CLIENTS’ NEEDS

Requirement F2.3 Costing structures must be transparent and explained at the

outset

F2.3

Evidence:

Services should inform clients where premium rates apply.

Information about the cost per minute and, where possible, the likely length of

the call must be given at the beginning of the call and be displayed prominently

on any publicity material and given clearly on audio promotional material.

Clients must also be informed where the service is available elsewhere from a

service that does not use premium rates.

Premium services must also comply with the Phonepay Plus Code of Practice.

For additional guidance please refer to requirement F2.3 under the General

Help section (Page 36)

Requirement F3 Clients are entitled to confidentiality, privacy and fair

treatment

66

F3.2

Evidence:

The effects of telephone technology on confidentiality need to be considered, for

example:

Callers’ numbers must not be identified where the service is provided on

an anonymous basis.

The service must obtain agreement for returning clients’ calls.

The service must consider blocking its number in outgoing calls; where it

does not block the outgoing number, they will need to provide reasons why

not.

Clients must be made aware when there is the possibility of “listening in”

or the recording of conversations for the purposes of supervision or training,

so that they can opt out of the process or choose whether or not to continue

with the call.

Telephone services need to have systems to ensure that confidential information

held on client records is only discussed after establishing the identity of the

caller.

The service must be provided in confidential surroundings. This also applies to

retrieving messages from an answerphone.

For additional guidance please refer to requirement F3.2 under the General

Help section (Page 37)

Guidance:

F2.3 Further details of the Phonepay Plus Code of Practice are available on their website

(www.phonepayplus.org.uk).

F3.2 If the service has a mechanism for identifying callers’ numbers, providers will need

to demonstrate that it is only revealed to advisers on a “need to know” basis.

Where the number is used to link the call to client’s records on a computer

database, advisers should ensure they have established the caller’s identity before

revealing any information. For the purposes of monitoring where calls are coming

from, only the first part of the telephone number needs to be identified. Where the

caller does not wish to give their name, services may wish to consider giving callers

a reference number so that their records can be accessed if they call again.

A common sense view should be taken regarding obtaining a client’s agreement

before returning a call. For example, where a client has left a number on an

answerphone or included it in a letter requesting information, this will be taken as

agreement for the call to be returned. Once advisers have checked that they can

call clients, this permission will be considered to be ongoing unless the client states

otherwise. Organisations should also check with clients as to whether they can

reveal who they are to anyone else who answers the telephone when calling a

67

client, and whether they can leave a message on the client’s answerphone.

Many clients use telephone services for their anonymity. It is good practice for the

service to block its own number in outgoing calls, particularly where the provider is

dealing with sensitive issues and/or vulnerable client groups. The reason for this is

to prevent other people from dialling 1471 and discovering that the provider has

called the client. However, for some services, this may not be relevant.

Some services use “listening in” or the recording of conversations for supervision or

training purposes. To make clients aware when this is a possibility an automated

message could be used. Some services inform clients of this possibility only when

the call is actually listened in to.

It is important to recognise that callers may not always be able to discuss their

enquiry fully because of their situation, and it may be more appropriate for them to

call back or for the service to return their call at a different time.

The organisation must ensure that calls cannot be overheard by members of the

public or other visitors, without the client’s consent.

For additional guidance please refer to requirements F2.3 & F3.2 under the

General Help section (Pages 36 & 37)

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69

G. COMMITMENT TO QUALITY

Requirement G1 A clear complaints process in operation

G1.1

Evidence:

Complaints information should be given on client care letters and relevant

publicity materials and leaflets.

For additional guidance please refer to requirement G1.1 under the General

Help section (Page 40)

Requirement G3 There is a facility for clients to participate in the development of

the service provided

G3.1,

G3.2

and

G3.3

The requirements for feedback are applicable to telephone services.

For additional guidance please refer to requirements G3.1, G3.2 & G3.3

under the General Help section (Page 41)

Guidance:

G1.1 During telephone conversations, it is sufficient to tell clients about the organisation’s

complaints procedure only if they are clearly unhappy with the service, rather than

during every call. It is important, therefore, to have a clear definition of a complaint

and to give training to staff so that they know when to give details of the complaints

procedure.

However, details of the complaints procedure should be given on client care letters

as well as relevant publicity materials and leaflets.

G3.1, G3.2 and G3.3

Because of their nature, telephone services may not always have names and

addresses of clients. However, feedback may be given at the end of a call, either by

the adviser asking a number of questions, or, for more impartial feedback, by passing

the caller on to a supervisor or researcher. For organisations with the technology, an

automated feedback service can be provided. Clients could also be asked for their

telephone numbers and permission to call on a separate occasion for feedback, or for

their address for surveys. Where the service sends information out to a client, a

feedback form could also be included.

For additional guidance please refer to requirements G1.1, G3.1, G3.2 & G3.3

under the General Help section (Pages 40 & 41)

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71

Annex A: Casework Definitions

This section indicates the breadth of work that organisations will need to

demonstrate in order to achieve certification for General Help with Casework.

Each organisation wishing to conduct casework must complete the relevant

casework work form and submit it with their application.

Subject Based

1. Consumer / General Contract

2. Debt

3. Employment

4. Health and Community Care

5. Housing

6. Immigration / Nationality

7. Welfare Benefits

Client Based

8. Asylum Seekers and Refugees Casework

9. Disability Casework

10. Older People Casework

11. Racial Discrimination and Racial Harassment Casework

12. Students Casework

13. Women Casework

14. Young People Casework

72

Advice Quality Standard

Casework Experience and Range

Form: Case 1 – Consumer / General Contract

This form must be completed if applying for certification to General Help with Casework in the Consumer /

General Contract category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworker

Requirement 1 is Mandatory.

1

.

Defective goods and services – four casefiles from the

following:

1.1 Cars (sale of and repairs to).

1.2 Home improvements.

1.3 Holidays.

1.4 Domestic electrical appliances (sale of and repairs

to).

1.5 Furniture and furnishings.

1.6 Clothing.

1.7 Other.

2

.

Fulfil four out of seven of sections 2.1 to 2.7:

2.1 Credit / loans: two casefiles from the following:

2.1.1 - HP and title.

2.1.2 - Early settlement.

73

2.1.3 - Termination of HP / conditional sale.

2.1.4 - Equal liability.

2.2 Cancellation / withdrawal: one casefile from the following:

2.2.1 - Credit.

2.2.2 - Transactions conducted away from

trade premises.

2.2.3 - Insurance (home / buildings / life).

2.2.4 - Fuel.

2.2.5 - Timeshare.

2.2.6 - Other.

2.3 Goods, facilities and services under the Disability

Discrimination Act 1995.

2.4 Refusal to supply goods / services on any grounds (e.g. age, postcode, gender,

disability) – one casefile from the following:

2.4.1 – Credit.

2.4.2 – Fuel.

2.4.3 – Other.

2.5 Problems with insurance / pensions / savings.

2.6 Pricing and charging disputes.

2.7 Explanation of and referral for redress and

enforcing judgements through the courts.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

74

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Debt

This form must be completed if applying for certification to General Help with Casework in the Debt category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

Requirement 1 is Mandatory.

1

.

Three cases with multiple debts (from categories 2.1 to

2.9).

2

.

Fulfil four out of seven of sections 2.1 to 2.7:

2.1 Mortgage arrears / possession including secured

loans, including sale and liability after sale.

2.2 Rent arrears / possession.

2.3 Local taxes – council tax, community charge or

rates.

2.4 Utility debts – gas, electricity or water.

2.5 Other priority debts, checking liability for debt and establishing repayment

arrangements based upon budget analysis and a pro-rata distribution basis,

three out of six of the following:

2.5.1 - Tax / NI / VAT.

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2.5.2 - Fines.

2.5.3 – Child Support / Maintenance.

2.5.4 – Hire Purchase / Conditional Sale.

2.5.5 – Benefits overpayments.

2.5.6 – Social fund.

2.6 Other non-priority debts, checking liability for debt and establishing repayment

arrangements based upon budget analysis and a pro-rata distribution basis, four

out of 10 of the following:

2.6.1 – Charge cards.

2.6.2 – Credit cards (bank or store).

2.6.3 – Overdrafts.

2.6.4 – Social fund loans.

2.6.5 – Hire purchase.

2.6.6 – Unsecured loans.

2.6.7 – Credit sales.

2.6.8 – Mail order / catalogue.

2.6.9 – Rental agreements.

2.6.10 – Guarantors.

2.7 Explaining and undertaking (or referring to progress the case), three out of

seven of the following:

2.7.1 – Informal arrangements based upon

pro-rata distribution of available disposable

income.

2.7.2 – Moratoriums.

2.7.3 – Write off.

2.7.4 – Administration Orders.

2.7.5 – Individual Voluntary Arrangements.

2.7.6 – Bankruptcy.

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2.7.7 – Debt Relief Orders

77

2.8 One example of helping a client to maximise their income through:

2.8.1 - Benefit or tax credit entitlement.

2.8.2 - Tax allowances.

2.8.3 - Other ways of maximising income

(e.g. room rental, charity).

2.9 Three examples of explaining different debt related

court procedures to clients (e.g. instalment orders,

time orders, variations, charging orders,

suspensions, setting asides, appeals) or explaining

bailiffs’ procedures and taking action or referral to

progress the case.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

78

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Employment

This form must be completed if applying for certification to General Help with Casework in the Employment

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfill the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

1

.

Five out of eight of sections 1.1 to 1.8:

1.1 Wrongful dismissal.

1.2 Unfair dismissal – three casefiles from the following:

1.2.1 - Conduct.

1.2.2 - Ill health.

1.2.3 - Unfair redundancy.

1.2.4 - Capability.

1.2.5 - Other.

1.3 Constructive unfair dismissal.

1.4 Redundancy (fair).

1.5 Discrimination – two casefiles from the following:

1.5.1 - Race.

1.5.2 - Sex.

79

1.5.3 - Disability.

1.5.4 - Equal pay.

1.5.5 - Other.

1.6 Transfer of Undertakings (Protection of

Employment).

1.7 Rights in work – contractual – one casefile from the

following:

1.7.1 – Terms.

1.7.2 – Variations.

1.7.3 – Breaches.

1.8 Rights in work – statutory – three casefiles from the following:

1.8.1 - Maternity rights, or Paternity rights,

or Adoption rights, or the right to parental

leave.

1.8.2 - Deductions from wages.

1.8.3 - Trade unions.

1.8.4 - Sick pay.

1.8.5 - Rights to particulars of employment.

1.8.6 - Health and safety.

1.8.7 - Jurisdictional queries for specific

professions (e.g. police, armed forces,

universities).

1.8.8 - National Minimum Wage.

1.8.9 - Right to paid holidays.

I confirm the above information is accurate.

Name (please

print):

Signature:

80

Date:

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Health and Community Care

This form must be completed if applying for certification to General Help with Casework in the Health and

Community Care.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfill the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworker

1

.

Nine out of sixteen of sections 1.1 to 1.16:

1.1 Representation or casework to prepare clients for

assessments (NHS & Community Care Act 1990,

Carers Recognition and Services Act 1995, Disabled

Persons (Services, Consultation and Representation)

Act 1986), Carers (Equal Opportunities) Act 2004.

1.2 Entitlement to services under the Chronically Sick

and Disabled Persons Act 1970.

1.3 Provision of accommodation under the National

Assistance Act 1948.

1.4 Provision of domiciliary services.

1.5 Challenging charges for domiciliary services.

1.6 Entitlement to services under the Children Act 1989

and 2004.

1.7 Representation or casework to prepare clients for

complaints (community care or health).

81

1.8 Independent Living Fund.

1.9 Community Care (Direct Payments) Act 1996.

1.10 Assessments for residential and nursing home care.

1.11 Paying for care in residential or nursing home

(including payment for health care).

1.12 Hospital discharge arrangements.

1.13 Services under Section 117 of the Mental Health Act

1983 and 2007.

1.14 Accessing health care where it has been refused.

1.15 Accessing mobility services (concessionary travel,

Blue (formerly Orange) Badge, Motability etc.)

1.16 Explaining the consequences of transfer of assets

and making a referral to progress the case.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

82

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Housing

This form must be completed if applying for certification to General Help with Casework in the Housing

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

1

.

Six out of ten of sections 1.1 to 1.10:

1.1 Private disrepair, public disrepair, or EPA –

statutory nuisance.

1.2 Neighbour disputes.

1.3 Homelessness and re-housing, three out of the four

below:

1.3.1 - Statutory (Pt VII / Children Act).

1.3.2 - Allocation.

1.3.3 - Transfer.

1.3.4 - Non-statutory e.g. housing association

or private sector.

1.4 Security of tenure where the status is unclear or

can be challenged in either public / housing

association (including succession / assignment) or

private sector possession / repossession.

83

1.5 Rent arrears or rent levels including Rent Officers,

Rent Assessment Committees or Rent Tribunals

including the implications of different tenures.

1.6 Housing benefit or jobseekers’ allowance / income

support for housing costs.

1.7 Long leaseholders.

1.8 Harassment and illegal eviction.

1.9 Keeping a home or re-housing due to relationship

breakdown or domestic violence.

1.10 Mortgage arrears and preventing repossession.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

84

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Immigration / Nationality awaiting response from policy (NB. This form is to be confirmed).

This form must be completed if applying for certification to General Help with Casework in the Immigration /

Nationality category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

1

.

Five out of ten of sections 1.1 to 1.10:

1.1 British nationality law – registration, naturalisation

and/ or citizenship.

1.2 General provisions regarding leave to enter or

remain in the United Kingdom.

1.3 Marriage (to enter or remain) and/or Civil

Partnership.

1.4 Asylum, two from the following three:

1.4.1 - Recognising a potential claim for

asylum and action or referral to progress the

case.

1.4.2 - Explaining family reunion and action

or referral to progress the case.

1.4.3 - Identifying the need for and

explaining status extensions and action or

referral to progress the case.

85

1.5 Employment, three case files from the following:

1.5.1 - Work permits.

1.5.2 – Points based system.

1.5.3 – Persons with UK Ancestry.

1.5.4 - Student applications.

1.6 Immigration officers’ powers – negotiations and applications, one case file from

the following:

1.6.1 - Immigration detention.

1.6.2 - Temporary admission.

1.6.3 – Chief Immigration Officer’s bail.

1.7 One case file from the following:

1.7.1 - Domestic violence.

1.7.2 - Unmarried and Same Sex Partners.

1.7.3 - Deportation or Removal.

86

1.8 One example of the ability to recognise the

possibility of judicial review proceedings including

the purpose and the client’s role and the need for

referral to a solicitor.

1.9 One example of the ability to recognise applicable

points of Human Rights Law (ECHR) and referral to

progress the case.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

87

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Welfare Benefits

This form must be completed if applying for certification to General Help with Casework in the Welfare

Benefits category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

Requirements 1, 2, 3, 4 are Mandatory requirements

1

.

Preparing and conducting revisions, supersessions

and appeals.

2

.

Means tested – housing benefit or council tax

benefit.

3

.

Means tested – income support, jobseeker’s

allowance or pension credit (related to means test

not employment conditions).

4

.

Means tested – working tax credit and child tax

credit.

5

.

Five out of ten of sections 5.1 to 5.11:

5.1 Overpayments / fraud.

5.2 Claims for backdating or underpayment of benefits.

5.3 Jobseekers’ allowance, income-based or

contributory, related to employment conditions.

88

5.4 Incapacity benefit, employment support allowance

or carer’s allowance.

5.5 Pensions.

5.6 Child Benefit, Child Support Agency, Maternity

Allowance, or Statutory Maternity Pay, or child tax

credit, or Statutory Adoption Pay, or Statutory Pay.

.

5.7 Industrial Injuries Disablement Benefits.

5.8 Benefits and community care including disability

living allowance, attendance allowance or

relationship with community care legislation.

5.9 Restrictions relating to persons subject to

immigration control and asylum seekers or habitual

residence test.

5.10 Community Care Grants, Budgeting Loans, Crisis

Loans or Funeral Payments or Maternity Grants.

5.11 Bereavement benefit(s).

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

89

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Asylum Seekers and Refugees

This form must be completed if applying for certification to General Help with Casework in the Asylum Seekers

and Refugees category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

Fulfil three out of six of the following sections at least two of which should be from A, B,

and C.

A. Support for Asylum Seekers under the Immigration and Asylum Act 1999

Three out of four of the following:

A1 Challenges to provision.

A2 Appeal against refusal or termination of support.

A3 Assistance with access to additional needs for

children.

A4 Assistance to people who are not entitled to

support or whose entitlement has ended.

B Rights to Benefits and Housing for Refugees and People with Discretionary Leave

or Humanitarian Protection

90

B1 Assistance for people denied benefit despite

entitlement, at least one case in the immediate

transition from Home Office support to benefit

entitlement.

B2 Assistance for people denied housing despite

entitlement.

C Asylum

Two out of three of the following:

C1 One example of recognising a potential claim for

asylum and action or referral to progress the case.

C2 One example of explaining family reunion and

action or referral to progress the case.

C3 One example of identifying the need for and

explaining status extensions and action or referral

to progress the case.

D Employment and Training

One from each of the following:

D1 Training – assistance to asylum seekers denied

training.

D2 Training – assistance to refugees denied training.

D3 Discrimination against refugees at work.

E Education

E1 Assistance for people who cannot get their

children accepted by schools.

E2 Entitlements to free school meals, uniform grants

and travel grants.

E3 Assistance in access to further and higher

education.

F Health and Community Care

Three out of five of the following:

91

F1 Accessing health care where it has been refused.

F2 Accessing mental health services where they have

been refused.

F3 Assistance with access to free prescriptions.

F4 Paying for travel for medical care.

F5 Accessing care in the community.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

92

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Disability

This form must be completed if applying for certification to General Help with Casework in the Disability

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworker

Section A is Mandatory. Plus two other sections, one of which must be from either B, C or D.

A. Welfare Benefits

A1 Five out of nine of sections A1.1 to A1.9:

A1.1 Means-tested – DWP or tax credits.

A1.2 Means-tested – local authority.

A1.3 Earnings replacement benefits (incapacity

benefit, carers allowance, industrial disablement

benefits, statutory sick pay, contributions-based

jobseeker’s allowance and retirement pension).

A1.4 Disability living allowance or attendance

allowance.

A1.5 Preparing and conducting revisions,

supersessions and appeals.

A1.6 Fraud and overpayments.

A1.7 Underpayment or backdating of benefits.

93

A1.8 Community Care Grants, Budgeting Loans, Crisis

Loans or Funeral Payments, Maternity Grants.

A1.9 Disability Discrimination Act 1995, 1996 and 2005

B Health and Community Care

B1 Five out of fifteen of sections B1.1 to B1.15:

B1.1 Representation or casework to prepare clients

for assessments (NHS & Community Care Act

1990, Carers Recognition and Services Act 1995,

Disabled Persons (Services, Consultation and

Representation) Act 1986).

B1.2 Entitlement to services under the Chronically

Sick and Disabled Persons Act 1970.

B1.3 Provision of accommodation under the National

Assistance Act 1948.

B1.4 Provision of domiciliary services.

B1.5 Challenging charges for domiciliary services.

B1.6 Entitlement to services under the Children Act

1989.

B1.7 Representation or casework to prepare clients

for complaints (community care or health).

B1.8 Independent Living Fund.

B1.9 Community Care (Direct Payments) Act 1996.

B1.10 Assessment for residential and nursing home

care.

B1.11 Paying for care in residential or nursing home

(including payment for health care).

B1.12 Hospital discharge arrangements.

B1.13 Services under Section 117 of the Mental Health

Act 1983.

B1.14 Accessing health care where it has been refused.

B1.15 Accessing mobility services (concessionary

travel, Blue (formerly Orange) Badge, Motability

etc.).

94

C Housing

C1

.

Four out of six of sections C1.1 to C1.6:

C1.1 Housing Adaptations (e.g. obtaining authorisation, negotiation about

payment), two out of three of the following:

C1.1.1 – Homeowners.

C1.1.2 – Council and housing association

tenants.

C1.1.3 – Private tenants.

C1.2 Disabled Facilities Grants.

C1.3 Homelessness, two cases, at least one must be C1.3.1.

C1.3.1 – Statutory (Pt VII / Children Act,

National Health Services and Community

Care Act 1990).

C1.3.2 – Non-statutory.

C1.4 Housing and re-housing, one of the following:

C1.4.1 – Allocation.

C1.4.2 – Transfer.

C1.5 Harassment requiring re-housing.

C1.6 Housing options – one case working through

different options with a client to enable their

chosen housing option (e.g. remaining in their

own home, sheltered or extra sheltered housing,

residential or nursing care).

D Discrimination Law

D1 Disability Discrimination Act 1995, 1996 and 2005 – casework with progress to referral

(one of each) to include direct discrimination and reasonable adjustment:

D1.1 Employment.

D1.2 Goods and services or premises.

E Employment and Training

E1 Unfair dismissal.

95

E2 Disability discrimination.

E3 New Deal or DWP/Jobcentre Plus support to

people with disabilities.

F Education

F1 Educational Grants.

F2 Disabled Students Allowance.

F3 Special Education Needs Assessment / Tribunal.

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

96

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Older People

This form must be completed if applying for certification to General Help with Casework in the Older People

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

Fulfil three out of six of the following sections, at least two of which should be from A, B,

and C.

A. Welfare Benefits and Pensions

Five out of eight of sections A1 to A8:

A1 Income-related benefit (income support) or

Pension Credit.

A2 Means-tested (housing benefit and council tax

benefit).

A3 Retirement pension.

A4 Attendance allowance / disability living

allowance.

A5 Social fund.

A6 Bereavement Benefit(s).

A7 Incapacity Benefit, Carer’s Allowance.

A8 Occupational or personal pensions.

97

B Housing

Three out of four of sections B1 to B4:

B1 Homelessness and re-housing, (two out of four of the following):

B1.1 - Statutory (Pt VII Housing Act).

B1.2 - Allocation.

B1.3 - Transfers.

B1.4 - Rights of succession to a tenancy or

assignment of a tenancy.

B2 Adaptations and repairs (including authorisation and payments), two out of

three of the following:

B2.1 - Homeowners.

B2.2 - Council and housing association

tenants.

B2.3 - Private tenants.

B3 Grant assistance for repairs, improvements or

adaptations (Housing Grants Construction and

Regeneration Act 1996, Chronically Sick and

Disabled Persons Act 1970) – one case.

B4 Housing options – one case working through

different options with a client to enable their

chosen housing option (e.g. remaining in their own

home, sheltered or extra sheltered housing,

residential or nursing care).

C Health and Community Care

Five out of thirteen sections C1 to C13:

C1 Representation or casework to prepare clients for

assessments (NHS & Community Care Act 1990,

Carers (Recognition and Services) Act 1995,

Disabled Persons (Services, Consultation and

Representation) Act 1986).

98

C2 Entitlement to services under the Chronically Sick

and Disabled Persons Act 1970.

C3 Provision of accommodation under the National

Assistance Act 1948.

C4 Provision of domiciliary services.

C5 Challenging charges for domiciliary services.

C6 Community Care (Direct Payments) Act 1996.

C7 Representation or casework to prepare clients for

complaints (community care or health).

C8 Assessment for residential and nursing home care.

C9 Paying for care in residential or nursing home

(including payment for health care).

C10 Hospital discharge arrangements.

C11 Services under Section 117 of the Mental Health

Act 1983.

C12 Accessing health care where it has been refused.

C13 One example of explaining the consequences of

transfer of assets and making a referral to

progress a case.

D Legal Issues

One of each (explaining the law and taking action or referral to progress the case) of

D1 to D3:

D1 Wills and estate administration.

D2 One example of the ability to recognise applicable

points of European (EC / EEA) law or human rights

law and referral to progress the case.

D3 One example of explaining the legal situation

relating to age or disability discrimination relating

to employment or goods and services and making

a referral to progress a case.

E Decision Making and Mental Capacity

Four out of seven (explaining the law and taking action or referral to progress the

case) of sections E1 to E7:

99

E1 Mental capacity and decision-making – options in

different circumstances.

E2 Agency and appointeeship under benefit

regulations.

E3 Power of attorney or enduring power of attorney

and making a referral to progress a case.

E4 Provisions of Mental Health Act 1983 in relation to

compulsory detention in hospital and

guardianship.

E5 Guardianship under the Mental Health Act 1983.

E6 Consent to medical treatment or advance

decision-making about medical treatment.

E7 Welfare decisions in relation to adults without

mental capacity (e.g. in relation to residence or

contact with others).

F Elder Abuse

Three out of four of the following (explaining the law and taking action or referral to

progress the case) of sections F1 to F4:

F1 Non-molestation Orders, Occupation Orders or

other civil remedies.

F2 Criminal Injuries Compensation Scheme.

F3 Criminal prosecutions and provisions relating to

vulnerable or intimidated witnesses.

F4 Provisions relating to registration and inspection

of residential and nursing homes (Registered

Homes Act 1984 as amended).

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

100

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Racial Discrimination and Racial Harassment

This form must be completed if applying for certification to General Help with Casework in the Race Equality

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No

/ Filename

Initials of

Caseworke

r

3 out of the following sections

Discrimination – all forms including direct / indirect / victimisation / segregation

A. Employment

A minimum of 5 cases covering 3 categories from the following:

A1 Recruitment, selection and appointment

A2 Progression and retention

A3 Dismissal and redundancy

A4 Training

101

A5 Harassment and other detriment

A6 Discrimination by other bodies, e.g. partnerships,

trade unions, and qualifying bodies

B Education and training

A minimum of 2 cases covering categories from the following:

B1 Admissions

B2 Exclusions

B3 Provision

B4 Assessment

B5 Harassment and other detriment

C Services

A minimum of 5 cases covering 3 categories from the following:

C1 Housing

C2 Planning

C3 Welfare benefits

C4 Health and Social Services

C5 Consumer and Leisure

C6 Policing and other criminal justice services

C7 Other services

D Employment

A minimum of 2 cases covering 2 categories from the following:

D1 Police and Criminal Justice System

D2 Prisons

D3 Local authorities

D4 Health authorities (including mental health)

D5 Other public authorities / bodies including

contractors carrying out Public Functions

102

Harassment

E Dealing with Racist Incidents

A minimum of 5 cases covering 3 categories from the following:

E1 Verbal and / or Written Abuse

E2 Physical abuse

E3 Criminal Damage.

E4 Incitement including chanting

E5 Other racist incidents

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

103

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Students Casework

This form must be completed if applying for certification to General Help with Casework in the Students

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No /

Filename

Initials of

Caseworker

Four out of nine from sections A to H.

A. Welfare Benefits

At least A1 and A2:

A1 Eligibility (including interface with studying)

covering both:

A1.1 Means Tested non contributory benefits

And

A1.2 Non-Means Tested contributory benefits or

non-contributory benefits.

A2 Calculating Entitlement

A3 Overpayments / Fraud

A4 Appeals / Revision / Supersessions

B. Housing / Accommodation

Five out of ten of the following:

B1 Security of tenure, including illegal eviction and

harassment

B2 Possession / repossession

104

B3 Poor Housing Conditions

B4 Housing Benefit and Council Tax Benefit

B5 Deposits

B6 Contractual issues

B7 Institution accommodation issues – e.g.: debts to

university, disciplinary matters

B8 Homelessness and re-housing

B9 Council Tax Liability

B10 Neighbour disputes

C. Money Advice

C2 is mandatory plus two other from the remaining five:

C1 Minimise expenditure / maximise income –

including budgeting skills

C2 Debt Management

C3 Negotiation with creditors

C4 Benefit entitlement

C5 Tax / NI liability

C6 Applying for sources of income

D. Student Funding

Two out of four of the following:

D1 Further education

D1.1 statutory

D1.2 non-statutory

D2 Undergraduate

D2.1 statutory

D2.2 non-statutory

D3 Postgraduate

D3.1 statutory

D3.2 non-statutory

D4 Interface with Benefits

105

E. Academic

Three out of six from the following:

E1 Appeals

E2 Complaints

E3 Disciplinary

E4 Course transfers

E5 Intercalation

E6 Harassment / discrimination

F. Employment / Voluntary work

Four out of nine from the following:

F1 Dismissal

F2 Terms and conditions of employment

F3 Problems with wages / rates of pay

F4 National Minimum Wage

F5 Tax / NI liability

F6 Interface with benefits

F7 Discrimination/Harassment (racial, sexual,

disability)

F8 Work Placements

F9 Working Time Regulations

G. Disability

Three out of five from the following:

G1 Disabled Students Allowance

G2 Equal Opportunities / Discrimination

G3 Disability Benefits and other Welfare benefits

G4 University / College facilities

106

G5 Medical Referrals

H. Fee Assessment Issues

Explaining the law as it affects the prospective students, taking action, actively signposting

or making a referral to progress the case.

H1 is mandatory in further and higher education advice services, plus one from the

remaining three:

H1 “The Main Formula”, namely those who are settled

in the UK and satisfy certain residence conditions

H2 European Students

H3 Refugees / Exceptional leave to enter / remain

H4 Learning and Skills Council funding ‘concessions’

for further education in England, and equivalent

for Wales

I. Immigration

Note that under the Immigration and Asylum Act 1999 it is a criminal offence to provide

immigration advice or services unless authorised to do so. Publicly funded institutions of

further or higher education or the students’ union of such a body and organisations that

are not publicly funded but have UK degree awarding powers or provide approved courses

for UK degrees awarded by others are exempt from the general prohibition. However,

such institutions are still subject to the Immigration Commissioner’s Code of Standards,

Guidance on Competences and Complaints Scheme and to the jurisdiction of the

Immigration Services Tribunal.

If immigration casework forms part of your application for the Advice Quality Standard,

there will be an assumption that you are compliant with the relevant statutory

requirements.

Further information can be obtained from:

The Office of the Immigration Services Commissioner

5th Floor

Counting House

53 Tooley Street

London

SE1 2QN

Telephone: 0845 000 0046

Fax: 020 7211 1553

Website: www.oisc.gov.uk

107

I1 and I2 are mandatory, plus two others from the remaining six:

I1 An application for, or for the variation of, entry

clearance or leave to enter or remain

I2 Resulting casework following the refusal of entry

clearance, or leave to enter or remain in the UK

I3 Unlawful entry into, or stay in, the UK and

resulting casework

I4 Concessionary policies e.g. academic visitors

I5 Citizenship of the EU, admission to, and residence

in, member states under Community Law

I6 Employment issues during study e.g. part-time

work, sandwich course placements

I7 Employment issues after study e.g. work permits

I8 An application for release from detention, i.e.

Chief Immigration Officers bail

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

108

ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Women

This form must be completed if applying for certification to General Help with Casework in the Women

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route),

the range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor

route), the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the

case if applying through the 12-hour caseworker route (D5.1).

Requirement File Ref No /

Filename

Initials of

Caseworker

Five out of eleven from sections A to K.

A. Welfare Benefits

Six out of fourteen of A1 to A14:

A1 Income Support

A2 Tax Credits

A3 Job Seekers Allowance, income based or

contributory

A4 Incapacity benefits

A5 Housing Benefit / Supporting People / Council Tax

Benefit

A6 Grants and Loans from the Social Fund.

A7 Maternity Benefits

A8 Child Benefit

A9 Guardian’s Allowance

A10 Disability Benefits

109

A11 Bereavement Benefit(s)

A12 Child Support

A13 Benefits for Older People including retirement

pension and pensions credit

A14 Restrictions relating to persons subject to

immigration control and asylum seekers or habitual

residence test, or right to residue/habitual

residence test

B. Housing

Three out of five of the following:

B1 Homelessness two cases

B1.1. Statutory

B1.2. Non-statutory

B2 Allocation

B3 Transfers

B4 Rights of succession to a tenancy or assignment of

a tenancy

B5 Disrepair

C. Domestic Violence

Three out of six of the following:

C1 Obtaining occupation orders or an injunction or and

other relevant court orders

C2 Accessing safe accommodation issues

C3 Recovering property

C4 Child contact issues

C5 Reporting matters to the Police and the

consequences of this

C6 Victims of Domestic Violence

D. Sexual Violence

110

Three out of five of the following:

D1 Police procedures and complaints

D2 Rights in court

D3 Support and health services guidance

D4 Accessing Criminal Injury Compensation Claims /

Appeals

D5 Sexual harassment

E. Harassment

Three out of four from the following:

E1 Sexual harassment

E2 Racial abuse

E3 Neighbour disputes

E4 Homophobic abuse

F. Family

Three out of six from the following:

F1 Child protection

F2 Child contact

F3 Child support issues

F4 Relationship breakdown and divorce

F5 Property rights

F6 Disposal of joint property and liability after sale

111

G. Health and Community Care

Three out of six from the following:

G1 Accessing appropriate health care or healthcare

where it has been refused

G2 Accessing mental health services where they have

been refused

G3 Assistance with access to free prescriptions

G4 Persons from abroad – rights to treatment

G5 Paying for travel for medical care

G6 Accessing care in the community

H. Employment and Training

Three out of seven of the following:

H1 Wrongful dismissal

H2 Unfair dismissal

H3 Discrimination:

Indirect;

Direct;

Harassment;

Victimisation.

H4 Redundancy

H5 Transfer of undertakings

H6 Rights in work – contractual

H7 Rights in work – statutory

Maternity rights

Deductions from wages

Trade Union activities

Sick pay

Health and safety

National Minimum Wage

Rights to paid holidays

112

H8 Equal Pay

I. Debt

Three out of six from the following:

I1 Mortgage arrears / possession including secured

loans

I2 Rent arrears / possession

I3 Local taxes – council tax, community charges or

rates

I4 Utility debts – gas, electricity or water

I5 Disposal of joint property and liability after sale

I6 Multiple non-priority debts where establish

repayment arrangements

J. Education

Three out of five from the following:

J1 Assistance for women who cannot get their

children accepted by preschools / schools

J2 Entitlements to free school meals, uniform grants

and travel grants

J3 Exclusions from school

J4 Special educational needs assessment / provision /

tribunal

J5 Assistance in access to further and higher

education (including English as a foreign language)

K. Immigration/Nationality

Three out of seven from the following:

K1 British nationality law – registration nationalisation

and/or citizenship.

K2 General provisions regarding leave to enter or

remain in the UK.

K3 Marriage and/or Civil Partners (to enter or remain)

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K4 Sponsorship undertaking

K5 No recourse to public funds

K6 Employment

Work permits

Points Based System

Student applications

K7 Victims of Domestic Violence

I confirm the above information is accurate.

Name (please

print):

Signature:

Date:

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ADVICE QUALITY STANDARD

Casework Experience and Range

Form: Case 1 – Young People

This form must be completed if applying for certification to General Help with Casework in the Young People

category.

For organisations intending to meet the criteria for casework through D5.1 (i.e. the 12 hour casework route), the

range of subjects can be fulfilled by one or more of the named caseworkers.

For organisations intending to meet the criteria for casework through D5.2 (i.e. the caseworker / supervisor route),

the range of subjects must be fulfilled by the nominated caseworker / supervisor.

Cases listed to fulfil the criteria must be cases which were active within the last 12 months. Please complete

column 3 with either the case reference or file name. Please also state the caseworker responsible for the case if

applying through the 12-hour caseworker route (D5.1).

Requirement

File Ref No

/ Filename

Initials

of

Casewo

rker

Fulfil three out of five of sections A to E, at least two of which must be from A, B and C.

A. Welfare Benefits

Four out of seven of sections A1 to A7:

A1 Income support for students in relevant

education.

A2 Jobseeker’s Allowance.

A3 Jobseeker’s Allowance severe hardship payments

for 16 / 17 year olds.

A4 New deal.

A5 Social fund.

A6 Housing benefit private sector rent restrictions.

A7 Benefits for young parents including Child Tax

Credit, child benefit.

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B Housing

One of each of the following:

B1 Homelessness – Housing Act 1996.

B2 Homelessness – Children Act 1989.

B3 Security of Tenure, including illegal eviction.

C Social and Health Care

Five out of eight of sections C1 to C8:

C1 Refusal of assistance under the Children Act 1989.

C2 Representation at or casework to prepare clients

for assessments for assistance by social services.

C3 Financial assistance under the Children Act 1989.

C4 Assistance for young people leaving care.

C5 Assistance for young parents.

C6 Accessing health care where it has been refused.

C7 Accessing mental health services where they have

been refused.

C8 Confidentiality and rights to treatment for under

16 year olds (where in the client group).

D Education

Three out of four of sections D1 to D4:

D1 School exclusions.

D2 School applications.

D3 Special educational needs.

D4 Financial support for students (two from the following):

D4.1 - Maintenance allowance / local authority

grants.

D4.2 - Access fund.

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D4.3 - Means-tested benefits / Tax Credits.

E Employment

Three out of four of sections E1 to E4:

E1 Unfair dismissal.

E2 Problems with wages / rates of pay.

E3 Age discrimination at work.

E4 Access to training.

I confirm the above information is accurate.

Name (please print):

Signature:

Date:

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Annex B: Supervisor Standards for the Advice with Casework Level

The details that follow describe the requirements that are necessary for an individual

to be recognised as a casework supervisor.

Organisations applying to be certified to the Advice with Casework level must have at

least one individual who undertakes on average 12 hours per week in a category of

law or for a particular target group. In addition there are requirements that the

caseworkers within the organisation collectively complete the minimum number of

types of case within the category during a calendar year. (See case 1 forms in Annex

A) To be recognised as a caseworker each person must complete on average 6 hours

per week in the chosen category.

As an alternative to the specification above, for organisations that do not have a 12-

hour caseworker, an application can be made for casework in a particular category of

work or for a particular target group if the organisation has an individual who can

meet the requirements for a casework supervisor as detailed below. This supervisor

would be required to supervise all casework in the chosen category undertaken by

any member of the advice staff including volunteers. There are no requirements for

the supervised caseworkers in terms of hours or experience.

The casework supervisor standard has 3 components. These have been designed to

ensure a good background of knowledge has been acquired, that the individual is

available to provide help and guidance to other caseworkers in the chosen category

and that the individual maintains and further develops their knowledge and

expertise.

Experience

The supervisor must have completed, on average, 12 hours per week undertaking

casework for 2 out of the previous 4 years. The casework would include time

devoted to training, education and involvement in supervision or involvement in

others’ casework. Despite the various ways of contributing to the casework hours in

addition to direct casework, these are expected to contribute a limited number of

hours towards the overall casework time. It is unlikely that less than 9 hours of full

casework would be allowed by the auditor although special circumstances may be

considered. The majority of hours within the 12 must have been devoted to

casework in the chosen category. Where the 2 years do not include the previous

year, arrangements must have been made to bring the individual’s knowledge up to

date.

Supervision

The supervisor must spend a minimum of 12 hours per week (on average) working for

the organisation in the supervisor capacity. If they are not directly available to other

caseworkers during this time, arrangements must be in place to ensure caseworkers

can receive guidance and supervision remotely. This must be available at the same

time as clients are being advised. 6 out of the 12 hours per week must be devoted to

the chosen casework category. This time can include training, education and

supervision and direct involvement in other cases. The auditor will be concerned

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about the number of hours of casework undertaken by the organisation that the

supervisor is expected to supervise. The supervisor must be able to demonstrate

their ability to supervise all casework fully and in particular for those advisers with

less experience.

Caseload

The supervisor must maintain their own caseload or have direct involvement in the

casework undertaken by others in the organisation. During each calendar year the

supervisor must undertake their own casework across the specified range of subjects

as described in Annex A. Involvement in the casework conducted by advisors must be

more than purely checking cases or independent file review, although the auditor

would expect that these should happen in line with the supervision and file review

requirements in the Advice Quality Standard.

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Appendix C – Logo Guidance

1. If you are an Applicant, unless we grant you prior written permission, you must

not in any way imply that you are, or will be, a holder of the Advice Quality

Standard (either full or provisional). If we do grant you prior written permission,

you must comply with any conditions that have been specified.

2. You may publicise and promote your status as a holder of the Advice Quality

Standard (full or provisional), in any reasonable manner consistent with the spirit

and intention of the Advice Quality Standard Agreement.

3. You must not say or do anything that is, or is likely to be, misleading to clients or

potential clients regarding your status as a holder of the Advice Quality Standard

(full or provisional), or to advertise or associate with any other services that

could in any way imply that they are holders of the Advice Quality Standard.

4. If the Advice Services Alliance or the audit body consider that you are publicising

or promoting in a manner that is not consistent with the spirit and intention of

the Advice Quality Standard Agreement, or may be misleading to clients (or

potential clients), they may direct you to cease such publicity or promotion. If

we do direct you to cease such publicity or promotion, you must comply with the

direction without delay.

5. You acknowledge that the Advice Services Alliance owns all rights to any

Promotional Items.

6. You must not alter or amend any Promotional Items without prior written

permission by the Advice Services Alliance.

7. You acknowledge that any Promotional Items that are owned by the Advice

Services Alliance, and designated as such, remain in our ownership at all times.

8. You must use Promotional Items in accordance with any Guidance that the

Advice Services Alliance issue about them.

9. Further guidelines on the use of the Advice Quality Standard logos (permitted

colour, size, etc.) are provided as part of this guidance. Guidelines are issued by

the Advice Services Alliance (in the form of a “logo pack”) upon grant of the

Advice Quality Standard.

Definitions

“Promotional Items” means any logos, certificates, display materials, information,

literature and other items supplied, or approved in writing, by us for use in connection

with the Advice Quality Standard.

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Appendix D: Advice Quality Standard Agreement

1 Set out below is an example of the agreement used for the Advice Quality Standard

standard. If we agree that you meet the requirements for Advice Quality Standard,

your application will be granted and you will receive your Advice Quality Standard

Certificate.

2 If your application is refused you may, within 21 days of the date of the refusal

notice, submit an appeal in accordance with the published Advice Quality Standard

appeal procedure.

3 Provided you continue to hold a current certificate, this agreement will stay in

force until revoked. You may end it before then by giving one months notice. You

may not assign it or otherwise dispose of it or any rights under it. When this

agreement ends, all rights and obligations under it end, unless otherwise stated.

This agreement does not create any right enforceable by any person not a party to

it.

4 Your certificate may include additional agreement terms. While you hold a current

certificate you:

must continue to meet the requirements for the Advice Quality Standard

and must demonstrate this when required;

must allow the auditor, on no less than 14 days notice, to verify your

compliance with this agreement by audit, attending your premises or

otherwise;

must not say or do anything misleading about your status under this

agreement;

must provide up-to-date information about you for entry in the Advice

Quality Standard directory;

must inform the audit body if any of the information recorded in your

certificate changes and of any material changes to the information you gave

in your application;

must inform the audit body of any change in your legal identity, of any sale

or transfer of your business, of any change in your ownership or control, if

any insolvency proceedings are commenced against you and if any criminal

proceedings are commenced against you or any of your personnel in

connection with your operations

may use, in accordance with guidance, the Advice Quality Standard issued

by us.

5 You will be given six months’ notice of any changes to the terms of this agreement

or to the requirements for the Advice Quality Standard.

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6 You must provide the audit body with any information you hold that is required by

law to be obtained from you. The audit body will keep all confidential information

concerning your, or your clients', affairs strictly confidential unless they are

required by law to disclose it or are required to disclose it to Parliament, or, in

respect of information concerning your affairs, they consider that disclosure is in

the public interest. Where the auditing body intend to disclose in the public

interest, they will notify you of their intention before doing so (unless this would

prejudice a lawful investigation e.g. by the police).

7 You must indemnify the audit body without delay in respect of all liabilities we

incur as a result of (a) injury to our personnel or their property while they are on

your premises for the purposes of this agreement and this is caused by your

negligence or in respect of which you are entitled to indemnity under a policy of

insurance; and (b) any claim by a third party in respect of any act or default

committed by, or for, you.

8 You must not try to bribe any of our personnel or any person who may perform

services for, or who is associated with, the Advice Quality Standard.

9 If you breach this agreement, if you give false information in your application, if

insolvency proceedings are commenced against you or if any criminal proceedings

are commenced against you or any of your personnel in connection with your

operations, we may suspend or cancel your certificate on one months notice.

10 If you are given notice suspending or cancelling your certificate you may, within 21

days of the date of the notice, submit an appeal in accordance with our published

appeal procedure.

11 Provided, if applicable, the audit body have reasonably operated the appeal

procedure, where we have acted in good faith but are in breach of this agreement,

the audit body shall not be under any liability to you under this agreement or

otherwise for any loss or damage. “Loss or damage” includes any loss of anticipated

profits as well as any consequential or economic loss or damage, arising from the

breach.

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Glossary of Terms

Term Definition

Access

Encompassing physical access, i.e. disability ramps, lifts, door

widths, opening hours and outreach etc. Also access for clients

with impairments e.g. facilities for the deaf and those with

impaired sight, plus access for specific groups e.g. women, ethnic

minorities, non-English speakers, special interest groups etc).

Audit Body This currently refers to The Assessment Network Ltd who are the

external body responsible for the administration of the Advice

Quality Standard audits.

Casework The AQS interchangeably uses the term caseworker/casework,

member of staff/ casework staff. All cover every individual to

whom cases are allocated (including cases of one off advice) in an

area of service where you seek or want to maintain the Advice

Quality Standard. Supervisors and managers are also caseworkers

where they are allocated cases.

Independent The advice provided by the organisation is in the best interests of

the client and is not affected by the interests of funders.

Key Personnel Those people within organisations that are responsible for making

decisions.

Quality Manual An organisation’s collection of written procedures for delivering a

quality service.

Referral &

Signposting

To ensure individuals receive advice from an appropriate

alternative service provider whenever your organisation cannot

help them; either where you cannot help them initially before any

legal advice has been given (i.e. signposting), or where you

cannot help them further in a current matter where a client

relationship has already been established (i.e. referral). The

separate guidance document provides examples where Referral

and Signposting will apply. Please note that for the purpose of

the requirement in B1, referral excludes non- legal services (e.g.

Mediation).

Staff Those persons who undertake work on behalf of an organisation,

either paid or on a voluntary basis.

Supervisor A person who is able to recognise best practice and who can

provide appropriate guidance and assistance to staff in the

delivery of a quality legal service.

Target Groups A specific client population served by a provider.