7. Self-Assessment Checklists

This self-assessment checklist is designed as a tool to assist you to evaluate your present service against the Standards. In addition to a simple yes/no tick box we have included boxes which can assist you to plan for their future development or where you can list the file or reference number for any supporting documentation that demonstrates how you meet the Standard.

In addition to providing you with the opportunity to assess your present service against the Standards we hope that these checklists will become a useful tool in the periodic review of your service.

7.1 GOVERNANCE TO ENSURE ACCOUNTABILITY

The Standard	Yes/ No	Date for implementation	File or reference number
DEFINING YOUR SERVICE
Do you have a clear statement of the values that underpin your service and the role that your organisation hopes to undertake?
Does this include:
Why you are providing a service?
Who the service is for?
The type of service to be provided?
What you hope to achieve from your interventions?
Are all staff, volunteers and managers aware of these objectives?
EQUAL OPPORTUNITIES
Do you have a clear statement of intent with regard to achieving equal opportunities in your employment practice, governing structures and in your service strategy?
Does this include a commitment to meeting the needs of all parts of the community including disadvantaged groups and those experiencing discrimination (except where your service is clearly defined as for a particular sector of the community)?
Does your policy explain how you intend to implement it and how you intend to measure your effectiveness in implementing this policy?
Are all of the other policies and practices within your agency consistent with your equal opportunities policy?
The Standard	Yes/ No	Date for implementation	File or reference number
Are all staff, volunteers and managers aware of this policy?
SERVICE PLANNING
Do you have a clear service plan for applying your current resources?
Does this include an outline of the service to be provided in terms of:
Levels of information or advice (e.g. sign-posting through to representation)?
Quantity of advice e.g. how many cases per advice worker?
Areas of information or advice in which it provides a service, e.g. welfare benefits, housing etc?
Where the service will be provided from e.g. office based, outreach services and/or home visits?
How often they will provide it including opening hours?
Level and nature of their co-operation with other agencies and how, and in what circumstances cases may be passed on?
Any wider social policy goals and how these will be achieved?
SERVICE REVIEW
Do you regularly review your work against the targets and indicators set in the service plan?
Are the results of such reviews made available in a publicly accessible form at least once a year?
The Standard	Yes/ No	Date for implementation	File or reference number
FORWARD PLANNING
Do you have an outline strategy to provide a background against which your agency can both review its performance and take decisions about its future?
Is this sufficient to inform decisions about staffing levels, office locations, computer purchases etc?
INDEPENDENT INFORMATION & ADVICE
Does your service comply with requirements for independent advice set down by an appropriate national agency (e.g. Citizens Advice Scotland, DIAL-UK, Shelter, the Law Society of Scotland, the Federation of Independent Advice Centres)?

7.2 DEVELOPING YOUR SERVICE TO ENSURE ACCESSIBILITY

The Standard	Yes/ No	Date for implementation	File or reference number
PREMISES (only for organisations providing public access to their premises e.g. not helplines)
Do you have procedures to review the appropriateness of your premises regularly?
Do these include:
Physical accessibility for those with physical and sensory impairments?
Adequacy of resources such as confidential interview rooms?
Location to ensure that it is relevant to the agency's catchment area?
Is this produced as an action plan or strategy paper?
Do your current premises have:
Private interviewing facilities that are sound-proofed and not visible to other service users?
Private office for follow-up work?
Adequate public reception and waiting room?
Means of keeping children accompanying their parents occupied, e.g. creche facilities or toys?
Accessible toilet facilities to meet the needs of both the staff and the public?
METHODS OF DELIVERY
Do you regularly review the methods of delivery for your service to ensure both access and the effective use of resources?
The Standard	Yes/ No	Date for implementation	File or reference number
Does this include consideration of delivering your service through:
Telephone helplines and advice?
E-mail enquiries?
Internet information?
Surgeries and outreach in other agencies' premises?
Home visits?
HOURS OF OPENING
Do you regularly review your hours of service to ensure that these meet the needs of your current and potential service users?
PROMOTION OF SERVICES
Do you produce a marketing plan or promotional summary as part of your service plan?
Do you have a separate budget head for all promotional work?
ALTERNATIVE FORMATS
Are you able to provide information in a range of formats that are appropriate to the needs of disabled people?
Are service users aware how long they are likely to wait for information in alternative formats?
INTERPRETATION
Do you have clear procedures for the use of interpreters that ensure that all interpreters used accept and abide by the agency's confidentiality policy?
Do you make information available in appropriate community languages?
The Standard	Yes/ No	Date for implementation	File or reference number
INFORMATION FOR CHILDREN AND PARENTS
Do you ensure that all information that affects children directly is provided in a format that adults and children can look at together and/or that children can read or listen to themselves?
RELATIONSHIPS WITH OTHER PROVIDERS & REFERRAL ARRANGEMENTS
Do you maintain regular contact and liaison with other providers in your locality?
Have you established formal referral agreements with other agencies to ensure that service users receive a consistent and seamless service?
Do these formal referral agreements include:
How the referral will be made, including that it is to a named individual and the date of any appointment?
Grounds for acceptance or rejection?
The respective responsibilities of referrer and referee?
Any information the referring body can expect at the end of a particular case?
The right of the individual to return to the original agency if they are not satisfied with the referral?

7.3 MANAGING YOUR SERVICE TO IMPROVE ACCESS

The Standard	Yes/ No	Date for implementation	File or reference number
MANAGING YOUR SERVICE
Do you have a written description of your management structure?
Do you maintain an office manual that collates details of office practice and that is readily available to all staff and managers?
Is responsibility for the maintenance of this manual clearly assigned in your management structure?
MANAGING AND TRAINING INFORMATION AND ADVICE WORKERS
Do you document the skills, knowledge and experience required by advisers and other staff and the tasks they are required to perform in a job description?
Do you have a performance appraisal system for staff and volunteers with arrangements to evaluate performance annually against each member of staff's responsibilities and objectives, and a means by which you can act upon these appraisals?

IDENTIFYING OUTCOMES
The Standard	Yes/ No	Date for implementation	File or reference number
Do you have a written training policy that ensures that:
Advisers are trained to a level of competence appropriate to their work?
Training needs are assessed for each person against your agency's service objectives and reviewed at least annually?
Written training records are maintained?
A budget is identified and maintained for this purpose?
Your agency has contingency plans in the event of new legislation being introduced that affect the areas of advice undertaken?
CONFIDENTIALITY & ACCESS TO INFORMATION
Do you have an effective policy on confidentiality that:
Describes the extent of the policy and the circumstances in which information may be passed on?
What these circumstances may be?
How breaches of confidentiality will be dealt with?
The forms of authority required that will enable the agency to speak or act on behalf of the service user?
How service users will be kept informed of any information that has been passed on to third parties?
The Standard	Yes/ No	Date for implementation	File or reference number
Do you have a clear policy on access to information including what information is held about clients, and how the service user may access this information?
INFORMATION RESOURCES
Do you have arrangements to ensure that advisers have ready access to up-to-date reference materials and appropriate journals?
Do you clearly designate responsibility for maintaining and updating information resources within your services plan?
CASE MANAGEMENT
If you are an advice provider do you have a case management system that allows you to:
Identify and trace all documents relating to a case?
Identify conflicts of interest?
Monitor the number of cases and type of case undertaken by each adviser to ensure that they are within her/his capacity?
Record centrally any key dates in cases to ensure that action is taken by the adviser or in her/his absence the agency in appropriate time?
Ensure that action taken can be easily verified?
Ensure that there is proper authorisation and monitoring of undertakings given on behalf of the agency?
The Standard	Yes/ No	Date for implementation	File or reference number
If you are an advice provider do you have a systematic means of handling cases that can:
Identify what action is to be taken?
Identify who will be responsible for the case?
Identify key dates in the matter?
Identify how and when the service user will be kept informed?
Report and confirm in writing to the service user on the outcome explaining any action the service user should now take?
Return to the service user any original documentation except where the service user has agreed that the agency should maintain this information?
FILE REVIEW
Do you have arrangements for case files to be reviewed by a supervisor or other adviser who has not been involved in the day-to-day conduct of the case?
Do you identify, record and report on the outcomes of your work?

7.4 STRATEGIES FOR INVOLVING DISABLED PEOPLE

The Standard	Yes/ No	Date for implementation	File or ref. number
SERVICE USER FEEDBACK
Do you have procedures for actively encouraging feedback from service users?
Do you make provision to ensure that consultation includes:
People with various sensory impairments such as visual or hearing impairments?
People with impaired mobility?
People with learning difficulties?
People with limiting illnesses such as HIV or epilepsy, etc?
People with mental health difficulties?
People with dementia?
Representatives of disabled people?
Do you have a systematic means of monitoring such feedback?
Do you have a means of incorporating such feedback within your service plan?
Do you publicise any changes to services arising from feedback from service users?
COMPLAINTS & RIGHTS OF REDRESS
Do you have an effective complaints procedure which is publicised and made available to all service users in an accessible format?
Do you have systematic means of analysing and monitoring information from complaints?
Is information from complaints incorporated into the service plan?
The Standard	Yes/ No	Date for implementation	File or ref. number
Are any changes in service arising from complaints publicised?
Do you have adequate professional indemnity insurance that ensures your service users are not disadvantaged by any mistakes your agency may make?

7.5 PLANNING WITH DISABLED PEOPLE

The Standard	Yes/ No	Date for implementation	File or reference number
PLANNING WITH DISABLED PEOPLE
In the past 12 months have you made any provisions to supply information about your service to people:
with visual impairments?
with hearing impairments?
with impaired mobility?
with learning difficulties?
with limiting illnesses such as HIV or epilepsy, etc?
with mental health difficulties?
with dementia?
who are representatives of disabled people?
In the past 12 months have you made any arrangements to consult about your service with people:
with visual impairments?
with hearing impairments?
with impaired mobility?
with learning difficulties?
with limiting illnesses such as HIV or epilepsy, etc?
with mental health difficulties?
with dementia?
who are representatives of disabled people?
The Standard	Yes/ No	Date for implementation	File or reference number
In the planning and/or delivery of your service, do you have any arrangements to encourage the participation of people:
with visual impairments?
with hearing impairments?
with impaired mobility?
with learning difficulties?
with limiting illnesses such as HIV or epilepsy, etc?
with mental health difficulties?
with dementia?
who are representatives of disabled people?
Do you have any people from the following groups involved in the governance of your organisation (e.g. as management committee members):
with visual impairments?
with hearing impairments?
with impaired mobility?
with learning difficulties?
with limiting illnesses such as HIV or epilepsy, etc?
with mental health difficulties?
with dementia?
who are representatives of disabled people?

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