Scottish National Standards for Information and Advice Providers: a quality assurance framework

1. General Management Standards

This section of the Standards is designed to ensure that there is effective management of the service and its resources.

Standard 1.1

All service providers must have clear management structures that identify the roles and responsibilities of all post holders involved in the planning, management and delivery of the service.

All staff and volunteers should know the boundaries around their roles and the roles of other people in their service. These should include, where appropriate, management committee members, paid managers, all paid and unpaid staff.

Indicators for Type I, Type II and Type III

A document identifying all of those involved in the planning, management and delivery of the service

A document detailing special responsibilities, terms of reference and decision making authority

All staff and volunteers should be able to describe the scope of their role and, where appropriate, identify to whom, when and how they could refer matters for decision.

* CAS Membership Conditions, SQMS

Standard 1.2

All standard office procedures must be documented

Procedures and practices vary greatly between agencies and are subject to constant modification and improvement. The smooth running of a service depends upon all of those involved in its delivery being fully conversant with the practices and procedures of the service.

Indicators for Type I, Type II and Type III

• All policies and procedures should be collated (normally compiled in an Office Manual).
• Responsibility for the maintenance of this manual should be clearly assigned in the management structure.
• All staff and volunteers should have access to this manual and it should form a distinct part of the induction of all individuals involved in the delivery of the service.

* CAS Membership Conditions, SQMS, ISO 9001

Standard 1.3

All service providers must have robust systems for financial management

In order that both funders of services and service users can be confident that a service can survive and meet its obligation they need to be assured that all monies are properly accounted for and that the service is financially viable.

Indicators for Type I, Type II and Type III

There should be clear documentation on how responsibility for financial management is exercised. In addition, voluntary organisations should be able to demonstrate that accounts are monitored at least quarterly by their management committee / board of trustees.

All organisations should ensure that they maintain the following information:

• an annual Budget;
• quarterly variance of income and expenditure against budget;
• an annual profit and loss account or Income and Expenditure account; and
• an annual balance sheet.

* CAS Membership Conditions, SQMS

Standard 1.4

There must be clear lines of internal communication.

Good lines of internal communication are important to ensure the efficient operation of the service and as a mechanism for updating all staff in policies, procedures or priorities.

Indicators for Type I, Type II and Type III

• Regular meetings for all individuals involved in the delivery of the service

* CAS Membership Conditions, SQMS

Standard 1.5

Each service provider must be able to demonstrate that it is complying with all relevant general legislation

All agencies must stay within the law to protect those responsible for the planning, management and delivery of the service from the risk of prosecution and to maintain public confidence in the service delivered.

Indicators for Type I, Type II and Type III

• Knowledge of the legislation relevant to the agency (for example, Company Law, Charity law) and its role as a service provider (for example, Public Liability Act) and as an employer (example, Health and Safety)
• Evidence that current insurance provides the necessary protection - for example, Public Liability, employers' insurance, and so on

* CAS Membership Conditions, SQMS