Money Advice Service
Peer Review Scheme
Pre Assessment Guidance and Questionnaire for Organisations
Administered by Recognising Excellence
August 2015
Contents
Page Number
1.0
Introduction
5
2.0
Overview of the Money Advice Service Peer Review Scheme
5
2.1 Engagement with the Peer Review Scheme
6
Appointed Scheme Administrator
6
3.1
Recognising Excellence Delivery Team
7
3.2
Peer Review Assessor Team
8
3.0
4.0
Principles of Service Delivery
8
5.0
Assessment of a Case File
8
5.1
9
Individual Case Records
5.1.2 Information Sources
5.2
Client Consent for Third Party Access
6.0 Peer Review Assessment Cycle Flowchart
10
10
12
6.1 Pre Assessment Questionnaire and Closed File List Requested
13
6.2
Sample of Files Selected
13
6.2.1 File Selection Process
13
6.2.1.2 Definitions of Advice Only/Casework
13
6.2.1.3 Advice Only
13
6.2.1.4 Casework
13
6.2.1.5 Additional Guidance: Citizens Advice Work Levels
14
6.2.2 File Sample
15
2
Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.2.3 Repeat Clients and Linked Files
15
6.2.4 Sample Volume
15
6.2.5 Staff List and Volunteers
16
6.2.6 Submitting Case Files for assessment
16
6.2.6.1 Hard Copy Files
16
6.2.6.2 Electronic File Submission (Sharepoint Document Management System)
17
6.2.6.3 Access to Internal Case Management Systems
17
6.2.6.4 Returning Case Files
17
6.2.6.5 Destroying Case Files
18
6.2.6.6 Storage of Case Files during the assessment process
18
6.2.7 File Redaction
18
6.2.8 Allocation of a Peer Reviewer
18
6.2.9 Conflict of Interest
19
6.3 Peer Review Assessment
20
6.3.1 Service Level Agreement
21
6.3.2 Assessment of the File
22
6.3.3 Scoring Process
22
6.3.3.1 Stage One
23
6.3.3.2 Stage Two
23
6.3.3.3 Organisational Score
24
6.4 Peer Review Report
24
6.4.1 Quality Control and Moderation
24
6.4.2 Interim Report
25
3
Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.5
6.6
Individual Action Plan Session (Feedback Meeting)
25
6.5.1 Remedial Action/Development Plan Agreed (where applicable)
25
6.5.1.1 Urgent Remedial Action
26
6.5.1.2 Other Remedial Actions
26
6.5.1.3 Dispute Resolution Process
27
Reporting on Actions Taken
27
6.6.1 Assessment Cycle
28
6.6.2 Feedback Survey
28
6.7 Analysis and Learning Reports
28
Appendix One
Pre Assessment Questionnaire (for completion)
29
Appendix Two
Peer Reviewer Biographies
36
Appendix Three
Peer Reviewer Code of Conduct
40
Appendix Four
Case File Review Criteria Casework
42
Appendix Five
Case File Review Criteria Advice Only
50
4
Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
1.0
Introduction
Your Organisation has been scheduled for a Peer Review assessment. This paper highlights the key features
of the assessment process including the criteria that will underpin the assessment methodology and
confirms the next steps you will need to take. Appendix One contains the Pre Assessment Questionnaire
which we now require you to complete and return within the next 15 days.
2.0
Overview of the Money Advice Service Peer Review Scheme
The Money Advice Service (MAS) has a statutory responsibility for enhancing the quality of debt advice
across the UK, in order to secure the best possible outcomes for clients receiving debt advice. The Peer
Review Scheme is one strand of this focus, which provides a mechanism for current specialist debt advisers
to assess the quality of advice provided by their peers. The scheme has been drawn up with input from a
range of organisations across the debt advice sector.
The Peer Review Scheme is designed to promote continuous improvement from within the advice
sector in line with the statutory role to work with partners to improve the quality and consistency of
debt advice. The aim of this work is to increase the quality of advice delivery above the standards set
by FCA rules and to complement the risk-based approach to supervision.
Under the Scheme, Peer Reviewers will review clients’ files and assess the quality of advice provided to the
client and how any work undertaken on their behalf has been carried out. They will identify any areas
where those organisations being reviewed, and their advisers, can introduce a continuous improvement
plan and will support them in exploring actions required to make the changes. The scheme will also
highlight areas of good and best practice and share them across the sector.
The Peer Review Scheme will initially be rolled out with organisations receiving Money Advice Service
funding in England and Wales, and expanded into Scotland and Northern Ireland as new funding
agreements are agreed. It is also anticipated that the scheme will be expanded to debt advice
organisations that do not receive Money Advice Service funding, including national telephone providers.
The principles of the Peer Review Scheme are detailed below and ensure:

It is designed as a development tool for debt advice organisations’;

It assesses the quality and effectiveness of debt advice given to, and actions taken on
behalf of clients;
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
2.1

It assesses across a range of debt types and debt strategies;

It assesses processes including sign-posting/referrals, case recording and case
management and the appropriate use of self-help (taking into account the nature of the
service offered by the advice-provider) as well as the debt advice given and any other
assistance given or offered;

It enables the sharing of best practice through reviewing individual advisers’ files and
identifying trends and examples of good practice;

It enables debt advice organisations’ to demonstrate that their advisers meet the
Scheme criteria through an impartial remote assessment of the case record/file alone;

It is a transparent scheme, incorporating clear information and guidance to advisers and
reviewers. It takes account of the Money Advice Service Quality Framework for
Individuals and the National Occupational Standards by incorporating them into the
case review template(s) as appropriate
Engagement with the Peer Review Scheme
The Scheme is principally designed to support and facilitate the development of the sector and to
review advice provision across all debt advice provided rather than any single funding stream.
Although participation in the Scheme is mandatory for those organisations that are grant funded by
the Money Advice Service, it is your participation and engagement with the Scheme which provides
the only link to this funding stream and not the outcome of your score itself. The Scheme will
therefore invite the submission of files for all clients who receive debt advice from your Organisation,
not just of clients advised through the MAS funding channel. This will enable the Scheme to focus on
supporting the development of the whole debt advice service and facilitate the improvement of
services for all clients.
Assessment outcomes and reports will not be shared with the Money Advice Service. They will
remain confidential to the Peer Reviewer, the Scheme Administrator and yourself as the organisation
being assessed.
3.0
Appointed Scheme Administrator
The Money Advice Service has appointed Recognising Excellence (RE) as the Peer Review Scheme
Administrator. Recognising Excellence's core business activities are the assessment of performance and
service delivery against formal Quality Frameworks to monitor the quality and consistency of the services
provided and to drive continuous improvement and the adoption of best practice.
The methodologies we employ include accreditation of Quality Standards, Peer to Peer review, internal
verification by experts, sharing of good practice and the development of new assessment processes.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
3.1
Recognising Excellence Delivery Team
Amanda Jordan, Contract Manager amanda.jordan@recognisingexcellence.co.uk
The Peer Review Scheme will be managed by Amanda Jordan, with the support of a delivery team
comprising a range of expertise, including technical debt knowledge.. Amanda has extensive
experience of implementing and working with quality standards and their custodians to ensure the
assessment process is delivered consistently and impartially in order to protect the integrity of the
process.
Amanda will lead on mobilising and implementing the Peer Review Scheme working closely with both
the Money Advice Service and engaging with key stakeholders. In addition, Amanda’s focus will be to
ensure the quality and consistency of assessment outcomes, working closely with the team of Peer
Reviewers delivering the front line assessment service. Moderation activities, mentoring support and
active involvement in assessment feedback meetings will ensure all organisations participating in the
Scheme experience a seamless assessment.
Peter Madge, Technical Expert peter.madge@recognisingexcellence.co.uk
Peter has worked in the debt advice sector for nearly 30 years. Since 1991 he has been providing
second tier specialist support to debt advisers through Citizens Advice.
Peter will work closely with our appointed team of Peer Reviewers to ensure quality and consistency
of approach with a specific focus on assessment methodology, scoring and outcomes of each
assessment.
Lucie Rainford, Project Co-ordinator lucie.rainford@recognisingexcellence.co.uk
Lucie will be the first port of call in relation to assessment scheduling, ensuring that assessments take
place according to the planned schedule, and files are selected and available for assessment within
the appropriate timescales.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
3.2
Peer Review Assessor Team
Following an inclusive recruitment process, a team of 14 individuals have been appointed to undertake the
role of a Peer Reviewer. The delivery team represents a broad range of debt advice organisations and
provides representation from both independent advice agencies and Bureaux, including a mix of MAS
funded and non funded agencies. Appendix Two contains a brief biography of each team member.
4.0
Principles of Service Delivery
The principles of our approach to delivering the Peer Review Scheme are as follows:






5.0
Transparent delivery managed by an impartial provider using non-conflicted Peer
Reviewers.
Desktop based process of Peer Review activity totalling approximately 3 days per
organisation.
Stakeholder engagement with MAS funded and non funded agencies to ensure the
objectives of the Scheme are clear and understood
Develop expertise within the Peer Reviewer team to identify good practice and areas
for development at both an organisational and individual adviser level.
Analyse the research base of knowledge from the Peer Reviews to identify common
challenges and learning/solutions which can be shared with all providers of debt advice
Operate a three year assessment cycle with the exception of where an organisation has
been identified for follow up peer review in 12 months.
Assessment of a Case File
Under the Peer Review process, Reviewers will consider a sample of closed case files that have been
selected for review through a remote, desktop based assessment process. Using template Case File
Review Forms as a guide (one for Advice-only, and one for Casework – see Appendices Four and
Five), Reviewers will assess the contents of each case file individually and using their expertise and
professional judgement, will apply a score to each file. A detailed report will be prepared for each
file within the sample together with a full report overview summarising the assessment of the
organisation as a whole. The Reviewer will facilitate a remote feedback meeting with the
Organisation to share the findings of the assessment process, highlighting areas of good practice,
improvement and remedial action as appropriate. A timeframe will be agreed during the feedback
meeting for remedial action to be further considered by the Reviewer and the assessment report
amended as appropriate.
Indicators of ‘good’ advice to be assessed during each review will include:

Is the advice accurate and legally correct?
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015

Is advice appropriate to the client’s individual circumstances?

Is the advice comprehensive and does it deal with other linked issues, beyond the issue presented
by the client?

Is advice given in time/at the right time?

Are the tactics and strategies employed to achieve the best outcomes for clients?

Is any further work undertaken appropriately, carried out efficiently, and effective in working
towards what the client reasonably wanted/needed?
All relevant indicators will be taken into account during the assessment but it is the file as a whole that will
be scored. The criteria will not be weighted and the scoring will take account of any missed issues and
actual or potential client detriment. For example, advice which is legally accurate and comprehensive but
neither timely, or appropriate to the client will not be positively scored.
5.1
Individual Case Records
Peer Reviewers will review complete and closed files. A file is deemed to be a complete record of the case.
Advice should be recorded effectively to enable other advisers, supervisors, auditors (including Peer
Reviewers) and clients to understand all of the key information about the case. This involves making notes
on the case record. These notes should be concise, informative, easy to read and set out in a systematic
way.
The case record should provide evidence of effective interviewing, namely:

Clarifying and exploring the presenting problem and any other problems;

Identifying relevant dates and action taken so far;

Exploring the client’s situation;

Gathering relevant key information;

Exploring and explaining the client’s options;

Identifying where insufficient information has been provided;

Summarising next steps.
The case record should comprise a clear note of all interviews (which may be incorporated into a
confirmation of advice letter) and a clear record of all advice given (which again may be incorporated into a
confirmation of advice letter).
The case record should include:

relevant time limits and key dates;
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015






any information sources referred to;
creditor correspondence (where applicable)
the advice given (including options discussed);
any action taken;
roles and responsibilities and next steps;
outcome of the case/enquiry.
The case record should clearly set out what advice was given to the client and also the context of the
advice given and actions taken i.e how the information provided by the client and other sources was
applied to the client’s case/enquiry.
It is good practice for advisers to state in their case record the solutions/options offered and the reason(s)
the client did not go with a particular solution/option, rather than just recording the option chosen by the
client. Where appropriate, the case record should also set out the reason(s) why any advice was not given
and/or option offered which would usually be given/offered to a client in a particular situation. e.g. where
advice was given only in relation to the presenting issue, it should be case recorded why this was so e.g the
client’s other debts being dealt with by a different advice provider.
5.1.2 Information Sources
In situations where case records do not accurately reflect discussions or information being considered by
the client, these ‘information sources’ should be recorded on the case file. This includes when information
is shared during an appointment or sent out as a follow up in the post. Case records should identify the
information source, including links to website although not necessarily the content.
5.2
Client Consent for Third Party Access
The Information Commissioner’s Office has confirmed that data protection rules do not require a service to
obtain specific consent from clients for their files to be Peer Reviewed by an external third party. However,
it is necessary for organisations to be clear to clients in their processes that their files may be used for
quality assurance purposes. It should be made clear that should this occur, their personal information will
be treated confidentially and will not be shared for any other purpose.
All clients accessing debt advice, whatever the source of funding for the advice, should be informed at the
outset of receiving advice, that their records may be used for the monitoring of quality, including Peer
Review and external quality assurance audits e.g. when the organisation providing advice is renewing or
applying for quality standards. It should be made clear that should this occur, their personal information
will be treated confidentially and will not be shared for any other purpose. If a client informs the
organisation that they do not wish their information to be shared, a record should be made and their file
will be excluded from the Peer Review assessment.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
In instances where files have been selected for review, and consent has not been gained, we will request
that either you retrospectively contact the client to gain their consent or, that you redact the files prior to
submission.
For those organisations that do not currently seek client consent, the following is a suggested form of
words that could be included in an information leaflet or client care letter:
As an organisation, we are committed to achieving the best possible outcome for all individuals that seek
our assistance. We strive to maintain the highest possible levels of quality across our service delivery and
as such, may seek external endorsement on the quality of our work through the achievement of publicly
recognisable quality standards. As part of this external assessment, we are required to make a sample of
client files available to an independent Assessor in order for them to verify the quality of our advice and file
management. External Assessors are required to maintain confidentiality in relation to your file and it is
important to note that they are assessing us as an organisation and not you as an Individual. If you would
prefer that your file did not form part of this independent assessment, please notify your Adviser of your
preference in writing.
11
Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.0
Peer Review Assessment Cycle
12
Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.1
Pre Assessment Questionnaire and Closed File List Requested
As your organisation has now been scheduled for a Peer Review assessment, we now invite you to
complete and return the attached Pre Assessment Questionnaire. (See Appendix One) The questionnaire
will provide us with all of the data that we need understand the service provision undertaken and enable
us to select a sample of files in order to move forward with the assessment activity. Upon return of the
questionnaire, you will be allocated a Peer Reviewer. Allocation of a Peer Reviewer will take into account
the protocols of our Conflict of Interest Policy. In order to ensure that your assessment takes place within
the allocated schedule, you are asked to complete and return the questionnaire within 15 calendar days.
6.2
Sample of Files Selected
6.2.1 File Selection Process
The Scheme is principally designed to support and facilitate the development of the sector and to review
advice provision across all debt advice provided rather than any single funding stream. Although
participation in the Scheme is mandatory for those organisations that are grant funded by the Money
Advice Service, participation and engagement with the Scheme is the only link to this funding stream. The
Scheme will therefore invite the submission of files not just of clients advised through the MAS funding
channel, but of all clients who receive debt advice from your organisation. This will enable the Scheme to
focus on supporting the development of the whole debt advice service and facilitate the improvement of
services for all clients. Case files selected will represent the percentage of work undertaken by an
individual Adviser, and should be drawn to reflect client support at Advice Only, Casework, and Court
Representation level. To add a further layer of impartiality, selection of case files will be made by the
Contract Manager with contribution from the Technical Expert.
6.2.1.2 Definitions of Casework / Advice Only
6.2.1.3 Advice Only Includes diagnosing the client’s problem(s), giving information and explaining
options and helping the client decide between options. The provision of information alone is not advice.
Advice can include some action such as a referral to another organisation, identifying options and next
steps, giving assistance such as form filling and contacting third parties for information. There is no rule
about the maximum number of contacts.
6.2.1.4 Casework The advice organisation takes on responsibility for the conduct of a case and an
adviser takes action on behalf of the client. The organisation drives and manages the case, generally
devolving responsibility to a caseworker(s) who has a continuing relationship with the client. There is no
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
rule about the number of contacts that constitutes casework. Negotiation, advocacy and representation,
where appropriate, are common features of casework
6.2.1.5 Additional Guidance: Citizens Advice Work Levels
We have identified through stakeholder engagement meetings that guidance is required in relation to case
file recording across Citizens Advice participants and some guidance can be found below. Citizens Advice
have confirmed the work level recorded should reflect the final level of debt advice the client has received.
It should not be a reflection of an adviser’s level of experience. Further guidance is available through the
QAA team at Citizens Advice.
Cablink offers a definition of 6 work levels :
MAS - Type of Advice
Citizens Advice - Work Level
Common Initial Assessment Gateway
Advice
Information
Advice
Advice and referral
Advice and limited action
Casework
Generalist Casework
Specialist Casework
For the purposes of the Peer Review Scheme, the work levels of Gateway/CIA and Information will not fall
under the remit of the Scheme. In view of this, enquiries recorded with an advice, advice and referral and
advice and limited action work level will be considered as Peer Review advice only enquiries. Enquiries
recorded as generalist or specialist casework will be considered as Peer Review casework enquiries .
Any enquiry made via Adviceline will not be included within the assessment sample.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.2.2 File Sample
The following principles will apply for Peer Review file selection:

The sample must be selected at random;

All the files must have been closed within the previous 12 months, with the exception of ‘advice
only’ cases where the sample will be drawn from files where there was no client contact within the
previous six months;

The sample must include examples of both casework and advice-only where appropriate;

The sample will be drawn to reflect all debt advice provision rather than a single funding stream;

The sample will be drawn from each adviser, proportionate to the percentage of overall debt advice
work that they undertake for the organisation.

Where Court / Tribunal Representation is undertaken, the sample will include an appropriate
proportion of this matter type.

Consideration will also extend to multi debt related matters to ensure the different range and
complexities of debt advice are assessed.
6.2.3 Repeat Clients and Linked Files
In instances where multiple case files relate to the same client and if the linked file helps demonstrate the full
range of advice given to the client which would not be clear from the most recent case record , then linked files
should be submitted to enable the Peer Reviewer to see the full extent of advice provided by the service.
6.2.4 Sample volume
The Scheme will take the following approach to sampling files:

The standard sample selected will be 20 files taken at random from a list of closed casework and
‘advice only’ files (where there has been no client contact within six months). Where a client returns for
advice, previous case record(s) would be submitted.

Additional files may be requested if there is an error in the sample provided, for example the file is
not a debt-related case.

Where an organisation has more than 20 advisers, the sample will be increased to include at least
one file per adviser.

It will be necessary for the organisation to produce a list of closed files per named adviser within
the previous 12 months from which a selection can be made based upon the proportion of work that they
undertake. In addition, where the organisation undertakes representation, this must be included in the
sample selected and should be identifiable in the lists produced.
Upon return of your completed Pre Assessment Questionnaire, RE will select the sample of files that will
form the basis of the Peer Review assessment and notify you of which files have been selected.
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6.2.5 Staff List and Volunteers
The Scheme will consider a sample of files that have been closed within the last 12 months across both
current and previous employees. Where there has been a high turnover of staff within the period, please
highlight this information within the Pre Assessment Questionnaire. Where Volunteers support front line
service delivery with ownership of their own casework or 'advice only' clients, they will be included within
the scope of the assessment.
6.2.6 Submitting Case Files for assessment (Electronic / Hard Copy)
Once you have received notification of the case files required for the assessment activity, you will be
required to submit the selected case files within 14 calendar days for the Peer Review process to begin.
Case file submission could be in the form of either hard copy, electronic or a mix of both. In all instances,
RE will co-ordinate the transit and delivery arrangements of case files and will liaise with you regarding
collection and delivery details.
It is important that all files submitted use a client reference number in place of a client name. This will
enable Peer Reviewers to ensure that all Peer Review reports use the client reference details as opposed to
client names, ensuring confidentiality is maintained and that reports are able to be shared electronically.
It is anticipated that there may well be instances where standard advice, particularly the use of
organisational standard letters, have not been copied on the client file. Whilst this is not considered good
practice, these omissions may lead to an incomplete assessment. During the initial roll out of the Scheme
we will request that in addition to the client file, your submission includes copies of such standard letters
that are in use and to provide details of any standard advice routinely provided, but not incorporated into
the file. Where this is the case, there will be a recommendation in the Peer Review report for copies of
such documentation to be held on or linked with the file.
6.2.6.1
Hard Copy Files
Hard copy case files could be either the original file or a copy file. Files should be securely packaged into
one or more parcels and will be collected from your offices by our preferred transit method (DHL Express)
and delivered directly to your allocated Peer Reviewer. RE will liaise with you to determine when files are
ready for collection and delivery will made the next working days. Each parcel should include a contents list
which will form the basis of a two stage verification and sense check upon receipt . All deliveries will
require a signed acceptance of safe delivery. We will, as routine, acknowledge safe receipt of your
parcel(s).
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
6.2.6.2
Electronic File Submission (SharePoint Document Management System)
The Money Advice Service has developed a secure encrypted file sharing portal to aid the process of
submitting files electronically. SharePoint, a Microsoft cloud based system will allow you to upload the
contents of a case file into the Document Management System. Via a controlled Remote Terminal Sever
and pre-set security level, a Peer Reviewer will then be able to consider the uploaded files as part of the
assessment process. It is important to note that the security level and control in place is such that a Peer
Reviewer is able only to view the uploaded documents, and will not be able to edit, copy, print or
download.
RE will co-ordinate and manage the process of case files being uploaded into SharePoint prior to any
assessment activity commencing. Upon return of your completed Pre Assessment Questionnaire, we will
provide instructions on how to access and use the SharePoint facility, which will include a brief tutorial
video. Once we are satisfied the files have been placed into the system correctly and the access levels for
all parties are appropriate, we will authorise your allocated Peer Reviewer to start the assessment process.
6.2.6.3
Access to Internal Case Management Systems
For Organisations using AdvicePro as their preferred case management system, we are aware that some
services may now be in a position to grant third party access to a secure and restricted area within Advice
Pro that will enable a Peer Review to undertake the assessment process remotely, with access only to
those files that have been selected. If this functionality is now possible and would be your preferred
approach, please indicate this within the Pre Assessment Questionnaire and we can discuss further with
you.
6.2.6.4
Returning Case Files
Case files will be returned only when the assessment activity has been completed in full. For Organisations
requiring remedial action, this could span several weeks following completion of the assessment activity.
In conjunction with the Peer Reviewer, each example of remedial action will be considered individually, to
determine if the original files are required to close out the action planning process.
At the appropriate time, your allocated Peer Reviewer will securely re package the case files into one or
more parcels, ready for return back to you. The original contents list will be reviewed to ensure all
documentation is included.
RE will arrange for our preferred transit provider (DHL Express) to collect the parcels directly from the Peer
Reviewer for delivery back to you the next working day. We will as routine inform you when the files are
on their way back to you.
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Helpline: 07584 355 486
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August 2015
6.2.6.5
Destroying Case Files
In situations where the assessment process has reviewed a copy file, it will be considered appropriate to
destroy the file without returning to you.
Client files will only be destroyed when no longer required as part of the assessment process i.e. all
remedial action has been closed out, or RE has agreed that it is no longer necessary to keep the file. In all
instances, RE will confirm with you that the client file is a copy file and is therefore eligible for destruction.
All files will be destroyed using a secure method e.g shredding or incineration and confidentiality will be
maintained both during the destruction and disposal process.
6.2.6.6
Storage of Files during the assessment process
Whilst in their care, Peer Reviewers will be responsible for ensuring the safeguarding and confidentiality of
all data relating to you as the Organisation they are assessing, any Individual Adviser working for you, and
the contents and detail of client files. When not in use, files will be stored in lockable filing cabinets or a
suitably secure equivalent location.
6.2.7 File Redaction
The Peer Review delivery team will be working to a strict Code of Conduct and Confidentiality that
underpins their role as a Peer Reviewer. Confidentiality will extend to client information and the quality of
any organisation or individual adviser’s work. It is therefore not anticipated that there will be a need to
redact information on those case files selected for assessment, however as an Organisation you are free to
make this choice if you feel it necessary. As a further measure of ensuring Confidentiality, and if deemed
necessary by you as the Organisation, a Peer Reviewer can also be asked to sign a Confidentiality
agreement directly with yourselves.
6.2.8 Allocation to a Peer Reviewer
Upon receipt of your completed Pre Assessment Questionnaire, you will be allocated a Peer Reviewer. In
order to assure the impartiality of the Peer Reviewer a number of factors will be considered prior to a Peer
Reviewer being appointed to undertake an assessment activity. Considerations will extend to both the
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Organisation to be assessed and to the Peer Reviewer as an individual. Although RE will work to a
stringent protocol when pairing an organisation to be assessed with their allocated Peer Reviewer, the
Peer Reviewer themselves will also have a responsibility to identify any apparent or perceived conflict of
interest. Similarly, as an organisation that is scheduled for a Peer Review assessment, any concern with
your allocated Peer Reviewer can be raised directly to the Contact Manager via e mail :
Amanda.jordan@recognisingexcellence.co.uk A brief biography for each member of the Peer Review team
is included within Appendix Two.
6.2.9 Conflict of Interest
A Conflict of Interest within this Scheme is determined as a conflict between a person’s duties and
responsibilities with regard to the review process, and the person’s private, professional, business or public
interests. In general terms, there may be a conflict of interest (or the perception of a conflict of interest)
where the Peer Reviewer has had an opportunity to form a view about the level of competence of the
Organisation to be assessed and/or of advisers who work in it or to have their view of an Organisation
and/or its advisers biased or affected in some way.
There may be a real, perceived or potential conflict of interest when the peer reviewer:


would receive professional or personal benefit resulting from the organisation being reviewed;
has a professional or personal relationship with an organisation; or
 has a direct or indirect financial interest in a funding opportunity or organisation being reviewed
For the purposes of this Scheme, RE has determined the following examples would result in an Individual
being ‘conflicted out’ from undertaking a Peer Review assessment:
Organisational Conflict:





If the individual works for the Organisation to be assessed
If the Organisation is part of the same MAS funded partnership or sub partnership
If informal partnership arrangements exist between the individuals employer Organisation and the
Organisation to be assessed
If the Organisation is located within the same local authority area as the Individuals employer
organisation
The Individual’s Organisation is in direct competition for funding with the Organisation to be assessed
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
Individual Conflict:




If the Individual has previously worked for or had substantive dealings with the Organisation to be
assessed
If a spouse, partner, close friend or family member works for the Organisation to be assessed
If the Individual (or a colleague in the Individual’s Organisation) has previously advised or had
substantive dealings with the client file to be assessed including where the Individual (or colleague)
has advised the other party in a conflict of interest situation
If the Individual has any knowledge that could affect their ability to remain impartial
RE will consider any apparent or perceived conflict of interest prior to allocating a Peer Reviewer to a
scheduled assessment. Peer Reviewers will have a duty to notify RE from the outset if there is any conflict
or potential conflict of interest from their perspective. If they discover a conflict of interest during the
conduct of a Peer Review assessment that was not apparent at the outset, they are required to
immediately speak to the RE Contract Manager who will provide further guidance.
If a Peer Reviewer is employed by a Citizens Advice partner, under the terms of managing conflict of
interest, they will able to assess another Citizens Advice partner only if they do not work within the same
sub partnership (relevant for some MAS funded advice services).
6.3 Peer Review Assessment
Once we have received and acknowledged safe receipt of your case files, your allocated Peer Reviewer will
be instructed to commence the assessment activity.
The assessment itself will involve a review of each case file, looking at the quality of substantive advice
provided and the procedural aspects of the file. The table below highlights the Service Level Agreement
and turn around timescales for each stage of the assessment process.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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August 2015
6.3.1 Service Level Agreement
Activity
Pre Assessment
1.
Pre-assessment questionnaire, application pack and guidance shared with
organisations targeted for peer review activity
2.
Organisation to complete and return questionnaire, and provide
supporting documentation
3.
Acknowledgement of returned questionnaire
4.
Allocation of Peer Reviewer (opportunity for conflict of interest to be
raised)
5.
Confirm case files selected for Peer Review
6.
Case files prepared for submission
Arrangements made for electronic or hard copy submission
7.
Safe receipt of files confirmed to Organisation
8.
Peer Reviewer authorised to commence assessment
Assessment
9.
Peer Review Assessment
10.
Draft report prepared and submitted to RE
11.
RE draft report moderation and debrief with Peer Reviewer
12.
13.
14.
Draft report finalised
Draft report shared with Organisation
Individual file scores and organisational score to be recorded on
evaluation matrix
Post Assessment
15.
Follow up feedback session and action planning meeting **
16.
Action Plan developed and agreed
17.
18.
19.
** Dispute Resolution Process if applicable.
Second Peer Review to review case files
Feedback to Contract Manager / First Peer Reviewer / Organisation
Organisation to undertake remedial action as identified within report and
action plan
Support provided to Organisation throughout remedial action phase
Organisation to provide supplementary documentation
20.
21.
22.
Review and sign off of remedial actions
Final report prepared
Final report moderation activity
23.
Final report shared with Organisation. Requirement to sign declaration
and acceptance of report
Next assessment timescales agreed with Organisation along with
invitation to completion Feedback Survey
Final report shared with MAS (anonymised)
24.
25.
By Whom
SLA
(Calendar Days)
Project Co-ordinator
3 months prior
Organisation
15 days
Project Co-ordinator
Contract Manager
2 days
2 days
Contract Manager
Organisation
Project Co-ordinator
Project Co-ordinator
Project Co-ordinator
5 days
14 days
Peer Reviewers
Peer Reviewer
Contact Manager
Technical Expert
Peer Reviewer
Contact Manager
Project Co-ordinator
10 days
1 day
5 days
Peer Reviewer
Contract Manager
Peer Reviewer
Organisation
Technical Expert
Contract Manager
Organisation
Organisation
14 days
Contract Manager
Organisation
Peer Reviewer
Peer Reviewer
Contract Manager
Technical Expert
Organisation
1 day
1 day
2 days
1 day
2 days
2 days
3 days
Urgent: 28 days
Other: 90 days
On going
Within relevant
deadline
5 days
1 day
2 days
5 days
Project Co-ordinator
1 day
Project Co-ordinator
1 day
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
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6.3.2 Assessment of the file
The Peer Review assessment will consider, from the evidence contained within the case file, whether the
Adviser has demonstrated they have dealt with the case effectively.
The fundamental nature of Peer Review is that it involves the judgement of an experienced practitioner.
The Peer Review team may use their experience of running their own cases and supervising the cases of
others to assess a file in the context of keeping an open mind and taking into account the varying
approaches to debt advice. They will recognise that their way of dealing with a case is not necessarily the
only way and that alternative approaches may be just as valid. Ultimately it may well be that the clients’
journey will vary and therefore the Peer Review assessment will focus on assessing whether the correct
advice coupled with the appropriate solution(s) was/were given to the client.
The Peer Review process can be described as follows:
To examine the quality of the work carried out on behalf of the client, based on the evidence contained
within the file. The file is assessed against the Peer Review criteria. Not all criteria are relevant to every file
but every relevant criteria will be assessed for applicability. Appendices Four and Five identify the
assessment criteria for both Advice only and Casework files.
‘Evidence’ = something on the file which points to whether the criterion has been fulfilled or not. There are
many areas where particular advice is given as a matter of routine; in these cases, the Reviewer will need
to see on the file that this routine advice has been given, to be sure that the case has been handled
correctly.
‘Accurate’ and ‘appropriate’ are commonly used in the criteria. ‘Accurate’ = factually and legally
acceptable. ‘Appropriate’ = having regard to (i) the circumstances of the case; (ii) the level of information
available (which in turn relies on sufficient information having been obtained from the client and recorded
in the first place) and (iii) the ethical, practical, tactical and legal considerations.
6.3.3 Scoring Process
The Scheme will use a staged non-weighted scoring system. Peer Reviewers will assess each file against the
individual criteria contained within the peer review case form and will give an individual score to each file.
The sample of 20 files per organisation will then be totalled to provide the organisation’s overall score and
percentage.
The principles adopted for the assessment process and scoring system are that they should:






be transparent;
be uncomplicated;
be straightforward;
be easy for peer reviewers to use and advisers/organisations to understand;
represent a fair reflection of the quality of advice displayed for each case;
produce results which can be objectively justified;
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www.recognisingexcellence.co.uk
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
contain clear dividing lines between good, adequate and poor quality of advice.
6.3.3.1 Stage One
The first stage of scoring each file will involve the Peer Reviewer making an assessment against the
individual criteria in the Peer Review case form (See Appendix Three and Four), and making a decision as to
whether the criteria have been: Met, Not Metor Not Applicable. Examples of partially met criteria will be
classed as Not Met.
In instances where a ‘Not Met’ score has been applied, a full explanation will be detailed in the comments
section of the report. One example of this could be that there was no information recorded on file and
therefore the criteria could not be assessed.
6.3.3.2 Stage Two
The second stage involves the Peer Reviewer considering the file as a whole. Their expertise will be used to
consider the impact of the advice on the client, taking particular account of whether or not the advice has
gone beyond the issue raised by the client, based on information that the client has disclosed.
In determining which score to apply, the Peer Reviewer will consider the impact of any ‘missed issues’ on
the client’s situation. Where a client fails to take the appropriate steps, potentially leading to a detrimental
outcome, this will not have an impact on the score for the file.
The scoring categories for the overall assessment (in other words stage 1 and stage 2 combined) will be as
follows:
Score
Categorisation
0
The client’s situation has not been progressed and there may be actual or
potential detriment to the client’s situation
1
Adequate advice has been given and the client’s situation has been progressed
but either that advice did not go beyond the presenting issue(s)* and/or there
has been a missed issue or issues*. Where there has been an actual or
potentially detrimental impact on the client’s situation the file will be scored as
zero
2
Competent. The client has been advised fully and correctly and the client’s
situation has been progressed significantly but more could have been done
3
The client has been advised fully and correctly and the client’s situation has
been progressed appropriately (For ‘advice only’ scoring: provided that the
action plan/next steps in these cases are appropriate, the file will be marked at
a 3).
*Based upon information collected from the client and recorded
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
6.3.3.3 The Organisational Score
The organisational score will be calculated by adding together the individual scores from the case files
reviewed to produce an overall organisation mark out of the maximum of 60 (ie 20 files x maximum score
of 3 = 60) . The scoring will be adapted to take account of any circumstance where more than 20 files are
assessed. Therefore the score will also be shown as a percentage for all assessed organisations eg. if an
organisation has 30 advisers whose files all score 2 (ie 30 files x score of 2 - 60 (out of a maximum score of
90) represented as a percentage - 67%).
The Peer Review assessment process works on a three year cycle. Under the Scheme, organisations will be
reviewed on a three year assessment cycle with the exception of where an organisation has been identified
for a follow-up Peer Review in 12 months.
A annual follow-up Peer Review will take place in the event of the following situations:



An organisation scores 35 or 58% or below;
An organisation has any files scoring 0 within the sample assessed;
An organisation has 20% or more files scoring 1 within the sample assessed.
Recognising Excellence will continue to liaise with the Organisation at various intervals during the 12
month period to ensure that the Organisation is fully prepared in advance of the next assessment activity.
6.4 Peer Review Report
Following completion of an organisation’s Peer Review, the Reviewer will compile a report which
summarises their assessment of the organisation based on the file sample as a whole, including the overall
organisational score. The report will also highlight the number of files that do not meet the benchmark
score of 2 (competent). The report will identify the scores for each file assessed and will identify any
examples of good practice taken from the individual Peer Review case forms but also any areas where – in
the Reviewer’s opinion – there are concerns and/or room for improvement. It will contain the appropriate
level of explanation to justify the Reviewer’s assessment of the quality of the organisation’s work.
In addition to the report, organisations will receive copies of each of the case review forms to inform
feedback to, and the development of, individual advisers. Where appropriate, the action plan to be drawn
up between the Reviewer and the organisation will include recommendations relating to individual
advisers.
6.4.1 Quality Control and Moderation
The first draft of the report will be subject to stringent quality control and moderation checks to ensure
consistency of approach across the Peer Review delivery team. Moderation will involve both the RE
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
Technical Expert and the Contract Manager, with the Technical Expert focusing on consistency and
application of the scoring approach. Moderation activities will be supported by a formal debrief with the
Peer Reviewer prior to the draft report being shared with the Organisation being assessed
6.4.2 Interim Report
Once the first stage moderation activities have been completed, the draft report summary will be shared
with the Organisation and will inform the basis of a facilitated feedback discussion, where the findings of
the Peer Review assessment and the scores of individual files will be discussed in depth. At this point a
mutually convenient date and time will be agreed for the feedback discussions to take place and should be
no later than 14 days after the interim report was shared. The interim report may be subject to
amendment based upon the discussions during the feedback meeting.
6.5 Individual Action Planning Session (Feedback Meeting)
The feedback meeting will provide an opportunity for an open and interactive dialogue between the Peer
Reviewer and the Organisation and is considered the most valuable part of the assessment process. It is
for the Organisation to decide the most appropriate person (s) to receive the feedback, and is entirely
acceptable for more than one person to receive the feedback.
The meeting will be undertaken remotely through the most convenient method e.g. telephone, Skype etc
and the discussion will focus on:
1. A review of each section of the report;
2. Any queries relating to scoring, including an opportunity to direct the Reviewer to any information
submitted that may prompt a review of scoring.
3. Developing and agreeing any appropriate actions and timelines;
4. Emerging trends. These could be due to organisational practice or could be linked to a particular
individual. Any highlighted trends will form part of the feedback discussions with support and guidance
offered as appropriate.
Feedback discussions will be led by the Peer Reviewer with the RE Contract Manager also in attendance,
observing the process in an independent and impartial capacity. The Peer Reviewer may revise any of the
report content and suggest alternative actions in light of the discussions. A copy of any revised report will
be sent to the organisation following the meeting. Once the final report version is agreed, both the Peer
Reviewer and Organisation will be required to sign declarations of completion and acceptance.
6.5.1 Remedial Action/Development Plan Agreed (where applicable)
The feedback discussions and assessment findings will inform whether the organisation is required to take
further action. Where further action is required, a plan will be agreed with the Organisation which will be
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
broken down into urgent remedial actions and other. Recognising Excellence will continue to provide
support to the Organisation during any period of action required.
6.5.1.1 Urgent Remedial Actions
Urgent remedial action would arise out of the areas of major concern identified within the Peer Review
Report. i.e the main issues that lead the Peer Reviewer to score a file as 0 or 1. Urgent remedial actions
are likely to arise due to the perceived risk of detriment/potential detriment to a client.
These could be identified in two areas; either a) in relation to an individual case or b) in relation to an
organisational or individual’s approach. An example of both scenarios could be as follows:
a) If remedial action could be taken on an individual case e,g the client given the correct advice with
the appropriate options and action plan
b) Remedial action in relation to the individual Adviser(s) or the organisation itself to prevent the issue
from reoccurring. What this remedial action may look like will largely depend on why the issue
occurred. Some examples may be:
 It may be sufficient just to give feedback to the individual(s)
 It may be sufficient to refer to relevant additional sources of advice and support such as a
nominated Supervisor, Advisernet or the Expert Advice Team at Citizens Advice
 It may be appropriate to revisit the approach of Supervision and the needs of the individual
Adviser(s)
 If a clear training need is identified, the development of a training plan
Urgent remedial action will require the Organisation to take action and supply further evidence within a
period of 28 days.
6.5.1.2 Other Remedial Actions
Remedial actions which are not identified as a priority are likely to arise from Areas for Development
identified within the Peer Review report. Non urgent remedial action must be undertaken within a period
of 90 days. Examples of a non urgent action could include:



making a change to a letter/report template to more effectively reflect the client advice/journey
Improving case recording or file management processes
Implementation of a training plan following urgent remedial action (identified above)
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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6.5.1.3 Dispute Resolution Process
It is recognised that there may be situations where the review and planning discussions are unable to
advance due to disagreement in relation to the scoring or assessment of one or more files, or any
proposed actions.
The open and interactive approach of the feedback meeting seeks to mitigate the likelihood of a dispute
with the Contract Manager in attendance to facilitate the discussions as appropriate. At this stage, the
assessment report is considered a draft and may be subject to amendment based upon the discussions of
the meeting. Whilst the review is based on the evidence contained in the file, in some circumstances it may
be appropriate for additional information to be provided to the Peer Reviewer for further consideration.
Additional information would only be considered where there are mitigating circumstances that resulted in
the file being an incomplete record of the client case.
Should agreement not be reached from these feedback discussions, the Organisation can request a second
opinion on the disputed issue and will be requested to formally write to the MAS Contract Manager in
order to instigate the Dispute Resolution Process. The formal request should clearly state the area of
dispute and should be sent to: Amanda Jordan – Amanda.jordan@recognisingexcellence.co.uk
Recognising Excellence will collate all relevant information and secure the opinion of a second Peer
Reviewer. The findings of any second opinion will then be shared with both the reviewed organisation and
the original Peer Reviewer. A second remote meeting will then be arranged to conclude the review and
planning stage, taking into account the findings of the second Peer Reviewer to agree and finalise actions.
The second opinion will be deemed to be final.
6.6
Reporting on Actions Taken
Additional supplementary information should, in the first instance, be submitted to Recognising Excellence,
who will then liaise with the Peer Reviewer as appropriate. The additional information submitted will be
considered and a final assessment report prepared. The final report will be subject to internal moderation
and quality assurance checks which will be followed by a shorter version of the feedback meeting taking
place in order to formally conclude the assessment process. As before, once the final report version is
agreed, both the Peer Reviewer and Organisation will be required to sign declarations of completion and
acceptance.
Final assessment reports will be fully anonymised and shared with the Money Advice Service on
completion of the full assessment process. Assessment reports will be held confidentiality and will not be
made publically available.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
6.6.1 Assessment Cycle
The Peer Review assessment process works on a three year cycle. Under the Scheme, organisations will be
reviewed on a three year assessment cycle with the exception of where an organisation has been identified
for a follow-up peer review in 12 months.
A follow-up organisation Peer Review will take place in the event of the following situations:



An organisation scores 35 or 58% or below;
An organisation has any files scoring 0 within the sample assessed;
An organisation has 20% or more files scoring 1 within the sample assessed.
Recognising Excellence will continue to liaise with the Organisation at various intervals during the 12
month period to ensure that the Organisation is fully prepared in advance of the next assessment activity.
6.6.2 Feedback Survey
Upon completion of the assessment process, Recognising Excellence will invite you to participate in a
feedback survey in order that we may capture your views on your experience of the assessment process
and approach of the delivery team. Your feedback will be essential, particularly in the early stages of
contract delivery to ensure that the Scheme is shaped appropriately for the sector.
6.7
Analysis of Learning and Reporting
On a twice yearly basis, Recognising Excellence will conduct a comprehensive analysis and provide an
anonymised Peer Review report highlighting trends, common challenges and good practice. A copy of this
report will be published by MAS on an annual basis to share learning across the sector and will identify any
geography-specific points.
The Scheme as a whole will be evaluated following 12 months of its implementation and will include input
from delivery Organisations, Advisers and Peer Reviewers. Subsequent to that, the Scheme will be
reviewed as appropriate to improve its effectiveness and efficiency.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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August 2015
Appendix One
Pre Assessment Questionnaire (for completion)
Please complete and return within 14 working days to Lucie Rainford
Lucie.rainford@recognisingexcellence.co.uk
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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Money Advice Service Peer Review Scheme
Pre Assessment Questionnaire
Organisation Contact Details:
Name of Organisation:
Principal Office Address:
Postcode:
Primary Contact Name:
Position:
Telephone Number:
Mobile:
Email Address:
Secondary Contact Name:
Position:
Email Address:
Name of MAS Funded Partnership:
Intended File Submission Method:
Hard Copy
Copy Files
Electronic via SharePoint
Yes / No
Yes / No
Yes / No
Advice Only:
Casework:
Proportion of Advice Only vs Casework (%)
Is Court Representation Offered?
Average Volume of Cases:
Yes / No
Per month:
Per Year:
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
Funding Streams:
Please provide an overview of the different funding streams that support your debt advice service delivery:
Are there any limits to your service i.e Funding Criteria?
Yes / No
If yes, please expand further:
Quality Procedures:
Please provide an overview of any existing internal file review / Peer Review procedures that are currently in
operation:
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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August 2015
Standard Advice Letter Templates:
Please provide an overview of any standard advice letters that are routinely used, which may not be included within
the sample of case files selected for assessment:
Organisational Codes/Terminology:
Please identify any specific organisational codes, terminology or abbreviations used:
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
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File Access:
Please identify any specific issues regarding our ability to access client files:
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
Staffing and Personnel
Please complete this section with the details for each of the individual debt advisors that are currently
providing debt advice within your Organisation. Where Volunteers are used to support the service,
delivering front line debt advice with ownership of their own casework or 'advice only' clients, they should also
be named below.
Name
Supervisor
Yes / No
Proportion
(%) of
debt
advice
work
output
Funding
Stream:
Court
Representative
Yes / No
Proportion (%)
of Cases that
are Advice
Only:
Case List
Included:
Yes / No
Please continue on a separate sheet if necessary
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
Documents to be included with your application submission:
1. Completed Pre Assessment Questionnaire
Yes / No
2. Completed Staffing and Personnel List
Yes / No
3. List of closed (a) casework
and (b) advice-only
for the last 12 months sorted by Caseworker
Yes / No
4. List of closed files involving Court Representation in the last 12 months
(where applicable)
Yes / No / Na
5. Policies/detail where the scope of debt advice work is limited within funded
streams (where applicable)
Yes / No / Na
6. Copies of any standard letters / routine advice that may not be
incorporated within the case file
Yes / No / Na
7. Copies of any Screen Shots applicable
Yes / No / Na
8. Copy of any file review / Peer to Peer review criteria
Yes / No / Na
9. Any other relevant supporting documentation you would like us to consider
Yes / No / Na
Disclaimer:
Applications will cannot be processed unless all information and supporting material are supplied with the
completed application form.
Signed: .........................................................................................
Date: ........../............../.............
Name: ...........................................................................................
Position: .....................................
Please submit your completed questionnaire and all relevant documentation to:
Lucie.rainford@recognisingexcellence.co.uk
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August 2015
Appendix Two
Cheryl Swift
Talking Money
Gabriela Tocu
Camden Citizens Advice
Service
Peer Reviewer Biographies
Cheryl has been working at Talking Money (formally Bristol Debt Advice Centre) for
over 10 years. As Senior Money Advice Caseworker, Cheryl supports a team of seven
specialist debt advisers and four volunteers and also provides supervision to several
external debt advisers working for a local housing association. Operating under both
LSC and MAS funding arrangements, Cheryl has a wealth of experience and expertise
in all aspects of debt advice and carries her own caseload, providing advice on a faceto-face basis, by telephone and by email. Under the LSC contract, Cheryl provided
representation to clients at County Court and whilst working in partnership with
Bristol City Council, was invited to provide assistance to clients who were facing
Committal Proceeding in the Magistrates Court for council tax arrears. Cheryl has
been carrying out file reviews for colleagues, as well as peer reviews for external
organisations, for several years.
Gabriela has been working for Camden Citizens Advice Bureau as a Money Advice
Caseworker for the past 5 years and prior to that, trained as a Generalist Adviser with
Westminster Citizens Advice Bureau. Her current role sees her dealing with all aspects
of money advice, and she regularly represent clients in court, helping them respond to
money claims and repossession cases.
Gabriela undertakes internal peer review activities with her colleagues with the
service.
James Boocock
Christians Against Poverty
(CAP)
John Wain
Citizens Advice
Wythenshawe
James has been a debt adviser at CAP for over 6 years. He has been in several of CAP’s
centralised debt counselling teams in that time and now manages the team holding
the more complex cases. His main areas of expertise are in giving advice on debt
solutions for complex cases, giving insolvency advice and advising about issues
involving assets. He has experience preparing court forms for court, but not in
representation. One of his current responsibilities is to head up training, mentoring
and sign off of debt advisers who check advice on assets and complex advice. Two of
his main areas of interest are in overseas assets (including time shares) and defending
creditor bankruptcy petitions.
John is a Debt Casework Supervisor at Citizens Advice Manchester. He has 32 years’
experience of frontline debt advice, having worked for independent advice centres,
local authorities and Citizens Advice Bureaux across the country. He is used to
managing a large complex debt caseload in a target-driven environment and has
experience of both court-based and duty advice in the Birmingham and Manchester
Courts. He has been a MAT trainer since 1999 and has considerable experience of
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www.recognisingexcellence.co.uk
August 2015
Julie Prendergast
Citizens Advice
Staffordshire North and
Stoke on Trent
coaching and supporting other debt advisers as well as monitoring and reviewing their
casework.
Julie is a Debt Adviser and Supervisor for the Money Advice Team working for
Staffordshire North and Stoke on Trent Citizens Advice, one of the largest providers
covering Stoke on Trent, Newcastle under Lyme and Biddulph.
Julie has been a debt adviser for over 10 years and originally started as a volunteer in
2000 and in 2001 as an outreach worker, covering generalist advice sessions within
the wider community. Julie’s previous experience with Peer Review includes acting
as a Supervisor on the LSC contract and with FIF (as MASDAP was in its 1st
incarnation!). Part of Julie’s role involves regularly completing peer reviews, which
she feels allows her to develop and maintain best practice in her caseworker role, and
support her approach to supervision and development of the team by encouraging
good working practices.
Although Julie does not attend court with clients, she is familiar with all court
processes and does complete necessary court paperwork and advises clients on
hearing and court procedures.
Kelly Williams
Citizens Advice Rhondda
Cynon Taff
Marina Gallagher
Kelly has worked for Rhondda Cynon Taff Citizens Advice Bureau in the role of Debt
Caseworker for nearly 8 years. Before securing paid employment with the bureau,
Kelly volunteered for a period of 18 months, in the role of Generalist Adviser. Since
being in paid employment with Citizens Advice, Kelly has obtained the Certificate in
Money Advice Practice which has resulted in her becoming an accredited member of
the Institute of Money Advisers. Kelly has been a Debt Relief Order Intermediary since
2009 and has experience of county court representation. Within Citizens Advice, Kelly
is part of the team responsible for carrying out formal reviews of bureau debt
enquires under the pilot of the new approach to the quality of advice audit.
Marina has been working in the area of free debt advice for the past 24 years and has
spent the last 13 years as a Debt Advice Specialist Support Officer at Citizens Advice.
Before this, she worked for Gloucester Citizens Advice Bureau and Gloucestershire
Money Advice Service. During this time she has represented clients in court at
administration order, time order, charging order, possession order and bankruptcy
hearings and has helped to run a mortgage possession advice desk at Gloucester
County Court. As part of her role at Citizens Advice, she has peer reviewed her
Specialist Support colleagues cases and those of debt advisers working on a debt relief
order project.
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Michael Moreton
Community Advice and Law
Service (CALS)
Necla Bakirci
Camden Citizens Advice
Service
Nick Ansell
Citizens Advice Blackpool
Michael works for Community Advice and Law Service(CALS) in Leicester as the Advice
Services Manager and also carries his own caseload. Michael has been a specialist
debt adviser for 20 years and has also worked at Nuneaton , Birmingham and
Coventry CABs. As well as working under MAS funding, Michael has experience as a
Legal Aid debt supervisor. Michael has significant experience undertaking Court
representation in the past, including being involved in court representation rotas.
Michael was a debt peer reviewer for the Legal Services Commission for 3 years and
was the lead peer reviewer for the East Midlands Money Advice partnership peer
review pilot.
Necla started working for Camden Citizens Advice Bureau Service as a generalist
adviser and has been a specialist debt adviser for the past nine years.. The project she
currently works on advises clients with disabilities living across London. Necla has a
wide range of experience within all areas of debt advice, including being a qualified
DRO intermediary, who is able to advise and support clients with bankruptcy
petitions. Furthermore, Necla have successfully represented clients in rent and
mortgage possession cases. Within her role at Camden Citizens Advice, Necla
supports paid and volunteer advisers and undertakes peer reviews across the team.
Nick works for Blackpool CAB in the role of Casework Supervisor which involves the
mentoring and training of caseworkers and volunteers in debt advice. . Originally
working as a volunteer in 2003, Nick was employed as a generalist caseworker on the
GP outreach team in 2005. In 2006, Nick was involved with the very first FIF project, at
a time when DTI paid for comprehensive debt casework training. Since that time, Nick
has enhanced this through experience and continued training in specialist areas.
Nick’s experience includes working as the Deputy Supervisor on the LSC Contract and
in 2010 Nick was integral in developing the bureau’s integrated debt advice process
that won the bureau the Best New Initiative award at the IMA conference in 2011.
Whilst working on the legal aid contract, Nick spent a number of years manning the
court desk on repossession days, and have represented clients at other debt related
hearings over the years.
Nick’s current role involves peer review and providing feedback to colleagues,
identifying training needs and mentoring where needed.
Nicola Phillips
Nicola has been working for Citizens Advice 1066 in Hastings as a Money Advice Case
Worker for the last sixteen years, and for the last two of those, managing a team of
Money Advice Case Workers. Within her role, Nicola has supervised the Legal Aid
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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August 2015
Citizens Advice 1066
contract and other contracts. Nicola currently holds the IMA Accreditation which she
gained in 2009 and is also a Debt Relief Order Intermediary. Nicola has extensive
knowledge in the debt field and has been involved previously in running a Court Desk
and representing clients in Court. As part of her role, Nicola gives talks on Debt
Advice and Debt Training to other organisations and is also currently involved with the
pilot for Peer Review Assessments for Cita , undertaking a couple of reviews a month.
Philip Monk
Philip qualified as a solicitor in November 2007. He has worked in the field of Money
Advice for 18 years and has been a Debt Supervisor for 14 years. Philip is employed
by Coventry Law Centre which is funded by various bodies including Coventry City
Council, Legal Aid Agency and Comic Relief. The Law Centre recently won Legal Aid
Firm/not for profit organisation of the year at the Legal Aid Lawyers of the year
awards ceremony.
Coventry Law Centre
Philip is an Authorised Intermediary for Debt Relief Orders. He has experience in
dealing with various County Court proceedings including Charging Orders, Time
Orders and challenging liability for consumer debts. He has also represented clients in
council tax committal hearings and possession hearings. Philip has experience of
insolvency proceedings including Statutory Demands, Debt Relief Orders and
personal bankruptcy. He was the instructing adviser in the Court of Appeal case R
(Steele) v Birmingham City Council and Secretary of State for Work and Pensions
[2005] EWCA Civ 1824, [2006] 1 WLR 238. This was a case that determined whether
overpayments of welfare benefits could be included in an individual’s personal
bankruptcy.
Piers Heneker
Citizens Advice Ceredigion
Sarah Sauvat
Island Advice Centre
Piers works for Citizens Advice Ceredigion in the role as Debt Caseworker and
Supervisor. Piers has been delivering debt advice since 2007, and has been a member
of the Institute of Money Advisers for the same length of time. Pier has been a DRO
intermediary since 2009 and also holds a Certificate in Money Advice Practise. As part
of his role, Piers undertakes monthly peer reviews across the debt team.
Sarah is a debt Caseworker and Supervisor for Island Advice Centre an Independent
Advice Agency in Tower Hamlets London which offers specialist advice and casework
in Debt, Welfare Rights and Housing advice as well as volunteer training. Originally
working as a volunteer, Sarah has over 11 years experience of debt advice working
under different funding streams, including the Legal Aid. Sarah is an approved
intermediary and have helped people with DRO as well setting aside CCJ, mortgage
arrears repossession, writ of fifa, suspending warrant, and avoiding order for sale.
Sarah has undertaken peer reviews across several independent advice agencies within
the London region.
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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www.recognisingexcellence.co.uk
August 2015
Appendix Three – Peer Reviewer Code of Conduct
Individuals who undertake Peer Review on behalf of RE should always adhere to the specific guidance,
criteria and processes that underpin our delivery of the Scheme. In addition, the following good practice
should be applied to all reviews:
Objectivity, Impartiality and Integrity: this should be maintained throughout the review process,
irrespective of the personal or professional experience of the Reviewer. Reviewers should not accept any
gifts or inducement which could influence, compromise or threaten their ability to act and to be seen as
acting independently.
Competence: reviewers have a responsibility to inform RE in cases where they consider themselves to be
insufficiently expert in the area for review i.e. where a case file involves Court Representation. If
necessary, Reviewers should decline the review and return the material to RE.
Professionalism: reviewers must commit to being honest, thorough and providing straightforward
communication in the performance of peer review activities. Reviewers should be consistent and accurate
in their evaluations of information received during the peer review process and strive to be complete in
the assessment activity, avoiding any omissions. Facts should be separated from opinion and clearly and
concisely conveyed within assessment reports. Fundamentally, all Peer Review activity should be
undertaken in a conscientious, diligent, respectful and efficient manner.
Constructive critique: while Reviewers are required to critically evaluate case files, they should aim to do
so in a balanced way, wherever possible identifying strengths and phrasing criticisms in a constructive way.
Personal attacks or criticisms are unacceptable. The review and resulting report should provide guidance
on how the advice, approach and case file management processes might be improved, providing
supporting evidence drawn from the case files reviewed to substantiate the feedback.
Organisational sensitivity: reviewers should keep under consideration the sensitive nature of the work
they are reviewing and should structure the assessment report summary and feedback meeting as
appropriate. By the very nature of the review process, trends may emerge relating to either organisational
practice, individual performance or both, and engagement during the feedback process is critical to
ensuring the acceptance of review outcomes.
Timeliness and responsiveness: every effort should be made to complete the review within the specified
time period and Reviewers should notify RE in cases where this is not possible. Post assessment follow up
discussions should take place within the timescales identified with the Service Level Agreement.
Disclosure of Conflicts of Interest: reviewers should identify and declare in advance of the review, any
potential conflicting interests that could impinge on the effectiveness or objectivity of the review process.
This could include, but is not limited to, any organisational, legal, ethical, financial, moral or personal
conflict of interest. This should be assessed in conjunction with RE’s guidance on conflict of interests.
Where applicable, reviews should be declined.
Confidentiality: All information made available as part of the assessment process should be treated in the
strictest confidence. Reviewers should maintain confidentiality and protect the identity of any
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Organisation, individual Adviser or client identified within a case file, by not disclosing, retaining or copying
any information and by not discussing any aspect of the review process with colleagues. Reviewers must
not take advantage of any information obtained as a result of their role and must adhere to the
Confidentiality and Data Security/Data Protection policies of RE. This relates to all information received
during the peer review assessment and the peer review results.
Data Protection: Reviewers must store and dispose of documents in compliance with the Data Protection
Act, by storing documents in a secure place, not sharing or making copies of documents and returning or
destroying documents in accordance with the guidance provided by RE. Any email exchange which
contains confidential information i.e. an assessment report or action plan must be encrypted prior to
sending.
Misconduct: Reviewers should inform RE (in confidence) when they become aware of practice which is
considered to fall below good conduct e.g practice which raises ethical concerns or identifies misconduct
on the part of an Adviser or Organisation including plagiarism, fabrication or falsification.
Engagement: To ensure the success of the Scheme, reviewers should be engaged with the approach and
assessment process throughout their involvement. This could involve participation in ongoing CPD,
individual and group moderation and evaluation activities. Suggestions for ways in which the Scheme and
assessment approach could be simplified/improved are encouraged, particularly during the early stages of
delivery.
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Appendix Four
Case File Review Criteria - Casework
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015
Appendix Five -
Case File Review Criteria - Advice Only
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
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Helpline: 07584 355 486
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Peer Review Pre Assessment Guidance and Questionnaire for Organisations
Helpline: 07584 355 486
www.recognisingexcellence.co.uk
August 2015