PQASSO Quality Mark Guidance On PQASSO Indicators: Levels 1 & 2

For use with PQASSO 4th edition
PQASSO Quality Mark

guidance on
PQASSO indicators
Levels 1 & 2
Approved requirements
for Charity Commission
endorsement
How to use
this document
In order to achieve the PQASSO Quality Mark, organisations must The guidance is in 11 sections, following the 11 quality areas
demonstrate that they have met all indicators across all 11 quality areas of of PQASSO. For each quality area the guidance sets out the
their chosen level. This document provides a guide to what assessors will be following:
looking for at the desktop review and site visit stages of the PQASSO Quality
Mark assessment. Indicators - The first column numbers the PQASSO
indicators by quality area, level, and indicator number.
The guidance is not intended to be comprehensive or exhaustive and
recognises that different organisations will provide different types of evidence. What assessors will be looking for – This list is
offered as a guide for organisations and assessors to
The content of this guidance document has been approved by the Charity the key sources of evidence which assessors will
Commission as part of its endorsement of the PQASSO Quality Mark expect to find to demonstrate achievement of the
programme. PQASSO indicators at your chosen level.
Disclaimer
People
This document is for use by organisations and assessors during a PQASSO Quality Mark The term ‘people’ is used throughout PQASSO and
assessment. It is not a definitive interpretation of the PQASSO indicators, but will provide
some guidance in understanding them, in preparation for a PQASSO Quality Mark this document. ‘People’ generally refers to staff and
assessment. volunteers. Where Board members are to be
*Charity Commission endorsement is available to registered charities in England and Wales and
included in the scope of the indicator, this will be
organisations registered as a charity under another jurisdiction in Scotland, Northern Ireland, the spelt out in the guidance as ‘Board members, staff
Channel Islands and the Isle of Man.
and volunteers.’
© NCVO, 2017 PQASSO Quality Mark: Guidance on PQASSO 3rd edition Indicators - Level 2
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Guidance on Copyright
Unless otherwise indicated, no part of this publication may
evidence
be stored in a retrieval system or reproduced in any form
without prior written permission from NCVO.
To comply with copyright regulations, you must use the

materials in this guide only for the purposes intended, that
PQASSO requires that certain documents are available as sources of is, in the course of an organisation’s PQASSO Quality
evidence to demonstrate that the requirements of an indicator are met. Mark assessment. These materials should not be changed
Where an indicator requires a policy, process or procedure to be in and NCVO must be credited as the copyright owner.
place, the following four requirements apply: PQASSO Quality Mark Guidance on PQASSO 3rd edition
Indicators – Level 2
Consistent – Is practice consistent with policy and © NCVO, 2017
procedures? When evidence is collected, do documents
Published by:
complement and not contradict other documents? National Council for Voluntary Organisations
Society Building
Accessible – Are relevant staff, Board members, volunteers 8 All Saints Street
and users aware of the existence of the evidence and where London N1 9RL
they can find it?
Website: www.ncvo.org.uk
Recent – Is the evidence up to date? Has it been recently Phone: 020 7713 6161
developed or reviewed? Email: pqasso@ncvo.org.uk
Dated – Do you know when the evidence dates from? Is there

a date on it? NCVO is a registered charity (no. 225922) and company
limited by guarantee, registered in England (no.198344).
Assessors will be making judgements based on these requirements during the
assessment process.
Quality area 1 Governance Level 1
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The Board meets all its legal and regulatory responsibilities and accounts appropriately to stakeholders.
Board members have the skills and knowledge to govern the organisation effectively and act in the best
interests of the organisation.
Indicator What assessors will be looking for
1.1.1  Annual general meeting minutes show that Board members are appointed, resign or retire in line with the governing
document.
 Records demonstrate that Board members undergo any eligibility checks before appointment.
 The number of Board members and their length of time in office is in line with the governing document.
 Board members and relevant staff can demonstrate an understanding of the process for appointing new Board
members in line with the governing document.
1.1.2  The profile of skills for Board members shows a range of relevant skills.
 Board members describe how they identify the skills, knowledge and experience needed on the Board and how new
members are recruited to match these needs.
 There may be records of skills audits.
1.1.3  Annual general meeting minutes and Board minutes show that these meetings are in line with the governing
document.
 Officers, for example the Chair and Treasurer are familiar with the governing document and can give an overview of
how legal requirements are understood and met.
 Board members are aware of the organisation’s objects and can explain how they ensure the organisation operates
within these.
 Board members can describe how they inform themselves of and act on changes in the law which may affect the
organisation.
 There is evidence to show that annual returns are submitted on time.
 Minutes show Board reviews of key policies.
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1.1.4  Board minutes show discussion and approval of the operational plan.
 Board members demonstrate an understanding of delegated authorities including arrangement for authorising
expenditure.
 The Chair and managers can describe the sorts of decisions taken at Board and at staff level.
 The governing document or financial procedures include procedures for authorising expenditure.
1.1.5  Board minutes show that meetings are regular and quorate in line with the governing document.
 Board minutes record decisions and agreed actions.
1.1.6  Board members demonstrate an understanding of their role, responsibilities and powers.
 Board members’ conflicts of interest and ways of managing them are recorded in Board minutes.
 Board members can describe the process by which they declare any conflict of interests and conflicts of loyalty and
how these are managed.
1.1.7  Board members and relevant staff can describe the induction process for new Board members.
 Board members demonstrate an awareness of the mission, values and aims of the organisation and say why these are
important.
1.1.8  Board minutes show how the Board oversees work on risk\ management.
 Board members demonstrate an awareness of how risks are identified and managed.
1.1.9  Board minutes show how the Board oversees work on quality improvement.
 Board members may be part of quality working groups assessing quality improvement activities.
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1.1.10  Board minutes show that the Board receives and discusses written reports against the operational plan and budget at
least quarterly.
 Senior people and the Treasurer describe how they work together in preparing management accounts on a quarterly
basis.
 There are published annual reports and accounts and Board minutes show that these have been approved by the
Board.
 Annual Reports describe outputs, outcomes and public benefit achieved.
Quality area 1 Governance Level 2

The Board takes the lead for developing strategy and holds mangers to account for the results achieved.
Board members work to protect the financial sustainability of the organisation to achieve better outcomes for
users and longer-term impact.
1.2.1  Board members can describe the steps they have taken to ensure appropriate diversity on the Board eg, diversity
auditing, targeted recruitment, and facilities to encourage people with specific needs.
 Users and other stakeholders are represented on the Board, as Board members or through user forums and other
engagement methods.
1.2.2  Board members can describe how they provide direction and set strategy and policy.
 The strategic plan is in line with the organisation’s mission and values.
 Minutes of Board meetings address strategic planning processes.
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1.2.3  Board members describe how the Board allocates time for detailed discussion of specific issues and reports back to
the rest of the Board.
 There are terms of reference for any sub-committees.
 Minutes of Board and / or sub-committee meetings show discussions and recommendations agreed by sub-
committees.
1.2.4  Board members can describe how they appoint, support, appraise and hold the chief executive accountable.
 There are supervision and appraisal records for the chief executive.
 The chief executive reports being adequately supported by the Board.
 The CEO job description refers to responsibility for implementing policies, the working of the organisation and the
results achieved.
 There are regular CEO progress reports to the Board against the operational plan.
1.2.5  Board minutes show that the legal status and governing document have been reviewed.
 The legal status and governing document may have been revised in recent years.
 Board members explain why the current legal status and governing document best meet the needs of the organisation
and its users.
1.2.6  Strategy documents include plans for the long-term (three years+) and financial sustainability, and for delivering
sustainable outcomes, and longer-term impacts.
 Board minutes show discussion and actions to be taken by the Board to ensure long-term financial sustainability,
sustainable outcomes, and longer-term impacts.
 Board members describe the steps they have taken to ensure long-term financial sustainability, sustainable outcomes,
and longer-term impacts.
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1.2.7  There are records of Board performance assessments against standards for governance.
 Minutes show that the work of Board sub-committees has been reviewed.
 Board members can explain how they review their own performance and the way delegated powers are exercised.
Quality area 2 Planning Level 1

The organisation has a clear overall purpose, and plans focus on the difference the organisation intends to
make. There is a plan for the next year.
2.1.1  The mission and aims are in line with the objects set out in the governing document.
 The organisation’s mission, values and aims are documented and up-to-date.
2.1.2  The organisation’s services and planned activities are in line with its mission, values and aims.
 Plans are proportionate with available resources.
2.1.3  There is an operational plan for the current year with defined targets for main outputs.
 People are aware of the operational plan and feel that it is realistic and achievable.
 The operational plan reflects the organisation’s charitable objects and is based on realistic financial projections.
2.1.4  People describe how the organisation involves them in developing plans and consults with users and other
stakeholders.
 There may be notes of meetings with users.
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2.1.5  There is a written statement of aims and planned outcomes.
 People demonstrate an understanding of the needs on which aims and intended outcomes are based.
 There may be planning tools such as theory of change, planning triangle and needs assessment information.
 There may be notes of planning meetings recording discussions of user needs.
2.1.6  There may be a PEST analysis or other analysis of the external environment.
 Key staff demonstrate an awareness of funder and other resource provider’s priorities.
 Staff demonstrate an understanding of work being done by other relevant organisations and the potential impact on
the organisation’s plans.
2.1.7  Documented process information and administrative procedures.

 Relevant staff demonstrate a good understanding of the different stages involved in delivering key activities.
 Joint working agreements.
2.1.8  Reports to the Board refer to risk.

 Managers can identify major risks and describe actions planned to minimise and manage these.
 There may be a documented risk assessment.
Quality area 2 Planning Level 2

The organisation develops its longer-term strategy in consultation with key stakeholders. Plans are regularly
reviewed and updated.
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2.2.1  The strategic plan extends over two to three years and sets out the organisation’s values and priorities.
 The strategic plan refers to an assessment of users’ and other stakeholders’ needs.
 There are examples of how the needs of users and other stakeholders were assessed eg documented needs
assessments and/or records of meetings with users and other stakeholders.
 Board members and senior staff can explain how they ensure the independence and integrity of the organisation.
2.2.2  Strategy and operational plans include a clear statement of aims and planned outcomes.
 Documented evidence of user and other stakeholder consultation on aims and outcomes - eg minutes of meetings or
surveys.
 Staff describe how users are involved in determining planned outcomes.
2.2.3  Strategic and operational plans refer to wider impacts.

 There may be a theory of change or outcomes maps.
 Board members and senior managers can give examples of how work is planned to maximise positive social impacts.
2.2.4  The operational plan is clearly based on the overall strategy, reflects the organisation’s charitable objects.
 Senior managers describe how operational plans are developed and explain how they ensure that these are based on
the organisation’s overall strategy.
 Documented project plans and individual and team work plans exist.
 People are aware of their individual, team or project plans and describe how these are used, reviewed and updated.
 There may be minutes of meetings, updated plans and other records of planning updates.
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2.2.5  Documented targets are available with clear time-frames for achieving them.
 Monitoring information and progress reports against targets show that targets are realistic and achievable.
 Managers explain how they ensure that targets are realistic and how they use them to manage expectations and
performance.
 People are aware of targets and consider them realistic.
2.2.6  Managers and the Board describe how the strategy is reviewed and adapted.
 Minutes of meetings include strategy review discussions internally and at Board level and show that the mission,
values and overall aim are regularly reviewed.
 There may be collated monitoring and evaluation findings or reports – managers describe how these are used to
inform strategy updates.
2.2.7  There are documented, regular self-assessments.

 Managers can describe how work on quality is integrated into annual planning processes.
 The current operational plan includes quality improvements based on quality self-assessments.
Quality area 3 Leadership and management Level 1

The organisation has good leadership, promoting effective internal communication and a commitment to the
organisation’s purpose. Managers implement legal and statutory requirements and oversee the
organisation’s progress and development.
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3.1.1  Managers describe how they find out about and ensure compliance with legal requirements, including those on health
and safety, data protection, equalities and the environment.
 Managers demonstrate how contractual obligations are met.
 Published annual accounts show that accounts have been audited or externally examined as required by law.
 Up-to-date insurance certificates exist.
3.1.2  There may be an equalities policy and plans to improve diversity.

 Board members and managers demonstrate an awareness of their equalities responsibilities and a willingness to
create an inclusive culture.
3.1.3  Board members and managers give examples of how they provide direction, lead and ensure their actions reflect the
values of the organisation.
 People are positive about how leadership is consistent with the organisation’s values.
3.1.4  Internal communications reflect two-way communications between Board members, staff and volunteers.
 There may be records of staff and or volunteers presentations at Board meetings or Board members attending staff
group events (meetings or away days).
 People and Board members give examples of two-way communications.
 Managers give examples how they encourage initiative and make use of people’s diverse strengths.
3.1.5  Board members, staff and volunteers demonstrate an understanding of the organisation’s purpose, mission and plans.
 Managers describe intended outcomes and their role in making them happen.
 There may be records of planning meetings or other events.
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3.1.6  Records of internal communications addressing organisational plans, achievements and how problems/issues are
addressed.
 People describe how senior managers motivate, support and inspire people.
 Managers describe how problems and other issues are managed, promptly.
 There may be formal or informal records of coaching and support.
3.1.7  Managers describe how they generate income in line with the budget and plans.
 There may be a fundraising strategy.
 There are bids, contract tenders, funding applications or records of other income-generating activities.
3.1.8  People describe how they are supervised and supported by managers.
 There may be records of inductions, training, coaching and mentoring of staff and volunteers.
 Monitoring reports show outputs achieved as planned.
 People (including managers) describe how they work together to ensure services and activities are delivered as
planned.
Quality area 6 Leadership and management Level 2

Leaders motivate and support people to achieve plans. Managers are involved in strengthening the
organisation and responding effectively to the external environment. A range of policies and guidance are in
place, strengthening good practice.
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3.2.1  Board members and managers describe how they work together to provide leadership and create a shared vision for
the organisation.
 People describe how they are motivated and inspired by the organisation’s leaders.
 Minutes of meetings, records of presentations and discussions and internal communications demonstrate how leaders
communicate and share their vision for the organisation.
3.2.2  People describe their role and how it contributes to achieving the mission.
 There may be collated feedback from staff and volunteer surveys.
 People report feeling motivated and committed to achieving the mission.
 Documented and up-to-date job descriptions and description of roles for volunteers.
3.2.3  Information on the organisation’s website and in other publically available documents about the organisations
achievements an outcomes.
 There may be information about senior staff pay and benefits on the website.
 Research report, strategy and evaluation documents may be publically available.
 Confidentiality and transparency policies.
3.2.4  Managers describe how they listen and consult with staff and volunteers.
 People report they are consulted on issues which affect their role, users and more broadly on matters within the
organisation.
 There are processes in place to allow people to be involved in organisational and/ or service development eg, working
groups.
 Records / minutes of organisational events eg team meetings, away-days, conferences and working groups may show
different perspectives are valued and innovation encouraged.
 Senior managers give examples of how challenge and innovation are encouraged.
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3.2.5  There may be skills audits and competency frameworks.
 Board members and senior managers are members of relevant professional networks.
 Board members and senior managers give examples of how leadership skills are fostered.
 There may be continuing professional development records for the organisation’s Board members and senior
managers.
 People describe how senior managers provide support and development.
3.2.6  Managers describe how they develop their own practice and how they cascade good management practice
throughout the organisation.
 There may be records of shared learning and development opportunities for managers, away days and management
reviews.
 There may be information about or results of staff and volunteer surveys which address management practice.
3.2.7  Board and senior people social media presence eg blogs, twitter.
 Records of attendance at conferences and networking events and meetings with stakeholders.
 Delivery of public presentations, webinars, podcasts and interviews.
 Media exposure and published research and articles.
3.2.8  Board members describe how they ensure that quality improvements are made.
 Board minutes record the Board’s involvement in bringing about change and in quality improvement.
 Strategy reviews, development proposals and planned change initiatives.
3.2.9  Board and senior managers describe internal review processes and provide examples of leading change.
 There may be information about organisation restructures, systems review and documented changes to approach.
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Quality area 4 User-centred service Level 1
The organisation understands the needs of its users, avoids unfair discrimination, and makes its services
accessible. Information about users is gathered and recorded, and the organisation responds appropriately
to user feedback.
4.1.1  People define the user groups – there is consistency amongst key staff.
 The mission and operational plan clearly define the target user group/s.
 People describe how the organisation prevents unfair discrimination or exclusion from services.
4.1.2  Plans reflect the identified needs of service users.

 People give examples of how individual specific needs or needs of particular groups are identified and planned for.
 There may be documented needs assessments or research on user need.
 Analysis of user feedback showing satisfaction.
4.1.3  Accessible premises and other visible adjustments available.

 People describe how services are made accessible.
 Publicity and promotional tools and materials.
4.1.4  There may be a health and safety policy and procedure.

 The environment complies with health and safety requirements.
 There may be specific policies for the protection of users and the organisation’s people.
 People understand their responsibilities for keeping users safe.
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4.1.5  Relevant people describe how personal information is recorded, where it is kept and who has access to it.
 Relevant people demonstrate an understanding of data protection requirements.
 Locked filing cabinets, computer passwords and confidential recycling etc.
 Records of training in data protection.
4.1.6  People describe how they work with individual users to determine needs and desired outcomes, and to review
progress.
 Case or other records of individual user needs, outcomes and progress reviews.
4.1.7  Promotional information about all services and activities is available.

 There may be a website.
 Information about services shows that users have some choice.
4.1.8  People describe how user feedback is encouraged and recorded.

 There are examples of user feedback forms or other processes for gathering user views; these have been collated.
 Relevant people can describe how complaints and are dealt with.
 There may be a complaints policy and records of complaints which show that they have been dealt with promptly.
4.1.9  Records of user participation in assessing outcomes.

 Monitoring information shows progress on meeting planned outcomes.
Quality area 4 User-centred service Level 2

The organisation has a strategic approach to involving users in service planning and review. Research and
evaluation are used to improve outcomes. The organisation works to ensure it reaches marginalised and
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excluded groups. User feedback and outcomes information are systematically used to assess and improve
service delivery.
4.2.1  Values made explicit on website, in publicity materials, planning documents, job descriptions and induction materials.
 People in the organisation describe the organisation’s core values.
4.2.2  Senior people describe how external sources of information are used to inform service development and provide
examples.
 Information on user needs assessments.
4.2.3  Equality and diversity policy.

 Records of training on equality and diversity.
 Service access audits and access monitoring forms.
 Accessibility resources and plans for improvement.
 User monitoring data (collated).
 Minutes of planning meetings showing use of user data.
4.2.4  Records of user participation for service design – focus groups, user forums, surveys, online discussion groups, co-
production meetings etc.
 People describe how users are actively engaged in service design or how user views are represented if unable to
actively engage.
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4.2.5  There may be a health and safety policy and procedure.
 Other required service specific policies and procedures.
 Managers explain how they keep abreast of statutory and regulatory requirements relating to their area of work.
 Records of complaints and associated actions.
4.2.6  People describe and give examples of how the organisation advocates the needs of user groups.
 Publicity and other public information about the user group.
 Records of engagement with other agencies.
4.2.7  Outcome monitoring information.

 Evaluation findings and reports.
 Impact reports and reports to Board and funders show planned outcomes achieved for users.
Quality area 5 Managing people Level 1

Legal requirements relating to staff and volunteers are met. Information is shared and staff and volunteers
understand their role and are supported.
5.1.1  The organisational chart shows that all posts are filled or are being recruited to.
 Staff confirm that there are enough people to do the work.
 There are person specifications for all key roles.
 Staff confirm that people have the necessary knowledge, skills and experience.
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5.1.2  Managers demonstrate an understanding of equality and diversity requirements when recruiting and explain how they
comply with legal requirements.
 There may be a documented recruitment procedure.
 There are examples of staff and volunteer advertisements and application forms.
5.1.3  There are signed staff contracts for each member of staff.
 All staff confirm that they have a written contract and written terms and conditions of employment.
5.1.4  Managers describe the outcome of discussions on the use of volunteers and the reasoning behind the decision.
 There may be minutes of meetings where discussions about the use of volunteers has taken place.
 Where volunteers are used – there is a named person responsible for supporting volunteers.
 Volunteer policies, ie paying of expenses, are in place.
 Volunteer role descriptions.
 Managers demonstrate and understanding of the value volunteers bring to the organisation.
5.1.5  Managers can explain how they find out about and ensure they comply with legal requirements relating to staff and
volunteers.
 There is an up-to-date employer’s liability insurance certificate and professional indemnity if required.
 Documented human resources policies are available and up to date.
5.1.6  There are written job descriptions for all staff.

 There are role descriptions for volunteers.
 People demonstrate an understanding of their roles and responsibilities in line with their role description.
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5.1.7  Recently recruited Board members, staff and volunteers describe their induction process and confirm that it was
thorough and useful. They confirm that they were given enough information to be effective and to understand the aims
of the organisation and how their role relates to other roles. They demonstrate an understanding of safety and equality
requirements as applied to their role.
 There may be records of inductions, induction information and possibly an induction pack.
 Manager’s descriptions of induction processes match with those described by new joiners.
5.1.8  Staff and volunteers confirm that they receive enough individual support and supervision to carry out their work
effectively.
 Managers describe how they support and supervise staff and volunteers.
 There may be notes or action points from supervision or support meetings.
5.1.9  Managers describe how they ensure that relevant news and information is shared with staff and volunteers.
 Staff and volunteers confirm attendance at meetings, to discuss the organisation’s activities.
Quality area 5 Managing people Level 2

The organisation is an active member of a range of relevant networks. It regularly looks for opportunities to
work with other organisations and plans joint working to support its mission and add value for users.
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5.2.1  There is an organisational chart.
 People understand the organisation’s structure and to who they are accountable.
 Volunteers are clear about who supports and manages them.
 Records of appraisal for all staff and key volunteers (as appropriate).
5.2.2  Key members of the Board and staff team demonstrate an understanding of how volunteers are used, supported and
add value to the organisation.
 Volunteers report that their contribution is understood and valued by staff and embers of the Board.
5.2.3  There is an equality and diversity policy.

 People in the organisation report feeling supported, valued and able to work without harassment of any kind.
 There may be staff survey results, exit interview notes, records of internal grievance is disciplinary.
5.2.4  Managers describe how targets are set, communicated and managed.
 Staff describe awareness of performance expectations and targets and how these link to overall plans.
 Supervision and appraisal records include information about expected performance and targets.
5.2.5  Managers describe how teams are structured and managed to achieve results.
 Monitoring data shows targets are on track.
5.2.6  People’s descriptions of being held to account matches those described by management.
 Records of one-to-one sessions and appraisal records.
 There may be a poor performance policy or disciplinary policy/procedure which addresses poor performance.
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Quality area 6 Learning and development Level 1
People are informed about and take up opportunities for learning. Information and knowledge is shared and
used to make improvements.
6.1.1  Managers describe how they identify training and information required to support the organisation’s work.
 Examples of sources of information and training which supports specific areas of work.
 There may be records of training or other learning opportunities.
6.1.2  Records of one-to-one support and appraisals include individual learning and development needs.
 Staff (possibly some volunteers) describe how their learning and development needs are addressed.
6.1.3  Staff and volunteers give examples of recent learning opportunities related to their work.
 Managers describe how they ensure that people have fair access to training and development opportunities.
 Records confirm that people have access to training and other learning opportunities.
 People give examples of how learning is shared.
6.1.4  People describe how interval reviews result in learning and how the lessons are applied.
 Examples of internal mentoring and coaching opportunities.
 Examples of how problems are identified and managed.
6.1.5  People give examples of how internal meetings and events (including contact with users) and external events and
networking (including online) develops their knowledge.
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6.1.6  Managers give examples of improvements resulting from monitoring and evaluation findings.
 Examples of improvement and recommendations in progress reports
 There may be documented evaluation reports.
Quality area 6 Learning and development Level 2

There is a well-established culture of learning and continuous improvement, and learning is shared with
other organisations. Learning and development are planned and resourced, based on the needs of the
people in the organisation.
6.2.1  Plans include learning and people development.

 There may be a learning and development policy and/ or plan.
 The budget includes an allowance for learning and development.
6.2.2  Staff give examples of access to learning opportunities and describe how they improved their performance.
 There may be records of training or participation in other learning events.
 Examples of a range of sources of learning.
 Volunteers give examples of skills development opportunities.
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6.2.3  People describe effective internal processes for sharing learning including when things go wrong.
 There may be minutes of team meetings, internal reviews and other events where learning is shared.
 There may be shared folders and other knowledge management resources to facilitate shared learning.
6.2.4  People describe how the organisation keeps up to date with emerging ideas and developments.
 A range of sources of information, guidance and theory is available.
 Future learning and development needs may be built into plans and /or applications for funding and support.
 There may be records of continued professional development and other specialist information and learning.
6.2.5  Managers describe how knowledge is managed and shared internally and demonstrate an understanding of the
importance of knowledge management.
 There may be resources which document individual or group learning and experiences.
 There may be a client relationship management system.
6.2.6  There are records of attendance at and contribution to conferences and other events where learning can be shared
between organisations.
 There are web-based and printed examples of learning being shared.
 Managers and Staff give examples of sharing learning with other organisations.
Quality area 7 Managing money Level 1

The organisation meets all legal and regulatory requirements in relation to managing money, and spends its
money on agreed purposes. There is sufficient income to carry out planned activities. Financial procedures
and controls are in place.
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7.1.1  Annual accounts have been audited or externally examined as required by law and raise no concerns.
 Relevant Board members and managers can describe auditing requirements and how they ensure that annual
accounts are in line with the current SORP and charity or company law, according to the organisation’s legal status.
 Managers can demonstrate they know about and act on relevant legal and regulatory requirements relating to
fundraising, if applicable.
 Relevant Board members and managers are aware of the requirements of the governing document in relation to
generating and managing money.
7.1.2  Annual report, accounts and annual returns comply with Charity Commission and Companies House requirements.
 Information is accurate and filed in good time (ideally not at the last minute).
7.1.3  Minutes of Board meetings show how auditors are reviewed, selected and engaged.
 Independent external examiner or auditors report as required.
 Minutes of Board meetings addressing auditor or external examiner reports and recommendations.
7.1.4  The budget and financial reports show various sources of income.
 There may be a fundraising strategy or plan or other income generating plans.
 There are records of communications or meetings with funders, purchasers, investors and donors as appropriate.
 Board or Board sub-committee minutes address income generation for the year ahead.
 Board members and managers demonstrate an understanding of priorities for income generation for the year ahead.
7.1.5  Tax, PAYE, VAT returns demonstrate compliance with appropriate tax authority.
 Relevant managers describe how they ensure they meet appropriate tax authority requirements.
 There are copies of tax, national insurance and VAT returns as required.
25
7.1.6  Financial reports to the Board demonstrate that the organisation is generating required levels of income.
 Projected shortfalls are known about and there are plans to address them.
 Cash flow is monitored and future trends projected.
 Cash flow reports to the Board show the organisation has sufficient cash to manage its day to day business for the
year ahead.
 Key members of the Board demonstrate and understanding of the importance of managing the organisation’s cash
flow.
7.1.7  Minutes of Board or Board sub-committees include income-generation reviews, future strategies and reports against
plans.
 There may be a fundraising strategy, investment strategy or trading strategy.
 Fundraising practice is reviewed at Board level.
 Key members of the Board demonstrate and understanding of good practice in fundraising, investment and trading
practice as appropriate.
7.1.8  Detailed budget is available.

 Financial reports for the Board address income and expenditure and forecasts. (The information is clear and easily
understandable).
 There are quarterly Board Minutes which show detailed discussions about the organisation’s finances.
 Budget expenditure is in keeping with plans.
 There are up to date management accounts.
 Relevant Board members and managers describe how and when they review income and expenditure against the
budget and how adjustments are made.
26
7.1.9  There are documented financial procedures.
 People are consistent in describing the systems for handling for example: banking income, authorising payments,
signing cheques, spending and recording petty cash, and payment of salaries and expenses.
 People are aware of the expenses they are entitled to and how to claim them.
7.1.10  Relevant managers explain how they ensure that invoicing and payments are dealt with promptly.
 Records of income and expenditure and management accounts are up to date.
 There may be an appropriate financial package in place to support monitoring income and expenditure. Where this is
not the case, financial information is linked with appropriately detailed notes.
Quality area 7 Managing money Level 2

There is a planned approach to income generation and investment, linked to the organisation’s aims and
values. Finances are robustly controlled, and income sources are diversified, increasing financial security.
The organisation accurately forecasts its finances and effectively plans for the longer term.
7.2.1  Longer-term planning documents address financial sustainability and investment opportunities (eg strategy and
business plans).
 Risk registers include financial risks.
 Board members describe longer-term financial plans.
 Successful proposals and/ or applications for funding, investments or loans.
27
7.2.2  Full cost recovery information in applications and planning documents.
 Managers and Board demonstrate an understanding of costing and pricing products and services.
 There may be product development planning information, price benchmarking and market research.
7.2.3  Professional sub-contracting information.

 Managers and Board describe how they identify and access the support they need.
 There may be information and guidance from auditors.
7.2.4  The budget and reports against the budget show various sources of income.
 Managers describe how positive relationships are maintained with funders, purchasers, investors and donors.
 Managers can demonstrate their commitment to good practice in relation to fundraising.
 There are records of communications and meetings with funders, purchasers and donors.
7.2.5  Budgets include provision for all costs and identify the sources of income to cover these costs.
 Relevant managers explain how the full costs of each activity or service are assessed and how decisions are made
about recovering these.
 There are funding proposals, budget planning documents or notes of Board meetings which show assessments of
costs.
7.2.6  Up-to-date financial procedures.

 Key finance person and Board treasurer (or similar) describe how internal financial controls are maintained.
7.2.7  There are reports to the Board on the financial implications of proposed new developments and contracts.
 Board minutes record assessment of the financial implications of new developments and contracts.
 Board members and managers give examples of how they assess the financial implications of new developments or
contracts.
 Risk register which addresses new products and services.
28
7.2.8  There may be a reserves policy and investment plans.
 Minutes of Board meetings addressing management of reserves, investment and borrowing.
7.2.9  Profile of Board members.

 Records of financial training for Board.
 Board demonstrate a sound understanding of financial matters (not just the Treasurer).
 Managers and Board describe how internal risks are assessed and managed and fraud prevention strategies applied.
Quality area 8 Managing resources Level 1

The organisation has enough resources to deliver its planned services efficiently, and to meet safety and
accessibility requirements. Data protection and other legal requirements are met and some steps are taken
to help protect the environment.
8.1.1  Staff and managers confirm the allocation of sufficient resources to deliver against plans and within budget.
 Staff report having the required equipment to work efficiently.
8.1.2  Managers explain how they inform themselves and ensure compliance with legislation relating to premises eg access,
and insurance.
 Relevant people describe how premises are maintained and kept secure.
 The environment looks well managed and welcoming.
 User feedback may contain comments on the premises.
 There may be access facilities for people with disabilities.
29
8.1.3  Managers explain how they inform themselves and ensure compliance with health and safety and other legal
requirements.
 People confirm they are aware of the health and safety policy or practice and describe any relevant safety procedures
eg fire drills.
 Health and safety information on display.
 There may be health and safety risk and other assessments eg safe computer usage.
 There may be registers of equipment maintenance.
8.1.4  There are records of all purchases and deliveries.
8.1.5  There is a back-up system for all information stored electronically.

 Accessible paper and / or electronic filing systems.
8.1.6  Data protection registration certificate.

 Records of staff data protection training and / or information guidance.
 Named data controller in place.
 Secure filing systems (paper and electronic).
 Mangers demonstrate an understanding of data protection requirements.
8.1.7  There may be an environmental sustainability policy and plan.

 Recycling, low energy bulbs, information about energy saving, fair trade or similar products, environmentally friendly
products.
 People demonstrate and an understanding of environmentally responsible behaviours and practices.
Quality area 8 Managing resources Level 2
30
The organisation has enough resources to deliver its planned services efficiently, and to meet safety and
accessibility requirements. Data protection and other legal requirements are met and some steps are taken
to help protect the environment.
8.2.1  Planning document include resourcing plans.

 Managers describe how resource needs are planned to match requirements.
8.2.2  The environment appears to support high standards of work.

 People give examples of steps taken to maintain or improve the working environment.
 There is positive feedback from staff and volunteers, and maybe users, on the quality of the working environment.
8.2.3  Competitive tenders.

 Recourse specifications with defined budget allocation.
 Relevant managers describe how value for money is achieved.
8.2.4  IT systems such as databases, internal networks and intranets are used to facilitate access and sharing of information
and learning.
 People describe how information and knowledge is shared.
 There may be a library, how- to guides and other sources of shared information.
31
8.2.5  A range of software supports all aspects of the organisation’s work, eg, contacts database, publications, website
management, statistical analysis, outcome monitoring etc.
 People confirm that they have access to dedicated IT support.
 People confirm that they have had the training they need to maximise efficiency and effectiveness through the use of
ICT.
 There may be an ICT plan and named person responsible for ICT management and planning.
8.2.6  Board and managers demonstrate an understanding of intellectual property (IP) assets.
 IP assets are protected eg trademarks and license agreements.
8.2.7  There is an environmental sustainability policy which addresses working practices.

 There may be an environmental plan or plans included in other planning documents.
 People demonstrate an understanding of how their behaviours and practice match related policy and plans.
 There are obvious environmentally friendly practices in place ie recycling, use of products, cycle racks etc.
Quality area 9 External communications Level 1

The organisation knows what it wants to communicate and with whom. It actively fosters two-way
communication with users and external stakeholders. Information about the organisation and its activities is
shared.
9.1.1  A range of up-to-date, accurate and informative information about the organisation is available – web based and or
produced in hard copy.
32
9.1.2  Relevant people describe the key messages they want to communicate externally.
 Marketing and promotional materials reflect these key messages.
9.1.3  Social media and other web based communications demonstrate two-way engagement with users and other
stakeholders.
 People describe how users and other stakeholders are informed, consulted and listened to.
 People describe how different language needs are met.
9.1.4  Promotional materials and information is available and up-to-date.
9.1.5  Branding, legal status of the organisation and contact details are clear and easy to find.
9.1.6  There may a contacts database or excel spreadsheet.

 There may be a client relationship management system.
 People describe the process for maintaining accurate contact information.
9.1.7  The organisation uses social media to promote its work and the interests of users.
 Managers describe how the use of social media is planned, managed and monitored.
9.1.8  Managers demonstrate an understanding of their legal and good practice responsibilities regarding external
communications, lobbying and campaigning and, how they keep up to date with changes in this area.
 People give examples of how the organisation ensures internal practice relating to communications, lobbying and
campaigning complies with the law and good practice.
Quality area 9 External communications Level 2
33
External communication is resourced and planned and is driven by the organisation’s strategy. The
organisation actively promotes its purpose and shares information about its activities, providing evidence of
the difference it makes.
9.2.1  Information about the organisations finances and achievements is publically available.
 There may be information about outcomes or impact reports on the website or disseminated through hard copy
reports.
9.2.2  Easily identifiable organisation image with attractive, accurate and user friendly publicity material – hard copy and web
based.
9.2.3  Communications plan.

 Mangers and Board members describe how communications support achievement of the organisation’s strategy.
 Managers and key people in the organisation (and on the Board) demonstrate clarity about key communications
messages.
9.2.4  Range of media used to promote the work of the organisation and raise its profile with stakeholders.
 Mangers, Board members and staff describe their engagement in raising the profile of the organisation.
9.2.5  Named person with responsibility for media and press relations.
 Managers describe internal protocols for engaging with externally initiated contact.
 Job descriptions may reflect these responsibilities.
9.2.6  Contact management system.

 Contacts database.
34
9.2.7  Communications monitoring analytics data.
 Minutes of meetings show consideration of communications effectiveness in reaching target audiences.
9.2.8  Outcome and impact information is used to make a case for support in funding applications, contract tenders and other
applications for sources of support.
Quality area 10 Working with others Level 1

The organisation knows what it wants to communicate and with whom. It actively fosters two-way
communication with users and external stakeholders. Information about the organisation and its activities is
shared.
10.1.1  People demonstrate they know about other organisations with whom they need to work and why.
 The operational plan may include reference to working with other organisations.
10.1.2  People describe when and how they signpost or refer users, and how they respond to referrals from other
organisations, if appropriate.
 There may be records that show users have been referred to and from other organisations.
 People list organisations to and from which users might be signposted or referred.
10.1.3  Board and managers demonstrate a keenness to work with others to avoid duplication and to learn from them.
 Minutes of meetings may show discussions about joint working and potential partnerships.
 There may be partnership agreements or memorandum of understanding (MOU).
35
10.1.4  People describe how they network and participant in relevant forums.
10.1.5  There may be project plans or minutes of meetings which address potential risks and benefits to partnership working.
 Risk assessments include assessment of risk for partnerships.
 Managers describe how joint working and partnerships are assessed.
10.1.6  Managers give examples of how they comply with any legal or constitutional requirements relating to working with
other agencies.
 There may be documented partnership agreements or contracts.
10.1.7  Relevant managers describe any joint working arrangements.

 There are examples of correspondence relating to joint working arrangements or actual joint-working agreements.
 There may be planning documents and notes of meetings showing joint working arrangements, including how income
or expenditure will be managed.
Quality area 10 Working with others Level 2

The organisation regularly looks for opportunities to work with others and joint working agreements support
its mission and add value for users. Partnerships are developed for strategic benefit, enhancing the
sustainability of the organisation and the effectiveness of services for users.
10.2.1  Planning documents address working with other agencies.

 People in the organisation give examples of how working with others benefits users.
36
10.2.2  The strategic plan includes priorities for working with others.
 People describe how they identify potential partners to help fulfil the organisation’s mission.
 Board members and managers describe how they assess the benefits and risks of potential partnerships,
collaborations and mergers.
 Board minutes and notes of staff and team meetings refer to the benefits and risks of potential partnerships,
collaborations and mergers.
10.2.3  Partnership agreements and contracts show clear aims.

 Minutes of partnership planning and risk assessment meetings.
 People describe how partnerships are planned including exit strategies.
10.2.4  There are written agreements for joint working which include roles, responsibilities, accountabilities, financial
arrangements and how decisions will be made.
10.2.5  Competitive tendering documents and / or contracts for freelancers or subcontractors.

 Records of contract reviews or minutes of meetings where contracts with freelancers or subcontractors have been
addressed.
 Managers describe how freelance or subcontractor performance is managed and action taken when quality falls short.
10.2.6  There may joint working or partnership evaluation reports.

 People describe how networking, partnerships and joint initiatives are evaluated.
Quality area 11 Assessing outcomes and impact Level 1

People understand how and why information is collected and used. The organisation routinely monitors
outputs and outcomes. Data collection methods used are effective to assess the difference it makes.
Information gathered is used for decision making and planning and to report to stakeholders.
37
11.1.1  Board members and mangers describe how decisions about monitoring and evaluation are made.
 Managers describe what monitoring data is collected and analysed.
11.1.2  People demonstrate an understanding of the difference the organisation is trying to make they demonstrate an
understanding of outcomes and describe what outcomes the organisation wants to achieve.
 There are documented outcomes.
 There may also be planning tools, outcome stars, and theory of change documents, outcome maps and outcome
frameworks.
11.1.3  There is a simple monitoring and evaluation framework, map or plan showing outcome indicators.
 Outcomes and indicators may be described in funding applications.
 People demonstrate an understanding of information collection methods, tools and responsibilities for gathering this
information.
11.1.4  Budget may itemise resources for monitoring and evaluation.

 There may be grants from funders which include provision for monitoring and evaluation.
 Mangers describe how monitoring and evaluation is resourced.
 Minutes of planning meetings address data collection methods and tools and evaluation.
11.1.5  People in the organisation demonstrate an understanding of the organisation’s monitoring and evaluation system.
 Those responsible for collecting data, do so as required and information is up to date.
 There is information - collected and collated - on outputs and outcomes.
 There are records of users and information about users.
38
11.1.6  There are a range of data collection tools in place which are used to gather monitoring information.
 Managers and those responsible for gathering data describe how the tools/ methods used are appropriate for the
needs of the organisation and the context in which it works.
 Information on negative outcomes or unwanted affects is captured.
 Outcome information is available.
 There may be minutes of meetings, records of specialist subcontractor support and notes of reviews assessing data
collection tools and methods.
 Information is gathered, and stored, in keeping with data protection, including with consent as appropriate.
 There may be records of consent from users and other stakeholders.
11.1.7  People describe how internal skills in monitoring and evaluation are developed.
 There may be records of training on monitoring and evaluation.
 Publications, tools and other relevant resources are used to develop internal monitoring and evaluation skills and
knowledge.
 There may be records of accessing specialist subcontractor support on monitoring and evaluation.
11.1.8  Monitoring information is not only collected but also collated.

 Monitoring reports to funders, investors and the Board.
 Managers describe, and give examples of how findings from monitoring information are fed into planning processes
and result in service improvements.
 Applications for funding and contracts reference previous monitoring and evaluation findings.
11.1.9  Reports to funders, donors, investors and other resource providers.

 There may be evaluation and impact reports on the website or findings shared on social media.
 People describe how monitoring and evaluation findings are shared and reported.
Quality area 11 Assessing outcomes and impact Level 2
39
Monitoring and evaluation are carried out systematically and are integral to the organisation’s work. The
organisation gathers and analyses a range of information about its activities, its outcomes and longer-term
impact. Findings are used for operational and strategic purposes and are shared.
11.2.1  There are a range of output and outcome indicators and targets.
11.2.2  There is a monitoring and evaluation framework or plan.

 Managers describe how the monitoring and evaluation framework/ plan links to the organisation’s overall plans.
 There may be a theory of change, outcome map, logic model or other models for defining planned outcomes.
11.2.3  Managers describe how users are involved in setting outcomes and gathering outcome data, as appropriate.
 Minutes of co-production meetings with users and other planning meetings for determining outcomes.
 There may be records of users’ consultation, meetings and focus groups.
 There may be participatory data collection tools.
11.2.4  Reports on qualitative and quantitative findings.

 Data collection tools for gathering both qualitative and quantitative information.
 Managers describe methods used to reach hard-to-reach groups.
11.2.5  People describe how they are supported to collect, manage and analyse information.
 Guidance, training and other sources of information is used to supported accurate and consistent data collection.
 There may be a database for managing monitoring data.
 Managers describe how they insure data collection methods are quality controlled.
11.2.6  Data analysis findings.

 Reports to funders, investors, donors and the Board.
 People describe how data is analysed and used to make sense of how and why outcomes occur.
40
11.2.7  People demonstrate an understanding of the difference between outcomes and longer term impacts and show they
understand how external factors contribute to outcomes for users.
 Mangers explain how the organisation’s outcomes may contribute to wider social impacts.
 There may be impact reports and other reports to public bodies.
11.2.8  Managers explain how the economic value of outcomes achieved is understood and considered.
 There may be cost-benefit, social audit or social return on investment reports.
11.2.9  Board and managers explain how monitoring and evaluation information is used to inform future plans.
 Minutes of strategy and other planning meetings include monitoring and evaluation information.
11.2.10  There are a range of ways in which evaluation findings are shared and used to influence policy changes.
 Managers explain, and give examples, of how evaluation findings are used to influence and bring about change in
policy and replicate good practice as appropriate.
 Website and hard copy information showcasing evaluation findings is available.
41

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Dated – Do you know when the evidence dates from? Is there

Quality area 1 Governance Level 1

Indicator What assessors will be looking for

Quality area 1 Governance Level 2

Indicator What assessors will be looking for

Quality area 2 Planning Level 1

Indicator What assessors will be looking for

2.1.7  Documented process information and administrative procedures.

2.1.8  Reports to the Board refer to risk.

Quality area 2 Planning Level 2

2.2.3  Strategic and operational plans refer to wider impacts.

2.2.7  There are documented, regular self-assessments.

Quality area 3 Leadership and management Level 1

Indicator What assessors will be looking for

3.1.2  There may be an equalities policy and plans to improve diversity.

Quality area 6 Leadership and management Level 2

Indicator What assessors will be looking for

Indicator What assessors will be looking for

4.1.2  Plans reflect the identified needs of service users.

4.1.3  Accessible premises and other visible adjustments available.

4.1.4  There may be a health and safety policy and procedure.

4.1.7  Promotional information about all services and activities is available.

4.1.8  People describe how user feedback is encouraged and recorded.

4.1.9  Records of user participation in assessing outcomes.

Quality area 4 User-centred service Level 2

Indicator What assessors will be looking for

4.2.3  Equality and diversity policy.

4.2.7  Outcome monitoring information.

Quality area 5 Managing people Level 1

Indicator What assessors will be looking for

5.1.6  There are written job descriptions for all staff.

Quality area 5 Managing people Level 2

Indicator What assessors will be looking for

5.2.3  There is an equality and diversity policy.

Indicator What assessors will be looking for

Quality area 6 Learning and development Level 2

Indicator What assessors will be looking for

6.2.1  Plans include learning and people development.

Quality area 7 Managing money Level 1

7.1.8  Detailed budget is available.

Quality area 7 Managing money Level 2

Indicator What assessors will be looking for

7.2.3  Professional sub-contracting information.

7.2.6  Up-to-date financial procedures.

7.2.9  Profile of Board members.

Quality area 8 Managing resources Level 1

Indicator What assessors will be looking for

8.1.4  There are records of all purchases and deliveries.

8.1.5  There is a back-up system for all information stored electronically.

8.1.6  Data protection registration certificate.

8.1.7  There may be an environmental sustainability policy and plan.

Quality area 8 Managing resources Level 2

Indicator What assessors will be looking for

8.2.1  Planning document include resourcing plans.

8.2.2  The environment appears to support high standards of work.