Vacancies
Auditors – Specialist Quality Mark (SQM)
We are currently looking to increase our complement of SQM Auditors, with a particular need for individuals that are based in both Wales and the North.
Recognising Excellence (RE) holds contractual responsibility with the Legal Aid Agency (LAA) to deliver a high-quality independent audit service against the Specialist Quality Mark (SQM).
Owned by the LAA, the SQM Standard was developed to help ensure that:
• Members of the public in need of specialist advice receive a quality service; and
• The LAA can be confident when procuring legal advice services that those Legal Service Providers with whom they are contracting with have effective quality management processes in place.
The SQM is primarily an organisational standard, designed to help ensure that Legal Services Providers are well run and provide good client care. Any Legal Service Provider operating at the specialist level can apply for the SQM, including those receiving funding from sources such as the LAA, local authorities, charities, other public funding or private fees.
Several proxies are applied within the SQM framework, which whilst not direct measures of quality, are fundamental to the reliable delivery of a quality service, these include Supervision, Risk Management and File Reviews.
Compliance with the SQM or equivalent standard (Lexcel) is a requirement for Legal Services Providers that have, or are seeking to have, a contract with the LAA. Due to the link with LAA contracting, the audit cycle is rigid with very limited flexibility offered regarding accreditation anniversaries.
Principles of the SQM Auditor Role
Auditors must have extensive experience of audit and assessment activity primarily within the legal and not-for-profit advice sectors combined with a keen interest in quality. The principles of our approach to delivering audits are:
• Transparent audit process using non-conflicted Auditors.
• Auditors work under a self-employed agreement, contracted directly to Recognising Excellence, underpinned by supporting Confidentiality, Data Security, and Data Protection Policies.
• A strict Code of Conduct and programme of quality assurance and performance management interventions is applied to the auditing team to ensure that the integrity of the SQM and audit process is upheld at all times.
• All audit activity will be overseen by the SQM Contract Manager and team of SQM Lead Auditors. All written outputs are subject to quality assurance and sign off prior to finalising audit outcomes.
• We work on a national basis and geographical location of both Auditors and the Organisation to be assessed will be a key consideration when allocating work to an Auditor.
The Role of an SQM Auditor
• Auditors will be required to assess a range of evidence presented to them and ascertain how the evidence aligns to the requirements of the SQM Standard. The audit process will take the form of both off site document review, and on-site audit activity, which will include interviewing a sample of relevant personnel, considering client case files against a prescribed list of criteria, and reviewing central records. All evidenced presented during the course of the audit process is benchmarked against the requirements of the SQM Standard.
• Conduct during on site assessment activity will be managed via a strict Auditor Code of Conduct in order to uphold the integrity and impartiality of the audit process which addresses not only competence, but also the softer skills required of the role.
• All audit activity will conclude with the compilation of a comprehensive written report which will be subject to internal quality assurance before finalising audit outcomes.
• The ability to act impartially is critical to the role.
• Accreditation against the SQM will only be awarded to those Legal Services Providers who have evidenced they meet the requirements of the SQM in full.
A critical aspect of the Auditor role is managing the customer journey from initial application through to conclusion. This journey includes the following elements:
• Planning – determining the appropriate scope of the audit and developing and interval schedule and ‘agenda’ for the audit
• Benchmarking – The written policies and procedures presented against the requirements of the SQM Standard
• Interviewing – All audit activity is completed on site. The site visit will involve interviewing a range of staff across various roles (senior management, supervisors, fee earners and admin/finance function) to determine the depth of understanding and practical implementation of the written procedures presented
• Auditing – central records and client case files against the requirements of the SQM Standard with a focus on case file management and quality of advice
• Reporting – preparing a comprehensive, impartial and factual summary of the audit findings against RE approved templates, which will identify compliance (or otherwise) against the Standard, and recognise areas of good practice where these have been identified.
• Conclusion – managing any period of corrective action that may result from the audit findings through to conclusion.
SQM Auditors work under a defined service level agreement to ensure all audit activity is completed within the terms of our contractual arrangement with the LAA.
Audit durations are determined by the size of the organisation being assessed and will vary from 1.5 days for smaller organisations up to 5 days. Our current Auditor pay rate is £300 per day.
If you are interested in exploring this opportunity further, please submit your CV and covering letter to sqm@recognisingexcellence.co.uk