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HMRC internal manual

Labour Provider Guidance

Operational assurance: governance procedures for Labour Market work


This guidance has been produced to be used alongside the caseworker quality assurance case plan (QACP) template and the quality assurance manager case review checklist.

Everyone in FIS has a role to play in the quality process.

Caseworkers need to understand why there is an assurance process and progress their cases according to prescribed HMRC standards and governance procedures, building in process for case reviews.

Team Leaders need to:

  • Carry out case reviews on regular basis
  • Assure caseworker review process
  • Promote and adhere to national LM framework

Regional Managers need to:

  • Carry out checks to ensure team leaders have complied with QA process
  • Promote and adhere to national LM QA framework
  • Complete certificate of conformance and exception reports.

The templates are intended to produce a uniform national process for quality assurance in LM work. They should not be amended or redesigned and there should be no regional variations. You must ensure that the latest version of the QACP template is being used – this is held in the LM Holding Store CAF>Quality Assurance (please do not save a copy to your H: drive as this then creates a risk that you are not using the latest version).

FIS and LMI are bound by the HMRC Quality Assurance process - details of which can be found on the Intranet:

Risks to Quality (COG12500)

Quality Assurance Reviews (COG13000)

Quality Standards (COG15000)

The FIS Quality & Assurance team is responsible for carrying out independent assurance of casework within FIS.