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HMRC internal manual

Labour Provider Guidance

Operational assurance: caseworker quality assurance case plan

It should be noted that the document is not intended to be a training device or SOP/SWI. It should be used in conjunction with other LPOG guidance.

Once completed, the individual caseworkers should conduct reviews at opening, at 3 monthly intervals, and at closure.

Caseworkers will need to create a process to ensure their reviews are completed, e.g. setting a bf on Caseflow or making a diary note.

The Quality Assurance Case Plan (QACP) should be completed in full with all boxes populated or noted as N/A.

The template was devised following an internal audit (IA) in 2014 where SI (now FIS) received criticism over its handling of cases. 

The template is based on the old OAS1 and the form used during the review by IA and should be familiar to most teams. The form has 3 distinct sections:

Planning and RIS referral
Case progress
Results and outcomes

NB. Please ensure the most up to date version of the template is used  using the link above (this is also held in the LM Holding Store CAF).

The caseworker must capture the template to Caseflow following each review. The document should be clearly named, e.g. 3 month QA review to enable mangers to review easily

Caseworkers should pay particular attention to any governance procedure such as:

  • Pre-decision approvals for over £100K assessments
  • Requirements for over £25K PLR penalty cases
  • Unannounced visits
  • VAT fraud team referrals e.g. input tax denial
  • Dispute resolution process

Planning and RIS referral

This should be completed at the start of the intervention and sent to the manager. The caseworker should provide sufficient information to enable the manager to authorise the opening of the intervention. The planning section is unlikely to require updates once completed. For Locally Identified cases the RIS referral template which is embedded within the QACP should be sent to RIS using the button at the bottom of the template (NB. all manually completed boxes are mandatory. If these are not completed the RIS Referral template will be rejected when you try to email it. It can only be sent when all the necessary boxes have been completed). RIS will process the referral, within an agreed 10 day turnaround, and will create the case on Caseflow and send it to the caseworker. If you don’t require RIS to build the case and all you need is a Caseflow reference you should note this on the email when you send the template.

If a case is locally identified but is proper to an existing LM project this should be referred to the appropriate project lead for the project in question and this will be set up under that project.

The only locally identified cases which should be created by teams on Caseflow are for Project PID-5760 SI Outstanding Debt for which agreement has been sought with RIS through the LM governance board. If the case is a Labour Market case this process must be adhered to.

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Case progress

This section should be completed at 3 monthly intervals. The caseworker must complete all sections and ensure that where evidence is required that this is clearly indicated, i.e. visit report 01/01/15 or PDAC, and that the location of this evidence is shown. Caseworkers may add to the same form at each review, or create a new document if they prefer.

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Results and outcomes

This must be completed before the case is closed. Caseworkers should populate this section as the case progresses but this may typically be towards the end of the intervention. The CQA template must be captured to Caseflow following each review