ECSH34105 - Case management systems and case trackers

Caseflow, see ECSH32733 for compliance caseworkers and registered case management (RCM), see ECSH32732 for authorisations caseworkers, are the systems used day to day for recording case information, managing correspondence, working risks and closing a case with appropriate outcomes. You should follow the appropriate standard working instructions (SWI) in the knowledge library at all times. 

Any contact with the business must be recorded within interactions detailing: 

  • Who you spoke to, their role in the business and what was discussed. 
  • Any failed contact, for example the phone number called, whether a message was left on voicemail,or if the person you needed to speak to was not available, who you spoke to, and any instructions given.  
  • Any arrangements for a call-back should detail the date/time as appropriate - you should set a BF (brought forward) for your call-back arrangements and ensure these are followed up.
  • Emails and documents received and requested.
  • Correspondence sent and received. 

Any additional work you do on the case such as checking systems/open-source data should be recorded in 'narratives' – anyone looking at your case should understand what has occurred and what the next steps for the case are, by reviewing the BFs. Remember, your effort must be recorded too. 

All interactions and effort should be recorded as soon as possible after the event. Some documents have specified timescales; for compliance caseworkers, digital contemporaneous notes of meeting must be uploaded within 24 hours of the end of the meeting.

 

Documentum 

When documents are finalised, they should be uploaded to documentum which is within caseflow or RCM depending on your area of work. This includes planning documents, checklists, decision and evidence log (DEL), emails, letters, documents received from the business. The list is not exhaustive – essentially, any material you have used when working the case must be retained. If you have any questions about a particular document, speak to your manager.  

You can upload emails and attachments, word documents and other things by going into documentum, or directly from office 365 programmes in the 'case management' tab. See ‘documentum connectors’ videos on the COPS System Support Hub.

 

All documents must adhere to the naming conventions:  

  • You can rename a document you have already uploaded by selecting the document - check out - rename - check in.  
  • You should tag documents with ‘core bundle’ as an easy identifier for relevant documents, which will form part of the evidential bundle if a decision is appealed. Tagging guidance is provided in this video. 
  • Customer due diligence(CDD) documents should be uploaded to documentum. This does not breach General Data Protection Regulation (GDPR). 
  • All documents should be uploaded as standalone items in documentum and not bundled together in WinZip files (e.g. no WinZip files for all e-mails/templates/letters). The exception on using WinZip is where the document is so large it cannot be uploaded for example CDD documents, and transaction testing documents.  
  • You should take a sensible approach to uploading email chains, for example, if you have received 3 emails in the same chain, you only need to upload the most recent.

(This content has been withheld because of exemptions in the Freedom of Information Act 2000)



(This content has been withheld because of exemptions in the Freedom of Information Act 2000)