Case Recording and Case Management

Case recording involves recording all key information about cases and all actions undertaken for the client. The case record should be written legibly, clearly and accurately with an appropriate amount of detail and structured in a way that provides a clear case history.

Case management involves using organisational procedures for opening, maintaining and closing client case files. This includes actions that should be taken to move cases forward and keep the client informed about the progress of their case.

  • Debt Advice Case Record This form (which is laid out in the same order as the Client Fact Find form) should be used to write up notes of the Debt Advice Interview with the client. It can then (together with the headings) be used as the basis of the Confirmation of Advice (COA) letter sent to the client (which may also include leaflets and/or any standard information provided by the organisation to clients in such letters). In situations of non-complex advice or where cases are ‘advice only’, this written record can be used to provide the client with an alternative to a Confirmation of Advice Letter.
  • File Evidence Checklist A tool which can be used to check that a debt advice case files contains the required information and activities expected for good quality debt advice. (The current version of this checklist is designed for printing and completing by hand). Guidance on how to use the File Evidence Checklist can be found here File Evidence Checklist Guidance
  • DRO Case Peer Checking This form should be completed by the adviser dealing with the client’s DRO case and then passed over to another adviser who checks the details recorded against the information in the case file.
  • Confirmation of Advice Letter Template A template letter and associated guidance with suggested standard paragraphs.