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Caseflow, seeÌýECSH32733Ìýfor compliance caseworkers and registered case management (RCM), seeÌýECSH32732Ìýfor 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 standardÌýworking instructions (SWI) in the knowledge library at all times.Ìý

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

• Who you spoke to, their role in the business and what was discussed.Ìý

• 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.ÌýÌý

• 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.Ìý

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

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.

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DocumentumÌý

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 exhaustiveÌýâ€� 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.ÌýÌý

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

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AllÌýdocuments must adhere to theÌýnaming conventions:ÌýÌý

• You can rename a document you have already uploadedÌýby selecting the document - check out - rename - check in.ÌýÌý

• You should tag documents with ‘core bundleâ€� as an easy identifier forÌýrelevantÌýdocuments, which will form part of the evidential bundleÌýifÌýa decision is appealed. Tagging guidance is provided inÌýthisÌývideo.Ìý

• Customer due diligence(CDD)Ìýdocuments should be uploaded to documentum.ÌýThis does not breachÌýGeneral Data Protection RegulationÌý(GDPR).Ìý

• All documents should be uploaded as standalone items in documentum and not bundled together inÌýWinZipÌýfiles (e.g. noÌýWinZipÌýfiles for all e-mails/templates/letters). The exception on usingÌýWinZipÌýis whereÌýtheÌýdocumentÌýis so large it cannot be uploadedÌýfor exampleÌýCDD documents,ÌýandÌýtransaction testingÌýdocuments.ÌýÌý

• You shouldÌýtakeÌýa sensible approach to uploadingÌýemail chains,Ìýfor example,Ìýif you have received 3 emails in the same chain, you only need to upload the most recent.

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