Do you keep them for at 6 Yes / No years? E1.3 Do you have procedures to identify Yes / No Please provide a copy of this and deal with any conflict of procedure or complete the interest in acting for a client? relevant box / es under the section that ‘Guidance’ follows. E1.4 Can you describe what you consider Yes / No Please give this description. to be key dates? Do you have a diary system for Yes / No dealing with them? E1.5 Do you have systems for case files / Yes / No information records to be orderly? Do you have systems to ensure that Yes / No progress on a case file / information records are clear to any other caseworker? E1.6 Is the information given to a client Yes / No either verbally or in writing clearly identifiable on the case file / information record? Does the supervisor give the Yes/ advisers time in between calls to No/ NA allow records to be maintained? E1.7 Will your organisations collect and Yes / No Note: The determination make available data reasonably and collation of information required by the Advice Services will be open to consultation Alliance in assessing the with representations from performance of the AQS? the lead professional bodies. E2 Independent review of quality of work and follow-up where needed Ref. Requirement Completion Notes Do you have a written procedure for review that includes the following?
Do you keep them for at 6 years? Yes / No E1.3 Do you have procedures to identify and deal with any conflict of interest in acting for a client? Yes / No Please provide a copy of this procedure or complete the relevant box / es under the ‘Guidance’ section that follows. E1.4 Can you describe what you consider to be key dates? Yes / No Please give this description. Do you have a diary system for dealing with them? Yes / No E1.5 Do you have systems for case files / information records to be orderly? Yes / No Do you have systems to ensure that progress on a case file / information records are clear to any other caseworker? Yes / No E1.6 Is the information given to a client either verbally or in writing clearly identifiable on the case file / information record? Yes / No Does the supervisor give the advisers time in between calls to allow records to be maintained? Yes/ No/ NA E1.7 Will your organisations collect and make available data reasonably required by the Advice Services Alliance in assessing the performance of the AQS? Yes / No Note: The determination and collation of information will be open to consultation with representations from the lead professional bodies. E2 Independent review of quality of work and follow-up where needed Ref. Requirement Completion Notes Do you have a written procedure for review that includes the following?
aqs-workbook-march-14.docx