Standards for Canadian organizations

2020 Edition

Financial Education and Counselling Services (CA-FEC) 11: Client File Review

The worker and a supervisor or peer team conduct quarterly reviews of a randomly selected sample of client files using indicators that are defined and measurable and address the quality of services provided including:
  1. assessment; 
  2. debt management plans, as appropriate; 
  3. results of service in relation to objectives and potential problems; and 
  4. client retention.
2020 Edition

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Purpose

Clients who receive Financial Education and Counselling services learn to solve financial problems and gain personal financial management skills.
1
All elements or requirements outlined in the standard are evident in practice, as indicated by full implementation of the practices outlined in the Practice Standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the Practice Standards; e.g.,
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality; or
  • Procedures need strengthening; or
  • With few exceptions, procedures are understood by staff and are being used; or
  • For the most part, established timeframes are met; or
  • Proper documentation is the norm and any issues with individual staff members are being addressed through performance evaluations and training; or
  • Active client participation occurs to a considerable extent.
3
Practice requires significant improvement, as noted in the ratings for the Practice Standards. Service quality or program functioning may be compromised; e.g.,
  • Procedures and/or case record documentation need significant strengthening; or
  • Procedures are not well-understood or used appropriately; or
  • Timeframes are often missed; or
  • Several client records are missing important information; or
  • Client participation is inconsistent. 
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the Practice Standards; e.g.,
  • No written procedures, or procedures are clearly inadequate or not being used; or 
  • Documentation is routinely incomplete and/or missing.      
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
  • Client file review procedures
  • Sample of client file review tool
  • Most recent quarterly report from the client file review process
No On-Site Evidence
  • Interviews may include:
    1. Program director
    2. Relevant personnel