103-1 The Case File Folder
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103-1          THE CASE FILE FOLDER

 

Each district office must prepare and maintain a case file for all applicants and recipients of DPADivision of Public Assistance programs. Staff may use a six-part file folder, a two-part file folder, or a Manila folder depending on the type of program(s) assigned to the applicant or recipient. Case files are also maintained in the ILINX Electronic Document Management (EDMElectronic Document Management) system.

 

In addition to creating and maintaining case files, there are also specific rules staff must follow in ensuring the documents contained in the case files are kept confidential and retained following the retention of case records or archiving rule. Refer to MS 103-6 for more information on Retention of Case Records.

 

103-1 A.      ELECTRONIC DOCUMENT MANAGEMENT

 

The ILINX Electronic Document Management (EDMElectronic Document Management) system provides a way to centrally store a large volume of digital documents for organization and management. EDMElectronic Document Management allows staff to scan or capture a hard copy document or case file in an electronic form such as TIFF, JPG, PNG, PDF, Word, and Excel. The imported or scanned document or case file is stored in the ILINX system where staff can organize, print, track, edit, search, and manage a document or case file.

 

The ILINX Capture and Content Store overview and process guide is available on the DPADivision of Public Assistance SharePoint website.

 

103-1 B.      GENERAL RULES FOR CREATING CASE FILE FOLDERS

 

1. The file label must include the following information:

 

 

Note:

All related case numbers to the PIPrimary Information Person may be listed for cross-referencing on a separate file label. This includes spouse's case number and other members in the same household. Cross-reference labels must be placed on the front cover of the case file folder.

 

Programs and case numbers can only be combined in the same case file when the Primary Information (PIPrimary Information Person) person on EISEligibility Information System is the same for each program and case number.

 

2. A six-part file folder may contain more than one case number.

 

3. Stand-Alone MAGIModified Adjusted Gross Income Medicaid cases are filed in two-part file folders. If the MAGIModified Adjusted Gross Income Medicaid household has other open program(s) and the PIPrimary Information Person on EISEligibility Information System is the same for each program and case number, the MAGIModified Adjusted Gross Income Medicaid case may be filed in the same folder with the other program(s).

 

4. Senior Benefits and Heating Assistance cases are filed in Manila folders. At the option of the Regional Manager, stand-alone CAMAChronic and Acute Medical Assistance or GAGeneral Relief Assistance cases (where the PIPrimary Information Person has no other program involvement) may also be filed in Manila folders.

 

5. All applications, recertifications, reviews, renewals, reports of change, interagency forms, and other documentation will be place in the file for the program to which it pertains.

 

6. If there are duplicate file folders containing the same case number(s) and program(s), consolidate all the information into one file and destroy duplicate copies.

 

7. All sections of the file folder must be filed chronologically unless otherwise specified in this section.

 

8. Material smaller than 8 1/2 x 11" must be stapled to or copied onto a sheet of paper that size. Material larger than 8 1/2 x 11" may be reduced to that size.

 

9. Printing and retaining EISEligibility Information System screens must be kept to a minimum and limited to those screens critical to explaining a complex policy decision, and to screens that do not retain history in EISEligibility Information System. EISEligibility Information System payment screens should be printed and retained because EISEligibility Information System does not always retain income, resources, and DEMHDependent / Medical / Household Expenses information which could cause changes in the payment screens.

 

10. Making copies of certain federal, state, and local documents is prohibited and illegal. If any document has a written prohibition of "Do Not Copy" on it, the caseworker must write the information from the document on a blank 8 1/2 x 11" sheet of paper, sign and date it, and file it in section one. If the document is a permanent document, the sheet of paper must be placed under the Record of Permanent Document (ROPDRecord of Permanent Document) insert and the caseworker must note on the ROPDRecord of Permanent Document under comments, "No copy in file, illegal to copy."

 

11. Returned mail will not be retained in the case file. Refer to Addendum 118-B for additional guidance for returned mail.

 

103-1 C.      ILINX DOCUMENT MANAGEMENT SYSTEM

 

Division of Public Assistance stores all documents in the ILINX Document Management System and no longer maintains paper file folders. Each document is scanned into ILINX via ILINX Capture.

 

Validate client ID using EISEligibility Information System client ID of the primary information (PIPrimary Information Person).

 

 

Each document will be classified using Document Categories and Document Types.

 

1. Document Category: Permanent Documents
Document Types under the Permanent Document Category

 

(Court orders, although legal in nature, could range from any type of issue which could be simple or complex. Staff need to determine the complexity of the order and determine if the document must be kept as permanent record. For example, if the court order is a notification of the date of trial, this will not be considered permanent record.)

 

2. Document Category: Report of Change
Document Types for Report of Change Document Category

 

Keep in mind that these are not the verifications that go with the report of change. This section is for the document the client provided reporting the change. The verifications for the change will go under Correspondence/Verification/Supporting Document.

 

 

3. Document Category: Confidential
Document Types for Confidential Document Category

 

 

4. Document Category: Fair Hearing Information
Document Types for Fair Hearing Information

 

 

5. Document Category: Corrective Action Forms
Document Types for Corrective Action Forms

 

 

6. Document Category: Correspondence/Verifications/Supporting Documents
Document Types for Correspondence/Verifications/Supporting Documents Document Category

 

 

7. Document Category: Applications and Benefit Authorizations
Document Types for Applications and Benefit Authorizations Document Category

 

 

8. Document Category: Work Services
Document Types for Work Services Document Category

 

 

9. Document Category: DDSDisability Determination Service
Document Types for DDSDisability Determination Service Document Category

 

 

10. Document Category: Pending Classification

 

Needs to be classified based on the listing above.

 

103-1 D.      ORGANIZATION OF THE MANILA FOLDER

 

Senior Benefits, Heating Assistance, and, at the option of the Regional Manager, stand-alone CAMAChronic and Acute Medical Assistance and GAGeneral Relief Assistance cases (where the PIPrimary Information Person has no other program involvement), will be filed in Manila file folders. The documents in these folders are organized chronologically with the oldest document filed on the bottom.

 

103-1 E.      PURGING CASE FILES

 

The purpose of purging DPADivision of Public Assistance case files is to eliminate unnecessary documents that are not required in the active case file. The case file must contain only documents essential to verifying an eligibility factor or supporting a determination of eligibility, ineligibility, or benefit amount. When documents are purged from a case file, these documents are destroyed (shredded). Staff may purge case files but must ensure that they are not destroying any necessary documents regardless of the date of the document. If the document was used to support any eligibility determination, this document is considered necessary and must not be purged. Necessary documents will be taken out of an active case file only during the process of "voluming."

 

Examples of unnecessary documents staff may purge:

 

 

103-1 F.      CREATING CASE FILE VOLUMES

 

Accurate case files must be maintained to ensure all required documentation is available for future reference in accordance with state and federal regulations. At the same time, files must be maintained at a manageable size. This process is called "creating case file volumes," which means to create a new file folder when a case file has reached two inches thickness.

 

The procedure for creating case file volumes are as follows:

 

1. Sorting the Case File:

 

The documents in the case file are sorted to determine which will be pertinent to an active case. These documents are retained in the active case file (follow steps 3 and 4 for the procedures in retaining documents). The documents which are no longer considered pertinent are transferred in a Manila folder to be sent to Archives.

 

2. Marking the Files:

 

On the front cover of the Manila folder, mark the file as "Volume 1" and the active file as "Volume 2." Clearly indicate on both files the date the original case file was volumed. Volume 1 will be archived and Volume 2 will remain in the DPADivision of Public Assistance office.

 

Note:

Succeeding case file folders will be numbered accordingly.

 

3. Sorting Documents in a Six-Part File Folder:

 

The following documents are pertinent to an ongoing case and will be retained in the active six-part file folder:

 

PART I:

 

 

PART II:

 

 

PART III:

 

 

PART IV:

 

 

PART V AND VI:

 

 

4. Sorting Documents in a Two-Part File Folder:

 

The following documents are pertinent to an ongoing case and will be retained in the two-part file folder:

 

PART I:

 

 

PART II:

 

 

103-1 G.      GENERAL RULES FOR CREATING TEMPORARY FILES

 

1. Creating temporary files when case files are requested by another office:

 

 

 

 

 

 

 

2. Handling temporary case files when original file is returned to the DPADivision of Public Assistance Office:

 

 

3. Creating a temporary file when the case file is missing:

 

 

 

 

 

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2021-02 (09/21)