103-7          CASE FILE TRANSFER

Note:

Additional instructions for file control and handling file requests between regions and offices are provided in the How We Guide.

The process of transferring case files between offices ensures the information needed to determine eligibility is available to the caseworker making the eligibility determination.  it also provides uniformity, continuity and timely delivery of benefits to applicants and recipients.

It is the responsibility of the transferring office to ensure that the case is completed prior to the transfer. Each office must designate someone to review the case for completeness and accuracy before transfer. This person could be the supervisor, lead worker, or a journeyman caseworker. The designated person will review the case for completeness and accuracy, and act on any unprocessed paperwork such as an application, recertification, or report of change that has been submitted to the office prior to the transfer request. Refer to section 103-7D for additional procedure on transferring active cases.

All case file transfer requests will be made via e-mail to the "control clerk" of the full service office where the file is currently assigned.  Case file transfers between offices must be sent by certified mail except for offices within the Anchorage and Wasilla area.  These case files will be sent using the Department's mail or courier service.  An updated list of control clerks is posted on the DPAweb on the Employee Resource page under DPA Division of Public Assistance Related Links: http://dpaweb.hss.state.ak.us/node/8.

TRACKING CASE FILES

The requesting office initiates all transfers of case files from one district office to another.  As a general rule, a file is not sent to another office without a formal request.  To track case file transfers each office will maintain a case file transfer log.  The case file transfer log must include the following information:

For Outgoing Case files:

• Date of Transfer

• Name of Staff Person Requesting File

• Requesting Office Name

• Case Name

• Case Number

For Incoming Case files:

• Received Date

• Name of Staff Person Receiving File

• Sending Office Name

• Case Name

• Case Number

103-7 A.      PROCEDURES FOR REQUESTING AN INACTIVE CASE FILE

When a client applies for benefits with a district office, an inquiry is made on EIS Eligibility Information System to determine if a previous case number and case file exists.  If an inactive case file exists, and is located in another office (not archives), the requesting district will follow these procedures:

1. Using email, the requesting office requests the closed case file be sent to their office. The request will include: the case name (PI - last name, first name, MI); the case number(s); and any additional pertinent information.

2. The email will be sent to the "control clerk" in the full service office.

3. Until the case file is received in the requesting office, a copy of the email is retained by the requesting office.

If the case file is located in Archives and Records, location code AR on the CASE RECORD CONTROL (CARC) screen, the district or regional office will make up a new file. Except for rare circumstances, an archived case file will not be retrieved.

103-7 B.      PROCEDURES FOR TRANSFERRING AN INACTIVE CASE FILE

When a request for an inactive case file is received, the transferring district office will follow these procedures:

1. The control clerk in the transferring district or regional office will immediately assign the case record to the requesting office on the Case Record Control (CARC) screen in EIS Eligibility Information System. This is accomplished by changing the full service office number to that of the requesting district or regional office. The file location code is changed to "IT" (In Transit). The date is automatically set to the date the change is made. The unit and case load number are deleted and the fields are left blank. This automatically assigns the case to the requesting office's 9-99 case load.

2. Within five working days from the date of the file request, the case file will be sent to the requesting office by certified mail.

3. After the case file is received by the requesting office, the clerk or other authorized person will update the Case Record Control (CARC) screen with the correct unit and case load numbers. The file location code "IT" must be deleted.

103-7 C.      PROCEDURES FOR REQUESTING AN ACTIVE CASE FILE

Recipients move from one location to another, requiring district or regional offices to request and transfer the client's active case file. The procedures below outline the steps in requesting active case files. Control clerks play a vital role in these procedures. Each district office has a designated control clerk. An updated list of control clerks is posted on the DPAweb on the Employee Resource page under DPA Division of Public Assistance Related Links: http://dpaweb.hss.state.ak.us/node/8.

Note:  

The district office that the client came from is considered the ”old” district office, and the district office the client is moving to is considered ”new” district office.

1. Old District Office receives the report before the move:

If a client makes a report (either by phone, email, or mail) to the old district office that they are moving to an area served by another DPA Division of Public Assistance district office, the procedures are as follows:

1. The old district office will inform the client to report the move to the new district office when he or she arrives.

2. The old district office will create a CANO Case Notes entry to document the report of change and instruction to client.

3. The case file will not be transferred until the new district office receives confirmation or a report from the client that they have moved to their new location.

4. Once the new district office receives this confirmation or report from the client, the new district office will send an email to the control clerk of the old district office to request for the case file.

5. The email will include: the case name (PI - last name, first name, MI); the case number; the client's new mailing address; and any additional pertinent information.

6. The old district office will then initiate the case transfer following procedures in section 103-7D below.

2. Old District Office receives the report after the move:

If a client makes a report (either by phone, email, or mail) to the old district office that they have moved to an area served by another DPA Division of Public Assistance district office, the procedures are as follows:

1. The old district office will change the client's address on the ADDR Address Screen screen and create a CANO Case Notes entry to document the report of change.

2. The old district office will send an email to the control clerk of the new district office to inform them of the case file transfer.

3. The email will include: the case name (PI - last name, first name, MI); the case number; the client's new mailing address; and any additional pertinent information.

4. The old district office will then initiate the case file transfer following the procedures in section 103-7D.

3. New District Office receives the report after the move:

In the event a client comes in to a district office and reports that they have recently moved from another DPA Division of Public Assistance district area and did not report the move to the old district office, the new district office will follow these procedures:

1. The new district office will change the client's address on the ADDR Address Screen screen and create a CANO Case Notes entry to document the report of change.

2. The new district office will inform the old district office that the client has moved to a new area by sending an email to the control clerk. The request will include: case name (PI - last name, first name, MI); case number(s); client's new mailing address; and any additional pertinent information.

3. A copy of the email is retained by the new district office until the case file is received.

4. The old district office will then initiate the case file transfer following procedures in section 103-7D.
   
   

103-7 D.      PROCEDURES FOR TRANSFERRING AN ACTIVE CASE FILE

To transfer an active case file, the transferring district office will follow these procedures:

1. NO UNACTED CHANGE OR UNACTED APPLICATIONS:

1. The transferring clerk will reassign the Case Record Control (CARC) update capability to the requesting full service office by changing the CARC Case Record Control screen in EIS Eligibility Information System. The full service office number will be changed to the number for the requesting district office and file location will be changed to "IT." The date is automatically set to the date the change is initiated. The unit and case load numbers are deleted. This automatically assigns the case to the requesting office's 9-99 case load.
   

2. Within three working days of the date the file was requested, the transferring district office will send the case file to the requesting district office by certified mail.

2. UNACTED CHANGES OR UNACTED APPLICATIONS AND THE INFORMATION NEEDED TO COMPLETE THE ACTION IS AVAILABLE:

1. The transferring district office is to complete all pending actions before transferring the case file. The case should be completed and in the current system month.
   

2. The transferring clerk will notify the requesting district office of the pending actions and anticipated date the actions will be completed so the case file can be transferred.
   

3. Anytime there is a delay in the file transfer date, the transferring office will notify the requesting district office clerk of the delay and indicate when the anticipated transfer will take place.

3. PENDING ACTIONS OR UNACTED APPLICATIONS AND THE INFORMATION NEEDED TO COMPLETE THE ACTION IS NOT AVAILABLE AT THE TIME OF THE REQUEST TO TRANSFER THE CASE FILE:

1. The transferring clerk will notify the requesting district office of the pending actions and the information requested to complete the case action. Actions requesting prospective information and/or information already submitted to the requesting office may be sent to the new district office incomplete. If the case is transferred with an incomplete action, the transferring district office Eligibility Technician must complete an entry on the Case Note (CANO) screen indicating why the action was not completed prior to the case transfer.
   

2. Once the case file is ready to be transferred, the control clerk from the transferring district office will change the Case Record Control capability to the requesting district office using the CARC Case Record Control screen in EIS Eligibility Information System. The full service office number is changed to the requesting office and the file location is changed to "IT." The date is automatically set to the date of change. The unit and case load numbers are deleted. This automatically assigns the case to the requesting office's 9-99 case load.
   

3. Within three working days of the date the CARC Case Record Control is changed, the transferring district office will send the case file to the requesting district office by certified mail.
   

4. When there is an undue lapse of time in transferring a case file or a client emergency exists, the requesting office may CARC Case Record Control the case to itself and notify the transferring office of the action. Otherwise, it will be the responsibility of the transferring office to change the CARC Case Record Control. This should be a rare occurrence.

103-7 E.     PROCEDURES FOR TRANSFERRING AN APPLICATION AND RECERTIFICATION

In the event a district office receives an application or recertification from a client that resides in another district office area, the application must be accepted and transferred to the appropriate district office. To transfer the application, follow the procedures below:

1. The transferring district office will date stamp the application or recertification with the date of receipt and register it in EIS Eligibility Information System.

2. Assign the application to the control clerk in the receiving district office area. If it is a recertification, leave the case assigned to the appropriate case worker.

3. The application or recertification will be transferred or mailed to the appropriate district office the same day it was received at DPA Division of Public Assistance.