103-1          THE CASE FILE FOLDER

 

Each district office must prepare and maintain a case file for all applicants and recipients of DPA programs. Staff may use a six-part file folder or a four-part file folder depending on the type and number of cases assigned to the applicant or recipient. Staff may also assign more than one EIS case number depending on the program(s) requested by the applicant or recipient. Refer to section 103-3 for information on case numbering rules.

 

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.     GENERAL RULES FOR CREATING CASE FILE FOLDERS

 

  1. The file label must include the following information:
     

  2.  Programs and case numbers can only be combined in the same case file when the Primary Information ( PI ) person on EIS is the same for each program and case number.
     

  3. All related case numbers with the same PI must be listed for cross-referencing on the file label.  Multiple case files with the same PI may be banded and stored together when assigned to the same caseworker.
     

  4. A six-part file folder may contain no more than two case numbers. If a client is assigned more than two case numbers, a separate file folder will be established to contain the remaining case numbers.
     

  5. A four-part folder may contain one or more case numbers:
     

  6. Senior Benefits cases are filed in two-part manila file folders. At the option of the Regional Manager, Denali KidCare, CAMA / GA cases may also be filed in two-part manila file folders, instead of the four-part file folder.
     

  7.  Two cash programs may not be combined in one case file, such as Alaska Temporary Assistance and Adult Public Assistance/Interim Assistance.  A cash program along with Food Stamps, Family Medicaid, Under 21, APA -Related Medicaid, CAMA , and GA may be combined in one file folder.   GA is not considered a cash program.
     

Note:  

Denali KidCare program may not be combined into one file folder with any other program.

Examples of program combinations:

• Adult Public Assistance/Interim Assistance, Food Stamps, APA -related Medicaid, CAMA , and GA may be combined  in one file folder.

• Temporary Assistance, Food Stamp, Medicaid (Family Medicaid and Under-21), CAMA , and GA may be combined in one file folder.

• At the option of the Regional Manager, CAMA and GA cases may be filed in a separate file folder from other programs.

 

Example 1:

Applicant has applied for Food Stamp benefits for her entire household, CAMA for herself, and Under-21 Medicaid for her niece.

• The applicant will be assigned two case numbers - one for FS and Medicaid, and another for CAMA .

• All programs and case numbers may be combined in a six-part file folder for this household.

 

Example 2:

Applicant has applied for Alaska Temporary Assistance and Family Medicaid for herself and her daughter.  She also applied for Denali KidCare for her nephew and Food Stamps for the entire household.

• Two case numbers will be assigned to this household - one for the TA , FS and Family Medicaid programs; and a separate case number for Denali KidCare.

• Two file folders must be created - one for TA , FS , and Family Medicaid; and a separate file folder for the Denali KidCare program.

 

Example 3:

Applicant applies for Alaska Temporary Assistance, Food Stamps, Family Medicaid, and GA .  The household includes herself and her children.  The applicant is also applying for APA -related Medicaid for her six-year old son who is receiving SSI and must be the PI on his own case.

• Three case numbers will be assigned to this household - one for TA , Food Stamps, and Medicaid; another for GA ; and a third case number for the APA -related Medicaid for the SSI child.

• Two file folders must be created for this household one case file for the TA , Food Stamps, Medicaid, and GA case; and a separate file folder for APA -related Medicaid for the SSI child.

 

  1. All applications, recertifications, reviews, renewals, reports of change, interagency forms, and other documentation will be placed in the file for the program to which it pertains.  In situations where there is more than one case file established, the original forms and documents must be placed in the file containing the main program ( TA , APA , and FS ). Staff may either make copies of the original forms and documents for the second file, or make a note in the CANO where the documents are filed.
     

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

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

  4. Material smaller than 8 ½ x 11" must be stapled to or copied onto a sheet of paper that size. Material larger than 8 ½ x 11" may be reduced to that size.
     

  5. Printing and retaining EIS 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 EIS .  EIS payment screens should be printed and retained because EIS does not always retain income, resources, and DEMH information which could cause changes in the payment screens.
     

  6. Photocopying of certain federal, state, and local documents is prohibited and illegal.  After the caseworker determines the appropriateness of the document used to verify one or more eligibility factors, the caseworker must determine whether it is legal to photocopy for retention in the case file.  If copying is prohibited, the caseworker must write the information from the document on a blank 8½ 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 ( ROPD ) insert and the caseworker must note on the ROPD under comments, "No copy in file, illegal to copy".

 

103-1 B.     ORGANIZATION OF THE SIX-PART CASE FILE FOLDER

 

Each six-part case file folder will be organized in the following order: file documents listed under item #1 on the bottom and the subsequent inserts and items on top .

 

PART I

 

Permanent Documents:
 

(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).
 

  1. INSERT:  Record of Permanent Documents
     

  2. Native Dividend Tracking Form (Gen #29)
     

  3. Verifications:
     

     

 

Note:

At the option of the caseworker, forms Gen #36 and Gen #37 included in the Gen #50B and Gen#72 may be filed in this section as item #4.

 

PART II:

 

  1. Inter-agency forms and correspondence:

    Social Security Administration ( SSA )
     

  2. INSERT:  Interagency Forms

    Intra-agency forms include:
     

 

PART III:

 

  1. Case Staffing Information
     

  2. INSERT:  Case Staffing Information

    Case Management Information:
     

 

PART IV:

 

  1. Reports of Contact (Gen #56A)
     

  2. INSERT: Confidential Reports of Contact
     

  3. Reports of Changes
     

Note:

File all information attached with Gen #55 to appropriate sections.

 

 

PART V:

 

  1. Fair Hearing Information
     

  2. INSERT:  Fair Hearing
     

  3. Corrective Action Forms:
     

  4. INSERT:  Corrective Action Forms
     

  5. Overpayment Claims and Underissuances VA
     

  6. INSERT:  Claims and Underissuances
     

  7. Information for second case number program, similar to that contained in Section VI for major programs. (Normally not Alaska Temporary Assistance, APA , or Food Stamp since these programs will go in Part VI.)

 

PART VI:

 

  1. Initial applications for major programs - Alaska Temporary Assistance, APA , and Food Stamps
     

  2. Fee agent checklists (FA #1)
     

  3. EIS work-screens not retained by EIS ( EDWO , SEEI )
     

  4. EIS benefit authorization screens (TAPD, FSAD, MIBW , APBH )
     

  5. Subsequent applications, recertifications, and reviews (Gen 72) or addendums (Gen #50A)
     

  6. Subsequent worksheets; EIS work screens, eligibility determinations, EIS budget screens, and manual budget sheets.
     

  7. Diversion Agreement forms and authorizations screen

 

Note:

At the option of the caseworker, forms Gen #36 and Gen #37 included in the Gen #50B and Gen#72 may be filed in section I as item #4.

 

103-1 C.     ORGANIZATION OF THE FOUR-PART CASE FILE FOLDER

 

Each four-part case file folder will be organized in the following order, filing documents listed under item #1 on the bottom and the subsequent inserts and items on the top .

 

PART I:

 

  1. Permanent Documents:
     

  2. INSERT:  Record of Permanent Documents
     

  3. Native Dividend Tracking Form (Gen #29)
     

  4. Verifications:
     

  5. Reports of Changes
     

 

Note:

File all information attached with Gen #55 to appropriate sections

 

 

Note:  

At the option of the caseworker, forms Gen #36 and Gen #37 included in the Gen #50B and Gen#72 may be filed in this section as item #5.

 

PART II:

 

  1. Inter-agency Forms and correspondence:
     

  2. INSERT:  Interagency Forms

    Intra-agency Forms:
     

 

PART III:

 

  1. Fair Hearing Information
     

  2. INSERT:  Fair Hearing
     

  3. Corrective Action Forms:
     

  4.  INSERT: Corrective Action Forms
     

  5. Overpayment Claims and Underissuances
     

  6. INSERT:  Claims and Underissuances
     

  7. Report of Contact (Gen #56A)

 

PART IV:

 

  1. Initial application
     

  2. Fee agent checklist (FA #1)
     

  3. EIS work screens; eligibility determinations; EIS benefit authorization screens
     

  4. Subsequent applications, recertifications, and reviews (Gen #72) and renewals (Gen #148)
     

  5. Subsequent worksheets; EIS work screens, eligibility determinations, and EIS budget screens
     

  6. Documents for second case, separated by Program Divider sheets
     

 

Note:   

At the option of the caseworker, forms Gen #36 and Gen #37 included in the Gen #50B and Gen#72 may be filed in section I as item #5.

 

  1. Manual budget worksheets should be filed with the corresponding application or recertification.

 

103-1 D.     ORGANIZATION OF THE TWO-PART MANILA FILE FOLDER

 

Manila file folders are organized chronologically with the oldest document filed on the bottom.  

 

103-1 E.      PURGING CASE FILES

 

The purpose of purging DPA 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.     VOLUMING CASE FILES

 

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. For DPA , this process is called "voluming,” which means to create a new file folder when a case file has reached two inches in thickness.

 

The procedures for voluming case files are as follows:

 

1. Sorting the Case File and Creating a New Case File

 

The documents in the case file are sorted to determine which will be pertinent to an active case. These documents are transferred into a new case file folder (follow steps 3 and 4 for the procedures in transferring documents).  The remaining documents which are no longer considered pertinent will remain in the original case file to be sent to Archives.

 

2. Labeling the Files:

 

On the front cover, mark the original case file as "Volume 1" and the new case file as "Volume 2." Clearly indicate on both case files the date the original case file was purged. Volume 1 will be archived and volume 2 will remain in the DPA office.

 

Note:

Succeeding case file folders will be numbered accordingly.

 

3. Transferring Documents to the new Six-Part Folder:

  

The following documents are pertinent to an ongoing case and will be retained in the new case file:

 

Part I:

 

      employment statements, school verification letter, PFD 1, FSP 81, etc.)

 

Part II

 

 

 

 

Part III

 

 

 

 

 

 

Part IV

 

 

 

 

 

Part V

 

 

 

 

 

 

Part VI

 

 

 

4. Transferring Documents to the New Four-Part Folder:

 

The following documents are pertinent to an ongoing case and will be retained in the new case file:

 

Part I:

 

 

 

 

Part II

 

 

 

 

Part III

 

 

 

 

 

 

Part IV

 

 

 

 

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2010-01 (5/10)