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, a two-part file folder or a Manila folder depending on the type of program(s) assigned to the applicant or recipient.

 

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:
     

     

Note:

All related case numbers to the PI 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.


 

  1. 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.
     

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

  3. Denali KidCare cases are filed in two-part file folders.
     

  4. Senior Benefits and Heating Assistance cases are filed in Manila folders. At the option of the Regional Manager, stand-alone CAMA or GA cases (where the PI 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 placed 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 any duplicate copies.

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

  2. 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.
     

  3. 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.
     

  4. 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 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".
     

  5. Returned mail will not be retained in the case file. Staff will document the receipt of returned mail in CANO  and shred the document. Refer to MS 109-9I for additional guidance on documenting the receipt of returned mail.
     

 

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

 

Each six-part file folder will be organized in the following order:

 

 

 

 

PART I

 

  1. 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. Verifications:
     

 

 

 

 

 

 

 

 

 

4. Reports of Change

 

 

Note:

File all information attached with GEN 55  to appropriate sections.

 

 

 

5. Native Dividend Tracking Form (GEN 29 )

 

 

PART II:

 

  1. Inter-agency forms and correspondence:

 

  1. INSERT:  Interagency Forms

 

Intra-agency forms include:
 

 

 

 

 

 

 

 

PART III:

 

1. Reports of Contact (GEN 56A )

 

2. INSERT: Confidential Reports of Contact

 

 

PART IV:

 

  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
     

 

PART V:

 

  1. Information for other case number(s), 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 benefit authorization screens (TAPD, FSAD, MIBW , APBH )
     

  4. Subsequent applications, recertifications, and reviews (GEN 72) or addendums (GEN 50b)

 

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

  2. Authorization for Release of Information (Gen 36).

 

7.  Contact People and Organizations (Gen 37).

 

 

 

103-1 C.     ORGANIZATION OF THE TWO-PART FILE FOLDER

 

Denali KidCare cases are filed in two-part file folders. Each two-part file folder will be organized in the following order:

 

 

 

 

PART I:

 

  1. Permanent Documents:

 

 

 

 

 

 

 

 

 

 

 

 

 

  1. INSERT:  Record of Permanent Documents
     

  2. Interagency forms and correspondence:
     

 

Note:

 This includes referrals, proof of Social Security, SSI and/or SSDI award and eligibility letter or interface match.

 

 

 

 

4.   INSERT:  Interagency Forms

 

  1. Verifications:
      

 

 

 

 

 

 

 

 

  1. Reports of Change

 

 

Note:

File all information attached with GEN 55 to appropriate sections

 

  1.  

  1. Native Dividend Tracking Form (GEN 29 )


 

PART II:

 

  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)

 

  1. INSERT: Confidential Reports of Contact

 

  1. Initial DKC application

 

  1. EIS  benefit authorization screens (MIBW)

 

  1. Subsequent applications, recertifications, and reviews (GEN 132 or GEN 75

 

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

 

  1. Authorization for Release of Information (Gen 36)

 

  1. Contact People and Organizations (Gen 37)

 

 

103-1 D.     ORGANIZATION OF THE MANILA FOLDER

 

Senior Benefits, Heating Assistance and, at the option of the Regional Manager, stand-alone CAMA and GA cases (where the PI 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 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.     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 in 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 DPA  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:

 

 

 

 

Part III:

 

 

 

 

 

 

 

 

 

 

103-1 G.     GENERAL RULES FOR CREATING TEMPORARY FILES

 

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

 

 

 

 

 

  1. Handling temporary case files when original file is returned to the DPA Office:

 

 

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

 

 

 

 

 

 

 

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2012-01 (05/12)