3.603.1
Purpose and Use of Case File Records
A. Preparation of Case Record
Preparation of the case record shall begin at the point of
initial application with the client and case maintenance shall continue as long
as the case is open for assistance.
B. Purpose
The major purposes of a case record shall be:
1. To assist the county worker in reaching a
valid decision concerning eligibility or case action, and the amount of payment
and type of assistance;
2. To
ensure assistance is based on factual information and verifications
received;
3. To provide for
continuity of assistance when a worker is absent, when a case is reopened, and
when a case is transferred from one county worker/department to
another;
4. To ensure valid
administration of the county department in keeping with its function and
purposes;
5. To serve as a valuable
basis for research, for interpretation of the work of the county department,
and as a basis for development and evaluation of policy and
procedure.
C. Case
Numbering
A case number shall be assigned to the client at the time of
application for assistance.
D. The county department shall document all
case actions in case comments. This information shall include actions taken by
the county department, the basis of such actions, and the result or outcome of
the action taken on the case, and must also include:
1. All case decisions related to the prudent
person principle;
2. All decisions
related to the disposition of claims;
3. Any interactions with the
client;
4. Actions related to a
county conference and/or state level fair hearing;
5. Cause of untimely processing of the
application or redetermination;
6.
Other information that would be critical to document county department actions
and/or would be necessary to justify case decisions during a case review,
audit, appeal, or lawsuit; and,
7.
Information pertaining to eligibility, verifications, collateral contacts,
program participation, and associated expenditures.
E. Documentation
The county department shall document all income and
non-financial eligibility information into the statewide automated
system.
1. The county department shall
not omit case information from the statewide automated system based on the
assumption that the information is unnecessary for eligibility
determination.
2. All case
information used to determine eligibility and changes in basic biographical
information shall be updated at the time of redetermination.
F. Arrangement of Case Record and
Content of the Case Record
All case files, including electronic files, shall contain all
documents necessary to determine the eligibility and participation in program
requirements. All case files, including electronic files, at a minimum shall
be:
1. Labeled clearly, and,
2. Easily accessible for state reviews and/or
audit purposes.
G.
Storing County Records
The county department shall be responsible for the provision
of a safe place for storage of case records and other confidential material to
prevent disclosure by accident or as a result of curiosity of persons other
than those involved in the administration of the programs. Data of any form
shall be retained for the current year, plus three previous years
unless:
1. There is a written
statutory requirement, rule, or regulation available from a county (i.e., a
broader county policy), State or federal agency requiring a longer retention
period; or,
2. There has been a
claim, audit, negotiation, litigation or other action started before the
expiration of the three-year period. If any such action has been started, the
county must maintain the case record for the duration of the action. If a
county department shares building space with other county offices, locked files
to store case material shall be used. Facility and other maintenance personnel
shall be instructed concerning the confidential nature of
information.
H. Removal
of Case Records
Case records are the property of the State Department and
shall be restricted to use by the State Department and county
department.
