Oregon DHS Staff Tools

V. Case files - paper and electronic

09/08/2017

1. Overview

In October 2015, the Electronic Data Management System (EDMS) added new query selections to store consumer case files for APD, AAA, and Self Sufficiency (SS). As offices scan documents into the new query selections in EDMS, the paper file (also known as the soft file) will become obsolete for most consumer case documents. This section covers both types of case files: the paper file and the electronic case file.

2. The paper case file

The contents of the paper file are forms and documents relevant to the consumer’s current eligibility and benefits. Medical, long-term care, and SNAP documents needed for day-to-day administration of the current case are filed in the same folder in chronological order with newest documents on top and older ones at the bottom.

Keep materials in the paper file which are:

One year old or newer;
Relevant to current eligibility for any benefit; or
Required to be maintained in all open case files: see VB: Archiving.

3. The electronic case file

Only consumer documents related to SNAP, medical, and Long Term Care are stored in the Electronic Document Management System (EDMS).

Provider documents, including homecare worker vouchers and homecare worker provider files, APS documents, OPI case records, licensing documents, and any documents related to the daily business of the local office will NOT be stored in EDMS at this time.

4. Terminology

IRMS: Imaging and Records Management Services

IRMS receives and processes scanned documents for upload to EDMS;
IRMS receives boxed paper archived files for warehouse storage;

EDMS: Electronic Document Management System

Scanned consumer case files are located here.
docmanagement: type docmanagement in the address bar of Internet Explorer to access the EDMS home page;
Staff needs specific rights granted via the form DHS 0780NM, Individual User Profile (IUP), to view files in EDMS; the form is completed by a manager and submitted to the DHS Service Desk;

Packaging or packaged: how a consumer file is sorted into categories in preparation to be stored electronically.

5. Using EDMS

When eligibility for all programs has been determined, the case has been opened or denied, and all systems are updated, the application and any supporting documents are packaged and scanned into EDMS to create an electronic case file.

Package the case file in preparation for scanning into EDMS;
Scan the most recent application and supporting documents into EDMS; and
Scan documents in the case file from the preceding year into EDMS, along with any older documents still relevant to the consumer’s current eligibility.

NOTE: Documents older than the current year and one preceding year are paper archived according to instructions in section V.B: Archiving.

Scanned documents will be uploaded to EDMS within five (5) business days. In all cases, paper document copies should be held at the local office until verified they were successfully uploaded. Once the successful upload is verified, the paper documents can be shredded.

6. Query selections in EDMS

The three new query selections in EDMS are:

Case information: accessible to all AAA, APD, and SSP users;

Searches retrieve general case information documents, but will not retrieve documents identified as secure;

AAA/APD Case Information Secured: accessible by specific staff roles in AAA and APD.

Searches documents identified by AAA or APD as secure and documents stored in the general Case Information section.
Managers, APS specialists, diversion/transition coordinators, case managers, and case aides have access to this query selection.

SSP Case Information Secured: accessible by specific Self Sufficiency (SSP) staff roles.

Searches retrieve documents identified by SSP as secure and documents stored within the general Case information section;
APD staff are not able to access documents stored in this query selection.

AAA and APD staff will select queries 1 and 2 to access AAA, APD, and SSP consumer files; SSP staff will select queries 1 and 3 to access AAA, APD, and SSP consumer files.

7. Sensitive and restricted documents

The following types of documents are considered sensitive in AAA and APD and should be indexed into the AAA/APD Case Information Secured section of EDMS:

Medical documentation, including:

PMDDT medical records and forms;
MED reviews; and
Medical records from providers;

Alcohol, drug, and mental health documentation of any kind;
Behavior Support Services notes and plans;
Long Term Care (LTC) facility (CBF/NFC) care plans and notes from the facility;
LTC Community nurse’s notes and assessments.

Eligibility and case management staff must identify sensitive documents, and determine what must be stored in the Secured section of EDMS and what must be stored under local restricted access before scanning.

If a document is secure, it will not display in the Case Information query. In the AAA/APD Case Information Secured query, secure documents are indicated with a Y in the Secured column.

Documents indexed and scanned into the Secured section of EDMS should be annotated as Secure on the WEBM Coversheet. Links to web-based trainings, quick reference guides, and other resources for EDMS are available on the EDMS home page. http://docmanagement/.

The following documents are restricted from EDMS and should be stored under local restricted access in paper and not electronically:

HIV/AIDS documentation of any kind;
TA-DVS (domestic violence) documentation if there is a safety concern. This includes when the alleged perpetrator is:

A DHS employee; or
A community partner and has access to OACCESS or TRACS and/or other case files; or
Part of the household and has access to case records; or
When the survivor believes the alleged perpetrator may have some way to access the records.

Any document where the consumer specifies only certain named staff person(s) may see the information.
All documents if the consumer is active in the Address Confidentiality Program (ACP).

Staff can view a consumer’s FSMIS or UCMS case for ACP coding to know if a consumer is active in the ACP program.

8. Searching document types in EDMS

The new query selections in EDMS allow the user to search for files by using up to thirteen (13) data elements, plus the wild card function (%). They are:

Full name;
SSN;
T number
Prime number;
Date of birth (DOB);
UCMS case number;
FSMIS case number;
Branch number;
Received date,
Document type;
Scan date;
Form number; and
Program name.

Consumer documents are categorized into seven (7) sections for easy searching. The document types are:

Application:

Each application should be indexed separately;
Applications and documents used to determine eligibility can be indexed together, unless there is a specific need to categorize information separately;
Example: Staff received an APD 539A, and pended with a DHS 210 employment verification. Upon receipt of the pended items, the worker then opens the case and sends an approval notice. At that time, the workers is able to index all documents together behind one WEBM Coversheet because all documents relate to the same application;

Ongoing action:

This includes documents related to actions taken during the period between eligibility determinations;
Example: DHS 852 is received and processed mid-year;

Medical records:

Records and other documents related to the medical condition of the consumer;
Medical documents are generally considered sensitive and are scanned into the AAA/APD Case Information Secured section of EDMS;

Medical bills, receipts, or copies of prescriptions are usually not considered sensitive if they are used for documentation of a medical deduction. These types of documents would be indexed in the Supporting Document category;

Case management:

Documents related to Long Term Care service cases;

Legal document:

These documents should never be destroyed;
Example: trusts, guardianship, or conservatorship papers;
Documents obtained once from the consumer but referenced year after year;
Identification records;

Hearings:

Used primarily by APD Hearings Representatives to keep documents related to an administrative hearing.
Please refer to Hearing Request Protocols and Procedures for information on submitting hearing requests;

Supporting documents:

Financial or other documents submitted by the consumer;
Example: MSC 0231 is held in this category but should be scanned separately into EDMS for easy identification and access.

A comprehensive guide of how forms and documents are to be categorized into the Case Information sections of EDMS is available in the EDMS User Guide located on the EDMS home page.

NOTE: Documents which can be accessed from another source, such as Oregon ACCESS screen prints, and online CAPI applications should not be scanned into EDMS. DO NOT print or scan mainframe screens.

9. Preparing a case file for scanning

Documents in the consumer case file from the current year, one preceding year and any other documents related to current eligibility, will be prepared to scan and upload to IRMS. Older documents will be prepared to send to IRMS via the paper archive process; see V.B. Archiving.

Prior to scanning:

Remove all staples, paper clips, binder clips, sticky notes, or other items which may damage or jam the scanner prior to scanning;
Separate documents in the case file by category;
Identify documents as Secure when needed for appropriate indexing.

10. Scanning into EDMS

Scan documents following the Scanning Support Tools User Process in the EDMS User Guide on the EDMS home page and on APD Staff Tools.

Scanned documents can take up to five (5) days to upload into EDMS;
After five (5) days, verify all documents are in EDMS, all pages are legible, and other quality checks are performed;
It is recommended the original file be held in the local office for up to ten (10) days or until it is verified documents were successfully uploaded;
If the file is not located, email EDMS.HELP@state.or.us;
Original documents may be securely shredded following the above confirmation.

11. Resolving the ethnicity hole-fill issue

When CAPI applications are printed and scanned on Kodak scanners, the ethnicity question on the last printed page may have its answer bubble blanked. This occurs because the Kodak Smart Touch scanner software has a default setting that tries to fill in hole punches on pages and the ethnicity answer bubble is the right shape, and in the right place, to trigger this setting. This issue may occur on other forms or documents with round, dark holes in certain places on the left hand margin of the page.

This document will step you through changing the default software setting so that this issue will no longer arise.

Background information

These steps have been verified with the Kodak Smart Touch software through version 18 for the i1420, i2420, and i3250 scanners. Other Kodak scanner models, or software version later than 18, may have different menus;
Because Kodak’s Smart Touch software saves per-user settings, this change will need to be made individually for each person who uses the scanner in an office;
The change can be made without an administrative login;
These steps may need to be repeated after a Kodak software or driver update. In most cases, the user settings are saved between updates, but they are occasionally not.

How to change the hole-fill setting

Log in under a scanning staff person’s OR#. If you scan in as a tech or manager, you will only be changing your own local settings on the machine, and not the settings for the worker;
Find the scanner icon in the System Tray (the area near the time/date display, usually in the lower right hand corner of the screen) and right click the scanner icon;

, or
Select Configure on the pop-up menu;
Task shortcut: appears at the top of the menu. Select 6. Black and White Multi-page TIFF;

A Scan As section will appear at the bottom of the menu, like this:
Click the Settings… button;
Click on the Settings > button in the lower right corner of the pop-up menu;
Click on the Enhancements tab;
On the Enhancements tab, uncheck the box under Hole Fill.
Click OK at the bottom of the menu;
The screen will go back to the first menu with the Task Shortcut box at the top and the Save As section on the bottom. Click Apply, then OK;
The setting change has been saved and applied. All done!

12. EDMS Resources

Computer based trainings for using EDMS are available on the DHS Learning Center:

Data Capturing Using the WEBM Screen and Combining Documents (Course C05145) https://go.usa.gov/xXQfQ;
Sending Documents to EDMS (Course C05147) http://go.usa.gov/x8TD8; and
Case Information Document Searching in EDMS (Course C05150) http://go.usa.gov/x8CEJ;
Quick Reference Guides (QRG)s: printable reference guides for specific processes.