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The SPD Worker Guide G.5 gives specific requirements regarding the maintenance of files. Refer to section IV-B for filing information specific to SPD files.
For the personal safety of people handling files, please do not use staples on the covers of any files (hard files or mini files). When fasteners are added, use the self-adhesive type which stick to the inside of the file. Metal fasteners and staples on the outside of files can easily cut the hands of the people who need to handle them.
Each case has a Master Case Record, commonly called a “hard file,” containing historical case records. Most often, hard files have six filing section with fasteners in each section. Set up each case file in the same order with the sections as listed below. A guideline for filing the forms is in section IV-B.
| Section 1 | Statistics - verification of vital statistics |
| Section 2 | Applicatioins |
| Section 3 | Documentation -materials not identified in other sections; only include narratives not available in Oregon ACCESS |
| Section 4 | Financial - payment documents |
| Section 5 | Medical |
| Section 6 |
Services (if applicable) and/or JOBS - includes long term care and/or SPD waivered services, information regarding employment through a PAS plan, etc., or CAF JOBS program |
Some hard files have only four sections. In those cases, file as follows:
| Section 1 | Application and Documentation |
| Section 2 | Eligibility and Services |
| Section 3 | Financial |
| Section 4 | Medical |
File hard files alphabetically. When pulling a hard file, temporarily replace it with an “out card,” indicating the case name, person using the file and the date pulled.
When a hard file exceeds 2 inches in thickness, create a new volume, and mark each with the appropriate volume number. Move vital statistics information such as Social Security number, documentation, identification and current guardianship papers to the most current volume along with applications, financial and medical information and service or JOBS information that pertains to people currently on assistance. Purge files based on the record retention schedule in section IV.D.
A mini-file or current working file may be kept on each active client. The contents of the mini-file are generally the forms relevant to the current redetermination period, including the vital statistic information and relevant medical and/or SNAP application and any other information needed for day-to-day administration of the case.
Below are the required steps for transferring a case to another local office. Responsibility for the completing the steps varies from office to office. Although the steps are numbered, some steps may be done concurrently by two or more staff in the office, as local procedures require.
Open Cases. Complete within two (2) working days of request for the file.
Closed Cases. Transfer only at request of the receiving branch (if it has been less than 30 days since the closure, inform the worker in your branch of the request).
Open or Closed Cases.
QC will notify the local office contact person via fax or e-mail. The local office must comply by the date requested. The SPD Generic Program Elements Manual, section J discusses the QC process and responsibilities. In addition to historical materials, send all materials pertinent to the current certification to QC.
Sending a file to QC.
Receiving a file from QC.
