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IV.A Files/Filing


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.

1. File Etiquette and Personal Safety

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.

2. The Order of Sections in “Hard Files” or Master Case Records (MCRs)

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.

3. Mini-Files

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.

4. Interoffice Transfer of Files

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.

Transferring Files Out

Open Cases. Complete within two (2) working days of request for the file.

  1. Update CMS, FSMIS, and Oregon ACCESS with client’s new (current) address, phone, local office information, and CT for worker ID.
  2. Send the client a notice of his or her case being transferred, including the name, location and phone number of the branch to which it is being sent.
  3. Purge all extraneous materials from the mini-file. Notes on small slips of paper from the mini-file should be transcribed into the narrative, and the note should be purged. Small pieces of paper should be attached to an 8 ½ x 11 piece of paper and fastened into the hard file.
  4. Check for any loose filing which has not been filed, and put it into the hard file.
  5. Fasten all materials from the mini-file within the hard file. The cover for the mini file may be inserted into the hard file for the new branch to use.
  6. Attach a Notification of Case Transfer (SDS 905) or equivalent notice to the top of the file.
  7. Log the file out on the Transfer Out log.
  8. Send the file to the new office.

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).

  1. Assure the file is in good order, with all materials fastened down.
  2. Log the file on the Transfer Out log.
  3. Attach a Notification of Case Transfer (SDS 905) or equivalent notice to the top of the file.
  4. Send the file to the new office.
Transferring Files In

Open or Closed Cases.

  1. Determine if the case is a service or non-service case.
  2. Log the file on the Transfer In log, noting date received, sending office, and worker assigned in new office.
  3. Enter new worker ID into CMS, FSMIS and Oregon ACCESS, and “touch” the 512 - based on your office procedures.
  4. Give the entire file to the worker for review.
  5. The worker returns the hard file for filing after review.

5. Request for Files for Quality Control (QC) Audit

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.

  1. Make a photocopy of the request and give to the worker (on open cases only).
  2. The worker will want to keep photocopies of pertinent materials for case administration while the file is at QC.
  3. Pull the hard file, putting an “out card” in its place.
  4. Print UCMS and FCAS screens and place in the file.
  5. Fasten down all materials in the hard file.
  6. Insert the mini-file (with original materials) into the hard file, or rubber band it to the hard file.
  7. Attach a copy of the request to the top of the file.
  8. Log the file out on the QC log.
  9. Send the file via UPS or PacTrac with the State Shuttle, if the office is on a shuttle route, or hold the file for pickup as directed on the request.

Receiving a file from QC.

  1. Log the file in on the QC log.
  2. Return the mini-file to the worker, if open case.
  3. Replace the hard file on the file shelf, removing the “out card".

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