II.
Case files
09/18/2019
The
Electronic Data Management System (EDMS) includes query selections to store
consumer case files for APD, AAA, and Self Sufficiency (SS).
This
section covers paper and electronic case file content, storage, transfers, and
retention.
A. Paper and electronic
files
All
information which identifies an individual consumer is confidential. The
Department may not release or disclose confidential information except as
authorized by the consumer in writing, as allowed by statute or administrative
rule, or as ordered by a court.
1.
Paper files
Scan consumer
documents into the query selections in EDMS, see below. Paper files
have become obsolete for most consumer documents.
Store
consumer files in EDMS except:
- Restricted case
files - see below;
- Provider
documents including homecare worker vouchers and provider files;
- Adult Protective
Services (APS) documents;
- Oregon Project
Independence (OPI) case records;
- Licensing
records;
- Documents
related to daily business operations such as receipt books, EBT inventory
logs, and SPOTS logs.
2.
Electronic files
Store
consumer documents related to SNAP, medical, and long-term care in the
Electronic Document Management System (EDMS).
Provider
documents, including homecare worker vouchers and provider files, APS
documents, OPI case records, licensing documents, and any documents related to
the daily business of the local office are not stored in EDMS.
There
is no current timeline for destruction of electronic data files.
3.
Terminology
- IRMS: Imaging and
Records Management Services
- IRMS receives
and processes scanned documents for upload to EDMS;
- IRMS receives
and stores boxed paper archive files.
- EDMS: Electronic
Document Management System
- Location for
the scanned consumer case files;
- 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; managers complete the form and submitt to the DHS/OHA Service Desk.
- Packaging or
packaged:
sorting a consumer file into categories for electronic storage.
4.
EDMS
The
Electronic Data Management System (EDMS) creates an electronic case
file for consumers via either a front-end or back-end process; see below for
more information.
Scan
documents following the Scanning Support Tools User Process in the EDMS User Guide on the EDMS home page
and APD Staff Tools.
Front-end scanning refers to documents
received at the front desk or via mail and scanned into a shared file
for immediate use by staff to determine eligibility for benefits and services.
·
Categorize documents
in the shared file and uploaded to IRMS for storage in the
EDMS at the same or later time.
Back-end scanning refers to documents
received and used in their original paper form by staff to determine
eligibility for benefits and services. After work on the case is complete,
documents are categorized, scanned, and uploaded to IRMS for storage in the
EDMS.
All
uploaded documents must undergo a quality check prior to shredding the
original. Look for the following:
- Count the number of pages for scanning and
verify the same number of pages were scanned;
- Scanners
occasionally group, or pick-up, multiple pages and miss imaging some of
the pages;
- Make sure documents are straight,
right-side up, oriented correctly, legible, and blank pages are removed;
- Remove paper
clips and staples before scanning;
- Verify documents are scanned into
the correct category in EDMS;
- Use the Document Types for AAA/APD in the EDMS User Guide;
- This QRG is in the EDMS User Guide and is updated periodically;
Scanned
documents are uploaded to EDMS within five (5) business days; paper documents
should be held at the local office in a secure location for thirty (30) to forty-five
(45) days before shredding; save electronic documents in a shared file for 4 to
6 months; then delete. See below for required quality checks which must be met
before documents may be destroyed.
Query
selections in EDMS
The
three query selections in EDMS are:
- Case information: Accessible to
all AAA, APD, and SSP users;
- Searches and
retrieves general case information documents;
- Does not retrieve
documents identified as secure.
- AAA/APD Case
Information Secured: Accessible by specific staff 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.
- 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 use queries 1 and 2 to access AAA, APD, and SSP consumer files;
SSP staff use queries 1 and 3 to access AAA, APD, and SSP consumer files.
Sensitive
and restricted documents
The
following types of documents are considered sensitive in AAA and APD and
are indexed to the AAA/APD Case Information Secured section of
EDMS:
- Alcohol, drug,
and mental health documentation of any kind;
- Behavior Support
Services notes and plans;
- Hearings
records;
- HIV/AIDS
records, documentation, or referrals;
- Intentional
program violation (IPV) material;
- Long-term care
(LTC) facility (CBF/NFC) care plans and notes from the facility;
- LTC community
nurse notes and assessments;
- Medical
documentation, including:
- PMDDT medical
records and forms;
- MED reviews;
and
- Medical records
from providers.
Eligibility
and case management staff must identify sensitive documents and determine what
should be stored in the Secured section of EDMS and what should be
stored under local restricted access before scanning.
If
a document is secure, it will not display in the Case Information query.
Secure documents are marked by a Y in the Secured column of the AAA/APD Case Information Secured query.
Annotated documents
indexed and scanned into the Secured section of EDMS 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/.
Store the
following documents under
local restricted access in paper and not in EDMS:
- 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 who has access to Oregon ACCESS, TRACS, and/or other case files;
or
- Part of the
consumer's 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.
Searching
document types in EDMS
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
- Program name
Categorize consumer
documents into seven (7) sections for searchability:
- Application: Index each
application separately.
- Index applications
and documents used for eligibility determinations together,
unless there is a specific need to categorize information separately;
- Example: Staff received
an APD 539A and pended with a DHS 210 for employment verification. Upon
receipt of the pended items, the worker opens the case and sends an
approval notice. At that time, the worker can index all documents
together behind one WEBM coversheet because all documents relate to the
same application.
- Ongoing action: Documents
related to actions taken during the period between eligibility
determinations;
- Example: DHS 852 is received
and processed mid-certification;
- Example: 540 sent to
the consumer mid-certification due to a change.
- Medical records: Records and
documents related to the consumer's medical condition;
- Consider medical
documents as sensitive and scan to the AAA/APD
Case Information Secured section of EDMS;
- Medical bills,
receipts, and copies of prescriptions used for medical deduction
calculations are not considered sensitive; index these items in
the Supporting Document category.
- Case management: Documents
related to long-term care service cases;
- SPAN notices;
- 002N notices;
- Employer Resource Connection referrals;
- All long-term
care, Independent Choices (ICP) and diversion/transition documents.
- Legal documents: Documents
obtained once from the consumer but referenced year after year such as
identification records.
- Never destroy these documents;
- Example: Birth
certificates, trusts, guardianship, or conservatorship papers.
- 443
administrative hearing request: Please refer to Hearing Request Protocols and
Procedures
for information on submitting hearing requests;
- Primarily used
by APD Hearings Representatives to keep documents related to an
administrative hearing.
- Supporting
documents:
Financial or other documents submitted by the consumer.
- Example: Scan the MSC 0231
separately into EDMS for
easy identification and access;
- Example: Medical bills
or prescriptions drug receipts used for the medical deduction
calculation.
A
comprehensive guide explaining how forms and documents are to be categorized in
the Case Information sections of EDMS is available in the EDMS User
Guide located on the EDMS home page.
- NOTE: Documents accessible via 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.
5.
EDMS: 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 there is a
default setting which tries to fill in hole punches on pages and the ethnicity
answer bubble triggers this setting. This issue may occur on other forms or
documents with round, dark holes in the left-hand margin of the page.
Follow
the steps below to prevent this issue:
Background
information
- These steps are
specific to the Kodak Smart Touch software through version 18 for i1420,
i2420, and i3250 scanners. Other scanner models, or version later than 18
may have different menus;
- This change will
need to be made individually for each person who uses the scanner in an
office;
- Changes can be
made without an administrative login;
- Confirm the
setting changes are still saved after a Kodak software or driver update.
How
to change the hole-fill setting
- Log in under a
scanning OR#. If scanning as a tech or manager, only the local settings on
the machine will be changed, 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;
- Select 6. Black and White Multi-page TIFF in
the Task shortcut menu;
- A
Scan As section will appear at
the bottom of the menu:
- Click the Settings
button in the lower left corner of the pop-up menu;
- Click on the Enhancements tab and uncheck the box under Hole Fill;
- Click
OK at the bottom of the menu;
- When the screen
returns to the first menu click Apply, then OK.
Repeat
these steps for each scanning staff member in the office.
EDMS
resources
Computer
based trainings for using EDMS are available on iLearn which includes:
- Sending
documents to EDMS;
- Case information
document searching;
- Data capturing
using the WEBM screen;
- Combining
documents;
- Standardized
data capture process demonstration video showing the entire process
beginning-to-end.
B. Archiving
Imaging
and Records Management Services (IRMS), sometimes called DHS Record Archive, is
the central location for storage of electronic and paper documents for the
Department of Human Services (DHS), including Aging and People with
Disabilities (APD) and Area Agency on Aging (AAA) offices.
IRMS
receives and uploads current consumer case files to EDMS for electronic storage
and receives older boxed paper-archived consumer files for warehouse storage;
IRMS is in Salem.
Training
for preparing archive boxes is available on iLearn as Archived Box Preparation.
Paper
file storage
NOTE: Files sent to DHS
Record Archives for warehouse storage must be sent securely with thought given
to the privacy and the security of information in the files.
Documents
still in use should remain with the current case file and be stored
electronically
- Alphabetize
files in the archive box by last name and ship to the warehouse;
- NOTE: The retention
period is fifteen (15) years for all case files. After 15 years, most
case files are destroyed;
- Oregon Project
Independence (OPI) and Older Americans Act (OAA) records are not scanned
into EDMS and must be retained for seven (7) years;
- The retention
period for these and other types of documents can be found in III.D. Retention.
If
the office is in the Salem area, or staff are driving to the Salem area,
archive boxes may be dropped off at DHS Record Archives in Salem at 1430 Tandem
Avenue NE. Contact DHS Record Archives via email to tell them boxes will be
dropped off and when they will arrive. A person at DHS Record Archives will be
available to move the boxes on arrival, with adequate notice.
- In limited
circumstances, DHS Record Archives may be available to pick up large
numbers of boxes. Contact DHS Record Archives directly if you believe the
quantity of boxes to be archived merits this service.
If
transporting boxes to DHS Record Archives by car, please be aware of the need
for security. Do not leave archive boxes unattended in the
vehicle and keep doors locked at all times.
DO
NOT paper-archive the following; scan into EDMS instead:
- Applications
on which current eligibility is based, regardless of the original date
|
- Any other
documentation relating to current eligibility for any program
|
- Identification
information or verification
|
|
- Citizenship
documentation
|
- Social
Security verification
|
|
|
- Stable income
verification
|
- Trust and
annuity information
|
Note: Staff should
never print the narration from Oregon ACCESS or TRACS. If this information is
in the file, remove and securely destroy prior to archiving.
Items
dated prior to 2015 from open cases which may be paper-archived include:
- Applications no
longer in use for any benefit;
- Verification of
past income;
- Verification of
housing costs for prior addresses or previous amounts; or
- Any other
documentation not relating to the current household or current eligibility
for any benefit.
Note: If the medical
application for the current benefit is paper-archived and cannot be returned to
the current file, the office will be required to get another completed
application.
Closed,
denied, or deceased file archiving
Closed cases can be scanned
into EDMS if the case was closed on or after October 2015; older documents will
be paper-archived.
Denied cases must be
assigned a prime number and a case set up in both Oregon ACCESS and the
mainframe. Documents related to the denial should be scanned into EDMS.
Deceased case files should be
categorized and scanned into EDMS.
When
a courtesy assessment has been conducted but no application for benefits
was made and no case was created, a prime number must be assigned so
documents submitted by the consumer can be categorized and scanned into EDMS; a
case does not need to be created.
Archive
boxes
Due
to the prohibitive cost of purchasing new boxes, DHS Record Archives has agreed
to accept used archive boxes in good condition.
DHS
Records Archives is not able to ship used boxes to the field directly; please
continue to order boxes as needed from the local vendor. DO NOT use other types
of boxes, such as banker's boxes, or mailing boxes; these are not the correct
size and strength for warehouse storage.
- Note: IRMS will not
accept boxes other than archive boxes
Used
boxes may be available for pick-up from DHS Record Archives. To ask about a
potential pick-up, contact DHS Record Archives with the approximate number of
boxes needed and a pick-up time. If someone from Central Office is traveling to
the local area, contact that person to ask for a box pick-up.
Packing
archive boxes:
- Arrange files
alphabetically by last name in the boxes with labels facing the same
direction. Labels must be legible;
- Pack the files
comfortably. Do not over fill the boxes – files should not be tight;
- Record the month
and year of closure on file label;
- Remove originals
of birth certificates, Social Security cards, and other similar documents,
prior to packaging the files; attempt to return them to the consumer. See IX.A Original documents left by
consumers
for more information;
- Confirm the case
file names in the box match those on the shipping log;
- Include the
completed original shipping log(s) in the corresponding box;
Sending
boxes to DHS Record Archives
To
send a box to DHS Records Archives, the local office must send an email request
to DHS Archiving Services, dhs.archiving-services@state.or.us, for a separate accession
number for each storage box .
- Complete storage
label DHS 6625, Department
of Human Services Record Storage Label; instructions are included with
the form;
- Record the
accession number on the storage label, DHS 6625, and the
shipping log, DHS 276, Storage Log for Closed Case Records;
- Narrate the accession
number in the consumer's Oregon ACCESS case for each file sent to DHS
Records Archive.
Complete
the DHS 276 Shipping Log for Closed Cases
- Include the
prime number and case name for each case file in the box;
- A separate Shipping
Log must be completed for each box;
- Place one copy
of the shipping log inside the box on top of the files;
- Keep one copy in
a shipping log book held at the local office until the retention date of
each file on the Shipping Log has been reached;
- Tip: Complete the Shipping
Log electronically instead of handwriting the information. If the Shipping
Log is not legible, the box will be returned to the branch for
resubmission.
Inside
the Salem area:
Outside
the Salem area:
- Ship boxes via a
secure carrier;
- All boxes must
be tracked in case they are mislaid.
Ship
archive boxes to:
DHS
Records Archive
1430
Tandem Avenue NE
Salem, OR 97301-4501
C. Case transfers
- IMPORTANT NOTE: If the consumer
is enrolled in a Coordinated Care Organization (CCO) and that CCO does not
serve the consumer's new zip code, the consumer will be automatically
disenrolled from the CCO effective the night of the UCMS computer
transaction regardless of the EFF DATE used. The consumer then becomes
fee-for-service until enrolled in another CCO which may cause disruption
of medical service. Do not enter address changes into the computer
ahead of time.
1.
Transferring a case to another branch or worker
Send
the consumer a notice of their case being transferred, including the new office
or worker's name, location, and the telephone number of the branch or worker to
which the case is being sent.
Narrate
a transfer notice was sent to the consumer; a copy of the notice does not need
to be kept in EDMS.
Once
a case transfer is completed on the mainframe in either UCMS or FCAS, no
additional changes can be made on that day to the case. Only the branch and the
load code can be updated with a TRAN incoming code; other changes must be done
prior to the transfer action.
- Transfer the
case online (see below) and complete a narration with transfer details in
Oregon ACCESS;
- Scan the case
file, as needed, into EDMS;
- Send an email to
the receiving branch's case transfer mailbox with the transfer information
and telling them the case is in EDMS.
FCAS
– SNAP cases:
- Trans field: Enter both
CHG and TRN;
- Change the
consumer's address, telephone number, and branch number;
- D-Eff field: Enter
the first day of the following month;
- Use new worker
code or to CT if the new worker is not known in the Wrk Id (worker
ID) field;
- Enter RU
to update.
UCMS
– Medical and services: Enter the following on the UCMS screen:
- Consumer's new
address including city, state, FIPS county code, and telephone number;
- Incm field: CHAN;
- Eff Date field: Date of
the transfer;
- Press [F9] to
save or type RU (update) in the Rel field.
On
the next day:
- Change Incm
field to TRAN;
- Change Br
(branch number) to the receiving office;
- Change Load
to new worker's load code or CT if the new worker is not known;
- If the consumer
is receiving services change the Serv Wkr (service worker) code to
the new worker or to CT if the new worker is not known. See below
for additional service case actions;
- Press [F9] to
save or enter RU in the Rel field.
512: If the consumer has
changed to a new provider the existing 512 must be closed. On the SMRF screen
enter:
- PRIM ID field: Enter
the consumer's prime number and press <Enter>;
- Select the most
recent 512;
- Change the EFF
BEG date to the day before the consumer will leave the current
provider's facility;
- ACT TYPE field: Enter 5;
- On the DISB
screen, type Y and press <Enter>.
Note:
512
transactions should always be done after the CMS and CAPS systems have updated;
CMS must batch before the 512 action can be taken.
Oregon
ACCESS and CAPS:
- Select the
application to be transferred from the Persons in the Application
screen for the application;
- Select Transfer
from the menu;
- Select Transfer-Out;
- Select the
receiving branch from the Dialogue box;
- Click on the Transfer
Application button;
- The receiving
branch selects Transfer from the menu and then selects Transfer-In.
2.
Transferring in a case
Log
the file on the Transfer in Log noting the date received, sending
office, and the worker assigned to the case in the new office.
Enter
the new worker ID into CMS, FSMIS, and Oregon ACCESS, and touch the 512, based
on your office procedures.
FCAS
– SNAP case:
- Change Trans
field to CHG;
- Change the Wrk
Id field to the new worker load code;
- Enter RU
to update.
UCMS
– Medicaid case:
- Change the Incm
field to CHAN;
- Change the Load
field to the new worker;
- If the consumer
receives services or moves to a service worker from an eligibility worker
change the Serv Wkr field to the new case manager. See below for
additional service case actions;
- Press [F9] to
save or enter RU in the Rel field.
Oregon
ACCESS and CA/PS:
- Select the
consumer's application;
- Click on the Benefits
button;
- Select the
worker to be deleted, and select Delete Workers;
- Select Assign
Workers and choose a name from the pop-up window; designate the new
worker's role.
3.
Receiving a transferred service case
Acting
on the 512:
If
the consumer has not changed providers:
- When a consumer
receiving services in a community-based setting is transferred into a
branch, the 512 must be touched upon arrival at the new branch;
- Depending on
what changes occurred, and if a payment has been made on the current 512,
a new 512 may have to be created;
- Messages will
appear on the SMRF screen indicating which is needed.
If
the consumer has changed providers, add the following on the SMRF
screen:
- PRIM ID field: Enter
the consumer's prime number;
- PROV NMBR field: Enter
the new provider's number;
- 2ND PROV field: Enter N;
- EFF BEG field: Enter
the date the consumer moved into the facility;
- EFF END field: 9999 12
31;
- ACT TYPE field: Enter 1;
- Review each
screen before saving;
- In the message
at the bottom of screen, type a Y.
Homecare
workers:
A consumer receiving in-home services who transfers to a different branch and
has the homecare worker stay with them should have the payment plan reviewed to
make sure payments are made timely.
Verify
the current pay voucher displays with the new branch or current number. Update
the branch number and service worker ID when the next voucher is created.
In-home
agencies:
A consumer receiving in-home services from an in-home care agency (IHCA) who
transfers their case will need to verify if that IHCA will continue to provide
in-home services for the consumer at their new address.
IHCAs
are licensed by OHA/Public Health and can provide in-home services within a
sixty (60) minute drive around the IHCA's office. If the consumer is no longer
within the IHCA service area, they will need to arrange services though another
IHCA or a homecare worker.
IHCAs
are billed and reimbursed using MMIS electronic billing. The case manager
should review the consumer's CA/PS service plan and MMIS plan of care for
accuracy.
Oregon
ACCESS/CAPS:
After completing the actions above, the receiving office can process the
consumer transfer in Oregon ACCESS.
- Select a blank
Oregon ACCESS window;
- Select Transfer
from the menu;
- Select Recent
Transfer-In List.
D. Retention
NOTE:
All APD and AAA offices are required to follow the same retention periods as
detailed below, without exception.
This
schedule is applicable to the records of Aging and People with Disabilities
(APD) and Area Agencies on Aging (AAA). The schedule applies to the official
copy of all public records, regardless of medium or physical format, created or
stored by the specified agencies.
Please
see Secretary of State, Chapter 166 Archives Division.
OAR 166-30-0010: A state agency shall destroy public
records meeting the terms and conditions of their scheduled retention period,
subject to the prior audit requirements of OAR 166-030-0041 and any suspension ordered under the
provisions of OAR 166-030-0045.
Please
note the exceptions to the schedule listed in OAR 166-030-0026 before disposing
of records.
- Adult Foster
Home Provider Records – 7 years from the date the home
closes
- If the home is
open, keep two years of material in the local office.
- APS and
protective service reports regarding consumers – 15 years
- Do not discard,
delete, overwrite, alter, or destroy any such documents or electronically
stored information;
- APS records
include everything collected during the investigation;
- For example: Screening
documents, all notes handwritten, typed, Post-it notes, correspondence,
supporting documents, photos, and video tapes;
- All Community
and Facility APS records must be maintained and archived for ten (10)
years after last activity.
- APS Community
and Facility records - 17 years after last activity.
- APS and
protective service reports regarding homecare workers - Never
- APS records
related to homecare workers are not purged.
- Case files - 15 years
- APD policy is
to keep all records for all benefits the same length of time;
- The retention
requirement includes applications, verifications, and any or all
materials used to determine eligibility for benefits and services
including long-term care services.
- Case transfer
log
– 1 year
- EBT records not related to
consumer eligibility - 4 years
- Contract RN
billing form (RN 1400) - 7 years
- Credit card
documents - 3
years after card canceled
- Financial
records – 6
years
- Financial
records may be sent to DHS Archives. Make sure the destruction date is
correct for the type of record and the ascension numbers are carefully
saved at the branch and noted as financial records.
- Do not scan
financial records into EDMS.
- General
correspondence - 1 year
- Homecare worker
personnel records – 7 years after end of employment
- Homecare worker
vouchers
– 6 years after issuance or until released from audit whichever is longer
- Inventory
documents - 4
years
- Invoices - 6 years
- Notary journal -
10
years after registration expires
- Older Americans
Act (OAA) records – 7 years
- Oregon Project
Independence (OPI) records – 7 years
- Personnel
records – 3
years (check with branch manager)
- Postal records
(USPS and private carrier) - 4 years
- Signature authorization
– 6
years after authorization is superseded or expired
- Time sheets - 4 years
- Travel expense
documents - 6
years
- Vehicle file
logs – 1
year