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:

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

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:

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:

  1. Case information: Accessible to all AAA, APD, and SSP users;
  1. AAA/APD Case Information Secured: Accessible by specific staff in AAA and APD;
  1. SSP Case Information Secured: Accessible by specific Self Sufficiency (SSP) staff.

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:

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:

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:

Categorize consumer documents into seven (7) sections for searchability:

  1. Application: Index each application separately.
  2. Ongoing action: Documents related to actions taken during the period between eligibility determinations;
  3. Medical records: Records and documents related to the consumer's medical condition;
  4. Case management: Documents related to long-term care service cases;
  1. Legal documents: Documents obtained once from the consumer but referenced year after year such as identification records.
  1. 443 administrative hearing request: Please refer to Hearing Request Protocols and Procedures for information on submitting hearing requests;
  1. Supporting documents: Financial or other documents submitted by the consumer.

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.

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

How to change the hole-fill setting

  1. 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;
  2. 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
http://www.dhs.state.or.us/spd/tools/additional/ssam/images/iii%20Case%20Files_img002.jpg

  1. Select Configure on the pop-up menu;
  1. Select 6. Black and White Multi-page TIFF in the Task shortcut menu;
    http://www.dhs.state.or.us/spd/tools/additional/ssam/images/iii%20Case%20Files_img003.jpg

  1. A Scan As section will appear at the bottom of the menu:
    http://www.dhs.state.or.us/spd/tools/additional/ssam/images/iii%20Case%20Files_img004.jpg

  2. Click the Settings button in the lower left corner of the pop-up menu;
  1. Click on the Enhancements tab and uncheck the box under Hole Fill;
    http://www.dhs.state.or.us/spd/tools/additional/ssam/images/iii%20Case%20Files_img007.jpg

  1. Click OK at the bottom of the menu;
  2. 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:

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

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.

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
  • Birth certificates
  • Citizenship documentation
  • Social Security verification
  • Housing records
  • Insurance cards
  • 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:

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.

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:

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 the DHS 276 Shipping Log for Closed Cases

Inside the Salem area:

Outside the Salem area:

Ship archive boxes to:

DHS Records Archive

1430 Tandem Avenue NE

Salem, OR 97301-4501

C. Case transfers

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.

FCAS SNAP cases:

UCMS Medical and services: Enter the following on the UCMS screen:

On the next day:

512: If the consumer has changed to a new provider the existing 512 must be closed. On the SMRF screen 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:

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:

UCMS Medicaid case:

Oregon ACCESS and CA/PS:

3. Receiving a transferred service case

Acting on the 512:

If the consumer has not changed providers:

If the consumer has changed providers, add the following on the SMRF screen:

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.

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.