Appendix D Case Record Maintenance and Document Management

Georgia State Seal

Georgia Division of Family and Children Services
SNAP Policy Manual

Policy Title:

Case Record Maintenance and Document Management

Effective Date:

September 2020

Chapter:

Appendix D

Policy Number:

Appendix D

Previous Policy Number(s):

MT-10

Updated or Reviewed in MT:

MT-61

Requirements

The Web-Center Enterprise Capture (WEC) system, used to scan and upload documents directly into the Gateway System, must be maintained in such a way that it is readily accessible and contains the documents necessary to support all actions taken regarding the case.

Basic Considerations

This section outlines statewide business processes to add, search and view documents in WEC. Georgia’s new Gateway System maintains an electronic case file for all scanned information for the AU, eliminating the need for a hard copy case record.

A document gets scanned to WEC or is uploaded directly to Gateway using the Document Management module.

A case record is organized into three sections as outlined below:

  • Permanent verification

  • Benefits support

  • Claims

Permanent Verification Section

All documents that verify information that does not change must be filed in document management. When needed, the following items must be filed:

  • documents verifying age, identity and citizenship

  • copies of Social Security cards

  • Form 189, Referral for Social Security Application

  • other legal documents such as divorce decree, verification of death, and custody or guardianship papers

  • any other documents, such as verification of shelter, that may be considered permanent verification by the county department

  • most current signed HIPAA forms

Benefit Support Section

Information that supports an AU’s eligibility and its benefit level at application, review or interim change must be filed. When needed, the following items must be filed:

  • Hearing decisions

  • Quality Control referrals

  • Manual notices

Initial Application

The following types of information related to an initial application for assistance must be filed in WEC:

  • Form 297, Application for Benefits if manually completed by the AU

  • Form 297A, Rights and Responsibilities (Signature Page)

  • Copies of written referrals

  • All verification provided for the application process other than permanent verification

  • Copies of all communications with the AU that are not maintained in the system

  • All paperwork completed and/or signed by the AU

Review

The following types of information related to a review of eligibility must be filed in WEC:

  • Application form, if manually completed by the AU

  • Form 297A, Rights and Responsibilities (Signature Page)

  • Copies of written referrals

  • All verification provided for the review process

  • Copies of all communications with the AU that is not maintained in the system

  • All paperwork completed and/or signed by the AU

Interim Changes

The following types of information related to interim changes must be filed in WEC:

  • Copies of written referrals

  • All verification provided for the process of the interim change

  • Copies of all communications with the AU that are not maintained in the system

  • All paperwork completed or signed by the AU

Claims

The following types of information related to claims must be filed in WEC:

  • Report of claim determination

  • Form 5667, Request for Investigation and Disposition packet from the Office of Investigative Services

  • Repayment and/or Form 5640, Waiver of Disqualification Hearing, or court consent agreement (PAC counties, court order)

  • Disqualification hearing decision

  • Paperwork relating to a claim as determined in the Benefit Recovery, Volume IV Manual

Refer to OFI Benefit Recovery Manual, Volume IV, for additional policy regarding claims files and destruction of claims files.

Retention of Materials for Inactive Cases

Case record material must be retained for a period of three years dating from the calendar month in which the most recent activity took place. Case material may be purged or destroyed when no activity has taken place for a period of 36 consecutive calendar months.

Retention of Materials for Active Cases

Case record material relative to the establishment of eligibility must be retained for three years. All material three years and older may be destroyed with the following exemption:

  • Any verification used to establish eligibility factors on which current eligibility is based.

The forms and/or materials listed above must be retained in the case record until they are no longer applicable to current eligibility or until the case record is destroyed in the same manner as an inactive record.

Computer-Generated Reports

Computer-generated reports are considered case record material, if documented with information. Documented computer-generated reports must also be retained for three years as provided in this section.

Claims Files Retention

Closed claims files must be retained for a three-year period dating from the end of the federal fiscal year in which the last claim was paid in full or terminated and/or through one fiscal audit. The portion of the claim file supporting intentional program violation must be retained permanently.

Case material and/or claims material that supports a disqualification for an intentional program violation are permanent documents and cannot be destroyed.

Case Record or Material Case Record

When destroying a case record or any document carrying the names of applicants or recipients, or social security numbers or other identifying or confidential information, the materials must be shredded or burned.

Refer to Section 3005 Confidentiality; Section 3010, Voter Registration; Section 3040, Health Insurance Portability and Accountability Act (HIPAA); Chapter 3500, Computer Matches and Volume IV, Benefit Recovery, about polices governing case record information and materials.