Appendix D Case Record Document Management | TANF

Georgia Division of Family and Children Services
TANF Policy Manual

Policy Title:

Case Record Document Management

Effective Date:

May 2023

Chapter:

Appendix D

Policy Number:

Appendix D

Previous Policy Number(s):

MT 61

Updated or Reviewed in MT:

MT-72

Requirements

The Web-Center Enterprise Capture (WEC) system, used to scan and upload documents directly into the Integrated Eligibility System (IES), 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 IES maintains an electronic case file of 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 IES using the Document Management module.

Permanent Verification Section

A case has three sections as outlined below:

permanent verification
benefits support
claims

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

documents verifying age, identity, and citizenship,
copies of Social Security cards,
other legal documents such as a marriage license, divorce decree, verification of death, and custody or guardianship papers,
most current HIPAA Form,
Form 138, Form 194,
any other documents considered permanent verification by the county department

Application and Annual Review

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

Form 297, Application for TANF, Food Stamps and Medical Assistance
Form 297A, Rights and Responsibilities
Form 354, Expense Statement
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

Interim Change

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

copies of written referrals
all verification provided for the processing of the interim change
copies of all communication with the AU that are not maintained in the system
all paperwork completed or signed by the AU.

Employment Services (ES) information must be maintained in WEC.

Employment Service Records

Form 196A, The TANF Family Service Plan -Work Plan
All attendance sheets for participation in all work activities
All documents related to Assessments, Referrals, 30-day reviews, Conciliations, and Sanctions

Once the documents are scanned and/or saved workers can follow these steps to add the documents to IES:

Select Add Documents from the Document Management module located in Others module
Select the type of document to add from the Document Type drop-down menu. (This is a mandatory field)
Enter the case or application number into the Case# or Application# field.
Select the client’s name from the Client ID drop-down field. (This is a mandatory field)
Select the Browse button from the Path of the file field to navigate through the computer to find the document that you want to add.
Click the ATTACH button. A results page displays with the documents in a list.
Repeat steps 2-6 until the added the desired number of documents is done.
Click the SUBMIT button. The View Documents Details page displays.
Make note of the numbers logged in the Document# and Transaction# fields for future reference.

Searching for Documents

When searching for documents, be sure to attempt both Case and Other Criteria to ensure that all options have been exhausted to find documents related to the customer’s case or application.

Case

Select Search Documents from the Document Management module.
Select the Case radio button to search on a known case number.
Populate the necessary fields to find documents on the case or client.
Click the SEARCH button.
Review the results that display and take action as needed.

Other Criteria

Select Search Documents from the Document Management module.
Select Other Criteria radio button to search criteria other than information on the case.
Populate the necessary fields to find documents on the client.
Click the SEARCH button.
Review the results that display and take action as needed.

The View Document Details page displays the document details of the applicant group’s searched document on file. This page displays Case or Application #, Client ID, Document Type, Document #, Transaction #, and View/Download Document.

From the Gateway home page:

Select Search Documents in DIS.
Start with the client ID and try a case or application number. If that does not work, use other parameters.
Select Search - do not select enter.
Stroll down and click on the eyeglasses to the right.
Select view document, View Document Details page.
A popup page with the documents is displayed.

Select Validate at the bottom of the page to validate the document information.

Link

The Link and Delink page provide detailed information about the document that was searched. From this page workers link the document to another case or individual.

Also, from this page workers can delink the document from a prior case or individual if needed. Select Link and Delink at the bottom of the page to link or delink the document to a case or client.

Populate the Case #, Application #, or Client fields in the Link Documents to Case/Application/Client section as needed to link them to the document.
Click the Link button.

Delink

Review the list of cases, applications, or individuals that are currently linked to the document.
Select the Delink option from the link table for the desired record.

Retention of Materials for Active cases, Inactive cases, and Claim Files

Retention of Materials for Active Cases

Materials associated with and relevant to the most recent application for assistance and ES support services must be retained indefinitely.

Materials in case records relative to the establishment of eligibility must be retained for three years. All material three years and older may be destroyed, with the following exceptions:

materials associated with and relative to the most recent application,
notice of abandonment,
all reports, forms and medical information used in establishing disability or incapacity,
any verification used to establish eligibility factors on which current eligibility is based.
ES files including record of the payment of all support services

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 case record.

Case record material must be retained if a Federal or State audit of the case record is in progress, or if the case is involved in a fraud investigation or in a hearing.

Inactive 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 Inactive Cases

All claims in open or suspended status in Georgia Gateway must have a file. Closed Claim files must be retained for 3 years and through one county fiscal audit.

Claim Files Retention

IPV disqualification documents must be kept permanently. Documents include:

Disposition information
Court order/consent agreement
Hearing decision/Waiver of Disqualification Hearing (WDH)

Office of Inspector General (OIG) claim information other than the disqualification documents may be purged according to program policy.

Computer Generated Reports

Computer-generated reports are considered case record material and therefore must be retained for a period of three years from the month in which the last activity took place. Documentation for any computer-generated report must also be retained for three years.