3.603.1 Purpose and Use of Case File Records A.

Preparation of Case Record Preparation of the case record shall begin at the point of initial application with the client and case maintenance shall continue as long as the case is open for assistance. B. Purpose The major purposes of a case record shall be: 1. To assist the county worker in reaching a valid decision concerning eligibility or case action, and the amount of payment and type of assistance; 2. To ensure assistance is based on factual information and verifications received; 3. To provide for continuity of assistance when a worker is absent, when a case is reopened, and when a case is transferred from one county worker/department to another; 4. To ensure valid administration of the county department in keeping with its function and purposes; 5. To serve as a valuable basis for research, for interpretation of the work of the county department, and as a basis for development and evaluation of policy and procedure. C. Case Numbering A case number shall be assigned to the client at the time of application for assistance. D. The county department shall document all case actions in case comments. This information shall include actions taken by the county department, the basis of such actions, and the result or outcome of the action taken on the case, and must also include: 1. All case decisions related to the prudent person principle; 2. All decisions related to the disposition of claims; 3. Any interactions with the client; 4. Actions related to a county conference and/or state level fair hearing; 5. Cause of untimely processing of the application or redetermination; 6. Other information that would be critical to document county department actions and/or would be necessary to justify case decisions during a case review, audit, appeal, or lawsuit; and, 7. Information pertaining to eligibility, verifications, collateral contacts, program participation, and associated expenditures. E. Documentation The county department shall document all income and non-financial eligibility information into the statewide automated system. 1. The county department shall not omit case information from the statewide automated system based on the assumption that the information is unnecessary for eligibility determination. 2. All case information used to determine eligibility and changes in basic biographical information shall be updated at the time of redetermination. F. Arrangement of Case Record and Content of the Case Record All case files, including electronic files, shall contain all documents necessary to determine the eligibility and participation in program requirements. All case files, including electronic files, at a minimum shall be: 1. Labeled clearly, and, 2. Easily accessible for state reviews and/or audit purposes. G. Storing County Records The county department shall be responsible for the provision of a safe place for storage of case records and other confidential material to prevent disclosure by accident or as a result of curiosity of persons other than those involved in the administration of the programs. Data of any form shall be retained for the current year, plus three previous years unless: 1. There is a written statutory requirement, rule, or regulation available from a county (i.e., a broader county policy), State or federal agency requiring a longer retention period; or, 2. There has been a claim, audit, negotiation, litigation or other action started before the expiration of the three-year period. If any such action has been started, the county must maintain the case record for the duration of the action. If a county department shares building space with other county offices, locked files to store case material shall be used. Facility and other maintenance personnel shall be instructed concerning the confidential nature of information. H. Removal of Case Records Case records are the property of the State Department and shall be restricted to use by the State Department and county department.