1.  (a) Definition of Family Support Services (FSS) case records.  The case record is an accumulation of material required to document a client's eligibility for and receipt of benefits.  The case record includes information in physical working and history records, all imaged documents, and all electronically maintained data associated with the same case number.  For legal requirements and audit purposes, OKDHS retains these records for at least three years after all benefits included in the case have expired.  Case records may need to be retained longer than three years when legal action requires certain case records be maintained or there is an outstanding debt from an overpayment.

(b) Family case record maintenance.  A separate physical and/or imaged record for each family case is maintained by the Oklahoma Department of Human Services (OKDHS).  The maintenance of the family case record is the responsibility of the worker and supervisor to whom the case is assigned.

(1) Electronic information is maintained in the Family Assistance/Client Services (FACS), the PS-2 computer systems, and the OKDHSLive database.  The worker uses FACS for processing applications, reviews, and change actions, and FACS Case Notes for case documentation.  The FACS system only maintains a record of the most recent information entered into each FACS tab with the exception of FACS Case Notes.  When the client completes the application or review using paper forms or with the worker using FACS, the worker must print the original application and review forms and keep paper or imaged versions of them in the case record to document the client's signed statements regarding eligibility at the interview.  When the client completes the application or review using OKDHSLive, the client signs the application or review electronically.  The information is not printed unless a copy is requested by the client.  The data is stored in the OKDHSLive database and may be retrieved as a report when needed.  When changes occur after the interview, new forms are not printed unless the client signs the form.  FACS Case Notes maintains a history of all recorded notes so it is not necessary to print or image Case Notes.

(A) Case Notes are not shared with the client or anyone outside of OKDHS except when:

(i) required by a court order, a copy of Case Notes is printed for use in court; and

(ii) requested by a client who has requested a hearing, a copy of Case Notes is printed and given to the client.

(B) It is recommended that the worker enter a Case Note in each FACS tab used to interview the client at the time of the interview giving specific details or verification related to that tab and then enter a general narrative at the point the worker certifies, reviews, or makes a change on the case.  Case Notes must:

(i) describe how eligibility, continuing eligibility, or ineligibility was determined, what verification was used, and how income was calculated;

(ii) record all case actions taken and the reason for the action;

(iii) record information concerning a client's participation in the Address Confidentiality Program (ACP) administered through the Office of the Attorney General.

(I) No information is recorded about the location of the client's residence.

(II) Any written communications with the client are sent to the ACP address and documented in Case Notes;

(iv) record the date of any referral and to what services the client was referred.  The worker does not record in FACS Case Notes confidential information.

(I) When the worker completes a Child Welfare (CW) referral, the worker documents the referral number given by CW Hotline staff when the referral is made.  If contacted by CW, the worker documents the date of the contact and any information that affects case benefits such as a change in household composition.

(II) When the worker completes an Adult Protective Services (APS) referral, the worker documents whether the referral was made to APS Hotline staff or completed online.  A referral number is not available at the point the referral is made.  If contacted by APS, the worker documents the date of the contact and any information that affects case benefits such as a change in household composition;

(v) record all client contacts, whether initiated by the worker or client, and the:

(I) date of the interview;

(II) name of person being interviewed;

(III) location of the interview;

(IV) purpose of the interview; and

(V) information obtained; and

(vi) not include confidential information that is not required to support actions taken by the worker to determine initial or continued eligibility.  An example is documenting a medical diagnosis such as human immunodeficiency virus (HIV) in FACS Case Notes when all that is needed is a statement that medical information is in the case record that exempts a person from work registration or supports an incapacity decision.

(2) Unless all case material concerning a specific family case has been imaged or stored in the OKDHSLive database, all printed material is kept in a folder labeled with the case name and number.

(A) A folder is not required for filing applications or other material associated with the Disaster Supplemental Nutrition Assistance Program (DSNAP).  If there is no existing case record, DSNAP material may be filed numerically in an area designated for that purpose.

(B) When the printed material in a case record is out-of-date or the volume of data becomes cumbersome, a history folder is started.  The folder tab of the working record is marked Working and the folder tab of the history record is marked History.  The working record is not designated as Working until a history record is created.

(C) All printed case material is grouped in sections within the case folder.  Appropriate sections must be maintained in the working and history records.  The material in each section is arranged chronologically from front to back so it may be read book-wise.  Each section is fastened in the upper left hand corner.  Material removed from the working record is placed in the corresponding section in the history record.

(D) The worker to whom the case is assigned and his or her supervisor are responsible for determining which sections listed in (i) through (viii) of this Instruction to Staff are appropriate for a specific case and maintaining those sections in the working and history records.

(i) Permanent section.  This section is maintained only in the working record and contains material relating to the non-variable factors of eligibility.  It includes, but is not limited to, information regarding Social Security numbers, United States Citizenship and Immigration Services cards, birth certificates, and divorce decrees.

(ii) Application and review section.

(I) In the working record, this section contains the most recent application and review forms and all documents that support eligibility decisions made since the last review including all forms, correspondence, and copies of verification required for determining eligibility for the programs for which the client has applied or is receiving benefits.

(II) The history record contains the same information as the working record for earlier time periods with a cover sheet showing the eligibility dates the material covers.  If the client has received benefits for several years, several sections titled application and review section may be found in the history record.

(iii) Employment and training section.  All material applicable to participants in the Temporary Assistance for Needy Families (TANF) Work or the Supplemental Nutrition Assistance Program (SNAP) Employment and Training Program is filed in this section.  Copies of Flexible Fund authorizations are filed in this section. Various time sheets and letters to the client may be converted to the history record after one year.

(iv) Medical section.  When disability, blindness, or incapacity is a factor of eligibility, or when a request is made for personal care, ADvantage Services, nursing care services, or Supplemental Security Income-Disabled Children's Program (SSI‑DCP), a medical section is established.  This section includes medical reports, medical social summaries, authorization for examinations and equipment, and correspondence between the human services center (HSC) and the Oklahoma Health Care Authority, Level of Care Evaluation Unit.  Information may be transferred to the history record when the material is no longer pertinent to the client's eligibility.

(v) Social service section.  This section contains information for resolving problems related to all family services.  Information pertaining to child or adult protective services, Home and Community‑Based Waiver Services (HCBWS), and copies of support services funds authorizations are included in this Section.  Information may be transferred to the history record when the material is no longer pertinent.

(vi) Fair hearing section.  All material relating to a hearing is maintained in the working record for one year from the hearing decision date and then transferred to the history record.

(vii) Overpayment section.  This section contains all information pertaining to overpayments.  All material relating to overpayments that have not been paid in full are retained in the working record.  The material may be transferred to the history record after the total overpayment is reimbursed.

(viii) Narrative section.  Narratives created prior to the implementation of FACS Case Notes are retained in this section of the working record.

(ix) Other sections.  Other sections may be included as the supervisor and worker deem appropriate.

(3) Imaged documents are maintained electronically by case name and number and the date the document was imaged.

(A) After the document is imaged, it is placed in the worker's Inbox on the Family Support Imaging Workflow.

(B) The worker checks his or her Inbox daily to organize imaged documents in specific case records.

(i) The worker completes a packet cover sheet to associate each document with a specific action that is being taken on a case such as a certification, review, or case change.

(ii) The worker also enters information in the detail area, if needed, to describe the document more fully.  This helps the worker decide which documents he or she needs to examine further before taking action on the case.

(C) To access imaged documents after they have been removed from the worker's Inbox, staff clicks on Family Support Image Retriever on the computer desktop.

(i) A query criteria screen appears.  The more details the worker enters on this screen narrows the search.

(ii) If the worker wants to see all imaged documents available regarding a certain case, entering only the case number is recommended.  If the worker wants to only see all imaged applications or reviews in his or her caseload, the worker enters FSS-1 in Form Type, the county code, and the worker number.

(iii) A query results page appears based on criteria entered in the search.  To open a document from this page, the worker single clicks on the document icon at the beginning of the row or double clicks anywhere on the row.

(c) Filing system.  The maintenance and operation of the local HSC filing system is the responsibility of the county director or designee.

(d) Information only material.  This material includes records of inquiries that are not classified as requests for services and correspondence regarding persons not known to OKDHS.  It is filed alphabetically.  The earliest material regarding a given person is filed on top, and the reply and subsequent inquiries are attached in chronological order.  When there is an existing case record or when one is established, the information only material is filed in that case record.