Eligibility Online Manual

M408 Case File Maintenance

Purpose: This section will provide information regarding worker responsibilities for the maintenance, retention, and documentation of case files.

Current Policy Effective Date: November 1, 2015

Date Last Reviewed: November 9, 2015

Previous Policy: January 1, 2007


1. Record Narratives

Narratives should be documented, in a case note on WES, every time an action is taken on the case. Refer to Section M408A.

2. Review Case Files Annually

Determine which records qualify for disposition or need to be purged.

3. Maintain File Records

File maintenance responsibilities include the following:

    • Purging Case Files.

    • Archiving Case Files.

    • Refer to Section M408B.


Paper Files: W.S. 9-2-401, 9-2-405 – 413

Written Application: 42 CFR 435.907

Availability of Program Information: 42 CFR 435.905

Notice of Agency Decision: 42 CFR 435.912

Documenting the Case File: 42 CFR 435.913

Clarifying Information:

Worker Responsibilities:

Recording Narratives

1. Record the actual events and facts.

2. Be as complete and concise as possible.

3. Use standard abbreviations and clear punctuation.

4. Document events as they occurred, in chronological order.

5. Document by entering a case note promptly in WES.

Purging Case Files

1. Transfer all hard copies of family information to the new file (i.e., birth certificates, divorce decrees, etc.) and file under the Initial/Permanent/Verifications divider (102I).

2. Transfer the entire case narrative.

3. Retain all applications for not less than six years or for the current period of eligibility without a break-in-aid even if more than six years old.

4. Review the case for any previous overpayments and file all applicable information/verification that supports the overpayment under the Recovery/QC Errors/Fair Hearing divider (102J).

5. Destroy all other information more than six years old if the information is not needed to support an overpayment or any other possible issue within the case.

6. Indicate on the front of the folders “1 of 2”, “2 of 2”, etc. and retain prior files.

Archiving Case Files

1. Place the case file in archive boxes by alpha order.

2. Number the boxes using the system established by your field office.

3. Type an alpha list for each box listing:

3A. Box number.

3B. Case name.

3C. Case number.

3D. Date of record.

4. Print alpha list.

5. Make three copies of the alpha list.

6. Place one copy inside box on top of files.

7. Attach one copy to Records Center AR9 form.

8. Retain one list in the field office.

9. Complete and place the required label on the archive box.

Retrieving Archived Case Files

1. Send an email to Records Center containing the following information:

1A. Box number.

1B. Case name.

1C. Case number.

1D. Date of record.

1E. Medical Assistance #.

1F. Record Center location.