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Documentation

Revised January 31, 2008

Purpose: This category describes the documentation process for recording information in the electronic case file to support eligibility and benefit level decisions.

CLARIFYING INFORMATION

  1. Documentation reflects:

    1. Statements made by members of the assistance unit and others;

    2. How those statements were verified;

    3. Eligibility decisions made and actions taken on the case; and

    4. Why the actions were taken.

  2. Documentation provides:

    1. An ongoing permanent history of actions taken and decisions made;

    2. A support of eligibility, ineligibility and benefit level determination;

    3. Credibility for decisions when used as evidence in legal matters;

    4. A trail for auditors to determine the accuracy of the benefits issued.

WORKER RESPONSIBILITIES

  1. Follow these principles when documenting:

    1. Clear
      Use readily understood language. Avoid jargon and abbreviations not commonly used.

    2. Concise
      Documentation is subject to public review. Stick to the facts relevant to determining eligibility or benefit level. Do not include your opinion. Write in a non-judgmental manner.

    3. Complete
      The documentation must support the eligibility decision and allow       others to determine what was done and why.

    4. Consistent
      Explain how conflicts or inconsistencies of information were resolved. Demonstrate the reasonableness of decisions. Ensure that what you document accurately describes what happened with the case.

  2. The Narrative (NARR) is the primary location for case documentation.  It does not need to be lengthy, but it does need to be complete.  Information that relates to specific eligibility factors (such as shelter costs) should be documented in the REMARKS section behind the appropriate screen.  General case information is to documented on the NARR with a "pointer" to the specific screen (e.g., "See Remarks behind SHEL.")  The Narrative should also indicate if the interview was face to face or by phone, or if a desk review was done.

  3. Document verbal or written statements by including:

    1. If the statement was made in person, by mail, or by phone;

    2. The name (and phone number, if by phone) of the person making the statement - if the client made the statement, indicate which client;

    3. The relationship of the person to the client;

    4. Date that the statement was made;

    5. Substance of the statement;

    6. Eligibility factor that the statement verifies.


Narrative - (NARR) Screens

Document all case activity including but not limited to:

  1. The results of screening for expedited food assistance;

  2. Applications, reviews and recertifications, including the type of interview (face to face, phone, or desk review);

  3. Approvals, denials, terminations, and reasons for actions taken;

  4. If case is pending, what information was requested, and the due date for this information;

  5. Any contact with assistance unit members or collateral contacts;

  6. Changes reported and / or discovered;

  7. How changes were verified; and

  8. Effect of any change on benefits.


Remarks - (REM) screens

When valid value [OT] (other), [CC] (collateral contact / statement), or any valid value that is not self-explanatory is used as verification, document what the source is, how it verified the item, why it was accepted, etc.  Document the following information in the (REM) screen behind the following screens:

  1. (ADDR) Screen:

    1. The change date for all address changes;

    2. That an address inquiry has been done for match of other recipients living at the same address (and the results);

    3. Reason for using mailing address rather than actual residential address;

    4. Date that participation in the Address Confidentiality Program began and ended;

    5. Limited English Proficiency (LEP), document what language if valid value [OT] used and when and why an LEP client requests all correspondence in English;

  2. (AREP) Screen:

    1. Add in additional telephone numbers and clarifying information on AREP relationship to client;

    2. The reason a protective payee is in place and for how long.

  3. (STAT) Screen:

    1. Eligibility information regarding special programs;

    2. Reasons for using a 500 level reason code;

    3. If the client opted out of WASHCAP and any other information offered by the client regarding this decision.

    4. How a relative of specified degree was established and verified.

  4. (DEM1), (DEM2), (DEM3), (DEM4), (DEM5) Screens:

    1. If born in another country and US citizenship is claimed, how the client meets citizenship requirements;

    2. Reason for any inconsistencies with the Social Security number (such as using a false number);

    3. If assistance was received in another state, and when it ended;

    4. If divorce decree is in file;

    5. Unpaid medical bills and any need for help paying them, other medical insurance (and Third Party Liability forms filed), how client’s incapacity was verified (for GAU); other disability information; date referred to incap worker, date of referral to SSI facilitator;

    6. Necessary Supplemental Accommodation (NSA), document what arrangements have been made;

    7. Result of FORS check, particularly if the client has a felony drug conviction. Include date of conviction and reason for conviction. If client now qualifies for food assistance, include date client was assessed as chemically dependent, date and type of treatment program, and if it included vocational services.

  5. (ALAS) Screen:

    1. If client is an alien and is federally eligible, how the client meets federal eligibility requirements;

    2. If eligibility is based on work quarters, provide information on quarters and that they were not earned while client received federal means-tested benefits, and provide information, if appropriate, on eligibility gained through parent’s or spouse’s work quarters (updated at each recertification);

    3. If there are children aged 16-20 in the AU, indicate if they are in school full time and what documentation supports this. Indicate if child is half-time. If not in school, when did child leave school;

    4. Information about the sponsored alien’s sponsor.

  6. (INST) Screen:

    1. Medicaid Personal Care (MPC) information;

    2. The change date and rate for all facility/program changes;

    3. Details about uncovered expenses;

    4. Details about other insurance;

    5. Details about room and board exceptions;

    6. Document ETR exemption;

    7. Document any ACES processing alternatives, e.g., increasing a facility rate so that ACES processes accurately;

    8. Document guardianship and attorney expenses and period the order covers, including the date of the court order;

    9. Show math for ending date of uncovered expense payoff estimate, and indicate that alert has been set.

  7. (FSME) Screen:

    1. Information about the client’s medical expenses, if not readily identifiable from the FSME screen;

    2. If eligible client claims no medical expenses, document that the client was informed of eligibility for a medical expense deduction.

  8. (RES1), (RES2), (RES3), (TRAN) Screens:

    1. If no bank account, how does the client pay bills, cash checks, etc.

    2. Joint bank accounts with a non-AU member, how much of that account is available to the AU member, how much client deposits and withdrawals, and why funds are not available (if this applies;

    3. If no vehicle, how does the client get around;

    4. A car that the client has use of but does not own, whether borrowed or leased;

    5. Explain values set on vehicles and how the value was determined (e.g., NADA, Kelly Blue Book, dealership);

    6. Details about resources which are temporarily unavailable or inaccessible and a date set for followup;

    7. Why value of property is excluded;

    8. How separate property was verified;

    9. Details about life insurance policies or burial funds;

    10. How a transferred resource affects eligibility;

    11. Details of each transfer - if unable to itemize, summarize the details;

    12. Document to whom the property was transferred, when the transfer occurred, and the period of ineligibility;

    13. Document discussion with client regarding one year to transfer resources to the community spouse.

  9. (EARN) and (EDOC) Screens gather many details regarding earned income. Each field should be completed accurately, but not all details can be captured there. Remarks are necessary as follows:

    1. A general work history for each adult in the assistance units;

    2. If not employed, when the client last worked and the name of the employer;

    3. Work information on clients age 16, 17, and 18;

    4. If the client stopped working, was it a job quit and does it affect eligibility;

    5. Which prospective budgeting method is used, and why;

    6. An accounting of draws or tips or other special circumstances;

    7. Pay period ending dates and dates paid for the month being recorded;

    8. Extra pay or bonuses received or expected;

    9. Earned Income Credit (EIC) received.  If on a tax return, what was the EIC amount and what was the remainder;

    10. Separate data when the client has more than one job;

    11. Special types of employment, such as temporary agency, school district (is client off for the summer, what are the dates, is client paid during the summer), farm or agricultural work;

    12. Details on client's self-employment job and earnings - is client licensed, are there partners or employees;

    13. For Work Study, type of WS (Title IV, WorkFirst, other), length of work-study period, date one work study transitions to another type.

  10. (UNER) Screen:

    1. Source of income, if the client has multiple sources, and is not clear on UNER screen - include phone number or address for income source if you expect this income to change.

    2. Which prospective budgeting method is used and why;

    3. Why deductions are allowed;

    4. Pay periods;

    5. Begin and end dates;

    6. Status on child support for each child;

    7. Document discussion about potential benefits and if client is required to apply.

  11. (SANC) screen:

    1. Details about sanction, including start date and end date.

  12. (SHEL) screen:

    1. List other persons living in the residence;

    2. List ineligible members of the assistance unit;

    3. Provide information on how expenses are shared if others are in the home;

    4. If the household qualifies for  SUA, how they qualify.  This is especially important if the household qualifies because of wood or propane heat, LIHEAP, or excess utility costs;

    5. State purchase and prepare agreement with non-household members (provide client IDs for the non-HH members if applicable, and relationship to AU members);

    6. Amount of full rent if subsidized, who pays subsidy, and amount of client's share of subsidized rent;

    7. If someone else routinely pays any amount of the rent, who pays it, how much, and if rent is paid directly to the landlord;

    8. If landlord lives at same address, relationship of client to landlord;

    9. Details if client is working in exchange for rent - when this began, how much is worked off each month;

    10. Give other (SHEL) screen pointer when expenses are listed on a (SHEL) screen for other than the head of the assistance unit.

  13. (LTCD) Screen:

    1. List type of income and gross amounts;

    2. List type of resources and values;

    3. List separate property and add documentation to clarify ownership;

    4. For community spouse, complete the community spouse's income and resource screens.

  14. (DPEX) Screen:

    1. WorkFirst Job Search Workshop start and end date;

    2. WCCC - Is client receiving WCCC?  If not, why not?  What is WCCC case number?  How often is the provider paid?  How was the anticipated cost determined?

  15. (AREN) Screen:

    1. Document emergency reported by client;

    2. Document any resources the client has available to meet the need;

    3. If approved, document the need the department paid;

    4. If denied, document the reason for the denial;

    5. Document who the expense was paid to.

  16. (AREQ) Screen:

    1. Document need that caused the client to request ongoing additional requirements (such as restaurant meals).   Indicate if request was approved or denied (and why, if denied).

  17. (DEEM) Screen:

    1. Document any obligation the client has to pay child support;

    2. Document any garnishments taken from the client's income and how that garnishment was verified;

    3. If client is a sponsored alien, document the sponsor's name, income, and household composition.

  18. (WORK) Screen:

    1. Details on sanctions.  If a WorkFirst sanction, was client informed of need to cooperate with FS E&T;

    2. ABAWD status for food assistance, reviewed and documented at each recertification;

    3. Schedule for orientation, work shops, job search, etc.

  19. (MISC) Screen:

    1. Result of SLAM interview;

    2. Explain change in expedited food assistance status, if applicable;

    3. Explain if expedited benefits were issued with postponed verifications (what verifications were postponed).

  20. (FSFI), (CAFI), (MAFI) Screens:

    1. Overpayment / Underpayment information, the period of the overpayment, what caused it;

    2. Why a BEG is ignored.


The ESA Operations Support Manual contains a complete glossary of abbreviations. Acronyms are listed at the front of this manual. Listed here are the more commonly used and understood abbreviations:

aka also known as ap absent parent
app application a/r applicant/recipient
bc birth certificate bp base period
canc cancelled cc collateral contact, child care
chg change coop cooperation
cr case record cs child support, client statement, community spouse
csv cash surrender value cw case worker
cy calendar year dbt debit
deduc deduction del delete
dep dependent desc describe
det determine disc discovery, discount
div divorce dob/ dod date of birth / date of death
ei earned income ep employability plan
er eligibility review es employer statement
est estimate exp expedited
fed federal ffor f2f face to face
fh fair hearing fmv fair market value
gdn guardian hh household
hoh head of household hv home visit
inc income, incapacitated incl included
ind individual, indicated inf information
inq inquiry int interview, intention, interest
is institutional spouse l l landlord
max maximum min minimum
misc miscellaneous mr monthly report (mmr,msr)
mo monthly na not available / applicable, non-assistance
narr narrative nr non-excluded resource
op overpayment ov office visit
pa public assistance pc program change
pd paid, police dept. pers personal
pg pregnant pp protective payee, purchase & prepare
pna personal needs allowance prog program
ppt pregnant, parenting teen poa power of attorney
prop property pt part-time
qp qualifying parent qtr quarter
rec received, record red redetermine, redirect, reduce
reg register, regular ref referral, reference, refugee, refund
rep representative, replace rel related, release
req requested res resources
resch rescheduled ret retroactive, returned
sanc sanction s/mo stepmother
s/fa stepfather sch school
sd spenddown sep separate
sf seasonal farmworker ss social services, supplied shelter
sw social worker stmt statement
std standard supp supplement
sup supervisor sys system
svc service term terminate
tc telephone call tpl third party liability
tp treatment plan trans transfer, translated, transitional benefits
tr transfer ui underissuance, unearned income
ub unborn unl unlicensed
unk unknown upd unpaid
up underpayment veh vehicle
util utility vet veteran
ver verification, verified wt warrant
wk week xmit transmit
xfer transfer ytd year-to-date
yr year

ACES PROCEDURES

ACES provides ample space for documentation on the data collection fields, the Narrative (NARR) screen, and the Remarks (REMA) screens. The combination of these screens provides great detail and is acceptable evidence for Fair Hearings and criminal prosecutions.

The (NARR) screen is used for general information, the (REMA) screens for details.


See Narrative for Narrative Screen, Accessing the Narrative Screen (NARR), and Remarks Screen (REMA).

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Modification Date: January 31, 2008
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