18 Miss. Code. R. 6-1-A-I-XI
County administrative procedures and controls are essential in order for DFCS to have a systematic method of controlling work flow, handling details, and assigning responsibilities to staff. The administrative procedures should eliminate duplication, safeguard records, define responsibilities and make for an easier and smoother flow of work.
Procedures and controls should be consistent in all counties. This does not prohibit a county from establishing additional control methods and procedures. Most counties differ in some respects, but the controls and procedures described in this section are basic and must be followed by all counties.
The county administrative file for DFCS consists of all material relating to administrative reports, personnel, policy and procedure, supplies, equipment and training, and necessary correspondence. Do not file case file material in the administrative file.
As administrative changes occur at the state level the content of the file may change; however, the information should be filed so that all counties are consistent in their filing procedures.
The material within the county administrative file is classified by subject. Relative documents are accumulated in logical categories defined by the organizational structure and type of operation. The following are given as examples, though not necessarily all inclusive.
* Budgets and Accounting
* CQI
* Data Services (MIS)
* Human Resources (Personnel and Training)
* Internal Audit (Program Integrity)
* Grievances (Client and Provider)
* Division Director
* Deputy Administrator
* Prevention Unit
* RD
* Resource/Placement Unit
* Administration Unit
* Protection Unit
The subject file system material is arranged alphabetically.
For the purpose of setting up a schedule for the retention and destruction of material, the following classifications are established:
* Permanent - Material that is to be retained permanently or until authorization for destruction is received. Instructions for destruction of material will be issued by DFCS as authorized by the appropriate division or department within the state office.
* Semi-permanent - Material that is to be retained for three or five complete fiscal years.
For example: Material classified as inactive (superseded by new material or fiscal year ended) at end of SFY 07, (06-30-07) may be destroyed July 1, 2012, if it is five year semi-permanent material. Material may be destroyed earlier if so instructed.
* Temporary - Material that is to be retained for one full fiscal year. For example: Material during SFY 11 may be destroyed July 1, 2012.
The material retained in the county office should be filed in metal files with each file drawer clearly marked. However, if files are not available and it becomes necessary to file in boxes or other containers, material should be filed by fiscal year and boxes should be clearly labeled to show the material contained therein and the fiscal year to which the material applies and stored in a locked office/room.
The following are listings of most material in county departments. For destruction of material not on these lists, clearance should be sought through regular DFCS administrative channels.
Authorization signature for payment or certification, Bulletins and Memoranda (Numbered);
Case Records
* Master cards
* Active DFCS case records
* Active Foster Care Home case records
* Inactive DFCS-case records that may have significance in rendering
* Further service to a child and/or his family, and inactive foster care home case
* Records (See CASE RECORD DESTRUCTION)
* Historical Reports
* Property Inventory Printout (Current)
* Active Personnel Records
* Civil Defense Plans (Current)
* Bank Signature Cards
* Fiscal journals and ledgers
* Bank statements and cancelled checks
* Monthly summaries
* Receipt book
* Facility Folders
Other
* Property Management Accountability forms
* Furniture and equipment disposition and change forms
* Special administrative or service account records unique to a county
* Administrative Reviews (State and Federal)
* Annual Reports (County and State)
* Audit Reports
* Burglary and Theft Reports
* FNS Disaster and Emergency Reports
* Special Programs (Local)
* Workers' Compensation Claims
* Budget Information
* Non-Medicaid Travel Vouchers
* Purchase of Service (Contracts and Monitoring Reports)
* Statistical Reports
* Monthly, Quarterly, Semi-Annual and Annual Reports
* Time Studies
* Computer Printouts
* Complaint log
* Conferences
* County Activity Records
* Area Supervisory Reports
* Personnel Documents
* Employee Time Record
* Inactive Personnel Record
* Insurance
* Outside Employment Approval and Terminations
* Recommendations for Personnel Action
* Retirement
* Staff Allocations and Interviews
* Public Relations Information
* Requisitions (Forms and Supplies)
* Staff Development Minutes
* Volunteer Plans and Reports
A cross reference is an entry made on another form telling under what name, subject, or number the documents are filed and the location of like papers cards/records.
There are two types of cross reference forms:
* Tabbed Cross Reference Form - This is a permanent cross reference, used when the papers are filed in one place but reference may be made under other captions; for example: name changes, names of subsidiaries, etc. Crimson labels are used on this form.
* Card Cross Reference - This is a card index necessary where the amount of cross reference usually is heavy and a complete or cumulative cross reference must be kept on file. The card index to subject files is referred to as the relative index.
Check the labels carefully for the caption which corresponds to the coding on the label. File the papers in correct sequence in the folder and fastened in the folder at this time. Eliminate duplicates when filing.
A folder label must include the complete caption that identifies the contents of the folder. The caption is typed in the order in which the words are considered in filing. Use no punctuation. In name captions use single-space only between indexing units.
Never abbreviate the first and second filing units. Use abbreviations for other filing units only when necessary. Develop and use standard abbreviations consistently. Crimson labels are used as visible cross references. When a file is set up using crimson labels, any other distinctive folder color should be selected for the cross reference labels.
The major subject is always typed in upper case (all capital letters) and the secondary and remaining subjects in upper and lower case. Name file labels are typed exactly as indexed for filing: surname, then given name, and initial. Index cards are typed identically to folder labels.
All correspondence should be checked with the master index rile and the miscellaneous file. Correspondence relating to established case records (active or inactive) should be filed in the case folder.
All correspondence which does not refer to the established files should be filed by name of the person about whom the letter is written or by subject in alphabetical order using one 26-division set of A - Z guides with matching miscellaneous folders.
Material related to particular persons who are not major program applicants or recipients but may have applied for services may be filed in the miscellaneous file. No information relevant to an actual open case for any program should be placed in this file.
Individual folders should be set up by name when correspondence on any one person reaches five or more pieces of paper. Miscellaneous file material may be destroyed after three state fiscal years. A separate miscellaneous file should be maintained in each county DFCS office.
Case records shall be set up and maintained on the basis of the following:
* Individual folders: To maintain the uniformity of filing arrangement with the transfer of records between counties and to allow for the use of the same folder in the county receiving the transfer, it is necessary to have a standard for individual folders.
The folders, including parent and child folders, are letter-size (8 1/2 x 11), guide height with tabs all in center positions. Specifications of folder: Extra heavy 10 1/2 to 11 1/2 point brown stock with reinforced tab.
Active file folder labels are plain white and should be set up as follows:
* The first word on the label is the letter under which the folder is to be filed.
* It is typed and arranged just as the names are to be considered in filing. For example, Joseph M. Washington is. filed under Washington, and typed as follows with the number of children in the case in parenthesis.
* WASHINGTON, JOSEPH M. - (# of children)
When labeling a child's file folder, the parent/primary caretaker's name is typed first, followed by the child's name and date of birth.
* WASHINGTON, JOSEPH M.
Moore, Sally (D.O.B. 9-10-04)
To promote the withdrawal of records for destruction a gummed label or a removable signal shall be placed on the right back shoulder of the folder at the time the record becomes inactive. The inactive record may be placed in the inactive file.
The colors of the labels designate the year in which the records become inactive. The colors to be used for each year are as follows:
Colors | From | Through |
Green | July 1, 2010 | June 30, 2011 |
Yellow | July 1, 2011 | June 30, 2012 |
Blue | July 1, 2012 | June 30, 2013 |
Black | July 1, 2013 | June 30, 2014 |
Brown | July 1, 2014 | June 30, 2015 |
Orange | July 1, 2015 | June 30, 2016 |
Green | July 1, 2016 | June 30, 2017 |
Yellow | July 1, 2017 | June 30, 2018 |
Blue | July 1, 2018 | June 30, 2019 |
Black | July 1, 2019 | June 30, 2020 |
Brown | July 1, 2020 | June 30, 2021 |
Red Labels will be used to designate permanent file folders. If, at a later date, the permanent status of the file changes and the case has been closed, place a label on the case or destroy it based on when the case was closed.
Case record folders should be filed in fire resistant file cabinets. Each ASWS or his designee shall determine the filing plan to be used by the county office.
Case records are to be filed alphabetically based on the filing plan developed by the ASWS/designee. The guidelines given below are to be used for all DFCS case records, including Resource:
DFCS Case Records (Including Resource):
Work Files
A temporary work file should be set up to assist the Worker in gathering initial case information prior to transferring the information to an official file. The case record for an application or an investigation which has not been officially set up and on which a staff member is actively working may be filed in an individual Worker's "work files." Also, all files should be kept in alphabetical order and maintained in a locked file in a Worker's office.
Restricted Records
All case records of employees must be kept in a restricted file. DFCS RD or his designees may qualify other case records to be placed in the restricted file. In the case of permanent charge-out, a cross reference sheet shall be filed in the regular place of the record.
It is imperative that strict control be maintained over all case records. The DFCS RD or his designee shall develop a plan to ensure control.
The place for all case records is in a locked file; under no circumstances is any case record to be left out of a file overnight. No record shall be removed from the county except as outlined in material on confidentiality set out in this section.
When a case record is removed from the file, active or inactive, a pocket guide will be inserted in place of the record in the file.
A charge-out procedure for the issuance of records from the closed files is necessary to insure control of records, to prevent misplacement of records, and to keep informed at all times of the location of the records in the event the records are wanted by another user.
The staff member who requests a case record from the file is responsible for knowing the whereabouts of the case record. The staff member will request a case record from the staff member designated the responsibility for control and issuance of case records. The clerical staff member will remove the case record, and file the charge out card in the record's place in the file with documentation of the staff name and reason the file has been checked out.
The ASWS/designee is responsible for developing a procedure for issuance of case records. This procedure must insure that staff members retain case records only for the period of time that they are actively working on the case.
Deviations from these principles will be allowed when all active case files are located in the Worker's offices. All files whether active or inactive shall be located in locked filing cabinets.
The procedures to be followed in the filing, transfer, retainment, and classification of case records are outlined below.
When a case is transferred from one Worker to another within the same county, the assigned Worker completes the transfer summary and any other necessary tasks in the MACWIS system, and routes it to the ASWS. The ASWS will review the case and reassign it to another direct services Worker.
When a client who is receiving services (not court ordered) from DFCS moves from one county to another, the worker should ascertain the need for further services and if there is a need, the worker should write a transfer summary in the MACWIS system and the ASWS should notify the new county's ASWS regarding the case status and transfer the MACWIS case to that county.
The paper case record material should be sent by first class mail to the county where the client has moved.
See Section F (Licensure)
See Section F (Licensure)
18 Miss. Code. R. 6-1-A-I-XI