Files are reviewed for compliance with program and operational processes and to ensure client information is correct, up-to-date, and on file.

Introduction

The File Review Checklist supports the reviewer (worker and supervisor) to assess compliance with key program and policy requirements and client needs.

The checklist complements other administrative and system based processes (i.e., LISA and Compass) as well as file management practices.

The checklist may also be used to support worker training as it identifies essential areas of Income Support (IS) program administration, how they relate to each other, how they are organized and how they are referenced in IS Policy.

File Review Checklist

Personal and Family Information – Ensure Identification is on file for all members of the household. Check to ensure documents include the full name, date of birth, a recent photo and signature for client and partner and appropriate identification for any dependent children.

EMP 0509 Financial Administrator Appointment (if applicable) – Check that the Financial Administrator Appointment is on file and the information is reflected in LISA. If a Financial Administrator is appointed without consent, ensure correct documentation is on file.

Financial Administrator Identification (if applicable) – Check that a copy of picture identification for the financial administrator is on current file.

Client Categories/ Types - Review the Client Type to verify the client type is up-to-date and accurate. Ensure supporting documentation is current and on file. If Client Type is not correct, update the client type in LISA and ensure consecutive budgets are corrected. Advise the client of the change and reasoning. Enter comments regarding any changes in Compass

Medical Coverage Code – Ensure that the correct medical coverage code is on the client’s file based on their circumstances. Check that the medical coverage code for the client and dependents is correct.

Contact and Address Verification – Check that the contact information (phone, email and mailing and residential address) is consistent across all systems and is substantiated by documentation on file. Review Comments to see if client meets residency criteria (check for hospitalization, incarceration, living in a facility, duration of travel outside of Alberta, etc.).

Notice of Eligibility for Income Support Application Form (signed/current) – Ensure the most recent form is on file, including required Schedules.

EMP 2941 Request to Disclose Personal Information – Ensure any valid consent to release information documents are on the file and reflected in Compass comments.

Persons with Immigration Status - Check for immigration status and if appropriate, confirmation of sponsorship default.

Banking and Financial Review:

Direct Deposit – If the client uses direct deposit, check that the EMP 2443 Direct Deposit Registration form or other acceptable direct deposit documentation, is on current file and the banking information matches the information in LISA. Ensure second level reviewer documentation is on file. If the client does not use direct deposit, ensure the proper exemption approval is on file.

CRC and ARC process – ARC reporting is confirmed and set up. If exempt from reporting, confirm the diary date is established in LISA.

Asset Verification –Verify all of the asset details are entered in Compass comments and that these are consistent with supporting documents.

Income Verification -Confirm all income has been reported in Compass comments and that substantiation documents are on file and accurately recorded on LISA budget screens. Review Notice of Assessment (NOA) from Canada Revenue Agency to confirm information on NOA is in line with file information. Clients must submit their NOA annually to confirm they have accessed all available income such as federal incentives like Canada Child Benefit, quarterly GST credits, etc.

Budget Review:

Core Essentials : Review current and go-forward budget, and adjust if required based on file information.

Core Shelter : Review current and go-forward budget, and adjust if required based on file information.

Supplementary Benefits: Review current and go-forward budget, adjust if required based on file information. Ensure there are Compass comments and substantiating documents on file and accurately recorded on LISA budget screens.

Third Party Payments : When applicable, ensure the required consents are noted on file and that payment allocation in LISA is consistent with consent. Ensure required reminders for 6 month reviews are on file.

Recovery Rate : When applicable, review recovery rate in LISA. If adjusted from the default rate, ensure comments are reviewed and updated if needed. If adjustments were made to the recovery rate more than 12 months ago it is recommended that staff discuss current circumstances with client. If adjustment to the recovery rate is still needed set a reminder to have the rate reviewed again in 12 months. If the adjustment to the recovery rate is not needed reset the amount to the default rate.

Case Management Review:

Action Plans - Ensure there is an up to date Action Pan, update when necessary and/or re-engage with client for additional items.

CCD Alerts - Check CCD for alerts. Ensure high priority comments are in Compass which state purpose and circumstances for the alert and when alert was placed in CCD. Alerts should be reviewed to ensure they are still relevant.

Medical Documentation - If applicable, verify the medical documentation is on file.

Note:
Changes to Medical Condition

During the file review process, an IS Worker may initiate a review of medical eligibility if they become aware of information that indicates significant changes to the client’s medical condition and/or prognosis for employability have occurred (either from the documentation on file or through the discussion with the client). A medical review should be completed as those changes may affect the client’s ongoing eligibility for IS benefits. More information can be found in the Client Type 17 and Client Type 42 policy.

Comments and Reminders – Complete File Review Comment in Compass. Review all Reminders on Compass, and ensure they are up to date.

Note: Once review is complete, indicate the next planned file review date in comments and set a Reminder in Compass.