The purpose of file review policy is:

• to ensure information about a client’s circumstance remains accurate, and up-to-date in the Compass system, and
• to provide a consistent practice and timeframe for completion of file reviews.

File Review Requirements
All client files are reviewed to validate the correct application of program policy, and operational processes and procedures, including program controls, to ensure client information is accurate and that clients are receiving the benefits and supports they need.

The file review process supports program integrity objectives, and provides an opportunity to review the client’s circumstances, to determine if clients are receiving the appropriate benefits and levels of assistance they need. A thorough file review supports case management objectives and, depending on client needs, helps facilitate transition to different caseloads, client categories or programs.

POLICY

File Review by Worker
A file review is completed by an Income Support (IS) worker when the client file has been open for 12 or more consecutive months.

File Review by Worker PROCEDURE
For workers undertaking file review, the following steps must be undertaken:

1. Completion of the File Review Checklist , using the File Review Checklist Form Completion Instructions . A new File Review Checklist is to be used each time a file review is conducted. Key client documents in each file should have the PID entered, categorized, and document type imaged.
2. As per the checklist if information in the file is inconsistent or is missing, the worker contacts the client for clarification and if required, requests updated information or documentation. The worker must also
   1. Place a Reminder on Compass with the anticipated date the information or documentation will arrive.
   2. Enter Comments in Compass with client contact details, information or documentation requested, and set a Reminder for follow-up, if required.

   If no information is needed to update the file, the worker contacts the client and inquires about any changes in client circumstances to determine if any adjustments to their benefits or the benefit amounts is needed and documents this in Compass. The worker also provides their contact information to the client.

3. Once the file review is complete, the worker creates a Reminder in Compass to review the file again in one year.
4. The completed file review checklist form is imaged to file.

File Review by Supervisor
IS supervisors must complete a minimum of one file per month, for each of their staff members, to assess whether staff are applying program policies and processes correctly and consistently.
These files should be selected at random each month.

In addition, supervisors should also review one worker completed file review for each of their staff members to ensure the staff file reviews are being done correctly.

File Review by Supervisor PROCEDURE
For supervisors undertaking file reviews, the following steps must be undertaken:

1. Using the file review checklist the Supervisor completes a file review as per the steps above.
2. Reviews Compass comments, appropriate substantiation, and file information to ensure overall alignment with policy.
3. If information in the file or system is missing the Supervisor informs the worker to follow up to ensure the file is updated.

File Closure (Eligibility issues, missing key documentation)
Refer to the File Closures policy for additional information on how to proceed, when:

• The worker has made every effort to contact the client with no success, and/or
• It is determined that the client is no longer eligible for IS following completion of  the file review.