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Expected to Work/Barriers to Full Employment Policy & Procedures

Published Date: September 20, 2013
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19 Administrative Procedures

File Transfers

File Transfer Procedures

INTENT

To identify the procedures necessary to ensure files are transferred effectively between offices.

Note
For file transfer procedures between IS and AISH, see Client Sub-Type 43 Severe Handicap.

Electronic File Location

CCD
Client information is available on CCD for all files, active, pending, and closed.

LISA
Client information is available on LISA for:

  • Active files,
  • Files closed three months or less, 
  • Files closed more than three months that have been downloaded to LISA pending a reopen, and
  • Pending files.

Mobius

Client information is available on Mobius for all files, active, pending and closed.

Download Office
The download office is an office that has downloaded the electronic file from CCD within the last three months but did not issue benefits. Files downloaded from CCD cannot be deleted nor returned to CCD.

Pending File
A pending file is a file that has been registered on CCD, but never opened on LISA. The offices must receive a telephone request before sending the electronic file. Paper documents are not sent. The sending office uses function 14 to transfer the file.

Non-Service File
A non-service file is a pending file that was purged from LISA and returned to CCD. The requesting office uses function 20 to download the electronic file. The file status will show Pending on LISA, after the download. Paper documents are not sent.

Note
This is the only time when an electronic file and paper file are temporarily at different offices.

Active Files

The New Office

When a client with an active file approaches a new office asking to receive benefits from the new location and the client remains eligible:

The AS:

  1. Confirms client is within office boundaries and checks CCD to confirm active status.
  2. Assigns the client to a caseload and records it in the EMP 2356 File Assignment Log.
  3. Phones or sends an e-mail to the owning office asking for the electronic and paper file. 
  4. Records the client’s name, file number, owning office and date of request on the EMP 2353 CCD Search and Transfer Record.
  5. Gives the EMP 2353 CCD Search and Transfer Record to the worker. 
  6. Records receipt of paper file in the Log Book (e.g., client’s name, file number, sending office code, date).
  7. Forwards the paper file to the worker.

The worker:

  1. Changes the office and caseload information on LISA within 24 hours.
  2. Determines the client’s on-going eligibility, updates the client information and budget, and issues benefits. 
  3. Enters the necessary information on Client File function 7 and completes all necessary documents for benefits to be issued.
The Owning Office

When an office receives a phone or e-mail request asking for an active file to be transferred:

The AS:

  1. Transfers the LISA file immediately by using Transfer File function 14.
  2. Records the transfer in the CSS 2323 LISA Electronic File Transfer Out Log.
  3. Sends the file using the EMP 2195 File Transfer Memo.
  4. Notifies the worker of the file transfer.
  5. Forwards all volumes of paper file to requesting office within 3 working days of transfer request.
  6. Records in the Log Book the file transfer (e.g., client’s name, file number, requesting office code, date).
  7. Completes PWSS 4117 Registration Form for courier and files the copies.

    If applicable the worker:

    • Notifies the CEC and/or Fraud Investigator of the file transfer.
    • Notifies the ISS of the file transfer if there is an appeal in progress

    Closed Files

    Ineligible Clients

    If a client with a closed file applies for benefits and is assessed as not eligible, the new office does not ask for the paper file.

    The electronic file received from CCD is not transferred back or deleted. It remains on LISA until purged or requested by another office.

    The Worker:

    1. Enters rejected status on Eligibility Determination function 1.
    2. Reviews any documentation and records this activity in Mobius Notes.

    The Records Room:

    1. Sends the documents for ineligible applicants with files closed less than two years to the office with the closed paper file so they can be added to the closed file. 
    2. Files documents for ineligible applicants with no file or a file closed over two years; or with pending status in a way that allows for disposal after 12 months.
    3. Arranges for disposal of documents as outlined in Records Management Processes policy after 12 months.
    Eligible Client

    If a client with a closed file applies for benefits and is assessed as eligible:

    If the file has been closed for less than 2 years:

    The AS at the New Office:

    1. Sends an e-mail requesting the closed file, normal transfer procedures apply (see above procedures for the Owning Office).
    2. When the file is received it is forwarded to the worker.

      If the file has been closed for more than 2 years:

      The paper file is not located at a delivery centre. If the other volumes are needed:

      The AS at the New Office:

      1. Starts a new paper file.
      2. Checks CCD to determine which office had the file last and sends an e-mail requesting the closed volumes. 
      3. When the file is received it is forwarded to the worker.

      The AS at the Last Recorded (Owning) Office:

      1. Requests the closed volumes from the Records Centre. 
      2. When the volumes are received:
      1. updates their inventory,
      2. permanently charges out the volumes to the new office, and
      3. forwards the closed volumes to the worker’s attention using the EMP2195 File Transfer Memo.

      The worker at the New Office:

      1. Determines the client’s on-going eligibility, updates the client information and budget, and issues benefits. 
      2. Enters the necessary information on Client File function 7 and completes all necessary documents for benefits to be issued.

      Reports

      DTI01 Outstanding Transferred In Report Reconciliation

      The Records Room staff:

      1. Reviews the DTI01 Outstanding Transferred In Case report daily for files that are listed on the report for more than five working days from the date of transfer. 
      2. Check the records for worker and worker assignments.
      3. Records the worker’s name beside the file on the report. 
      4. If there is no record in the office, the staff calls the sending office to check their records to determine the reason for the transfer. 
      5. The Records Room AS staff forwards the reconciled DTI01 Outstanding Transferred In Cases report to the designated ISS to follow-up with the specified worker and make sure the file is assigned to a unit and caseload.

       

      DT001 Transferred-Out Report The Records Room staff reconciles the DT001 Transferred-Out report with the Electronic File Transfer Out Log daily.

      Problems and Solutions When Transferring Files

      Electronic File is Not Downloaded The electronic CCD file is not downloaded if inaccurate information is entered. The message File Not Downloaded, See Your CPC Operator is displayed. The Site Contact receives the SCCP 2390-1 Download File Error report listing when inaccurate information was entered.

      The Client Direction staff:
      1. Consults with the Site Contact. 
      2. Corrects the information. 
      3. Uses the Request For File Download, function 20 to transfer in the correct electronic CCD file.
       Wrong File Downloaded From CCD If the worker is in Eligibility Determination function 1 and realizes the wrong file has been downloaded from CCD, they: 
      1. Record this information in Mobius Notes
      2. Leaves the file information to purge. 
      3. Requests the AS download the correct file.
       Wrong File Transferred in From LISA

      If the worker is in Eligibility Determination function 1 and realizes the wrong file has been transferred in from LISA, the worker: 

      1. Requests the file to be transferred back by completing section 3 of EMP 2353 CCD Search and Transfer Record
      2. Asks the Client Direction staff to transfer in the correct file.
       Wrong File Brought in and Information Is Entered on The Client File If the worker has entered information in Client File function 7 and realizes the wrong file has been downloaded or transferred in: 

      1. The worker stops entering information and informs the Site Contact of the situation. 
      2. The Site Contact contacts the Business Innovations, IT Business Support Unit at 780-644-2431 .  Regional Application Support for instructions and analyst intervention.
       Electronic File Not Received by Requesting Office The Records Room staff at the owning office cannot re-transfer files. If the new office does not receive the electronic file, the Records Room staff:

      1. Contacts the owning office to determine if the file was sent to the requesting office.
      2. If the electronic file was sent to the wrong office, the Records Room staff:
        • contacts that office and requests a transfer.
      3. If the file was sent to the right office but not received the Records Room staff: 
        • informs the Site Contact.
        • The Site Contact:
          • contacts The Business Innovations, IT Business Support Unit at 780-644-2431 .  Services.
       No Paper File If the Records Room staff receives a request for a paper file which is not in their office, they phone the Records Room staff at the requesting office to let them know.
       File Transfers cannot occur until the next business day when:

      • A payment was generated the same day,
      • an outstanding PIM reject (Permanent Interface Module is the link between LISA and CCD, 
      • If there is an unapproved manual cheque or voucher, or
      • Until 24 hours after Lisa system file closures.
      In these situations Records Room staff at the sending office: 

      1. Asks appropriate staff to take corrective action i.e. the worker to correct the PIM reject or the ISS to approve the cheque or voucher. 
      2. Informs the requesting office the file will be transferred the next business day