Document Indexing and Dispositioning

How does DTA receive documents?

The Department receives documents through the following methods:

Dropped off with staff at a local office
Faxed to the Document Processing Center (DPC)
Mailed to the DPC
Uploaded electronically using DTA Connect
Self-scanned using a multi-function device (MFD) at a local office
EDM Document Upload Tool
Emailed from a Provider

All documents are stored electronically in BEACON. The indexing process solicits information about the client, information about the document, and supplemental information for internal considerations.

All indexing elements are important, but an APID is required to link documents to a specific client’s case record. If an APID is not included in the indexing, the document will not be linked to a case record even if all other fields are correct. You must update the APID field if it is known and missing from the indexing.

Note

This situation is most common for new applications when the client was not previously known to BEACON. It is imperative that staff search for missing documents and update the document to include an APID so the document gets linked appropriately.

How are documents attached to client case records?

Automatically

An APID is known or entered, allowing for a direct upload to the case record without staff intervention.

Uploaded electronically using DTA Connect
Self-scanned after entering an APID using a multi-function device (MFD) at a local office

Manually

DPC staff link to clients and/or case records via indexing.

If client information is not decipherable or it is incomplete, DPC staff link to the Unidentifiable list.

Staff upload document using EDM Document Upload tool.

Dropped off with staff at a local office (submitted via bundle and Cover Sheets)
Faxed to the Document Processing Center (DPC)
Mailed to the DPC

Once uploaded, the document will show as available in the scanned document folder in the ECF and must be dispositioned.

How are documents assigned and routed?

After documents are indexed, whether automatically or by staff intervention, they are routed to the appropriate staff member or View to be worked on based on client information and Document Type.

Central Office documents are routed to the Views of the applicable unit.
Cash/combo cases are routed to the Views of the assigned case manager.
SNAP-only cases become Actions for First Available Workers (FAWs).

Responsible Staff/Unit	Document Types
Central Eligibility Processing	Application for Payment of Funeral Referral for Medical Assistance SSI/MassHealth Third Party Income Verification Request Rest Home Documents Income Verification Letter for Catastrophic Illness in Children Relief Fund Bay State CAP Client Options Form
Employment and Training (E&T)*	ABAWD Training Program Information Request ABAWD Work Program Participation Report ABAWD Work Program Requirement Medical Report Request for ABAWD Work Program Exemption SNAP Work Requirement Medical Report
Fraud Investigation and Data Match Unit (FIDMU)	FIDMU Program Int Employment Verification Request Program Int Fraud Report
Hearings	Hearings and Appeals
Quality Control	Quality Control
Recoveries	Recoveries
Senior Assistance Office (SAO)	SNAP Application for Seniors Documents associated with an application established by the SAO All documents not identified to a unit above
Cash Case Manager (for cash/combo cases)	All documents not identified to a unit above
Central Case Management Office (for cases belonging to a DTA employee)	All documents not identified to a unit above
FAW (if SNAP-only)*	All documents not identified to a unit above*
Front Office Group	Third Party Income Verification Requests

*FAW staff must process documents in the E&T Responsible Staff/Unit list above with the following exceptions:

An ABAWD Training Program Information Request Form is received; and
An ABAWD Work Program Participation Report is received for a Community Service site that has not been approved by an E&T specialist.

Note

This scenario is different from a client trying to verify past community service hours for a site that was already approved. When that occurs, you must follow the instructions outlined in Entering and Removing ABAWD Work Program Sanctions.

In these instances, the document must be marked as Pending Agency Review and an email must be sent to an E&T specialist identifying the client’s name, APID, and a summary of the circumstances why the FAW cannot take further action.

How must documents be dispositioned?

The following chart outlines document Disposition options and when it is appropriate to use them. You must be sure that the correct option is selected. The Disposition option is viewable to clients on DTA Connect and helps them understand where they are in the process.

Situation: A document was received and has not been looked at.

Disposition Option	Status	Who uses it?	When is it used?
Pending review	Available	System	This is the first stage of document processing. Staff must not disposition documents with this reason; it is for documents that have not been looked at by DTA.

Situation: A document was received and something has been done but the document requires additional steps by the Department before it is considered complete.

Disposition Option	Status	Who uses it?	When is it used?
Pending agency review	Reviewed	Cash case managers Central Office Units ------------------ FAWs	1. Someone has reviewed the scanned document, but it has not yet been entered into BEACON. Or The cash case manager or Central Office unit received a document that must be: · re-indexed to another client; or · re-indexed to another document type that is meant for another unit. ----------------------------- The FAW received a document that must be: · re-indexed to another client who is associated with a cash case; or · re-indexed to another document type that is meant for another unit.
Reviewed pending interview	Reviewed	FAWs	A form that requires an interview was received but an interview has not been conducted yet. Example: A Recertification form is received but the attempted cold call to complete an interview was unsuccessful. The Recertification is Initiated and an interview was scheduled. No further steps are taken at this time.
Unidentifiable	Unidentifiable	DPC staff	A document is received but it cannot be linked to a case in BEACON. Example 1: A client submits a self-declaration and signs it John Smith. The name is indexed but nothing else is available to link it to a case. Example 2: Someone submits a new SNAP application and they were not previously known to BEACON. They do not have an APID yet, so their documents cannot be linked to a case record yet.

Situation: Nothing is outstanding for the client related to the document submitted.

Disposition Option	Status	Who uses it?	When is it used?
Reviewed & Entered	Entered	Case managers	Information from the scanned document has been entered into the BEACON workflow pages
Reviewed duplicate	Not Entered	Case managers	The document has already been submitted. Example: A client faxed their Recertification form and also mailed it. The second copy of the form would be dispositioned using this status.
Reviewed not relevant	Not Entered	Case managers	The scanned document was reviewed, but the information from the document was not entered because the information is not relevant to the case. Example: A client sends in a note outside of a reporting period indicating that nothing has change. There is nothing to be done aside from writing a Narrative.

Situation: There is something required from the client to have the case processed and they are not aware of what it is.

Disposition Option	Status	Who uses it?	When is it used?	Next Step for Staff
Not Entered due to case status	Not Entered	Case managers and System	A document is received outside of the useable period of time for reinstatement. Example: A verification requested for a SNAP application that was denied on December 1 was received on February 15.	Attempt a cold call to the client to explain that a new application is required and the options to apply. Mail an application to the most recent mailing address. Send a Notice of Late Document (NLD) to the client with a copy of the unusable document. Scan a copy of the NLD to the case record.
Unreadable	Inadequate	Case managers	The document can be linked to a client but the contents cannot be deciphered. This is most common for documents uploaded as a photo using DTA Connect.	Attempt a cold call to the client to explain that the document is unreadable and advise to send another. Press “Inform client”; print the document and send to the client with a Returned Document Notice (RDN).
Unsigned	Inadequate	Case managers	A document that requires a signature is missing a signature. This includes applications, recertifications, reevaluations, interim reports, and client attestations.	Attempt to cold call the client. If the cold call is successful, you must follow the applicable procedures in Telephonic Signature. If the cold call is unsuccessful or the client refuses to provide a telephonic signature, press Inform client; print the document and send to the client with a Returned Document Notice (RDN). Refer to the procedures under Central Printing of Returned Document Notice for the steps on centrally printing the RDN. If the client subsequently calls the DTA telephonic signature line, they still have the option to sign the form telephonically.
Incomplete	Inadequate	Case managers	A document is signed but it is missing information that is required for the intended purposes. Example: A Request for School Employee Information (RSEI-1) form is received and signed, but the questions are not completed.	Attempt a cold call to the client to explain that the document is incomplete and advise to send another. Press “Inform client”; print the document and send to the client with a Returned Document Notice (RDN).
Incomplete & unsigned	Inadequate	Case managers	A document (other than an application, recertification, reevaluation or IR) that requires a signature is missing a signature and other required information. Example: A Request for School Employee Information (RSEI-1) form is received but it is not signed, and the questions are not completed.	Attempt a cold call to the client to explain that the document is unsigned and incomplete and advise to send another. If the document is a self-declaration for which DTA can accept telephonic self-declaration, obtain the verification by following the self-declaration procedures in Telephonic Signature. If the cold call is unsuccessful and/or the client refuses to provide a telephonic signature, press Inform client; print the document and send to the client with a Returned Document Notice (RDN). Refer to the procedures under Central Printing of Returned Document Notice for the steps on centrally printing the RDN. If the client subsequently calls the DTA telephonic signature line, they still have the option to provide the telephonic self-declaration.

Centrally Printing a Returned Document Notice

Because BEACON is only programmed for local printing of the Returned Document Notice, you must follow these steps if you need to print the document centrally:

Disposition the document as Unsigned
Select Inform Client
Select Print to generate a local print of the notice
Exit the Scanned Document History tab and go to the Document History tab. You will be able to view all printed documents.
Select Central Re-Print on the upper-left corner of the document.

How are documents re-indexed if they belong to another unit or another client?

from the Scanned Document Details page, select the appropriate document
click the Scanned Document Details icon.
click the i icon located to the right of the Client section

If the document belongs to another client:

enter the correct client’s first and last name and/or Social Security Number
select the appropriate client. The Client search page will close and the selected client’s name, date of birth, Social Security Number and Agency Identification number will populate in the client section of the Scanned Document Details page
click Search

If the document belongs to another unit:

update the document Type, using the drop-down list of documents
update the document Status, based on the options listed above.
click Save.

Last Update: August 29, 2022