103-6 RETENTION OF CASE RECORDS
At the time an applicant applies for assistance a case record will be established. This record will be maintained until such time as the record is closed for 12 continuous months.
103-6 B. RECORD STORAGE OVERVIEW
After a record has been
in a closed or denied status for 12 continuous months, the following actions
will be taken:
Every month a list of cases that
are in a closed, suspended or pending status for 12 months will
be provided by EIS
. See clerical reports (CR054) for a sample of this listing.
Upon receipt of the inactive case
list, clerical staff will pull the case records on the list and prepare for shipment to archives
according to the procedures outlined in record storage procedures
in this manual. The entire case record must be submitted
to
Central Office.
Exceptions:
DDS (Disability Determination Services)
Files
DDS files
are usually kept with the client's case file. If an
inactive case is prepared
for shipment to archives, follow the guidelines below to determine if the DDS file
should be archived with the inactive case:
Do not archive the DDS
file when:
The
file belongs to a child who is under age 18 and there
is still a current Continuing Disability Review (CDR)
date.
There
is a possibility that DPA
will receive a new application and a disability decision
will be needed for that application.
Archive the
entire DDS
file when:
The
client was found eligible for SSI
or Social Security Disability Insurance benefits.
The
file belongs to a deceased client.
Cases with Ongoing Fraud Investigation.
Although case files may be requested from Archives due to fraud
investigation, the process of retrieving
the file is lengthy and could be difficult. To avoid going through
this process, staff must not archive a case file if the case has
pending fraud referral or if a fraud investigation is underway.
To determine if there is a pending fraud referral or investigation
currently underway, staff must review the CANO screen on EIS
. Fraud referrals and findings are documented in CANO
. If there is a case note
indicating a referral was made, an additional case note is created
to document the fraud finding, which indicates that the
investigation is completed. Staff
may also check the ETAL
and ADDR
screens for alerts and messages set up in these
screens that indicate there is an ongoing fraud investigation.
DPA offices will receive case
management files from Work Services providers in accordance with
their file retention schedule. Work Services will transfer case
management files to DPA
after 12 months following the completion of Post-Temporary Assistance
services or after 12 months following the denial or closure Temporary
Assistance for reasons other than employment. When DPA offices receive these case
management files, DPA
will prepare the files for shipment to Archives according to the
procedures outlined in 103-6C.
Once a record has been sent to Archives, it will no longer be available to the Division except for very limited purposes, such as fraud investigation, settling an estate, and lien research. The file will not be available for reopening a case. However, the recipient's old case number can be obtained from the Eligibility Information System and must be used.
103-6 C. RECORD STORAGE PROCEDURES
These items are absolutely essential before records can be sent:
Standard
Size Storage Carton (10” x 12” x 15”).
Bar code stickers.
A Records Transfer List (RTL ) form may be found under this link: http://archives.alaska.gov/rims. The RTL can also be obtained from the Division’s Records Officer, at marie.speegle@alaska.gov. Please use the most current version of the RTL .
Follow the Records Storage procedures as listed:
Request
standard records storage boxes and bar codes from the Records Center
by email or phone.
Juneau: AAA Archives 907-780-3672; benc@aaa-moving.com
Anchorage: Alaska Archives 907-563-7014;
bprim@acsalaska.net
To determine the number of boxes
needed, multiply the number of file drawers by 1.5 for letter
size file and 2 for legal size files. For example, a four-drawer,
letter size steel file cabinet; the calculation is 4 X 1.5 = 6.
Therefore to send all the files in this particular cabinet, order
6 boxes from the Juneau Records Center.
Boxes will be delivered with instructions
for assembly (Copy of instructions attached). Sheets of Bar Code
stickers will also be delivered, if requested.
Place
the Bar Code sticker on the box and write the Box No. on the box.
Do not write anything else on the box(es).
Pack the
boxes in alphabetical order. If there is more than one box to be stored,
the A's should begin in box #1 and the Z's should be in the back of
the last box.
Leave at
least 1" of space in the box.
Please refer
to the Archiving Step-by-Step Instructions located at:
http://dpaweb.hss.state.ak.us/FIELD/PDF/Archiving-Process-Guidelines.pdf.
Submit the
Word version of the RTL
to the Division's Records Officer to marie.speegle@alaska.gov.
The Records
Officer will review and sign his/her name on the RTL
and forward the RTL
on the Records & Information Management Services (RIMS) office
in Juneau. RIMS will
assign an RTL No.
and add the date of the approval to the form. The information will
be in the upper right-hand corner of the RTL .
Upon approval,
the RIMS office will
email the Records Transfer List to the Records Center as a courtesy
and to have a copy for their records. The RIMS
office will email the final approved RTL
to the Records Officer. The Records Officer will then forward the
RTL back to the employee.
Once
the employee receives the final approved RTL ,
the employee can contact the Records Center in order to schedule a
transfer of the box(es). Records & Information Management Services
(RIMS) will send a courtesy copy of the approved RTL
to AAA Archives in Juneau. AAA Archives will contact the office to
schedule a pickup once they receive the RTL
from RIMS . Contact
DOST at dpadost@alaska.gov
for additional information on who to contact for any concerns or issues
with AAA's response, service or timeliness.
Records send
to Archives and Records can be retrieved only by the Division's Records
Officer in case of audit, fraud, etc. If an employee's name needs
to be removed or added from the Division's Approval Record list, please
contact the Division's Records Officer, at marie.speegle@alaska.gov.
The Division's Record Officer will update the list of employees who
are authorized to request records from the records facility and submit
the list directly to Alaska Archives located in Anchorage and AAA
Archives located in Juneau. The Division's Record Officer will ensure
both record centers have the most current list.
In order
to have files retrieved out of storage from AAA Archives in Juneau,
the employee on the approval list completes and signs the AAA Archives
Records Request form and sends it via email to benc@aaa-moving.com.
The form will include the client's name, Box No., and Bar Code. If
the employee is requesting records from Alaska Archives in Anchorage,
the employee on the approval list needs to complete and sign the Alaska
Archives Records Reference Request form and send it via email to bprim@acsalaska.net. The form
must include the client's name, Box No., and Bar Code Number. The
Agency Name will be, for example, Northern Region, Juneau District
Office, MatSu District Office.
103-6
D. INSTRUCTIONS FOR FIELD OFFICES WHEN REQUESTING
STORED RECORDS
Each region has designated staff allowed
to request files or boxes from the Records Center. Only staff who
are included in the list will have the authority to request files
or boxes from the Records Center. For a current list of contacts,
go to this link: https://reports.dhss.alaska.gov/Reports/Pages/Folder.aspx?ItemPath=%2fDPA%2fRecords+Center+-+Approved+Contacts&ViewMode=List.
Note:
If the region's contact is not available, send the request via email to
the Division's Records Officer at marie.speegle@alaska.gov.
To
request records from the Records Center, staff will send the request
to their designated contact and provide the following information:
Case name
Case number
CLPM and CAP 2 printout
Information
about file volume and date to assist the control clerk in researching
the case file (e.g., Volume 1 exists at 077 - 5/13)
The designated contact will complete
the Alaska Archives Records Reference Form and enter the following
information:
Case name (Last name, First name)
Box number on box
Barcode number on box
Indicate
if file/carton is to be delivered, mailed (certified, DHL,
other), held for pickup, or held for review at the contractor.
Note:
The box number and barcode number may be located in the Excel file kept
internally in each office, most possibly by the office control clerk.
The Alaska Archives Records Reference Form is available as Addendum 103
A. Link to Addendum 103 A - Records Reference
Request form.
The
control clerk will need to scan the form to their own email and send
the form to the appropriate contractor. The control clerk should keep
a copy of the scanned document for record keeping.
- Juneau (Southeast Region)
AAA Archives
(907) 780-3672
benc@aaa-moving.com
- Anchorage (Central, Coastal, MatSu and Northern Regions)
Alaska Archives
(907) 563-7012
bprim@acsalaska.net
Once the office is ready to have
the file sent back to the Records Center, the designated contact
will need again to complete the Alaska
Archives Records Reference Request form and scan it to the
Records Center.
Once
the form is received, the Records Center will automatically send
someone to the office to pick up the file or box to return back
to the facility. Enter
the following information:
Case name (Last name, First name)
Box number on box
Barcode number on box
Indicate
if file/carton is to be delivered, mailed (certified, DHL, other),
held for pickup, or held for review at the contractor.
If the region's contact is not available or for questions about requesting stored records, contact the Division's Records Officer at marie.speegle@alaska.gov.
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