103-6           RETENTION OF CASE RECORDS

 

103-6 A.      PERIOD OF RETENTION

 

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:

 

    1. 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.

    1. 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:

      1. 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.

  1.  

    1. 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.

  2.  

    1. 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.

    2. 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:

      1.  

        • 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:

 

  1. Request standard records storage boxes and bar codes from the Records Center by email or phone.

  1. 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.

  2. Leave at least 1" of space in the box.

  3. Please refer to the Archiving Step-by-Step Instructions located at: http://dpaweb.hss.state.ak.us/FIELD/PDF/Archiving-Process-Guidelines.pdf.

  4. Submit the Word version of the RTL to the Division's Records Officer to marie.speegle@alaska.gov.

  5. 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.

  6. 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.

  7. 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.

  8. 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.

  9. 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

  1. 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.


  1. To request records from the Records Center, staff will send the request to their designated contact and provide the following information:

  2. Case name

  3. Case number

  4. CLPM and CAP 2 printout

  5. 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)

      1. The designated contact will complete the Alaska Archives Records Reference Form and enter the following information:

      2. Case name (Last name, First name)

      3. Box number on box

      4. Barcode number on box

      5. 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.


  1. 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

    1. 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:

    2. Case name (Last name, First name)

    3. Box number on box

    4. Barcode number on box

    5. Indicate if file/carton is to be delivered, mailed (certified, DHL, other), held for pickup, or held for review at the contractor.

  1. 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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2020-02 (09/20)