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 Eligibility Information System .  See clerical reports (CR054) for a sample of this listing.

2. 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:

a) DDS (Disability Determination Services) Files

DDS Disability Determination Service 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 Disability Determination Service file should be archived with the inactive case:

Do not archive the DDS Disability Determination Service file when:

1. • 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 Division of Public Assistance will receive a new application and a disability decision will be needed for that application

Archive the entire DDS Disability Determination Service file when:

1. • The client was found eligible for SSI Supplemental Security Income or Social Security Disability Insurance benefits.

   • The file belongs to a deceased client.

b) 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 Case Notes screen on EIS Eligibility Information System . Fraud referrals and findings are documented in CANO Case Notes . 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 ET Alerts and ADDR Address Screen screens for alerts and messages set up in these screens that indicate there is an ongoing fraud investigation.

3. DPA Division of Public Assistance offices will receive case management files from Work Services contractors in accordance with their file retention schedule. Work Services will transfer case management files to DPA Division of Public Assistance 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 Division of Public Assistance offices receive these case management files, DPA Division of Public Assistance will prepare the files for shipment to Archives according to the procedures outlined in 103-6C.

4. 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

The procedures for preparing records for shipment are exacting but simple.  Two items are absolutely essential before records can be sent:

1. Record Storage Boxes of the proper size and shape for the records you wish to send; and

2. A Records Transfer List form (RIMS-002-12-01).  This form may be found under this link:  http://archives.alaska.gov/records_management/records_mangement.html

Follow the Records Storage procedures as listed:

1. Request standard records storage boxes from the Records Center/Juneau Records Center, 141 Willoughby, Pouch C 0207, Juneau, AK 99811.

1. To determine the number of boxes you will need, multiply the number of file drawers by 1.5 for letter size file and 2 for legal size files.

Example:

For a 4 drawer, letter size steel file cabinet, 4 X 1.5 = 6.  Therefore to send all the files in this particular cabinet, order 6 boxes from the Juneau Records Center.

2. Boxes will be delivered to you with instructions for assembly (Copy of instructions attached.).

3. Do not mark on the boxes other than the box number in the handle holes; use pencil only.

2. Pack the boxes in alphabetical order.  If you have 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.

3. Complete a Records Transfer List (02-506) according to the instructions included in this procedure.  See the sample following.  Complete Records Transfer List forms (02-506) according to the instructions including:

1. Make a separate list for each box showing the full name and case number for each file it contains.

2. Attach the Records Transfer List (02-506) to the listing of each case file and send both listings to the Administrative Assistant in Central Office.

1. The Administrative Assistant will in turn have the Records Officer approve the transfer.

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2. Upon approval the Records Transfer List will be delivered to Archives and Records.

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3. Upon receipt of the Records Transfer List, Archives and Records will notify Central Office or your office that the records can be shipped to the Records Center, 141 Willoughby, Pouch C 0207, Juneau, Alaska 99811.

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4. A copy of the Records Transfer List will be returned to the Administrative Assistant III for the Division showing the permanent Records Center Identification Numbers for each box.

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5. Records sent to Archives and Records can be retrieved only by Central Office in case of audit, fraud, etc.  Districts will not have access to closed files once they are in storage.

103-6 D.      INSTRUCTIONS FOR COMPLETION OF RECORDS TRANSFER LIST (02 506)

The Records Transfer List is to be completed by the requesting Agency and approved by their Records Officer.  It becomes a permanent record of Agency records transferred and stored in the Alaska State Records Center.  The form should be typewritten only making an original and one copy.

1. Enter your Department (Health and Social Services) and Department Code (06).

2. Enter your Division (Public Assistance) and Divisional Code (we have no Divisional Code at present -- leave blank.)

3. Enter your Section and Branch (Eligibility Unit) and their codes (district number).

4. Check the appropriate box for your location.  If OTHER, please specify (District Office name).

5. Signature of Records Officer.  (This is to be completed in Central Office.)

6. Enter the name and title of the individual who can be contacted regarding these records (Administrative Assistant III for the Division).

7. Enter the individual's phone number.

8. Enter the box number as your office has assigned it in alphabetical order.  This is only a temporary number for listing purposes.  The Records Center will assign a permanent Records Center Identification Number for each box.  Mark your boxes with your numbers in pencil only in the handle holes.  MAKE NO OTHER NOTATIONS ON THE BOX.

9. Describe the contents of each box and last file in the box (Example: Abbott, Joe -- Doe, John).  If these records are listed on a retention schedule, please use the same descriptive terms unless they are casefiles.  Boxes should contain records having the same retention periods if at all possible.  Avoid such vague descriptive terms as Confidential Files, Miscellaneous Files, General Files, Inactive Files, Correspondence.  Please remember that your description will be the basis for further retrieval of this information.

10. Enter the earliest and latest dates of these records.

11. Enter the Retention Schedule and item numbers if applicable (Retention Schedule Exhibit #1).

12. Enter the projected disposal date as taken from the Retention Schedule if applicable.

13. FOR RECORDS CENTER USE ONLY.  Your Records Center Box Number will appear here.

14. Check the appropriate box indication restriction.  NONE means that these records will be available to any authorized person from your Department.  If further restrictions are required, please note in the space provided.  Restrictions should be limited to a title rather than a name (check the restricted box, type in Central Office, Division of Public Assistance).

103-6E.      INSTRUCTIONS FOR FIELD OFFICES WHEN REQUESTING STORED RECORDS

1. To request records from Archives, staff will send the request to their office control clerk and provide the following information:
    

• Case name

• Case number

• CAP 1 and CAP 2 printout

2. The control clerk will prepare the Records Reference Request Form See Addendum 103 A and email the completed form to Field Services at dpafield@alaska.gov, or fax to 269-3099. On the form, the control clerk will ensure the following information is provided:

• Specify if request is for file or box

• File name

• 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.

3. Field Services will keep a log of all requests for stored records from field offices.
    

4. Field Services will fax or email the Records Reference Request Form to the appropriate contractor:

• Juneau (Southeast Region)
  AAA Archives
  (907)780-3672
  benc@aaa-moving.com

• Anchorage (Central, Coastal, and Northern Region)
  Alaska Archives
  (907) 563-7012
  bprim@acsalaska.net
   

5. For questions about requesting stored records, control clerks will contact Field Services at  dpafield@alaska.gov.