DI 39509.005 State Agency Responsibility -- Records and Reports

A. Introduction

The State is responsible for those records and reports pertinent to the financing of disability determinations and those which reflect the agency's workload of disability cases.

B. Operating policy

1. Fiscal account

a. Records must support all obligations

  • The State must provide, through its accounting and statistical records, support for all obligationsincurred in connection with making disability determinations.

  • The State must establish and maintain inventory records to supportprior and current obligations.

  • The State's accounting records and supporting documents must permit verificationby Federal audit, SSA administrative review and CEMS Compliance Review.

b. Advanced funds must be identifiable on the State's record.

NOTE:This is usually accomplished by use of a separate account.

2. Maintenance of case files and records

The filing system must allow for easy identificationand location of cases as well as orderly assignment and processing of work.

3. Confidentiality of records

Because of the confidential information contained in the files and records, locate the storage area in an area not easily accessible to the public to prevent unintentional exposureof confidential information to unauthorized persons.

4. Annual inventory of records

The State is responsible for conducting an annual inventory of records. The inventory has three main purposes:

  1. a. 

    Identify records of permanent valuethat should be preserved indefinitely.

  2. b. 

    Identify records that are disposable, immediately or later.

  3. c. 

    Provide the information necessary for scheduling of records for disposition.

C. Operating procedure

1. Records retention

Follow the record retention requirements established by the State except as indicated below:

a. Three-year retention period

Retain all financial records and supporting documents, certain statistical records and other records pertinent to the disability program for a period of 3 years.

b. Exceptions

  • Retain financial recordsand supporting documents until Federal audit and CEMS Compliance Review have been performed and all findings have been resolved, even if the 3-year period has expired.

  • Retain non-expendable property recordsuntil 3 years after final dispositionof the item.

  • Retain statistical recordsand records that pertain to the processing of disability claimsfor the length of time specified in the disposal schedule
    (DI 39509.015).

2. Disposal

Dispose of the material in accordance with the disposal schedule in DI 39509.015 when the retention period has expired.

3. Preserving confidentiality

Destroy claims material containing confidential informationsuch as name, address, and social security number in a manner which will obliterate this information.

NOTE:This can be accomplished by shredding, pulpingor burning. When hand-shredding, the material should be torn so that the name or account number is separated from the other identifying information.

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DI 39509.005 - State Agency Responsibility -- Records and Reports - 07/12/1996
Batch run: 04/01/2013