Basic (05-23)

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

  • Through its accounting and statistical records, the State must provide support for all obligations incurred in connection with making disability determinations.

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

  • The State's accounting records and supporting documents must permit verificationby Federal audit, and SSA administrative 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

To prevent unintentional exposure of confidential information to unauthorized persons, safeguard files and records in a manner in such that they are not easily accessible to the public.

4. Annual inventory of records

The State is responsible for conducting an annual inventory of records. The main purposes of conducting an inventory are to:

  1. a. 

    identify records of permanent valuethat should be preserved indefinitely.

  2. b. 

    identify records that can be disposed of immediately, or at a later date, and

  3. c. 

    provide the information necessary for the scheduling of records for disposition.

C. Operating procedure

1. Records retention

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

a. Six-year retention period

Retain all financial records, supporting documents, certain statistical records and other records pertinent to the disability program for a period of 6 years.

b. Exceptions

  • Retain financial recordsand supporting documents until Federal audit reviews have been performed and all findings have been resolved, even if the 6-year period has expired.

  • Retain non-expendable property records until 6 years after final disposition of the item.

  • Retain statistical records and records that pertain to the processing of disability claims for 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 information such as name, address, and social security number in a manner which will obliterate this information. This can be accomplished by shredding, pulping, or burning.

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DI 39509.005 - State Agency Responsibility -- Records and Reports - 05/08/2023
Batch run: 05/08/2023