TN 30 (07-96)

DI 39509.015 Retention and Disposal Schedule for Statistical Records and Records Pertaining to Disability Claims Processing

A. Procedure

Follow the procedure below for the retention and disposal for statistical records and records pertaining to disability claims processing.

1. Case control cards

Case control cards are a manual record of information contained in cases entering and leaving the DDS.

Disposition:

Retain the information for a minimum of 12 months following final case release from the DDS.

2. Consultative physician file

A consultative Physician File are records on doctors who do consultative examinations for the DDS.

Disposition:

Purge every 3 years.

3. Equipment and supply files

Equipment and supply files are records of the purchase, use or disposal of office equipment, furniture or supplies.

Disposition:

Destroy after final resolution of Federal Audit and CEMS Compliance Review.

4. Facilities management files

Facilities management files contain physical layout or design records, such as floor plans and parking plans.

Disposition:

Destroy when superseded or obsolete.

5. Fee schedules and revised schedules

Fee schedules and revised schedules are stipulated fees that the DDS is authorized to pay for services performed by a physician.

Disposition:

Destroy after final resolution of Federal Audit and CEMS Compliance Review.

6. General communication files

General communication files contain routine correspondence.

Disposition:

Destroy after 2 years.

7. Issuance files

Issuance files contain manuals, directives, handbooks and other formal policy and procedural issuances prepared and released by SSA.

Disposition:

Destroy when superseded or discontinued.

8. Letter of credit transaction files

Letter of credit transaction files contain monthly reports which provide SSA with data to reconcile letter of credit accounts with future funding accounts.

Disposition:

Destroy after final resolution of Federal Audit and CEMS Compliance Review.

9. Office service records

Office service records are records of communications, transportation, custodial, or other services such as installation or repair of phones, maintenance of heating, lighting, cooling or electrical systems.

Disposition:

Destroy after 1 year.

10. Payment voucher signature authorization files

Payment voucher signature authorization files contain the SF-1194 (Authorization Signature Cards): These contain the signatures of State agency personnel authorized to sign payment vouchers and similar records.

Disposition:

Destroy when superseded

11. Reference files

Reference files contain general information records that require no action and are not required to document a particular action, project or case.

EXAMPLES: Cards, listings, indexes, registers, and similar records used in controlling the handling of disability claims, reading files (i.e., extra copies of outgoing communications maintained by office staff members).

Disposition:

Destroy after 2 years.

12. Residual files

Residual files are nonmedical material retained after the case has left the DDS.

Disposition:

Retain until claim is adjudicated and then dispose of material when no longer needed.

13. Routine reports

Routine reports are “Routine Non-Controlled Reports.” Included are highlights, cost reduction reports, routine statistical records.

Disposition:

Destroy after 2 years.

14. SSA data acquisition and response file

The SSA data acquisition and response file contains tapes, printouts, edits and alerts produced by the system.

Disposition:

Retain at least 5 days (to allow for edit correction) and not more than 90 days (to allow for case reconstruction).

15. State agency payment voucher files and related records

State agency payment voucher files and related records contain form TUS-5401, Payment