Records Retention Policy 415-05-60-10

(Revised 11/02 ML #2829)

View Archives

 

 

The LIHEAP terminates at the end of each Federal Fiscal Year or September 30 of each calendar year. Casefiles may be closed throughout the year for various reasons, and all remaining open casefiles are considered closed on September 30. A new casefile is established at the beginning of each federal fiscal year.

 

The North Dakota Century Code was amended by the 1993 Legislature to provide for a record retention period consistent with Federal retention requirements. Case files, including all documents pertinent to determining eligibility and benefit amount, shall be retained for three (3) years after a case is closed. Subsequent re-openings of cases does not alter the allowable destruction of materials for the prior period of eligibility once the three years has lapsed. The closed case files may, at county option, be destroyed. Verification materials required for a current open case must be retained.

 

LIHEAP case files are maintained by the county social service boards and contain the necessary information to determine a client's eligibility to receive a specified service or benefit. The casefiles include all forms and documents that have a client signature or are used to apply for assistance, to establish eligibility, to compute or re-compute benefits, or to otherwise authorize or limit assistance. Casefiles also include any form, document, notes, narrative, letters, etc., that are used to verify information and/or used to support payments.

 

The LIHEAP statewide electronic file includes household identifying data and pertinent characteristics, payment actions, and history of changes that have occurred throughout the federal fiscal year. The electronic file is active for a maximum of three years. The data is then converted to microfiche that is stored indefinitely. County case files include documents that will verify the electronic household and payment actions. Other documents that support the electronic file, such as vendor billing forms, rejection notices, county vouchers, the remittance advice, payment adjustment forms, refunds and recoveries, etc., are also retained for three years after the close of each federal fiscal year.

 

Retention of non-record information is not required. Examples of non-record material are exhibits, library and reference material, extra copies, drafts, transcribed tapes, and an excess supply of forms, brochures, etc.