DHS General Schedule-Revised by sofiaie

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									                       Department of Human Services – Central Office
                            General Records Retention Schedule
                                   Revised April 4, 2005

Purpose
This general records retention schedule for the Minnesota Department of Human Services
describes records commonly created and kept by multiple divisions of the department and
determines their disposition. The retention period stated on the schedule applies to any form or
medium (paper, microform, optical disk, magnetic tape, hard drive, file server, etc.) of the
record, since it is the information that has the retention period, not the medium or format. As
a result, most of the records routinely generated are covered by it; those that are not should be
described in schedules specific to individual divisions. All schedules should be updated as
necessary.

Do not destroy relevant records that are subject to a “hold” because litigation, government
investigation, or financial audit is pending or imminent; do not destroy the records until the
“hold” is terminated, even if the retention period is concluded.

Definitions
Discard                Eligible paper records may be discarded by recycling. Or, as
                       determined by Department staff, destroyed in a secure manner (e.g. use of
                       secure, locked bins as receptacles for protected information).

Official Record        The master or official set of records. This is the set that should be
                       referred to and retained for its administrative, fiscal, legal, or historical
                       value; other, distributed copies of the records should be routinely
                       discarded.

Convenience Copy       Copy or copies of a document or file created and maintained for ease of
                       access and reference. A convenience copy is not the official record copy.

Retention periods      Indicate when records will be destroyed or transferred to the
                       Minnesota State Archives. Unless otherwise noted, these represent the
                       minimum amount of time the records should be retained; there should be a
                       good business reason for a division or employee to keep records longer
                       than the defined retention period.

Transfer to            Records that have historical value and should be transferred to the
Minnesota State        Minnesota State Archives for selection and disposition.
Archives

Selection and          Records which may not merit permanent retention as a whole and
disposition            will be appraised for their historical value upon transfer to the
                       Minnesota State Archives.




                                              DHS, Final General Records Retention Schedule, 4 April 2005


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Using the general schedule

Not all the records in a division will be listed on the general schedule, so this must be used in
conjunction with a schedule specific to each division.

1. Access Control and Request Documentation.
    Records regarding the Department employees’ request for, and access, to the
      Department’s electronic information systems (e.g. employee’s request for access to
      system). Retain while employee is employed by the Department plus 1 year, or 6 years,
      whichever is longer.

2. Administrative Rule Files.

      Official Record: Appeals and Regulation Division. Retained permanently.
      Division copies: Retain 1 year after the rule is adopted, and then discard.

3. Biennial Budget

      Official Record: Office of Management and Budget. Retained permanently.
      Division copies: Discard when no longer needed.


4. Commissioner’s Logged Letters

      Official Record: the divisions that wrote the response maintain the Logged Letters.
       Retain for 2 years, and then at the request of the Commissioner’s Office, transfer to the
       State Archives for selection and disposition.
      These are all letters entered into the Commissioner’s logged letter system, and are
       typically received from the Governor’s office, state legislators, members of the public,
       and others.

5. Complaint Files (e.g. data practices requests, equal opportunity, service, other topics)

      Retain for 3 years from date of resolution, then discard.
      Records that are subject to the HIPAA Privacy Rule or HIPAA Security Rule must be
       retained for 6 years from date of last action, and can then be discarded.

6. Contracts (e.g. professional/technical, interagency, grants, income contracts, Joint
Powers Agreements, etc.)

   6a. Contracts.
        Official Record: Appeals and Regulations Division. Signed contracts are retained 6
          years after the contract expires, and then discarded.



                                             DHS, Final General Records Retention Schedule, 4 April 2005


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   6b. Files regarding the contracts, include work orders, Request for Proposal (RFP),
       statements of work, copy of contract, correspondence, progress reports and related
       records.
        Official Record: Division. Retain 6 years after contract expires and then discard.

   6c. Proposals not selected and related documents
        Official Record: Division. Retain one year, and then discard.

7. DHS Bulletins

      Official Record: Appeals and Regulations Division. Preserved in electronic form, posted
       on the DHS web site for public use, and available for as long as the bulletins are
       effective. Retain for 3 years after the bulletins are no longer in effect, and then transfer
       paper copies to the State Archives for selection and disposition.
      Division/employee copies: discard when no longer needed.

8. Drafts of reports

      Discard after adoption of final report.

9. Financial Records

      Official Record: Financial Management Division for Central Office – See Financial
       Management Division Records Retention Schedule.
      Official Record: Accounts Payable (currently retained at Anoka Facility) for State
       Operated Services – See State Operated Services Division Records Retention Schedule.
      Division copies: Division discretion; discard when no longer needed but retain no longer
       than two years.

       9a. Budget documents (initial fiscal year planning worksheets, MAPS chart of accounts
       listings, MAPS entry forms, etc.)

       9b. Encumbering documents (requisitions forms, purchase order forms, MAPS blanket
       encumbrances, etc.)

       9c. Payment documents (vendor invoices, contract invoices, interagency invoices, grantee
       invoices, MAPS expenditure corrections, etc.)

       9d. Receipt documents (deposits, federal grant awards, MAPS accounts receivable
       billings and collections)

       9e. Payroll documents (timesheets, certifications for federally funded positions, employee
       expense reports)

       9f. Operating budget reports (MAPS ER)


                                             DHS, Final General Records Retention Schedule, 4 April 2005


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10. HIPAA (Health Insurance Portability and Accountability Act) Privacy Rule-
    Related Records and Security Rule-Related Records.

       Records that are subject to the HIPAA Privacy Rule or the HIPAA Security Rule must
        be retained for 6 years from date of last action, and can then be discarded.

11. Informational Communications (e.g., posters, handouts, notices, etc.)

       Discard when no longer needed.

12. Legislative Files

       Official Record: Legislative Liaison Office. Retain 3 years then transfer to the State
        Archives for selection and disposition.
       Division/business unit copies: Review and dispose after the current legislative session is
        completed.

13. Minutes: Division and Team Meetings

       Official Record: Division head or team leader. Retain 3 years then discard.
       Copies distributed to division staff and team members: discard when no longer need.
       Records that are subject to the HIPAA Privacy Rule or HIPAA Security Rule must be
        retained for 6 years from date of last action, and can then be discarded.

14. Personal/Individual work papers (e.g. hand written meeting notes, to do lists, reminders,
meeting handouts, drafts, convenience copies)

       Work papers kept or produced for personal use or for the purpose of creating other
        records may be discarded when no longer needed.

15. Personnel Files
       (See Personnel Records)

16. Personnel Records

   16a. Personnel Files
       Official Record: Human Resources Division for Central Office and State Operated
          Services Support Division Staff. Retained for 4 years from separation date.
       Official Record: Local work site for State Operated Services. Retained for 4 years
          from separation date.
       Division/supervisor copies (“desk file”): Retain until employee leaves the job, then
          forward the file to the Human Resources Division for appropriate action.
   16b. Recruitment and selection records (e.g. requisitions, job announcements, job postings
      and bid, resumes, applications, etc.)
       Official Record: Human Resources Division. Retained 1 year from the date of the
          personnel action to which the record relates.

                                             DHS, Final General Records Retention Schedule, 4 April 2005


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          Division copies: Retained 1 year from the date of the personnel action to which the
           record relates.

17. Personnel Recruitment and Selection Records
       (See Personnel Records)

18. Project Files

      Official Record: Project team leader. Retained for 3 years after completion of the
       project, then discarded. May include drafts of reports, which may be discarded after
       adoption of final report.
      Project team members: Discard when no longer needed.
      Records that are subject to the HIPAA Privacy Rule or HIPAA Security Rule must be
       retained for 6 years from date of last action, and can then be discarded.

19. Software Licensing Documentation

      Records regarding computer software technical information, licensing, and renewals.
       Retain for as long as files are created or maintained using the software, and then discard.

20. Subject Files/Topical Files

      Discard when no longer needed. May include drafts of reports, which may be discarded
       after adoption of final report.
    
21. Telephone Call Slips/Logs

      Discard when no longer needed.

22. Topical Files
       (See Subject Files)




                                            DHS, Final General Records Retention Schedule, 4 April 2005


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