V.C. Archiving Case Files
8/9/2013
Overview:
Aging and People with Disabilities policies and practices for storage, retention, and destruction are included in this procedure.
The DHS Archives Unit is the central warehouse storage location for use by field staff in Aging and People with Disabilities (APD) and Area Agency on Aging (AAA) offices. The DHS Archives Unit is located in Salem.
Please remember all cases sent to the DHS Archives Unit must be sent securely with thought given to the privacy of the information in the files.
- Each case file should be alphabetized in the box by last name and shipped to the warehouse for the required retention period.
- The retention period is seven (7) years for all customer cases. After 7 years, the case file is destroyed.
- Closed cases should be held in the local office a minimum of four (4) months prior to being shipped to the DHS Archives Unit.
If you are in the Salem area, or are driving to the Salem area, archive boxes can be dropped off at DHS Archives: 2850 Broadway NE, Salem. You must contact DHS Archives and tell them boxes will be dropped off and at what time. A person at Archives will be available to move the boxes when you arrive.
When transporting boxes to Archives by car, please be aware of the need for security. Do not leave archive boxes unattended in the vehicle and be sure to keep the doors locked.
Getting started:
Before starting the records storage process, make sure your records can meet these inactive criteria:
- The office will not need access to the records more than six (6) times per box per year; and
- At least two (2) years remain in the retention period.
Archived folders must not be more than two (2) inches thick. If the folder is over two (2) inches, create a second (or third, etc.) file starting on January 1. Label the file folders with the same customer information and the volume number: “Vol. 1 of 3, Vol. 2 of 3”, or “Vol. II of IV”.
Secure all items in the folder by attaching them to the appropriate section’s metal fasteners, or staple or tape items too small for the fasteners to other pages. Do not staple anything to the outside of the folder. Staples on the outside of the folders can be dangerous and could cut someone’s finger.
Boxes:
Due to the prohibitive cost of only using new boxes, DHS Archives has agree to accept used, lidded boxes in good condition with open handles on the sides – please do not send boxes with torn handles.
DHS Archives is not able to ship used boxes to the field directly so please continue to order boxes, as needed, from Office Max, item # 03113785 (4 pack) or 20609101 (12 pack). Note: The item number of the boxes changes periodically.
Used boxes may be available for pick-up from DHS Archives; please contact archives to make arrangements.
Contents:
- Replace hard to read or dark colored file folder labels with white or light colored labels.
- Print the customer’s last name, first name, and prime number on the file folder label.
- Record the month and year of closure on file tab and volume number such as “Volume 1 of 4”.’
- Remove originals of birth certificates, social security cards, and other similar documents, prior to packaging the files.
- If these items are not needed, attempt to return them to the customer. If you are not able to locate the customer, securely shred items in the local office.
- Arrange files alphabetically by last name in the boxes facing the same direction.
- Pack the files “comfortably”. Don’t over fill the boxes – files should not be tight.
- Complete the DHS 276 Shipping Log for Closed Cases, including the customer’ identification number (prime), for each box.
- The shipping log must be legible. If it is not, the box will be returned to the branch for appropriate action.
- Confirm case file names in the box match those on the shipping log.
- Include the completed original shipping log(s) in the corresponding box.
- Make a copy of the shipping log and retain the copy in the originating branch for seven (7) years.
- Complete storage label DHS 6625, Department of Human Services Record Storage Label.
- Obtain and record Accession Number for each storage box before sending.
- To request Accession Number, email DHS Archiving Services: dhs.archiving-services@state.or.us.
- Record the Accession Number on the storage label, DHS 6625, and the shipping log, DHS 276.
Open archiving:
Staff may send partial case files for customers who have open benefits; this is called open archiving. Staff may archive customer case information which is more than two years old.
- Carefully sort customer applications, verification, and other documentation by date;
- Only materials which are not relevant to the customer’s current benefits or eligibility may be archived.
DO NOT archive items such as:
- Identification;
- Birth certificates;
- Citizenship documentation;
- Social Security verification;
- Marriage or divorce records;
- Housing records;
- Insurance cards;
- Stable income verification;
- Medical applications on which the current eligibility is based;
- Any other documentation relating to the current certifications or eligibility for any current program.
Item from open cases which can be archived include:
- Applications no longer in use;
- Verification of pae
- Verification of past income;
- Housing verification for prior addresses;
- Any other documentation which has no bearing on the current household or current eligibility.
Sending boxes:
Inside the Salem area:
- To arrange for pick-up, email DHS Archiving Services: dhs.archiving-services@state.or.us, or call (503) 373-0333. Email is preferred.
Outside the Salem area:
- Send boxes via UPS. Do NOT send archive boxes through the US Postal Service or DAS shuttle.
Ship archive boxes to:
DHS Archives Warehouse
2850 Broadway NE
Salem, OR 97303-3500