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**1.[617]

Case record

 
  a. Where first entry is 1950 or earlier, including but not limited to application for assistance or services, eligibility forms, case history, authorization of assistance or services, and correspondence: PERMANENT
 

b. For adopted child, where first entry is 1951 or later, including but not limited to pre-adoption history, medical report on natural mother and child, and correspondence, but not covering adoption subsidy:

NOTE: Although item 1, sections c, d, and e have a less than permanent retention period, the State Archives recommends that county social services agencies consider permanently retaining services case histories (narrative and comment sheets), where they exist. These histories contain information not available elsewhere, and document counties' roles in public assistance programs.

PERMANENT
 

c. For cases involving children, where first entry is 1951 or later, and covering one of the following: abuse or maltreatment; family adopting a child; child health; medical assistance; protective services; or day care child's medical records; except for adopted child sealed case record, which must be retained permanently; including but not limited to application for assistance or services, eligibility forms, authorization of assistance or services, and correspondence:

NOTE: Sections 422.5 and 422.6 of the Social Services Law, as amended by Chapter 12 of the Laws of 1996, Chapter 136 of the Laws of 1999, and Chapter 555 of the Laws of 2000, contain legal requirements relating to retention of reports of child abuse and maltreatment held by county social services departments. The current requirements are as follows:

1. Reports, which are unfounded, received by the State Central Register prior to February 12, 1996, must be destroyed or have information expunged from them forthwith.

2. Reports, which are unfounded, received by the State Central Register after February 11, 1996, must be legally sealed forthwith and retained for 10 years after receipt of the report (by the State Central Register), and then must be destroyed or have information expunged from them, except such reports must be destroyed prior to the passage of 10 years upon direction of the NYS Office of Children and Family Services pursuant to provisions of Chapter 555 of the Laws of 2000.

3. All indicated (substantiated) reports must be retained for 10 years after the youngest child mentioned in the report attains age 18, and then must be destroyed or have information expunged from them.

For additional information on this subject, contact Counsel's Office, New York State Office of Children and Family Services, 52 Washington Street, North Building, Room 108, Rensselaer, NY 12144-2796; phone, (518) 473-8418.

0 after youngest child attains age 28
  d. For preventive services to children, where first entry is 1951 or later: 

NOTE: When preventive services are provided in conjunction with or in addition to foster care, the disposition of the preventive services case record should follow the provisions of part “e”. When preventive services are provided in conjunction with or in addition to adoption services, the disposition of the preventive services case record should follow the provisions of part “b”. When preventive services are provided in conjunction with or in addition to protective services, the disposition of the preventive services case record should follow the provisions of part “c”, including applicable notes.

6 years after 18th birthday of youngest child in the family
  e. For foster care cases, where first entry is 1951 or later: 30 years after the discharge of the child from foster care
  f. For child held in detention home, children's shelter or similar facility, where first entry is 1951 or later, including but not limited to admission and release notice, copy of court order, copy of admission physical examination, psychiatric evaluation, accusation of staff abuse, list of personal property, and clothing inventory: 0 after child attains age 21
 

g. Non-services and services case files, other than those described in other parts of this item, including programs such as Public Assistance and Care, Medical Assistance, Food Stamps, Adult Services, and Aid to Dependent Children, where first entry is 1951 or later, and including but not limited to application for assistance or services, eligibility forms, authorization of assistance or services, and correspondence:

NOTE: The United States Department of Agriculture (USDA), Food and Consumer Services (FCS), requires that certain case files involving food stamps be retained for a longer period of time than stated in part "g". If there has been an intentional program violation (IPV) disqualification, the case record must be retained for the life of the individual involved, or until FCS has notified the State Office of Temporary and Disability Assistance that the case record is no longer needed. For cases involving work requirement violations and permanent disqualifications, the case records must be retained for the life of the individual involved or until that individual attains age 60, whichever is shorter. For additional information, contact the Division of Temporary Assistance, New York State Office of Temporary and Disability Assistance, at (518) 474-9300.

6 years after case closed
  h. Home Energy Assistance case files: 3 years after case closed, except 10 years after case closed for case records for heating equipment replacement
  i. Adoption subsidy case record: 6 years after adoption subsidy terminated
*2.[618] Denied or withdrawn application for assistance or services or to adopt child or to offer foster care, including related records: 6 years
3.[619] Register, index or other record showing applications or requests for assistance or services or showing participation in program: 6 years after last entry
4.[620] Social services case transaction history or case activity control log listing actions taken on case and dates, including public assistance, adult services, children's services, adoption case, and day care registration: PERMANENT
5.[621] Foster home case activity control log: 6 years after termination of foster home certification or license
6.[622] Record of assistance granted  
 

a. When assets have been assigned:

10 years after case closed
 

b. When there has been no assignment of assets:

6 years after case closed
7.[623] Asset assignment record: 10 years after case closed
8.[624] Asset register: 6 years after last case closed
9.[625] Property records, including deed, mortgage, lien or estate records, and appraisal of fair market value: 6 years after assets liquidated or recoupment is completed
10.[626] Utilization review and long-term care placement records, where county social services conducts review and placement functions: 6 years
11.[627] Payment roll, schedule or history: 10 years after case closed
*12.[982] Copies of authorization for payment, retained in accounting office, pursuant to18NYCRR and Office of Temporary and Disability Assistance (OTDA) policy: 6 years
13.[628] Medicare, Medicaid or insurance carrier claim records, including but not limited to schedule of payments, copy of claim, listing of invalid or rejected claims, vendor payment list, list of claims submitted for payment, and list of checks received: 7 years
14.[629] Insurance and reimbursement related reports, including Medicare or Medicaid cost report, certified uniform financial or statistical report, and all necessary supporting documentation: 9 years
15.[630] Support collection accounting records  
 

a. Official record of account:

6 years after case closed
  b. Original entry and intermediary records, used in posting information to official account record: 6 years
  c. Fiscal and statistical reports relating to support collection: 6 years
*16.[631] Support collection enforcement case records: 6 years after youngest child affected by order attains age 21
17.[632] Master summary record (index or register) of support collection cases: PERMANENT
*18.[983]

Support collection case review and adjustment records:

6 years after youngest child affected by order attains age 21
*19.[984] Social services case management system reports, produced from manual or automated case management or other systems used to monitor and report on service and non-service cases, other than reports which are specific to individual cases or are covered by other items in this section  
  a. When needed for audit or other fiscal purposes: 6 years
 

b. When not needed for audit or other fiscal purposes:

NOTE: Social services case management and related systems generate numerous daily, weekly, monthly, quarterly and other reports. Some of these reports are needed for six years for fiscal audit and related purposes. Other reports can be destroyed after shorter periods of time, such as after they are superseded by subsequent reports, after the preparation of related reports, after passage of specific time periods, or after they are no longer needed for administrative purposes. For further information on determining appropriate retention periods for specific reports, contact the New York State Office of Temporary and Disability Assistance and the New York State Office of Children and Family Services.

0 after no longer needed
20.[633] Cemetery records relating to alms house or county home, including but not limited to interment, exhumation or removal records; inscriptions from headstones; burial permits; and maps or surveys of grave locations: PERMANENT
21.[634] Register or equivalent summary record listing residents of county poor house or alms house: PERMANENT
*22.[985] Adult home/adult care facility records  
 

a. Resident/participant records, including personal, financial and dietary planning records, and related records:

3 years after death or discharge
  b. Facility/program records, including records documenting the operation and maintenance of the facility; daily census reports; incident reports; business records; records relating to the application or renewal of the operating certificate; admission and discharge registers; program records including service procedures, activities schedules, agreements with external service providers, disaster and emergency plans, and records of evacuation drills; food service records including menus and food procedure records; records of the maintenance of the physical plant and environmental standards; staff records including personnel procedures, job descriptions, staffing schedules and payment records; certificates or reports issued by local and state jurisdictions related to facility operation; and related records: 7 years after end of calendar year or 7 years after superseded or obsolete, whichever is longer
*23.[986] Domestic violence liaison screening and case records  
 

a. Screening forms completed by applicants/recipients of public assistance indicating presence of domestic violence and subsequent records assessing credibility of individual's assertion of domestic violence, records of services referrals, assessments for waivers of public assistance program requirements, and related records:

6 years after completion of liaison's services to an individual
  b. Screening forms indicating no presence of domestic violence: 1 year
*24.[987] Domestic violence residential program records  
 

a. Case records, including information on residents and related records:

6 years after case closure
  b. Daily rosters or similar record showing number of residents in program: 6 years
 

c. Incident reports showing fires, accidents or violent incidents, and related records:

6 years
 

d. Disaster and emergency plans:

6 years after superseded or obsolete
*25.[988] Domestic violence safe home network records, including names and addresses of safe homes; lists of family/household members residing in safe homes; records of interviews with members of safe homes; information on orientation and training of safe home providers; description of safe home environments; lists of safe home rules; copies of agreements between safe home providers and the network concerning their respective responsibilities; copies of annual evaluations of safe homes; records of complaints and follow-up; records of fires, accidents and serious incidents in safe homes; and related records: 6 years after end of year or 6 years after superseded or obsolete, as appropriate
*26.[989] Domestic violence safe dwelling records, including descriptions of physical plant; security plans; diagrams of rooms; locations of smoke detectors, fire extinguishers and telephones; lists of safe dwelling rules; records of fires and accidents; copies of annual reevaluations of safe dwellings; and related records: 6 years after end of year or 6 years after superseded or obsolete, as appropriate
*27.[990] Domestic violence nonresidential services records  
 

a. Case records, including names of persons requesting services, reasons for requests, names of minor children and/or other family/household members receiving services, types of services provided, and related records:

6 years after case closure
 

b. Daily logs showing number of telephone hotline calls and other telephone calls requesting information and/or referral:

6 years
*28.[607] Rape crisis intervention records  
 

a. Individual client consultation case record of rape crisis intervention program:

6 years after last entry, or 3 years after any minor involved attains age 18, whichever is later
  b. Master summary record (log or index) to client consultations or other activities: PERMANENT
**29.[1063] Child fatality investigative reports and records  
  a. Record copy of report concerning the death of a child whose care and custody or guardianship have been transferred to an authorized agency or whose death has been reported to the State Central Register, received from the NYS Office of Children and Family Services or prepared by a local or regional fatality review team pursuant to Sections 20(5) and 422-b, Social Services Law: PERMANENT
  b. Non-record copies of report concerning child death: 0 after no longer needed
  c. Investigative records, when investigation into child’s death is conducted by a local or regional fatality review team: 10 years after completion of investigation and preparation of final report
 
Last updated
Wed, 2015-10-07 15:12