Human Services

NOTE: The retention requirements stated in this schedule apply to all records described in the series,regardless of format. This includes paper, electronic, images, microfilm, microfiche, etc.

DEPARTMENT OF HUMAN SERVICES - Record Retention Schedule

Requirement

Sub-Department/HS/AM/AS/ Administrative Services

Series ID Series Description Confidential VitalSeries Title Total Retention

HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT -ADMINISTRATIVE SERVICES(continued from previous page)

HS-AS-

ELIGIBILITY DETERMINATION - CONFIDENTIAL - HOLD ON SITERecords used to determine if a child is eligible for Federal funding.

Y ACT+3(continued from previous page)HS-AS-0001-

CHILD CARE FOLDERS - CONFIDENTIALCase history of child under Department of Human Services care, including case narratives, medicalreports, court documents, placement agreement and related correspondence.

Y CLO+10(continued from previous page)HS-AS-0002-

FOSTER HOME FOLDERS - CONFIDENTIAL - EVENT DATE REQUIREDEVENT IS DATE LAST FOSTER CHILD LEAVES THE HOME.All documents, narrataives and correspondence comprising history of a foster home.

Y ACT+10(continued from previous page)HS-AS-0003-

NOTICE OF CHILD'S ADMISSION, DISCHARGE, OR CHANGE OF STATUS -CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Report of child under Department of Human Services care. Used to create monthly billing.

Y AUD+1(continued from previous page)HS-AS-0004-

MONTHLY BILLING - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Printout of billing costs and payment authorizations for care and maintenance of dependents.

AUD+2(continued from previous page)HS-AS-0005-

PARENTAL SUPPORT PETITIONS - CONFIDENTIAL - HOLD ON SITEPetitions to Court and responses required for parental support of children under Department of HumanServices care.

Y CR+3(continued from previous page)HS-AS-0006-

ENCUMBRANCE DOCUMENTS - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Used to track payments to clients and encumber funds for current fiscal year.


ACT=Action (Event) AUD=Audit CLO=Closed CR=Created (Opened) CY=Calendar Year FY=Fiscal Year PRM=Permanent REF=Reference SEP=Separation (Employee)SUP=Superseded TERM=Termination

RETENTION CODES:

CITY OF PHILADELPHIA / DEPT. OF RECORDSReport Date: July 1, 2013Revision Date: April 4, 2013



Requirement

Sub-Department/HS/AM/AS/ Administrative Services


CHECK LEDGERS - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Bound volumes used to track checks issued to Department of Human Services clients.



RETENTION CODES:




Requirement

Sub-Department/HS/AM/CC/ Contract & Compliance Administration


HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT - CONTRACT &COMPLIANCE ADMINISTRATION(continued from previous page)

HS-CC-

PERFORMANCE EVALUATIONS OF CONTRACT AGENCIES - ARCHIVALREVIEW REQUIREDReports evaluating the performance of agencies contracted to provide service to clients of Departmentof Human Services.

CR+3(continued from previous page)HS-CC-0001-

INDEPENDENT AUDIT REPORTS - EVENT DATE REQUIRED - HOLD ONSITEEVENT IS DATE OF AUDIT.Reports of audits of contracting agencies.

AUD+2(continued from previous page)HS-CC-0002-

GUARDIAN REPRESENTATIVE PAYEE - EVENT DATE REQUIRED - HOLDON SITEEVENT IS DEATH OF RESIDENT.Records created when Department of Human Services acts as the representative for residents ofRiverview Home for the Aged. Include powers of attorney and authorizations to handle financialtransactions for the resident.

ACT+3(continued from previous page)HS-CC-0003-


RETENTION CODES:




Requirement

Sub-Department/HS/AM/FS/ Fiscal Services


HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT - FISCALSERVICES(continued from previous page)

HS-FS-

CONTRACT REQUESTS - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Used to request services for Department of Human Services clients such as nursing care or family tofamily initiative plans.

AUD+1(continued from previous page)HS-FS-0001-

QUARTERLY STATUS REPORTS - HOLD ON SITE - ARCHIVAL REVIEWREQURIEDReports describing projects and initiatives developed by the Department of Human Services andtracking the status of these programs.Appraisal: Records documenting initiatives of Human Service agencies may be of value to socialhistorians and should be reviewed by City Archivist.

CR+5(continued from previous page)HS-FS-0002-

GRANT AWARDS INDEXListing of all grant activity for the fiscal year identified by grantor agency and project file.

AUD+2(continued from previous page)HS-FS-0003-


RETENTION CODES:




Requirement

Sub-Department/HS/CY/IC/ Intake Center


HUMAN SERVICES - CHILDREN AND YOUTH DIVISION - INTAKE CENTER(continued from previous page)HS-IC-

REFERRAL CASE LOG - HOLD ON SITELog tracks placement of children and youth clients and enables central referral to monitor progress ofthese clients.

CLO+2(continued from previous page)HS-IC-0001-

EMERGENCY UNIT REFERRAL DATA - CONFIDENTIALInitial report detailing an emergency situation within a family used to place children with a guardian andinitiate delivery of services to that family.Appraisal: These records are retrieved often to track emergency situations within families that havepersisted over several years.

Y CLO+10(continued from previous page)HS-IC-0002-


RETENTION CODES:




Requirement

Sub-Department/HS/CY/SS/ Special Services


HUMAN SERVICES - CHILDREN AND YOUTH DIVISION - SPECIALSERVICESAppraisal: These records are retrieved often to track family crises thathave persisted over a number of years.

(continued from previous page)HS-SS-

REQUESTS FOR RESIDENTIAL TREATMENT FACILITY FUNDING -CONFIDENTIAL - HOLD ON SITERequests for funding for children to receive mental health care at a residential treatment facility.

Y CLO+2(continued from previous page)HS-SS-0001-

RESIDENTIAL TREATMENT FACILITY CLIENT TRACKING - CONFIDENTIAL -HOLD ON SITERecords used to monitor progress of clients of residential treatment facilities.


PARENTAL ACTION NETWORK - ACCOUNTS OF BILLING - EVENT DATEREQUIRED - HOLD ON SITEEVENT IS CITY CONTROLLER AUDIT.Records of payments made to parents who attend support group meetings. Include payments for carfare, child care and meals.

AUD+2(continued from previous page)HS-SS-0003-

PARENTAL ACTION NETWORK - INDEX OF PARTICIPANTS -CONFIDENTIAL - HOLD ON SITERecords used to confirm that parent is attending support group meetings and can be requested bycourts deciding child custody cases.

Y ACT+2(continued from previous page)HS-SS-0004-

PARENTAL ACTION NETWORK - PLACEMENT GROUP INTAKE FORM -CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS END OF PARENT PARTICIPATION.Information obtained from parent requesting assistance from Parental Action Network including namesand addresses of parents and children, parenting problems experienced and topics of interest forsupport group discussion.



RETENTION CODES:




Requirement



PARENTAL ACTION NETWORK- SURVIVOR GROUP REGISTRATION -CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS END OF PARTICIPATION OF CLIENT IN PROGRAM.Information taken from victims of abuse within a family including names and addresses of abuser andabused, type of abuse and topics for discussion by support group.


PSYCHOLOGICAL EVALUATION - RAW DATA - CONFIDENTIALNotes from interview with client, tests, drawings by client, correspondence, past evaluations of socialworkers. Data is used to write the final report which goes into social worker's case file.Research: Title 49. Professional and Vocational Standards Part I. Department of State Subpart A.Professional and Occupational Affairs Chapter 41. State Board of Psychology Miscellaneous 41.57Professional Records(d). To meet the requirements of this section, so as to provide a formal record for review, but notnecessarily for other legal purposes, psychologists shall assure that all data entries in professionalrecords are maintained for at least 5 years after the last date that service was rendered. Psychologistsshall also abide by other legal requirements for record retention, even if longer periods of retention arerequired for other purposes. (See Pennsylvania Bulletin, Vol. 22, No.24, June 13, 1992, Pg.2982.).


REQUEST FOR DIAGNOSTIC EVALUATION BY PSYCHOLOGIST -CONFIDENTIALInitial request for diagnosis of a child by a Department of Human Services psychologist. Also used forbilling.


ADOLESCENT INITIATIVE - YOUTH INDEPENDENT LIVING PROGRAM -CONFIDENTIAL - HOLD ON SITE - ARCHIVAL REVIEW REQUIREDProgram funded by Federal Grant Title 4E and designed to impart life skills to adolescents 16 to 21years old. Includes needs assessment, intake form, contact form, narrative of case and stipend.


LIAISON UNIT FILES - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS DATE CONTRACT ENDS.Unit works with Police Department, Board of Education, Children's Hospital and Medical Examinersoffice to monitor the status of children receiving assistance from Department of Human Services.

ACT+1(continued from previous page)HS-SS-0010-


RETENTION CODES:




Requirement



COURT UNIT LISTINGS OF CASES - HOLD ON SITEDaily roster of cases including courtroom, judge and disposition of case.Research: These listings ensure compliance with the Juvenile Act,Section 42, 6301f which requires cases involving placement of juveniles in city owned facilities beheard every six months.

CR+1(continued from previous page)HS-SS-0011-

ADOPTION CASE FILES - CONFIDENTIAL - ARCHIVAL REVIEW REQUREDRecords comprise the history of an adoption including birth records, baptismal certificates, legaldocuments terminating parent rights, medical and psychological reports and evidence of legalconsummation of adoption.NOTE: Amendment to Adoption Act (Act 101 of 2010) specifies indefinite retention for adoptionrecords.

Y PRM(continued from previous page)HS-SS-0012-


RETENTION CODES:




Requirement

Sub-Department/HS/JJ/CC/ Court & Community Services


HUMAN SERVICES - JUVENILE JUSTICE SERVICES - COURT ANDCOMMUNITY SERVICES(continued from previous page)

HS-CB-

CASE FILES ON JUVENILES REFERRED BY FAMILY COURT -CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITE - ARCHIVALREVIEW REQUIREDEVENT IS CLIENT REACHING AGE OF 21.Files on clients aged 10-18 referred because of delinquent behavior.

Y ACT+5(continued from previous page)HS-CB-0001-

IN HOME DETENTION FILES - CONFIDENTIAL - EVENT DATE REQUIRED -HOLD ON SITE - ARCHIVAL REVIEW REQUIREDEVENT IS CLIENT REACHING AGE OF 21.Case files on clients receiving services at home from agencies contracted with Department of Healthand Human Services.


INTENSIVE SUPERVISION CASE FILES - CONFIDENTIAL - EVENT DATEREQUIRED - HOLD ON SITE - ARCHIVAL REVIEW REQUIREDEVENT IS CLIENT REACHING AGE OF 21.Files on clients for whom alternatives to being held by the Juvenile Justice Center have been created.


SUPPORT COMMUNITY OUTREACH PROGRAM - YOUTH & FAMILY CASES- CONFIDENTIAL - ARCHIVAL REVIEW REQUIREDRecords resulting from visits by Human Service case workers to the homes of individual youths,adolescents and their families in an effort to prevent delinquency.

Y CLO+10(continued from previous page)HS-CB-0004-

SUPPORT COMMUNITY OUTREACH PROGRAM - COMMUNITY CASES -CONFIDENTIAL - HOLD ON SITERETAIN FOR DURATION OF STATE FUNDING.Cases result from visits of Human Services case workers to community groups such as churches andPolice Athletic League to keep track of young members and prevent delinquency.

Y FY+2(continued from previous page)HS-CB-0005-


RETENTION CODES:




Requirement

Sub-Department/HS/JJ/YS/ Youth Study Center


HUMAN SERVICES - JUVENILE JUSTICE SERVICES - YOUTH STUDYCENTER(continued from previous page)

HS-YS-

SOCIAL SERVICES CASE FILES - CONFIDENTIAL - EVENT DATE REQUIRED- ARCHIVAL REVIEW REQUIREDEVENT IS CLIENT REACHING AGE OF 21 OR DISCHARGE OF CLIENT.Case files on clients residing at the Youth Study Center. Includes social worker interview sheets,medical records, mental health referrals, school reports, clothing and effects receipts, and officialrelease forms.

Y ACT+10(continued from previous page)HS-YS-0001-

LOG BOOKS - CONFIDENTIAL - HOLD ON SITE - ARCHIVAL REVIEWREQUIREDBooks maintained by each shift and at each point of service to record events or incidents along withthe date and time.Appraisal: These logs document the events of every shift and are subject to subpoena in cases of civilservice hearings, equal employment cases, employee complaints, allegations of abuse, or injury toclients or staff.Archivist's Appraisal: These records should be reviewed periodically for archival value but must remainclosed to researchers until sensitivityceases.

Y CR+4(continued from previous page)HS-YS-0002-

INCIDENT REPORTS - CONFIDENTIAL - HOLD ON SITE - ARCHIVALREVIEW REQUIREDReports of incidents, injury or resident misconduct occurring during a tour of duty.Appraisal: These reports are subject to subpoena for Police Investigations, allegations of child abuse,or injury to residents or staff. In cases of resident misconduct these reports are filed in the resident'scase folder and retained as long as folder.Archivist's Appraisal: These records should be reviewed periodically for archival value but mustremain closed to researchers until sensitivityceases.

Y CR+2(continued from previous page)HS-YS-0003-


RETENTION CODES:




Requirement

Sub-Department/HS/RV/RC/ Resident Care


HUMAN SERVICES - RIVERVIEW HOME FOR THE AGED - RESIDENT CARE(continued from previous page)HS-RC-

RESIDENT ACCOUNTS - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS DEATH OR DISCHARGE OF RESIDENT.Records of funds deposited and withdrawn from a resident's account. Includes bank reconciliations,deposit and disbursement cash withdrawal and resident account daily summary.

ACT+3(continued from previous page)HS-RC-0001-

RESIDENT CASE FOLDERS - CONFIDENTIAL - EVENT DATE REQUIRED -HOLD ON SITE - ARCHIVAL REVIEW REQUIREDEVENT IS DEATH OR DISCHARGE OF RESIDENT.Folders comprising history of a resident's stay at Riverview.

Y ACT+5(continued from previous page)HS-RC-0002-

RESIDENT CONTROLS - EVENT DATE REQUIRED - HOLD ON SITEEVENT IS RETURN FROM LEAVE.Records of resident passes or leaves of absence.

ACT+1(continued from previous page)HS-RC-0003-


RETENTION CODES:


Human Services

Documents

Transcript of Human Services