HAR §17-401.1-37. Disposition of case records

(a) The division’s record of services for applicants and eligible individuals shall be retained after case closure, as follows: (1) Closed records not requiring periodic or annual reviews, audit, post-employment services, mediation or fair hearing, shall be stored in a locked file cabinet for at least five State fiscal years and tabbed for destruction in the year following the end of the five-year period. (2) Closed records requiring follow-up action 130 §17-401.1-37 that is known before or at closure shall be tabbed with appropriate labeling indicating exception from destruction and stored by due date of the required follow-up action. (A) Tab “Do Not Destroy” on all closed records to be kept beyond five years after closure for special reasons. (B) Tab “Annual Review” on all closed records scheduled for review. (C) Tab “Post-Employment Services” on all closed records scheduled for such services. (3) Closed records subjected to follow-up action (periodic or annual review, audit, post- employment services, or mediation or fair hearing), shall be stored for five State fiscal years following the last and conclusive follow-up action, in a locked file cabinet and tabbed for destruction in the year following the end of the five-year period. (b) At the beginning of each State fiscal year, closed case records tabbed for destruction shall be disposed of by each branch, section, or field office in which the closed records are stored. (1) Unaudited records past the fifth year shall be destroyed by shredding. If disposed of by a company other than the division, the company must provide adequate assurance of confidentiality and a receipt verifying that the records were disposed of properly. (2) Audited records shall be destroyed only after audit and reports indicate no significant audit exceptions or questions, in the same manner as unaudited records. [Eff AUG 13 2007 ] (Auth: HRS §§94-3, 348-6) (Imp: HRS §§94-3, 348-6) 131