DEPARTMENT OF HUMAN SERVICES - Record Retention Schedule

DEPARTMENT OF HUMAN SERVICES - Record Retention Schedule
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.
Sub-Department
/HS/AM/AS/
Administrative Services
Series ID
HS-AS-
Series Title
Series Description
Confidential
(continued from previous page)
HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT ADMINISTRATIVE SERVICES
HS-AS-0001-
ELIGIBILITY DETERMINATION - CONFIDENTIAL - HOLD ON SITE
Records used to determine if a child is eligible for Federal funding.
HS-AS-0002-
CHILD CARE FOLDERS - CONFIDENTIAL
Case history of child under Department of Human Services care, including case narratives, medical
reports, court documents, placement agreement and related correspondence.
HS-AS-0003-
FOSTER HOME FOLDERS - CONFIDENTIAL - EVENT DATE REQUIRED
EVENT IS DATE LAST FOSTER CHILD LEAVES THE HOME.

All documents, narrataives and correspondence comprising history of a foster home.
HS-AS-0004-
NOTICE OF CHILD'S ADMISSION, DISCHARGE, OR CHANGE OF STATUS CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITE
Vital
Total Retention
Requirement
ACT+3
CLO+10
ACT+10
AUD+1
EVENT IS CITY CONTROLLER AUDIT.

Report of child under Department of Human Services care. Used to create monthly billing.
HS-AS-0005-
MONTHLY BILLING - EVENT DATE REQUIRED - HOLD ON SITE

Printout of billing costs and payment authorizations for care and maintenance of dependents.
HS-AS-0006-
PARENTAL SUPPORT PETITIONS - CONFIDENTIAL - HOLD ON SITE
Petitions to Court and responses required for parental support of children under Department of Human
Services care.
HS-AS-0007-
ENCUMBRANCE DOCUMENTS - EVENT DATE REQUIRED - HOLD ON SITE

Used to track payments to clients and encumber funds for current fiscal year.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination
CITY OF PHILADELPHIA / DEPT. OF RECORDS

Revision Date: April 4, 2013
CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
AUD+2
CR+3
AUD+1
REF=Reference
SEP=Separation (Employee)
Page 1
Report Date: July 1, 2013

Sub-Department
/HS/AM/AS/
Administrative Services
Series ID
Series Title
Series Description
HS-AS-0008-
CHECK LEDGERS - EVENT DATE REQUIRED - HOLD ON SITE

Bound volumes used to track checks issued to Department of Human Services clients.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
Confidential
CY=Calendar Year
FY=Fiscal Year
Vital
Total Retention
Requirement
AUD+1
PRM=Permanent
REF=Reference
Page 2

Sub-Department
/HS/AM/CC/
Contract & Compliance Administration
Series ID
HS-CC(continued from previous page)
HS-CC-0001(continued from previous page)
Series Title
Series Description
Confidential
Vital
Total Retention
Requirement
HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT - CONTRACT &

COMPLIANCE ADMINISTRATION
CR+3
PERFORMANCE EVALUATIONS OF CONTRACT AGENCIES - ARCHIVAL

REVIEW REQUIRED
Reports evaluating the performance of agencies contracted to provide service to clients of Department
of Human Services.
AUD+2
INDEPENDENT AUDIT REPORTS - EVENT DATE REQUIRED - HOLD ON

SITE
EVENT IS DATE OF AUDIT.
Reports of audits of contracting agencies.
ACT+3
GUARDIAN REPRESENTATIVE PAYEE - EVENT DATE REQUIRED - HOLD

ON SITE
EVENT IS DEATH OF RESIDENT.
Records created when Department of Human Services acts as the representative for residents of
Riverview Home for the Aged. Include powers of attorney and authorizations to handle financial
transactions for the resident.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 3

Sub-Department
/HS/AM/FS/
Fiscal Services
Series ID
HS-FS-
Series Title
Series Description
Confidential
HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT - FISCAL

SERVICES
HS-FS-0001-
CONTRACT REQUESTS - EVENT DATE REQUIRED - HOLD ON SITE

Used to request services for Department of Human Services clients such as nursing care or family to
family initiative plans.
HS-FS-0002-
QUARTERLY STATUS REPORTS - HOLD ON SITE - ARCHIVAL REVIEW

REQURIED
Vital
Total Retention
Requirement
AUD+1
CR+5
Reports describing projects and initiatives developed by the Department of Human Services and
tracking the status of these programs.
Appraisal: Records documenting initiatives of Human Service agencies may be of value to social
historians and should be reviewed by City Archivist.
AUD+2
HS-FS-0003-
GRANT AWARDS INDEX
Listing of all grant activity for the fiscal year identified by grantor agency and project file.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 4

Sub-Department
/HS/CY/IC/
Intake Center
Series ID
Series Title
Series Description
HS-IC-
HUMAN SERVICES - CHILDREN AND YOUTH DIVISION - INTAKE CENTER
Confidential
Vital
Total Retention
Requirement
CLO+2
HS-IC-0001-
REFERRAL CASE LOG - HOLD ON SITE
Log tracks placement of children and youth clients and enables central referral to monitor progress of
these clients.
HS-IC-0002-
EMERGENCY UNIT REFERRAL DATA - CONFIDENTIAL
Initial report detailing an emergency situation within a family used to place children with a guardian and
initiate delivery of services to that family.
CLO+10
Appraisal: These records are retrieved often to track emergency situations within families that have
persisted over several years.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 5

Sub-Department
/HS/CY/SS/
Special Services
Series ID
HS-SS(continued from previous page)
Series Title
Series Description
Confidential
Vital
Total Retention
Requirement
HUMAN SERVICES - CHILDREN AND YOUTH DIVISION - SPECIAL

SERVICES
Appraisal: These records are retrieved often to track family crises that
have persisted over a number of years.
HS-SS-0001(continued from previous page)
REQUESTS FOR RESIDENTIAL TREATMENT FACILITY FUNDING CONFIDENTIAL - HOLD ON SITE
CLO+2
CLO+2
Requests for funding for children to receive mental health care at a residential treatment facility.
RESIDENTIAL TREATMENT FACILITY CLIENT TRACKING - CONFIDENTIAL HOLD ON SITE

Records used to monitor progress of clients of residential treatment facilities.
AUD+2
PARENTAL ACTION NETWORK - ACCOUNTS OF BILLING - EVENT DATE

REQUIRED - HOLD ON SITE
Records of payments made to parents who attend support group meetings. Include payments for car
fare, child care and meals.
PARENTAL ACTION NETWORK - INDEX OF PARTICIPANTS CONFIDENTIAL - HOLD ON SITE
ACT+2
ACT+3
Records used to confirm that parent is attending support group meetings and can be requested by
courts deciding child custody cases.
PARENTAL ACTION NETWORK - PLACEMENT GROUP INTAKE FORM CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITE
EVENT IS END OF PARENT PARTICIPATION.
Information obtained from parent requesting assistance from Parental Action Network including names
and addresses of parents and children, parenting problems experienced and topics of interest for
support group discussion.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 6

Sub-Department
/HS/CY/SS/
Special Services
Series ID
Series Title
Series Description
Confidential
PARENTAL ACTION NETWORK- SURVIVOR GROUP REGISTRATION CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITE
Vital
Total Retention
Requirement
ACT+2
CLO+10
ACT+2
CLO+1
EVENT IS END OF PARTICIPATION OF CLIENT IN PROGRAM.

Information taken from victims of abuse within a family including names and addresses of abuser and
abused, type of abuse and topics for discussion by support group.
HS-SS-0007-
PSYCHOLOGICAL EVALUATION - RAW DATA - CONFIDENTIAL
Notes from interview with client, tests, drawings by client, correspondence, past evaluations of social
workers. 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 41.57
Professional Records
(d). To meet the requirements of this section, so as to provide a formal record for review, but not
necessarily for other legal purposes, psychologists shall assure that all data entries in professional
records are maintained for at least 5 years after the last date that service was rendered. Psychologists
shall also abide by other legal requirements for record retention, even if longer periods of retention are
required for other purposes. (See Pennsylvania Bulletin, Vol. 22, No.24, June 13, 1992, Pg.2982.).
REQUEST FOR DIAGNOSTIC EVALUATION BY PSYCHOLOGIST CONFIDENTIAL

Initial request for diagnosis of a child by a Department of Human Services psychologist. Also used for
billing.
ADOLESCENT INITIATIVE - YOUTH INDEPENDENT LIVING PROGRAM CONFIDENTIAL - HOLD ON SITE - ARCHIVAL REVIEW REQUIRED
Program funded by Federal Grant Title 4E and designed to impart life skills to adolescents 16 to 21
years old. Includes needs assessment, intake form, contact form, narrative of case and stipend.
HS-SS-0010-
LIAISON UNIT FILES - EVENT DATE REQUIRED - HOLD ON SITE
EVENT IS DATE CONTRACT ENDS.

Unit works with Police Department, Board of Education, Children's Hospital and Medical Examiners
office to monitor the status of children receiving assistance from Department of Human Services.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
ACT+1
REF=Reference
Page 7

Sub-Department
/HS/CY/SS/
Special Services
Series ID
Series Title
Series Description
HS-SS-0011-
COURT UNIT LISTINGS OF CASES - HOLD ON SITE
Daily roster of cases including courtroom, judge and disposition of case.
Confidential
Vital
Total Retention
Requirement
CR+1
Research: These listings ensure compliance with the Juvenile Act,

Section 42, 6301f which requires cases involving placement of juveniles in city owned facilities be
heard every six months.
HS-SS-0012-
ADOPTION CASE FILES - CONFIDENTIAL - ARCHIVAL REVIEW REQURED
Records comprise the history of an adoption including birth records, baptismal certificates, legal
documents terminating parent rights, medical and psychological reports and evidence of legal
consummation of adoption.
PRM
NOTE: Amendment to Adoption Act (Act 101 of 2010) specifies indefinite retention for adoption
records.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 8

Sub-Department
/HS/JJ/CC/
Court & Community Services
Series ID
HS-CB(continued from previous page)
HS-CB-0001(continued from previous page)
Series Title
Series Description
Confidential
Vital
Total Retention
Requirement
HUMAN SERVICES - JUVENILE JUSTICE SERVICES - COURT AND

COMMUNITY SERVICES
CASE FILES ON JUVENILES REFERRED BY FAMILY COURT CONFIDENTIAL - EVENT DATE REQUIRED - HOLD ON SITE - ARCHIVAL
REVIEW REQUIRED
ACT+5
ACT+2
ACT+2
CLO+10
FY+2
EVENT IS CLIENT REACHING AGE OF 21.

Files on clients aged 10-18 referred because of delinquent behavior.
IN HOME DETENTION FILES - CONFIDENTIAL - EVENT DATE REQUIRED HOLD ON SITE - ARCHIVAL REVIEW REQUIRED
Case files on clients receiving services at home from agencies contracted with Department of Health
and Human Services.
INTENSIVE SUPERVISION CASE FILES - CONFIDENTIAL - EVENT DATE

REQUIRED - HOLD ON SITE - ARCHIVAL REVIEW REQUIRED
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 REQUIRED
Records resulting from visits by Human Service case workers to the homes of individual youths,
adolescents and their families in an effort to prevent delinquency.
SUPPORT COMMUNITY OUTREACH PROGRAM - COMMUNITY CASES CONFIDENTIAL - HOLD ON SITE

RETAIN FOR DURATION OF STATE FUNDING.
Cases result from visits of Human Services case workers to community groups such as churches and
Police Athletic League to keep track of young members and prevent delinquency.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 9

Sub-Department
/HS/JJ/YS/
Youth Study Center
Series ID
HS-YS(continued from previous page)
HS-YS-0001(continued from previous page)
Series Title
Series Description
Confidential
Vital
Total Retention
Requirement
HUMAN SERVICES - JUVENILE JUSTICE SERVICES - YOUTH STUDY

CENTER
SOCIAL SERVICES CASE FILES - CONFIDENTIAL - EVENT DATE REQUIRED
- ARCHIVAL REVIEW REQUIRED
ACT+10
CR+4
CR+2
EVENT 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 official
release forms.
LOG BOOKS - CONFIDENTIAL - HOLD ON SITE - ARCHIVAL REVIEW

REQUIRED
Books maintained by each shift and at each point of service to record events or incidents along with
the date and time.
Appraisal: These logs document the events of every shift and are subject to subpoena in cases of civil
service hearings, equal employment cases, employee complaints, allegations of abuse, or injury to
clients or staff.
Archivist's Appraisal: These records should be reviewed periodically for archival value but must remain
closed to researchers until sensitivity
ceases.
INCIDENT REPORTS - CONFIDENTIAL - HOLD ON SITE - ARCHIVAL

REVIEW REQUIRED
Reports 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's
case folder and retained as long as folder.
Archivist's Appraisal: These records should be reviewed periodically for archival value but must
remain closed to researchers until sensitivity
ceases.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
REF=Reference
Page 10

Sub-Department
/HS/RV/RC/
Resident Care
Series ID
Series Title
Series Description
HS-RC-
HUMAN SERVICES - RIVERVIEW HOME FOR THE AGED - RESIDENT CARE
Confidential
Vital
Total Retention
Requirement
HS-RC-0001-
RESIDENT ACCOUNTS - EVENT DATE REQUIRED - HOLD ON SITE
EVENT 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.
HS-RC-0002-
RESIDENT CASE FOLDERS - CONFIDENTIAL - EVENT DATE REQUIRED HOLD ON SITE - ARCHIVAL REVIEW REQUIRED
ACT+3
ACT+5
EVENT IS DEATH OR DISCHARGE OF RESIDENT.

Folders comprising history of a resident's stay at Riverview.
HS-RC-0003-
RESIDENT CONTROLS - EVENT DATE REQUIRED - HOLD ON SITE
EVENT IS RETURN FROM LEAVE.

Records of resident passes or leaves of absence.
RETENTION CODES:
ACT=Action (Event)
AUD=Audit
CLO=Closed
SUP=Superseded
TERM=Termination

CR=Created (Opened)
CY=Calendar Year
FY=Fiscal Year
PRM=Permanent
ACT+1
REF=Reference
Page 11

DEPARTMENT OF HUMAN SERVICES - Record Retention Schedule

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DEPARTMENT OF HUMAN SERVICES - Record Retention Schedule

(continued from previous page)

HUMAN SERVICES - ADMINISTRATION AND MANAGEMENT ADMINISTRATIVE SERVICES

ELIGIBILITY DETERMINATION - CONFIDENTIAL - HOLD ON SITE

(continued from previous page)

Records used to determine if a child is eligible for Federal funding.

CHILD CARE FOLDERS - CONFIDENTIAL

(continued from previous page)

FOSTER HOME FOLDERS - CONFIDENTIAL - EVENT DATE REQUIRED

(continued from previous page)

EVENT IS DATE LAST FOSTER CHILD LEAVES THE HOME.

(continued from previous page)

EVENT IS CITY CONTROLLER AUDIT.

MONTHLY BILLING - EVENT DATE REQUIRED - HOLD ON SITE

(continued from previous page)

EVENT IS CITY CONTROLLER AUDIT.

PARENTAL SUPPORT PETITIONS - CONFIDENTIAL - HOLD ON SITE

(continued from previous page)

ENCUMBRANCE DOCUMENTS - EVENT DATE REQUIRED - HOLD ON SITE

(continued from previous page)

EVENT IS CITY CONTROLLER AUDIT.

CITY OF PHILADELPHIA / DEPT. OF RECORDS