us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1

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us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 — Page 1 · Axiom

FOOD AND NUTRITION SERVICES MANUAL

GENERAL PROCEDURES & REQUIREMENTS FNS 130 RECORDS RETENTION, OWNERSHIP, AND DOCUMENTATION

1 Change #1-2021 May 1, 2021 FNS 130 Records Retention, Ownership, and Documentation Change #1-2021 May 1, 2021

130.01 RETENTION OF RECORDS A. All programs must follow the guidance provided by the controller’s office to determine the required length of record retention. The record retention schedule can be viewed at: https://www.ncdhhs.gov/about/administrative-offices/office-controller/records-retention . The county Department of Social Services (DSS) keeps records and submits accurate and timely reports and other information as may be required from time to time by the State and Food and Nutrition Service (FNS). 1. Certification Records - Certification records are available for review and audit by FNS or the United States Department of Agriculture (USDA) for a period of three years from the month of origin of each record. The three-year retention is required by federal regulations and applies regardless of whether or not an audit or review is performed in the three-year period. a. North Carolina Controller’s Office may require longer retention for certification records. Refer to DHHS Records Retention and Disposition Schedule at web address listed above. b. Records containing an Intentional Program Violation (IPV) disqualification and/or an IPV claim must be retained indefinitely. c. Records entered into NC FAST cannot be deleted at the county department of social services level. They will be retained in NC FAST until all audits have been completed and time-limits have been met. 2. Fiscal Records - Fiscal records and accountable documents must be retained for three years from the date of fiscal or administrative closure. Refer to DHHS Records Retention and Disposition Schedule at web address listed above. Fiscal closure means that obligations for or against the federal government have been liquidated. Administrative closure means that the State agency has determined and documented that no further action to liquidate the obligation is appropriate.

130.02 RECORD OWNERSHIP A. All client files are the property of the county DSS, and employees of the agency must safeguard the confidentiality of information in the files. The requirement that the confidentiality of client information be safeguarded applies regardless of whether the caseworker is working in the agency or at home. B. The agency must provide a secure place or places with controlled access for the storage of records. Only individuals who must access client information in order to carry out

in view

Whole section

Encodings · 9

Encoded from this provision

us-nc/policy/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1

certification_record_available_for_fns_or_usda_reviewus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.01(A)(1)

name: certification_record_available_for_fns_or_usda_review
kind: derived
entity: Asset
dtype: Judgment
period: Month
source: FNS 130.01(A)(1)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: predicate
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: >-
            available for review and audit by FNS or the United States
            Department of Agriculture (USDA)
versions:
  - effective_from: '2021-05-01'
    formula: |-
      asset_is_certification_record
      and period_is_within_three_years_from_record_month_of_origin

certification_record_required_retention_yearsus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.01(A)(1)

name: certification_record_required_retention_years
kind: derived
entity: Asset
dtype: Integer
period: Month
source: FNS 130.01(A)(1)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: formula
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
      - path: versions[0].formula
        kind: import
        import:
          target: >-
            us-nc:policies/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1#certification_record_review_retention_years
          output: certification_record_review_retention_years
          hash: sha256:local
versions:
  - effective_from: '2021-05-01'
    formula: >-
      if asset_is_certification_record:
      certification_record_review_retention_years else: 0

certification_record_review_retention_yearsus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · parameter

FNS 130.01(A)(1)

name: certification_record_review_retention_years
kind: parameter
dtype: Integer
source: FNS 130.01(A)(1)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: amount
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: for a period of three years from the month of origin
versions:
  - effective_from: '2021-05-01'
    formula: '3'

client_file_confidentiality_must_be_safeguardedus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.02(A)

name: client_file_confidentiality_must_be_safeguarded
kind: derived
entity: Asset
dtype: Judgment
period: Month
source: FNS 130.02(A)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: predicate
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
versions:
  - effective_from: '2021-05-01'
    formula: asset_is_client_file

client_file_is_county_dss_propertyus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.02(A)

name: client_file_is_county_dss_property
kind: derived
entity: Asset
dtype: Judgment
period: Month
source: FNS 130.02(A)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: predicate
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: All client files are the property of the county DSS
versions:
  - effective_from: '2021-05-01'
    formula: asset_is_client_file

fiscal_record_required_retention_yearsus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.01(A)(2)

name: fiscal_record_required_retention_years
kind: derived
entity: Asset
dtype: Integer
period: Month
source: FNS 130.01(A)(2)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: formula
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
      - path: versions[0].formula
        kind: import
        import:
          target: >-
            us-nc:policies/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1#fiscal_record_retention_years
          output: fiscal_record_retention_years
          hash: sha256:local
versions:
  - effective_from: '2021-05-01'
    formula: >-
      if asset_is_fiscal_record_or_accountable_document:
      fiscal_record_retention_years else: 0

fiscal_record_retention_yearsus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · parameter

FNS 130.01(A)(2)

name: fiscal_record_retention_years
kind: parameter
dtype: Integer
source: FNS 130.01(A)(2)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: amount
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: >-
            must be retained for three years from the date of fiscal or
            administrative closure
versions:
  - effective_from: '2021-05-01'
    formula: '3'

record_must_be_retained_indefinitely_for_ipvus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.01(A)(1)(b)

name: record_must_be_retained_indefinitely_for_ipv
kind: derived
entity: Asset
dtype: Judgment
period: Month
source: FNS 130.01(A)(1)(b)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: predicate
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: >-
            Records containing an Intentional Program Violation (IPV)
            disqualification and/or an IPV claim must be retained indefinitely.
versions:
  - effective_from: '2021-05-01'
    formula: |-
      asset_contains_ipv_disqualification
      or asset_contains_ipv_claim

record_storage_must_be_secure_with_controlled_accessus-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1 · derived

FNS 130.02(B)

name: record_storage_must_be_secure_with_controlled_access
kind: derived
entity: Asset
dtype: Judgment
period: Month
source: FNS 130.02(B)
metadata:
  proof:
    atoms:
      - path: versions[0].formula
        kind: predicate
        source:
          corpus_citation_path: >-
            us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
          excerpt: >-
            provide a secure place or places with controlled access for the
            storage of records
versions:
  - effective_from: '2021-05-01'
    formula: asset_is_record

▸rulespec code

Shown source

policies/dhhs/fns/fns-130-records-retention-ownership-and-documentation

Displaying the canonical repository encoding.

View on GitHub

Rules

certification_record_available_for_fns_or_usda_review

Derived

source: FNS 130.01(A)(1)

- name: certification_record_available_for_fns_or_usda_review
  kind: derived
  entity: Asset
  dtype: Judgment
  period: Month
  source: FNS 130.01(A)(1)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: predicate
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: >-
              available for review and audit by FNS or the United States Department of Agriculture
              (USDA)
  versions:
    - effective_from: '2021-05-01'
      formula: |-
        asset_is_certification_record
        and period_is_within_three_years_from_record_month_of_origin

certification_record_required_retention_years

Derived

source: FNS 130.01(A)(1)

- name: certification_record_required_retention_years
  kind: derived
  entity: Asset
  dtype: Integer
  period: Month
  source: FNS 130.01(A)(1)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: formula
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
        - path: versions[0].formula
          kind: import
          import:
            target: >-
              us-nc:policies/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1#certification_record_review_retention_years
            output: certification_record_review_retention_years
            hash: sha256:local
  versions:
    - effective_from: '2021-05-01'
      formula: 'if asset_is_certification_record: certification_record_review_retention_years else: 0'

certification_record_review_retention_years

Parameter

source: FNS 130.01(A)(1)

- name: certification_record_review_retention_years
  kind: parameter
  dtype: Integer
  source: FNS 130.01(A)(1)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: amount
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: for a period of three years from the month of origin
  versions:
    - effective_from: '2021-05-01'
      formula: '3'

client_file_confidentiality_must_be_safeguarded

Derived

source: FNS 130.02(A)

- name: client_file_confidentiality_must_be_safeguarded
  kind: derived
  entity: Asset
  dtype: Judgment
  period: Month
  source: FNS 130.02(A)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: predicate
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
  versions:
    - effective_from: '2021-05-01'
      formula: asset_is_client_file

client_file_is_county_dss_property

Derived

source: FNS 130.02(A)

- name: client_file_is_county_dss_property
  kind: derived
  entity: Asset
  dtype: Judgment
  period: Month
  source: FNS 130.02(A)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: predicate
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: All client files are the property of the county DSS
  versions:
    - effective_from: '2021-05-01'
      formula: asset_is_client_file

fiscal_record_required_retention_years

Derived

source: FNS 130.01(A)(2)

- name: fiscal_record_required_retention_years
  kind: derived
  entity: Asset
  dtype: Integer
  period: Month
  source: FNS 130.01(A)(2)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: formula
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
        - path: versions[0].formula
          kind: import
          import:
            target: >-
              us-nc:policies/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1#fiscal_record_retention_years
            output: fiscal_record_retention_years
            hash: sha256:local
  versions:
    - effective_from: '2021-05-01'
      formula: 'if asset_is_fiscal_record_or_accountable_document: fiscal_record_retention_years else: 0'

fiscal_record_retention_years

Parameter

source: FNS 130.01(A)(2)

- name: fiscal_record_retention_years
  kind: parameter
  dtype: Integer
  source: FNS 130.01(A)(2)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: amount
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: must be retained for three years from the date of fiscal or administrative closure
  versions:
    - effective_from: '2021-05-01'
      formula: '3'

record_must_be_retained_indefinitely_for_ipv

Derived

source: FNS 130.01(A)(1)(b)

- name: record_must_be_retained_indefinitely_for_ipv
  kind: derived
  entity: Asset
  dtype: Judgment
  period: Month
  source: FNS 130.01(A)(1)(b)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: predicate
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: >-
              Records containing an Intentional Program Violation (IPV) disqualification and/or an
              IPV claim must be retained indefinitely.
  versions:
    - effective_from: '2021-05-01'
      formula: |-
        asset_contains_ipv_disqualification
        or asset_contains_ipv_claim

record_storage_must_be_secure_with_controlled_access

Derived

source: FNS 130.02(B)

- name: record_storage_must_be_secure_with_controlled_access
  kind: derived
  entity: Asset
  dtype: Judgment
  period: Month
  source: FNS 130.02(B)
  metadata:
    proof:
      atoms:
        - path: versions[0].formula
          kind: predicate
          source:
            corpus_citation_path: us-nc/manual/dhhs/fns/fns-130-records-retention-ownership-and-documentation/page-1
            excerpt: provide a secure place or places with controlled access for the storage of records
  versions:
    - effective_from: '2021-05-01'
      formula: asset_is_record