1952 Retention of Investigative Records | IIU
|
Department of Human Services |
Index: |
POL 1952 |
Revised: |
08/07/2023 |
||
Next Review: |
08/07/2025 |
Policy
The policy of the Department of Human Services (DHS) Office of Inspector General (OIG) Internal Investigations Unit (IIU) is the retention of case files to support the investigation from the original allegation to the final disposition.
Maintenance and Storage
Investigative files and related materials shall at all times be secured by the assigned investigator(s) while an investigation is ongoing. After an investigation has been finalized and closed, the case file, which would normally include a copy of the written report, supporting documentation, exhibits, and case notes, as well as any other relevant documents or items, should be kept in a locked, secure area that is restricted to authorized OIG personnel only.
Case files and associated documents for closed investigations should be retained in accordance with state retention requirements.
Once the retention requirements have been satisfied and case files are no longer needed, the destruction of those files shall be coordinated by the Chief Investigator and the Senior Investigator who was assigned to the case, if applicable. The method of destruction will be by shredding.
In some situations, the agency is requested or directed to preserve/save records, documents and other materials related to a matter that involved IIU staff. In those cases, IIU staff shall adhere to retention direction received from OGC staff regarding such matters.
Protection of Records during a Natural or Man-made Disaster
In the event of a natural or man-made disaster, the Chief Investigator and/or appointed designee will have the following responsibilities regarding the security of IIU’s records: Ensure that copies of all ongoing and final investigative records maintained by the unit are secured and not in danger of being damaged or destroyed during civil unrest or natural disaster.
Ensure that all ongoing and investigative records remain secured on-site and/or are removed to another location where they can be secured until such time the records can be returned safely to the secured area within the OIG office.
Immediately notify the Inspector General (IG) and/or Deputy Inspector General of any potential threat to the safety and security of the investigative reports.
When possible, ensure that an authorized OIG staff member is stationed in the area to secure the records until further instructions are received from the IG or Deputy IG.