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Appeals & Hearings Case Files and Records

RDA Number
2122
Effective Date
Record Series Abstract
The Official Hearing Record and case file for all Program Appeal Hearings conducted by the Division of Appeals & Hearings. The record series consists of Notice of Proceedings, Prehearing Order, Motions, Pleadings, Briefs, Petitions, Findings and Conclusions, Request for Intermediate Rulings, Evidence, Audio Recording, Transcript, Initial Order, Final Order, Statement of Matters Officially Noticed, Proffers of Proof and Objections and Rulings thereon and all other related documentation.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
When all legal motions, pleadings, rulings, proceedings, objections, timeframes, extensions, appeals have been exhausted, the file is cut off.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
When an appeal request is received a tracking number is assigned and a case file is created. Evidence and Statements of Matters Officially Noticed are scanned and case notes added through data entry. Records are maintained in agency or at a State approved off-site storage facility for 5 years after cut-off, then destroyed according to state approved methods.
Allotment Code
345
Record Location
Department of Human Services, Appeals & Hearings State and Regional Offices
File Arrangement
Alpha/Numeric
Date Range
1990 - current
Annual Accumulation
29 cubic feet / 2.8 gigabytes
Current Volume
188 cubic feet / 36 gigabytes
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Essential Record Media Type
Paper
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5 years 0 months
Record Sample PDF
System Name
Appeal Record Tracking System (ARTS)
Hardware Description
The electronic records are permanently stored in folders on a Strategic Technology Solutions (STS) VMware server. Metadata is stored in the ARTS data base on an STS server. All hardware for maintaining the record series shall be maintained in accordance with the current standards of STS.
Software Description
Documents and their metadata are captured by using multi-function devices and scanning the document by pressing the appropriate button on the multi-function device using Lexmark Document Distributor software.
System Location
Department of Human Services uses the ARTS System. The electronic records are kept on a VMWare server maintained and supported by STS at their Data Center.
Backup Procedures
Backup procedures shall be maintained in accordance with the current standards of the Strategic Technology Solutions (STS). Backup procedures shall be reviewed and tested annually.
Disaster Recovery
The Agency shall have a detailed Disaster Recovery Plan for the system in accordance with the current standards of the Strategic Technology Solutions (STS). Disaster Recovery plans shall be reviewed annually.
Data Migration Description
ARTS documents are scanned via State MFP on the State network to a folder on an STS VMware server that the ARTS application uses. The metadata captured at the time of scan is stored in a Microsoft SQL Server database and is never deleted. The types of documents used by ARTS are: Initial Order, Final Order, Rulings, Official Notices and Evidence, etc.
Legacy Revision UUID
608