Page 2 of 7
The North Dakota Century Code (NDCC) 54-46-
02(2) defines “Record” as
means document, book, paper, photograph, sound recording or other material,regardless of physical form or characteristics, made or received pursuant to law or inconnection with the transaction of official business. Library and museum material madeor acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included within the definition of records as used in this
The Assistant Attorney General primarily addressing open records issues and the Director of the
State‟s Risk Management Division were contacted to obtain a general understanding of an agency‟s
authority relating to the contents of a record. These discussions were consistent with thefollowing basic principle:Each individual state agency has the responsibility to determine the internal use of itsrecords and further has the authority to dictate the format and content to help ensurerecords meet their intended purpose.Injured workers
claim files and employers
‟ account files are included within WSI‟s record
sretention schedule:#190101 Injured Worker Claim File
This series contains information regarding injured work claims and theaction taken. This includes medical and legal documents and any other generalcorrespondence and documentation relating to the claim.
NDCC 65-05-32#800304 Employer Account File
This series contains original application, annual payroll report, annualbilling statements, 2nd, 3rd, 4th request for payment, optional employer contracts, andcorrespondence.
NDCC 65-04-15#800305 Employer Account File
This series contains the same type of information as active accountsincluding original application.
Internal Audit separated this review into three sections: CMS notepad entries, WSI Medical
Director‟s medical r
eviews, and PICS notepad entries. Below you will find the review results foreach of these sections, along with recommendations/suggestions for improvements.
Section 1: CMS Notepad Entries
The Claims Department currently has Claims Procedure #906
“File Maintenance and
Documentation”, which indicate
s the following relating to the function of the notepad, alongwith moving, updating and deleting notepad entries: