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HomeMy WebLinkAboutMHIDDEI-405 Retention of Contracts and Other Records1 FRANKLIN/FULTON COUNTY MENTAL HEALTH/INTELLECTUAL & DEVELOPMENTAL DISABILITIES/EARLY INTERVENTION 425 Franklin Farm Lane Chambersburg, PA 17202 (717) 264-5387 MH/IDD/EI PROCEDURE STATEMENT PROCEDURE SUBJECT: Retention of Contracts and Other Records PROCEDURE NUMBER: MHIDDEI-405 Effective Date: January 1, 2002 Date Revised: October 25, 2023 INTRODUCTION: This procedure sets forth standard record retention and disposal policies as defined by the County Records Act issued by the Pennsylvania Historical and Museum Commission (PHMC) Bureau of the State Archives Harrisburg (updated 04/2017). In addition, Providers must also be in compliance with the Administrative Entity Operating Agreement, if applicable, and the Medical Assistance Provider Agreement record retention and disposal procedures. RECORD RETENTION PROCEDURE: The following information will be retained for seven (7) years upon completion:  MH/IDD/EI individual charts and plans  Contracts, Amendments, Bids and Proposals  State Primary Allocation Letters and Quarterly Advance Payment Letters  Annual Budgets, Funding Summaries, Quarterly Balance Sheet Reconciliations, Annual Summation of Revenues  Final Detailed Flex Period Report General Ledger (MUNIS)  Provider Verification Spreadsheet Vouchers, Remittance Advices, Bills, Invoices, Checks, Warrants, Purchase Orders, Requisitions  ACH Notifications and Cash Deposit Forms  Time Studies, Personal Activity Reports  Employee Expense Reports  Investment Records (Krivak Trust) The following information should be kept as long as an individual is enrolled in Intellectual and Developmental Disabilities (IDD) waiver services and for at least seven (7) years after the individual’s record has been closed:  Initial determination of ICF/ID or ICF/ORC level of care including DP 250 and DP 251, associated letter, eligibility determination documents, adaptive behavior assessment, and examination by the clinician. 2  The initial PA 162 issue by the County Assistance Office and prior notices.  Completed level of care redeterminations DP 251and waiver re-evaluation tools.  Documentation of the choice between institutional and home and community-based services DP 457.  Office of Vocational Rehabilitation referral and response letters, if applicable.  Service review findings letter(s) issued by the Department.  Service requests and responses.  Requests for extensions to service limitations and responses.  Requests for services requiring prior authorization and the Office of Developmental Programs response related to such requests.  Required documentation related to incidents and incident investigations.  Requests for fair hearings, including supporting documentation. DP 458  Documentation of meetings related to service disputes. The following information should be kept permanently (electronic form, original hardcopy, or Laserfiche):  Minutes, Agendas  Quarterly & Annual State Reports (i.e. Human Services Block Grant Report, Income & Expenditure Reports, ARMARS Quarterly Expenditure Report, etc.)  Provider Annual Financial Statement Audit Reports  Controller’s Annual Reports The following information should be kept according to the retention requirements as defined by the appropriate funding agency:  Grants (i.e. Housing and Urban Development requirements)  Certain Provider Files  All application notices, documentation, and records relating to unresolved audit or litigation which shall be maintained until resolved. RECORD DISPOSAL PROCEDURE: Destruction of all records must follow all HIPAA and confidentiality guidelines. MH/IDD/EI utilizes the Franklin County monthly shredding, through a contracted shredding company, which assures that all documents are properly secured and then thoroughly destroyed, meeting HIPAA guidelines. Second through eighth class counties administrative and fiscal officers are authorized to dispose of records in accordance with retention schedules. Written consent must be obtained from PHMC before disposing of any permanent record.