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Department of Human Services - Records Retention Schedule


 Records Retention Schedule: 99-0005

Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Administration

Program Description:

The Office of Alcohol and Drug Abuse Programs (OADAP) is the lead state agency for Oregon's alcohol, tobacco and other drug abuse prevention, intervention and treatment services. The Administration program provides leadership and oversight, quality assurance, program development, and ensures the integrity of the OADAP data. Duties of this program include legislative tracking, administrative rule preparation and the commissioning of or authorization of OADAP's participation in reports or studies on prevention and treatment strategies. This area may also commission or authorize OADAP's participation in reports or studies on prevention and treatment strategies.

OADAP also receives guidance from the Governor's Council on Alcohol and Drug Abuse Programs as mandated under ORS 430.255. The Council consists of 11 members who are appointed by the Governor for terms of four years. The members consist of professionals, laypersons and members of advocacy groups. The council produces state plans every two years that prioritize prevention and treatment services in Oregon.

Records Description:

Records documenting the issues brought before and the recommendations made by the Governor's Council on Alcohol and Drug Abuse Programs as well as the state plan outlining the priorities of prevention and treatment programs statewide are the Governor's Council on Alcohol and Drug Abuse Programs Records. Records detailing correspondence to and from the Director of OADAP is the Director's Correspondence. Records documenting speeches made by the Director of OADAP about alcohol and drug prevention and treatment as well as the agency are the Director's Speeches. Records documenting reports commissioned by or involving OADAP pertaining to prevention and treatment strategies are the Issue Report Records.

Below is a record series list designating their retention:

099 OADAP Governor's Council on Alcohol and Drug Abuse Programs Records, 1985 - [ongoing] - Retain minutes, state plans and council formation files permanently, transfer to State Archives after 15 years. Retain all other records 10 years, destroy.

100 OADAP Director's Correspondence, 1996 - [ongoing] - Retain permanently, transfer to State Archives after Director leaves office.

101 OADAP Director's Speeches, 1981 - [ongoing] - Retain permanently, transfer to State Archives after Director leaves office.

102 OADAP Issue Report Records, 1993 - [ongoing] - Retain permanently, transfer to State Archives after 10 years.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Administrative Rule Preparation Records, Legislative Tracking Records and Correspondence (Administrative Records - OAR 166-300-0015).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Contracts and Support

Program Description:

The Contracts and Support section develops and maintains community contracts and contract information. The community contracts are administered by the Mental Health Division (see separate description) which maintains the primary and original documents for most of the community programs. Contracts and Support section responsibilities also include personnel and payroll administration.

Records Description:

The following records may be found in the State Agency General Records Retention Schedule: Contracts and Agreements, and Correspondence (Administrative Records - OAR 166-300-0015); Grant Records (Financial Records — OAR 166-300-0025); Payroll Records (Payroll Records — OAR 166-300-0035); Recruitment and Selection Records, and Training Records (Personnel Records — OAR 166-300-0040).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Fiscal and Budget

Program Description:

The Fiscal and Budget program performs activities for the Office of Alcohol and Drug Abuse Programs (OADAP) such as processing grants, developing budgets, processing vouchers and payments as well as recording and analyzing fiscal information.

Records Description:

The following records may be found in the State Agency General Records Retention Schedule: Correspondence (Administrative Records - OAR 166-300-0015); Budget Preparation Records, Emergency Board Request Records, Legislatively Adopted Budget Records, Grant Records, Project Accounting Records, Travel Expense Records, and Vouchers (Financial Records — OAR 166-300-0025).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Northwest Frontier Addiction Technology Transfer Center (NFATTC)

Program Description:

In 1993 the Northwest Frontier Addiction Technology Transfer Center (NFATTC) was created in the Office of Alcohol and Drug Abuse Programs (OADAP). NFATTC is a regional training and education resource for the addiction treatment field. The program has been funded with federal grant money since it's creation and continues to be 100% grant supported at this time. The program's mission is to link state government, treatment providers, counselors, educators, and organizations to enhance the quality of alcohol and drug addiction treatment in Oregon and the Northwest. This program has helped develop a nationally adopted standard for the education and training of substance abuse treatment specialists.

Records Description:

Records that are forwarded to the Federal Government to comply with grant funding stipulations and outlining the actions taken, resources used, trainings held, research that is funded, and materials produced in a given time period by NFATTC are the Quarterly Reports, Annual Reports, and 5 Year Report Records. Records documenting the attendance and items to be discussed at various NFATTC sponsored meetings are the Meeting Records. Records chronicling communication between NFATTC and the practitioners in the field is The Addiction Messenger Newsletter. Records reporting the products available through NFATTC in the form of manuals, reports, and informational leaflets are the Addiction Treatment Product Records. A record tracking the training participants and treatment providers in the NFATTC service area is the NFATTC Database.

Below is a series list designating retentions:

103 NFATTC Report Records, 1993 - [ongoing] - Retain 1 copy of quarterly, annual and 5 year reports permanently, transfer to State Archives in 5 years. Retain all other records 5 years after final grant report is submitted, destroy.

104 The Addiction Messenger Newsletter - Retain 5 years after final grant report is submitted, destroy.

105 Addiction Treatment Product Records - Retain 5 years after final grant report is submitted, destroy.

106 NFFATC Data Records - Retain 5 years after final grant report is submitted, destroy.

The following records may be found in the State Agency General Records Retention Schedule: Correspondence, Mailing Lists (Administrative Records - OAR 166-300-0015), Grant Records, Travel Expense Records, (Financial Records — OAR 166-300-0025); and Training Records.


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Planning, Evaluation, Research & Technology (PERT)

Program Description:

The Planning, Evaluation, Research and Technology (PERT) section provides the Office of Alcohol and Drug Abuse Programs (OADAP) leadership with objective information about the status of alcohol, tobacco, and other drug (ATOD) treatment services in Oregon. The section collects program and performance data, prepares performance reports, and statistical analyses as well as developing research and evaluation resources.

The PERT section also provides annual information to the Federal government on tobacco sales to minors in Oregon as a part of a federal block grant. (The Oregon Liquor Commission tracks alcohol sales to minors for the State of Oregon).

Records Description:

Records tracking information on clients served in alcohol and drug abuse treatment programs across the state that is provided by the treatment programs are the Client Process Monitoring System Data Records. Records detailing provider performance against a minimum standard and a comparison to current statewide performance averages for the reporting period are the Provider Performance Reports. Records documenting the results of telephone surveys done by Portland State University for the PERT section about alcohol and drug use in Oregon households are the Household Alcohol and Drug Use Survey Records. Records providing information about incidence of youth alcohol and other drug use and abuse, including comparative profiles of county risk and protective factors are the Oregon Student Survey Records. Records providing the results of tobacco outlet inspections for sales to minors as required by a federal grant are the SYNAR Report Records.

Below is a record series list designating their retention:

107 Client Process Monitoring System Data Records - Retain client information data sheets until entered into computer, destroy. Retain data until program sunsets, destroy.

108 Provider Performance Reports - Retain 10 years, destroy.

109 Household Alcohol and Drug Use Survey Records, 1997 - [ongoing] - Retain one copy of final reports permanently, transfer to State Archives after 5 years.

110 Oregon Student Survey Records, 1986 - [ongoing] - Retain original surveys until entered into computer and verified, destroy. Retain one copy of final reports permanently, transfer to State Archives after 5 years.

111 SYNAR Report Records, 1995 - [ongoing] - Retain surveys until entered into computer and verified, destroy. Retain one copy of annual report permanently, transfer to State Archives after 5 years.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Correspondence, Mailing Lists (Administrative Records - OAR 166-300-0015); and Grant Records (Financial Records — OAR 166-300-0025).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Alcohol and Drug Abuse Programs (OADAP)
Program: Prevention, Training and Quality Assurance

Program Description:

The Prevention, Training and Quality Assurance program's mission is to provide leadership concerning best practices and program administration and to assure minimum standards of service. The unit provides technical support to community alcohol and drug prevention and treatment programs and county planners and oversees the monitoring process. Additionally, this area conducts licensure inspections, investigates complaints about treatment made by clients, develops contracts for local services, and enforces administrative rules.

The section also works with Driving Under the Influence of Intoxicants (DUII) conviction treatment by certifying and licensing Alcohol and Drug Evaluation Specialists (ADES) who are authorized to be court approved DUII evaluators. ADES workers determine if an offender is sent to education or treatment for the duration of their sentence based on the conviction blood alcohol level. Once an ADES application is approved and a six-month trial period and evaluation are completed, an ADES license is issued. Licenses are renewable and are granted for two years. Licensed ADES are required to regularly report back to the section with specific offender information.

Additionally, this section reports on provider compliance with the minimum standards set for their type of program. The minimum standards are reviewed and revised periodically through a consultative process.

Records Description:

Records documenting the types of treatment programs offered by the treatment and prevention providers are the Treatment and Prevention Program Records. Records documenting on-site reviews and any subsequent approval or denial of licenses of prevention and treatment providers (see Contracts and Support Program) are the Provider Review Records. Records chronicling treatment client complaints about the program or provider they worked with are the Treatment Client Complaint Records. Records documenting individuals who applied for Alcohol and Drug Evaluation Specialist licenses are the Alcohol and Drug Evaluation Specialist Licensing Records. Records detailing the Blood Alcohol Level (BAL) of the offenders they met with and the corresponding treatment or education that was stipulated are the Monthly Alcohol and Drug Evaluation Specialist Report Records. Records detailing provider performance against a minimum standard and a comparison to current statewide performance averages for the reporting period are the Provider Performance Reports.

Below is a record series list designating their retention:

112 Treatment and Prevention Program Records - Retain 7 years, destroy.

113 Provider Review Records - Retain 7 years, destroy.

114 Treatment Client Complaint Records - Retain 5 years after complaint resolved or dropped, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1), for life of the records.

115 Alcohol and Drug Evaluation Specialist Licensing Records - Retain 10 years after license expired or withdrawn, destroy. Retain unsuccessful license applicants: 2 years, destroy.

116 Monthly Alcohol and Drug Evaluation Specialist (ADES) Report Records - Retain 2 years, destroy.

117 Provider Performance Reports - Retain 10 years, destroy.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Administrative Rule Preparation Records, Contracts and Agreement Records and Correspondence (Administrative Records - OAR 166-300-0015).



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