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Mental Health and Developmental Disability Services Division - Records Retention Schedule


 Records Retention Schedule: 99-0031

Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Contracts and Rules Section

Program Description:

The Contracts and Rules Section is responsible for the final preparation, negotiation, and execution of intergovernmental and grant agreements contracts for community mental health and developmental disability programs. The section coordinates contract activities for the Oregon Health Plan Mental Health Organization (MHO) service agreements, and selected service and administrative contracts. The section is also responsible for coordinating administrative rule development for the division.

The section develops, reviews, acquires legal sufficiency from the Department of Justice, and approves agreements between the division, counties, and other providers statewide. With the cooperation of the division's program offices, the section assists and provides technical assistance in the administration of grant agreements and contracts. The section is responsible for conformance to state and federal statutes and rules. It assures that services continue and works to prevent problems caused by loss of funding for providers. The section also files and releases liens, mortgages, notes, and trust deeds on property and vehicles purchased by providers under the terms of the contracts.

The section implements procedures to assure that authorization of payment outlined in agreements, contracts, and grants are appropriate. It may conduct or coordinate on-site compliance reviews. The section may also participate in audits and evaluations of providers and contractors. It may also be assigned to coordinate and conduct investigations and other interventions addressing management issues within county programs, and other special projects.

The section is in charge of publishing the Biennium County Plan Implementation Guidelines and the division Financial Procedures Manual. County Plan Implementation Guidelines are mandated by ORS 430.630-640.

The Contracts and Rules Section also reviews proposed administrative rules to assure accuracy and consistency, and advises program offices in the development of administrative rules. It coordinates the timely filing of rules in conjunction with the Office of Finance General and Support Services Section. (See separate description of General and Support Services Section.)

Records Description:

Contracts for services between the division, community mental health programs, and Community Mental Health Contract Files and the COMMUNITY CONTRACTS database document other providers. Development and issue of guidelines that provide standards for community providers to prepare contract bids and renewals are documented by County Plan Implementation Guidelines and the WORD.DOC and WORDPERFECT.DOC databases. Development, issue, and revision of reporting and financial requirement aspects of contracts for community contractors are documented by the Financial Procedures Manual and the WORD.DOC and WORDPERFECT.DOC databases. Records of liens, housing start-up records, trust deeds, and vehicle titles on property and vehicles purchased by providers under the terms of contracts are documented by Liens, Titles, and Housing Start-up Records, and the SPREADSHEETS database.

Below is a record series list designating their retention:

018 Community Mental Health Contract Files - Retain 6 years after expiration, destroy.

019 County Plan Implementation Guidelines - Retain 2 years after superseded, destroy.

020 Financial Procedures Manual - Retain 4 years after superseded, destroy.

021 Liens, Titles, and Housing Start-up Records - Retain 6 years after expiration, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative Rule Preparation Records, Attorney General Opinions, contracts and agreements, and correspondence (Administrative Records - 166-300-0015); and financial correspondence (Financial Records - 166-300-0025 ).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Audit and Evaluation Section

Program Description:

The Audit and Evaluation Section is responsible for auditing and evaluating the financial condition and contractual compliance of state operated and contracted mental health program community providers and sub-contractors. This includes community mental health and developmental disability programs, mental health organizations, and intermediate care facilities. It also evaluates overall mental health and developmental disability system issues for compliance with federal requirements.

Auditors perform desk reviews and on-site examinations of provider's records, facilities and operations, and other information to determine compliance with contracts, state and federal regulations, and division policies. The section negotiates settlements of initial appeals of disputed audits.

The Audit and Evaluation Section also reviews fiscal audits performed on contract providers by other agencies to assure compliance with federal regulations. It also consults on Secretary of State Audits of division programs. In addition, the Section manager serves as the division's internal auditor.

Records Description:

The Audit and Evaluation Unit's annual work plan is documented in Annual Audit Plans. Audits and evaluations of community mental health provider's financial condition and contract compliance are documented in Community Mental Health Provider Audits. Resolution of provider's appeals of disputed audits of their fiscal condition and Community Mental Health Provider Disputed Audit Appeal Records document contract compliance. Desk audits of county mental health programs that received more than $300,000 in federal funds the previous year are documented in Single Audit Records.

Below is a record series list designating their retention:

022 Annual Audit Plans - Retain 5 years, destroy.

023 Community Mental Health Provider Audits - Retain 5 years, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

024 Community Mental Health Provider Disputed Audit Appeal Records - Retain 5 years, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

025 Single Audit Records - Retain 5 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Contracts and agreements, and correspondence (Administrative Records - 166-300-0015); and audit records (Financial Records - 166-300-0025). 


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Federal Resources Section

Program Description:

The Federal Resources Section is responsible for directing and coordinating issues related to federal funding, including but not limited to Title XVIII (Medicare), Title XIX (Medicaid), Title XXI (CHIP), and Social Security programs such as Supplemental Social Security (SSI). Federal resources are the largest source of funding for division programs. The section provides federal and state policy interpretation to division executive staff, program mangers, other Department of Human Services (DRS) divisions, and providers.

Federal Resources serves as liaison to the DHS Office of Medical Assistance Programs (OMAP) for policy issues and for specific matters such as provider applications for billing numbers, mental health service codes and rates, hearings, fraud, waivers and federal correspondence. It also functions as liaison to the Health Care Financing Administration (HCFA) on matters related to federal funding and programs.

The section works with other division programs and the Senior and Disabled Services Division (SDSD) to coordinate client registrations and provider enrollments, and to monitor the payment process for Medicaid personal care. It coordinates applications for Supplemental Social Security (SSI) for eligible division clients and serves as liaison between clients, the Social Security Administration, division programs, and various state agencies on SSI matters.

The Federal Resources Section also coordinates services for division clients living out of state by helping arrange placements in hospitals or residential and treatment facilities, and by providing liaison to the other state's Medicaid and/or mental health agencies. It also arranges payments for such services by the division.

In addition, the section investigates allegations of Medicaid fraud and other grievances involving differences of opinion related to services by providers. Grievances and allegations come from clients, family members, or others. Informal mediation solves most cases. When informal mediation does not prevail the matter is referred to the Adult and Family Services Division Hearings Unit where a Hearings Officer holds a formal administrative hearing and issues a determination. The determination may be appealed to the Division Director who has final agency authority.

Records Description:

Client Hearing Records document investigation and informal mediation to resolve grievances related to differences of opinion between clients, family, employees, or other agencies and providers related to services by providers. Investigation and informal mediation to resolve allegations of Medicaid fraud by a client, family, employees, or other agencies against providers of services to clients of division run or funded facilities are documented by Medicaid Fraud Records. Records documenting coordination of services for division clients living out of state are Out of State Client Case Files and the OUT OF STATE SERVICES database. Enrollment of providers, registration of clients, billing providers, and payments for services to division clients are documented in Personal Care Case Files in the SDSD operated SSI CLIENT and CBC PAYMENT SYSTEM databases. Interpretation of federal and state policy to division executive staff, program mangers, other DRS divisions, providers, and others is documented by Policy Interpretation Records. Coordination of applications for Supplemental Social Security benefits to offset payments by clients to providers for therapy or housing is documented by SSI Client Records and the SDSD operated SSI CLIENT database.

Below is a record series list designating their retention:

026 Client Hearing Records - Retain 5 years after case resolved, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

027 Medicaid Fraud Records - Retain 5 years after case resolved, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

028 Out of State Client Case Files - Retain 7 years after last activity, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

029 Personal Care Case Files - Retain data entry documents until data entered and verified, destroy. Retain all other records 3 years after case closed, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

030 Policy Interpretation Records - Retain 5 years, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

031 SSI Client Records - Retain until client's 26th birthday, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, and correspondence (Administrative Records - 166-300-0015).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Institutional Revenue Section
Program: Accounting and Rates

Program Description:

Accounting and Rates performs all rate setting and cost reporting activities for division operated institutions. It sets direct care rates for specific services to individual patients and residents, and indirect cost rates for federal grants. Indirect costs comprise overhead and support activities which are not directly related to an individual patient or resident but are required for the institutions to administer federally funded programs. Accounting and Rates also prepares revenue projections, monitors results, and reports on changes. It posts charges, payments and adjustments, reconciles, and audits Revenue Accounts. It also manages the Care of State Wards subsidiary ledger and reconciles it to the Statewide Financial Management System.

Records Description:

Development and reporting the costs of physical plant, staff, patient services, and Cost Reporting Records and the INCIDENCE OF SERVICE, CASH RECEIPT, and EASYTRIEVE databases document other overhead expenses per institution. Claims to Medicare and Medicaid for reimbursement of a disproportionate share of funding by the division for the psychiatric hospital system and subsequent reimbursements are documented in Disproportionate Cost Share Records and the Easytrieve DISH database. Rate setting for services provided to patients and residents of division operated institutions, and overhead costs for support activities related to federal grants are documented by Rate Setting Records and the AS 400 DIRECTORIES and Easytrieve databases.

Below is a record series list designating their retention:

032 Cost Reporting Records - Retain 10 years, destroy.

033 Disproportionate Cost Share Records - Retain 10 years, destroy.

034 Rate Setting Records - Retain 10 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Correspondence, and mailing lists (Administrative Records - 166-300-0015); accounts receivable reports, accounting system input documentation and listings, agency control reports, fiscal correspondence, accounting structure organizational hierarchy records, encumbrance registers, expenditure projection reports, invoice registers, and receipts (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Institutional Revenue Section
Program: Revenue Services

Program Description:

Revenue Services supports the Institutional Revenue Section in legal matters. It researches, reviews, and interprets laws, rules, and regulations that apply to healthcare financing. It acts as liaison with division operated institutions to ensure Medicare compliance. In addition, it coordinates with the Federal Resources Section to ensure the division complies with all federally mandated healthcares financing requirements that apply to institutional programs.

Revenue Services also resolves disputed patient billing cases, informally in most cases. In the rare cases when informal efforts don't prevail, it represents the division's case in administrative hearings at the Adult and Family Services Hearings Unit.

Records Description:

Section activities in cases where patients have contested billing for the cost of services provided to them in division operated institutions are documented by Patient Billing Contested Case Appeal Records.

Below is a record series list designating their retention:

035 Patient Billing Contested Case Appeal Records - Retain 10 years after resolved, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Correspondence, and mailing lists (Administrative Records - 166-300-0015).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: Institutional Revenue Section
Program: Billing and Collection

Program Description:

Billing and Collection gathers individual patient financial information to determine what resources are available to pay for services provided to patients and residents of division operated institutions. It determines patient's and resident's ability to pay for the costs of their care, taking into consideration all resources available to them as well as their individual needs and obligations while in the hospital and at the time of discharge. It prepares and mails billings to the appropriate parties including patients, their authorized representatives, insurance companies, Medicare, Medicaid, and Champus. Billing and Collection then diligently pursues collection from these parties. It challenges inappropriate denials from third party payors and works with patients and their representatives to obtain payment. In addition, when necessary, it files liens and issues garnishments and attachments on patient's non-exempt resources to collect for services provided. It helps patients, their representatives, and institution staff with financial issues related to treatment and community placement at the time of discharge from the institution.

Records Description:

Billing of Medicaid and subsequent payment for services provided by division operated institutions, and used for long-term reference for repeat patients, is documented by Medicaid Billing Files and the ACCOUNTS RECEIVABLE, CASH RECEIPT, and MEDICAID VENDOR databases. Billing of Medicare and subsequent payment for fee-for-service physician services performed in division operated institutions is documented Medicare Fee-For-Service Billing and Payment Records. Activities related to collection and reimbursement for the cost of specific services provided to patients and residents in division operated institutions are documented by Patient Billing Records and the ACCOUNTS RECEIVABLE, CASH RECEIPT, and INCIDENCE OF SERVICE databases.

Below is a record series list designating their retention:

036 Medicaid Billing Files - Retain 30 years, destroy.

037 Medicare Fee-For-Service Billing and Payment Records - Retain 10 years, destroy.

038 Patient Billing Records - Retain 10 years after case closed and claim satisfied, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-517; ORS 179.505; or ORS 430.757-763 for the life of the records.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Correspondence, and mailing lists (Administrative Records - 166-300-0015); accounts receivable reports, accounting system input documentation and listings, and agency control reports, fiscal correspondence, accounting structure organizational hierarchy records, encumbrance registers, expenditure projection reports, invoice registers, and receipts (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Finance
Section: General and Support Services Section

Program Description:

The General and Support Services Section is responsible for providing a variety of support services for the division. In cooperation with program offices and the Contracts and Rules Section it coordinates preparation and filing of division administrative rules for all division sections and division operated institutions, and provides administrative and management support to the Office of Finance Administrator, program managers, and staff.

The section purchases supplies, and purchases or leases equipment and vehicles for the division's central offices, division operated institutions, and state operated group homes. It receives, inventories, controls, and maintains furniture and equipment, and processes property disposition requests, and personal property reimbursement requests. Purchase orders are processed through the ADPICS system and purchases are made using Visa cards. The section also prepares or processes telephone service orders for telephone and local area network (LAN) lines.

In addition, the section performs clerical support, telephone backup, and photocopy services. It picks up or receives and distributes incoming mail, and prepares outgoing mail for delivery to Department of Administrative Services (DAS) and private delivery services. It also schedules agency-assigned motor pool vehicles and coordinates vehicle maintenance. Custodial staff performs cleaning and minor maintenance at the division's central offices.

The section also issues bearer fishing licenses to qualified individuals receiving services from the division. The pre-numbered licenses are received from Department of Fish and Wildlife and are issued to individuals on request, and in batches to county mental health programs and group homes to dispense to individuals on a day-use basis.

Records Description:

Requests for Bearer Fishing Licenses, receipt of licenses from the Department of Fish and Wildlife, verification of eligibility of requestors, and re-issue of licenses to individuals and batches of licenses to county mental health programs and state operated group homes are documented by Fishing Licensing Records and the FISH database.

Below is a series list with retentions:

039 Fishing Licensing Records - Retain 5 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rules preparation records, contracts and agreements, correspondence, mailing lists, and postal records (Administrative Records - 166-300-0015); equipment maintenance records, equipment/property disposition records, fixed asset inventory records, vehicle maintenance records, and work orders (Facilities Records - 166-300-0020; accounts payable records, competitive bid records, purchasing records, and vouchers (Financial Records - 166-300-0025).



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