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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: Administrator's Office

Program Description:

The Administrator's Office is responsible for oversight of programs, policies, community services, and public institutions serving persons of all ages with developmental disabilities or mental or emotional disturbances. The division is responsible for implementing ORS 179, ORS 426, ORS 427, and ORS 430 governing mental illness, developmental disabilities, Psychiatric Security Review Board services, Developmental Disabilities Council, and the civil commitment process.

The Administrator's Office staff consists of the Administrator, Deputy Administrator, and support staff. The managers of the Office of Client Rights and the Mental Health Corrections Program report directly to the Administrator. The Assistant Administrator of the Office of Finance, the Assistant Administrator of the Office of Mental Health Services, and the Assistant Administrator of the Office of Developmental Disability Services report directly to the Division Administrator. The superintendents of the division's four 24-hour facilities (Oregon State Hospital, Fairview Training Center, Eastern Oregon Psychiatric Center, and Eastern Oregon Training Center) also report to the Administrator.

The Administrator's major duties are focused on planning, policy development, overseeing the implementation of services, and coordination of hospital and community programs. The Deputy Administrator, in addition to fulfilling the duties of the Administrator in his absence, is responsible for coordinating the operations of the Administrator's Office to assure smooth and accountable fulfillment of agency responsibilities. The deputy also acts as chief of inter/intra governmental relations with state and local governing bodies having interests in mental health and developmental disability issues. The deputy serves as project manager for major organization and program initiatives and special projects. The deputy is also responsible for administration and management of all physical facilities and property under the statutory jurisdiction of the division.

The Administrator's Office provides staff support for meetings of division Executive Staff groups and the Governing Body/Quality Improvement Committee. The Governing Body/Quality Improvement Committee members include the division administrator, deputy administrator, the superintendents of the mental health hospitals and their chief medical officers and quality assurance executives. The committee receives reports of quality improvement from each hospital on patient quality of life issues, discusses issues and approves or recommends policies to the Governing Body.

The Administrator's Office also provides staff support for meetings of the Governor appointed Mental Health Advisory Board which studies issues of mental health and developmental disabilities and recommends policies and procedures for division operated programs and other programs. Support staff, among other office duties log, route, and track all in-coming correspondence, and file out-going correspondence. They also monitor related assignments to division staff. Department of Human Services programs that serve the division and are physically located with the division include Personnel. The Administrator's Office also monitors abuse reporting in Department of Corrections (DOC) institutions to determine if mental health or developmental disability is a factor.

Records Description:

Abuse reporting requirements and reports alleging abuse submitted by DOC institutions are documented in Abuse Reports and the ABUSE1 database. Receipt, logging, and tracking of correspondence and monitoring of related assignments to division staff is documented by the Correspondence Log and the ASSIGNMENTS database. The activities and decisions of the various Executive Staff groups are Executive Staff Meeting Minutes and the ADCOMMON\EXEC and AS400_MH_LETTERS databases. The activities, reports, and recommendations of cross-agency and intergovernmental groups studying and preparing for the disposition of property and facilities such as Dammasch State Hospital and Fairview Training Center are documented in Facility Disposition Studies and Reports. The activities, decisions, or recommendations of the division Governing Body/Quality Improvement Committee are documented by Governing Body/Quality Improvement Committee Records and the ADCOMMON\GOVBD database. The activities, decisions, and recommendations of the Mental Health Advisory Board are documented by Mental Health Advisory Board Minutes and the ADCOMMON\MHAB database.

Below is a record series list designating their retention:

001 Abuse Reports - Retain 20 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.

002 Correspondence Log - Retain 5 years, destroy.

003 Executive Staff Meeting Minutes - Retain 5 years, destroy.

004 Facility Disposition Studies and Reports - Retain 20 years, destroy.

005 Governing Body/Quality Improvement Committee Records, 1993 - [ongoing] - Retain permanently, transfer to State Archives after 20 years.

006 Mental Health Advisory Board Minutes, 1988 - [ongoing] - Retain permanently, transfer to State Archives after 20 years.

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, correspondence, legislative tracking records, mailing lists, parking records, policy development and planning records, policy and procedure guidelines and manuals, press releases, signature authorizations, and staff meeting records (Administrative Records - 166-300-0015); and conference and workshop records (Personnel Records - 166-300-0040).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Administrator's Office
Program: Office of Client Rights

Program Description:

The Office of Client Rights is responsible for the investigation of alleged violations of laws, rules, regulations, and policies regarding the treatment of patients and residents of division operated mental health and developmental disabilities institutions. The institutions are Oregon State Hospital, Fairview Training Center, Eastern Oregon Psychiatric Center, and Eastern Oregon Training Center. This responsibility also extends to contracted developmentally disabled children's residential programs, and selected other mentally ill or developmentally disabled adults in contracted community based programs.

The primary work of the Office of Client Rights is to investigate deaths, cases of suspicious or serious unexplained injuries, and allegations of abuse or neglect. Program staff receive reports of alleged abuse or other violations, log the information, notify the facility Superintendent or site administrator, and conduct investigations to determine the validity of the allegations and prepare reports of the findings.

Investigators identify and locate the parties, ensure that expedient medical examination and treatment is provided if needed, and implement protective measures to minimize further risk of abuse. They gather physical, photographic, and documentary evidence. They conduct fact finding by observations and by interviewing the parties, witnesses, and others. Investigators evaluate the evidence and prepare a report for the institution superintendent, program administrator, or community provider for resolution. Further action may then be pursued as warranted, through administrative, personnel, or criminal procedures.

The program also provides training and advice and assistance to division management and staff and other state and local government agencies about how to identify, report, and investigate patient and resident abuse.

Records Description:

Investigation and reporting of cases of alleged abuse of patients and residents of division operated and contracted mental health and developmental disabilities facilities is documented in Abuse Investigation Case Files and the OCR database. Logging the essential facts of each case and monitoring cases are documented in Abuse Investigation Case Logs and the OCR database. Summary reporting of statistical and narrative information to management regarding investigation and resolution of cases of alleged abuse is documented in Quarterly and Annual Abuse Reports and the OCR database.

Below is a record series list designating their retention:

007 Abuse Investigation Case Files - Retain 20 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.

008 Abuse Investigation Case Log - Retain 20 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.

009 Quarterly and Annual Abuse Reports - Retain 20 years, destroy.

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


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Administrator's Office
Program: Mental Health Corrections Program

Program Description:

The Mental Health Corrections Program is responsible for developing and implementing a quality assurance/improvement system for all Department of Corrections (DOC) mental health and mental retardation/developmental disability programs operated by the DOC Counseling and Treatment Services (CTS) (see Department of Corrections records retention schedule). The purpose of this system is to ensure that DOC provides a comprehensive range of quality treatment services to inmates who are affected by mental illness or who are developmentally disabled.

The Mental Health Corrections Program conducts routine and special certification reviews of CTS programs. It performs quality assurance/improvement reviews of specialized CTS programs such as the "Special Management Units" in the correctional institutions, and other CTS programs. It reviews clinical records for compliance with appropriate clinical record documentation standards and practices.

In addition, the program trains CTS staff on a variety of clinical and quality assurance issues such as clinical records documentation standards and practices. Program staff provide technical assistance to CTS regarding inmates due to be released who present complex mental health and medical issues that must continue to be addressed by community services. It helps coordinate the civil commitment of mentally ill or mentally retarded inmates to the division for specialized long-term inpatient services.

The program assists the division administrator with issues related to the mental health and criminal justice systems affecting division and DOC facilities and community programs. The program also performs research into issues relating to the mental health and criminal justice systems.

Records Description:

Civil commitment to a division institution of mentally ill or developmentally disabled inmates is documented in Inmate Civil Commitment Records. Listings of all inmates who are receiving, or have received services for the treatment of mental illness or developmental disabilities through the DOC CTS are documented by Inmate Mental Health Treatment Lists in the CLIENT database. Special transition services provided to inmates moving from institutional confinement to community life are documented by Inmate Special Transitional Services Records. Standards used to certify DOC CTS programs, and the routine and special reviews of DOC CTS programs are documented by Program Certification Records. Research findings, primarily from external sources, about sexually violent predators are Violent Sexual Predator Research Records are documented in the SVP1 database.

Below is a series list with their retentions:

010 Inmate Civil Commitment Records - Retain 10 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.

011 Inmate Mental Health Treatment Lists - Retain 2 years after superseded, 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.

012 Inmate Special Transitional Services Records - Retain 20 years after released, 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.

013 Program Certification Records - Retain 20 years, destroy.

014 Violent Sexual Predator Research Records - Retain 20 years, destroy.

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



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