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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 Developmental Disability Services
Section: Administration

Program Description:

Administration oversees the operating programs of the Office of Developmental Disability Services. It also develops legislation and testifies before the Legislative Assembly. Administration consists of the assistant administrator, deputy assistant administrator, and support staff.

In addition to management and oversight responsibilities, Administration coordinates the development and implementation of the Long Range Plan for Developmental Disability Services (LRP), which outlines new community based residential and vocational services for residents of Fairview Training Center and other eligible persons with developmental disabilities.

Another important function is involvement in litigation against the division. The most prominent and significant litigation is the case by the U. S. Department of Justice (USDOJ) against the state regarding Fairview Training Center. This case grew out of investigations by USDOJ and the Federal Health Care Financing Administration (HCFA) in the 1980's. This case, and several significant changes in state law, resulted in the downsizing and eventual closing of Fairview Training Center, as well as development of wide-scale community based residential and vocational programs for persons with developmental disabilities.

Support staff provide administrative and management support for the assistant administrator, deputy assistant administrator, program managers, and staff. Some support staff work in program offices under dual supervision. The program logs, routes, and tracks incoming correspondence, and monitors related assignments to staff. It prepares outgoing mail for pick up by DAS and private mail services. It also prepares correspondence and reports, files and retrieves records, and creates and maintains databases. Support staff also perform related tasks such as purchasing assistance, and travel and conference arrangements.

Records Description:

Legal Case Files document all activities regarding significant litigation, such as the closure of Fairview Training Center. (The State Department of Justice has the state's official legal case files). The development, approval, implementation, and results of planning for community based residential and vocational services for Fairview Training Center are documented by Long Range Plan for Developmental Disability Services Records.

Below is a record series list designating their retention:

060 Legal 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.

061 Long Range Plan For Developmental Disability Services Records, 1995 — [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, correspondence, legislative tracking records, policy and procedure guidelines and manuals, policy development and planning records, scheduling records, 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: Office of Developmental Disability Services
Section: Protective Services

Program Description:

The Protective Services Section is responsible for overseeing investigations of complaints of abuse, neglect, verbal mistreatment, and financial exploitation of adults with developmental disabilities in community residential and employment programs. Allegations of child abuse are referred to the Office of Services to Children and Families (SCF) (see separate records retention schedule). Abuse cases in division operated institutions and state operated residential and vocational programs are handled by the Office of Client Rights in the division administrator's Office (see separate program description).

Protective Services coordinates and monitors the activities of protective service investigators employed by county developmental disabilities programs. County investigators perform investigations of alleged abuse and send reports of findings and conclusions to Protective Services. The Section performs special investigations as needed. It gives technical assistance to county investigators and other local developmental disabilities program staff, trains, and advises agency staff, county program staff, direct care providers, and others about abuse issues.

Note: The responsibilities of this program are being assumed by the Office of Client Rights in the division administrator's office (see separate program description).

Records Description:

Investigations of complaints and reports of findings and conclusions, tracking, analysis, and reporting of alleged abuse cases is documented by Protective Service Investigation Records and the PS.MDB database.

Below is a series list designating their retentions:

062 Protective Service Investigation Records - Retain annual reports 20 years, destroy. Retain complaint forms and investigation reports 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.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, 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 Developmental Disability Services
Section: Contracts Section

Program Description:

The Contracts Section is responsible for coordinating the development and administration of contracts for services to persons with developmental disabilities in community based programs. It also coordinates budget activities related to provider contracts.

The Section receives and processes contract requests, and in cooperation with requesting programs, writes purpose statements, and performance and/or reporting requirements. It prepares RFQ's and RFP's and participates in contractor selection. Final contract processing and database management is done by the Community Contracts Section (see separate program description) or the Department of Human Services (DRS) Contracts Office (see separate records retention schedule). Types of contracts include Intergovernmental Agreements, Interagency Agreements, Personal Service Contracts, Direct Contracts, and Housing Contracts.

It also reviews and processes payment requests from contractors. Program managers or the administrator of the Office of Developmental Disability Services authorizes payments. Payments are made by Department of Human Services Accounting Office.

The Contracts Section provides information, training, and technical assistance to contractors and subcontractors about contract preparation and performance issues. It also participates in budget preparation, implementation, projection, and monitoring related to provider contracts.

Records Description:

The development, monitoring, payments, and final settlement of contracts are documented in Contract Development and Monitoring Records and the Office of Finance Community Contracts Unit CONTRACT1.RBF, CONTRACT2.RBF, and CONTRACT3.RBF databases. (The official copy of final contracts is kept by the Community Contracts Unit or the DRS Contracts Office. Payment records are kept by the Office of Finance and DRS Accounting.)

Below is a series list designating their retentions:

063 Contract Development and Monitoring Records - Retain 6 years after expired, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, correspondence, and training program records (Administrative Records - 166-300-0015); budget allotment reports, budget preparation records, competitive bid records, expenditure projection reports, fiscal correspondence, and revenue projection reports (Financial Records - 166-305-0010).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Section: Information and Data Section

Program Description:

The Information and Data Section is responsible for gathering and analyzing information and reporting on the effectiveness of the developmental disabilities service and care system. It enters data into Department of Human Services (DRS) mainframe systems such as the Client Process Monitoring System (CPMS) and other databases and prepares reports.

The section receives service and performance data from community developmental disabilities services providers and enters it into CPMS and the WAIVER.MDB database. Most data is received on hardcopy forms such as client Enrollment Forms, Termination and Service Adjustment Recording Forms (TSAR), Provider Financial Statements (PFS), Crisis/Diversion Service Forms, Family Support Service Forms, and Medicaid Title XIX Waiver Forms. The forms are received from county case managers and providers. When necessary, the section resolves errors on the forms and errors resulting from database interface problems. Some forms are returned to the originator for correction or clarification.

The section gathers and analyzes data and prepares reports from the CPMS database and other sources. It prepares periodic and ad hoc reports for the division, DRS, the Legislative Assembly, advisory groups, advocacy groups, families, providers, and others.

The section also provides informal computer system and technical support to Office of Developmental Disability Services staff. This includes informal user assistance and coordination with DRS Information Systems Division staff.

Records Description:

Data entry and monitoring of client enrollment, provider registration and services is documented by Developmental Disabilities Client Enrollment and Provider Registration and Services Records and the CPMS and WAIVER.MDB databases. Data gathering and analysis, and preparation of narrative and statistical reports about client outcomes, provider services, and developmental disabilities health care system performance is documented by Developmental Disabilities Health Care System Performance Reports and the CPMS database. Data corrections resulting from errors on forms received, data entry errors, and errors resulting from systems interfaces problems are documented by Error Correction Records and the CPMS and WAIVER.MDB databases.

Below is a series list designating their retentions:

064 Developmental Disabilities Client Enrollment and Provider Registration and Services Records - Retain Title XIX Waiver forms 7 years after client deceased, destroy. Retain corrected PFS and TSAR forms returned from CMHP's 3 years, destroy. Retain all other records 1 year, 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.

065 Developmental Disabilities Health Care System Performance Reports - Retain 4 years, destroy.

066 Error Correction Records - Retain input error records until error resolved, destroy. Retain Title XIX Waiver error records 3 months after resolved, destroy. Retain all other records 1 year, 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 Developmental Disability Services
Section: Licensing and Certification Section

Program Description:

The Licensing and Certification Section is responsible for ensuring that residential and employment service providers comply with administrative rules regarding services to persons with developmental disabilities. Providers must be licensed or certified before they can contract with the state or county to provide services to persons with developmental disabilities.

There are several of types of providers and several licensing and certification renewal intervals. Adult foster care homes are licensed annually. Twenty four-hour residential providers are licensed every two years. Supported living and semi-independent living programs are certified every two years. Employment programs are certified every three years. State Operated Community Services 24-Hour Residential Facilities and Vocational Programs are licensed and certified the same as private providers.

The section conducts regular onsite licensing and certification reviews to determine compliance with administrative rules and contract requirements governing provider performance. Provider information and onsite reviews done by county developmental disability programs are used to license and review adult foster homes. Multnomah County has been delegated approval to inspect and license its adult foster care providers.

If a review identifies deficiencies, the provider must submit a plan of improvement. The Licensing and Certification Section or the county developmental disability program monitors and verifies compliance with the plan of improvement. Possible sanctions for non-compliance include revocation/termination, and refusal to issue or renew the certification or license. In rare cases, a civil penalty may be imposed.

Licensing and Certification also processes criminal history checks and makes fitness determinations on prospective and current employees and volunteers who will work with clients receiving mental health and/or developmental disabilities services. This section is in the process of assuming responsibility for this function for the entire division. Some records of previous criminal history checks will be kept in the Office of Mental Health Services, Quality Assurance Section, and DRS Personnel.

Records Description:

Processing of criminal history checks and making fitness determinations on persons who will work with clients receiving mental health and/or developmental disabilities services are documented by Criminal History Check Records and the CHCDB.MDB database. Application, fee payment, on-site reviews, sanctions, and all other activities related to licensing or certification of adult foster care homes, 24 hour residential providers, supported and semi-independent living programs, and employment programs are documented in Provider Licensing and Certification Files and the LICDB.MDB, RESLIC.DBF, VOCLIC.DBF, and FOSDB.MDB databases.

Below is a series list designating their retentions:

067 Criminal History Check Records - Retain applicant, contractor and volunteer information 180 days unless needed for evidence in a contested case hearing, destroy. Retain applicant, contractor and volunteer information 90 days after contested case resolved, destroy. Retain division employee information 90 days after disciplinary action 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.

068 Provider Licensing and Certification Files - Retain 7 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.

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 Developmental Disability Services
Program: Training

Program Description:

Training manages training and education activities for the Office of Developmental Disability Services. It establishes biennial training priorities for people working or receiving services in the field of developmental disabilities. It provides, or contracts for training for direct care staff working in residential and vocational programs, case managers, family members, and individuals with developmental disabilities, advocates, and others.

Training, in coordination with program offices and the Office of Developmental Disability Services Contracts Section, writes statements of work, prepares and distributes RFP's, reviews bids, awards, and administers training contracts. When involved in site-based training (conferences), it prepares flyers, advertising materials, agendas, and content. It provides written materials, sign in sheets, and evaluations. In addition, for teleconferenced training, it coordinates with sites for delivery of training via Online and Video Services (Ed-Net).

Training also coordinates billing and payment for training and conferences with the Department of Human Services Accounting.

Records Description:

The following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, correspondence, mailing lists, and training program records (Administrative Records - 166-300-0015); competitive bid records (Financial Records - 166-300-0025); 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: Office of Developmental Disability Services
Program: Self-Directed Supports Program

Program Description:

The Self-Directed Supports Program is responsible for planning, developing, expanding, and promoting community support resources to help adults and children with developmental disabilities. Its focus is on supporting families who are caring for individuals with developmental disabilities in the family home and individuals with developmental disabilities. living in their own homes.

The program works with local agencies, families, and individuals to arrange specific services needed by individual clients. Examples of services provided are money for respite care, in-home staffing, training for the family, home remodeling to accommodate a disability, and job coaching for individuals with developmental disabilities. In coordination with other program areas and the Office of Developmental Disability Services Contracts and Budget Unit (see separate program description), the program develops, awards and administers contracts for client-specific services. In coordination with the Office of Developmental Disability Services Training Program, it arranges for training for providers and county developmental disabilities staff.

The program helps acquire and integrate various resources to fund new and expanded services, and monitors services and expenditures for appropriateness and effectiveness. It provides technical assistance to agency staff, other agencies, county developmental disability case managers, providers, and consumers. It also gathers information about program activities and customers, and reports to the division, DRS, the Legislative Assembly, advisory groups, families, providers, and others.

Records Description:

County Self-Directed Support Files document planning and development of community support resources, and coordination and technical assistance to individuals with developmental disabilities and families who are caring for individuals at home. Activities, statistics and results of the program's efforts are documented by Self-Directed Supports Program Reports.

Below is a series list designating their retentions:

069 County Self-Directed Support Files - 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.

070 Self-Directed Supports Program Reports - Retain 10 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, correspondence, mailing lists, scheduling records, and training program records (Administrative Records - 166-300-0015); and competitive bid records, expenditure reports, and grant records (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Program: Medicaid Twenty-Hour Personal Care Program

Program Description:

The Medicaid Twenty-Hour Personal Care Program is responsible for ensuring that adults and children with developmental disabilities have access to in-home personal care resources authorized by the State Medicaid Plan. The plan allows twenty hours per month of assistance with personal care activities for eligible persons. Client-employed personal care providers typically provide these services.

The program trains county developmental disabilities developmental disabilities program case managers in how to help people use the service. It approves or disapproves Individual Service Plans prepared and kept by county case managers. It coordinates client registration, provider enrollment, service rates, and payment issues with the Federal Resources Section and Information and Data Section. The Federal Resources Section receives forms from county case managers, enters data into the Senior and Disabled Services Division (SDSD). operated SSI CLIENT and CBC databases to register clients, enroll client-employed care providers, and request payment for services from SDSD. The Personal Care Program coordinates with SDSD regarding Medicaid personal care issues for individuals with developmental disabilities in the context of the larger system of client employed services managed by SDSD.

Records Description:

Program development, coordination, training, and technical assistance regarding the Medicaid Twenty-Hour Personal Care allowance of paid assistance with personal care activities for persons with developmental disabilities provided by client employed personal care providers is documented by County Personal Care Files.

Below is a series list designating their retentions:

071 County Personal Care Files - 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.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, correspondence, scheduling records, and training program records (Administrative Records - 166-300-0015); and expenditure reports (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Program: Employment/Alternatives to Employment

Program Description:

Employment/Alternatives to Employment coordinates activities that provide employment and other day support activities for persons receiving developmental disability services in the community.

Employment/Alternatives to Employment, in cooperation with the Community Contracts Program, develops and administers contracts for employment services for consumers in the community. Most contracts are with county developmental disabilities programs, others are directly with providers. Employment may be in a sheltered workshop or a private business setting.

A major function is oversight of the High School Transition Project, which is an organized effort to help individuals age 18-26 move from school to work. Currently, a private firm, the Oregon Technical Assistance Corporation (OTAC), contracts to provide transition specialists to help County Mental Health Programs (CHMP's), individuals and families. Specific activities include assistance with case management, helping individuals make connections with potential employers, and on-the-job coaching to help ensure success.

In coordination with the Office of Developmental Disability Services Training program, Employment/Alternatives to Employment provides or arranges training and technical assistance for county case managers, contract providers, other agencies, families, and consumers. The training pertains to placing individuals in employment or alternative activities. Technical assistance is focused on providing or maintaining quality employment or alternative community inclusion opportunities for persons with developmental disabilities. These alternative opportunities are designed to enhance the quality of life of persons with disabilities and help facilitate their integration into the community.

Employment/Alternatives to Employment also, directly and by contract, gathers and analyzes information about employment outcomes for developmentally disabled individuals and other program related topics including High School Transition. It reports on these topics to the division, department the Legislative Assembly, and others. The current contractor that collects and provides employment outcome research data is the University of Oregon Research and Evaluation Unit.

Records Description:

The collection and analysis of information about employment outcomes for developmentally disabled individuals and other program related topics is documented by Employment Outcomes Reports and the University of Oregon EMPLOYMENT OUTCOMES database. Activities and outcomes of the High School Transition project are documented in High School Transition Project Reports and University of Oregon EMPLOYMENT OUTCOMES database.

Below is a series list designating their retentions:

072 Employment Outcomes Reports - Retain 10 years, destroy.

073 High School Transition Project Reports - Retain 10 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, 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: Office of Developmental Disability Services
Section: Development Team

Program Description:

The Development Team is responsible for developing community based residential and vocational services for people with developmental disabilities. The Development Team is an essential element of the implementation of the Long-Range Plan for Developmental Disability Services (LRP). The LRP is the overall blueprint for closing Fairview Training Center and redirecting resources to support the people leaving Fairview in quality community programs. The LRP also provides for increasing wages for community staff, increasing funding for in-home family supports, and for increasing the local crisis response capacity.

The part of the LRP that calls for moving people from Fairview into the community is called the Community Integration Plan (CIP). Most people leaving Fairview are moving into homes and work programs operated by private non-profit providers. Less than one third will move into State operated community programs. Provider contracts are developed in cooperation with the Office of Developmental Disability Services Contracts Section. The division contracts for the first six months of services, after which, County Mental Health Programs (CHMP) contract with providers for services. CHMP's provide all ongoing case management services for individual clients.

The Development Team works with the person with disabilities, families, Fairview staff, county case managers, and residential and vocational providers to coordinate community placements. This involves facilitating and reviewing client assessments to determine each individual's needs for care, staffing, and accommodations. Section staff also coordinate planning for the person's move to the community and assure that all appropriate services are in place at the time of discharge from Fairview.

The Development Team also reports on activities and progress in implementing the LRP and CIP to the division, Fairview Training Center, Department of Human Resources, the Legislative Assembly, CHMP's, advisory groups, families, and advocacy groups.

Records Description:

All activities involved in developing community based residential and vocational programs for individuals with developmental disabilities are documented by Community Integration Plan Client Service Development Records and the LRP database. Periodic reporting to the division, Fairview Training Center, Department of Human Resources, the Legislative Assembly, CHMP's, advisory groups, families, and advocacy groups about activities and progress to implement and comply with the LRP and CIP in developing residential and vocational programs for individuals with developmental disabilities is documented in Community Integration Plan Service Development Reports and the LRP database. (Long Range Plan and Community Integration Plan records are kept by Office of Developmental Disability Services Administration.) (Fairview Client Case Files and other Fairview records remain at Fairview. County Mental Health Programs maintain the Developmental Disabilities Service Records, which is the individual case file for each client in community programs. There is some duplication among these files.)

Below is a series list designating their retentions:

074 Community Integration Plan Client Service Development Records - Retain essential life-style plans 6 months, destroy. Retain LRP data, CIP case management checklists and technical assistance records 5 years, destroy. Retain all other records 6 months after Fairview 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.

075 Community Integration Plan Service Development 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, contracts and agreements, and correspondence (Administrative Records - 166-300-0015); competitive bid records, and purchasing records (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Section: State Operated Community Programs
Program: 24-Hour Residential Facilities

Program Description:

The State Operated Community Programs 24-Hour Residential Facilities program operates residential facilities that provide direct care and supervision for adults with developmental disabilities. They are commonly known as group homes and typically serve a maximum of five residents. Residents have unique behavior problems and/or intensive medical needs. The primary population being served is individuals being transferred out of Fairview Training Center. Currently there are nineteen residential facilities, a total of thirty-three are planned. Local housing authorities own the residential facilities and staff members are state employees. State operated group homes are regulated and licensed the same way local and private programs are.

Services provided by residential facilities include assessment and evaluation, health care, personal care, recreation, occupational and physical therapy, and self-help skill training. Also, transportation, vocational training and work experience, social services, psychological services, and community support. Facility staff help County Mental Health Programs (MHCP) with case management of individual residents.

Due to the severity of their disabilities, many individuals in these facilities are almost totally dependent upon a complement of specially trained staff to deliver care under complex individual service plans in order to maximize individual independence, community integration, and productivity. However, residents pay rent with funds provided by the Oregon Health Plan (OHP) and/or Supplemental Social Security (SSI). Most residents perform work at the residence or at paid employment with a private business or sheltered worksite. Others participate in out-of-home training or other activities in-lieu of paid employment. These alternate activities enhance the quality of life of residents and help facilitate their integration into the community. (See separate program description for State Operated Vocational Programs).

Records Description:

Investigations of allegations and resolution of cases of abuse of residents of state operated residential facilities are Client Abuse Records and the OCR database. All activities related to assessment, care, treatment, and activities of individual residents of state operated residential facilities are documented by Client Case Files and the ROS/ISP database. Personal property, budget, spending, and other financial activities of individual residents of state operated residential facilities are documented by Client Personal Account and Property Files. The employment, pay, taxes, and vocational plans of individual residents of state operated residential facilities are documented by Client Vocational Files. Routine activities and management of state operated residential facilities are documented in Facility Management Records and the CLIENT DAILY REPORT LOGS database. Safety-related conditions and activities of state operated residential facilities such as fire drills, safety committee meeting minutes, and safety training are documented by Facility Safety Records.

Below is a series list designating their retentions:

076 Client Abuse Records - 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.

077 Client Case Files - Retain client behavior data until transcribed, destroy. Retain Medical Care Identification and Graphic Charts 1 month, destroy. Retain Anticonvulsant Records, Client Rights Sign-Off Sheets (copies), Client Specific Protocols, Emergency Resuscitation Authorizations, Individual Summary Sheets, Individual Support Plan (copies), Nurse's Assessment and Care Plans, Nurse's Tracking Sheets, Physician's Health Assessments, Seizure Protocols, and Weight Records, until superseded, destroy. Retain Flow Sheets, Medication Administration Record Sheets (MARS), Menses Records, Treatment. Administration Record Sheets (TARS) and Seizure Reports 1 year, destroy. Retain Dietary records, Lab Results, Occupational Therapy records, Physical Therapy records, and Speech Pathology records, 2 years, destroy. Retain all other records 7 years after death of resident, 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.

078 Client Personal Account and Property Files - Retain 6 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.

079 Client Vocational Files - Retain 7 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.

080 Facility Management Records - Retain telephone logs until reconciled to telephone bill, destroy. Retain daily reports and menus 1 month, destroy. Retain non-client related Incident Reports, Shift Logs, and Vehicle Logs 1 year, destroy. Retain facility copies of financial records, receipts, and bills 3 years, destroy. Retain Drug Disposal Records and Controlled Substance Records 10 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.

081 Facility Safety Records - Retain 3 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, correspondence, and scheduling records (Administrative Records - 166-300-0015); and employee time records (Payroll Records - 166-300-0035); and employee medical records, and employee personnel records (Personnel Records - 166-300-0040). 


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Section: State Operated Community Services
Program: Vocational Programs

Program Description:

The State Operated Community Services Vocational Programs provide a variety of employment services for persons with developmental disabilities who are residents of state operated residential facilities. These services enhance the quality of life of persons with disabilities and help facilitate their integration into the community. Staff members are state employees. State operated vocational programs are regulated and certified the same way local and private programs are.

The program, in cooperation with the Office of Development Disability Services State Operated 24-Hour Residential Facility staff and the Office of Developmental Disability Services Contracts Section, develops and administers contracts for employment services for residents of state operated residential facilities. Resident's work for employers as a direct hire, as an independent contractor, or in a partnership.

In cooperation with the Employment/Alternatives to Employment, Vocational Programs also provides a variety of out-of-home training and other activities in-lieu of paid employment. These alternate activities enhance the quality of life of persons with disabilities and help facilitate their integration into the community.

Records Description:

The employment, pay, taxes, vocational plans, and other activities in-lieu of paid employment of individual residents of state operated residential facilities are Client Vocational Files. (These records are kept at the state operated residential facility where the client lives. See separate program description for State Operated Community Programs Twenty Four Hour Residential Facilities).

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 Developmental Disability Services
Section: Training and Technical Assistance
Program: Diversion/Crisis Program

Program Description:

The Diversion/Crisis Program is responsible for stabilizing crisis situations involving health and safety risks for developmentally disabled adults who are eligible for civil commitment to the Mental Health and Developmental Disability Services Division under ORS 427.215-306. It has similar responsibilities for developmentally disabled children 5-17 with developmental disabilities who are at imminent risk of being removed from their home. Younger children are the responsibility of the Office of Services to Children and Families (SCF). Crisis situations involve problem behaviors, serious medical conditions, and the need for emergency shelter.

The program fulfils its responsibilities through crisis interventions that include in-person, telephone, and written coordination with county case managers, the individual, family members, providers, police, and others to stabilize the situation. The program provides or arranges emergency supports, including emergency shelter, to resolve problem behaviors or serious medical conditions. When requested, it coordinates and submits documents to the court for involuntary commitment of an individual to the care and custody of the Mental Health and Development Disabilities Services Division in accordance with ORS 427.215-306.

The Diversion/Crisis Program also ensures that individuals with developmental disability are not inappropriately placed, or kept in nursing facilities. The primary means is the use of pre-admission screening and resident reviews (PASRR).

In addition, the program provides ongoing training and technical assistance, and coordinates resources for county case managers, providers, and family members. The goal of this assistance is to help prevent crises by helping individuals, families, caregivers, and others to better manage severe behaviors, and to facilitate appropriate physical and/or medical care for individuals with developmental disabilities.

Records Description:

All activities involved in stabilizing crisis situations involving problem behaviors or serious medical conditions for person's with developmental disabilities and, when needed, coordination of court commitment activities for people in crisis are documented in Diversion/Crisis Event Case Files and DIVERSION INTAKE database. Pre-Admission Screening and Resident Review Records and the PASRR database document patient screening assessments and evaluations to ensure that individuals with serious mental illness or developmental disability are not inappropriately placed, or kept in nursing facilities.

Below is a series list designating their retentions:

082 Diversion/Crisis Event Case Files - Retain 1 year after client death, 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.

083 Pre-Admission Screening and Resident Review Records - Retain 7 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.

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: Office of Developmental Disability Services
Section: Training and Technical Assistance
Program: Diagnosis and Evaluation Service

Program Description:

The Diagnosis and Evaluation Service is responsible for determining if individuals are eligible for developmental disability services and for coordinating the placement of eligible persons into appropriate services. Prior to 1984, the program performed all individual assessments but now monitors county developmental disability programs for compliance with eligibility criteria for evaluating applicants. Until Fairview Training Center closes, the program also approves applications for admission to Fairview Training Center.

The service provides consultation and training to community programs in the development and operation of local diagnosis and evaluation services. It coordinates diagnostic evaluations statewide to minimize duplication of tests and examinations. The program monitors county developmental disability program compliance with eligibility criteria by reviewing documentation and making spot-checks of intake evaluations. Evaluations include assessments of social history, medical, psychological, and education to determine the person's level of functioning and eligibility for developmental disability services. The result is a determination of the most appropriate services for the treatment and training of the person.

Diagnosis and Evaluation also mediates grievances by applicants who were denied developmental disability services by a county program. It reviews documentation regarding the decision for completeness and appropriateness of the decision, and issues a letter to the State Training Center Review Board (see separate program description) confirming or disagreeing with the county program's decision to deny services. Denials can be appealed to the division administrator for a final ruling.

Records Description:

Assessments and evaluations of individuals to determine if they are eligible for developmental disability services and coordinating placement of eligible persons into appropriate services are documented by Diagnosis and Evaluation Files. Eligibility Compliance Monitoring Records document coordination with county developmental disability service programs and monitoring their compliance with developmental disability eligibility criteria in services for all consumers statewide.

Below is a series list designating their retentions:

084 Diagnosis and Evaluation Files - Retain 10 years, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.501 (1); ORS 192.502 (1), or (2); ORS 192.515-530; ORS 179.505; or ORS 430.757-763 for the life of the records.

085 Eligibility Compliance Monitoring Records - Retain 10 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: Office of Developmental Disability Services
Program: Medical Director

Program Description:

The Medical Director provides consultation, training, and advice and assistance about the medical affects of developmental disabilities to division and department management and staff, other agencies, contract providers, and others. The program also provides input to contract development, Administrative Rules, legislative proposals, and legal case preparation.

The program provides general, and case specific consultation, counseling and health care recommendations to county case managers and others related to a death, medical issues and crises involving developmentally disabled individuals living at home, in a group home, or other facility.

In cooperation with the Self-Directed Supports and Medicaid Twenty-Hour Personal Care programs, the Medical Director also oversees in-home services to children who are medically fragile or who have a developmental disability leading to intensive behavior problems. These services include providing nurses and aids in the child's home, minor home adaptations, and unique individualized goods and services. Goods and services include such things as paying extra electric bills for families with extra electrical equipment needed for a child's condition. They also include providing sensory stimulation equipment, communication devices, air conditioners for children who can't monitor their body temperature, and specialized consultation.

In addition, the program trains and helps group home and supported living site staff members with the annual process of appointing a substitute medical decision-maker for developmentally disabled persons living in a community housing facility who are incapable of making their own decisions about their care.

Records Description:

Crisis services to individual children with developmental disabilities needing intensive services including needs assessments, plans of care, Title XIX Waivers, case notes, and related activities are documented by Children's Intensive Services Individual Case Files and the CDDP.MDB and KIDSUNIT.MDB databases. Provider enrollment, verification of service hours, and all other activities related to particular providers of medical and technical services to children in intensive services are documented by Children's Intensive Services Provider Records and the FCKIDS.MDB, RESKID.MDB and CEP (SDSD) databases. Training of case managers and other community program and provider staff, and the appointment of substitute medical decision makers for developmentally disabled persons living in a group home or supported living site who are incapable of making their own decisions about care are documented by Health Care Representative Training and Appointment Records. Consultation, counseling, and health care recommendations to county case managers and others related to deaths, medical issues, and crises involving developmentally disabled individuals living at home, in a group home, or other facility are documented in Individual Technical Assistance, Consultation and Investigation Records. The purchase and ongoing monitoring of the effectiveness of unique individualized goods and services for children in intensive services is documented in Unique Goods and Services Purchasing Records and the PURCHASING database.

Below is a record series list designating their retention:

086 Children's Intensive Services Individual Case Files - Retain 10 years after child reaches age 21, 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.

087 Children's Intensive Services Provider Records - Retain payment requests and authorizations 5 years, destroy. Retain all other records 5 years after provider inactive, 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.

088 Health Care Representative Training and Appointment Records - Retain 10 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.

089 Individual Technical Assistance, Consultation and Investigation Records - Retain 10 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.

090 Unique Goods and Services Purchasing Records - Retain 6 years, destroy.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Administrative rule preparation records, contracts and agreements, correspondence, and training program records (Administrative Records - 166-300-0015); and competitive bid records, and purchasing records (Financial Records - 166-300-0040).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Section: Housing Section

Program Description:

The Housing Section is responsible for acquiring, developing, and maintaining housing for persons with developmental disabilities. The primary population currently being served is residents being moved out of Fairview Training Center.

The Housing Section works in close coordination with the Oregon Housing and Community Services Department (OHCSD) to acquire, construct, and/or rehabilitate property for group care homes. The OHCSD Community Integration Project (CIP) arranges loans for long-term financing of the properties and serves as banker for MHDDSD (see separate records retention schedule).

The Housing Section oversees construction and renovation projects and maintenance of the homes and property as long as it is operating as a group home. The facilities must be built or modified to accommodate the special needs of severely handicapped residents. Private non-profit housing agencies or local housing authorities owns the residential facilities, however the group homes are operated by non-profit or for-profit entities. Some are operated by the State Operated Community Services 24-Hour Residential Facilities program (see separate program description).

The section also provides technical assistance concerning housing issues to foster care providers, county case managers, and others. It also manages the Office of Developmental Disability Services housing budget as well as the budget for each group home project.

Records Description:

All activities, including property appraisal, purchase, and mortgage payments related to the purchase of group care homes are documented by Facility Financing Records and the COMMUNITY CONTRACTS database (The Housing and Community Services Department maintains the official loan and ownership documents). Ongoing oversight of maintenance, modification, and repair of group care homes is documented by Facilities Maintenance Records. Contract development, award, administration, and Facilities Project Records document oversight of projects to build or renovate group care homes.

Below is a record series list designating their retention:

091 Facility Financing Records - Retain 3 years after mortgage satisfied, destroy or transfer to new owner.

092 Facilities Maintenance Records - Retain for life of structure or 3 years after sale, destroy or transfer to new owner.

093 Facilities Project Records - Retain for the life of structure; 10 years after substantial completion; or 3 years after sale, whichever is longer, destroy or transfer to new owner.

In addition, the following records can be found in the State Agency General Records Retention Schedule: Contracts and agreements, correspondence, and leases (Administrative Records - 166-300-0015); and building records, equipment records, and equipment/property disposition records (Facilities Records - 166-300-0020); and competitive bid records, and purchasing records (Financial Records - 166-300-0025).


Organizational placement:

Agency: Department of Human Services
Division: Mental Health and Developmental Disability Services Division
Unit: Office of Developmental Disability Services
Program: State Training Center Review Board

Program Description:

The State Training Center Review Board was created in 1979, and operates under the authority of ORS 427. 205. The Board is responsible for reviewing decisions about admission to, discharge from, and continuing care of residents of the State Training Centers. The training centers are Fairview Training Center and Eastern Oregon Training Center. The three board members are appointed by the Mental Health and Developmental Disability Services Division assistant administrator for two-year terms. The Association of Retarded Citizens of Oregon (ARC), the Fairview Parent/Guardian Association, and the Oregon Developmental Disabilities Council may each recommend three persons. One person from each list may be appointed to the board. The Office of Developmental Disability Services provides staff assistance.

The Board reviews decisions of the Diagnosis and Evaluation Service regarding individual admissions to a training center when a decision has been appealed (see separate program description). It also reviews decisions of the division regarding involuntary commitment of persons to a state training center. In addition, the board performs annual reviews of training center certifications and plans for the continuing care and training of every individual resident of the state training centers. The board advises the Mental Health and Developmental Disability Services Division assistant administrator regarding the appropriateness of the plans and decisions.

The Board holds routine regular hearings for annual reviews of training center certifications and plans for the continuing care and training of individual residents of state training centers. It holds special hearings to consider appeals of denied admissions to, transfers between, and discharges from state training centers. Routine regular hearings are open to the public, special hearings are closed. Each hearing results in a report to the division administrator with the board's recommendation about the case. The administrator's decision may be appealed to a contested case hearing, and ultimately to the Court of Appeals.

Records Description:

All board activities, including hearing minutes, reports, decisions, and advice to the assistant director regarding decisions about admissions, discharges, and continuing care of residents of state training centers are documented in State Training Center Review Board Minutes and the MCICS database. (Training center Client Case Files and other training center records contain documentation about the commitment, admission, discharge, and continuing care of individual residents. County Mental Health Programs maintain the Developmental Disabilities Service Records, which is the individual case file for each client in community programs. There is some duplication among these files.)

Below is a record series list designating their retention:

094 State Training Center Review Board Minutes - Retain 3 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.

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



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