7 AAC 81.180. Retention of records

(a) A provider shall ensure that its records, and the records of each subcontractor under 7 AAC 81.190, are protected and preserved as required by this chapter and other applicable state and federal law. The provider shall safeguard confidential information and ensure that any disclosure of that information is made in a manner that is permissible under applicable state and federal law.

(b) The provider shall retain and preserve financial and administrative provider records, including records of the receipt and disposition of other-source income, for at least three years, subject to the following

(1) the provider shall retain the records as long as an audit is in progress or as long as audit findings, litigation, or claims involving the records are pending;

(2) the retention period for each year's records begins on the date of submission to the department of the provider's annual or final financial status report or its equivalent.

(c) The provider shall retain and preserve records that relate directly to the care and treatment of a recipient of services for at least seven years following the termination of services to that recipient, subject to the following:

(1) if the provider or subcontractor is a hospital subject to AS 18.20.085 , the provider shall retain the records in accordance with AS 18.20.085 ;

(2) if the provider or subcontractor is not a hospital subject to AS 18.20.085 , and if a recipient of services is under the age of majority, the records must be kept for at least seven years after the recipient has reached the age of majority or until seven years after the termination of services, whichever is longer.

(d) If records described in this section are transferred under 7 AAC 81.185, any continuing board, officers, or successor organization must protect, retain, and preserve those records as required by this section through at least the applicable retention period that would have applied to those records if they had not been transferred.

(e) After the required retention period, or at any time during the retention period, the provider, or any continuing board, officers, or successor organization must seek approval from the department before destroying the records identified in this section. If the department approves the request, destruction of the records must be done in a manner approved by the department.

(f) The provisions of this section do not apply to records transferred to or maintained by the department. Notwithstanding (e) of this section, the department may request a transfer of the records described in this section to the custody of the department at any time during the retention period established under this section if the department determines that the records possess long-term retention value.

History: Eff. 7/21/2002, Register 163; am 6/24/2004, Register 170

Authority: AS 18.05.040

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