7 AAC 81.185. Transfer of records

(a) The provisions of this section apply to the records of a provider or a subcontractor that relate to a provider agreement, including the records of each recipient of service under the provider agreement, if the provider's business or organization closes or ceases to exist as a service provider under the provider agreement, or if the records must be transferred for any other reason.

(b) If a provider decides to close or cease to exist as a service provider under a provider agreement, the provider shall notify the department in writing within 48 hours of the decision. A notice under this subsection must

(1) be signed by the provider's board of directors or chief executive officer;

(2) indicate whether the provider will transfer its records to

(A) a continuing board or other officers; or

(B) the department, if no continuing board or other officers will assume the provider's responsibilities, and

(3) include a formal plan for the transfer of records that includes

(A) a description of how and when the provider will notify each recipient of service regarding where the files will be transferred, and how the recipient can continue to receive services and obtain a copy of that recipient's records; the plan for notice under this subparagraph must include those recipients for whom the provider has on file a signed release allowing the recipient's files to be transferred, and those for whom a signed release has not been obtained;

(B) a complete list of all files being transferred; and

(c) The department may require the provider to transfer its records to a successor organization selected by the department.

(d) Before transfer, the provider must

(1) box all paper records and ensure that records of minors are in separate boxes from records of adults; and

(2) contact the department for instructions regarding the most appropriate way to transfer electronic records, including the need for encryption of confidential records.

(e) Records transferred under this section are subject to 7 AAC 81.180.

(f) If records are transferred to the department, the department will, at the written request of a recipient of services, copy records to be sent to the recipient's next service provider.

History: Eff. 6/24/2004, Register 170

Authority: AS 18.05.040

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