Records and Information Management Requirements and Responsibilities

30 - Records and Information Management Requirements and Responsibilities (Rev. 13718; Issued: 04-10-26; Effective: 05-11-26; Implementation: 09-14-26) CMS operates under the comprehensive records management framework established by the National Archives and Records Administration (NARA). This framework includes compliance with, but not limited to, The Federal Records Act (44 U.S.C. 21, 29, 31, and 33); NARA regulations outlined in 36 Code of Federal Regulations (CFR) Chapter XII Subchapter B; Privacy Act of 1974 safeguarding policies (5 U.S.C. 552a) for protecting Federal records. Under the health insurance program, CMS bears the responsibility for developing and implementing comprehensive standards for records and information management (RIM) programs. This responsibility specifically includes key requirements to establish effective controls over record creation processes, ensure records contain adequate and proper documentation of contractor administration and operations, and to mandate that each contractor establish and maintain an active RIM program. Program Objectives: The RIM program shall provide economical and efficient management of records as specified in §30.10 of this manual, ensuring both compliance with federal standards and operational effectiveness. Federal record means “…all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.” (See 44 U.S.C. §3301). (1) The term Federal record— (i) Includes HHS/CMS records. (ii) Does not include personal materials. (iii) Applies to records created, received, or maintained on behalf of HHS/CMS by contractors pursuant to their contract; and (iv) May include deliverables and documentation associated with deliverables. (2) Recorded information means all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form. (See 44 U.S.C. 3301). (3) Personal materials mean documentary materials belonging to an individual that are not used to conduct agency business. Personal files are excluded from the definition of Federal records and are not owned by the Government. (See 36 CFR 1220.18).