Records and Information Management Program

30.10 - Records and Information Management Program (Rev. 13718; Issued: 04-10-26; Effective: 05-11-26; Implementation: 09-14-26) In accordance with the Code of Federal Regulations and 44 U.S.C. Chapter 31 § 3102 (Establishment of program of management), CMS bears the responsibility for establishing and maintaining an active, ongoing program that ensures economical and efficient management of agency records. This responsibility specifically requires CMS to implement effective controls over the creation, maintenance, use, and disposition of records throughout current business operations, while ensuring adequate and proper documentation of contractor administration and operations. Additionally, each contractor shall establish and maintain their own active and continuous program for economic and efficient records management as specified in §30 of this manual. The program shall include, but is not limited to: • Effective controls over the creation, maintenance, and use of records in the conduct of current business. • In accordance with 44 U.S.C. § 3102 and 36 CFR § 1220.34, establish comprehensive controls over record lifecycle management throughout business operations • Implement standardized procedures for record creation, classification, and ongoing maintenance in accordance with NARA regulations at 36 CFR Chapter XII Subchapter B • Ensure proper documentation of contractor administration and operational activities in accordance with the Federal Records Act (44 U.S.C. 21, 29, 31, and 33) • Procedures for identifying records of general interest or use to the public that are appropriate for public disclosure, and for posting such records in a publicly accessible electronic format. • In accordance with 5 CFR § 552 (Freedom of Information Act) requirements and Executive Order 13392 on improving agency disclosure of information, develop systematic procedures for identifying records suitable for public disclosure • In accordance with 5 U.S.C. § 552(a)(2) and open government transparency mandates, establish protocols for posting such records in publicly accessible electronic formats • Maintain balance between transparency obligations and protection of sensitive information as defined by FOIA exemptions in accordance with 5 U.S.C. § 552(b) • Cooperation with CMS in applying standards, procedures, and techniques designed to improve the management of records and information, promote the maintenance and security of records deemed appropriate for preservation, and facilitate the segregation and disposal of records of temporary value; and • In accordance with 44 U.S.C. § 2904 and 36 CFR § 1220.18, provide full cooperation with CMS in implementing records management standards and procedures • In accordance with 36 CFR § 1236.10, actively promote maintenance and security of records designated for preservation • In accordance with NARA-approved disposition schedules and 36 CFR § 1226, facilitate proper segregation and disposal of temporary records according to approved retention schedules • Compliance with sections § 30.10 – 30.100 of this manual. • In accordance with the Federal Records Act (44 U.S.C. § 21, 29, 31, and 33), ensure complete adherence to all provisions outlined in sections § 30.10 – 30.100 of this manual. • In accordance with NARA regulations outlined in 36 CFR Chapter XII Subchapter B, maintain compliance with federal records management laws • In accordance with the Privacy Act of 1974 (5 U.S.C. § 552a) and 5 CFR § 552 (FOIA requirements), integrate compliance requirements into all records management processes to support open government transparency initiatives These requirements align with the comprehensive records management framework established by NARA and support CMS's responsibility for developing effective Records and Information Management (RIM) programs under the health insurance program, while ensuring full compliance with federal disclosure requirements and open transparency standards. Records identified by CMS as pertaining to current or potential investigations, litigation, or administrative actions, whether by the Office of Inspector General (OIG), Department of Justice (DOJ), or any other relevant federal body, may not be destroyed or altered in accordance with the Federal Records Act (44 U.S.C. Chapter 31) and applicable litigation hold requirements under Federal Rule of Civil Procedure 37(e). This includes but is not limited to: records related to ongoing Workers' Compensation claims, Medicare Secondary Payer (MSP) set-aside arrangements, or those suspected of fraud, waste, abuse, or overutilization of services. These records shall be retained in accordance with litigation hold requirements and shall not be disposed of without explicit, written authorization from CMS, as failure to preserve relevant records may result in sanctions under Federal Rules of Civil Procedure Rule 37(e) and potential additional penalties under 18 U.S.C. § 1519 (obstruction of justice through destruction of records in federal investigations). Contractors shall ensure compliance with applicable federal records management requirements, including electronic records standards, metadata integrity, secure storage, access controls, and CMS-specific retention schedules and disposition authorities.