CMS Record Control Schedule

30.20.2 - CMS Record Control Schedule (Rev. 13718; Issued: 04-10-26; Effective: 05-11-26; Implementation: 09-14-26) Effective 2017, CMS adopted a Bucket approach to records scheduling and disposition. These records schedules identify the records accumulated by the contractor in administering the Medicare program and outline the disposal schedule for each type of record. The approved schedule provides disposition authority and instructions for program records and administrative records not covered by the GRS. According to the disposition authority schedule for temporary records, there are conditions when records are maintained for a longer period of time. See section 30.60 ” Litigation Holds”. BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Bucke t 2 Administr ative Managem ent DAA- 0440- 2015- 0002- 0002 Non- substanti ve records that support leadershi p and/or general administr ation of all CMS programs . Includes backgrou nd files related to records in other buckets as well as records of leadershi p positions below the Administr ator and other principals . Medicare Beneficiary Correspondenc e Tempora ry 3 Cutoff at the end of the calendar year. Destroy no sooner than 3 years after cutoff but longer retention is authorize d. BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Bucke t 3 Financial Records (Program matic) DAA- 0440- 2015- 0004- 0001 Financial Records (non- GRS), regardles s of CMS Program. Includes Medicare Part A, Part B, Part C, and Part D; Medicaid; CHIP; Affordabl e Health Care Act. A/B MAC (A) or HHH MAC FI Billing Records; A/B MAC (B) or DME MAC Carrier Billing Records; Medicare Benefit Check Records ; Reconsideratio n and Hearing Case Files - Hospital Insurance Program (Medicare Appeals) ; Review and Fair Hearing Case Files - Supplementar y Medical Insurance Program (Medicare Appeals) ; MAC Administrative Budget Estimate and Cost Report Form); Budget request, supplemental budget request, notice Tempora ry 7 Cutoff at the end of the calendar year. Destroy no sooner than 7 year{s) after cutoff but longer retention is authorize d BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS of budget approval, interim expenditure report; Supplemental Budget Request; Notice of Budget Approval – The carrier/interm ediary’s certified funding authority for the fiscal year. Include all supporting schedules, correspondenc e and justification; Interim Expenditure Report – Cumulative fiscal year to date expenditures incurred by the carrier/interm ediary. Include all supporting schedules, correspondenc BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS e and justifications.; Final Administrative Cost Proposal – The final statement of expenditures for the fiscal year. This form is used as the basis for final settlement of allowable costs. Include all supporting schedules, correspondenc e, HHS or GAO audit reports on administrative cost and benefits payments; MAC Letter of Credit Files ); A/B MAC (A) or HHH MAC Payment Vouchers and Transmittal Files); A/B MAC (B) or DME MAC Payment Vouchers and Transmittal BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Files); A/B MAC (A) or HHH MAC Monthly Financial Report Files); A/B MAC (B) or DME MAC Performance Report Files); A/B MAC (A) or HHH MAC Workload Reports Files); A/B MAC (B) or DME MAC Overpayment and Duplicate Charge Detection Activity Report Files); A/B MAC (A) or HHH MAC Cost Report Files); MAC Closing Agreements); Medicare Data Match Files); Provider Statistical and Reimbursemen t (PS&R) ); A/B MAC (B) or DME MAC Claims Processing File BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Bucke t 4 Enrollmen t Records DAA- 0440- 2015- 0006- 0001 Enrollme nt Records for all CMS Programs . Includes Medicare Part A, Part B, Part C, and Part D; Medicaid; CHIP; Affordabl e Health Care Act. Initial Enrollment Questionnaire Tempora ry 7 Cutoff at the end of the calendar year. Destroy no sooner than 7 year{s) after cutoff but longer retention is authorize d Bucke t 5 Beneficiar y Records DAA- 0440- 2015- 0007- 0001 Records that facilitate the manage ment of beneficiar ies (those eligible for all CMS programs ) Medicare Summary Notices (MSNs) Tempora ry 10 Cutoff at the end of the calendar year. Retention Period Destroy no sooner than 10 year(s) after cutoff, but longer retention is authorize d BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Bucke t 6 Provider and Health Plan Records DAA- 0440- 2015- 0008- 0001 Records related to health care providers affiliated with CMS programs . Records related to health care providers affiliated with CMS systems and programs . Includes provider applicatio ns and certificati ons; health plan records; program review and audit records; hearing files; and administr ative records. Ambulance Supplier Certification Files ; Requests for Assistance from District Offices (DOs) Tempora ry 7 Cutoff at the end of the calendar year. Retention Period Destroy no sooner than 7 year{s) after cutoff but longer retention is authorize d, BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Bucke t 9 Complianc e and Integrity DAA- 0440- 2015- 0012- 0001 Records that support complian ce and integrity activities and functions, regardles s of CMS Program, including plans, agreeme nts; administr ative records, records related to surveys, reviews, and audits; reports; and legal records related to complian ce and integrity operation s. Contract Performance Review Visit Files Tempora ry 7 Cutoff at the end of the calendar year. Retention Period Destroy no sooner than 7 year{s) after cutoff but longer retention is authorize d BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Gener al Recor ds Sched ule (GRS 1.1) / GRS 1.1, ITEM 11 Financial Managem ent and Reporting Records DAA- GRS- 2013- 0003- 0002 This schedule covers records created by Federal agencies in carrying out the work of financial manage ment: procuring goods and services, paying bills, collecting debts, accountin g for all financial transacti ons, and monitorin g agencies' net worth. It does not apply to copies of records forwarde Procuring goods and services is the acquisition of physical goods, products, personal property, 011 capital assets, infrastructure services such as utilities, and contracted personnel services to be used by the Federal Government. Paying bills means disbursements of federal funds for goods and services and fulfilling financial obligations to grant and cooperative agreement recipients. Procurement and payment records include those such as: contracts Tempora ry 1 Destroy when business use ceases. BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS d to the Departm ent of Treasury or the Office of Manage ment and Budget in fulfillmen t of reporting requirem ents. These forwarde d copies serve unique business purposes at those agencies and are therefore scheduled separatel y as records of 0MB and Treasury requisitions purchase orders interagency agreements Military Interdepartme ntal Purchase Requests (MIPRs) printing requisitions to the Government Printing Office memoranda of agreement specifying a financial obligation solicitations/re quests for bids, quotations or proposals for contracts and competitive grants proposals, quotations, bids (accepted, rejected, unopened) for contracts and competitive grants contingent fee justifications legal and BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS financial instruments such as bond and surety records FAIR Act (A-76) records linked directly to specific procurement actions credit card/purchase card/charge card statements and supporting documentatio n vendor tax exemption records invoices leases recurring financial transactions such as utility and communicatio ns invoices documentatio n of contractual administrative requirements submitted by contractors such as status reports BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS Correspondenc e and papers pertaining to award, administration , receipt, inspection of and payment for goods and services in this list records of financing employee relocations BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS GRS 5.2: Item 020 Intermedi ary Records DAA- GRS- 2022- 0009- 0002 Intermedi ary records. Records that meet the following condition s: They exist for the sole purpose of creating a subseque nt record and they are not required to meet legal or fiscal obligatio ns, or to initiate, sustain, evaluate, or provide evidence of decision- making. This includes certain analog raw data used to create final print files; Medicare summary notices, standard paper remittance advices Tempora ry 1 Destroy upon creation or update of the final record, or when no longer needed for business use, whicheve r is later. BUCK ET / GRS RECORD SCHEDULE NAME DISPOSI TION AUTHOR ITY NUMBE R DESCRIPT ION RECORD NAME/TYPE FINAL DISPOSI TION RETENT ION YEARS DISPOSITI ON INSTRUCT IONS and electronic source records for electronic systems that are not otherwise excluded.