Storage and Transfer of Records

(1) Authority. Under M.G.L. c. 19B, § 15(b), each provider licensed or certified by the Department shall maintain and make available to the Department such statistical and diagnostic data as may be required by the Department. Under M.G.L. c. 123B, § 17, the Department is directed to keep records concerning persons served by providers and facilities under its supervision. 115 CMR 4.07 is promulgated pursuant to this authority. (2) Maintenance of Individual Records. Providers of services operated, licensed, certified, or contracted by the Department shall maintain records concerning the individuals they serve for the periods stated in the Department's official retention and disposal schedule. Providers shall make the records available to the Department for archiving in accordance with such retention and disposal schedule. All individual records held by any provider subject to Department regulation shall be the property of the Department. (3) Transfer of Records. (a) If an individual will no longer be served by a facility, that facility shall deliver the last three years of the individual's record to the provider that will be serving the individual in the facility's place, if any. The facility shall then maintain the remainder of the individual's records in accordance with the Department's record retention and disposal schedule. (b) If an individual will no longer be served by a provider that is not a facility, that provider shall make the individual's records available to the Department, who shalldeliver the last three years of the individual's record to the provider that will be serving the individual in place of the former provider, if any. The Department shall then maintain the remainder of the records in accordance with its retention and disposal schedule. (c) If an individual will no longer be served by a particular provider, but no provider will be providing a similar service to the individual, then: 1. if the former provider is a facility or other Department-operated service or support, it shall maintain or archive the individual's records as directed by the facility director or area office director, as appropriate. 2. if the former provider is or was licensed, certified, or contracted by the Department, it shall make the individual's records available to the Department and the Department shall maintain or archive the records in accordance with its retention and disposal schedule; (4) Microfilmed Records. Any provider may put an individual's records on microfilm provided that such records are easily accessible and can be readily provided to the Department and to the individual upon request. NON-TEXT PAGE