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April 27, 2018

How Long Should PASRR Records Be Retained?

The Code of Federal Regulations (CFR) provides no specific guidance related to retention of PASRR records, but it does make clear that retention of PASRR records is a requirement. The basis of the requirement is addressed in two areas cited a 42 CFR 483.130, PASRR Determination Criteria:

(o) Record retention. The State PASRR system must maintain records of evaluations and determinations, regardless of whether they are performed categorically or individually, in order to support its determinations and actions and to protect the appeal rights of individuals subjected to PASRR; and

(p) Tracking system. The State PASRR system must establish and maintain a tracking system for all individuals with Mental Illness (MI) or Intellectual Disability (ID) in Nursing Facilities (NF) to ensure that appeals and future reviews are performed in accordance with this subpart and Subpart E.

While no specific timeframe is given, PTAC recommends that State PASRR authorities familiarize themselves with state-specific records retention and disposition schedules. Those schedules are designed to serve as your records management guideline for storing and disposing of agency records, regardless of the media on which they reside, including paper, microfilm, diskettes, optical disks, CDs, DVDs, servers, computer hard drives, etc. This schedule may be unique to your state; however, it is common to most state government agencies.

PTAC recommends that State PASRR authorities consider the justifications for record retention, beyond those cited above. The PASRR program needs data on Level II individuals for many purposes, including but not limited to:

• Knowing where Level II residents are so the state can determine if recommended services are actually being provided
• Knowing where Level II residents are to provide the survey agency with a list of Level II residents so one can be included in the sample for a NF survey
• Knowing how to respond when a NF calls with a possible resident review required due to a significant change
• Overall quality monitoring of the program

Regardless of the time frame for record retention in your state, it is important that this information be conveyed to all vendors involved with the state’s PASRR program.

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