Retention/Disposition Of Health Information Management Records and Case Files

To: Agency Heads, Records Management Liaison Officers Medical Records Personnel
From: Eunice G. DiBella, Public Records Administrator
Date:  March 1, 1999

The retention/disposition schedule of health information management records and case files that are maintained by Connecticut state institutions, hospitals, outpatient facilities is revised and reformatted. Record series titles are now in alphabetical order. Each record series title has a unique item number. When completing the Records Disposal Authorization Form RC-108, please use the item number. Items numbers that are in parenthesis refer to another schedule, or location within the same schedule.

The retention requirements listed take into consideration pertinent existing and proposed provisions of the Connecticut Public Health Code, the Connecticut General Statutes, and the Code of Federal Regulations. Some of the minimum retention requirements have been extended because of the creation of the National Practitioner Data Bank and the reporting laws stipulated at 42USC 11101-11152, as amended. Agencies should also be aware of any additional federal laws or regulations which affect the retention periods cited and forward such information to the Public Records Administrator.

Please note that the retention periods specified are minimum periods. The schedule does not give an agency blanket authority to destroy records. Records may be destroyed only after the agency has received approval in the form of a "Records Disposal Authorization" (RC-108, Rev. 1/1999) signed by the Public Records Administrator. Please also note that you may not destroy records relative to pending lawsuits or discrimination complaints until these actions are litigated or resolved. As indicated on the schedule, certain items, including any items marked permanent, are subject to historical sampling by the State Archivist.

This schedule is effective upon receipt. It is important that the schedule be distributed by your office to all personnel who are responsible for the maintenance and disposition of health information/management records/case files. All individuals involved in these activities should be aware of the correct procedure for records disposition.