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Office of Mental Health

Home and Community Based Services Waiver
Guidance Document
Division of Children and Families


Record Retention Requirements



All OMH Children’s SED HCBS Waiver Providers are required to retain participant records in accordance with all applicable State and Federal Laws and Regulations.

Pursuant to Title 18 of New York Code, Rules and Regulations-18NYCRR 517.3 and per 18NYCRR 361.12, records must be kept by the provider for a period of six years from the date the care, services or supplies were furnished or billed or whichever is later. Records of minor participant must be retained for at least six years, and until one year after the minor participant reaches the age of 21 years.

The entire case record must be maintained including:

The records must be maintained by the appropriate agency and must be readily retrievable if requested by the Federal Center for Medicare and Medicaid Services (CMS), The Office of Mental Health (OMH), The Department of Health (DOH) or The Office of the Medicaid Inspector General (OMIG).