Utah Department of Administrative Services

Division of Archives & Records Service

Southwest Behavioral Health Center (St. George, Utah)

18709--Payee accounts
13279--Activity summary sheets
13281--Client fee adjustment surname
11191--Medicaid tracking records
11193--Resident attendance log sheets
11194--Staff training attendance records
11201--Residential services client files
11202--Client program listings
11203--Statistical reports
11205--Case management client files
11207--Personnel files
11208--Audit reports
11209--Annual financial reports
11210--Accounts receivable
11211--Accounts payable
11212--Surplus property files
11216--Reading or chronological files
11217--Policy and procedure manuals
11220--Open client lists
11225--Delinquent client account notice
11226--Medicaid identification card copies
11227--Monthly billing statements
11229--Class records
11234--Phone message duplicates
11235--Annual reports
11236--Agenda
11237--Annual budget
11241--Client case files

AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 18709
TITLE: Payee accounts
DATES: 1993-
ARRANGEMENT: Alphabetical by client surname, thereunder chronological

DESCRIPTION: These records document the management of funds for clients under the case management or clubhouse programs. The Southwest Center is designated the legal payee for specified clients by the Social Security or Veterans Administrations. Services provided include the depositing of benefit checks and disbursing checks to pay vendors for client's food, housing, and other needs. These services are accomplished through regular checking and/or savings accounts established at a local credit union. The records include bank statements, copies of checks, deposit receipts, financial reports, check request forms and budget sheets.

RETENTION

Retain 4 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to Agency Record Center. Retain in Agency Record Center for 3 years and then destroy.

APPRAISAL

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 13279
TITLE: Activity summary sheets
DATES: 1990-
ARRANGEMENT: Chronological, thereunder alphabetical by employee surname
ANNUAL ACCUMULATION: 0.40 cubic feet.

DESCRIPTION: This three-part time sheet documents the specific activities of Center's staff. They are used to charge staff time to specific programs. The first sheet is the billing copy, the second is used for payroll, and the third is the staff copy. The sheets include date, staff name and code, location code, activity, program code, time, patient name and identification number, and total hours.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then destroy.

Paper copy: Retain in Office for 1 year or until administrative need ends and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative need ends expressed by the Center.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 13281
TITLE: Client fee adjustment surname
DATES: 1990-
ARRANGEMENT: Alphabetical by client surname

DESCRIPTION: These records are used to make adjustment to the computerized client billings (Series 11227). They include client's name, household number, adjustment date and amount, adjustment code, reason for the adjustment and terminal operator's initials.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year after adjustments made and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11191
TITLE: Medicaid tracking records
DATES: 1991-
ARRANGEMENT: Alphabetical by client's surname
ANNUAL ACCUMULATION: 0.40 cubic feet.

DESCRIPTION: These forms track medicaid payments for client services. They contain date, clients' names, where transferred from, Medicaid number, social security number, and rent amount.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11193
TITLE: Resident attendance log sheets
DATES: 1986-
ARRANGEMENT: Chronological
ANNUAL ACCUMULATION: 0.30 cubic feet.

DESCRIPTION: These sheets document attendance at the residential sites (e.g., Independence House, day care adult center). The resident usually signs the log and staff may initial. They are used to compile monthly statistical reports. The sheets may include date, resident's name, destination, comments, and times in and out.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 month and then destroy provided statistical report compiled.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the center.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11194
TITLE: Staff training attendance records
DATES: 1985-
ARRANGEMENT: Chronological, thereunder alphabetical by workshop title
ANNUAL ACCUMULATION: 0.20 cubic feet.

DESCRIPTION: These records document staff attendance at clinical and administrative training sessions, and staff retreats. They are used by accounts payable to pay for training received. The training certificates are filed in the personnel files. They include the registration forms and training report (staff names, dates, identification numbers, workshop titles, attendance dates, group providing training, and costs).

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11201
TITLE: Residential services client files
DATES: 1985-
ARRANGEMENT: Alphabetical by client surname
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These files document clients receiving treatment at residential facilities. They consist largely of copies of records in the Client case files (Series 11241). In addition they include progress notes, medication documentation, diagnosis information, and psychological reports.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 5 years after case closed and then destroy.

APPRAISAL

Legal

This disposition is based on the Medicare legal requirements specified in the Utah Administrative Code, R414-28 (1983). "As a condition of participation in the Medicaid program ._._._ to maintain for a minimum of five years all records necessary to document and disclose fully the extent of all services to Medicaid recipients."

PRIMARY DESIGNATION

Controlled


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11202
TITLE: Client program listings
DATES: 1985-
ARRANGEMENT: Alphabetical by program name, thereunder chronological
ANNUAL ACCUMULATION: 0.30 cubic feet.

DESCRIPTION: These client listings are computer reports used to identify clients served and program case loads. They may be generated by individual programs, program groups or for the Center as a whole. They include a listing of clients served by Center or subsection and may also include other information, such as staff providing services, type of services received, diagnoses, whether the client is Medicaid or Medicare, identification number, bed days, admittance and discharge dates, sex, birth date, income, and fee information.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until superseded and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative need expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11203
TITLE: Statistical reports
DATES: 1987-
ARRANGEMENT: Alphabetical by program name, thereunder chronological

DESCRIPTION: These monthly reports are generated by individual programs to document program participation and to determine whether it meets established goals. They are used to compile the annual report and document the success of individual programs. These reports include, but are not limited to reports listing hours provided, client's names and numbers, staff hours, and bed days.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year after annual report compiled and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the center.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Private. client names


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11205
TITLE: Case management client files
DATES: 1990-
ARRANGEMENT: Alphabetical by client surname
ANNUAL ACCUMULATION: 0.50 cubic feet.

DESCRIPTION: These case files document clients' progress and involvement with case management. Case management assists clients in solving life's problems (e.g., paying bills, transportation needs). They are maintained in addition to all other client files which may be generated by other programs within the Center. The files include copies of records from various outpatient client files including service plans, ninety day treatment review plans, referral forms, progress notes, correspondence, and case management notes detailing assistance provided.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 5 years after case closed and then destroy.

APPRAISAL

Legal

This disposition is based on the Medicare legal requirements specified in the Utah Administrative Code, R414-28 (1983). "As a condition of participation in the Medicaid program ._._._to maintain for a minimum of five years all records necessary to document and disclose fully the extent of all services to Medicaid recipients."

PRIMARY DESIGNATION

Controlled


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11207
TITLE: Personnel files
DATES: 1970-
ARRANGEMENT: Alphabetical by name

DESCRIPTION: These files are the official employment files for all county employees and usually include the original employment application, correspondence, credential files, letters of commendation, day and leave history, work performance, training certificates, and evaluation forms.

RETENTION

Retain 65 years or 3 years after retirement or death.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 65 years or until 3 years after retirement or death and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 8, Item 20.

PRIMARY DESIGNATION

Private

SECONDARY DESIGNATION

Public. 63G-2-301(1)(b)


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11208
TITLE: Audit reports
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are reports prepared by external auditors examining and verifying the county's financial activities for the year. "The audit required for any fiscal year shall be completed within six calendar months after the close of the fiscal year" (UCA 51-2-2_ (1994)). The audit is required to include "the financial statements; the auditor's opinion on the financial statements; a statement by the auditor expressing positive assurance of compliance with state fiscal laws identified by the state auditor; a copy of the auditor's letter to management that identified any material weaknesses in internal controls discovered by the auditor and other financial issues related to the expenditure of funds received from federal, state, or local governments to be considered by management; and management's response to the specific recommendations" (UCA 51-2-3(1)_(1994)).

RETENTION

Retain permanently.

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

Administrative Fiscal Historical

This disposition is based on Utah County General Records Retention Schedule, Schedule 5, Item 4.

Audit reports may be used during the next audit cycle to monitor compliance with internal control program recommendations. They document agency functions and have research value.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11209
TITLE: Annual financial reports
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are statistical reports on the financial affairs of the entire county or a specific department. These reports usually include a statement on the value of all county owned property, and an accounting of all income and expenditures in relationship to the final budget.

RETENTION

Retain permanently.

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 5, Item 3.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11210
TITLE: Accounts receivable
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These records consist of copies of accounts receivables prepared by counties to collect amounts owed by vendors, organizations, and citizens having accounts with county agencies.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 4 years and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 5, Item 2.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11211
TITLE: Accounts payable
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These records are used to pay county bills. They include copies of checks, invoices, purchase orders, and receiving reports. May also include correspondence with vendors and computer printouts.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 4 years and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 5, Item 1.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11212
TITLE: Surplus property files
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These files document the sale of surplus county property. Includes invitations, bids, acceptances, lists of materials, evidence of sales, and related correspondence.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 6 years after final payment and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 4, Item 5.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11216
TITLE: Reading or chronological files
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are duplicate copies of all or selected correspondence sent or received. They are used solely as a reading file for the convenience of office personnel.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year or until administrative need ends and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 1, Item 24.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11217
TITLE: Policy and procedure manuals
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are records documenting the formulation and adoption of policies and procedures for the function of the office or department. Includes narrative or statistical reports and related correspondence on program activities; mission statement studies regarding department or offices operations, circular letters or directives and records related to significant events in which department or office participated.

RETENTION

Retain permanently.

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 1, Item 18.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11220
TITLE: Open client lists
DATES: 1990-
ARRANGEMENT: Chronological, thereunder alphabetical by client surname
ANNUAL ACCUMULATION: 0.20 cubic feet.

DESCRIPTION: These are listings of Center clients produced at regular intervals and provided to therapists for reference purposes. They include client names, household numbers, income, therapists, and may include other information including services provided.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until superseded and then destroy.

Paper copy: Retain in Office until administrative need ends and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative need ends as expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11225
TITLE: Delinquent client account notice
DATES: 1990-
ARRANGEMENT: Alphabetical by client surname
ANNUAL ACCUMULATION: 0.10 cubic feet.

DESCRIPTION: This notice informs therapist that a client's account is past due. The therapist informs the client, adds comments to the form, and returns it to the accounting office. The notice includes client's name, therapist's name, unpaid balance, date last payment received, therapist's comments and signature.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until account paid in full and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11226
TITLE: Medicaid identification card copies
DATES: 1989-
ARRANGEMENT: Alphabetical by surname
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These are monthly copies made of clients' Medicaid cards. They are used to verify that the client is eligible to receive Medicaid benefits. The card includes the client's name, sex, birthdate, and eligibility dates.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper copy: Retain in Office until superseded and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11227
TITLE: Monthly billing statements
DATES: 1988-
ARRANGEMENT: Alphabetical by client's surname
ANNUAL ACCUMULATION: 0.20 cubic feet.

DESCRIPTION: This monthly billing is sent to clients for services provided. The Center maintains the information on-line and only prints billing adjustments. The information is constantly being updated. It includes client's name and address, services being billed for and amounts, and account balance information.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until adjustments made and then destroy.

Computer data files: Retain in Office for 4 years and then delete.

APPRAISAL

Administrative Fiscal

This disposition is based on the administrative and audit needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11229
TITLE: Class records
DATES: 1992-
ARRANGEMENT: Alphabetical by class, thereunder by student surname
ANNUAL ACCUMULATION: 0.10 cubic feet.

DESCRIPTION: These records document participation in classes taught by the Center. Classes include smoking, driving under the influence (DUI), life skills, and parenting. Attendance may be court ordered (smoking, DUI) or voluntary (life skills, parenting). These records include referral forms, cycle summaries, registration forms, correspondence, instructor's class reports, course evaluations, tobacco use data, class quizzes and tests, homework assignments, agency expectation forms, and attendance records.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 7 years and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative need expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11234
TITLE: Phone message duplicates
DATES: 1990-
ARRANGEMENT: Chronological
ANNUAL ACCUMULATION: 0.50 cubic feet.

DESCRIPTION: These are duplicate telephone messages taken by the receptionist or other staff member to notify staff of telephone calls. They include the callers name and telephone number, the message and recipient.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper copy: Retain in Office for 6 months and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the Center.

PRIMARY DESIGNATION

Private


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11235
TITLE: Annual reports
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are reports on program activities and accomplishments of the county or individual department for the previous year. They may include statistics, narrative reports, graphs, and diagrams.

RETENTION

Retain permanently.

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 1, Item 3.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11236
TITLE: Agenda
DATES: undated
ARRANGEMENT: None

DESCRIPTION: These are copies of notices of regular and special meetings of county boards and committees. They may include date, time, location of meeting, list of items to be discussed by committee members at regular, special, and emergency public meetings.

RETENTION

Retain 2 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then destroy.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 1, Item 2.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11237
TITLE: Annual budget
DATES: undated
ARRANGEMENT: None

DESCRIPTION: The budget is a "plan for financial operations for a fiscal year, embodying estimates for proposed expenditures for given purposes and the means of financing the expenditures" (UCA 17-36-3 (14) (1994). "On or before the 15th day of the last month of each fiscal year, the governing body by resolution shall adopt the budget which, subject to further amendment, shall thereafter be in effect for the next fiscal year. A copy of the final budget, and of any subsequent amendment thereof, shall be certified by the budget officer and filed with the state auditor not later than thirty days after its adoption" (UCA 17-36-15 (1994)).

RETENTION

Retain permanently.

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

This disposition is based on Utah County General Records Retention Schedule, Schedule 3, Item 1.

PRIMARY DESIGNATION

Public


AGENCY: Southwest Behavioral Health Center (St. George, Utah)

SERIES: 11241
TITLE: Client case files
DATES: 1985-
ARRANGEMENT: Alphabetical by client surname
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: These case files document the diagnosis and treatment of mental health, alcohol and drug abuse patients. The are created by clinical staff including social workers, psychiatrists, nurses, and psychologists. They may include applications for services, assessments, mental health examinations, treatment plans, medical records, progress notes, treatment reviews, income claim forms, copies of paycheck stubs, copies of medicare card, release forms, medication prescribed, copies of prescriptions issued, psychological tests and evaluations. May also contain case management documents such as ninety day reviews and service plans.

RETENTION

Retain 10 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 10 years after discharge at last episode of care or until patient is 25 years old, whichever is longer, and then destroy.

Digital Versatile Disk - Rewritable: Retain in Office for 10 years after discharge at last episode of care or until patient is 25 years old, whichever is longer, and then destroy.

Compact disc: Retain in Office for 10 years after after discharge at last episode of care or until patient is 25 years old, whichever is longer, and then destroy.

APPRAISAL

Legal

This disposition is based on the Medicare legal requirements specified in the Utah Administrative Code, R414-28 (1983). "As a condition of participation in the Medicaid program ._._._to maintain for a minimum of five years all records necessary to document and disclose fully the extent of all services to Medicaid recipients."

PRIMARY DESIGNATION

Controlled

SECONDARY DESIGNATION

Private. treatment plan, medical history, medical record, application for mental health, alcohol and client admission