N.H. Admin. Code § He-P 601.12

Current through Register No. 45, November 7, 2024

Section He-P 601.12 - Documentation, Recordkeeping and Reporting

(a) Personnel records shall be maintained by the OQA for all employees.

(b) Each employee's personnel record shall include the following:

(1) The name, address, and telephone number of the employee;

(2) The employee's qualification for the position, including, as applicable, education, training, and his or her referral for hire by an individual;

(3) The employee's prior work experience and employment references;

(4) Proof of age;

(5) A copy of a valid photo identification;

(6) A completed INS Form I-9 Verification of Citizenship and Alien Status, if applicable;

(7) Copies of all required federal and state employment tax and insurance related forms;

(8) A signed verification by the employee that he or she has received a copy of the OQA's policy setting forth the rights and responsibilities of individuals served and the rights and responsibilities of the employee;

(9) A statement signed by the employee and the consumer receiving the personal care services or the consumer's representative that the employee has the skills and experience and has received orientation by the agency and training sufficient to meet the needs of the individual;

(10) A signed statement in accordance with He-P 601.11(k);

(11) A record of all training received; and

(12) Documentation of completed criminal background check pursuant to RSA 161-:6-aI and central registry check pursuant to RSA 161-F:49.

(c) The OQA shall ensure that all records are legible, current, and accurate.

(d) Personnel records shall be retained for 7 years after discharge of a personal care service worker.

(e) The OQA shall arrange for the storage and retrieval of personnel records in the event that the OQA ceases operation.

(f) Personnel records shall be maintained in a confidential manner as follows:

(1) Active and archived personnel records shall be maintained in a locked, metal container, room, or cabinet at the organization;

(2) Individual personnel records shall not contain information pertaining to other employees;

(3) Access to personnel files shall be limited as authorized by federal, state, or local law or regulations;

(4) Personnel files shall be readily available to any persons authorized to review such records including the department during any complaint investigation; and

(5) Computerized files shall be protected by access restrictions.

(g) Service records for each individual shall be maintained by the certified OQA for all services provided to individuals.

(h) Service records shall include, but not be limited to:

(1) The individual's name, address, telephone number, and date of birth;

(2) If the individual has designated a representative, the representative's name, date of birth, relationship to the individual, address, and phone number, when applicable;

(3) An emergency contact name, the contact's relationship to the individual, address and telephone number;

(4) The name of individual's case manager and his or her contact information;

(5) Medicaid and other insurance information, as applicable;

(6) A copy of the individual's person-centered plan and all updates;

(7) The names of the individual's back-up personal care service worker(s) and back-up plan;

(8) The personal care service-related training provided to each personal care service worker by the individual or his or her representative;

(9) Copies of payroll summary reports;

(10) Documentation of all assessments of the individual that are conducted by the OQA;

(11) Documentation of all communications with the individual and with the individual's case manager;

(12) Documentation of the information required in He-P 601.11(j)(2) including the implementation of safeguards in accordance with He-P 601.11(j)(2)b., if applicable;

(13) A signed acknowledgement of receipt of the individual's bill of rights signed by the individual or his or her representative;

(14) A signed acknowledgement of the individual or the representative's receipt of the manual as described in (e) above;

(15) Documentation of the personal care services provided in accordance with He-P 601.10(s); and

(16) Documentation of termination of services including:

a. The date of discharge;

b. The health and functional status of the individual at discharge;

c. Discharge planning information;

d. Any discharge referrals which have been made; and

e. Reason for discharge.

(i) Service records for each individual shall be maintained as follows:

(1) The OQA shall ensure that all individuals' service records are legible, current and accurate;

(2) Individuals' service records shall be retained for 7 years after discharge of an individual;

(3) An OQA shall arrange for storage and access as needed of individuals' service records in the event the OQA ceases operation;

(4) Individuals' service records shall be maintained in a confidential manner including the following:

a. Separate individual service records shall be maintained for each individual receiving personal care services and shall contain all information required in (h) above;

b. Service records shall be retained at the OQA;

c. Service records shall be maintained in accordance with the HIPAA;

d. An OQA shall develop and implement a policy that shall determine the method by which written release of information contained in the individual's service record shall occur;

e. All files shall be accessible only to the staff designated by the OQA director and protected by federal, state, or local law or regulation;

f. Except to the extent prohibited by the requirement in (4)e. above, each service record shall be readily available to the professional staff, health care worker, and any persons legally authorized to review such records; and

g. An OQA shall provide the individual with a copy of his or her service record upon receipt of the request from that individual;

(5) An OQA shall have a system in place and a policy and procedure for preparing and distributing billing summary reports to individuals or representatives for each billing period; and

(6) Copies of each report, specified in (5) above, shall be kept in the individual's service record;

(7) The billing summary report shall include, but not be limited to:

a. The individual's name, address and telephone number;

b. The individual's Medicaid identification number, when applicable;

c. The name of the individual's case manager and his or her telephone number;

d. The billing period;

e. The total hours per week and hours per day of personal care services rendered;

f. The total number of billing units;

g. The billing rate per hour; and

h. The total amount billed per week.

(j) The OQA shall maintain the original versions of each employee's properly executed time sheets or records demonstrating electronic documentation of the employee's time worked;

(k) The OQA shall make available to the department the individual's service records and related documents necessary for the purposes of verification of compliance with the scope, duration, and intent of the department's support plan developed for the individual.

(l) The OQA shall not engage in falsification of any documents or records related to individuals' personal care service provision and billing.

(m) Each OQA shall post the following documents in an area of the premises that is conspicuous and open to individuals and the general public:

(1) The agency's current certificate;

(2) All investigation reports issued by the department and other relevant regulatory agencies for the previous 12 months;

(3) Any notice of a pending hearing or order pertaining to the certified other qualified agency that has been issued by the department or a court during the previous 24 months;

(4) A copy of the individual's bill of rights as defined in He-P 601.03(n);

(5) A copy of the OQA's policies and procedures relative to the implementation of the individual's bill of rights and responsibilities;

(6) A copy of the OQA's complaint procedure; and

(7) A notice stating that complaints regarding the OQA may be submitted to:

Department of Health and Human Services

Bureau of Elderly and Adult Services

129 Pleasant St. Concord, NH 03301

1-800-351-1888 , ext. 7857 or (603) 271-9212.

N.H. Admin. Code § He-P 601.12

(See Revision Notes # 1 and #2 at chapter heading for He-P 600) #9898-A, eff 3-29-11

Amended by Volume XL Number 41, Filed October 8, 2020, Proposed by #13115, Effective 10/1/2020, Expires 10/1/2030