Cal. Code Regs. Tit. 17, § 50604 - Service Provider Record Maintenance Requirements
(a) Service providers shall maintain
financial records which consistently use a single method of accounting. These
financial records shall clearly reflect the nature and amounts of all costs and
all income. All transactions for each month shall be entered into the financial
records within 30 days after the end of that month.
(b) Subsection (a) shall apply to residential
facilities for the purposes described in subsection (c), day programs,
transportation companies, and other non-medical service providers which provide
ongoing services to regional center consumers on a regular basis each month,
except that the following service providers shall be exempt:
(1) Residential facilities in which regional
center consumers represent less than ten percent of the total consumers served
by the facility during the last 12 month period.
(2) Residential facilities in which regional
center consumers represent more than ten percent of the total consumers served
by the facility; however, no Departmental funds are received for the care and
services provided to those consumers.
(c) Subsection (a) shall apply to residential
facilities not exempted pursuant to subsections (b)(1) and (2) only for the
following purposes:
(1) To facilitate
residential cost studies performed by the Department or authorized agency
representative;
(2) To ensure that
staffing schedules in conformance with staffing level requirements, if any, are
supported by payroll records and source documents;
(3) To ensure that revenue and cost
information are available to support administrative overhead allocations of
parent organizations, if applicable; and
(4) To ensure that revenue and cost
information are available to support intercompany transactions with affiliate
or commonly-owned organizations, if applicable.
(d) All service providers shall maintain
complete service records to support all billing/invoicing for each regional
center consumer in the program. This requirement may be satisfied by retaining
an electronic record of the information in the record, if the record reflects
accurately the information set forth in the record at the time it was first
generated in its final form as an electronic record or otherwise, and the
electronic record remains accessible for later reference. Service records used
to support service providers' billing/invoicing shall include, but not be
limited to:
(1) Information identifying each
regional center consumer including the Unique Consumer Identifier and consumer
name;
(2) Documentation for each
consumer reflecting the dates for program entrance and exit, if applicable, as
authorized by a regional center.
(3) A record of services provided to each
consumer. The record shall include:
(A) For
the purchase of medical equipment and/or supplies, and/or other merchandise,
the date of the purchase, name of the entity/individual from whom the
equipment, supplies, and/or merchandise is purchased, the item(s) purchased,
and the cost of each item; or
(B)
For transportation services, the dates of service, city or county where service
was provided, and the number of miles driven or trips provided; or
(C) For community-based day programs, the
dates of service, place where service was provided, the start and end times of
service provided to the consumer, and the daily or hourly units of service
provided. For community-based day program services provided solely in natural
environments, the city and county where service was provided shall be reported
as the place where service was provided. For community-based day programs whose
services are provided at the facility only or at both the facility and in the
community, the street address of the facility shall be reported as the place
where service was provided; or
(D)
For all other services, the date, the start and end times of service provided
to the consumer, street address where service was provided, and daily or hourly
units of service provided.
(E) For
goods and/or services purchased utilizing a voucher or Participant-Directed
Services, as described in California Code of Regulations, Title 17, Section
58884(a)(1), in
addition to the information specified above, the name of the actual provider of
the goods and/or services. For services provided by an individual selected by
the consumer or family member, the date of birth, social security number (or a
copy of any document accepted by the federal government which establishes
identity and employment eligibility which has been compared to the original by
the vendored family member and declared under penalty of perjury to be a true
and correct copy), address, and telephone number of the individual who actually
provided the service must also be maintained.
(F) For contracts reimbursed based on units
of service other than as specified above, units of service shall also be
maintained pursuant to (A), (B), (C), or (D) above, as
applicable.
(e)
All service providers' records shall be supported by source
documentation.
(f) Nothing
specified in this section shall be construed as superseding other record
maintenance requirements set forth in statute or regulation.
Notes
2. Change without regulatory effect amending subsections (b)-(b)(2) and (d)-(d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of NOTE filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of NOTE refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of NOTE refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (d)(3)(D) filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(3)(B), new subsection (d)(3)(C), subsection relettering and amendment of newly designated subsections (d)(3)(D) and (F), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
8. Refiling of 8-27-2004 order, including incorporation of relettering of subsection (d)(3)(D) to (d)(3)(E) in intervening action, 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-22-2004 order, including futher amendment of subsection (d)(3)(E), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
10. Amendment of subsection (d)(3)(E) and NOTE filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (d) and NOTE filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
12. Certificate of Compliance as to 8-29-2011 order transmitted to OAL 1-25-2013 and filed 3-11-2013 (Register 2013, No. 11).
Note: Authority cited: Sections 4631(a)(2) and 4648.12(c)(1)(B), Welfare and Institutions Code. Reference: Sections 4631, 4641.5, 4648.1 and 4648.12(c), Welfare and Institutions Code.
2. Change without regulatory effect amending subsections (b)-(b)(2) and (d)-(d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (d)(3)(D) filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(3)(B), new subsection (d)(3)(C), subsection relettering and amendment of newly designated subsections (d)(3)(D) and (F), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
8. Refiling of 8-27-2004 order, including incorporation of relettering of subsection (d)(3)(D) to (d)(3)(E) in intervening action, 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-22-2004 order, including futher amendment of subsection (d)(3)(E), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
10. Amendment of subsection (d)(3)(E) and Note filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (d) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
12. Certificate of Compliance as to 8-29-2011 order transmitted to OAL 1-25-2013 and filed 3-11-2013 (Register 2013, No. 11).
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