Tenn. Comp. R. & Regs. 0720-46-.04 - [Effective until 5/5/2024] MINIMUM REQUIREMENTS AND RECORD RETENTION
(1)
Corporate Documents. An agency shall retain current and legible copies and have
immediately available during the agency's regular operating hours:
(a) The articles and bylaws for the
registrant entity;
(b) Copies of
records required by the United States Internal Revenue Service to be prepared
by the agency for each direct care staff employee or independent
contractor;
(c) Records documenting
the work performed by each direct care staff including date of personnel
referral by the agency and the dates and locations of each personnel placement.
Copies of time records or invoices identifying the services provided are
acceptable documentation for this requirement; and
(d) Evidence of current worker's compensation
coverage as required by T.C.A §
50-6-406.
(2) Direct Care Staff Records. An agency
shall have immediately available during the agency's regular operating hours an
individual file for each direct care staff. Each individual file shall contain
current copies of the following information:
(a) The person's name and address, Social
Security number, and date of birth;
(b) A copy and verification of the current
license or certification, when licensure or certification is applicable for a
particular job;
(c) Documentation
to verify each person's employment eligibility in compliance with the
immigration laws of the United States;
(d) Documentation of each personnel's
employment history;
(e) Health and
medical records sufficient to document adequate medical screenings have been
performed of each employee to exclude communicable diseases, and to ensure
required immunizations have been received;
(f) Accurate information as to the education,
training, experience and personnel background of the employee, including
documentation that references were verified;
(g) Documentation that each direct care staff
contracted with or employed by the agency meets all licensing, certification,
training, and continuing education standards for the position in which the
direct care staff will be working. Each direct care staff shall comply with any
federal, state, or local requirements;
(h) Documentation the agency has, for any
direct care staff assigned by the agency to provide services to a healthcare
facility, determined that the individual is not currently nor has ever been
included on the U.S. Department of Health and Human Services' Office of
Inspector General's List of Excluded Individuals/Entities (located at
https://www.oig.hhs.gov) or the
System for Award Management's Exclusion List (located at
https://www.sam.gov);
(i) Documentation the agency has conducted
any name and/or registry checks required by federal or Tennessee law,
including, but not limited to, the abuse and sex offender registry checks
required by T.C.A.§
68-11-271 and T.C.A.§
68-11-1004; and verified that any
individual assigned by the agency to provide services is not listed on any such
registry; and
(j) The agency must
send copies of direct care staff records required by this rule to any
healthcare facility with which it contracts or refers direct care staff, upon
the request of that healthcare facility.
(3) Healthcare Facility Specific
Requirements. If the healthcare facility to which the direct care staff has
been assigned by the agency requires additional requirements or screening of
its facility employees, the agency must perform such screenings of the direct
care staff before referral by the agency. The agency shall maintain evidence
that it has completed any such screenings of its direct care staff referred to
the applicable healthcare facility.
(4) Direct Care Staff Agreements. The agency
must retain current and legible copies of any written employment contracts or
other agreements entered into between the agency and each direct care staff.
These copies must be immediately available during the agency's regular
operating hours.
(a) Any such contract or
agreement shall specifically and clearly advise if the direct care staff is an
employee of the agency or is an independent contractor referred by the
agency.
(b) If the direct care
staff is retained as an independent contractor, the contract or agreement shall
specifically state that the independent contractor is responsible for paying
federal income taxes.
(c) Prior to
placement in a health care facility, the agency shall provide a document to
each direct care staff, for his or her signature, which states that the
individual understands his or her relationship with the agency, either as an
employee or independent contractor. The signed acknowledgement shall be filed
in each direct care staff's file.
(5) Healthcare Facility Agreements. Current
and legible copies of contracts, if any, between an agency and a health care
facility setting forth terms and conditions under which the agency will provide
specific health services staff to the facility must be retained by the agency
and be immediately available during the agency's regular operating hours. Such
contracts shall state whether the staff provided by the agency are referred as
employees of the agency or as independent contractors.
(6) Record Retention and Availability. Each
agency shall retain legible copies of the records and reports required by this
rule for five (5) years. The agency shall make such records and reports
immediately available to the Commission upon request.
(7) Response to Investigations. Each agency
shall provide any records in its possession, unless otherwise privileged, that
are pertinent to an investigation conducted by any of the following:
(a) A representative of adult protective
services actively involved in the conduct of an investigation pursuant to title
71, chapter 6;
(b) The department
of health or its representatives, designees, or employees under T.C.A. §
63-1-117, in the same manner that
a healthcare provider must make records available;
(c) The Commission, if related to a violation
of these rules or any law or regulation of the board for licensing healthcare
facilities relating to a healthcare facility with which the agency
contracts;
(d) Any law enforcement
agency conducting a criminal investigation of the agency, staff, or
contractors, including, but not limited to, the Medicaid Fraud Control Unit;
and
(e) Such records must be
provided within five (5) business days, unless required to be provided in a
shorter period by court order, law, or regulation.
(8) No Retaliation for Complaints. No agency
shall retaliate against or, in any manner, discriminate against any person
because of a complaint made in good faith and without malice to the Commission,
the Tennessee Department of Health (TDH), the Department of Human Services
Adult Protective Services, the long-term care ombudsman, or any government
agency. An agency shall neither retaliate, nor discriminate, because of
information lawfully provided to these authorities, because of a person's
cooperation with them, or because a person is subpoenaed to testify at a
hearing involving one of these authorities.
Notes
Authority: T.C.A. §§ 68-11-2202 and 68-11-2205.
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