New York Codes, Rules and Regulations
Title 10 - DEPARTMENT OF HEALTH
Chapter V - Medical Facilities
Subchapter C - State Hospital Code
Article 7 - Certified Home Health Agencies and Licensed Home Care Services Agencies
Part 766 - Licensed Home Care Services Agencies-minimum Standards
Section 766.12 - Records and reports
Universal Citation: 10 NY Comp Codes Rules and Regs ยง 766.12
Current through Register Vol. 46, No. 12, March 20, 2024
(a) The governing authority or operator shall ensure the prompt submission of all records and reports required by the department and that:
(1) copies of the following records are
retained on file at the principal administrative office in New York State of the
home care services agency and available to the department upon request:
(i) the license issued by the department to
operate as a home care service agency;
(ii) the certificate of incorporation and any
amendments thereto, if applicable;
(iii) partnership agreement, if
applicable;
(iv) certificate of doing
business under an assumed name, if applicable;
(v) contracts and other agreements related to
delivery of patient care entered into by the operator;
(vi) rules and bylaws of the governing
authority and quality assurance committees, if applicable;
(vii) current written operating policies and
procedures;
(viii) a current patient
roster; and
(ix) listing of all
personnel;
(2) copies of
the following records are retained on file at each branch office of the home care
services agency:
(i) the agency's policies and
procedures;
(ii) a listing of all of
the branch office's personnel; and
(iii) a current patient roster of all patients
receiving care from the branch office and a copy of the patient care record of
each such patient;
(3) at
a minimum, the following reports and records are retained by the home care
services agency and available to the department upon request:
(i) minutes of the meetings of the governing
authority and the committees thereof which shall be retained for three years from
the date of the meeting;
(ii) records
of all financial transactions directly related to delivery of patient care which
shall be retained three years from the date of the transaction;
(iii) personnel records, which shall be
retained three years from the date of employee termination or
resignation;
(iv) records of
grievances and complaints which shall be retained for three years from the date
of resolution;
(v) all records
related to patient care and services; and
(vi) any other records required to be kept by
this Part or Part 765 of this Title.
(b) All records required by subdivision (a) of this section to be retained shall be maintained in hard copy or electronic form. If electronic storage is maintained, such records shall:
(1) be secure from unwarranted
access;
(2) have confidentially
protected, when appropriate; and
(3)
be immediately available to the agency and the department in hard copy format
upon request.
(c) The home care services agency shall furnish annually to the department a copy of:
(1) statistical summaries of all health care
services, including the type, frequency and reimbursement for services provided,
including reimbursement from Federal and State governmental agencies, on forms
provided by the department;
(2) if a
for-profit corporation, a list of the principal stockholders and the number and
percent of the total issued and outstanding shares of the corporation held by
each, duly certified by the secretary of the corporation as to completeness and
accuracy;
(3) if a not-for-profit
corporation, a list of directors, officers and corporate members, if such members
number 10 or fewer; and
(4) other
such records and reports as may be legally required by the department.
(d) The agency shall furnish simultaneously to the department copies of all notices and documents required to be filed with the Securities and Exchange Commission.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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