Current through Register Vol. 46, No. 39, September 25, 2024
(a) The
operator must collect and maintain such information, records or reports as
determined by the department to be necessary.
(b) The department may examine the books and
records of any enriched housing program to determine the accuracy of the annual
financial statement, or for any other reason deemed appropriate by the
department to effectuate the purposes of this Title. The Justice Center shall
have access to any enriched housing program in which a resident who received
mental health services as described in section
488.7(b)(8)(iv),
(9)(ii), and (10) of this Part, and
information, reports or records in such enriched housing program's possession
as needed to carry out the functions, powers and duties of the Justice Center,
and shall have such access related to the investigation of deaths concerning
patients of mental hygiene facilities who resided at such enriched housing
program at the time of their death or were former residents of such enriched
housing programs, and for which the Justice Center determines that such
information, report or record is necessary for the completion of its
investigation. The department and the Justice Center shall, when required by
law, or when so directed by the department or the Justice Center and except as
otherwise prohibited by law, be permitted to share information obtained in
their respective investigations of incidents.
(c)
Resident records.
(1) The operator must maintain complete,
accurate and current records for each resident which must be available for
review and inspection by department staff or designees.
(2) Records must be maintained in a manner
which assures resident privacy and accessibility to staff to use in the
provision of routine and emergency services.
(3) The operator must maintain:
(i) financial records for each resident which
contain at a minimum a copy of the current admission agreement, documentation
of the status of the resident's payment account and personal fund account and a
current inventory of any personal property held in custody for the resident by
the operator;
(ii) personal records
for each resident which contain at a minimum personal data, including
identification of the resident's next of kin, family or resident's
representative, the name and address of the person or persons to be contacted
in the event of an emergency; copies of the resident's medical evaluations and
other medical information; summaries of the social evaluations; copies of the
initial and annual functional assessments; and details of referral and such
other correspondence and papers as are available to document the physical,
mental and social status of the resident; and
(iii) records which are readily available to
food services staff and enable staff to plan for and accommodate prescribed
dietary regimens, allergies and individual food preferences.
(4) In situations where residents
of an enriched housing program have individual leases for their respective
apartments, the operator must review these leases at least annually to ensure
that all such leases are adhered to and renewed.
(d)
Program records.
(1) The operator must maintain complete,
accurate and current records which document operation and maintenance of the
enriched housing program in accordance with applicable law and
regulation.
(2) Records must be
maintained at the enriched housing program site unless written authorization is
given by the department for record retention at another location. All records
must be available for review and inspection by department staff and
designees.
(3) Records must be
maintained in a manner which assures the individual resident's right to
confidentiality and privacy.
(4) At
a minimum, the operator must maintain:
(i)
individual resident records as required in subdivision (c) of this
section;
(ii) resident records
required elsewhere in these regulations including incident reports;
(iii) a chronological admission and discharge
register consisting of a listing of residents registered in and discharged from
such enriched housing program by name, age, sex, and place from or to which the
resident is registered or discharged;
(iv) program records, including a policies
and procedures manual, activities schedules, agreements with external service
providers, emergency plans and records of evacuation drills;
(v) food service records, including menus and
food purchase records;
(vi) records
of maintenance or documentation of efforts to ensure maintenance of the
physical plant and environmental standards;
(vii) staff records, including personnel
procedures, job descriptions, staffing schedules and payment records;
(viii) certificates or reports issued by
local and other state jurisdictions related to the enriched housing program
operations, on file and readily accessible for department review, or posted, if
required; and
(ix) a valid current
agreement with a building manager, if the enriched housing operator does not
own or control the building in which the enriched housing program is located,
which is in accordance with section
485.6(d)(13)
of this Title.
(e)
Program reports.
(1) Annual financial statement.
(i) The operator of an enriched housing
program must file an annual financial statement on an approved form with the
department on or before the 15th day of the sixth calendar month after the
close of its fiscal year. Such statement must clearly set forth all financial
information pertaining to the operation of such enriched housing program in
accordance with generally accepted accounting principles, including but not
limited to revenues and expenses by categories during such fiscal year,
together with such other information as may be required by the
department.
(ii) The operator of an
enriched housing program which submits a charitable organization annual report
to the Secretary of State or a residential health care facilities annual report
to the Department of Health may submit copies of those reports, together with
such other data as may be necessary to satisfy the requirement in subparagraph
(i) of this paragraph.
(iii) An
operator must maintain and make available all such books and records as may be
required by the department to determine the accuracy of any and all information
contained in the financial statement filed by the operator.
(2) Financial statements must be
filed by the operator as requested by the department.
(3) Apartment records.
The operator of an enriched housing program must notify the
department, using Form DSS-934, of any change in apartments occupied by program
residents in a multiple apartment building at least 15 days before such change
is expected.
(4) Quarterly
reports.
The operator must submit a quarterly statistical
information report to the department which must:
(i) identify the quarter being reported
on;
(ii) contain a census report;
and
(iii) contain the number of
resident deaths which occurred during the quarter being reported on.
(f)
Mandated
forms.
(1) The department mandates
utilization of the following forms for enriched housing programs:
(i) a Personal Data Sheet
(DSS-2949);
(ii) an Incident Report
(DSS-3123);
(iii) a Medical
Evaluation (DSS-3122);
(iv) an
Inventory of Resident Property (DSS-3027);
(v) a Notice of Change (DSS-934);
and
(vi) a Chronological Admission
and Discharge Register (DSS-3026).
(2) The following personal allowance account
forms must be used unless prior written authorization for substitutions has
been given by the department:
(i) a Statement
of Offering (DSS-2853);
(ii) a
Personal Allowance Summary (DSS-2855); and
(iii) a Personal Allowance Ledger
(DSS-2854).
(g) The operator must post the following
documents:
(1) the operating
certificate;
(2) the inspection
report for the most recent or summary inspection, with any related follow-up
inspections;
(3) the statement of
rights of residents;
(4) the
current week's menus;
(5) the
current month's activity schedule;
(6) the program's evacuation procedures;
and
(7) the access schedule for
personal needs accounts.
(h)
Records retention.
(1) Records required by the department,
except financial records of the previous operator, must be retained by the
enriched housing program upon change of operator.
(2) Records relating to an individual must be
retained for three years after the death or discharge of a resident.
(3) Program records, business records and
records relating to application or renewal for an operating certificate must be
retained for seven years.
(i) Except as otherwise prohibited by law,
the operator of a facility, as defined in section 488 (4) of the Social
Services Law and not otherwise subject to article six of the Public Officers
Law shall make records available for public inspection and copying to the
extent required by subdivision six of section 490 of the Social Services Law and
regulations of the Justice Center.
