New York Codes, Rules and Regulations
Title 18 - DEPARTMENT OF SOCIAL SERVICES
Chapter II - Regulations of the Department of Social Services
Subchapter D - Adult-Care Facilities
Part 490 - Standards For Residences For Adults
Section 490.10 - Records and reports

(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 and sponsor; the name and address of the person or persons to be contacted in the event of an emergency; copies of the residents' medical and mental health evaluations, the screening and assessments, the individual service plans, schedules and records of paid or volunteer work, if any, and such other correspondence and papers as are available to document the physical and mental status and socialization skills of the resident; and

(iii) records which are readily available to food service staff to enable staff to plan for and accommodate prescribed dietary regimens, allergies and individual food preferences.

(i) the individual resident records referred to in subdivision (c) of this section;

(ii) resident records referred to elsewhere in these regulations including daily census reports and incident reports;

(iii) a chronological admission and discharge register consisting of a listing of residents registered in and discharged from the facility by name, age, sex of resident, and place from or to which the resident is registered or discharged;

(iv) program records, including service procedures, 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 of the physical plant and environmental standards;

(vii) staff records, including personnel procedures, job descriptions, staffing schedules, identification of individual employees, including social security numbers, and payment records;

(viii) certificates or reports issued by local and other State jurisdictions related to the facility operations, on file and readily accessible for department review, or posted, if required; and

(ix) records documenting the development, implementation and, at a minimum, the bi-annual updating of plans for quality assurance activities for each area of facility operation. These must include, at a minimum, the development and maintenance of performance standards including infection control, measurement of adherence to such standards and to applicable state and local laws and regulations, identification of performance failures, design and implementation of corrective action. Each plan must also include the creation of a quality improvement committee that is charged with meeting periodically, at least once every six months, to review summary findings from monitoring implementation of the facility's plan, evaluating the effectiveness of corrective action policies, and identifying trends and improvement activities. While reviewing facility performance, the committee shall not examine personally identifiable resident incidents. Such committee shall include the administrator or operator of the facility, the resident council president or other resident representative, and representatives from frontline employees from each area of operation.

(i) Statement of Offering (DSS-2853);

(ii) Personal Allowance Summary (DSS-2855); and

(iii) Personal Allowance Ledger.