Current through Reg. 49, No. 38; September 20, 2024
(a) A contractor must develop and maintain
records in accordance with its contract, this subchapter, and HHSC rules
governing services provided under the contract.
(b) A contractor must:
(1) use forms required by HHSC or, if a
specific form is not required by HHSC, develop records that include elements
required by HHSC; and
(2) ensure
that:
(A) a beginning time for a service is
not documented until after the service being documented has been initiated;
and
(B) an ending time or a time
period for a service is not documented until after the service has been
provided.
(c)
Before a contractor submits a claim for services under its contract, the
contractor's records must support the claim.
(d) A contractor's records must be maintained
in accordance with generally accepted accounting principles, referred to as
GAAP, established by the Financial Accounting Standards Board.
(e) A contractor must develop and maintain
records that:
(1) document the extent of
services provided;
(2) document
compliance with this chapter; and
(3) include records required by rules
governing services provided under its contract.
(f) A contractor must develop and maintain
records for an employee, subcontractor, or volunteer that include:
(1) a description of the employee,
subcontractor, or volunteer's responsibilities;
(2) the employee's completed
application;
(3) records that the
employee, subcontractor, or volunteer is qualified for the position for which
the person is employed, contracting, or volunteering, in accordance with rules
governing services provided under the contract;
(4) records that the contractor conducted the
reviews described in §
49.304
of this subchapter (relating to Background Checks);
(5) records that the employee, subcontractor,
or volunteer received any training required by rules governing services
provided under the contract; and
(6) records of any disciplinary
action.
(g) For purposes
of subsection (f)(4) of this section, records maintained to show compliance
with §
49.304(f)
of this subchapter must include:
(1)
documentation of the first and last name, date of birth, and social security or
employer identification number of an employee or subcontractor required to be
the subject of a review described in §
49.304(f)(1)
of this subchapter;
(2) the printed
first and last name and signature of the person conducting the
review;
(3) documentation of the
date the review was conducted;
(4)
documentation of whether the employee and subcontractor who was the subject of
the review was listed on either of the LEIEs described in §
49.304(f)(1)
of this subchapter; and
(5) a copy
of the report made in accordance with §
49.304(f)(4)
of this subchapter.
(h) A
contractor must develop and implement written procedures to:
(1) prevent falsification or unauthorized
access, disclosure, modification, or destruction of records and data;
(2) ensure the availability, integrity,
authenticity, completeness, and confidentiality of records and data;
and
(3) ensure that appropriate
audit trails and sufficiently complete transaction histories are maintained to
identify the person or position that makes an entry, modification, or
correction to records or data that supports a claim for services under its
contract.
(i) If a
contractor uses paper records described in this section, the contractor must:
(1) ensure records are completed in
ink;
(2) retain the original
records;
(3) except as provided in
HHSC rules governing services provided under the contract, ensure records are
signed and dated by the person making the entry;
(4) ensure a stamped signature is used only
by a person with a disability as an accommodation for the disability;
and
(5) ensure that if a correction
to records is necessary, the correction is made by:
(A) marking a single line through the
error;
(B) adding the date the
correction was made and the initials of the person who made the correction;
and
(C) not using correction fluid
or tape or otherwise obliterating the original entry.
(j) If a contractor uses
electronic records described in this section, the contractor must:
(1) develop and implement written procedures,
which must include maintaining current virus protection software, to prevent
the loss or corruption of data due to malicious code;
(2) develop and implement written procedures
governing the use of electronic signatures that:
(A) ensure authenticity of an electronic
signature;
(B) describe the method
of authentication used, such as password, personal identification number,
digital signature, or other unique identifier, by document type;
(C) identify the person or position who is
authorized to sign electronically by document type; and
(D) describe security measures used to
prevent unauthorized use of electronic signatures; and
(3) use an electronic record system that:
(A) documents any change in content that was
made to the electronic record;
(B)
documents the date the change was made;
(C) documents the name and employee number or
other unique identifier of the person who made the change; and
(D) allows a record to be retrievable as a
paper record.
(k) A contractor must:
(1) ensure records are available for review
in accordance with the contract; and
(2) as requested by HHSC or any federal or
state agency authorized to have access to records:
(A) provide, at no charge, a copy of any
records to HHSC and the federal or state agency in the form requested by HHSC
or the federal or state agency; or
(B) allow HHSC and the federal or state
agency to make a copy of any records, at no charge.
