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RULE §361.153Documentation Requirements

(a) A contractor must maintain all financial and contract-related records:

  (1) according to recognized fiscal and accounting practices; and

  (2) in accordance with DADS contract requirements.

(b) A contractor must document interactions with a ward as soon as possible after the interaction. If the contractor cannot document at the time of an interaction, the documentation must:

  (1) be dated the day that it is written;

  (2) indicate the date of the interaction; and

  (3) be signed by or otherwise identify the individual who had the contact.

(c) A contractor must sign all printed service delivery records in ink. White-out may not be used in any documentation. If there is a mistake, it must be crossed through, dated, and initialed.

(d) Documentation stored via electronic means must include the name of the person who delivered the services, the date performed, and the date the entry was made.

(e) Data must be readily accessible, read-only access must be provided to the DADS contract manager during contract reviews, and there must be a means to retrieve the data in case of electrical outage or equipment failure.

(f) A contractor must not preprint or pre-enter any record of time on a form used to document all required elements of the services delivered, as provided in the program specific rules.

(g) Records must include:

  (1) copies of all legal documents related to the ward, preferably file-stamped copies if documents are file-stamped by the court in the local area when submitted;

  (2) financial documents, including receipts of disbursements, bank account statements, trust fund statements, and investment statements;

  (3) documentation of all case actions, including monthly status updates;

  (4) case actions, including the monthly status update, which must be documented within 10 working days after the activity:

  (5) significant incidents regarding progress, illness, and accidents that may be used as part of the service plan for the ward;

  (6) termination records and transfer summaries;

  (7) ward status updates identifying abuse, neglect, or exploitation incidents referred to the appropriate investigative authority; and

  (8) a photograph of the ward updated within 90 calendar days after the contractor's initial qualification as guardian and every two years thereafter.

(h) A contractor must maintain personnel records on every employee and volunteer, and must also maintain records on subcontractors if utilized.

Source Note: The provisions of this §361.153 adopted to be effective September 1, 2006, 31 TexReg 6797; amended to be effective February 9, 2015, 40 TexReg 609; transferred effective March 15, 2022, as published in the February 25, 2022 issue of the Texas Register, 47 TexReg 983

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