(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.
|