Pa. Code 5230.13

Agency records

This section requires a Psychiatric Rehabilitation Services (PRS) agency in Pennsylvania to maintain a comprehensive set of agency-level records, including licenses and inspection reports, civil rights compliance documentation, agency service descriptions, policies and procedures (covering nondiscrimination, crisis management, and disaster preparedness), human resources records (job descriptions, background checks, training plans), daily schedules, contracts with funding sources and BH-MCOs, letters of agreement with mental health services, and quality improvement documents. These recordkeeping obligations apply to any licensed PRS agency operating under Chapter 5230.

55 Pa. Code § 5230.13 - Agency records 

 State Regulations 

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A PRS agency shall maintain records that contain copies
 of the following:

(1)
 Inspection
 reports, certifications or licenses issued by state and local
 agencies.

(2)
 The PRS statement of
 rights under
 
5230.41
 (relating to PRS statement
 of rights).

(3)
 Documentation of
 civil rights compliance.

(4)
 A
 detailed agency service description under
 
5230.15
 (relating to agency
 service description).

(5)
 PRS agency
 policies and procedures that address the following: 
 
(i)
 The implementation of the PRS based upon
 the agency service description.

(ii)
 Nondiscrimination statement.

(iii)
 Compliance with other applicable State
 and Federal regulations, including the Americans with Disabilities Act of 1990
 (42 U.S.C.A. §§
 
12101
-
12213
) and the Health Insurance
 Portability and Accountability Act of 1996 (
Pub. L. No. 
104-191
, 110 Stat.
 1936).

(iv)
 Engagement and outreach
 to an individual to maintain participation in the IRP.

(v)
 Complaint policies and
 procedures.

(vi)
 Individual crisis
 management.

(vii)
 Disaster
 preparedness.

(6)
 Human
 resources policies and procedures that are consistent with the PRS agency's
 service description and address the following: 
 
(i)
 Job descriptions for staff
 positions.

(ii)
 Criminal history
 background checks and child abuse certification requirements and protocol in
 accordance with §
 
5230.57
 (relating to criminal
 history checks and child abuse certification).

(iii)
 Transportation of
 individuals.

(iv)
 Evidence of staff
 credentials or qualifications.

(v)

 Records of orientation and training, including an annual training plan for
 staff.

(vi)
 Staff work schedules
 and time sheets.

(7)
 PRS
 daily schedules.

(8)
 A copy of
 contracts or letters of agreement with external funding sources including
 BH-MCOs or county MH/ID administrators.

(9)
 Letters of agreement with mental health
 services and community agencies.

(10)
 Quality improvement documents, including
 the following:
(i)
 QI plan.

(ii)
 Data gathering tools.

(iii)
 Annual review
 reports.

Notes

55

 Pa. Code §
 
5230.13

Amended by
 
Pennsylvania
 Bulletin, Vol. 55, No. 03, January 18, 2025
, effective
 
1/18/2025

This section cited in 55 Pa. Code §
 
5230.56
 (relating to staff
 training requirements).

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