1. (a) Service providers shall maintain financial records which consistently use a single method of accounting. These financial records shall clearly reflect the nature and amounts of all costs and all income. All transactions for each month shall be entered into the financial records within 30 days after the end of that month.

2. (b) Subsection (a) shall apply to residential facilities for the purposes described in subsection (c), day programs, transportation companies, and other non-medical service providers which provide ongoing services to regional center consumers on a regular basis each month, except that the following service providers shall be exempt:

   1. (1) Residential facilities in which regional center consumers represent less than ten percent of the total consumers served by the facility during the last 12 month period.
   2. (2) Residential facilities in which regional center consumers represent more than ten percent of the total consumers served by the facility; however, no Departmental funds are received for the care and services provided to those consumers.

3. (c) Subsection (a) shall apply to residential facilities not exempted pursuant to subsections (b)(1) and (2) only for the following purposes:

   1. (1) To facilitate residential cost studies performed by the Department or authorized agency representative;
   2. (2) To ensure that staffing schedules in conformance with staffing level requirements, if any, are supported by payroll records and source documents;
   3. (3) To ensure that revenue and cost information are available to support administrative overhead allocations of parent organizations, if applicable; and
   4. (4) To ensure that revenue and cost information are available to support intercompany transactions with affiliate or commonly-owned organizations, if applicable.

4. (d) All service providers shall maintain complete service records to support all billing/invoicing for each regional center consumer in the program. This requirement may be satisfied by retaining an electronic record of the information in the record, if the record reflects accurately the information set forth in the record at the time it was first generated in its final form as an electronic record or otherwise, and the electronic record remains accessible for later reference. Service records used to support service providers' billing/invoicing shall include, but not be limited to:

   1. (1) Information identifying each regional center consumer including the Unique Consumer Identifier and consumer name;
   2. (2) Documentation for each consumer reflecting the dates for program entrance and exit, if applicable, as authorized by a regional center.

   3. (3) A record of services provided to each consumer. The record shall include:

      1. (A) For the purchase of medical equipment and/or supplies, and/or other merchandise, the date of the purchase, name of the entity/individual from whom the equipment, supplies, and/or merchandise is purchased, the item(s) purchased, and the cost of each item; or
      2. (B) For transportation services, the dates of service, city or county where service was provided, and the number of miles driven or trips provided; or
      3. (C) For community-based day programs, the dates of service, place where service was provided, the start and end times of service provided to the consumer, and the daily or hourly units of service provided. For community-based day program services provided solely in natural environments, the city and county where service was provided shall be reported as the place where service was provided. For community-based day programs whose services are provided at the facility only or at both the facility and in the community, the street address of the facility shall be reported as the place where service was provided; or
      4. (D) For all other services, the date, the start and end times of service provided to the consumer, street address where service was provided, and daily or hourly units of service provided.
      5. (E) For goods and/or services purchased utilizing a voucher or Participant-Directed Services, as described in California Code of Regulations, Title 17, Section 58884(a)(1), in addition to the information specified above, the name of the actual provider of the goods and/or services. For services provided by an individual selected by the consumer or family member, the date of birth, social security number (or a copy of any document accepted by the federal government which establishes identity and employment eligibility which has been compared to the original by the vendored family member and declared under penalty of perjury to be a true and correct copy), address, and telephone number of the individual who actually provided the service must also be maintained.
      6. (F) For contracts reimbursed based on units of service other than as specified above, units of service shall also be maintained pursuant to (A), (B), (C), or (D) above, as applicable.
5. (e) All service providers' records shall be supported by source documentation.
6. (f) Nothing specified in this section shall be construed as superseding other record maintenance requirements set forth in statute or regulation.

Note: Authority cited: Sections 4631(a)(2) and 4648.12(c)(1)(B), Welfare and Institutions Code. Reference: Sections 4631, 4641.5, 4648.1 and 4648.12(c), Welfare and Institutions Code.

History

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).

2. Change without regulatory effect amending subsections (b)-(b)(2) and (d)-(d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).

3. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.

4. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.

5. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.

6. Amendment of subsection (d)(3)(D) filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.

7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(3)(B), new subsection (d)(3)(C), subsection relettering and amendment of newly designated subsections (d)(3)(D) and (F), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).

8. Refiling of 8-27-2004 order, including incorporation of relettering of subsection (d)(3)(D) to (d)(3)(E) in intervening action, 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.

9. Certificate of Compliance as to 12-22-2004 order, including futher amendment of subsection (d)(3)(E), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).

10. Amendment of subsection (d)(3)(E) and Note filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.

11. Amendment of subsection (d) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).

12. Certificate of Compliance as to 8-29-2011 order transmitted to OAL 1-25-2013 and filed 3-11-2013 (Register 2013, No. 11).