(a) The governing authority or operator shall ensure the prompt submission of all records and reports required by the department and that:

1. (1) copies of the following records are retained on file at the principal administrative office in New York State of the home care services agency and available to the department upon request:

   1. (i) the license issued by the department to operate as a home care service agency;
   2. (ii) the certificate of incorporation and any amendments thereto, if applicable;
   3. (iii) partnership agreement, if applicable;
   4. (iv) certificate of doing business under an assumed name, if applicable;
   5. (v) contracts and other agreements related to delivery of patient care entered into by the operator;
   6. (vi) rules and bylaws of the governing authority and quality assurance committees, if applicable;
   7. (vii) current written operating policies and procedures;
   8. (viii) a current patient roster; and
   9. (ix) listing of all personnel;

2. (2) copies of the following records are retained on file at each branch office of the home care services agency:

   1. (i) the agency's policies and procedures;
   2. (ii) a listing of all of the branch office's personnel; and
   3. (iii) a current patient roster of all patients receiving care from the branch office and a copy of the patient care record of each such patient;

3. (3) at a minimum, the following reports and records are retained by the home care services agency and available to the department upon request:

   1. (i) minutes of the meetings of the governing authority and the committees thereof which shall be retained for three years from the date of the meeting;
   2. (ii) records of all financial transactions directly related to delivery of patient care which shall be retained three years from the date of the transaction;
   3. (iii) personnel records, which shall be retained three years from the date of employee termination or resignation;
   4. (iv) records of grievances and complaints which shall be retained for three years from the date of resolution;
   5. (v) all records related to patient care and services; and
   6. (vi) any other records required to be kept by this Part or Part 765 of this Title.

(b) All records required by subdivision (a) of this section to be retained shall be maintained in hard copy or electronic form. If electronic storage is maintained, such records shall:

1. (1) be secure from unwarranted access;
2. (2) have confidentially protected, when appropriate; and
3. (3) be immediately available to the agency and the department in hard copy format upon request.

(c) The home care services agency shall furnish annually to the department a copy of:

1. (1) statistical summaries of all health care services, including the type, frequency and reimbursement for services provided, including reimbursement from Federal and State governmental agencies, on forms provided by the department;
2. (2) if a for-profit corporation, a list of the principal stockholders and the number and percent of the total issued and outstanding shares of the corporation held by each, duly certified by the secretary of the corporation as to completeness and accuracy;
3. (3) if a not-for-profit corporation, a list of directors, officers and corporate members, if such members number 10 or fewer; and
4. (4) other such records and reports as may be legally required by the department.