N.Y. Comp. Codes R. & Regs. tit. 14, § 575.9 – Standards pertaining to recordkeeping.

(a) Providers of services shall maintain records for verification of all eligible individuals receiving community support services, including individuals who have an eligibility waiver pursuant to section 575.7 of this Part, in accordance with reporting forms as prescribed by the Office of Mental Health.
(b) The records of all eligible individuals receiving community support services, including individuals who have an eligibility waiver pursuant to section 575.7 of this Part, shall be confidential and access shall be governed by the requirements of section 33.13 of the Mental Hygiene Law.
(c) Providers of services shall maintain records for verification of eligibility. Such records shall include but not be limited to:
1. (1) hospitalization history;
2. (2) psychiatric diagnosis;
3. (3) outpatient history;
4. (4) functional disability assessment;
5. (5) residential history or current residence for both permanent or categorical eligibility as applicable; and
6. (6) record of receipt of supplemental security income or social security disability insurance benefits.
(d) Providers of services shall maintain eligibility forms for an individual who is to be served where information is incomplete or where a determination of eligibility is not possible pursuant to section 575.6(g) of this Part. Such eligibility forms shall indicate that no determination of eligibility was made.
(e) Providers of services shall maintain separate records for individuals who receive community support services without a determination of eligibility pursuant to section 575.6(g) of this Part. Such records shall include but not be limited to:
1. (1) the type of service delivered;
2. (2) the date when a service is delivered;
3. (3) the location where a service is delivered; and
4. (4) the total number of units of service delivered.
(f) Providers of services shall maintain records of all requests for waivers of eligibility criteria.
(g) Core service agencies and direct contract agencies shall maintain a centralized and current list of all eligible individuals and those individuals whose eligibility has been waived and who are receiving community support services.
(h) Such statistical information shall be prepared and maintained as may be necessary for the effective operation of the community support services program and as may be required by the Office of Mental Health.
(i) Statistical information shall be reported to the Office of Mental Health in a manner and within time limits specified by the Office of Mental Health.
(j) Statistical reporting shall be the responsibility of an individual whose name and title shall be made known to the Office of Mental Health.