89 Ill. Adm. Code 357.130
Required Documentation
Section 357
Section 357.130 Required
Documentation
a) Purchase of service providers shall maintain financial records
for 5 years from the expiration or termination of each contract. The
Department reserves the right to inspect all purchase of service provider
records that relate to services for which the Department provides funding.
These records shall be kept in accordance with generally accepted accounting principles.
The records must be detailed and accurate enough to document the reasons for a
decision, the ways monies were spent, and the beneficiaries of income, goods,
and services. Such required recordkeeping shall include but not be limited to:
1) establishment of financial recordkeeping which includes:
A) Cash Receipts Journal
B) Cash Disbursements Journal
C) General Journal
D) General Ledger
E) All cash disbursements and/or expenses, fully supported by
documentation, such as invoices, time sheets, time studies, or approved cost
allocation plans
F) Revenue
and expenses by program
2) establishment of programmatic compliance recordkeeping that
includes:
A) individual client files on each client applying for and
receiving service;
B) schedule of service provided to each client that includes the
date and time service was provided and the agency's employee providing service;
b) Purchase of service providers shall maintain individual client
records for clients for whom services were purchased by the Department 5 years
from the date services are terminated. Individual client records shall
contain:
1) the original referral from the Department or in the case of
funded day care facilities the documentation of need for services if it was the
provider's responsibility to gather it or if the Department submitted it to the
provider;
2) documentation that supports Title IV-E and XIX (42 CFR 431)
eligibility determinations, redeterminations, court orders, and court findings
regarding reasonable effort (i.e., effort to prevent placement or that effort
was not possible) as appropriate, if it was the provider's responsibility to
gather it or if the Department submitted it to the provider;
3) documentation that supports the need for child protective
services if it was the provider's responsibility to gather it or if the
Department submitted it to the provider;
4) documentation of the service planning goals established within
required timeframes, when the case was opened and the changes made in the
service planning goals as the client's needs changed;
5) documentation of the child and family's progress or lack of
progress toward achieving the service planning goals including the social
service worker's or other responsible employee's reports and official records
regarding the child and family's cooperation in meeting service planning goals;
6) basic client social history data and updates, as necessary, if
it was the provider's responsibility to gather it or if the Department
submitted it to the provider; and
7) any other documentation specifically required in the purchase
of service contract.
c) Purchase of service providers shall maintain personnel records
of all employees who provide direct or supportive services to Department
clients. Personnel records shall be maintained on each employee for 5 years
after the termination of employment. The following information shall be
maintained:
1) proof of educational background including high school or
college transcripts or a copy of the diploma; or, if the employee has attended
a training program, documentation of the employee's completion of the program;
2) detailed summary of the employee's work experience;
3) at a minimum, yearly employee performance evaluations;
4) payroll data, including salary, accrued vacation and sick
days, records of when vacation and sick days were taken, and travel expense
records; and
5) documentation that a background check was completed for each
employee in accordance with 89 Ill. Adm. Code 385 (Background Checks).