| Tenn. Comp. R. & Regs. 0940-05-38-.04(3)-(4) | Client-mix attestation at application and renewal Submit a written attestation, on TDMHSAS’s form, of the category of the majority of the client base with the initial application and with every renewal. |
| Tenn. Comp. R. & Regs. 0940-05-38-.04(6) | Counties served and records address Give TDMHSAS the list of counties served and the address where employee and client records are kept (the rule says "should"), and keep it current. |
| Tenn. Comp. R. & Regs. 0940-05-38-.05(1) | Comply with all laws Comply with all federal, state and local laws, ordinances, rules and regulations. |
| Tenn. Comp. R. & Regs. 0940-05-38-.05(2) | Operate under written policies Administer and operate the agency under written policies and procedures, including at least the 0940-05-38-.06 list. |
| Tenn. Comp. R. & Regs. 0940-05-38-.05(3) | General direction and operating policies The licensee directs the agency and sets policies for its operation and for clients’ welfare. |
| Tenn. Comp. R. & Regs. 0940-05-38-.05(4) | Designate the person responsible Designate one individual responsible for operating the agency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.05(5) | Serve only clients the license allows Accept only clients who will not put the agency outside its licensed category (no nursing-level care; client mix within the attestation). |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(a) | Description of services, with enrollment and termination criteria A written description of the services the agency provides, including who can enroll and when services end. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(b) | Organizational chart An organizational chart that clearly shows or describes lines of authority. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(c) | Worker absence plan A policy and procedure for when the assigned worker is absent: notice to the client, the action taken and timeframes for action. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(d) | Schedule of feesif the agency charges fees A schedule of the agency’s fees, when it charges fees. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(e) | Statement of rights and grievance procedure A statement of the client rights in 0940-05-38-.10 and the grievance procedure for reported suspected rights violations. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(f)1 | Confidentiality policy: workers follow confidentiality laws A confidentiality policy requiring workers to comply with applicable confidentiality laws and regulations. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(f)2 | No required public thank-you statements The confidentiality policy says clients are never required to make public statements of gratitude to the agency (for example testimonials). |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(f)3 | Written consent for identifiable photos No identifiable photographs of clients without written, signed consent from the client or their legal guardian or conservator. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(g) | Emergency plans Plans and procedures for emergencies, including at least fire evacuation and natural disasters. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(h) | Reporting and investigating abuse, neglect and critical incidents Policy and procedures for reporting and investigating suspected or alleged abuse or neglect and other critical incidents, with corrective action and reporting to TDMHSAS’s Office of Licensure and any authority the law requires (APS, DCS, police). |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(i) | Communicable disease procedures Require workers to follow Tennessee Department of Health procedures for detecting and preventing communicable diseases. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(j) | Receipt and disbursement of client money A policy on receiving and spending money on behalf of clients (shopping, bill paying). |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(k) | TDMHSAS access to workers A policy giving TDMHSAS licensure staff access to workers to discuss investigations of any service. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(l)1 | Medication assistance only with written authorizationif the agency provides medication assistance Written medication assistance procedures, starting with written authorization from the client or authorized representative before any assistance. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(l)2 | Medication assistance training first, documentedif the agency provides medication assistance Workers are trained in medication assistance before giving it, and the training is documented in their record. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(l)3 | Collecting medication informationif the agency provides medication assistance Procedures for workers to collect information about the medications clients take. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(m)1 | Transportation: safe vehiclesif the agency or its workers transport clients If the agency or workers transport clients, all vehicles are maintained and operated safely. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(m)2 | Transportation: driver’s license on fileif the agency or its workers transport clients Drivers hold an appropriate Tennessee Department of Safety driver’s license, documented in the agency’s records. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(m)3 | Transportation: vehicle liability insurance on fileif the agency or its workers transport clients Vehicles owned by the agency or worker and used for clients carry liability insurance covering injury to occupants, documented in the records. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(n) | Hoyer lifts and gait belts Policies on using devices such as a Hoyer lift or gait belt, after training, for transfers into or out of bed, chair, toilet or shower, but not as therapy. Required for every agency, and on TDMHSAS’s list of common PSSA deficiencies. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(o) | Categorizing the majority of the client base Policies on categorizing the majority (over 50%) of the agency’s client population, matching the attestation. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(p) | Cooperation with TDMHSAS investigations A policy that the agency will cooperate with TDMHSAS investigating alleged abuse, neglect, mistreatment, misappropriation or exploitation. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.06(1)(q) | Alternate staffing plan policy A policy that an alternate staffing plan is prepared for each client in case the assigned worker is absent (the rule text reads "absence or the assigned" worker). |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(a) | Signed, dated job description Each worker’s file holds a written, signed and dated job description with the employment requirements and responsibilities for each position held. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(b) | Verification of employment requirements Proof the worker meets the employment requirements of each position held. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(c) | Evidence of the criminal background check Evidence of the criminal background check required by T.C.A. 33-2-1202. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(d) | Abuse Registry check on file; no listed workers Evidence the worker’s status on the Tennessee Abuse Registry was checked (T.C.A. 68-11-1004(b)). No employee or volunteer on the registry may be hired or allowed to provide services. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(e) | Sex offender registry check on file; no listed workers Evidence of the worker’s status on the state sex offender registry. No one listed may be hired or allowed to provide services. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(f) | Date of birth The worker’s date of birth (supports the 18-or-older rule). |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(g) | Annual performance evaluations Annual performance evaluations that at least assess the worker’s ability to give daily supports to clients. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(h) | Worker notice A worker notice setting out whether the agency is employer or contractor; its responsibility for wages, taxes, Social Security, workers’ compensation, unemployment and overtime over 40 hours a week; and the duties and liabilities of the agency and client, including insurance and personnel management. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(i) | Five-year work history A continuous description of the worker’s activities over the past five years. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(1)(j) | Three personal references Personal references from at least three people, one of whom has known the applicant for at least five years. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(a) | Workers 18 or older Personnel policy: all workers are 18 or older. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(b) | Infection control and standard precautions Personnel policy: all workers practice infection control and standard precautions to protect clients. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(c) | Criminal background check timing Personnel policy: workers submit to a criminal background check within 10 days of employment, within 10 days of a change to duties with direct client contact or responsibility, and (by the rule’s words) every two years, which TDMHSAS has said it will not enforce. TDMHSAS reads the statute as needing results before any direct contact. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(d) | Abuse Registry check yearly and before contact Personnel policy: check every worker on the Abuse Registry annually and before direct contact with clients; no listed employee or volunteer may work. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(e) | Sex Offender Registry check yearly and before contact Personnel policy: check every worker on the Tennessee Sexual Offender Registry annually and before direct contact with clients. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(f) | Language skills and documented training before work Personnel policy: before providing services, each worker shows language skills to read instructions, keep written records and communicate with the client, and has documented training in self-care, household management, community living and service methods. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(g) | Access to consultation Personnel policy: workers have access to consultation for any service, for example a registered nurse, other agency staff or the primary family caregiver. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(2)(h) | No borrowing or taking client money or property Personnel policy: workers never borrow, receive or take money or other property from clients (by our reading this covers gifts too). |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(3) | Proof of liability insurance Keep proof of liability insurance covering the agency, its workers and others who provide services. No minimum amount is set. |
| Tenn. Comp. R. & Regs. 0940-05-38-.07(4) | Current roster of all workers Keep a current roster of all workers at all times, including on-call and back-up workers. |
| Tenn. Comp. R. & Regs. 0940-05-38-.08(1)(a) | Basic competency in seven areas before work Ensure and document that workers show basic competency before working with clients in: observing, reporting and documenting changes; abuse, neglect and exploitation; client rights; universal precautions and infection control; personal hygiene help; client safety; and emergency and disaster procedures (including emergency transportation, emergency medical care and staff coverage). A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.08(1)(a)7 | Emergency training covers transport, medical care and coverage The emergency topic covers at least emergency transportation, emergency medical care and staff coverage in emergencies. |
| Tenn. Comp. R. & Regs. 0940-05-38-.08(1)(b) | RN-supervised medication assistance trainingif the agency provides medication assistance Workers who give medication assistance get documented training by, or under the general supervision of, a registered nurse, consistent with T.C.A. 63-7-102. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.08(1)(c) | Annual job-related training Workers receive training on job-related topics at least annually, documented. No hour minimum is set. |
| Tenn. Comp. R. & Regs. 0940-05-38-.08(1)(d) | Client-specific training, documented Documented training specific to each client’s needs in self-care, household management, community living and service methods. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(a) | Client identity details Name, address, telephone number, gender and date of birth. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(b) | Date of enrollment The date of service enrollment. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(c) | Emergency contact Name, address and telephone number of an emergency contact. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(d) | Signed fee agreement before servicesif the agency charges fees If the agency charges fees, a written agreement dated and signed by the client, legal representative or payer before services start, stating the fees, the services they cover and any extra charges. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(e) | Rights acknowledgement Written acknowledgement that the client or legal representative was told the client’s rights and responsibilities and the agency’s rules affecting clients. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(f) | Service plan from a needs assessment A written service plan based on a needs assessment, stating the type, frequency, duration and amount of services. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(g) | Consent for services Consent for services from the client or legal representative, surrogate decision maker (T.C.A. 33-3-219) or health care attorney-in-fact, when applicable. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(h) | Legal representative’s contact detailsif the client has a legal representative, surrogate or attorney-in-fact If applicable, the address, phone or email of the client’s legal representative, surrogate or health care attorney-in-fact. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(i) | Who pays Documentation of the party responsible for payment. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(j) | Record of services delivered A record of services actually delivered, with dates and times (visit notes and timesheets). |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(k) | Medical problems and incidents Documentation of medical problems, illnesses and treatments, accidents, seizures, adverse incidents and follow-up while receiving services. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(l) | Client funds received and spentif the agency handles client money Documentation of all funds received and disbursed on the client’s behalf. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(m) | Alternate staffing plan in each record Each client record holds an alternate staffing plan in case the worker is absent. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(n) | Medication assistance authorization in the recordif the agency provides medication assistance Written authorization from the client or authorized representative if the agency gives medication assistance. TDMHSAS lists it first among common deficiencies. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(o) | Client evaluation of quality every six months The agency develops an evaluation form; the client or legal representative evaluates service quality at least every six months and signs it. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(p) | Consumer notice before services A written consumer notice given before services start: the duties, responsibilities, obligations and legal liabilities of the agency, worker and client, the agency’s role as employer or contractor, and the client’s responsibility (if any) for supervising, assigning duties, hiring, firing and discipline, equipment, background checks, references and credentials. A common deficiency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.09(1)(q) | Copies of legal authority documentsif someone holds legal authority for the client A copy of any document giving someone authority to act for the client (conservatorship, power of attorney, durable power of attorney for health care or mental health care). |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(a) | Rights information before services Before services start, give oral and/or written rights information: the specific rights under the rules and state law, the grievance procedure, a list of advocacy services and a copy of agency rules affecting the client, in an understandable way with a chance to ask questions. |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(a)4 | Clients who cannot understand at admission If the client cannot understand the information at admission, present it when they can; if they are likely never to understand it, promptly give it to a guardian, other appropriate person or rights protection agency. |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(b) | Right to voice grievances without reprisal Clients may voice grievances to the agency and outside representatives free from restraint, interference, coercion, discrimination or reprisal. |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(c) | Right to dignity and respect Clients are treated with consideration, respect and full recognition of their dignity and individuality. |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(d) | Protection from abuse, neglect and exploitation The agency protects clients from neglect, physical, verbal and emotional abuse (including corporal punishment), misappropriation and exploitation. |
| Tenn. Comp. R. & Regs. 0940-05-38-.10(1)(e) | Help exercising civil rights The agency assists clients in exercising their civil rights. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(1) | Trustee or representative payee duties; no retaliationif the agency holds client funds or property as trustee or representative payee If the agency holds funds as trustee or representative payee, follow the laws on that fiduciary role; never retaliate against anyone who reports a breach. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(2) | Prohibit soliciting or borrowing from clients Prohibit staff, volunteers and owners from soliciting or borrowing money or property from clients. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(3) | Client money only for the clientif the agency handles client money All money received, held or spent for a client is for the client’s strict personal benefit. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(4) | No mixing; separate insured accountif the agency holds client money Do not mix client funds with agency funds; keep a separate account at a federally insured institution for client funds. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(5) | Never take client funds or property The licensee never takes client funds or property for personal or organizational use or gain. |
| Tenn. Comp. R. & Regs. 0940-05-06-.03(6) | Written account and annual report to the clientif the agency handles client money Keep a written account of all money received or spent for a client and give the client or legal representative a report of funds held and spent at least once a year. |
| Tenn. Comp. R. & Regs. 0940-05-02-.03(1) | No services before the license Do not begin delivering services until TDMHSAS issues the license. |
| Tenn. Comp. R. & Regs. 0940-05-02-.04(2) | Complete, legible applications Submit applications in writing, legible, with all the requested information. |
| Tenn. Comp. R. & Regs. 0940-05-02-.07(2) | Renewal application with the fee invoice Submit the renewal application, fee invoice and other information TDMHSAS requires; send a copy of the invoice with every payment. |
| Tenn. Comp. R. & Regs. 0940-05-02-.10 | New license for a new owner or location Apply for and receive a new license before providing services after a change of ownership or location. |
| Tenn. Comp. R. & Regs. 0940-05-02-.13 | Give TDMHSAS access and records Comply with TDMHSAS’s reasonable requests, let it talk to clients and others, and let it review and copy records, with or without notice. |
| Tenn. Comp. R. & Regs. 0940-05-02-.14(1)(d) | Never give TDMHSAS false information Submitting false information is a ground for denial, suspension or revocation. |
| Tenn. Comp. R. & Regs. 0940-05-02-.16 | Post the license Post the license certificate for public viewing in a conspicuous place. |
| Tenn. Comp. R. & Regs. 0940-05-02-.17 | Surrender the license when required Return the license certificate on revocation, suspension, transfer of ownership or closure. |
| Tenn. Comp. R. & Regs. 0940-05-02-.20(2) | Complaint number sign Post a sign with TDMHSAS’s toll-free number telling clients, families and the public they may complain to TDMHSAS (TDMHSAS decides exemptions). For a home-based agency, by our reading, also give the number in the client’s rights information. |
| Tenn. Comp. R. & Regs. 0940-05-02-.20(3) | Report serious allegations to TDMHSAS Report any serious allegation or suspicion of abuse, dereliction or deficiency in operation to TDMHSAS. |
| Tenn. Comp. R. & Regs. 0940-05-02-.20(4) | Report significant occurrences Report significant occurrences involving the service, clients and staff to TDMHSAS (the rule text runs words together: "staffires"). |
| TDMHSAS Incident Reporting Requirements (under 0940-05-02-.20) | Incident report by the next business day Send the Reportable Incident Form and supporting documents to the TDMHSAS Licensure Investigation Unit by close of the next business day after the event or after learning of it. |
| TDMHSAS Incident Reporting Requirements | Document non-reportable medical incidents too Keep documentation of how each non-reportable medical incident not caused by injury (such as an ER visit for a fever) was handled. Documenting the other non-reportable events is good practice. |
| Tenn. Comp. R. & Regs. 0940-05-02-.21(2)-(3) | Plan of Compliance by the deadline Answer each Notice of Non-Compliance with a written Plan of Compliance by the date given, describing each corrective action and its completion date. |
| Tenn. Comp. R. & Regs. 0940-05-02-.21(5) | Keep compliance plans together Keep copies of the most recent compliance plans in a central location. |
| Tenn. Comp. R. & Regs. 0940-05-02-.23(2) | Pay inspection invoices within 30 days Pay any inspection fee within 30 days of the invoice, or before the license expires if sooner. |
| T.C.A. 33-2-1202 (as summarised by TDMHSAS, PSSA slides 11 and 34) | Background check results before direct contact Have the criminal background check completed, with results in hand, before a worker has any direct contact with or direct responsibility for clients. |
| T.C.A. 33-2-1202(c)(1) (as quoted and read by TDMHSAS, PSSA slides 35-36) | Check references and employers before employment Before employment, communicate directly (or document attempts) with at least two of the three references, the most recent employer and each employer of more than 6 months in the past five years; ask about gaps. |
| T.C.A. 33-3-101(d) (as quoted by TDMHSAS, PSSA slide 30) | Keep records 10 years after service ends Keep records of services and supports for each client for at least 10 years after service ends. |
| Tennessee Adult Protection Act, T.C.A. 71-6-101 ff (as stated by DHS) | Report suspected adult abuse to APS Report suspected abuse, neglect or financial exploitation of a vulnerable adult to Adult Protective Services (1-888-277-8366 or online), as well as to TDMHSAS. |
| T.C.A. 37-1-403(i)(1) (as quoted by DCS) | Report suspected child abuse to DCS Everyone must report suspected child abuse or neglect, immediately, to the DCS hotline (1-877-237-0004) or online. |
| TDMHSAS PSSA slides, slide 31 (reading of 0940-05-38-.06(1)(c) and (q)) | Back-up plan cannot leave coverage to the client Implement the back-up plan for every missed or called-off visit; TDMHSAS says it is not appropriate for coverage to fall back on the client, and it may substantiate the agency and the aware supervisor. |
| TDMHSAS PSSA slides, slide 22 (Public Chapter 730 of 2024) | Medication Safety Policy if staff will administer medicationif the agency will use medication-administration-certified unlicensed staffRecommended practice Before certified unlicensed staff administer medication: notify the assigned TDMHSAS surveyor, keep each certificate in the personnel file, and develop and implement a Medication Safety Policy. TDMHSAS says "should"; rules are promised but not yet filed. |