Caregiver Compliance: General Requirements Tab

A Caregiver's Compliance page can be manually refreshed to see whether compliance requirements have been met for a specific section. Click the refresh icon (to the right of the Verification tab) to refresh all tabs on the Caregiver Compliance page.

The refresh button refreshes the page once the recalculation process is complete. In most cases, this process completes within seconds; however, recalculation may take several minutes depending on the pending tasks on the Process Monitor.

At the top-left of the page, a static Hire Date field is displayed (a default compliance requirement for all Caregivers). The Hire Date field is a required field for all Caregiver Compliance and can only be edited on the General Requirements tab.

Refer to the Hire Date as Required Field for Caregiver Applicant/Employee Compliance section featuring Applicant Type Caregivers.

Medical and Other Compliance items generated via the Hire Date only consider the initial value entered in this field. If the Hire Date is edited, the system alerts the user that the Caregiver’s Compliance Requirements have already been calculated based on the initial Hire Date. Saving a new Hire Date does not change the Caregiver’s Compliance Requirements. Changes to existing Medical and Other Compliance items must be managed manually.

Scheduling logic is based on the Caregiver Hire Date Validation at Time of Schedule checkbox on the Agency Profile page under the Caregiver Scheduling and Availability section.

If a Caregiver’s Hire Date is edited, the system validates whether the new date conflicts with any Scheduled, Confirmed, or Billed Visits, as follows:

• If the edited Hire Date conflicts with Billed Visits, then the system issues an error message and does not allow the value to be changed.

• If the edited Hire Date conflicts with Scheduled/Confirmed Visits, the system issues an alert warning the user that saving the entered date removes the Caregiver from these Visits. Select Yes to save the new Hire Date or No to remove the edited value and reinstate the existing Hire Date.

The Discipline Status and Compliance Rules section (to the right of the Hire Date section) is illustrated in the image below. The Caregiver’s Disciplines are listed, each one with a unique compliance Status.

Under the Status column, click the Compliant (with a Green check) or Not Compliant links (with a Red X icon) to view a Caregiver’s current Compliance Status by Discipline. A Caregiver is displayed as Non-Compliant if at least one rule is not compliant for the selected Discipline. Compliance Rules links are available as reference, listing rules and requirements by Discipline.

Click the Compliance Status link to view the rule(s) and requirement(s) for the Discipline. The Compliance Check window opens displaying the Caregiver’s Compliance Status in three main sections and corresponding subsections as noted in the following table.

If a Caregiver is compliant, a green Compliant label is displayed in a given subsection. If not Compliant, then the Compliance Rule is displayed in bullet form, listing what is yet to be fulfilled (such as I-9 must be verified).

Subsections not set to show in the Compliance Setup do not appear in the Compliance Check window. Subsections set to show but are not required in the Compliance Setup read as follows: Compliance not required for [section].

The Training Schools subsection simply states whether the Caregiver is compliant or not (with no additional requirements listed).

Required Medicals which have been manually entered with no Generate Upon conditions state: [Medical] must be completed with Accepted Selection prior to due date.

Required Medicals, whether automatically or manually entered (if past due date with no entry), state [Medical] is overdue. In these cases, (if saved without an Accepted Selection), the Compliance Check states: Selected [Medical] result is not an Accepted Selection.

Click the Compliance Rules links (under the Compliance Rules column) to view a Caregiver’s current Compliance Rules by Discipline .

The Compliance Rules window opens displaying the Caregiver’s Compliance Rules in four main sections and corresponding subsections as noted in the following table. This window displays only the rules set to Show at the Compliance Setup level.

If a section is set to Show but not Required for a given Compliance Setup, then the rule displays the section in the Compliance Rules with the message stating: Compliance not required for [section].

Use the Compliance History column to view and update a Caregiver’s Compliance Status for a specific Discipline. Click the History link to open the Compliance History for the corresponding Discipline.

On the Compliance History window, the Date, Status, and Issues columns are displayed, as shown in the following image and described in the table below. This window provides 6 months of the Caregiver’s Compliance History for the selected Discipline; where users can edit information for the last 6 months. Click Save to save updates.

Once saved, the compliance line item indicates [Edited] on the Compliance History window. In turn, Visits which fall under the specified date(s) is evaluated on the Prebilling Review under the Caregiver Compliance problem.

This feature is enabled by HHAeXchange by default for all Providers on the New Caregiver Compliance environment. To enable this permission for specific roles, go to Admin > User Management > Edit Roles. On the Section field select Aide and select the applicable roles from the Roles dropdown. Under the Search Aide sub-section, select the Edit Compliance History permission.

This permission allows users under a specified Role to update and save information on the Compliance History window; otherwise the user can only view information and close the window.

I-9 items marked as required on the Compliance Setup page are not required to save the General Requirements page; therefore, designating I-9 items as required means they are required for compliance as set at the Compliance Setup level.

• If a selected I-9 Requirement is set to expire, then the I-9 Document Expiration field is required to save the selected value.

• If the E-Verify Number is selected on the Compliance Setup, then it is required for compliance. Same applies to Require Verification.

Values do not have to be entered to save data on the Caregiver Compliance page.

I-9 Document values are hard-coded into the system based on federal requirements (Column A, B, and C documents).

Users may edit whether each document expires and/or requires re-verification. Supporting documents can be loaded using the paperclip icons. Green icons indicate that a document is loaded on the section.

If a document is set to Expire, a value must be entered for the I-9 Document Expiration field on the Caregiver Compliance page to save the selection. If a document is set to Require Re-Verification, the Caregiver will no longer be compliant after the set value for the I-9 Document Expiration field has passed.

In the Criminal Background section items appear as a single row for a cleaner look. To accommodate additional Criminal Background checks, click the + to the right of the row to add a new row and complete the pertinent fields (Sent Out, Result, and Received).

• If an additional row has been created in error or no longer applicable, each row contains a - (minus) to remove.

• If values have been entered for the row, the system alerts with a confirmation message to ensure the user wants to remove the row.

• The - Minus icon displays for unsaved rows only; if the item is saved in the database, then the delete icon does not display. If all values are removed from any row, the system automatically deletes that row.

Next to Result dropdown, once a selection is made, a Paperclip icon becomes available allowing document attachment.

If the Criminal Background is set to required for a specific Caregiver Discipline, then all Caregivers under said Discipline within the same linked office in the Compliance Setup must follow the set rules to be and remain compliant. When an Accepted Compliant value is entered for the Result field, the Caregiver is compliant.

Values are not required for the Sent Out and Received fields. If values are entered for these fields, ensure that the Sent Out (date) value is prior to the Received (date) value; otherwise, the system issues a validation alert prompting correction.

If the Training School is set as required for a specific Caregiver Discipline, then all Caregivers under said Discipline within the same office in the Compliance Setup must follow the set rules to be and remain compliant.

In this section, each line item provides the following information School Name, Certification Date, Instructor, Verified, Verification Date, On File, Default, Certificate (attachment) and Delete function (if/as needed).

To attach a certificate, click the paperclip icon to upload as prompted. To add a Training School record for a Caregiver, click the Add button. Duplicate Training School records cannot be duplicated.

The HHAeXchange – Add Training School window opens. Complete the fields as prompted. The only required field is the Training School which is selected from the Compliance Item Manager list.

If the selected Training School is Closed, ensure that the Certification Date is prior to the set Closed Date; otherwise, the Caregiver is not compliant. The Closed Date cannot be prior to the Caregiver’s Hire Date.

The selected Discipline for the Training School record does not need to match the Caregiver’s Discipline. A single Training School record must fulfill all requirements set on Compliance Setup for the Caregiver to be compliant.

Multiple Training School records for the same Training School can be added for a given Caregiver, for certifications in various Disciplines. Refer to the Discipline column in the Training Schools section displaying the applicable Discipline.

If an overlapping Training School record is entered with an existing Discipline for the same Training School (duplicate record), then the system issues a validation message.

If a Compliance Field is set as required for a specific Caregiver Discipline, then all Caregivers under said Discipline within the same linked office in the Compliance Setup must follow the set rules to be and remain compliant.

Providers can set up fields allowing document uploads (such as Caregiver References) in any of the Custom Compliance fields. Go to the Compliance Setup (Admin > Compliance Setup > Search Setup > Compliance Fields tab) and the Item Manager (Admin > Compliance Setup > Item Manager >Compliance Fields tab).

Select the Allow Document Upload checkbox in the (New/Edit) Compliance Field windows to allow the upload of supporting documents to specific compliance fields.

Once the Allow Document Upload is selected for a Compliance Field, a blue paperclip icon appears in the Caregiver Compliance page under Caregiver > Compliance.

The Reference 1 and Reference 2 fields in the Caregiver Compliance page have the upload Paperclip icon to allow document upload.