Chapter DHS 132

DHS 132.41(4)(b) (b) Replacement of administrator. If it is necessary immediately to terminate an administrator, or if the licensee loses an administrator for other reasons, a replacement shall be employed or designated as soon as possible within 120 days of the vacancy.

DHS 132.41(4)(c) (c) Temporary replacement. During any vacancy in the position of administrator, the licensee shall employ or designate a person competent to fulfill the functions of an administrator.

DHS 132.41(4)(d) (d) Notice of change of administrator. When the licensee loses an administrator, the licensee shall notify the department within 2 working days of loss and provide written notification to the department of the name and qualifications of the person in charge of the facility during the vacancy and the name and qualifications of the replacement administrator, when known.

DHS 132.41 Note Note: See s. 50.04 (2), Stats.

DHS 132.41 History History: Cr. Register, July, 1982, No. 319, eff. 8-1-82; CR 06-053: r. (3) Register August 2007 No. 620, eff. 9-1-07.

DHS 132.42 DHS 132.42 Employees.

DHS 132.42(1) (1) Definition. In this section, “employee” means anyone directly employed by the facility on other than a consulting or contractual basis.

DHS 132.42(3) (3) Physical health certifications.

DHS 132.42(3)(a) (a) New employees. Every employee shall be certified in writing by a physician, physician assistant or an advanced practice nurse prescriber as having been screened for the presence of clinically apparent communicable disease that could be transmitted to residents during the normal performance of the employee’s duties. This certification shall include screening for tuberculosis within 90 days prior to employment.

DHS 132.42(3)(b) (b) Continuing employees. Employees shall be rescreened for clinically apparent communicable disease as described in par. (a) based on the likelihood of exposure to a communicable disease, including tuberculosis. Exposure to a communicable disease may be in the facility, in the community or as a result of travel or other exposure.

DHS 132.42(3)(c) (c) Non-employees. Persons who reside in the facility but are not residents or employees, such as relatives of the facility’s owners shall be certified in writing as required in pars. (a) and (b).

DHS 132.42(4) (4) Disease surveillance and control. When an employee or prospective employee has a communicable disease that may result in the transmission of the communicable disease, he or she may not perform employment duties in the facility until the facility makes safe accommodations to prevent the transmission of the communicable disease.

DHS 132.42 Note Note: The Americans with Disabilities Act and Rehabilitation Act of 1973 prohibits the termination or non-hiring of an employee based solely on an employee having an infectious disease, illness or condition.

DHS 132.42(5) (5) Volunteers. Facilities may use volunteers provided that the volunteers receive the orientation and supervision necessary to assure resident health, safety, and welfare.

DHS 132.42 History History: Cr. Register, July, 1982, No. 319, eff. 8-1-82; am. (3) (a) and (4), Register, January, 1987, No. 373, eff. 2-1-87; CR 03-033: am. (3) (a), r. and recr. (4) Register December 2003 No. 576, eff. 1-1-04; CR 04-053: am. (3) and (4) Register October 2004 No. 586, eff. 11-1-04; CR 06-053: r. (2) Register August 2007 No. 620, eff. 9-1-07.

DHS 132.44 DHS 132.44 Employee development.

DHS 132.44(1) (1) New employees.

DHS 132.44(1)(a) (a) Orientation for all employees. Except in an emergency, before performing any duties, each new employee, including temporary help, shall receive appropriate orientation to the facility and its policies, including, but not limited to, policies relating to fire prevention, accident prevention, and emergency procedures. All employees shall be oriented to residents’ rights under s. DHS 132.31 and to their position and duties by the time they have worked 30 days.

DHS 132.44(1)(b) (b) Assignments. employees shall be assigned only to resident care duties consistent with their training.

DHS 132.44(2) (2) Continuing education.

DHS 132.44(2)(a) (a) Nursing inservice. The facility shall require employees who provide direct care to residents to attend educational programs designed to develop and improve the skill and knowledge of the employees with respect to the needs of the facility’s residents, including rehabilitative therapy, oral health care, and special programming for developmentally disabled residents if the facility admits developmentally disabled persons. These programs shall be conducted as often as is necessary to enable staff to acquire the skills and techniques necessary to implement the individual program plans for each resident under their care.

DHS 132.44(2)(b) (b) Dietary inservice. Educational programs shall be held periodically for dietary staff, and shall include instruction in the proper handling of food, personal hygiene and grooming, and nutrition and modified diet patterns served by the facility.

DHS 132.44 Note Note: For recordkeeping requirements for all orientation and inservice programs, see s. DHS 132.45 (6) (f).

DHS 132.44 History History: Cr. Register, July, 1982, No. 319, eff. 8-1-82; r. and recr. (2) (a) and am. (4), Register, January, 1987, No. 373, eff. 2-1-87; CR 04-053: renum. (1) (c) to be (1) (b) Register October 2004 No. 586, eff. 11-1-04; CR 06-053: r. (3) Register August 2007 No. 620, eff. 9-1-07.

DHS 132.45 DHS 132.45 Records.

DHS 132.45(1) (1) General. The administrator or administrator’s designee shall provide the department with any information required to document compliance with ch. DHS 132 and ch. 50, Stats., and shall provide reasonable means for examining records and gathering the information.

DHS 132.45(2) (2) Personnel records. A separate record of each employee shall be maintained, be kept current, and contain sufficient information to support assignment to the employee’s current position and duties.

DHS 132.45(3) (3) Medical records — staff. Duties relating to medical records shall be completed in a timely manner.

DHS 132.45(4) (4) Medical records — general.

DHS 132.45(4)(c) (c) Unit record. A unit record shall be maintained for each resident and day care client.

DHS 132.45(4)(f) (f) Retention and destruction.

DHS 132.45(4)(f)1. 1. An original medical record and legible copy or copies of court orders or other documents, if any, authorizing another person to speak or act on behalf of this resident shall be retained for a period of at least 5 years following a resident’s discharge or death when there is no requirement in state law. All other records required by this chapter shall be retained for a period of at least 2 years.

DHS 132.45(4)(f)2. 2. A facility shall arrange for the storage and safekeeping of records for the periods and under the conditions required by this paragraph in the event the facility closes.

DHS 132.45(4)(f)3. 3. If the ownership of a facility changes, the medical records and indexes shall remain with the facility.

DHS 132.45(4)(g) (g) Records documentation.

DHS 132.45(4)(g)1. 1. All entries in medical records shall be accurate, legible, permanently recorded, dated, and authenticated with the name and title of the person making the entry.

DHS 132.45(4)(g)2. 2. A rubber stamp reproduction or electronic representation of a person’s signature may be used instead of a handwritten signature, if:

DHS 132.45(4)(g)2.a. a. The stamp or electronic representation is used only by the person who makes the entry; and

DHS 132.45(4)(g)2.b. b. The facility possesses a statement signed by the person, certifying that only that person shall possess and use the stamp or electronic representation.

DHS 132.45(4)(g)3. 3. Symbols and abbreviations may be used in medical records if approved by a written facility policy which defines the symbols and abbreviations and which controls their use.

DHS 132.45(5) (5) Medical records — content. Except for persons admitted for short-term care, to whom s. DHS 132.70 (7) applies, each resident’s medical record shall contain:

DHS 132.45(5)(a) (a) Identification and summary sheet.

DHS 132.45(5)(b) (b) Physician’s documentation.

DHS 132.45(5)(b)1. 1. An admission medical evaluation by a physician or physician extender, including:

DHS 132.45(5)(b)1.a. a. A summary of prior treatment;

DHS 132.45(5)(b)1.b. b. Current medical findings;

DHS 132.45(5)(b)1.c. c. Diagnoses at the time of admission to the facility;

DHS 132.45(5)(b)1.d. d. The resident’s rehabilitation potential;

DHS 132.45(5)(b)1.e. e. The results of the physical examination required by s. DHS 132.52 (3); and

DHS 132.45(5)(b)1.f. f. Level of care;

DHS 132.45(5)(b)2. 2. All physician’s orders including, when applicable, orders concerning:

DHS 132.45(5)(b)2.a. a. Admission to the facility as required by s. DHS 132.52 (2) (a);

DHS 132.45(5)(b)2.b. b. Medications and treatments as specified by s. DHS 132.60 (5);

DHS 132.45(5)(b)2.c. c. Diets as required by s. DHS 132.63 (4);

DHS 132.45(5)(b)2.d. d. Rehabilitative services as required by s. DHS 132.64 (2);

DHS 132.45(5)(b)2.e. e. Limitations on activities;

DHS 132.45(5)(b)2.f. f. Restraint orders as required by s. DHS 132.60 (6); and

DHS 132.45(5)(b)2.g. g. Discharge or transfer as required by s. DHS 132.53;

DHS 132.45(5)(b)3. 3. Physician progress notes following each visit.

DHS 132.45(5)(b)4. 4. Annual physical examination, if required; and

DHS 132.45(5)(b)5. 5. Alternate visit schedule, and justification for such alternate visits.

DHS 132.45(5)(c) (c) Nursing service documentation.

DHS 132.45(5)(c)1. 1. A history and assessment of the resident’s nursing needs as required by s. DHS 132.52;

DHS 132.45(5)(c)2. 2. Initial care plan as required by s. DHS 132.52 (4), and the care plan required by s. DHS 132.60 (8);

DHS 132.45(5)(c)3. 3. Nursing notes are required as follows:

DHS 132.45(5)(c)3.a. a. For residents requiring skilled care, a narrative nursing note shall be required as often as needed to document the resident’s condition, but at least weekly; and

DHS 132.45(5)(c)3.b. b. For residents not requiring skilled care, a narrative nursing note shall be required as often as needed to document the resident’s condition, but at least every other week;

DHS 132.45(5)(c)4. 4. In addition to subds. 1., 2., and 3., nursing documentation describing:

DHS 132.45(5)(c)4.a. a. The general physical and mental condition of the resident, including any unusual symptoms or actions;

DHS 132.45(5)(c)4.b. b. All incidents or accidents including time, place, details of incident or accident, action taken, and follow-up care;

DHS 132.45(5)(c)4.c. c. The administration of all medications (see s. DHS 132.60 (5) (d)), the need for PRN medications and the resident’s response, refusal to take medication, omission of medications, errors in the administration of medications, and drug reactions;

DHS 132.45(5)(c)4.d. d. Food and fluid intake, when the monitoring of intake is necessary;

DHS 132.45(5)(c)4.e. e. Any unusual occurrences of appetite or refusal or reluctance to accept diets;

DHS 132.45(5)(c)4.f. f. Summary of restorative nursing measures which are provided;

DHS 132.45(5)(c)4.g. g. Summary of the use of physical and chemical restraints.

DHS 132.45(5)(c)4.h. h. Other non-routine nursing care given;

DHS 132.45(5)(c)4.i. i. The condition of a resident upon discharge; and

DHS 132.45(5)(c)4.j. j. The time of death, the physician called, and the person to whom the body was released.

DHS 132.45(5)(d) (d) Social service records. Notes regarding pertinent social data and action taken.

DHS 132.45(5)(e) (e) Activities records. Documentation of activities programming, a summary of attendance, and quarterly progress notes.

DHS 132.45(5)(f) (f) Rehabilitative services.

DHS 132.45(5)(f)1. 1. An evaluation of the rehabilitative needs of the resident; and

DHS 132.45(5)(f)2. 2. Progress notes detailing treatment given, evaluation, and progress.

DHS 132.45(5)(h) (h) Dental services. Records of all dental services.

DHS 132.45(5)(i) (i) Diagnostic services. Records of all diagnostic tests performed during the resident’s stay in the facility.

DHS 132.45(5)(j) (j) Plan of care. Plan of care required by s. DHS 132.60 (8).

DHS 132.45(5)(k) (k) Authorization or consent. A photocopy of any court order or other document authorizing another person to speak or act on behalf of the resident and any resident consent form required under this chapter, except that if the authorization or consent form exceeds one page in length an accurate summary may be substituted in the resident record and the complete authorization or consent form shall in this case be maintained as required under sub. (6) (i). The summary shall include:

DHS 132.45(5)(k)1. 1. The name and address of the guardian or other person having authority to speak or act on behalf of the resident;

DHS 132.45(5)(k)2. 2. The date on which the authorization or consent takes effect and the date on which it expires;