Contracted Services – Harbor Home Healthcare

1.Policy Objective

This policy establishes Harbor Home Healthcare LLC’s (“Harbor”) process for using contracted services in a controlled, documented, coordinated, and compliant manner. Harbor remains responsible for services provided under its license, whether those services are performed by Harbor employees or by contractors. Harbor shall maintain written agreements, verify applicable contractor requirements, coordinate and evaluate contracted services, maintain continuity arrangements when contracted services are interrupted, and keep contractor records available for review. (; ; ; )

Requirements

Harbor shall use the following requirements to guide contractor approval, written agreements, contractor compliance, continuity planning, monitoring, and documentation. These requirements apply before contracted services begin and throughout the period the contractor provides services to or on behalf of Harbor.

1.1 Harbor shall maintain a written agreement for each service provided by a contractor rather than by a Harbor employee. (; Ref: 5.1; Ref: 5.2; Ref: 6.1)
1.2 Harbor shall ensure each written agreement addresses the required contract elements, including services furnished by each party, plan of care or service plan participation when applicable, service control and coordination, documentation and scheduling procedures, payment process, and required insurance or bond coverage. (; ; ; ; ; ; Ref: 5.2)
1.3 Harbor shall maintain a written continuity plan or backup arrangement for providing care or services when a contractor is unable to deliver contracted services as expected. (; Ref: 5.4; Ref: 6.7)
1.4 Harbor shall ensure contractors comply with applicable Harbor policies and procedures, including sworn disclosure statement, criminal record check, qualification, credential, documentation, confidentiality, client rights, and service delivery requirements when those requirements apply to the contracted service. (; ; Ref: 5.5)
1.5 Harbor shall remain responsible for contracted services provided under Harbor’s license and shall monitor contracted services for coordination, quality, compliance, documentation, and continuity when applicable. (; ; Ref: 5.6)
1.6 Harbor shall maintain contractor documentation in the appropriate contract file, administrative record, client record, complaint record, or quality improvement record so the documentation is available for oversight, audit, payer review, or licensing survey. (; ; ; Ref: 6)

Definitions

The following definitions apply to this policy and are used to support consistent contractor approval, documentation, monitoring, and continuity planning.

Contractor means an individual, organization, vendor, consultant, or service provider furnishing services to or on behalf of Harbor under a written agreement. ()
Contracted Service means a service provided through a written agreement by a contractor rather than by a Harbor employee. Contracted services may support client care, administration, records, scheduling, supervision, compliance, training, billing support, or other licensed home care operations. ()
Written Agreement means a signed contract, service agreement, or written arrangement that defines the services, responsibilities, coordination requirements, documentation requirements, payment arrangements, insurance or bond requirements, and other applicable terms for contracted services. ()
Contract File means Harbor’s administrative record containing the executed written agreement and supporting contractor documentation, such as approval documentation, contact information, credential verification, screening documentation, insurance or bond documentation, continuity information, and monitoring records when applicable. (; )
Continuity Plan means Harbor’s written plan or documented backup arrangement for providing care or services when a contractor is unable to provide services as required. ()
Client-Related Contracted Service means a contracted service that affects client care, client rights, scheduling, documentation, service delivery, complaints, incidents, supervision, or the client record. (; )

Implementation Guidance

The following guidance explains how Harbor should apply this policy in a practical and inspection-ready manner.

A1 Harbor shall not use contractors to provide services outside Harbor’s licensed scope of services or outside Harbor’s ability to provide appropriate oversight.
A2 Harbor may use one organized Contract File for each contractor to reduce administrative burden while maintaining complete, protected, retrievable, and survey-ready documentation.
A3 If a contracted service is administrative only and does not involve client contact, client records, client rights, or service delivery, Harbor shall still maintain the written agreement and applicable contract documentation, but only the requirements relevant to that service need to be documented.
A4 If staff are unsure whether an arrangement is a contracted service under this policy, the Administrator should review the arrangement before services begin and document whether the contract file requirements apply.

2.Scope & Application

This section explains who and what this policy applies to. This policy applies whenever Harbor obtains services through a contractor instead of a Harbor employee and the contracted service supports Harbor’s licensed home care operations, client services, administration, scheduling, supervision, records, compliance, or other operational functions. ()

This policy applies to the Governing Body, Administrator, supervisors, scheduling personnel, intake personnel, administrative personnel, contractors, and any Harbor personnel involved in selecting, approving, coordinating, monitoring, documenting, or managing contracted services. (; ; Ref: 4; Ref: 5; Ref: 6)

Requirements

Harbor shall apply the following requirements before contracted services begin and throughout the period the contractor provides services to or on behalf of Harbor. These requirements help ensure that contracted services are documented, coordinated, monitored, and supported by a continuity plan when needed.

2.1 Harbor shall apply this policy before a contractor provides services to or on behalf of Harbor. Contracted services shall not begin until the contractor arrangement is approved and required documentation is completed, obtained, or verified. (; ; Ref: 5.1; Ref: 6)
2.2 Harbor shall maintain an executed written agreement for services not provided directly by Harbor employees. The written agreement shall be completed before contracted services begin. (; Ref: 5.2; Ref: 6.1)
2.3 Harbor shall apply this policy to contracted services that support client care, personal care services, respite services, scheduling, supervision, records, billing support, compliance, training, administrative operations, or other licensed home care activities. (; ; Ref: 5.3)
2.4 Harbor shall coordinate contracted services with Harbor operations, client service needs, scheduling, documentation, supervision, communication, and quality review activities when applicable. (; ; Ref: 5.3; Ref: 5.6)
2.5 Harbor shall maintain continuity arrangements when a contracted service is necessary to support client services, operations, records, scheduling, supervision, or other licensed activities and the contractor is unable to provide the contracted service. (; Ref: 5.4; Ref: 6.7)
2.6 Harbor shall ensure contractors comply with applicable Harbor policies and procedures, including screening, qualification, documentation, client rights, confidentiality, complaint, incident, and quality review requirements when those requirements apply to the contracted service. (; Ref: 5.5; Ref: 5.6; Ref: 7)
2.7 Harbor shall maintain contractor documentation in the appropriate contract file, administrative record, client record, complaint record, or quality improvement record based on the nature of the contracted service and the issue being documented. (; ; ; Ref: 6)

Implementation Guidance

The following guidance explains how Harbor should apply this policy in practice when determining whether a contractor arrangement falls within this policy.

A3 This policy applies to both client-related and administrative contracted services when the service supports Harbor’s licensed operations or is performed to or on behalf of Harbor under its home care organization responsibilities.
A3.1 Ordinary purchases of supplies, equipment, utilities, or general business products do not need to be treated as contracted services under this policy unless the vendor is providing an ongoing service that supports Harbor’s licensed operations or client-related responsibilities.
A3.2 When staff are unsure whether an arrangement is a contracted service, the Administrator should review the arrangement before services begin and document whether the contract file requirements apply.

3.Regulatory Basis

This section explains the Virginia regulatory requirements that support this policy. Virginia home care organization regulations require Harbor to maintain written agreements for services not provided by employees, include required contract terms, maintain a written plan for contractor service interruptions, and ensure contractors comply with applicable Harbor policies and personnel-related requirements. Harbor maintains this policy to implement contracted service requirements in a consistent, practical, and inspection-ready manner. (; ; ; ; Ref: 8)

Requirements

Harbor shall use the following regulatory requirements as the basis for approving, documenting, coordinating, and monitoring contracted services. These requirements apply when Harbor obtains services through a contractor instead of a Harbor employee.

3.1 Harbor shall maintain a written agreement for services that are not provided by Harbor employees before those services are furnished to or on behalf of Harbor. (; Ref: 5.2; Ref: 6.1)
3.2 Harbor shall ensure each written agreement identifies the services to be furnished by each party. (; Ref: 5.2.2)
3.3 Harbor shall ensure each written agreement addresses the contractor’s responsibility for participating in developing plans of care or service plans when applicable to the contracted service. (; Ref: 5.2.3)
3.4 Harbor shall ensure each written agreement describes how Harbor will control, coordinate, and evaluate the contracted services. (; Ref: 5.2.4; Ref: 5.3; Ref: 5.6)
3.5 Harbor shall ensure each written agreement describes procedures for submitting notes on care or services provided, scheduling visits, and periodic client evaluation when applicable. (; Ref: 5.2.5; Ref: 5.3; Ref: 6.9)
3.6 Harbor shall ensure each written agreement identifies the process for payment for services furnished under the contract. (; Ref: 5.2.6)
3.7 Harbor shall ensure each written agreement requires adequate liability insurance and third-party crime insurance or a blanket fidelity bond when applicable to the contracted service. (; Ref: 5.2.7; Ref: 6.6)
3.8 Harbor shall maintain a written plan for providing care or services when a contractor is unable to deliver the contracted service. (; Ref: 5.4; Ref: 6.7)
3.9 Harbor shall ensure contractors conform to applicable Harbor policies and procedures, including required sworn disclosure statement and criminal record check requirements when those requirements apply. (; Ref: 5.5; Ref: 6.4)
3.10 Harbor shall maintain contractor documentation in a manner that supports oversight, survey readiness, audit review, payer review, and quality improvement when contractor performance affects services, documentation, complaints, incidents, or compliance. (; ; ; Ref: 5.6; Ref: 6)

Implementation Guidance

The following guidance explains how Harbor applies the regulatory basis in day-to-day contract service management.

A4 Harbor maintains the contracted service requirements in one policy so staff can follow a single process for contractor approval, written agreements, documentation, oversight, and continuity planning.
A4.1 If a required contract element does not apply to a specific contracted service, Harbor should document the item as “Not Applicable” in the written agreement or contract checklist and briefly explain why it does not apply.
A4.2 Harbor should use the regulatory citation index in Section 8 to trace each contracted service requirement back to the applicable Virginia regulation and related internal policy section.

4.Roles & Responsibilities

This section assigns responsibility for approving, coordinating, monitoring, and documenting contracted services. Clear accountability is required so Harbor can maintain written agreements, verify required screening and qualifications, coordinate contractor work with Harbor operations, monitor performance, and respond promptly when a contractor cannot provide services as expected. (; ; ; ; Ref: 5; Ref: 6)

4.1 Governing Body

The Governing Body provides organizational oversight for Harbor’s contracted service practices. This oversight helps ensure that contracted services used under Harbor’s license are consistent with Harbor’s policies, regulatory obligations, and responsibility for services provided to or on behalf of clients.

4.1.1 The Governing Body shall approve this policy and provide oversight of Harbor’s contracted service practices. (; Ref: 7)
4.1.2 The Governing Body shall ensure Harbor maintains appropriate organizational accountability for services provided under Harbor’s license, including contracted services. (; )
4.1.3 The Governing Body shall ensure Harbor’s contracted service practices support safe, compliant, and coordinated operations and do not remove Harbor’s responsibility for services provided under its license. (; )

4.2 Administrator

The Administrator has primary operational responsibility for approving contractors, ensuring written agreements are completed, confirming required documentation is obtained or verified, and addressing contracted service concerns. The Administrator may assign tasks to a designee but retains overall responsibility for contract oversight.

4.2.1 The Administrator shall approve the use of contracted services before services begin. (; ; Ref: 5.1)
4.2.2 The Administrator shall ensure each contractor has an executed written agreement before the contractor provides services to or on behalf of Harbor. (; Ref: 5.2)
4.2.3 The Administrator shall ensure each written agreement includes the required contract elements or documents when a required element is not applicable to the contracted service. (; ; ; ; ; ; Ref: 5.2)
4.2.4 The Administrator shall ensure contractor qualifications, required sworn disclosure statements, criminal record check documentation, credential verification, and applicable policy orientation are completed, obtained, or verified before services begin when those requirements apply. (; ; Ref: 5.5; Ref: 6.4; Ref: 6.5)
4.2.5 The Administrator shall ensure Harbor maintains a written continuity plan or backup arrangement for contracted services that are necessary to support client services, operations, records, scheduling, supervision, or other licensed activities. (; Ref: 5.4; Ref: 6.7)
4.2.6 The Administrator shall monitor contractor performance and address contractor concerns, complaints, documentation issues, missed services, service interruptions, or compliance concerns when applicable. (; ; Ref: 5.6; Ref: 6.8)
4.2.7 The Administrator shall ensure contractor records are maintained in the appropriate contract file, administrative record, client record, complaint record, or quality improvement record, as applicable. (; ; Ref: 6)

4.3 Supervisors or Designees

Supervisors or designees support day-to-day coordination of contracted services when contractor work affects client care, scheduling, documentation, service delivery, or Harbor operations. Their role is to coordinate assigned tasks, communicate concerns, and ensure contractor-related issues are brought to the Administrator when follow-up is needed.

4.3.1 Supervisors or designees shall coordinate contracted services affecting client care, scheduling, documentation, service delivery, or Harbor operations. (; ; Ref: 5.3)
4.3.2 Supervisors or designees shall communicate contractor instructions, scheduling expectations, documentation requirements, and service-related updates when assigned by the Administrator. (; ; Ref: 5.3)
4.3.3 Supervisors or designees shall report contractor performance concerns, missed or delayed services, documentation problems, complaints, incidents, or service interruptions to the Administrator. (; ; Ref: 5.6)
4.3.4 Supervisors or designees shall assist with documentation or follow-up when a contractor issue affects a client record, complaint record, incident record, quality improvement record, or corrective action record. (; ; ; ; Ref: 6.8; Ref: 6.9)

4.4 Contractors

Contractors are responsible for performing only the services authorized in the written agreement and for following the Harbor requirements that apply to the contracted service. Contractors must cooperate with Harbor’s coordination, documentation, monitoring, and continuity expectations.

4.4.1 Contractors shall provide services only as authorized in the written agreement. (; )
4.4.2 Contractors shall comply with applicable Harbor policies and procedures identified in the written agreement or communicated as part of the contractor’s service responsibilities. ()
4.4.3 Contractors shall submit required notes, service documentation, invoices, reports, credential documents, insurance documents, or other records required by the written agreement or applicable Harbor policy. (; ; ; Ref: 6)
4.4.4 Contractors shall cooperate with Harbor oversight, performance review, documentation review, complaint review, incident review, quality improvement review, and corrective action when applicable. (; ; Ref: 5.6)
4.4.5 Contractors shall notify Harbor promptly if contracted services cannot be provided as scheduled, if there is a service interruption, or if any issue may affect client care, safety, documentation, scheduling, or Harbor operations. (; ; Ref: 5.4)

Implementation Guidance

The following guidance explains how Harbor may assign contract oversight tasks while keeping accountability clear and documentation survey-ready.

A5 The Administrator may perform contract approval, monitoring, and file maintenance duties directly or assign specific tasks to a supervisor or designee while retaining overall accountability for contracted service oversight.
A5.1 Assigned duties should be clear enough for staff to know who approves the contractor, who maintains the contract file, who coordinates service-related issues, who reviews contractor documentation, and who reports concerns to the Administrator.
A5.2 When a contractor issue affects client services, complaints, incidents, documentation, or quality improvement, Harbor should document the issue in the appropriate record and follow the related policy or procedure.

5.Procedures

This section explains the procedures Harbor follows when contracted services are used to support licensed home care operations. Harbor uses these procedures to ensure that contractors are approved before use, governed by written agreements, coordinated with Harbor operations, monitored when applicable, and covered by a continuity plan if the contractor cannot provide the contracted service. (; ; ; )

5.1 Approval and Use of Contracted Services

Harbor shall review and approve contracted services before a contractor begins work for or on behalf of Harbor. Approval helps ensure that the contractor arrangement is appropriate for Harbor’s licensed services, within Harbor’s operational authority, and supported by required documentation.

5.1.1 Harbor may use contractors for services that support Harbor’s licensed operations when the contractor arrangement is appropriate, lawful, documented, and within Harbor’s scope of services. ()
5.1.2 Contracted services shall not begin until the Administrator or designee approves the contractor and confirms that required documentation is complete, obtained, or verified. (; )
5.1.3 Harbor shall not use a contractor to provide services outside Harbor’s license, authority, staffing capability, or operational oversight capacity. ()
5.1.4 Harbor remains responsible for services provided under Harbor’s license and shall not treat the use of a contractor as a transfer of Harbor’s regulatory responsibility. ()

5.2 Written Agreement Requirements

Harbor shall maintain a written agreement with each contractor before services begin. The written agreement shall clearly describe the service arrangement so Harbor can control, coordinate, evaluate, document, and pay for contracted services as required.

5.2.1 Harbor shall execute a written agreement before a contractor provides services to or on behalf of Harbor. ()
5.2.2 Each written agreement shall identify the services to be furnished by Harbor and the services to be furnished by the contractor. ()
5.2.3 Each written agreement shall address the contractor’s responsibility for participating in developing plans of care or service plans when applicable to the contracted service. ()
5.2.4 Each written agreement shall describe how Harbor will control, coordinate, and evaluate the contracted services. ()
5.2.5 Each written agreement shall describe procedures for submitting notes on care or services provided, scheduling visits, and periodic client evaluation when applicable. ()
5.2.6 Each written agreement shall identify the process for payment for services furnished under the contract. ()
5.2.7 Each written agreement shall require adequate liability insurance and third-party crime insurance or a blanket fidelity bond when applicable to the contracted service. (; )
5.2.8 If a required contract element does not apply to the contracted service, Harbor shall document “Not Applicable” in the written agreement or contract checklist and briefly explain why it does not apply. ()

5.3 Coordination of Contracted Services

Harbor shall coordinate contracted services with its operations, client service needs, scheduling, documentation, supervision, and communication processes. Coordination is required so the contractor’s work supports Harbor’s services without creating gaps in care, documentation, communication, or accountability.

5.3.1 Harbor shall coordinate contracted services with Harbor operations, schedules, client service needs, documentation requirements, and supervisory processes when applicable. (; )
5.3.2 Contractors providing client-related services shall follow Harbor’s communication, scheduling, documentation, client rights, confidentiality, incident reporting, and service delivery expectations as specified in the written agreement. (; Ref: Policy 381-230
5.3.3 Contractor personnel entering a client’s home on behalf of Harbor shall be identifiable and shall follow applicable Harbor policies for client safety, privacy, conduct, and documentation. (; )
5.3.4 When a contracted service affects personal care or respite services, Harbor shall coordinate the contracted service with the applicable supervisor, scheduling staff, and service documentation process. (; ; Ref: Policy 381-360)

5.4 Contractor Continuity Plan

Harbor shall maintain a practical continuity plan for contracted services that are necessary to support client services, operations, records, scheduling, supervision, or other licensed activities. The continuity plan explains how Harbor will respond if a contractor is unable to deliver the contracted service.

5.4.1 Harbor shall maintain a written plan for providing care or services when a contractor is unable to deliver contracted services. ()
5.4.2 The continuity plan shall identify the responsible Harbor contact, notification steps, alternate service options, client communication steps when applicable, and documentation requirements. ()
5.4.3 Harbor may use qualified Harbor personnel, another approved contractor, schedule adjustments, service prioritization, temporary suspension of nonessential contracted work, or other appropriate arrangements based on client needs, service urgency, and operational capability. ()
5.4.4 Missed, delayed, or interrupted client-related contracted services shall be documented and reviewed when they affect client safety, service delivery, complaints, documentation, or quality of care. (; ; )

5.5 Contractor Compliance and Screening

Harbor shall verify that applicable contractor requirements are completed or documented before the contractor provides services. Screening and compliance requirements depend on the type of contracted service, whether contractor personnel have client contact, and whether licenses, certifications, credentials, or background documentation are required.

5.5.1 Contractors shall comply with applicable Harbor policies and procedures as specified in the written agreement. ()
5.5.2 Individual contractors and contractor personnel assigned to provide services on behalf of Harbor shall complete or provide verification of required sworn disclosure statement and criminal record check requirements before providing services when those requirements apply. (; ; Ref: Policy 381-200)
5.5.3 Harbor shall verify applicable licenses, certifications, qualifications, credentials, or competency documentation before a contractor provides services requiring such qualifications. (; )
5.5.4 Harbor shall orient contractors to applicable Harbor policies and procedures relevant to the contracted service before services begin. (; )
5.5.5 Harbor shall document the date, source, and result of contractor screening or verification when Harbor relies on contractor-provided documentation. ()

5.6 Monitoring and Quality Review

Harbor shall monitor contracted services using practical review methods based on the nature of the contracted service and the risk to clients, operations, documentation, and compliance. Monitoring may be routine or issue-specific depending on contractor performance, client feedback, complaints, incidents, or quality improvement findings.

5.6.1 Harbor shall monitor contracted services through practical methods such as documentation review, communication with contractors, client feedback, complaint review, incident review, missed visit review, and periodic performance review when applicable. (; )
5.6.2 Contracted services shall be included in Harbor’s Quality Improvement Program when contractor performance affects client care, service delivery, safety, complaints, documentation, staffing, supervision, or regulatory compliance. (; Ref: Policy 381-250)
5.6.3 Harbor shall address contractor concerns through corrective action, retraining, contract modification, suspension of services, termination of the contract, or other appropriate action based on the nature and severity of the concern. ()
5.6.4 Complaints, incidents, missed services, documentation problems, or recurring contractor concerns shall be documented and reviewed according to the applicable complaint, incident, client record, or quality improvement process. (; ; ; Ref: Policy 381-240

Implementation Guidance

The following guidance explains how Harbor may implement these procedures in a practical and survey-ready manner while keeping contractor oversight clear, organized, and proportionate to the contracted service.

A6 Harbor may use a Contractor Approval Checklist and organized Contract File instead of a complex vendor management system, provided all required contract, screening, insurance, continuity, and monitoring documentation is maintained.
A6.1 The Administrator or designee should review the contract file before services begin to confirm that the written agreement, required screening or verification, insurance or bond documentation, and continuity arrangements are complete or documented as not applicable.
A6.2 Contractor monitoring may be documented through notes, email records, complaint records, incident records, client record entries, QI records, or corrective action records, depending on the issue and the type of contracted service.
A6.3 Harbor should update the contractor agreement, contract file, or continuity plan when the contractor’s service scope changes, a required document expires, performance concerns occur, or Harbor identifies a gap during review.

6.Documentation Requirements

This section explains the records Harbor maintains to show that contracted services are approved, governed by a written agreement, coordinated with Harbor operations, supported by required screening and insurance documentation, monitored when applicable, and available for survey, audit, payer review, or oversight activities. Contracted service documentation shall be complete, dated, authenticated when applicable, organized in the appropriate record, and retrievable when needed. (; )

Requirements

Harbor shall maintain documentation for each contractor based on the type of contracted service, whether the contractor has client contact, whether the contractor performs work under Harbor’s license, and whether additional personnel, credential, insurance, or continuity documentation is required.

6.1 Harbor shall maintain an executed written agreement for each contractor before the contractor provides services to or on behalf of Harbor. (; )
6.2 Harbor shall maintain contractor contact information, scope of service information, service location or service area information when applicable, and the Harbor staff member responsible for coordinating the contracted service. (; ; )
6.3 Harbor shall maintain documentation showing the contracted service responsibilities, reporting expectations, supervision or communication process, and any operational requirements included in the written agreement. (; ; )
6.4 Harbor shall maintain sworn disclosure statement documentation, criminal record check documentation, or contractor verification of those requirements for applicable contractors and contractor personnel. (; ; Ref: Policy 381-200)
6.5 Harbor shall maintain license, certification, credential, qualification, or competency documentation when required for the contracted service or contractor personnel performing the service. (; )
6.6 Harbor shall maintain proof of liability insurance and third-party crime insurance or blanket fidelity bond coverage when required by the written agreement or applicable policy. (; ; Ref: Policy 381-210)
6.7 Harbor shall maintain the contractor continuity plan or backup arrangement when the contracted service is necessary to support client services, operations, records, scheduling, supervision, or other licensed activities. ()
6.8 Harbor shall maintain documentation of contractor performance reviews, service concerns, complaints, incidents, missed or delayed services, corrective actions, or quality improvement review when applicable. (; ; Ref: Policy 381-240
6.9 Harbor shall maintain client-related contractor documentation in the client record when the documentation affects services, client rights, service delivery, complaints, incidents, or the plan of care/service record. (; ; Ref: Policy 381-280)
6.10 Harbor shall maintain evidence of review, revision, and approval of this policy as part of Harbor’s controlled policy manual. (; )

Forms & Tools Matrix

The following matrix identifies the forms, tools, or record types Harbor uses to support contracted service documentation. The listed record location tells staff where the completed document should be stored so it can be found during internal review, survey, audit, payer review, or oversight activity.

Section 6 Requirement	Form(s) / Tool(s) Used	Record Location
Approve use of contractor before services begin.	Contractor Approval Checklist	Contract file / administrative record
Maintain executed written agreement with required contracted service terms.	Executed Contract Agreement or Service Agreement	Contract file / administrative record
Maintain contractor contact information and scope of service.	Contractor Information Sheet	Contract file / administrative record
Maintain contractor role, reporting, supervision, or communication expectations.	Contractor Scope of Service / Contract Terms / Coordination Notes	Contract file / administrative record
Maintain sworn disclosure statement documentation when applicable.	Sworn Disclosure Statement Form or Verified Contractor Documentation	Contract file / personnel-style contractor documentation file
Maintain criminal record check documentation or contractor verification when applicable.	Criminal Record Check Documentation or Verified Contractor Documentation	Contract file / personnel-style contractor documentation file
Maintain qualification, license, certification, credential, or competency information when applicable.	Credential Verification Record / License Verification / Qualification Documentation	Contract file / personnel-style contractor documentation file
Maintain insurance or bond documentation.	Certificate of Insurance / Third-Party Crime Insurance Documentation / Blanket Fidelity Bond Documentation	Contract file / administrative record
Maintain contractor continuity or backup arrangements.	Contractor Continuity Plan / Backup Coverage Documentation	Contract file / operational continuity record
Document contractor monitoring, complaints, incidents, concerns, and corrective action when applicable.	Contractor Review Notes / Complaint Record / Incident Record / QI Record / Corrective Action Record	Contract file / complaint log / QI record / client record, as applicable
Maintain client-related contractor documentation when it affects client services or records.	Client Service Documentation / Contractor Service Note / Communication Note	Client record
Maintain policy review and approval documentation.	Policy Approval Log / Governing Body Minutes	Controlled policy manual / administrative record

Implementation Guidance

The following guidance explains how Harbor should organize, retain, and protect contractor documentation. These instructions support consistent contract file management and help staff prepare records for internal review, survey, audit, or payer review.

A7 Harbor may maintain contractor documentation electronically or in paper form, provided records are organized, protected, retrievable, and available during survey, audit, payer review, or oversight activities.
A7.1 Contractor documentation should be maintained in a designated contract file or administrative record unless the documentation directly relates to a specific client, complaint, incident, service note, or quality improvement review.
A7.2 Client-related contractor documentation shall be filed or referenced in the client record when it affects services, client rights, care coordination, complaints, incidents, or service delivery.
A7.3 If Harbor accepts contractor-provided verification of background checks, credentials, insurance, or bond coverage, Harbor shall maintain enough documentation to show what was verified, the date of verification, the source of verification, and the Harbor staff member completing the review.
A7.4 Harbor should review contractor documentation before services begin and periodically thereafter, based on the nature of the contracted service, expiration dates, service concerns, complaints, or quality improvement findings.

8.References & Regulatory Citations

This section serves as the regulatory citation index for this policy. It shows how Harbor’s contracted service procedures connect to Virginia home care organization requirements and related internal policy sections. This table helps staff, leadership, inspectors, auditors, and payer reviewers trace each major requirement to the applicable regulation and Harbor procedure.

Citation	Regulatory Requirement Summary	How Used in This Policy / Internal Cross-References
	Requires a written agreement for services not provided by Harbor employees.	Refs: 1.1, 2.1, 2.2, 3.1, 4.2.1, 4.2.2, 5.1, 5.2, 6.1, 6.2
	Identifies the required elements that must be addressed in each written agreement, including services furnished, plan of care or services participation, coordination and evaluation, documentation and scheduling, payment, and insurance or bond coverage.	Refs: 1.2, 2.4, 3.2, 4.2.2, 4.4.1, 4.4.3, 5.2, 5.3, 6.1, 6.5
	Requires a written plan for providing care or services when a contractor is unable to provide contracted services.	Refs: 1.3, 2.4, 3.3, 4.2.4, 4.4.3, 5.4, 6.6
	Requires contractors to conform to applicable organizational policies and procedures, including sworn disclosure statement and criminal record check requirements, and confirms Harbor’s responsibility for contracted services provided under its license.	Refs: 1.4, 1.5, 2.2, 3.4, 4.1.2, 4.2.3, 4.2.5, 4.4.2, 5.1.3, 5.3, 5.5, 5.6, 6.3, 6.7
	Supports Governing Body accountability for the organization’s management, operation, and compliance, including oversight of services provided under Harbor’s license.	Refs: 4.1, 7
	Supports Administrator responsibility for day-to-day management, coordination, and implementation of Harbor operations.	Refs: 4.2, 5.1, 5.4, 5.6, 7
	Supports maintaining written policies, procedures, and controlled administrative records.	Refs: 1.6, 4.2.6, 6, 7
	Supports personnel qualification, screening, sworn disclosure, criminal record check, orientation, and identification expectations that may apply to contractor personnel.	Refs: 1.4, 4.2.3, 5.3.3, 5.5, 6.3, 6.4, 7
	Supports indemnity coverage, liability insurance, third-party crime insurance, and blanket fidelity bond expectations related to services provided by Harbor and contractors.	Refs: 5.2.7, 6.5, 7
	Supports client rights, dignity, privacy, confidentiality, and respectful service delivery when contractors interact with clients.	Refs: 5.3.2, 5.3.3, 7
	Supports complaint reporting, review, documentation, and resolution when complaints or concerns involve contracted services.	Refs: 4.2.5, 5.6.1, 6.7, 7
	Requires quality improvement activities that may include contractor-related service concerns, complaints, documentation issues, missed services, performance trends, corrective actions, and service outcomes.	Refs: 1.5, 2.4, 4.2.5, 4.3.2, 5.4.4, 5.6, 6.7, 7
	Supports maintenance of client records and documentation submitted by contractors when contracted services affect client care or service delivery.	Refs: 5.2.5, 5.3, 6, 7
	Supports coordination, supervision, service delivery, and continuity requirements when contracted services affect personal care services.	Refs: 5.3, 5.4, 5.6, 7

Harbor shall maintain the current version of this policy as a controlled document within the policy and procedure manual and make it available for oversight, audit, payer review, or licensing survey activities.
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Implementation Guidance

A9 Section 8 is the citation index for this policy. Staff, leadership, inspectors, auditors, and payer reviewers may use this table to trace each major contracted-service requirement to the applicable regulation and internal policy section.
A10 Regulatory citations should open in the regulation reference panel when available. Internal Harbor policy references should be reviewed through Section 7 related-policy preview cards.
A11 Harbor reviews regulatory citations periodically and updates this policy when regulatory requirements, Harbor services, contractor practices, or survey expectations change.