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Office of Mental Health

Home and Community Based Services (HCBS) Waiver
Guidance Document
Division of Children and Families

400.4

Progress Notes: ICC, Subcontract Worker and Group Notes

Policy

Progress note documentation is a very important function of the Individualized Care Coordinators (ICCs) and subcontract workers. Progress Notes are completed when workers provide services to the child or when any significant event occurs during the child’s enrollment in the HCBS Waiver. These notes provide an opportunity for objective observations during home visits, contacts on phone and during other service provision occasions.  Progress notes present a picture of the unique child and family as well as of how the ICC Agency has implemented the HCBS Waiver. The Waiver’s philosophy, values and successes are reflected in these notes. Progress Notes often are the reviewed documentation in audits for comparison against Medicaid billing claims, flex dollar usage and relationship to goals and objectives. All Progress Notes must indicate both whether the contact was with the child or was collateral and whether it was face-to-face or telephone. Additionally, Progress Notes must specify which of the six services is being provided.  Each Progress Note must be complete, timely, and must accurately relate to, and identify, the child’s service plan goal and objective(s). Notes must identify areas of need and be written in a strengths-based manner. 

A billable ICC contact is a face-to-face interaction for a minimum of 15 minutes. Six face-to-face contacts are required each month, three of which must be with the child. All qualifying face-to-face contacts must be recorded via sample ICC Contact Tracker Log to summarize and verify that the appropriate contacts were made to coincide with progress note documentation and billing requirements.

Purpose of the Progress Note

Progress Notes provide a narrative history of the child’s progress.  A Progress Note:

Progress Note Content

Progress Notes must specify:

Group Progress Notes

Note that for group progress notes, in addition to the above, the type of group (Respite, Skill Building or Family Support Services) and the worker to child ratio must be indicated. The Group Progress Note form should be used and filed in a separate section of the case record.

When Skill Building groups include the Waiver sibling(s) and/or caregiver(s), the sibling and caregiver must be noted in the service plan to be billableand their purpose in the group must be directly related to the Waiver child’s goals and objectives. One Group Progress Note must be written for each group. If the group includes Waiver child’s siblings or caregivers, this must be indicated in the heading with their name(s). When writing the note, a description must be given of what occurred as it pertains to each participant for whom there will be billing. Included must be how the inclusion of siblings/caregivers relates to the specific identified goals and objectives of the Waiver child. It is essential that the Progress Note be fully completed.

Subcontract Worker Progress Notes

For every HCBS Waiver service delivered to an enrolled child or family member, progress notes must be completed by the worker and must comply with all of the above criteria.  The subcontractor must submit original progress notes to the ICC Agency immediately following  service delivery except in cases where respite care is provided under the Waiver in an Office of Mental Health certified Community or Crisis Residence (copies are then sent to the ICC Agency by the subcontractor).  The ICC monitors service delivery and coordinates any needed services that arise from other worker contact with the child and family.

Comments or questions about the information on this page can be directed to the Home and Community Based Waiver Program.