Tennessee Home Care Compliance Checklist 2026

TennCare surveys can happen with little or no advance notice. When a compliance officer walks through your door, you need to be able to produce documentation quickly — not spend the next two hours pulling spreadsheets together.

This checklist covers the four core areas TennCare surveyors focus on for home care and DSP agencies in Tennessee. Use it as a monthly self-audit to ensure you're always ready.

📋 How to use this checklist: Go through each section monthly. Any item you can't check off is a gap that needs to be addressed before your next survey.

1. Registry Exclusion Checks

TennCare requires agencies to screen every employee against federal and state exclusion databases before hire and on a monthly basis thereafter. This is one of the first things surveyors look for.

OIG LEIE check completed for all current employees this monthOffice of Inspector General — List of Excluded Individuals & Entities. Updated monthly.

SAM.gov check completed for all current employees this monthSystem for Award Management federal exclusions database. 167,000+ records.

TennCare TTPL check completed for all current employees this monthTennCare Terminated Provider List — Tennessee-specific exclusion database.

Pre-employment exclusion checks documented for all new hiresMust be completed before the employee provides any services.

Source file documentation saved for each check (OIG, SAM, TTPL filenames and dates)Surveyors may ask which database version was used — document it every month.

Monthly compliance report generated and savedPDF report showing all employees checked, results, and source files — organized by month.

⚠️ Common gap: Many agencies run checks at hire but skip monthly re-verification. A single missed month creates a documentation gap that surveyors will flag.

2. Employee Certifications

Beyond registry checks, TennCare surveyors verify that employees hold current required certifications. Expired certifications — even by a single day — can result in survey findings.

Driver's License — current and not expired for all employees who transport clientsRequired for any employee operating a vehicle in the course of client care.

Auto Insurance — current coverage verified for employees who use personal vehiclesLiability coverage required for employees transporting clients in personal vehicles.

CPR Certification — current for all direct care staffMost TennCare-funded programs require current CPR certification for direct care workers.

Medication Administration Certification — current for staff who administer medicationsRequired for any employee authorized to assist with or administer medications.

TB Test — completed within required timeframe for all staffAnnual TB screening is required for most home care and DSP staff in Tennessee.

Orientation Completion — documented for all employeesInitial orientation must be completed and documented before an employee begins client-facing work.

3. Personnel File Documentation

Every employee should have a complete personnel file that can be produced during a survey. Missing documentation is one of the most common survey findings — and one of the most preventable.

Signed employment application on file for each employee

Reference checks documented prior to hire

Copy of government-issued ID on file

I-9 Employment Eligibility Verification completed and on file

Signed job description and acknowledgment of responsibilities

Performance evaluations completed per agency policy

Training records — all required trainings documented with dates and signatures

4. Survey Readiness

Beyond documentation, surveyors assess whether your agency has systems in place to maintain compliance on an ongoing basis. Being able to demonstrate a consistent process matters as much as having the documents.

Monthly compliance reports organized and accessible — at least 12 months on handSurveyors typically ask for the prior 12 months of compliance documentation.

Compliance calendar in place — monthly check dates scheduled and assignedSomeone should own each monthly check. Ad hoc compliance leads to gaps.

Certification expiry tracking in place — alerts set for upcoming expirationsDon't wait until a certification expires — track renewal dates 60-90 days in advance.

Process documented for what happens when a match is found on an exclusion listSurveyors may ask about your response protocol — have it written down.

New hire compliance checklist in use — registry checks and certifications verified before first day

How Often Should You Run Through This Checklist?

The registry check items should be completed every month without exception. The certification and personnel file items should be reviewed at least quarterly, with expiry dates monitored continuously.

The most survey-ready agencies treat compliance as a standing monthly process — not something they scramble to prepare when a survey is announced. By the time a surveyor arrives, everything should already be current and organized.

Automating Your Monthly Compliance Process

The registry check portion of this checklist — OIG, SAM.gov, and TTPL verification — can be fully automated. ClearCheckTN runs all three checks simultaneously when you upload your employee list, generates a survey-ready PDF report with source file documentation, and sends monthly reminders so you never miss a cycle.

Certification tracking is also built in — set expiry dates for each employee's certifications and get automatic alerts when renewals are coming up. Everything surveyors look for, organized in one place.

Stay survey-ready every month

Automate your OIG, SAM.gov, and TTPL checks. Track employee certifications. Get monthly reminders and survey-ready PDF reports — starting at $149/month.

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Frequently Asked Questions

How far back do TennCare surveyors typically look?

TennCare surveys typically cover the prior 12 months of compliance documentation. Having at least 12 months of monthly registry check reports organized and accessible is the standard to aim for.

What happens if a surveyor finds a gap in monthly checks?

A gap in monthly exclusion checks is a compliance finding. Depending on the severity and whether excluded individuals were actually employed during the gap period, consequences can range from a corrective action plan to repayment demands.

Do I need to check contractors and volunteers, not just employees?

Yes. TennCare's exclusion check requirements generally apply to anyone who provides services to TennCare beneficiaries — including contractors, volunteers, and temporary staff. Check your specific program requirements for details.

Is there a standard format for compliance documentation?

TennCare doesn't mandate a specific format, but documentation should show the employee name, the date of the check, which database was used, and the result. A dated PDF with source file documentation is the most defensible format during a survey.