Adult Foster Homes

Link to law: http://arcweb.sos.state.or.us/pages/rules/oars_300/oar_309/309_040.html
Published: 2015

The Oregon Administrative Rules contain OARs filed through November 15, 2015

 

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OREGON HEALTH AUTHORITY,

ADDICTIONS AND MENTAL HEALTH DIVISION: MENTAL HEALTH SERVICES

 

DIVISION 40
ADULT FOSTER HOMES

309-040-0000 [Renumbered to 309-040-0300]
309-040-0005 [Renumbered to 309-040-0305]
309-040-0010 [Renumbered to 309-040-0310]
309-040-0011 [Renumbered to 309-040-0320]
309-040-0012 [Renumbered to 309-040-0325]
309-040-0015 [Renumbered to 309-040-0315]
309-040-0020 [Renumbered to 309-040-0340]
309-040-0025 [Renumbered to 309-040-0345]
309-040-0030 [Renumbered to 309-040-0335]
309-040-0035 [Renumbered to 309-040-0350]
309-040-0040 [Renumbered to 309-040-0355]
309-040-0045 [Renumbered to 309-040-0360]
309-040-0050 [Renumbered to 309-040-0365]
309-040-0052 [Renumbered to 309-040-0390]
309-040-0055 [Renumbered to 309-040-0395]
309-040-0057 [Renumbered to 309-040-0450]
309-040-0060 [Renumbered to 309-040-0400]
309-040-0065 [Renumbered to 309-040-0410]
309-040-0070 [Renumbered to 309-040-0405]
309-040-0075 [Renumbered to 309-040-0415]
309-040-0090 [Renumbered to 309-040-0420]
309-040-0092 [Renumbered to 309-040-0425]
309-040-0093 [Renumbered to 309-040-0430]
309-040-0095 [Renumbered to 309-040-0435]
309-040-0097 [Renumbered to 309-040-0440]
309-040-0098 [Renumbered to 309-040-0445]
309-040-0099 [Renumbered to 309-040-0455]
309-040-0100 [Renumbered to 309-040-0330]
309-040-0200 [Renumbered to 410-009-0050]
309-040-0210 [Renumbered to 410-009-0060]
309-040-0220 [Renumbered to 410-009-0070]
309-040-0230 [Renumbered to 410-009-0090]
309-040-0240 [Renumbered to 410-009-0100]
309-040-0250 [Renumbered to 410-009-0110]
309-040-0260 [Renumbered to 410-009-0120]
309-040-0270 [Renumbered to 410-009-0130]
309-040-0280 [Renumbered to 410-009-0140]
309-040-0290 [Renumbered to 410-009-0160]
309-040-0300
Purpose and Scope
(1) Purpose. These rules prescribe
the standards and procedures for the provision of care and services to residents
with mental illness in the Addictions and Mental Health Division of the Oregon Health
Authority (Authority) adult foster homes as a condition for licensure and payment.
The care and services are designed to promote the resident's right to independence,
choice and decision making while providing a safe, secure, homelike environment.
The resident's needs shall be addressed in a manner, which enables the resident
to function at the highest level of independence possible.
(2) Scope. These rules apply
to adult foster homes for five or fewer residents.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0000, MHD 3-2005, f. & cert. ef. 4-1-05; MHS 11-2011(Temp), f.
& cert. ef. 12-5-11 thru 5-31-12; MHS 4-2012, f. 5-3-12, cert. ef. 5-4-12
309-040-0305
Definitions
As used in these rules the following
definitions apply:
(1) "Abuse" includes but is
not limited to:
(a) Any death caused by other
than accidental or natural means or occurring in unusual circumstances;
(b) Any physical injury caused
by other than accidental means, or that appears to be at variance with the explanation
given of the injury;
(c) Willful infliction of physical
pain or injury;
(d) Sexual harassment or exploitation
including, but not limited to, any sexual contact between an employee of a community
facility or community program, or provider, or other caregiver and the adult. For
situations other than those involving an employee, provider, or other caregiver
and an adult, sexual harassment or exploitation means unwelcome verbal or physical
sexual contact including requests for sexual favors and other verbal or physical
conduct directed toward the adult;
(e) Neglect that leads to physical
harm through withholding of services necessary to maintain health and well being;
(f) Abuse does not include spiritual
treatments by a duly accredited practitioner of a recognized church or religious
denomination when voluntarily consented to by the adult.
(2) "Abuse Investigation and
Protective Services" means an investigation and any subsequent services or supports
necessary to prevent further abuse as required by ORS 430.745 to 430.765 and OAR
943-045-0000, or any other rules established by the Authority
applicable to allegations of abuse of residents of an Adult Foster Home licensed
by the Division.
(3) "Activities of Daily Living
(ADL)" are those individual skills necessary for a resident's continued well being
including eating and nutrition, dressing, personal hygiene, mobility, and toileting.
(4) "Administration of Medication"
means administration of medicine or a medical treatment to a resident as prescribed
by a Licensed Medical Practitioner.
(5) "Adult Foster Home (AFH)"
means any home licensed by the Addictions and Mental Health Division of the Oregon
Health Authority in which residential care is provided to five or fewer adults who
are not related to the provider by blood or marriage as described in ORS 443.705
through 443.825. For the purpose of these rules, if an adult family member receives
care, he or she must be included as one of the residents within the total license
capacity of the home. A home or person that advertises, including word-of-mouth
advertising, to provide room, board, and care and services for adults, is deemed
to be an Adult Foster Home. For the purpose of these rules, an Adult Foster Home
does not include facilities referenced in 443.715(1)(2)(3)(4).
(6) "Applicant" means any person
or entity that makes an application for a license that is also the owner of the
business.
(7) "Assessment" means an evaluation
of a resident and the resident's level of function completed by a case manager and
provides the basis for the development of the resident's Personal Care Plan.
(8) “Authority”
means the Oregon Health Authority.
(9) "Authorized Department Representative"
means an employee of the Addictions and Mental Health Division or the designee of
the local Community Mental Health Program.
(10) "Behavioral Interventions"
means those interventions that will modify the resident's behavior or the resident's
environment.
(11) "Bill of Rights" means
civil, legal or human rights afforded to Adult Foster Home residents, which are
in accord with those rights afforded to all other U.S. citizens, including but not
limited to those rights delineated in the Adult Foster Home Bill of Rights as described
in OAR 309-040-0390(7).
(12) "Board of Nursing Rules"
means the standards for Registered Nurse Teaching and Delegation and assignments
to Unlicensed Persons according to the statutes and rule of the Oregon State Board
of Nursing, chapter 851, division 47, ORS 678.010 to 678.445.
(13) "Care" means the provision
of but is not limited to services of room, board, services and assistance with activities
of daily living, such as assistance with bathing, dressing, grooming, eating, money
management, recreational activities, and medication management. Care also means
services that promote maximum resident independence and enhance quality of life.
(14) "Case Management" means
identified services provided by qualified persons to residents by local, regional
or state allied agencies or other service providers. Case management includes advocating
for the resident's treatment needs, providing assistance in obtaining entitlements
based on mental or emotional disability, accessing housing or residential programs,
coordinating services including mental health treatment, educational or vocational
activities, and arranging alternatives to inpatient hospital services.
(15) "Case Manager" means a
person employed by a local, regional, or state allied agency approved by the Division
to provide case management services. In accordance with OAR 309-032-0545(2)(g)–(j),
Standards for Adult Mental Health Services, when a resident resides in a Adult Foster
Home, the case manager shall assist in development of the Personal Care Plan. Additionally,
the case manager must evaluate the appropriateness of services in relation to the
consumer’s assessed need and review the Personal Care Plan every 180 days.
(16) "Community Mental Health
Program (CMHP)" means the organization of all services for persons with mental or
emotional disturbances, drug abuse problems, and alcoholism and alcohol abuse problems,
operated by, or contractually affiliated with, a local mental health authority,
operated in a specific geographic area of the state under an intergovernmental agreement
or direct contract with the Division.
(17) "Compensation" means payments
made by or on behalf of a resident to a provider in exchange for room and board,
care and services, including services described in the resident's Personal Care
Plan.
(18) "Complaint Investigation"
means an investigation of any allegation that a provider has taken action, which
is perceived as contrary to law, rule, or policy but does not meet the criteria
for an abuse investigation.
(19) "Condition"
means a provision attached to a new or existing license, which limits or restricts
the scope of the license or imposes additional requirements on the licensee.
(20) "Contested Case Hearing" means an
arbitrated hearing resulting in a directed or recommended action. The hearing is
held at the request of the provider or the Division in response to an action, sanction,
or notice of finding issued by the Division that would result in the loss of license
of the provider or other sanctions that would adversely affect the license of the
provider. The hearing group is composed of:
(a) The provider and if the
provider chooses, the provider's attorney;
(b) The Division as represented
by the Attorney General's Office; and
(c) The Office of Administration
Hearings Administrative Law Judge.
(21) "Contract" means a written
agreement between a provider and the Division to provide room and board, care and
services for compensation for residents of a licensed Adult Foster Home.
(22) "Controlled Substance"
means any drug classified as schedules one through five under the Federal Controlled
Substance Act.
(23) "Criminal History Check
(CHC)" means the Oregon Criminal History Check and when required, a National Criminal
History check and or a State-Specific Criminal History check, and the processes
and procedures required by the rules OAR 943-007-0000 through 943-007-0500 Criminal
History Check.
(24) "Day Care" means care and
services in an Adult Foster Home for a person who is not a resident of the Adult
Foster Home. Children under the age of five living in the Adult Foster Home are
included in the licensed capacity of the home.
(25) "Declaration for Mental
Health Treatment" means a document that states the resident’s preferences
or instructions regarding mental health treatment as defined by ORS 127.700 through
127.737.
(26) "Director" means the Director
of the Oregon Health Authority or that person's designee.
(27) "Discharge Summary" means
a document that describes the conclusion of the planned course of services described
in the resident's individualized personal care plan, regardless of outcome or attainment
of goals described in the resident's individualized personal care plan. In addition,
the discharge summary addresses resident's monies, financial assets and monies,
medication and personal belongings at time of discharge.
(28) “Division”
means the Addictions and Mental Health Division of the Oregon Health Authority.
(29) “Employee”
means a person who is employed by a licensed Adult Foster Home (AFH), who receives
wages, a salary, or is otherwise paid by the AFH for providing the service. The
term also includes employees of other providers delivering direct services to clients
of AFHs.
(30) "Exempt Area" means a county
agency that provides similar programs for licensing and inspection of Adult Foster
Homes which the Director finds equal to or superior to the requirements of ORS 443.705
to 443.825 and which has entered into an agreement with the Authority to license,
inspect, and collect fees according to the provisions of 443.705 to 443.825.
(31) "Family Member" for the
purposes of these rules, means a husband or wife, natural parent, child, sibling,
adopted child, domestic partner, adopted parent, stepparent, stepchild, stepbrother,
stepsister, father-in-law, mother-in-law, son-in-law, brother-in-law, sister-in-law,
grandparent, grandchild, aunt, uncle, niece, nephew, or first cousin.
(32) "Home" means the Adult
Foster Home (AFH).
(33) "Homelike Environment"
means an Adult Foster Home setting, which promotes the dignity, safety, independence,
security, health and comfort of residents through the provision of personalized
care and services to encourage independence, choice, and decision making of the
residents.
(34) "House Rules" means those
written standards governing house activities developed by the provider and approved
by the Authority or designee. These standards must not conflict with the Adult Foster
Home Bill of Rights.
(35) "Incident Report" means
a written description and account of any occurrence including but not limited to,
any injury, accident, acts of physical aggression, use of physical restraints, medication
error, any unusual incident involving a resident or the home and/or providers.
(36) "Informed Consent for Services"
means that the services to be provided by the Adult Foster Home provider to the
person have been explained to the person and guardian, if applicable, and explained
in a manner that they may comprehend.
(37) "Initial Personal Care
Plan (IPCP)" means a written document developed for a resident within 24 hours of
admission to the home. The document must address the care and services to be provided
for the resident during the first 30 days or less until the Personal Care Plan can
be developed. At a minimum the IPCP must contain goals that address the following:
Immediate health care support needs, medication management issues, safety and supervision
needs, activities of daily living that the resident needs assistance with completing
as well as any pertinent information as required by the case manager or their designee
at the time of the admission. The provider must develop an Initial Personal Care
Plan (IPCP) within 24 hours of admission to the Adult Foster Home.
(38) "Level One Adult Foster
Home" means an Adult Foster Home licensed by the Division to provide care and services
to individuals with severe and persistent mental illness, who may also have limited
medical conditions.
(39) "License" means a document
issued by the Authority to applicants who are determined by the Authority or designee
to be in substantial compliance with these rules.
(40) "Licensed Medical Practitioner
(LMP)" means any person who meets the following minimum qualifications as documented
by the CMHP or designee and holds at least one of the following educational degrees
and a valid license:
(a) Physician licensed to practice
in the State of Oregon; or
(b) Nurse practitioner licensed
to practice in the State of Oregon.
(41) "Licensee" means the person
or entity to whom a license is issued and whose name(s) is on the license.
(42) "Local Mental Health Authority
(LMHA)" means the county court or board of county commissioners of one or more counties
who choose to operate a community mental health program, or in the case of a Native
American reservation, the tribal council, or if the county declines to operate or
contract for all or part of a community mental health program, the board of directors
of a public or private corporation which directly contracts with the Authority to
operate a CMHP for that county.
(43) "Mandatory Reporter" means
any public or private official who, while acting in an official capacity, comes
in contact with and has reasonable cause to believe that the adult has suffered
abuse, or that any person with whom the official contact while acting in an official
capacity, has abused the adult. Pursuant to ORS 430.765(2) psychiatrists, psychologists,
clergy, and attorneys are not mandatory reporters with regard to information received
through communications that are privileged under 40.225 to 40.295.
(44) "Medication" means any
drug, chemical, compound, suspension or preparation in suitable form for use as
a curative or remedial substance taken either internally or externally by any person.
(45) "Mental or Emotional Disturbances
(MED)" means a disorder of emotional reactions, thought processes, or behavior that
results in substantial subjective distress or impaired perceptions of reality or
impaired ability to control or appreciate the consequences of the person's behavior
and constitutes a substantial impairment of the person's social, educational, or
economic functioning. Medical diagnosis and classification must be consistent with
the Diagnostic and Statistical Manual of Mental Disorders of the American Psychiatric Association (DSM-IV). As used in
these rules, this term is functionally equivalent to "serious and persistent mental
illness."
(46) “Mistreatment” means the
following behaviors, displayed by an employee, program staff, provider or volunteer
of an AFH when directed toward an individual:
(a) “Abandonment”
means desertion or willful forsaking when the desertion or forsaking results in
harm or places the individual at a risk of serious harm.
(b) “Financial Exploitation”
means:
(A) Wrongfully taking the assets,
funds, or property belonging to or intended for the use of an individual.
(B) Alarming an individual by
conveying a threat to wrongfully take or appropriate money or property of the individual
if the individual would reasonably believe that the threat conveyed would be carried
out.
(C) Misappropriating, misusing,
or transferring without authorization any money from any account held jointly or
singly by an individual.
(D) Failing to use the income
or assets of an individual effectively for the support and maintenance of the individual.
“Effectively” means use of income or assets for the benefit of the
individual.
(c) “Involuntary Restriction”
means the involuntary restriction of an individual for the convenience of a caregiver
or to discipline the individual. Involuntary restriction may include but is not
limited to placing restrictions on an individual’s freedom of movement by
restriction to his or her room or a specific area, or restriction from access to
ordinarily accessible areas of the facility, residence or program, unless agreed
to by the treatment plan. Restriction may be permitted on an emergency or short
term basis when an individual’s presence would pose a risk to health or safety
to the individual or others.
(d) “Neglect” means
active or passive failure to provide the care, supervision, or services necessary
to maintain the physical and mental health of an individual that creates a significant
risk of harm to an individual or results in significant mental injury to an individual.
Services include but are not limited to the provision of food, clothing, medicine,
housing, medical services, assistance with bathing or personal hygiene, or any other
services essential to the well-being of the individual.
(e) “Verbal Mistreatment”
means threatening significant physical harm or emotional harm to an individual through
the use of:
(A) Derogatory or inappropriate
names, insults, verbal assaults, profanity, or ridicule.
(B) Harassment, coercion, punishment,
deprivation, threats, implied threats, intimidation, humiliation, mental cruelty,
or inappropriate sexual comments.
(C) A threat to withhold services
or supports, including an implied or direct threat of termination of services.
“Services” include but are not limited to the provision of food, clothing,
medicine, housing, medical services, assistance with bathing or personal hygiene,
or any other services essential to the well-being of an individual.
(D) For purposes of this definition,
verbal conduct includes but is not limited to the use of oral, written, or gestured
communication that is directed to an individual or within their hearing distance
or sight, regardless of their ability to comprehend. In this circumstance the assessment
of the conduct is based on a reasonable person standard.
(E) The emotional harm that
can result from verbal abuse may include but is not limited to anguish, distress,
or fear.
(f) “Wrongful Restraint”
means:
(A) A wrongful use of a physical
or chemical restraint excluding an act of restraint prescribed by a licensed physician
pursuant to OAR 309-033-0730.
(B) Wrongful restraint does
not include physical emergency restraint to prevent immediate injury to an individual
who is in danger of physically harming himself or herself or others. Provided that
only the degree of force reasonably necessary for protection is used for the least
amount of time necessary.
(47) "National Criminal History
Check" means obtaining and reviewing criminal history outside Oregon's borders.
This information may be obtained from the Federal Bureau of Investigation through
the use of fingerprint cards and from other criminal information resources in accordance
with OAR 943-007-0000 through 943-007-0500 Criminal History Check Rules.
(48) "Neglect" means an action
or inaction that leads to physical harm through withholding of services necessary
to maintain health and well-being. For purposes of this paragraph, "neglect" does
not included a failure of the state or a community program to provide services due
to a lack of funding available to provide the services.
(49) "Nurse Practitioner" means
a registered nurse who has been certified by the board as qualified to practice
in an expanded specialty role within the practice of nursing.
(50) "Nursing Care" means the
practice of nursing by a licensed nurse, including tasks and functions relating
to the provision of nursing care that are delegated under specified conditions by
a registered nurse to persons other than licensed nursing personnel, which is governed
by ORS chapter 678 and rules adopted by the Oregon State Board of Nursing in OAR
Chapter 851.
(51) "Nursing Delegation" means
that a registered nurse authorizes an unlicensed person to perform special tasks
of client/nursing care in selected situations and indicates that authorization in
writing. The delegation process includes nursing assessment of a client in a specific
situation, evaluation of the ability of the unlicensed person, teaching the task
and ensuring supervision.
(52) "Personal Care Plan (PCP)"
means a written plan outlining the care and services to be provided to a resident.
The PCP is based upon the review of current assessment, referral, observations,
resident preference, and input from members of the Personal Care Plan Team. The
plan identifies the care, services, activities, and opportunities to be provided
by the caregiver to promote the resident's recovery and independence.
(53) "Personal Care Plan Team
(PCP Team)" means a group composed of the resident, the case manager or other designated
representative CMHP representative, the provider and or resident manager, and others
needed including the resident's legal guardian, representatives of all current service
providers, advocates or others determined appropriate by the resident receiving
services. If the resident is unable or does not express a preference, other appropriate
team membership must be determined by the PCP team members.
(54) "Personal Care Services"
means services prescribed by a physician or other designated person in accordance
with the individual's plan of treatment. The services are provided by a caregiver
that is qualified to provide the service and is not a member of the individual's
immediate family. For those Adult Foster Home individuals who are Medicaid eligible,
Personal Care services are funded under Medicaid.
(55) "Practice of Registered
Nursing" means the application of knowledge drawn from broad in-depth education
in the social and physical sciences in assessing, planning, ordering, giving, delegating,
teaching and supervising care which promotes the person's optimum health and independence.
(56) “Program Staff”
means an employee or person who, by contract with an AFH provides a service and
who has the applicable competencies, qualifications, and certification, required
by the Integrated Services and Supports Rule (ISSR) (OAR 309-032-1500 through 309-032-1565)
to provide the service.
(57) "Provider" means a qualified
individual or an organizational entity operated by or contractually affiliated with
a community mental health program, or contracted directly with the Division for
the direct delivery of mental health services and supports to adults receiving residential
and supportive services in an AFH.
(58) "Psychiatric Security Review
Board (PSRB)" means the Board consisting of five members appointed by the Governor
and subject to confirmation by the Senate under Section Four, Article 111 of the Oregon Constitution and described in ORS 161.295
through 161.400 and OAR 309-032-1540.
(59) "Registered Nurse" means an individual
licensed and registered to practice nursing by the State of Oregon Board of Nursing
in accordance with ORS Chapter 678 and OAR Chapter 851.
(60) "Related" means spouse,
domestic partner, natural parent, child sibling, adopted child, adopted parent,
stepparent, stepchild, stepbrother, stepsister, father-in-law, mother-in-law, son-in-law,
daughter-in-law, brother-in-law, sister-in-law, grandparent, grandchild, aunt, uncle,
niece, nephew or first cousin.
(61) "Relative" means any person
identified as family members.
(62) "Resident" means any person
age 18 or older who receives room, board, care, and services in an Adult Foster
Home.
(63) "Resident Manager" means
an employee of the provider who is approved by the Division to live in the Adult
Foster Home and is responsible for the care and services of residents on a day-to-day
basis.
(64) "Residential Care" means
the provision of room, board, and services that assist the resident in activities
of daily living, such as assistance with bathing, dressing, grooming, eating, medication
management, money management or recreation. Residential care includes 24 hour supervision;
being aware of the residents' general whereabouts; monitoring the activities of
the resident while on the premises of the Adult Foster Home to ensure their health,
safety, and welfare; providing social and recreational activities; and assistance
with money management as requested.
(65) "Residents' Bill of Rights"
means residents of the Adult Foster Home have the following rights as defined in
ORS 443.739. Each resident has a right to:
(a) Be treated as an adult,
with respect and dignity;
(b) Be informed of all resident
rights and all house rules;
(c) Be encouraged and assisted
to exercise legal rights, including the right to vote;
(d) Be informed of the resident's
medical condition and the right to consent to or refuse treatment;
(e) Receive appropriate care
and services, and prompt medical care as needed;
(f) A safe and secure environment;
(g) Be free from mental and
physical abuse;
(h) Be free from chemical or
physical restraints except as ordered by a physician or other qualified practitioner;
(i) Complete privacy when receiving
treatment or personal care;
(j) Associate and communicate
privately with any person the resident chooses;
(k) Send and receive personal
mail unopened;
(l) Participate in activities
of social, religious and community groups;
(m) Have medical and personal
information kept confidential;
(n) Keep and use a reasonable
amount of personal clothing and belongings, and to have a reasonable amount of private,
secure storage space;
(o) Manage the resident's own
money and financial affairs unless legally restricted;
(p) Be free from financial exploitation.
The provider must not charge or ask for application fees or nonrefundable deposits
and must not solicit, accept or receive money or property from a resident other
than the amount agreed to for services;
(q) A written agreement regarding
the services to be provided and the rate schedule to be charged. The provider must
give 30 days' written notice before any change in the rates or the ownership of
the home;
(r) Not to be transferred or
moved out of the adult foster home without 30 days' advance written notice and an
opportunity for a hearing. A provider may transfer or discharge a resident only
for medical reasons including a medical emergency described in ORS 443.738(11)(a),
or for the welfare of the resident or other residents, or for nonpayment;
(s) Be free of discrimination
in regard to race, color, national origin, sexual orientation, disability, sex or
religion;
(t) Make suggestions and complaints
without fear of retaliation.
(66) "Respite Care" means the
provision of room, board, care, and services in an Adult Foster Home for a period
of up to 14 days. Respite care residents will be counted in the total licensed capacity
of the home. Respite care is not crisis respite care.
(67) "Restraints" means any
physical hold, device, or chemical substance, which restricts, or is meant to restrict,
the movement or normal functioning of a resident.
(68) "Room and Board" means
the provision of meals, a place to sleep, laundry and housekeeping.
(69) "Seclusion" means the involuntary
confinement of an individual to a room or area where the person is physically prevented
from leaving.
(70) "Self-Administration of
Medication" means the act of a resident placing a medication in or on their own
body. The resident identifies the medication and the times and manners of administration,
and placed the medication internally or externally on their own body without assistance.
(71) "Self Preservation" in
relation to fire and life safety means the ability of residents to respond to an
alarm without additional cues and be able to reach a point of safety without assistance.
(72) "Services" means those
activities which are intended to help the residents develop appropriate skills to
increase or maintain their level of functioning and independence. Services include
coordination and consultation with other service providers or entities to assure
residents access to necessary medical care, treatment, and/or services identified
in the resident's personal care plan.
(73) "Substitute Caregiver"
means any person meeting the qualifications of a caregiver who provides care and
services in an Adult Foster Home under the jurisdiction of the Authority in the
absence of the provider or resident manager. A resident may not be a substitute
caregiver.
(74) "Unusual Incident" means
those incidents involving acts of physical aggression, serious illnesses or accidents,
any injury or illness of a resident requiring a non-routine visit to a health care
practitioner, suicide attempts, death of a resident, a fire requiring the services
of a fire Department, or any incident requiring an abuse investigation.
(75) "Variance" means an exception
from a regulation or provision of these rules, granted in writing by the Authority,
upon written application from the provider.
(76) “Volunteer”
means a person who provides a service or who takes part in a service provided to
individuals receiving supportive services in an AFH or other provider, and who is
not a paid employee of the AFH or other provider. The services must be non-clinical
unless the person has the required credentials to provide a clinical service.
[Publications: Publications
referenced are available from the agency.]
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 426.072
& 443.705 - 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0005, MHD 3-2005, f. & cert. ef. 4-1-05; MHS 6-2007(Temp), f. &
cert. ef. 5-25-07 thru 11-21-07; MHS 13-2007, f. & cert. ef. 8-31-07; MHS 11-2011(Temp),
f. & cert. ef. 12-5-11 thru 5-31-12; MHS 4-2012, f. 5-3-12, cert. ef. 5-4-12
309-040-0310
License Required
(1) License Required. In accordance
with ORS 443.725 every provider of Adult Foster Care will be licensed with the Oregon
Health Authority before opening or operating an Adult Foster Care Home for adult
residents.
(a) A provider will live in
the home that is to be licensed or hire a resident manager to live in the home.
(b) There will be a provider,
resident manager or substitute caregiver on duty 24 hours per day in an Adult Foster
Home under the jurisdiction of the Department.
(2) Placement. No Adult Foster
Home will accept placement of a person without first being licensed by the Authority.
(3) Unlicensed Adult Foster
Home. No individual will be placed in an Adult Foster Home that is not licensed.
(4) Criminal History Check Requirements.
Providers, resident managers, substitute caregivers, volunteers and occupants over
the age of 16, excluding residents, will have documentation of an approved criminal
history/background check in accordance with ORS 181.537, 443.735 and OAR 943-007.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0010, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0315
License Application and
Fees
(1) Application. A completed,
written application will be submitted by the applicant on forms supplied by the
Division. The application is not complete until all information requested by the
Department and on the forms supplied by the Division is submitted to the Department.
Incomplete applications are void 60 days after initial receipt of by the Division.
(2) Additional Homes. A separate
application is required for each location operated as an Adult Foster Home.
(3) Contents of Application.
The application will include:
(a) The maximum resident capacity
requested and will include family members needing care, persons who receive respite
care, persons who receive day care and/or persons who receive room and board;
(b) A written statement from
a Licensed Medical Practitioner regarding the mental and physical ability of the
applicant to provide care to residents and to operate the Adult Foster Home. If
the applicant will employ a resident manager, the applicant will provide a written
statement from a physician or a Licensed Medical Practitioner regarding the mental
and physical ability of the resident manager to operate the Adult Foster Home and
to provide care to residents;
(c) A completed financial information
form provided by the Division. The applicant will demonstrate to the Division their
financial ability and the resources necessary to operate the Adult Foster Home.
Financial ability will include but is not limited to, providing the Division with
a list of unsatisfied judgments, pending litigation and unpaid taxes and notifying
the Division regarding whether the applicant is in bankruptcy. If the applicant
is unable to demonstrate the financial ability and resources required, the Division
may require the applicant to furnish a financial guarantee as a condition of initial
licensure in accordance with ORS 443.735(e) and 443.745;
(d) A completed Facility Provider
Enrollment Application;
(e) A signed letter of support
from the Local Mental Health Authority or designee for the applicant to be licensed
to operate the Adult Foster Home;
(f)
A copy of the documentation of Criminal History Check approval in accordance with
OAR943-007 for the provider(s), the resident manager,
caregiver(s), volunteers and other occupants over the age of 16, excluding residents,
and other persons as defined in ORS 443.735(5)(a)(b), (6)(a)(b)(c);
(g) A floor plan of the Adult Foster Home
showing the location and size of rooms, exits, secondary emergency egress, smoke
detectors and fire extinguishers and evidence of compliance with facility safety
requirements as described in OAR 309-040-0370(1) through (13);
(h) A completed Adult Foster
Home Self-Inspection Guide; and
(i) Each application will be
accompanied by a fee of $20 per bed requested for license. This fee is waived for
county-operated facilities.
(4) Review of Application. The
Division will determine compliance with these rules based on receipt of the completed
application material and fees, a review of information submitted, an investigation
of information submitted, an inspection of the Adult Foster Home and interviews
with the provider determined by the Division and other persons as identified by
the Division.
(5) Withdrawal of Application.
The applicant may withdraw the application at any time during the application process
by notifying the Authority in writing.
(6) Revocation, Surrender, Non-Renewal,
or Denial of Application. An applicant whose license has been revoked or voluntarily
surrendered, following a receipt of Notice of Intent to Revoke or Notice of Intent
of Non-Renewal from the Authority, or whose application has been denied by the Authority
for reasons relating to but not limited to, criminal convictions, civil proceedings
against the applicant, or substantiated allegations of abuse by the applicant will
not be permitted to submit an application for one year from the date that the revocation,
surrender or denial is made final. A longer period may be specified in the order
revoking or denying the license.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. & cert. ef.
1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0015, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0320
Classification of Adult
Foster Homes
The Division licenses Level
1 Adult Foster Homes. Level 1 Adult Foster Homes provide care and services to individuals
with severe and persistent mental illness, who may also have limited medical conditions.
(1) Level One. A Level 1 Adult
Foster Home license may be issued by the Authority based upon a determination that
a facility is in substantial compliance with these rules and a review of the qualifications
of the provider and the resident manager, if there is one, and compliance with the
following requirements.
(2) Requirement for Issuance
of License. A Level 1 Adult Foster Home license will be issued by the Division if
the applicant or resident manager completes the training requirements outlined in
OAR 309-040-0335, and the home and provider are in compliance with 309-040-0300
through 309-040-0455.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 6-1999, f. 8-24-99,
cert. ef. 8-26-99; Renumbered from 309-040-0011, MHD 3-2005, f. & cert. ef.
4-1-05
309-040-0325
Capacity
(1) Number of Residents. The
number of residents permitted to reside in an Adult Foster Home will be determined
by the ability of the caregiver to meet the care needs of the residents, the fire
safety standards, and compliance with the physical structure standards of these
rules. Determination of maximum licensed capacity will include consideration of
total household composition including children.
(a) Sleeping arrangements for
children in care will be safe and appropriate, based on the child's age, gender,
special needs, behavior, and history of abuse and neglect.
(b) Each child in care will
have a safe and adequate bed in which to sleep.
(2) Limiting Capacity. The following
limits apply:
(a) The number of residents
will be limited to five;
(b) Respite care persons are
included in the licensed capacity of five;
(c) Day care persons are included
in the licensed capacity of five;
(d) Adult family members of
the provider or resident manager who need care are included in the licensed capacity
of five; and,
(e) Child family members of
the provider or resident manager who need care may be included in the licensed capacity
of five.
(3) Ability to Provide Care.
If the number of persons who receive care exceeds the ability of the provider to
meet the care, health, life, and safety needs of the residents, the Division may
reduce the licensed capacity of the adult foster home.
(4) Conditions on Capacity.
the Division may place conditions, restrictions, or limitations on the AFH license
as necessary to maintain the health, life, and safety of the residents.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92); Renumbered from 309-040-0012, MHD 3-2005,
f. & cert. ef. 4-1-05
309-040-0330
Zoning for Adult Foster
Homes
An Adult Foster Home is a residential
use of property for zoning purposes. Under ORS 197.665, an Adult Foster Home is
a permitted use in any residential zone, including a residential zone, which allows
a single family dwelling, and in any commercial zone which allows a single family
dwelling. No city or county may impose any zoning requirement on the establishment
and maintenance of an Adult Foster Home in these zones that is more restrictive
than that imposed on a single-family dwelling in the same zone.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 6-1986, f. &
ef. 7-2-86; MHD 1-1992, f. & cert. ef. 1-7-92 (and corrected 1-31-92); MHD 1-1992,
f. & cert. ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert.
ef. 8-26-99; Renumbered from 309-040-0100, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0335
Training Requirements
for Providers, Resident Managers, and Substitute Caregivers
(1) Training Requirements and
Compliance. All providers, resident managers, and substitute caregivers will satisfactorily
meet all educational requirements established by the Oregon Health Authority. No
person may provide care to any resident prior to acquiring education or supervised
training designed to impart the basic knowledge and skills necessary to maintain
the health, safety and welfare of the resident. Required course work and necessary
skills may include, but are not limited to: physical caregiving; screening for care
and service needs; appropriate behavior towards residents with physical, cognitive
and emotional disabilities; emergency procedures; medication management; personal
care products; food preparation; home environment and safety procedures; residents'
rights; issues related to architectural accessibility; and, mandatory abuse reporting.
(2) Ability to Communicate.
The provider, resident manager, and substitutive caregivers will be able to understand
and communicate in oral and written English in accordance with ORS 443.730.
(3) Testing Requirements. Training
for all providers, resident managers and substitute caregivers will be in compliance
with ORS 443.738. The provider will satisfactorily pass any testing requirements
established by the Authority before being licensed or becoming a resident manager
or substitute caregiver. The test will be completed by the caregiver without the
help of any other person. The provider, resident manager and substitute caregiver
will have the ability to, but will
not be limited to, understanding and responding appropriately to emergency situations,
changes in medical conditions, physicians' orders and professional instructions,
nutritional needs, residents' preferences and conflicts.
(4) Exceptions to Training Requirements.
The Authority may make exceptions to the training requirements for persons who are
appropriately licensed medical care professional in Oregon or who possess sufficient
education, training, or experience to warrant an exception. The Authority will not
make any exceptions to the testing requirements.
(5) Unexpected and Urgent Staffing
Need. In accordance with ORS 443.738, the Authority may permit a person who has
not completed the training or passed the required test to act as a resident manager
until the training and testing are completed, or for 60 days, whichever is shorter,
if the Authority determines that an unexpected and urgent staffing need exists.
The licensed provider will notify the Division of the situation and demonstrate
that the provider is unable to find a qualified resident manager, that the person
has met the requirements for a substitute caregiver for the Adult Foster Home, and
that the provider will provide adequate supervision.
(6) Documentation of Current
Training and Testing. The provider or resident manager will maintain current documentation
of the training and testing of substitute caregivers including but not limited to:
(a) Documentation of criminal
history check in compliance with OAR 410-007-0200 through 410-007-0380.
(b) Documentation that substitute
caregiver has successfully completed the training required by the Division.
(c) Documentation that provider
has trained the caregiver to meet the routine and emergency needs of the residents.
(d) Documentation that provider
has oriented the caregiver to the residents in the Adult Foster Home, their care
needs and skills training, personal care plan, and the physical characteristics
of the Adult Foster Home.
(7) Annual Training Hours. The
Authority will require a minimum of twelve hours of training annually directly related
to the care and services for persons with mental illness. The training for the provider,
resident manager, and substitute caregiver of an Adult Foster Home will be documented
in the provider, resident manager, and substitute caregiver’s training records.
Such training will be in addition to any orientation, which is attended by applicants
prior to licensing and will include, but is not limited to:
(a) Understanding and Recognizing
Severe and Persistent Mental Illness
(b) Mandatory Abuse Reporting
(c) Medication Management, Dispensing,
and Documentation
(d) Incident Report Writing
(e) Resident Rights
(f) Adult Foster Home Emergency
Planning
(g) Fire Safety
(h) Complaints and Grievances
(i) Cardiopulmonary Resuscitation
(CPR) and First Aid
(8) Additional Training Requirements.
The Authority may require the provider, resident manager or substitute caregiver
to obtain additional training, whether or not the twelve hour annual training requirement
has already been met as specified by the Authority.
(9) Training for Delegated and/or
Assigned Nursing Care Services. Providers, resident managers or substitute caregivers
who perform delegated and/or assigned nursing care services as part of the Personal
Care Plan will receive training and appropriate monitoring from a registered nurse
on performance and delivery of those services.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0030, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0340
Issuance of a License
(1) Issuance of a License. Applicants
will be in substantial compliance with these Administrative Rules and Oregon Revised
Statutes (ORS) 443.705 through 443.825 before a license is issued. If cited deficiencies
are not corrected within time frames specified by the Authority, the application
will be denied. The Authority will issue a license to an applicant that is found
to be in substantial compliance with these rules. The license will state, but is
not limited to, the name of the applicant, name of the Adult Foster Home, address
of premises to which license applies, the maximum number of residents, resident
manager (if applicable), conditions (if applicable), license number, payment received,
effective date and expiration date, and the signature of the Assistant Administrator
of the Division. The license will be visibly posted in the Adult Foster Home and
available for inspection at all times.
(2) Conditions on a License.
The Authority may attach conditions to the license, which limit, restrict, or specify
other criteria for operation of the Adult Foster Home. Conditions to a license may
include, but are not limited to, care of a specifically identified individual. The
conditions will be posted with the license in the Adult Foster Home and be available
for inspection at all times.
(3) Reporting Changes. Each
licensee will report promptly to the Division any significant changes to information
supplied in the application or subsequent correspondence. Such changes include,
but are not limited to, changes in the Adult Foster Home name, owner entity, resident
manager, telephone number, and/or mailing address. Such changes include, but are
not limited to, changes in staffing when such changes are significant or impact
the health, safety, or well being of residents.
(4) Change of Ownership of an
Adult Foster Home. When an Adult Foster Home is sold, the prospective new owner
will apply for a license in accordance with OAR 309-040-0315 License Application
and Fees if the new owner intends to operate an Adult Foster Home to be licensed
by the Division.
(5) Transfer of License. An
Adult Foster Home license is not transferable or applicable to any location or persons
other than those specified on the license.
(6) Effective Date of a License.
A license is valid for one year from the effective date on the license unless sooner
revoked or suspended.
(7) Substantial Compliance Requirements.
Applicants will be in substantial compliance with these Administrative Rules before
a license is issued. If cited deficiencies are not corrected within the time frames
specified by the Authority, the license will be denied.
(8) Issuing a License in Compliance.
The Authority will not issue an initial license unless:
(a) The applicant and the Adult
Foster Home are in compliance with ORS 443.705 to 443.825 and the rules of the Authority;
(b) The Authority has completed
an inspection of the Adult Foster Home. If cited deficiencies are not corrected
within the time frames specified by the Authority, the application will be denied;
(c) The Authority has received
an approved criminal history records check on the applicant, resident manager, substitute
caregiver, and any occupant (other than a resident), 16 years of age or older or
is identified in ORS 443.735(5)(a)(b), (6)(a)(b)(c) and who will be residing in
or employed by the Adult Foster Home, as identified in OAR 943-007, and any other rules established by the Authority.
(9) Financial Ability and Resources.
The applicant will demonstrate to the Authority the financial ability and resources
necessary to operate the Adult Foster Home. The demonstration of financial ability
will include, but need not be limited to, providing the Authority with a list of
any unsatisfied judgments, pending litigation and unpaid taxes and notifying the
Authority regarding whether the applicant is in bankruptcy. If the applicant is
unable to demonstrate the financial ability and resources required by this paragraph,
the Authority may require the applicant to furnish a financial guarantee as a condition
of initial licensure.
(10) Resident
Manager Changes. If a resident manager changes during the period of the license,
the provider will notify the Division immediately and identify a plan for providing
care to the residents. The provider will submit a completed resident manager application
on forms supplied by the Division that include, a copy of the documentation of criminal
history background check and approval in accordance with OAR 943-007, a physicians statement and payment of a $10.00 fee. If the resident
manager is to change during the license renewal process the $10.00 is not applicable.
(11) Revised License. Upon receipt of the
completed resident manager application and approval by the Division a revised license
will be issued by the Division in accordance with ORS 443.738(1) through (4).
(12) 60-Day Provisional License.
Notwithstanding any other provision of ORS 443.735 or 443.725 or 443.738, the Authority
may issue a 60-day provisional license to a qualified person if the Authority determines
that an emergency situation exists after being notified that the licensed provider
of an Adult Foster Home is no longer overseeing operation of the Adult Foster Home.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. & cert. ef.
1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99); Renumbered
from 309-040-0020, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0345
Renewal
(1) Renewal Application and
Fee. The provider will submit a completed the Division renewal application and the
required fee at least 165 days prior to the expiration date of the license. If the
renewal application is not received from the Division within the time period described,
the provider must request the application from the Division or the County Mental
Health partner. If the completed renewal application and fee are not submitted prior
to the expiration date, the Adult Foster Home will be treated as an unlicensed facility,
subject to civil penalties.
(2) Exceptions for Renewal Application.
The renewal application will include the same information and fee as required for
a new application, except that a physician's statement and financial information
form are not required if the Division can reasonably assume this information has
not changed.
(3) Additional Requirements
for Renewal Application. the Division will require the applicant to submit a current
(within six months) physician’s statement and a current (within six months)
criminal history check if investigation by the Division for license renewal indicates
that it is necessary.
(4) Information Investigation
and Site Inspection. the Division will investigate any information in the renewal
application and will conduct an inspection of the Adult Foster Home.
(5) Inspection Report. The provider
will be given a formal written report from the inspection citing any deficiencies
and a time frame for correction that does not exceed 30 days from the date of the
inspection report unless otherwise noted in the inspection report.
(6) Correction of Deficiencies.
the Division will require the Adult Foster Home provider to correct deficiencies
prior to issuing a renewed license. If cited deficiencies are not corrected within
the time frame specified by the Division, the renewal application will be denied
and administrative sanctions will be imposed.
(7) Requirements for License
Renewal. the Division will not renew a license unless:
(a) The applicant and the Adult
Foster Home are in compliance with ORS 443.705 to 443.825 and the rules of the Division;
(b) The Division has completed
an inspection of the Adult Foster Home;
(c) The Division has completed
a criminal records check as required by ORS 181.536 through 181.537, 443.735 and
OAR 943-007 on the applicant and any occupant, other than
a resident, 16 years of age or older or is identified in ORS 443.735(5)(a)(b), (6)(a)(b)(c)
and who will be residing in or employed by or otherwise acting as a provider, resident
manager, substitute caregiver or volunteer for the Adult Foster Home provider.
(8) National Criminal Record
Check. The provider, resident manager, substitute caregiver or volunteer or person
residing in the Adult Foster Home may continue to work or reside in the home pending
the national criminal records check provided that the Oregon criminal record check
was clear and no convictions were self disclosed in accordance with OAR 943-007.
(9) Criminal Record Check. A
criminal records check will be completed for the applicant and any occupant, other
than a resident, 16 years of age or older who will be residing in or employed by
or otherwise acting as a provider, resident manager, substitute caregiver or volunteer
for the Adult Foster Home provider if the Division believes there is reason to justify
a new criminal history check in accordance with OAR 943-007
Criminal History Check Required.
(10) Burden of Proof —
Less than 24 Months. An Adult Foster Home provider seeking initial licensing or
in operation for less than 24 months, carries the burden of proof to establish compliance
with ORS 443.705 to 443.825 and the Division rules.
(11) Burden of Proof —
More than 24 Months. The burden of proof will be upon the Division to establish
compliance with ORS 443.705 to 443.825 and the Division rules if an Adult Foster
Home provider is seeking renewal of a license and has been in continuous operation
for more than 24 months.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0025, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0350
Variance
(1) A provider or applicant
may apply to the Authority for a variance from a provision of these rules. The provider
must justify to the Authority that such a variance does not jeopardize the health,
life, or safety of the residents, and the variance would not violate or compromise
applicable ORS.
(2) No variance will be granted
from a regulation or provision of these rules pertaining to the license capacity
of the Adult Foster Home, inspections of the Adult Foster Home, civil, legal and
human rights, and inspection of the public files. No variance related to fire and
life safety will be granted by the Authority without prior consultation with the
local fire Authority or its designee.
(3) A provider or applicant
may apply to the Authority for a variance specific to each individual resident under
ORS 443.725, subject to the following requirements:
(a) The variance is effective
only for the specific resident who has been assessed and meets the safety requirements
prescribed by the Authority. This assessment shall become part of the resident’s
PCP;
(b) A variance allowing a specific
resident to be in the Adult Foster Home alone shall not exceed 4 hours in a 24 hour
period;
(c) No variance allows a provider
to leave a resident alone in the Adult Foster Home between the hours of 11:00 pm
to 6:00 am; and
(b) 24 hour per day care shall
continue for any resident that does not qualify to be in the Adult Foster Home alone.
(4) Variances will be granted
or denied in writing. All variances granted will be reviewed with each license renewal
under OAR 309-040-0345. A variance granted to one Adult Foster Home provider, or
a variance granted regarding a specific resident, does not constitute a precedent
for any other Adult Foster Home, provider or resident.
(5) The AFH provider or applicant
may appeal the denial of a variance request by submitting a request for reconsideration
in writing to the Authority. The Authority will make a decision on the appeal within
30 days of receipt of the appeal. The decision of the Authority will be final.
Stat. Auth.: ORS 413.042
Stats. Implemented: ORS 443.705 - 443.825
Hist.: MHD 19-1985(Temp), f. & ef.
12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert. ef. 1-7-92
(and corrected 1-31-92); Renumbered from 309-040-0035, MHD 3-2005, f. & cert.
ef. 4-1-05; MHS 2-2007(Temp), f. & cert. ef. 5-4-07 thru 10-31-07; MHS 12-2007,
f. & cert. ef. 8-31-07
309-040-0355
Contracts
(1) Public Assistance Individuals.
Providers who care for public assistance individuals must enter into a contract
with the Authority and follow Authority rules governing reimbursement for services
and refunds.
(2) Private Pay Individuals.
Providers who care for private paying residents must enter into a signed contract
with the resident or person paying for care. This contract will include, but is
not limited to, a Personal Care Plan (PCP), a schedule of rates, conditions under
which the rates can be changed, and the Adult Foster Home's policy on refunds at
the time of hospitalization, death, discharge, or voluntary move.
(3) Notification of Increases,
Additions, and Other Modifications of Rates. Thirty days prior written notification
of increases, additions, and other modifications of the rates to be charged will
be given by the provider to private residents or persons paying for care unless
the change is due to a medical emergency resulting in a greater level of care, in
which case the notice will be given within ten days of the change.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0040, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0360
Qualifications for Adult
Foster Home Providers, Resident Managers and Other Caregivers
(1) Qualifications for a Provider.
An Adult Foster Home provider must meet the following qualifications:
(a) Be at least 21 years of
age;
(b) Live in the Adult Foster
Home to be licensed, unless an approved resident manager lives in the Adult Foster
Home;
(c) Provide evidence satisfactory
to the Authority regarding experience, training, knowledge, interest, and concern
in providing care to persons with severe and persistent mental illness. Such evidence
may include, but is not limited to:
(A) Certified nurse's aide training;
(B) Nursing home, hospital or
institutional work experience;
(C) Licensed practical nurse
or registered nurse training and experience;
(D) Training approved by the
Authority;
(E) Experience in caring for
persons with severe and persistent mental illness at home; and
(F) Home management skills.
(d) Possess the physical health
and mental health determined necessary by the Authority to provide 24-hour care
for adults who are mentally ill. Applicants must have a statement from a physician,
on a form provided by the Authority, that they are physically and mentally capable
of providing care;
(e) Undergo a criminal history
check in accordance with OAR 943-007 and be deemed eligible
for licensure by the Authority. The Authority will evaluate and verify information
regarding criminal history;
(f) Provide evidence of sufficient
financial resources to operate an Adult Foster Home for at least two months, unless
the application is for renewal of an Adult Foster Home that is already in operation.
A credit reference check may be required;
(g) Be literate and capable
of understanding written and oral orders and communicating with residents, physician,
case manager, and appropriate others; and be able to respond appropriately to emergency
situations at all times;
(h) If transporting residents
by motorized conveyance, must have a current driver's license in compliance with
the Authority of Motor Vehicles laws and vehicle insurance as required by the State
of Oregon.
(2) Qualifications for a Resident
Manager. The resident manager will meet the provider qualifications listed in subsection
(1)(a) through (h) of this rule. A resident manager applicant may work in the home
pending outcome of the national criminal history check, if the Oregon criminal history
check was clear and no convictions were self-disclosed on the criminal record authorization.
(3) Qualifications for a Substitute
Caregiver. Substitute caregivers left in charge of residents for any period of time
will have access to resident records and meet the following qualifications:
(a) Be at least 18 years of
age;
(b) Be subject to a Criminal
History Check. A substitute caregiver may work in the home pending outcome of the
national criminal history check providing the Oregon criminal history check was
clear and no convictions were self-disclosed on the criminal record authorization;
(c) Be able to communicate orally
and in writing with residents, physicians, case managers, and appropriate others;
(d) Know fire safety and emergency
procedures;
(e) Have a clear understanding
of job responsibilities, have knowledge of Personal Care Plans and be able to provide
the care specified for each resident's needs;
(f) Be able to meet the requirements
of a resident manager when left in charge of an Adult Foster Home for 30 days or
longer;
(g) Not be a resident; and
(h) If transporting residents
by motorized conveyance, must have a current driver's license in compliance with
Department of Motor Vehicles laws and vehicle insurance as required by the State
of Oregon.
(4) Providers Responsibility
for Standards. Providers will not hire or continue to employ a resident manager
or substitute caregiver that does not meet the standards stated in this rule.
(5) Providers Responsibility
for Supervision and Training. A provider is responsible for the supervision and
training of resident managers and substitute caregivers and their general conduct
when acting within the scope of their employment and/or duties.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0045, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0365
Facility Standards
In order to qualify for or maintain
a license, an Adult Foster Home will meet the following provisions.
(1) Compliance with Building
and Fire Code. Demonstrate compliance with Oregon Structural Specialty Code (OSSC) and Oregon Fire Code: and
(a) Each Adult Foster Home will
maintain up-to-date documentation verifying they meet applicable local business
license, zoning, and building and housing codes, and state and local fire and safety
regulations. It is the duty of the provider to check with local government to be
sure all applicable local codes have been met;
(b) Each Adult Foster Home established
on or after October 1, 2004 will meet all applicable State building, mechanical,
and housing codes for fire and life safety. The Adult Foster Home will be inspected
for fire safety by an inspector designated by the Authority using the recommended
standards established by the State Fire Marshal for facilities housing one to five
persons. Refer to Appendix I of the Oregon Fire Code, the Oregon Residential Specialty
Code, and the Oregon Structural Specialty Code. When deemed necessary by the Authority,
a request for fire inspection will be made to the State Fire Marshal.
(c) The building and furnishings
will be clean and in good repair and grounds will be maintained. Walls, ceilings,
and floors will be of such character to permit frequent washing, cleaning, orpainting. There will be no accumulation of garbage, debris,
rubbish or offensive odors;
(d) Stairways will be provided with handrails.
A functioning light will be provided in each room, stairway, and exit way; incandescent
light bulbs will be protected with appropriate covers. Yard and exterior steps will
be accessible to residents;
(e) The heating system will
be in working order. Areas of the Adult Foster Home used by residents will be maintained
at no less than 68 degrees Fahrenheit during the day and 60 degrees Fahrenheit during
sleeping hours. During times of extreme summer heat, the provider will make a reasonable
effort to make the residents comfortable using available ventilation or fans;
(f) There will be at least 150
square feet of common space, and sufficient comfortable furniture in the Adult Foster
Home to accommodate the recreational and socialization needs of the occupants at
one time. Common space will not be located in the basement or garages unless such
space was constructed for that purpose or has otherwise been legalized under permit.
Additional space will be required if wheelchairs are to be accommodated;
(g) Pools and hot tubs will
be equipped with sufficient safety barriers or devices to prevent accidental injury
in accordance with Section R116 of the Oregon Residential Specialty Code.
(2) Accessibility for Persons
with Disabilities. Any accessibility improvements made to accommodate an identified
resident will be in accordance with the specific needs of the resident and will
comply with Chapter 11 of the building code.
(3) Outdoor Areas. An accessible
outdoor area is required and will be made available to residents. A portion of the
outdoor area will be covered and have an all weather surface, such as a patio or
deck.
(4) Storage Areas. Storage for
a reasonable amount of resident personal belongings beyond that of the resident
sleeping room will be made available.
(a) All yard maintenance equipment
will be maintained in a locked storage if such equipment poses a safety threat.
(b) A locked storage area for
resident medications separate from food, laundry and toxic or hazardous materials
will be made accessible to all caregivers. For residents who are self-medicating
a secured locked box will be made available to assure the safety of all occupants
of the home.
(c) A locked storage area separate
from food and medications will be designated when there are toxic or hazardous materials
on the premises.
(5) Bathrooms. All equipment
will be clean and in good repair and will provide individual privacy and have: a
finished interior; a mirror; an operable window or other means of ventilation; and
a window covering.
(a) Will have tubs or showers,
toilets and sinks, and hot and cold water. A sink will be located near each toilet.
A toilet and sink will be provided on each floor where rooms of non-ambulatory residents
or residents with limited mobility are located. There will be at least one toilet,
one sink, and one tub or shower for each six household occupants, including the
provider and family;
(b) Will have hot and cold water
in sufficient supply to meet the needs of residents for personal hygiene. Hot water
temperature sources for bathing areas will not exceed 120 degrees Fahrenheit;
(c) Will have shower enclosures
with nonporous surfaces; glass shower doors will be tempered safety glass. Shower
curtains will be clean and in good condition. Non-slip floor surfaces will be provided
in tubs and showers;
(d) Will have grab bars for
toilets, tubs, and/or showers for resident's safety as required by resident's disabilities;
(e) No person will walk through
another person's bedroom to get to a bathroom and will have barrier-free access
to toilet and bathing facilities with appropriate fixtures.
(f) If there are non-ambulatory
residents; alternative arrangements for non-ambulatory residents must be appropriate
to resident needs for maintaining good personal hygiene.
(g) Residents will have appropriate
racks or hooks for drying bath linens.
(6) Bedrooms. All furniture
and furnishings will be clean and in good repair. Bedrooms for all household occupants
will have been constructed as a bedroom when the home was built or remodeled under
permit; be finished, with walls or partitions of standard construction which go
from floor to ceiling, and a door which opens directly to a hallway or common use
room without passage through another bedroom or common bathroom; be adequately ventilated,
heated and lighted with at least one operable window which meets fire egress regulations.
(See Section R310 Emergency Escape and Rescue Openings in the Oregon Residential
Specialty Code.) All resident sleeping rooms will include a minimum of 70 square
feet of usable floor space for each resident or 120 square feet for two residents
and have no more than two persons per room and allow for a minimum of three feet
between beds;
(a) Providers, resident managers
or family members will not sleep in areas designated as living areas, nor share
bedrooms with residents;
(b) In determining maximum capacity,
consideration will be given to whether children over the age of five have a bedroom
separate from their parents.
(c) Bedrooms will be on ground
level for residents who are non-ambulatory or have impaired mobility;
(d) Resident bedrooms will be
in close enough proximity to alert provider to night time needs or emergencies,
or be equipped with a call bell or intercom.
(7) Housing Codes. Each Adult
Foster Home established on or after October 1, 2004 will meet all applicable State
building, residential, fire, mechanical, and housing codes for fire and life safety.
The Adult Foster Home will be inspected for fire safety by an inspector designated
by the Authority using the recommended standards established by the State Fire Marshal
for facilities housing one to five persons. Refer to Appendix I of the Oregon
Fire Code, the Oregon Residential Specialty Code, and the Oregon Structural
Specialty Code. When deemed necessary by the Department, a request for fire
inspection will be made to the State Fire Marshal.
(8) Special hazards.
(a) Flammable and combustible
liquids and hazardous materials will be safely and properly stored in original,
properly labeled containers, or safety containers, and secured to prevent tampering
by residents and vandals. Firearms on the premises of an AFH must be stored in a
locked cabinet. The firearms cabinet must be located in an area of the home that
is not readily accessible to clients and all ammunition must be stored in a separate,
locked location;
(b) Smoking regulations will
be adopted to allow smoking only in designated areas. Smoking will be prohibited
in sleeping rooms and upon upholstered crevasse furniture. Ashtrays of noncombustible
material and safe design will be provided in areas where smoking is permitted;
(c) Cleaning supplies, poisons
and insecticides will be properly stored in original, properly labeled containers
in a safe area away from food, preparation and storage, dining areas, and medications.
(9) Common Use Rooms. All furniture
and furnishings will be clean and in good repair. There will be at least 150 square
feet of common space, and sufficient comfortable furniture in the Adult Foster Home
to accommodate the recreational and socialization needs of the occupants at one
time. Common space will not be located in the basement or garages unless such space
was constructed for that purpose or has otherwise been legalized under permit. Additional
space will be required if wheelchairs are to be accommodated;
(10) Laundry and Related Space.
All equipment will be clean and in good repair. Laundry facilities will be separate
from food preparation and other resident use areas.
(a) Locked storage area for
chemicals that pose a safety threat to residents or family members;
(b) Sufficient, separate storage
and handling space to ensure that clean laundry is not contaminated by soiled laundry;
(c) Outlets, venting and water hookups according to State
Building Code requirements; and
(d) Washers will have a minimum rinse temperature
of 140 degrees Fahrenheit.
(11) Kitchen. All equipment
will be clean and in good repair. Dry storage, not subject to freezing, in cabinets
or a separate pantry for a minimum of one week’s supply of staple foods.
(a) Sufficient refrigeration
space maintained at 45 degrees Fahrenheit or less and freezer space for a minimum
of two days supply of perishable foods;
(b) A dishwasher with a minimum
final rinse of 140 degrees Fahrenheit;
(c) Smooth, nonabsorbent and
cleanable counters for food preparation and serving;
(d) Appropriate storage for
dishes and cooking utensils designed to be free from potential contamination;
(e) Stove and oven equipment
for cooking and baking needs;
(f) Storage for a mop and other
cleaning tools and supplies used for food preparation, dining and adjacent areas.
Such cleaning tools will be maintained separately from those used to clean other
parts of the home; and
(g) Dining Space where meals
are served will be provided to seat all residents at the same seating.
(12) Details and Finishes:
(a) The building and furnishings
will be clean and in good repair and grounds will be maintained. Walls, ceilings,
and floors will be of such character to permit frequent washing, cleaning, or painting
(b) Doors. If locks are used
on doors to resident sleeping rooms, they will be in good repair with an interactive
lock to release with operation of the inside door handle and be master keyed from
the corridor side. Exit doors will not include locks, which prevent evacuation except
as permitted by Section 1008.1.8 of the building code. An exterior door alarm or
other acceptable system may be provided for security purposes and alert the provider
when resident(s) or others enter or exit the home.
(c) Handrails. Handrails will
be secured on all stairways.
(13) Heating and Ventilation.
The heating system will be in working order:
(a) Temperature Control. Areas
of the Adult Foster Home used by residents will be maintained at no less than 68
degrees Fahrenheit during daytime hours and no less than 60 degrees Fahrenheit during
sleeping hours. During times of extreme summer heat, the provider will make reasonable
effort to make the residents comfortable using available ventilation or fans;
(b) Exhaust Systems. All toilets
and shower rooms will be ventilated by a mechanical exhaust system or operable window.
(c) Fireplaces, Furnaces, Wood
Stoves. Design and installation will meet standards of the Oregon Mechanical and
Residential Specialty Code and will have annual inspections to assure no safety
hazard exists.
(d) Water Temperature in resident
areas, hot water temperatures will be maintained within a range of 110¼ to 120 degrees
Fahrenheit. Hot water temperatures for washing machines and dishwashers will be
at least 140 degrees Fahrenheit.
(14) Electrical. All electrical
systems will meet the standards of the Oregon Electrical Specialty Code in effect
on the date of installation, and all electrical devices will be properly wired and
in good repair:
(a) When not fully grounded,
GFI-type receptacles or circuit breakers as an acceptable alternative may protect
circuits in resident areas.
(b) Circuit breakers or non-interchangeable
circuit-breaker-type fuses in fuse boxes will be used to protect all electrical
circuits.
(c) A sufficient supply of electrical
outlets will be provided to meet resident and staff needs without the use of extension
cords or outlet expander devices.
(d) A functioning light will
be provided in each room, stairway, and exit way. Lighting Fixtures will be provided
in each resident bedroom and bathroom, with a light switch near the entry door,
and in other areas as required to meet task illumination needs.
(e) Incandescent light bulbs
will be protected with appropriate covers.
(15) Plumbing. All plumbing
will meet the Oregon Plumbing Specialty Code in effect on the date of installation,
and all plumbing fixtures will be properly installed and in good repair.
(16) Pool, Hot Tubs and Ponds.
Pools, hot tubs, and ponds will be equipped with sufficient safety barriers or devices
to prevent accidental injury in accordance with Section R116 of the Oregon Residential
Specialty Code.
(17) Telephones:
(a) A telephone will be available
and accessible for residents' use for incoming and outgoing calls in the Adult Foster
Home;
(b) Emergency telephone numbers
for the local CMHP, Police, Fire, Medical, Poison Control, Provider and other emergencies
will be posted by the residents telephone. The posting will include the name, address
and telephone number of the Adult Foster Home, telephone numbers for making complaints
or a report of alleged abuse to the local CMHP, the Division, the Office of Investigations
and Training, and the Oregon Advocacy Center.
(c) Limitations on the use of
the telephone by residents are to be specified in the written house rules. Individual
restrictions must be specified in the individual residents PCP. In all cases, a
telephone will be accessible to residents for outgoing calls (emergencies) 24 hours
a day;
(d) AFH telephone numbers must
be listed in the local telephone directory.
(e) The home may establish reasonable
rules governing telephone use to ensure equal access by all residents. Each resident
or guardian (as applicable) will be responsible for payment of long distance phone
bills where calls were initiated by the resident, unless otherwise mutually agreed
arrangements have been made.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92), Sections (8)-(10) renumbered to 309-040-0052;
MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered from 309-040-0050, MHD 3-2005,
f. & cert. ef. 4-1-05
309-040-0370
Safety
(1) Training on Safety Procedures.
All staff will be trained in staff safety procedures prior to beginning their first
regular shift. All residents will be trained in resident safety procedures as soon
as possible during their first 72 hours of residency.
(2) Emergency Procedure.
(a) An emergency evacuation
procedure will be developed, posted, and rehearsed with occupants. A record will
be maintained of evacuation drills. Drills will be scheduled at different times
of the day and on different days of the week with different locations designated
as the origin of the fire for drill purposes.
(A) Drills will be held at least
once every 30 days.
(B) One drill practice will
be held at least once every 90 days during resident’s nighttime sleeping hours.
Fire drill records will be maintained for three years and will include date, time
for full evacuation, safety equipment checked (to include fire extinguishers, smoke
detectors, secondary egress points, flashlights, and furnace filters), comments
on the drill results, and names of residents requiring assistance for evacuation;
(b) The Personal Care Plan must
document that, within 24 hours of arrival, each new resident has received an orientation
to basic safety and has been shown how to respond to a fire alarm, and how to exit
from the Adult Foster Home in an emergency;
(c) The provider will demonstrate
the ability to evacuate all residents from the Adult Foster Home within three minutes.
If there are problems in demonstrating this evacuation time, the licensing authority
may apply conditions to the license which include, but may not be limited to, reduction
of residents under care, additional staffing, increased fire protection, or revocation
of the license;
(d) The provider will provide
to the Division, maintain as current, and post a floor plan on each floor containing
room sizes,
location of each resident's
bed, fire exits, resident manager or provider's sleeping room, smoke detectors,
fire extinguishers and escape routes. A copy of this drawing will be submitted with
the application and updated to reflect any change;
(e) There will be at least one plug-in
rechargeable flashlight available for emergency lighting in a readily accessible
area on each floor including basement.
(3) Disaster Plan. A written
disaster plan will be developed to cover such emergencies and disasters as fires,
explosions, missing persons, accidents, earthquakes and floods. The plan will be
posted by the phone and immediately available to the employees. The plan will specify
temporary and long-range habitable shelter where staff and residents will go if
the home becomes uninhabitable.
(4) Poisonous and Other Toxic
Materials. Non-toxic cleaning supplies will be used whenever available. Poisonous
and other toxic materials will be properly labeled and stored in locked areas distinct
and apart from all food and medications.
(5) Evacuation Capability. Evacuation
capability categories are based upon the ability of the residents and staff as a
group to evacuate the home or relocate from a point of occupancy to a point of safety.
(a) Documentation of a resident’s
ability to safely evacuate from the Adult Foster Home will be maintained in the
individual resident’s personal care plan.
(b) Persons experiencing difficulty
with evacuating in a timely manner will be provided assistance from staff and offered
environmental and other accommodations, as practical. Under such circumstances,
the Adult Foster Home will consider increasing staff levels, changing staff assignments,
offering to change the resident's room assignment, arranging for special equipment,
and taking other actions that may assist the resident.
(c) Residents who still cannot
evacuate the home safely in the allowable period of time (3 minutes) will be assisted
with transferring to another program with an evacuation capability designation consistent
with the individual's documented evacuation capability.
(d) Written evacuation records
will be retained for at least three years. Records will include documentation, made
at the time of the drill, specifying the date and time of the drill, the location
designated as the origin of the fire for drill purposes, the names of all individuals
and staff present, the amount of time required to evacuate, notes of any difficulties
experienced, and the signature of the staff person conducting the drill.
(6) Unobstructed Egress. All
stairways, halls, doorways, passageways, and exits from rooms and from the home
will be unobstructed.
(7) Portable Firefighting Equipment.
At least one 2A-10BC rated fire extinguisher will be in a visible and readily accessible
location on each floor, including basements, and will be inspected at least once
a year by a qualified worker that is well versed in fire extinguisher maintenance.
All recharging and hydrostatic testing will be completed by a qualified agency properly
trained and equipped for this purpose;
(8) Smoke Alarms. Approved smoke
detector systems or smoke alarms will be installed according to Oregon Residential
Specialty Code and Oregon Fire Code requirements. These alarms will be tested during
each evacuation drill. The Adult Foster Home will provide approved signal devices
for persons with disabilities who do not respond to the standard auditory alarms.
All of these devices will be inspected and maintained in accordance with the requirements
of the State Fire Marshal or local agency having jurisdiction. Ceiling placement
of smoke alarms or detectors is recommended. Alarms will be equipped with a device
that warns of low battery when battery operated. All smoke detectors and alarms
are to be maintained in functional condition;
(9) Special hazards:
(a) Flammable and combustible
liquids and hazardous materials will be safely and properly stored in original,
properly labeled containers or safety containers, and secured to prevent tampering
by residents and vandals. Firearms on the premises of an Adult Foster Home must
be stored in a locked cabinet. The firearms cabinet must be located in an area of
the home that is not readily accessible to clients and all ammunition must be stored
in a separate, locked location;
(b) Smoking regulations will
be adopted to allow smoking only in designated areas. Smoking will be prohibited
in sleeping rooms and upon upholstered crevasse furniture. Ashtrays of noncombustible
material and safe design will be provided in areas where smoking is permitted;
(c) Cleaning supplies, poisons
and insecticides will be properly stored in original, properly labeled containers
in a safe area away from food, preparation and storage, dining areas, and medications.
(10) Sprinkler Systems. Sprinkler
systems, if used, will be installed in compliance with the Oregon Structural Specialty
Code and Oregon Fire Code and maintained in accordance with rules adopted by the
State Fire Marshal.
(11) First Aid Supplies. First
aid supplies will be readily accessible to staff. All supplies will be properly
labeled.
(12) Portable Heaters. Portable
heaters are a recognized safety hazard and will not be used, except as approved
by the State Fire Marshal, or authorized representative.
(13) Safety Program. A safety
plan will be developed and implemented to identify and prevent the occurrence of
hazards. Hazards may include, but are not limited to, dangerous substances, sharp
objects, unprotected electrical outlets, use of extension cords or other special
plug-in adapters, slippery floors or stairs, exposed heating devices, broken glass,
inadequate water temperatures, overstuffed furniture in smoking areas, unsafe ashtrays
and ash disposal, and other potential fire hazards.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 3-2005, f. &
cert. ef. 4-1-05
309-040-0375
Sanitation
(1) Water Supply. The water
supply in the home will meet the requirements of the current rules of the Authority
governing domestic water supplies.
(a) A municipal water supply
will be utilized if available.
(b) When the home is not served
by an approved municipal water system, and the home qualifies as a public water
system according to OAR 333-061-0020(94), Authority rules for public water systems,
then the home will comply with the OAR chapter 333 rules of the Authority pertaining
to public water systems. These include requirements that the drinking water be tested
for total coliform bacteria at least quarterly, and nitrate at least annually, and
reported to the Authority. For adverse test results, these rules require that repeat
samples and corrective action be taken to assure compliance with water quality standards,
that public notice be given whenever a violation of the water quality standards
occurs, and that records of water testing be retained according to the Authority
requirements.
(2) Surfaces. All floors, walls,
ceilings, windows, furniture, and equipment will be kept in good repair, clean,
neat, and orderly.
(3) Plumbing Fixtures. Each
bathtub, shower, lavatory, and toilet will be kept clean, in good repair and regularly
sanitized.
(4) Disposal of Cleaning Waste
Water. No kitchen sink will be used for the disposal of cleaning wastewater.
(5) Soiled Laundry. Soiled linens
and clothing will be stored in an area or container separate from kitchens, dining
areas, clean linens, clothing, and food.
(6) Pest Control. All necessary
measures will be taken to prevent rodents and insects from entering the home. Should
pests be found in the home, appropriate action will be taken to eliminate them.
(7) Grounds Maintenance. The
grounds of the home will be kept orderly and reasonably free of litter, unused articles,
and refuse.
(8) Garbage Storage and Removal.
Garbage and refuse receptacles will be clean, durable, watertight, insect and rodent
proof, and will be kept covered with tight-fitting lids. All garbage and solid waste will be disposed of at least weekly and in compliance
with the current rules of the Department of Environmental Quality.
(9) Sewage Disposal. All sewage and liquid
wastes will be disposed of in accordance with the Plumbing Code to a municipal sewage
system where such facilities are available. If a municipal sewage system is not
available, sewage and liquid wastes will be collected, treated, and disposed of
in compliance with the current rules of the Department of Environmental Quality.
Sewage lines, and septic tanks or other non-municipal sewage disposal systems where
applicable, will be maintained in good working order.
(10) Biohazard Waste. Biohazard
waste will be disposed of in compliance with the rules of the Department of Environmental
Quality.
(11) Infection Control. Precautions
will be taken to prevent the spread of infectious and/or communicable diseases as
defined by the Centers for Disease Control and to minimize or eliminate exposure
to known health hazards.
(a) In accordance with OAR 437,
division 2, subdivision Z, section 1910.1030 of the Oregon Occupational Safety and
Health Code, staff will employ universal precautions whereby all human blood and
certain body fluids are treated as if known to be infectious for HIV, HBV and other
blood borne pathogens.
(b) Bathroom facilities will
be equipped with an adequate supply of toilet paper, soap, and towels.
(12) Infection Control for Pets
and Other Household Animals. If pets or other household animals exist at the home,
sanitation practices will be implemented to prevent health hazards.
(a) Such animals will be vaccinated
in accordance with the recommendations of a licensed veterinarian. Proof of such
vaccinations will be maintained on the premises.
(b) Animals not confined in
enclosures will be under control and maintained in a manner that does not adversely
impact residents or others.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 3-2005, f. &
cert. ef. 4-1-05
309-040-0380
Resident Furnishings
(1) Bedrooms:
(a) Bedrooms for all household
occupants will have been constructed as a bedroom when the home was built or remodeled
under permit; be finished, with walls or partitions of standard construction which
go from floor to ceiling, and a door which opens directly to a hallway or common
use room without passage through another bedroom or common bathroom; be adequately
ventilated, heated and lighted with at least one operable window which meets the
requirements of Section R310 of the Oregon Residential Specialty Code; have at least
70 square feet of usable floor space for each resident or 120 square feet for two
residents and have no more than two persons per room;
(b) Providers, resident managers,
or family members will not sleep in areas designated as living areas, nor share
bedrooms with residents;
(c) There will be an individual
bed for each resident consisting of a mattress in good condition and springs at
least 36 inches wide. Cots, rollaway, bunks, trundles, couches, and folding beds
may not be used for residents. Each bed will have clean bedding in good condition
consisting of a bedspread, mattress pad, two sheets, a pillow, a pillowcase, and
blankets adequate for the weather. Sheets and pillowcases will be laundered at least
weekly, and more often if necessary. Waterproof mattress covers will be used for
incontinent residents. Day care persons may not use resident beds;
(d) Each bedroom will have sufficient
separate, private dresser and closet space for each resident's clothing and personal
effects, including hygiene and grooming supplies. Residents will be allowed to keep
and use reasonable amounts of personal belongings, and to have private, secure storage
space. Drapes or shades for windows will be in good condition and allow privacy
for residents;
(e) Bedrooms will be on ground
level for residents who are non-ambulatory or have impaired mobility;
(f) Resident bedrooms will be
in close enough proximity to provider to alert provider to night time needs or emergencies,
or be equipped with a call bell or intercom.
(2) Personal Hygiene Items.
Each resident will be assisted in obtaining personal hygiene items in accordance
with individual needs. These will be stored in a clean and sanitary manner, and
may be purchased with the resident's personal allowance. Personal hygiene items
include, but are not limited to, a comb and/or hairbrush, a toothbrush, toothpaste,
menstrual supplies (if needed), towels and washcloths.
(3) Supplies Provided by Adult
Foster Home. Sufficient supplies of soap, shampoo and toilet paper for all residents
will be provided.
(4) Common Area Furniture. An
adequate supply of furniture for resident use in living room, dining room, and other
common areas will be maintained in good condition.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 3-2005, f. &
cert. ef. 4-1-05
309-040-0385
Food Services
(1) Well-balanced Diet. Three
nutritious meals will be served daily at times consistent with those in the community.
Meals will be planned and served in accordance with the recommended dietary allowances
found in the United States Department of Agriculture Food Guide Pyramid or as directed
by a prescriber. Consideration will be given to cultural and ethnic backgrounds
of residents in food preparation.
(2) Modified or Special Diets.
An order from a Licensed Medical Professional will be obtained for each resident
who, for health reasons, is on a modified or special diet. Such diets will be planned
in consultation with the resident.
(3) Menus. Menus will be prepared
at least one week in advance and will provide a sufficient variety of foods served
in adequate amounts for each resident at each meal and adjusted for seasonal changes.
Records of menus, as served, will be filed and maintained in the Adult Foster Home
for three years. Resident preferences and requests will be considered in menu planning.
Religious and vegetarian preferences will be reasonably accommodated.
(4) Meal Preparation. Meals
will be prepared and served in the Adult Foster Home where residents live. Payment
for meals eaten away from the Adult Foster Home for the convenience of the provider
(e.g. restaurants, senior meal sites) is the responsibility of the provider. Meals
and snacks as part of an individual recreational outing are the responsibility of
the individual. Food preparation areas will be clean, free of obnoxious odors and
in good repair.
(5) Supply of Food. Adequate
supplies of staple foods, for a minimum of one week, and perishable foods, for a
minimum of two days, will be maintained on the premises.
(6) Adequate Storage. Food will
be stored, prepared, and served in accordance with the Authority Food Sanitation
Rules.
(a) All working refrigerators
and freezers will have a thermometer in working order.
(b) Food storage areas and equipment
must be such that food is protected from dirt and contamination and maintained at
proper temperatures to prevent spoilage.
(7) Food Service Equipment.
Equipment will be maintained in a safe and sanitary manner. Utensils, dishes and
glassware will be maintained in a sufficient number to accommodate the licensed
capacity of the Adult Foster Homes. Utensils, dishes, and glassware will be washed
in hot soapy water, rinsed, and stored to prevent contamination. A dishwasher with
sanicycle is recommended.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 3-2005, f. &
cert. ef. 4-1-05
309-040-0390
Standards and Practices for Care and
Services
(1) Caregiver Requirements.
There must be a provider, resident manager or substitute caregiver on duty 24 hours
per day in an Adult Foster Home in accordance with ORS 443.725(3).
(2) Medications and Prescriber's
Orders:
(a) There must be a copy of
a medication, treatment, or therapy order signed by a physician, nurse practitioner
or other licensed prescriber in the resident's file for the use of any medications,
including over the counter medications, treatments, and other therapies.
(b) A provider, resident manager
or substitute caregiver will dispense medications, treatments, and therapies as
prescribed by a physician, nurse practitioner or other licensed prescriber. Changes
to orders for the dispensing and administration of medication or treatment will
not be made without a written order from a physician, nurse practitioner or other
licensed prescriber. A copy of the medication, treatment, or therapy order will
be maintained in the resident's record. The provider, resident manager or substitute
caregiver will promptly notify the resident's case manager of any request for a
change in resident's orders for medications, treatments, or therapies.
(c) Each resident's medication
will be clearly labeled with the pharmacist's label or the manufacturer's originally
labeled container and kept in a locked location. The provider and/or provider's
family medication will be stored in a separate locked location. All medication for
pets or other animals will be stored in a separate locked location. Unused, outdated,
or recalled medications will not be kept in the Adult Foster Home and will be disposed
in a manner to prevent diversion into the possession of people other than for whom
it was prescribed. The provider will document disposal of all unused, outdated and
or recalled medication on residents' individual drug disposal forms.
(d) Medications will not be
mixed together in another container prior to administration except as packaged by
the pharmacy or by physician order;
(e) A written medication administration
record (MAR) for each resident will be kept of all medications administered by the
caregiver to that resident, including over the counter medications. The MAR will
indicate name of medication, dosage and frequency of administration, route or method,
dates and times given, and will be immediately initialed by the person dispensing
using only blue or black indelible ink. Treatments, therapies and special diets
must be immediately documented on the medication administration record including
times given, type of treatment or therapy, and initials of the person giving it
using only blue or black indelible ink. The medication administration record will
have a legible signature for each set of initials using only blue or black indelible
ink;
(f) The MAR will include documentation
of any known allergy or adverse reactions to a medication, and documentation and
an explanation of why a PRN medication was administered and the results of such
administration;
(g) Self-administration of medication.
For any resident who is self-administering medication the resident's individual
record must include the following:
(A) Documentation that the resident
has been trained for self administering of prescribed medication or treatment or
that the prescriber has provided documentation that training for the resident is
unnecessary;
(B) Documentation that the resident
is able to manage his or her own medication regimen and will keep medications stored
in an area that is inaccessible to others and locked;
(C) Documentation of retraining
when there is a change in dosage, medication and time of delivery;
(D) Documentation of review
of self-administration of medication as part of the Personal Care Plan process;
and
(E) Documentation of a current
prescriber order for self-administration of medication.
(h) Injections may be self-administered
by the resident, or administered by a relative of the resident, a currently licensed
registered nurse, a licensed practical nurse under registered nurse supervision,
or providers who have been trained and are monitored by a physician or delegated
by a registered nurse in accordance with administrative rules of the Board of Nursing
chapter 851, division 047. Documentation regarding the training or delegation will
be maintained in the resident's record;
(3) Initial Personal Care Plan.
The Initial Personal Care Plan will be developed within 24 hours of admission to
the Adult Foster Home.
(4) Personal Care Plan. In accordance
with Standards for Adult Mental Health Services, OAR 309-032-0535 Definitions (3)
Case management (22) Personal Care Plan and 309-032-0545 Adult Mental Health Services
(1)(2) the Provider will develop the PCP in collaboration with the resident and
other individuals as appropriate, including the resident’s case manger, and
guardian as applicable. The Personal Care Plan for an individual resident will be
reviewed and updated by the personal care plan team every 180 days or more frequently
as necessary in accordance with 309-032-0545 Adult Mental Health Services (2)(g);
(a) The individual's case manager
or other designated person will review and update the individual's personal care
services prescription and status as needed;
(b) If the team agrees that
interim changes in the Personal Care Plan are required, the case manager will make
the changes.
(5) Delegation of Nursing Care
Tasks. Nursing tasks may be delegated by a registered nurse to providers and other
caregivers only in accordance with administrative rules of the Board of Nursing
chapter 851, division 47. This includes but is not limited to the following conditions:
(a) The registered nurse has
assessed the individual's condition to determine there is not a significant risk
to the individual if the provider or other caregiver performs the task;
(b) The registered nurse has
determined the provider or other caregiver is capable of performing the task;
(c) The registered nurse has
taught the provider or caregiver how to do the task;
(d) The provider or caregiver
has satisfactorily demonstrated to the registered nurse the ability to perform the
task safely and accurately;
(e) The registered nurse provides
written instructions for the provider or caregiver to use as a reference;
(f) The provider or caregiver
has been instructed that the task is delegated for this specific person only and
is not transferable to other individuals or taught to other care providers;
(g) The registered nurse has
determined the frequency for monitoring the provider or caregiver's delivery of
the delegated task; and
(h) The registered nurse has
documented a Personal Care Plan for the individual including delegated procedures,
frequency of registered nurse follow-up visits, and signature and license number
of the registered nurse doing the delegating.
(6) Resident Records. An individual
record will be developed, kept current, and available on the premises for each resident
admitted to the Adult Foster Home:
(a) General Information:
(A) The provider will maintain
a record for each individual in the home. The record must include:
(i) The resident's name, previous
address, date of entry into Adult Foster Home, date of birth, sex, marital status,
religious preference, preferred hospital, Medicaid and/or Medicare numbers where
applicable, guardianship status, and;
(ii) The name, address, and
telephone number of:
(I) The Resident's legal representative,
family, advocate or other significant person;
(II) The resident's preferred
primary health provider designated back up health care provider and/or clinic;
(III) The resident's preferred
dentist;
(IV) The resident's day program
or employer, if any;
(V) The residents case manager;
and
(VI) Other agency representatives
providing services to the resident.
(B)
Resident records will be available to representatives of the Authority conducting
inspections or investigations, as well as to residents, their authorized representative
or other legally authorized persons;
(C) Record Retention. Original resident
records will be kept for a period of three years after discharge when a resident
no longer resides in the Adult Foster Home.
(D) In all other matters pertaining
to confidential records and release of information, providers will comply with ORS
179.505.
(b) Medical Information:
(A) History of physical, emotional
and medical problems, accidents, illnesses or mental status that may be pertinent
to current care;
(B) Current orders for medications,
treatments, therapies, use of restraints, special diets and any known food or medication
allergies;
(C) Completed medication administration
records from the license review period;
(D) Name and claim number of
medical insurance, and any pertinent medical information such as hospitalizations,
accidents, immunization records including Hepatitis B status and previous TB tests,
incidents or injuries affecting the health, safety or emotional well-being of any
resident.
(c) Resident Account Record:
(A) Resident’s Income
Sources.
(B) Refer to resident’s
personal care plan with supporting documentation from the income sources to be maintained
in the resident's individual record.
(C) Resident's room and board
and service costs. Resident or designated guardian will agree to specific costs
for room and board and services within the pre-set limits of the state contract.
A copy will be given to the resident, resident's guardian, and the original in the
resident's individual record.
(D) Resident's record of discretionary
funds.
(d) If a resident maintains
custody and control of their discretionary funds then no accounting record is required.
(e) If a designee of the Adult
Foster Home maintains custody and control of a resident's discretionary fund, a
signed and dated account and balance sheet must be maintained with supporting documentation
for expenditures $10 and greater. The Adult Foster Home designee must have specific
written permission to manage an individual resident’s discretionary fund.
(f) Personal Care Plan. The
resident's PCP is prepared by the PCP Team. The PCP Team addresses each resident's
support needs, each service provider's program plan and prepares PCP for the resident.
The PCP will be developed at the time of admission, reviewed every 180 days and
updated at least annually or when indicated by changing resident needs. The PCP
will describe the resident's needs and capabilities including when and how often
care and services will be provided and by whom. The PCP will include the provision
of at least six hours of activities each week that are of interest to the resident,
not including television or movies made available to the resident by the provider.
(A) Description of residents
strengths and abilities;
(B) The activities of daily
living where the resident requires full assistance;
(C) The activities of daily
living where the resident requires partial assistance with encouragement and training;
(D) Other areas or concerns;
(E) Any mental and/or physical
disabilities or impairments relevant to the service needs of the resident;
(F) The ability of the resident
to exit from the Adult Foster Home in an emergency and the time required to exit;
(G) Instruction and documentation
of tasks delegated to the provider by the registered nurse, with the name and license
number of the delegating registered nurse; and
(H) Dates of review and signature
of person preparing the PCP.
(g) House Rules: Develop written
house rules regarding hours, visitors, use of tobacco and alcohol, meal times, use
of telephones and kitchen, monthly charges and services to be provided and policies
on refunds in case of departure, hospitalization or death. House rules will be discussed
with residents and their families at the time of arrival and be posted in a conspicuous
place in the AFH. House rules are subject to review and approval by the Authority
or designee and may not violate resident’s rights as stated in ORS 430.210.
A copy of the written house rules with documentation that the rules have been discussed
with the resident.
(h) Unusual Incidents: A written
incident report of all unusual incidents relating to the Adult Foster Home including
but not limited to resident care. The incident report will include how and when
the incident occurred, who was involved, what action was taken by staff, and the
outcome to the resident. In compliance with HIPAA rules, only one resident’s
name will be used on each incident report. Separate reports will be written for
each resident involved in an incident. A copy of the incident report will be submitted
to the CMHP within five working days of the incident. The original will be placed
in the residents record.
(i) General Information: Any
other information or correspondence pertaining to the resident;
(j) Progress Notes. Progress
notes will be maintained within each resident's record and document significant
information relating to all aspects of the resident's functioning and progress toward
desired outcomes as identified in the resident’s individual personal care
plan. A progress note will be entered in the resident's record at least once each
month.
(7) Residents’ Bill of
Rights.
(a) The Provider will guarantee
the Residents' Bill of Rights as described in ORS 443.739. The provider will post
them in a location that is accessible to residents and parents, guardians, and advocates.
A copy of the Residents’ Bill of Rights will be given to each resident, parent,
guardian, and advocate along with a description of how to exercise these rights.
(b) The provider will explain
and document in the resident's file that a copy of the Residents’ Bill of
Rights is given to each resident at admission, and is posted in a conspicuous place
including the name and phone number of the office to call in order to report complaints.
(8) Physical Restraints. Physical
Restraints are not allowed. Providers, resident managers, or substitute caregivers
will not employ physical restraints for individuals receiving personal care services
authorized or funded through the Division.
(9) General Practices. The provider
will:
(a) Conspicuously post the State
license and Abuse and Complaint poster where it can be seen by residents;
(b) Cooperate with Authority
personnel or designee in complaint investigation procedures, abuse investigations
and protective services, planning for resident care, application procedures and
other necessary activities, and allow access of Authority personnel to the AFH,
its residents, and all records;
(c) Give care and services,
as appropriate to the age and condition of the resident(s), and as identified on
the PCP. The provider will be responsible for ensuring that physicians' orders and
those of other medical professionals are followed, and that the resident's physicians
and other medical professionals are informed of changes in health status and/or
if the resident refuses care;
(d) In the provider's absence,
the provider will have a resident manager or substitute caregiver on the premises
to provide care and services to the residents. For absences greater than 72 consecutive
hours, the CMHP must be notified of the name(s) of the substitute caregiver(s)for
the provider or resident manager.
(e) A provider, resident manager,
or substitute caregiver will be present in the home at all times.
(f) Allow and encourage residents
to exercise all civil and human rights accorded to other citizens;
(g) Not allow or tolerate physical,
sexual, or emotional abuse or punishment, or exploitation, or neglect of residents;
(h) Provide care and services
as agreed to in the PCP;
(i) Keep information related
to resident(s) confidential as required under ORS 179.050;
(j) Assure that the number of residents requiring nursing
care does not exceed the provider's capability as determined by the CMHP and/or
the Division;
(k) Not admit individuals who are clients
of Aging and People with Disabilities without the express permission of the Authority
or their designee;
(l) Notify the Authority prior
to a closure and give residents, families, and CMHP staff 30 days written notice
of the planned change except in circumstances where undue delay might jeopardize
the health, safety or well-being of residents, providers or caregivers. If a provider
has more than one AFH, residents cannot be shifted from one AFH to another without
the same period of notice unless prior approval is given and agreement obtained
from residents, family members and CMHP;
(m) Exercise reasonable precautions
against any conditions which could threaten the health, safety or welfare of residents;
(n) Immediately notify the appropriate
PCP Team members (in particular the CMHP representative and family/guardian) if:
the resident has a significant change in their medical status; the resident has
an unexplained or unanticipated absence from the Adult Foster Home; the provider
becomes aware of alleged or actual abuse of the resident; the resident has a major
behavioral incident, accident, illness, hospitalization; the resident contacts,
or is contacted by, the police; or the resident dies and follow-up with an incident
report.
(10) Incident Reports. The provider
will write an incident report for any unusual incident and forward a copy of the
incident report to the CMHP within five working days of the incident. Any incident
that is the result of or suspect of abuse will be reported to the Office of Investigations
and Training within 24 hours of occurrence.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92), Renumbered from 309-040-0050(8)-(10);
MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; MHD 7-2001(Temp) f. 8-30-01, cert. ef.
9-1-01 thru 2-27-02; MHD 4-2002, f. 2-26-02, cert. ef. 2-27-02; Renumbered from
309-040-0052, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0395
Standards for Admission,
Transfers, Respite, Discharges, and Closures
(1) Admission. A provider will
only accept a resident into their Adult Foster Home with a referral from, or the
prior written approval of, staff of the CMHP or the Authority. At the time of the
referral, a provider will be given complete information about the case history of
a resident as it relates to behavior, skill level, medical status, or other relevant
information. The provider will retain the right to deny admission of any person
if they feel the person cannot be managed effectively in the Adult Foster Home,
or for any other reason not specifically prohibited by this rule. Adult Foster Homes
will not be used as a site for foster care for children, adults from other agencies,
or any type of shelter or day care without the written approval of the CMHP or the
Authority.
(2) Transfers:
(a) A resident may not be transferred
by a provider to another Adult Foster Home or moved out of the Adult Foster Home
without 30 days advance written notice to the resident, the resident's legal representative,
guardian or conservator, and the CMHP stating reasons for the transfer as provided
in ORS 443.739(18) and OAR 411-088-0070, and the resident's right to a hearing as
provided in ORS 443.738(11)(b), except where undue delay might jeopardize the health,
safety or well-being of the resident or others, for a medical emergency, or to protect
the welfare of the resident or other residents. Residents may only be transferred
by a provider for the following reasons:
(A) Behavior that poses a significant
danger to the resident or others;
(B) Failure to make payment
for care;
(C) The Adult Foster Home has
had its license revoked, not renewed, or voluntarily surrendered; or
(D) The resident's care needs
exceed the ability of the provider.
(b) Residents who object to
the transfer will be given the opportunity for hearing as provided in ORS 443.738(11)(b)
and OAR 411-088-0080. Participants may include the resident, and at the resident's
request, the provider, a family member and CMHP staff member.
(3) Respite. Providers will
not exceed the licensed capacity of their Adult Foster Home. However, respite care
of no longer than two weeks duration may be provided a person if the addition of
the respite person does not cause the total number of residents to exceed five.
Thus, a provider may exceed the licensed number of residents by one respite resident,
for two weeks or less, if approved by the CMHP or Authority, and if the total number
of residents does not exceed five.
(4) Discharge:
(a) A provider may only discharge
a resident for valid reasons equivalent to those for transfers stated in paragraphs
(2)(a)(A) through (D) of this rule. The provider will give at least 30 days written
notice to a resident and the Authority before termination of residency, except where
undue delay might jeopardize the health, safety or well-being of the resident or
others;
(b) The provider will promptly
notify staff of the CMHP or Authority if a resident gives notice or plans to leave
the Adult Foster Home or if a resident abruptly leaves.
(5) Closing. Providers will
notify the Authority prior to a voluntary closure of an Adult Foster Home, and give
residents, families, and the CMHP, 30 days written notice, except in circumstances
where undue delay might jeopardize the health, safety or well-being of residents,
providers or caregivers. If a provider has more than one Adult Foster Home, residents
cannot be shifted from one house to another house without the same period of notice
unless prior approval is given and agreement obtained from residents, family members,
and the CMHP.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92), Former sections (3)(a)-(c) renumbered to 309-040-0057;
MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; MHD 7-2001(Temp) f. 8-30-01, cert. ef.
9-1-01 thru 2-27-02; MHD 4-2002, f. 2-26-02, cert. ef. 2-27-02; Renumbered from
309-040-0055, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0400
Inspections
(1) Authority or Designee Inspections.
The Authority or designee will conduct an inspection of an Adult Foster Home:
(a) Prior to issuance of a license;
(b) Upon receipt of an oral
or written complaint of violations that threaten the health, safety, or welfare
of residents; or
(c) Anytime the Authority has
probable cause to believe that an Adult Foster Home has violated a regulation or
provision of these rules or is operating without a license.
(2) Authority Inspections. The
Authority may conduct inspections of an Adult Foster Home:
(a) Anytime such inspections
are authorized by these rules and any other time the CMHP or Authority considers
it necessary to determine if an Adult Foster Home is in compliance with these rules
or with conditions placed upon the license;
(b) To determine if cited deficiencies
have been corrected; and
(c) For the purpose of monitoring
of the residents' care.
(3) State or Local Fire Inspectors.
State or local fire inspectors will be permitted access to enter and inspect the
Adult Foster Home regarding fire safety upon request of the CMHP or Authority.
(4) Full Access by Authority
and/or CMHP. The Authority and/or CMHP staff will have full access and authority
to examine, among other things, facility and resident records and accounts, and
the physical premises, including the buildings, grounds, equipment, and any vehicles.
(5) Interviews. The Authority
or CMHP staff will have authority to interview the provider, resident manager, caregiver,
and residents. Interviews will be confidential and conducted in private, and will be confidential except as considered public
record under ORS 430.763.
(6) Authorized Entrance to Adult Foster
Home. Providers must authorize resident managers and substitute caregivers to permit
entrance by the Authority or CMHP staff for the purpose of inspection and investigation.
(7) Authority to Conduct Inspections
With or Without Advance Notice. The Authority and/or CMHP staff has authority to
conduct inspections with or without advance notice to the provider, staff, or a
resident of the Adult Foster Home. The Authority and/or CMHP will not give advance
notice of any inspection if they believe that notice might obstruct or seriously
diminish the effectiveness of the inspection or enforcement of these rules.
(8) Search Warrant. If the Authority
and/or CMHP staff is not permitted access or inspection, a search warrant may be
obtained.
(9) Respect Private Possessions.
The inspector will respect the private possessions and living area of residents,
providers, and caregiver while conducting an inspection.
(10) Confidential Information.
Completed reports on inspections, except for confidential information, will be available
to the public, upon written request to the Authority and/or CMHP, during business
hours.
(11) Investigate Allegations
of Abuse. For individuals receiving services authorized and/or funded by the Addictions and Mental Health Services Division, the Authority or its designee will investigate
allegations of abuse as defined in ORS 430.735 to 430.765.
(12) Alleged Abuse. When abuse
is alleged or death of an individual has occurred and a law enforcement agency,
or the Authority and/or its designee, has determined to initiate an investigation,
the provider will not conduct an internal investigation without prior authorization
from the Authority. For the purposes of this section, an internal investigation
is defined as conducting interviews of the alleged victim, witness, the alleged
perpetrator or any other persons who may have knowledge of the facts of the abuse
allegation or related circumstances; reviewing evidence relevant to the abuse allegation,
other than the initial report; or any other actions beyond the initial actions of
determining:
(a) If there is reasonable cause
to believe that abuse has occurred; or
(b) If the alleged victim is
in danger or in need of immediate protective services; or
(c) If there is reason to believe
that a crime has been committed; or
(d) What, if any, immediate
personnel actions will be taken.
(13) Completion of Abuse Investigation.
The Authority or its designee will complete an Abuse Investigation and Protective
Services Report according to OAR 404-045-0300. The report will include the findings
based upon the abuse investigation as defined in 943-045-0260(12) Inconclusive,
(16) Not Substantiated, (22) Substantiated.
(14) Provider Notified of Completion
of Investigation. When the provider has been notified of the completion of the abuse
investigation, a provider may conduct an investigation without further Authority
approval to determine if any other personnel actions are necessary.
(15) Abuse Investigation and
Protective Services Report. Upon completion of the investigation report according
to OAR 943-045-0320, the sections of the report which are public records and not
exempt from disclosure under the public records law will be provided to the appropriate
provider. The provider will implement the actions necessary within the deadlines
listed to prevent further abuse as stated in the report.
(16) Prohibition of Retaliation.
A provider will not retaliate against any person who reports in good faith suspected
abuse, or against the resident with respect to the report.
(17) Retaliatory Liability.
In accordance with ORS 430.755 any provider who retaliates against any person because
of a report of suspected abuse or neglect may be liable according to 430.755, in
a private action to that person for actual damages and, in addition, a penalty in
accordance with 443.775(10) not withstanding any other remedy provided by law. The
authority of the Director to impose civil penalties and the factors to be considered
will be in accordance with 443.790.
(18) Adverse Action Creates
a Presumption of Retaliation. In accordance with OAR 943-045-0340 Adverse Action,
any adverse action creates a presumption of retaliation if taken within 90 days
of a report of abuse. For purposes of this subsection, "adverse action" means any
action taken by a community facility, community program or person involved in a
report against the person making the report or against the adult because of the
report and includes but is not limited to:
(a) Discharge or transfer from
the Adult Foster Home, except for clinical reasons;
(b) Discharge from or termination
of employment;
(c) Demotion or reduction in
remuneration for services; or
(d) Restriction or prohibition
of access to the community facility or its residents.
(19) Adverse Action Limits.
Adverse action may also be evidence of retaliation after 90 days even though the
presumption no longer applies.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0060, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0405
Procedures for Correction
of Violations
(1) Conference Request. At any
time after receipt of a notice of violations or an inspection report, the licensee
or the Division may request a conference, in writing. The conference will be scheduled
within ten days of a request by either party. The purpose of the conference is to
discuss the violations stated in the notice of violation and to provide information
to the licensee to assist the licensee in complying with the requirements of the
rules. The written request by a licensee or the Division for a conference will not
extend any previously established time limit for correction.
(2) Notification of Correction.
The licensee will notify the Division of correction of violations, in writing, no later
than the date specified in the notice of violation.
(3) No Report of Compliance.
If, after inspection of the Adult Foster Home, the violations have not been corrected
by the date specified in the notice of violation or if the Division has not received
a report of compliance, the Division may institute one or more of the following
actions:
(a) Imposition of an administrative
sanction that may include revocation, suspension, placement of conditions on the
license or non-renewal of a license as deemed appropriate by the Division.
(b) Filing of a criminal complaint.
(4) Serious and Immediate Danger.
If residents are in serious and immediate danger, the license may be immediately
suspended or revoked and arrangements made to move the residents.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0070, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0410
Residents’ Rights,
Complaints, and Grievances
(1) Residents' Bill of Rights.
(a) The Provider will guarantee
the Residents' Bill of Rights as described in ORS 443.739. The provider will post
them in a location that is accessible to residents, parents/guardian/advocates.
A copy of the Residents' Bill of Rights will be given to each resident and parent/guardian/advocate
along with a description of how to exercise these rights.
(b) The provider will explain
and document in the resident's file that a copy of the Resident's Bill of Rights
is given to each resident at admission,
and is posted in a conspicuous place including the name and phone number of the
office to call in order to report complaints. The Bill of Rights states each resident
has the right to:
(A) Be treated as an adult, with respect
and dignity;
(B) Be encouraged and assisted
to exercise constitutional and legal rights as a citizen including the right to
vote and be informed of all house rules;
(C) Receive appropriate care
and services and prompt medical care as needed. Be informed of the resident's medical
condition and the right to consent to or refuse treatment;
(D) Adequate personal privacy
and privacy to associate and communicate privately with any person of choice, such
as family members, friends, advocates, and legal, social service and medical professionals,
send and receive personal mail unopened, and engage in telephone conversations as
explained in 309-040-0410; have medical and personal information kept confidential:
(E) Have access to and participate
in activities of social, religious, and community groups;
(F) Be able to keep and use
a reasonable amount of personal clothing and belongings and to have a reasonable
amount of private, secure storage space.
(G) Be free of discrimination
in regard to race, color, national origin, sex, religion, sexual orientation, or
disability;
(H) Manage his/her financial
affairs unless legally restricted. Be free from financial exploitation. The provider
will not charge or ask for application fees or nonrefundable deposits and will not
solicit, accept or receive money or property from a resident other than the amount
agreed to for services;
(I) A safe and secure environment;
(J) Written notices prior to
rate increases and evictions;
(K) A written agreement regarding
services to be provided and agreed upon rates;
(L) Voice suggestions, complaints,
or grievances without fear of retaliation;
(M) Freedom from training, treatment,
chemical or physical restraints except as agreed to, in writing, in a resident's
PCP. Be free from chemical or physical restraints except as ordered by a physician
or other qualified practitioner;
(N) Be allowed and encouraged
to learn new skills, to act on their own behalf to their maximum ability, and to
relate to residents in an age appropriate manner;
(O) An opportunity to exercise
choices including such areas as food selection, personal spending, friends, personal
schedule, leisure activities, and place of residence;
(P) Freedom from punishment.
Behavior intervention programs must be approved in writing on the resident's PCP;
(Q) Freedom from abuse and neglect;
(R) The opportunity to contribute
to the maintenance and normal activities of the household;
(S) Access and opportunity to
interact with persons with/without disabilities;
(T) The right not to be transferred
or moved out of the adult foster home without 30 days' advance written notice and
an opportunity for a hearing as described in ORS 443.738(11)(b) and OAR 411-088-0080.
A provider may transfer or discharge a resident only for medical reasons including
a medical emergency described in ORS 443.738(11)(a), or for the welfare of the resident
or other residents, or for nonpayment; and
(U) Utilize advance directives.
Advance directives will be explained to each resident upon admission. If the resident
does not already have any advance directive or directives, he or she will be given
an opportunity to complete them. If any advance directives are completed by the
resident the provider shall document these directives in the resident's record;
if the resident declines to file any advance directives, this declination will be
documented in the resident's record.
(i) As used in this section,
the term "advance directive" has the meaning given under ORS 127.505, and includes
the "Declaration for Mental Health Treatment" under ORS 127.700 through 127.737.
(2) Complaints and Grievances.
Any person who believes these rules have been violated may file a complaint with
the Authority and/or CMHP. the Division and/or CMHP will investigate any complaint
or grievance regarding the AFH.
(3) Complaint and Grievance
Notice. The Division and/or CMHP will furnish each Adult Foster Home with a Complaint
and Grievance Notice, which must be posted in a conspicuous place stating the telephone
number of the Division and the CMHP and the procedure for making complaints or grievances.
(4) Complaint and Grievance
Actions. A copy of all Adult Foster Home complaints or grievances will be maintained
by the Division. All complaints or grievances and actions taken on the complaint or grievance,
indexed by the name of the provider, will:
(a) Be placed into the public
file at the Division. Information regarding the investigation of the complaint or grievance
will not be filed in the public file until the investigation has been completed;
(b) Protect the privacy of the
complainant or grievant and the resident; and
(c) Treat the names of the witnesses
as confidential information.
(5) Substantiated Complaints
or Grievances. Providers who acquire substantiated complaints or grievances pertaining
to the health, safety or welfare of residents may have their licenses suspended,
revoked or not renewed, or may have conditions placed on the license.
(6) Retaliation Against a Resident.
The Adult Foster Home provider, resident manager, or caregiver will not retaliate
in any way against any resident after a complaint or grievance has been filed with
the Authority. Retaliation may include, but is not limited to:
(a) Increasing charges or threatening
to increase charges;
(b) Decreasing or threatening
to decrease services, rights or privileges;
(c) Threatening to increase
charges or decrease services, rights or privileges;
(d) Taking or threatening to
take any action to coerce or compel the resident to leave the Adult Foster Home;
or
(e) Abusing, harassing, or threatening
to abuse or harass a resident in any manner.
(7) Retaliation Against Others.
A complainant, grievant, witness or caregiver of an Adult Foster Home will not be
subject to retaliation by a provider, or resident manager, or substitute caregiver
for making a report or being interviewed about a complaint or being a witness. Retaliation
may include, but is not limited to, caregiver dismissal or harassment, or restriction
of access to either the Adult Foster Home or a resident.
(8) Immunity. The complainant
will have immunity from any civil or criminal liability with respect to the making
or content of a complaint or grievance made in good faith.
(9) Public Complaint Files.
Any person has the right to inspect and receive a photocopy of the public complaint
files, including protective services files, maintained by the Authority upon written
request subject to the Authority's procedures, ORS 192.410 through 192.505, and
photocopy charges for public record requests.
Stat. Auth.: ORS 443.735

Stats. Implemented: ORS 127.700
- 127.737 & 443.705 - 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); Renumbered from 309-040-0065, MHD 3-2005, f.
& cert. ef. 4-1-05; MHS 4-2009(Temp), f. & cert. ef. 8-6-09 thru 2-2-10;
MHS 1-2010, f. & cert. ef. 1-29-10
309-040-0415
Administrative Sanctions
and Conditions
(1) Administrative Sanctions.
An administrative sanction may be imposed for non-compliance with these rules. An
administrative sanction includes one or more of the following actions:
(a) Attachment of conditions
to a license;
(b) Civil penalties;
(c) Denial, suspension, revocation,
or non-renewal of license.
(2) Notice
of Intent. If the Division imposes an administrative sanction, it will serve a Notice
of Intent of the administrative sanction upon the licensee personally or by certified
mail.
(3) Notice of Administrative Sanction.
The notice of administrative sanction will state:
(a) Each sanction imposed;
(b) A short and plain statement
of each condition or act that constitutes a violation;
(c) Each statute or rule allegedly
violated;
(d) A statement of the licensee’s
right to a contested case hearing;
(e) A statement of the authority
and jurisdiction under which the hearing is to be held;
(f) A statement that the Division
files on the subject of the contested case automatically become part of the contested
case record upon default for the purpose of proving a prima facie case; and
(g) A statement that the notice
becomes a final order upon default if the licensee fails to request a hearing within
the specified time.
(4) Hearing. If an administrative
sanction is imposed for reason other than abuse, neglect, or exploitation, a hearing
will precede it if the licensee requests the hearing in writing within 60 days after
receipt of the notice per ORS Chapter 183.
(5) Failure to Request a Hearing.
If a licensee fails to request in writing a hearing within 60 days, the Notice of
Administrative Sanction will become a Final Order of the Division by default.
(6) Immediate Action. The Division
may immediately suspend, revoke, or not renew a license for a substantiated finding
of abuse, neglect, or exploitation of a resident. The licensee may submit a request,
in writing, for a contested case hearing within 60 days of the notice of intent
of suspension, revocation or non-renewal.
(7) Resident Removal. When a
license is denied, suspended, revoked, or not renewed, the Division will work with
the CMHP to arrange for residents to move for their protection.
(8) Conditions on License. Conditions
may be attached to a license upon a finding that:
(a) Information on the application
or initial inspection requires a condition to protect the health and safety of residents,
pending further action by the Division or Divison designee;
(b) There exists a threat to
the health, safety, and welfare of a resident, pending further action by the Division
or Division designee;
(c) There is reliable evidence
of abuse of an adult, pending further action by the Division or Division designee;
(d) The Adult Foster Home is
not being operated in compliance with these rules, pending further action by the
Division or Division designee; or
(e) The provider is licensed
to care for a specific person only and further placements may not be made to the
Adult Foster Home.
(9) Conditions on Licensee.
Conditions which may be imposed on a licensee include but are not limited to:
(a) Restricting the maximum
capacity of the Adult Foster Home;
(b) Restricting the number and
impairment level of residents allowed based upon the capacity of the caregivers
to meet the health and safety needs of all residents;
(c) Requiring an additional
caregiver or caregiver qualifications;
(d) Requiring additional training
of caregivers;
(e) Requiring additional documentation
as deemed necessary by the Division;
(f) Restricting a provider from
opening an addition Adult Foster Home; and/or
(g) Suspending admissions to
the Adult Foster Home.
(10) Notification of Conditions.
The provider must be notified, in writing, of any conditions imposed, the reason
for the conditions, and be given an opportunity to request a hearing under ORS Chapter
183.
(11) Review by the Division.
In addition to, or in lieu of, a contested case hearing, a provider may request,
in writing, a review by the Division administrator or designee of conditions imposed
by the CMHP or Division. The review does not diminish the provider's right to a
hearing.
(12) Length of Conditions. Conditions
may be imposed for the extent of the license period (one year), extended to the
next license period, or limited to some other shorter period of time as deemed necessary
by the Division. If the conditions correspond to the licensing period, the reasons
for the conditions will be considered at the time of renewal to determine if the
conditions are still appropriate. The effective date and expiration date of the
conditions will be indicated on the attachment to the license.
(13) Hearing Rights. Hearing
rights are in accordance with ORS 183.310 to 183.550.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0075, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0420
Denial, Suspension, Revocation
or Non-renewal of License
(1) Causative Action. the Division
will deny, suspend, revoke, or refuse to renew a license where it finds:
(a) There has been substantial
failure to comply with these rules or where there is substantial non-compliance
with local codes and ordinances, or any other state or federal law or rule applicable
to the health and safety of residents in an Adult Foster Home; or
(b) The applicant or provider
has been convicted of one or more crimes described in the Criminal Record Check:
(A) The applicant or provider
has had a certificate or license to operate a foster home or residential care facility
denied, suspended, revoked or refused to be renewed in this or any other state/county
within three years preceding the present action if the denial, suspension, revocation
or refusal to renew was due in any part to abuse of an adult, creating a threat
to the residents or failure to possess physical health, mental health or good personal
character;
(B) If the denial, suspension,
revocation or refusal to renew occurred more than three years from the present action,
the applicant or provider is required to establish to the Division by clear and
convincing evidence his/her ability and fitness to operate an Adult Foster Home.
If the applicant or provider does not meet this burden, then the Division will deny,
suspend, revoke or refuse to renew the license;
(C) The applicant or provider
is associated with a person whose license for a foster home or residential care
facility was denied, suspended, revoked or refused to be renewed due to abuse of
an adult, or failure to possess physical health, mental health or good personal
character within three years preceding the present action, unless the applicant
or provider can demonstrate to the Division by clear and convincing evidence that
the person does not pose a threat to the residents;
(D) For purposes of this subsection,
an applicant or provider is "associated with" a person as described above, if the
applicant or provider:
(i) Resides with the person;
(ii) Employs the person in the
Adult Foster Home;
(iii) Receives financial backing
from the person for the benefit of the Adult Foster Home;
(iv) Receives managerial assistance
from the person for the benefit of the Adult Foster Home; or
(v) Allows the person to have
access to the Adult Foster Home.
(E) For purposes of this section
only, "present action" means the date of the notice of denial, suspension, revocation
or refusal to renew.
(2) Causative Action by Provider.
The Authority may deny, suspend, revoke, or refuse to renew an Adult Foster Home
license if the applicant or provider:
(a)
Submits fraudulent or untrue information to the Division;
(b) Has a history of, or demonstrates financial
insolvency, such as filing for bankruptcy, foreclosure, eviction due to failure
to pay rent, or termination of utility services due to failure to pay bill(s);
(c) Has a prior denial, suspension,
revocation or refusal to renew a certificate or license to operate a foster home
or residential care facility in this or any other state/county;
(d) Has threatened the health,
safety, or welfare of any resident;
(e) Has a substantiated finding
of abuse of an adult;
(f) Has a medical or psychiatric
problem, which interferes with the ability to provide care;
(g) Refuses to allow access
and inspection;
(h) Fails to comply with a final
order of the Division to correct a violation of the rules for which an administrative
sanction has been imposed; or
(i) Fails to comply with a final
order of the Division imposing an administrative sanction.
(j) Fails to report knowledge
of the illegal actions of or disclose the known criminal history of a provider,
resident manager, substitute caregiver, or volunteer of the Adult Foster Home.
Stat. Auth.: ORS 413.042
Stats. Implemented: ORS 443.705
- 443.825
Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered
from 309-040-0090, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0425
Removal of Residents
(1) Order to Move. The Division
may order the removal of residents from an Adult Foster Home to an alternative placement
on the following grounds:
(a) When a violation of these
rules is not corrected after time limit specified in notice;
(b) There is a violation of
a resident's rights;
(c) The number of residents
currently in the Adult Foster Home exceeds the maximum licensed capacity of the
Adult Foster Home;
(d) The Adult Foster Home is
operating without a license; or
(e) There is evidence of abuse
of an adult that presents a serious and immediate danger to residents.
(2) Resident Assistance. The
resident will be given assistance in locating and visiting alternative placements
by the CMHP, if needed, and will have the right to contest the move as provided
in ORS 443.738(11)(b) and OAR 411-088-0080.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92), Renumbered from 309-040-0085; MHD 6-1999,
f. 8-24-99, cert. ef. 8-26-99; MHD 7-2001(Temp) f. 8-30-01, cert. ef. 9-1-01 thru
2-27-02; MHD 4-2002, f. 2-26-02, cert. ef. 2-27-02; Renumbered from 309-040-0092,
MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0430
Conditions
(1) Attachment to License. Conditions
will be attached to a license upon a finding that:
(a) Information on the application
or initial inspection requires a condition to protect the health and safety of residents;
(b) There exists a threat to
the health, safety, and welfare of a resident;
(c) There is reliable evidence
of abuse of an adult;
(d) The Adult Foster Home is
not being operated in compliance with these rules; or
(e) The provider is licensed
to care for a specific person(s) only and further placements may not be made to
the Adult Foster Home.
(2) Notification of Conditions.
The provider must be notified, in writing, of any conditions imposed, the reason
for the conditions, and be given an opportunity to request a hearing under ORS Chapter
183.
(3) Hearing Rights. In addition
to, or in lieu of, a contested case hearing, a provider may request in writing a
review by the Division administrator or designee of conditions imposed by the CMHP
or the Division. The review does not diminish the provider's right to a hearing.
(4) Length of Conditions. Conditions
will be imposed for the extent of the license period (one year), extended to the
next license period or limited to some other shorter period of time as deemed necessary
by the Division. If the conditions correspond to the licensing period, the reasons
for the conditions will be considered at the time of renewal to determine if the
conditions are still appropriate. The effective date and expiration date of the
conditions will be indicated on the attachment to the license.
Stat. Auth.: ORS 413.042
Stats. Implemented: ORS 443.705
- 443.825
Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92); MHD 6-1999, f. 8-24-99, cert. ef. 8-26-99;
Renumbered from 309-040-0093, MHD 3-2005, f. & cert. ef. 4-1-05
309-040-0435
Criminal Penalties
(1) Unlicensed. Operating an
Adult Foster Home without a license is punishable as a Class C misdemeanor.
(2) Refusal to Comply. Refusing
to allow any of the following is punishable as a Class B misdemeanor:
(a) Authority access to the
Adult Foster Home for inspection or investigation;
(b) Authority access to residents
in order to interview residents privately or to review records; or
(c) State and local fire inspector
access to the Adult Foster Home regarding fire safety.
Stat. Auth.: ORS 413.042
Stats. Implemented: ORS 443.705
- 443.825
Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92); Renumbered from 309-040-0095, MHD 3-2005, f.
& cert. ef. 4-1-05
309-040-0440
Civil Penalties
(1) Penalties for Other than
Abuse. Civil penalties, for other than substantiated allegations of abuse, will
not exceed $100 per violation with a maximum of $250 may be assessed for violation
of these rules, with the exception of substantiated abuse findings.
(2) Penalties for Abuse. Civil
penalties of a maximum of $1000 per occurrence may be assessed for each substantiated
abuse finding.
(3) Other Penalties. In addition
to any other liability or penalty, the Division may impose a penalty for any of
the following:
(a) Operating an Adult Foster
Home without a license;
(b) Exceeding the number of
residents identified on the license;
(c) The Provider fails to achieve
satisfactory compliance with the requirements of these rules within the time specified,
or fails to maintain such compliance;
(d) The Adult Foster Home is
unable to provide an adequate level of care to residents;
(e) There is retaliation or
discrimination against a resident, family, employee, or any other person for making
a complaint against the Adult Foster Home;
(f) The provider fails to cooperate
with the Division, physician, registered nurse, or other health care professional
in carrying out a resident's care plan; or
(g) Other violations are found
on two consecutive inspections of an Adult Foster Home after a reasonable amount
of time has been allowed for the elimination of the violations.
(4) Penalty Due. Any civil penalty
imposed under this section will become due and payable when the provider incurring
the penalty receives a notice in writing from the Division. The notice will be sent
by registered or certified mail and will include:
(a) A reference to the particular
sections of the statute, rule, standard, or order involved;
(b) A short and plain statement
of the matter asserted or charged;
(c)
A statement of the amount of the penalty or penalties imposed; and
(d) A statement of the right to request
a hearing.
(5) Application for Hearing.
The provider to whom the notice is addressed will have 60 days from the date of
the notice of intent in which to make written application for a hearing.
(6) Hearings. All hearings will
be conducted according to the applicable provisions of ORS Chapter 183.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92); Renumbered from 309-040-0097, MHD 3-2005,
f. & cert. ef. 4-1-05
309-040-0445
Public Information
(1) Current Information. The
Authority will maintain current information on all licensed Adult Foster Homes and
will make that information available to prospective residents, their families, and
other interested members of the public.
(2) Current Information Content.
The information will include:
(a) The location of the Adult
Foster Home;
(b) A brief description of the
physical characteristics of the home;
(c) The name and mailing address
of the provider;
(d) The license classification
of the home and the date the provider was first licensed to operate that home;
(e) The date of the last inspection,
the name and telephone number of the office that performed the inspection and a
summary of the findings;
(f) Copies of all complaint
investigations involving the home, together with the findings of and actions taken
by the Authority;
(g) Any license conditions,
suspensions, denials, revocations, civil penalties, exceptions or other actions
taken by the department involving the home; and
(h) Whether care is provided
primarily by the licensed provider, a resident manager, or other arrangement.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 6-1999, f. 8-24-99,
cert. ef. 8-26-99; Renumbered from 309-040-0098, MHD 3-2005, f. & cert. ef.
4-1-05
309-040-0450
Adjustment, Suspension
or Termination of Payment
(1) Causative Actions. The CMHP
or Authority may adjust, suspend, or terminate payment(s) to a provider when any
of the following conditions occur:
(a) The provider's Adult Foster
Home license is revoked, suspended, or terminated;
(b) Upon a finding that the
provider is failing to deliver any service as agreed to in the PCP; or
(c) When funding, laws, regulations,
or the CMHP or Authority priorities change such that funding is no longer available,
redirected to other purposes, or reduced;
(d) The individual's service
needs change;
(e) The individual is absent
without providing notice to the provider for five or more consecutive days;
(f) The individual is determined
to be ineligible for services;
(g) The individual moves, with
or without notice, from the Adult Foster Home; the provider will be paid only through
the last day of the individual's occupancy.
(2) Authority Obligation. The
CMHP or Authority is under no obligation to maintain the Adult Foster Home at its
licensed capacity or to provide payments to potential providers.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 19-1985(Temp), f.
& ef. 12-27-85; MHD 6-1986, f. & ef. 7-2-86; MHD 1-1992, f. & cert.
ef. 1-7-92 (and corrected 1-31-92), Renumbered from 309-040-0055(3)(a)-(c); MHD
6-1999, f. 8-24-99, cert. ef. 8-26-99; Renumbered from 309-040-0057, MHD 3-2005,
f. & cert. ef. 4-1-05
309-040-0455
Enjoinment of Adult Foster
Home (AFH) Operation
The Authority may commence an
action to enjoin (ban) the operation of an Adult Foster Home pursuant to ORS 443.775(5):
(1) Unlicensed. When an Adult
Foster Home is operated without a valid license; or
(2) Unresolved Placement. After
notice of revocation, non-renewal, or suspension has been given, a reasonable time
for placement of residents in other facilities has been allowed, and such placement
has not been accomplished.
Stat. Auth.: ORS 413.042

Stats. Implemented: ORS 443.705
- 443.825

Hist.: MHD 1-1992, f. &
cert. ef. 1-7-92 (and corrected 1-31-92); Renumbered from 309-040-0099, MHD 3-2005,
f. & cert. ef. 4-1-05

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