Ohio Admin. Code 5122-26-06 - Human resources management
(A)
The purpose of
this rule is to establish that the provider's human resource management
processes shall assure the provider is able to provide quality, client-driven
treatment services in a safe, respectful environment.
(B)
In addition to
the definitions in rule
5122-24-01
of the Administrative Code, the following definition shall apply to this
rule:
(C)
The provider's
human resources management policies, procedures and processes shall
assure:
(1)
Development of a workforce comprised of competent, qualified
staff, including clinical and non-clinical staff.
(2)
Appropriate and
adequate supervision.
(3)
Continuing education.
(4)
Maintaining
appropriate documentation.
(D)
The provider
shall develop a job description for each position that includes:
(1)
Minimum
qualifications for the position:
(a)
Competencies, e.g. knowledge, skills and
experience.
(b)
Credentials and academic requirements, if
applicable.
(2)
Duties and
responsibilities of the position.
(E)
The provider
shall verify credentials, when required, prior to hire and on an on-going
basis. The provider may maintain documentation of verifying credentials by
making a copy of the individual's license, certificate, registration or
certificate, maintaining a log noting the date and name of person who verified
credentials, or by a similar method.
(F)
Services to
children and adolescents. Provider agencies offering services to children and
adolescents shall assure:
(1)
Each employee utilized in positions which are
responsible for the direct care or supervision of children or adolescents shall
be at least eighteen years of age.
(2)
Any prospective
employee, volunteer or student intern shall not have pled guilty to nor been
convicted of any of the offenses listed in paragraph (I) of rule
5101:2-5-09
of the Administrative Code. A prospective employee, adult volunteer or student
intern convicted of or who has pleaded guilty to an offense listed in paragraph
(I) of rule
5101:2-5-09
of the Administrative Code may be hired by a provider if the conditions as
provided in paragraph (H) of rule
5101:2-5-09
of the Administrative Code have been met.
(3)
Criminal record
background checks on employees, volunteers and student interns are conducted by
the bureau of criminal identification and investigation (BCII), or any other
state or federal agency designated by the director, and, if the prospective
employee does not demonstrate that they have been a resident of Ohio for the
preceding five years, by the federal bureau of investigation
(FBI).
(G)
The provider shall provide orientation training to
staff and document the orientation training, which shall be completed within
thirty calendar days of the first date of employment. Orientation shall include
at a minimum the following:
(1)
Employee and client safety.
(2)
Provider's
mission, vision and goals.
(3)
Characteristics
of the population served.
(4)
Sensitivity to cultural diversity.
(5)
Policies and
procedures specific to job duties and responsibilities.
(6)
Confidentiality,
including HIPAA, and, if applicable 42 CFR part 2.
(7)
Reporting abuse
and neglect policies and procedures.
(8)
Client rights and
grievance policies and procedures.
(H)
Services and
supervision.
(1)
All personnel for whom a state or federal credential is
required by law or regulation shall maintain the current credential issued by
the appropriate body in the state of Ohio and/or federal agency, and shall
practice only within the scope of their credential.
(2)
Services
requiring supervision in accordance with Chapter 5122-29 of the Administrative
Code shall be under the supervision of an individual who is eligible to
supervise services as set forth in rule
5122-29-30
of the Administrative Code, and who has demonstrated experience, competency,
and education in the area supervised, i.e. substance abuse, mental health or
dual diagnosis.
(3)
Each non-supervisor staff providing direct services
shall receive regularly scheduled and documented supervision appropriate to
their skill level, experience and job duties, and in accordance with the
requirements of their license, certificate or registration, if
applicable.
(I)
Continuing
education and training.
(1)
The provider shall assure direct service and
supervisory staff participate in continuing education and training.
(a)
Minimum training
hours shall be in accordance with each individual's credentialing board,
or
(b)
Staff providing or supervising services for which no
credential issued by a state credentialing board is required shall complete at
least twenty hours of continuing education every two years, based on the
individual's date of hire. If the individual was originally hired in a position
in which he/ she was not required to participate in staff development training,
but was later hired in such a position, the first twenty hours of training
shall be completed within two years of the first date of work in the new
position. Staff employed as of the effective date of this rule providing or
supervising services for which no credential issued by a state credentialing
board is required shall complete the required training within three years of
the effective date, and every two years thereafter, based upon the hire date or
first date of work in the new position, as applicable.
(2)
Training shall:
(a)
Maintain or increase competency;
(b)
Include topics
specific to population served; and
(c)
Ensure culturally
competent provision of service.
(J)
Performance
evaluation.
(1)
The provide shall evaluate staff performance at a frequency
required by its accrediting body, if applicable, or for a provider without
behavioral health accreditation, annually.
(2)
The provider
shall establish in writing a system and frequency for evaluating volunteers,
based on job duties, scope of responsibility, and frequency of
service.
(3)
The provider shall evaluate contract staff performance
in accordance with its human resources management policies and
procedures.
(K)
Personnel files. The provider shall maintain a
personnel file for each employee, including contract staff and volunteers.
Personnel files shall be stored in such a manner as to maintain the privacy of
each staff person. Provider policies shall describe who shall have access to
the various information contained within the file. Personnel files shall
include the following:
(1)
All staff, including contract staff, student interns
and volunteers:
(a)
Identifying information;
(b)
Verification of
credentials, as applicable:
(i)
From professional regulatory boards in Ohio and federal
agencies, if applicable, including either electronic verification or copies of
current professional licenses, certifications, or registration;
or
(ii)
Documentation of competency for individuals providing
direct services or supervising services for which no credential is required.
Each provider shall establish the documentation necessary to verify
competency.
(c)
Position description. For contract staff, a copy of the
contract containing duties, expectations and required qualifications is
sufficient.
(d)
For providers which provide alcohol and other drug
services, documentation that the employee has reviewed and agreed to abide by
the federal regulations on the confidentiality of alcohol and drug abuse
patient records (Title 42, Code of Federal Regulations, part
2).
(e)
Documentation of orientation, including documentation
to reflect that the employee has received a copy of the policies and procedures
identified in paragraph (G) of this rule and has agreed to abide by each of
them.
(f)
The criminal background check required by paragraph (F)
of this rule for all staff of an agency providing services to children and
adolescents.
(g)
Disciplinary actions, if applicable.
(2)
All
staff, excluding student interns or volunteers:
(a)
Notification of
hire, to include start date and position.
(b)
For contract
staff, a copy of the contract is sufficient.
(3)
All staff,
excluding contract staff, student interns and volunteers:
(a)
Application for
employment or resume, with the exception of the executive director, CEO,
president or owner.
(b)
Verification of references, if required for
position.
(c)
Performance evaluations.
(d)
Documentation of
on-going training in accordance with paragraph (H) of this rule for staff who
provide direct service or staff who supervise services.
(L)
The provider shall develop written human resources
management policies and procedures sufficient to carry out the provisions of
this rule. Policies and procedures shall include at a minimum:
(1)
Prohibit
discrimination in employment, training, job duties, compensation, evaluation,
promotion, and any other term or condition of employment based on race,
ethnicity, age, color, religion, gender, national origin, sexual orientation,
physical or mental handicap, developmental disability, genetic information,
human immunodeficiency virus status, or in any manner prohibited by local,
state or federal laws;
(2)
Describe a formal process to express and process
employee grievances;
(3)
Prohibit sexual harassment;
(4)
Establish
standards of acceptable behavioral for all employees.
(5)
Termination of
employment.
(6)
Confidentiality, including HIPAA, and, if applicable 42
CFR part 2 if applicable.
(7)
Abuse and neglect policies and procedures:
(a)
Required internal
and external reporting of allegations of staff neglect and abuse of persons
served.
(b)
Responding to allegations of staff neglect and abuse of
persons served.
(8)
Client rights and
grievance policies and procedures as required by rule
5122-26-18
of the Administrative Code.
(9)
Policy that
appropriate disciplinary action, up to and including dismissal from employment,
shall be taken regarding any employee misconduct or criminal conviction that
bears a direct and substantial relationship to that employee's
position.
(10)
Procedures for notifying employees of changes to the
policies and procedures required by this rule.
(M)
A copy of the
written personnel policies and procedures shall be available to each employee.
Employees shall be notified of changes in personnel policies and
procedures.
(N)
Each provider serving children or adolescents shall
have a policy which states the following:
(1)
Each employee
utilized in positions which are responsible for the direct care or supervision
of children or adolescents shall be at least eighteen years of
age.
(2)
A prospective employee, volunteer or student intern
shall not have pled guilty to nor been convicted of any of the offenses listed
in paragraph (I) of rule
5101:2-5-09
of the Administrative Code. A prospective employee, adult volunteer or student
intern convicted of or who has pleaded guilty to an offense listed in paragraph
(I) of rule
5101:2-5-09
of the Administrative Code may be hired by a provider if the conditions as
provided in paragraph (H) of rule 5102:2-5-09 of the Administrative Code have
been met.
(3)
The provider shall require that criminal records checks
on employees, volunteers and student interns be conducted by the bureau of
criminal identification and investigation (BCII), or any other state or federal
agency designated by the director, and, if the prospective employee does not
demonstrate that they have been a resident of Ohio for the preceding five
years, by the federal bureau of investigation (FBI).
(O)
A copy of the
written personnel policies and procedures shall be available to each employee.
Employees shall be notified of changes in personnel policies and procedures.
The provider shall establish written procedures for notifying employees of such
changes.
(P)
Personnel files.
(1)
The provider
shall maintain a person file on each staff person, who shall have access to
their own personnel file.
(2)
Personnel files shall be stored in such a manner as to
maintain the privacy of each staff person. Provider policies shall describe who
shall have access to the various information contained within the
file.
(3)
Each personnel file shall include the following
content:
(a)
Identifying information and emergency
contacts;
(b)
Application for employment or resume;
(c)
Verification of
credentials from professional regulatory boards in Ohio, if applicable,
including either electronic verifications or copies of current professional
licenses, certifications, or registration;
(d)
Documentation of
education, experience and training;
(e)
Verification of
references, if required for position;
(f)
Notification of
hire, to include start date and position;
(g)
Job or position
description, to include job title and:
(i)
Supervisor to
whom the person holding this position is responsible.
(ii)
Duties or
responsibilities.
(iii)
Minimum qualifications for the position (knowledge and
skills).
(iv)
Credentials and academic requirements, if
applicable.
(v)
Positions supervised by person holding this position,
if applicable
(h)
Compensation documentation, if
applicable;
(i)
For providers which provide alcohol and other drug
services, documentation that the employee has reviewed and agreed to abide by
the federal regulations on the confidentiality of alcohol and drug abuse
patient records (Title 42, Code of Federal Regulations, part
2).
(j)
Performance evaluations;
(k)
Documentation of
orientation;
(l)
Documentation to reflect that the employee has received
a copy of the policies and procedures identified in paragraph (D)(7) of this
rule and has agreed to abide by each of them;
(m)
Documentation of
on-going training, as required by position, state law and agency
policy;
(n)
Commendations or awards, if applicable;
and
(o)
Disciplinary actions, if
applicable.
(Q)
The provider
shall have policies and written procedures for handling cases of staff neglect
and abuse of persons served, and documentation that each employee has received
a copy of these policies and procedures.
(R)
The provider
shall have a policy that appropriate disciplinary action, up to and including
dismissal from employment, shall be taken regarding any employee misconduct or
criminal conviction that bears a direct and substantial relationship to that
employee's position.
Replaces: 5122-26-06
Notes
Promulgated Under: 119.03
Statutory Authority: 5119.36
Rule Amplifies: 5119.36
Prior Effective Dates: 05/10/1979, 10/14/1982, 01/01/1991, 10/01/1993, 07/01/2011, 04/01/2016
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