Ohio Admin. Code 5123-3-01 - Licensed residential facilities - administration and operation
(A)
Purpose
This rule sets forth requirements for administration and operation of residential facilities licensed in accordance with section 5123.19 of the Revised Code.
(B) Definitions
(6)(7) "Direct support
professional" means a person who is at least eighteen
years of age employed in a "direct services position" as that term is
defined in section 5123.081 of the Revised
Code.
(7)(8) "Health-related
activities" has the same meaning as in rule 5123:2-6-01
5123-6-01
of the Administrative Code.
(8)(9) "Home and
community-based services" has the same meaning as in section
5123.01 of the Revised
Code.
(9)(10) "Individual" means
a person with a developmental disability.
For the purposes of this rule, the following definitions apply:
(1) "Abuser registry" has the
same meaning as in rule
5123-17-03 of the Administrative
Code.
(2) "Accredited college or
university" means a college or university accredited by a national or regional
association recognized by the secretary of the United States department of
education or a foreign college or university of comparable standing.
(3) "Administrator" means the person
responsible for administration of the residential facility who
shall be
is
directly and actively involved in the day-to-day operation of the residential
facility and oversee
oversees provision of services by the residential
facility.
(4) "Certificate of high
school equivalence" has the same meaning as in section
3301.80 of the Revised Code and
includes the equivalent of a certificate of high school equivalence described
in division (C) of that section.
(5) "Department" means the Ohio department of
developmental disabilities.
(6)
"Direct support assistant" means a person who is
sixteen or seventeen years of age employed by a residential facility to provide
limited duties while in the company of a direct support
professional.
(10) "Individual service plan" means
the written description of services, supports, and activities to be provided to
an individual and includes an "individual program plan" as that term is used in
42 C.F.R. 483.440 as in effect on the effective date of this
rule.
(11)
"Intermediate care facility for individuals with intellectual disabilities" has
the same meaning as in section
5124.01 of the Revised
Code.
(12) "License" means written
approval by the department to a licensee to operate a residential
facility.
(13) "Licensee" has the
same meaning as in section
5123.19 of the Revised
Code.
(14) "Operator" means the
entity responsible for management of and provision of services at the
residential facility.
(15)
"Person-centered planning" has the same meaning as in rule
5123-3-03 of the Administrative
Code.
(16) "Related party" has the
same meaning as in section
5123.16 of the Revised
Code.
(17) "Residential facility"
has the same meaning as in section
5123.19 of the Revised
Code.
(18) "Specialized services"
means any program or service designed and operated to serve primarily
individuals with developmental disabilities, including a program or service
provided by an entity licensed or certified by the department. If there is a
question as to whether an entity is providing specialized services, an operator
may request that the director of the department make a determination. The
director's determination is not subject to appeal. Programs or services
available to the general public are not specialized services.
(19) "Supervisory staff" means employees of
the residential facility who provide direction or exercise supervision over one
or more direct support professionals.
(20) "Support staff" means employees of the
residential facility who are not direct support professionals
or direct support assistants, such as those in
human resources positions, secretaries, clerks, housekeepers, maintenance
workers, and laundry workers.
(21)
"Volunteer" means a person who donates time, effort, and/or talent to meet a
need or advance the mission of a residential facility and who is not paid or
otherwise remunerated by the residential facility. "Volunteer" does not include
a family member, guardian, friend, or other associate of an individual simply
interacting with that individual.
(C) General requirements
(1) A residential facility
shall
must be
licensed by the department in accordance with section
5123.19 of the Revised Code. The
license to operate a residential facility is not transferable and is valid only
for the licensee, the premises named on the license, the number of individuals
specified on the license, and the term specified on the license. The license
will be available at the residential facility and shown to anyone upon
request.
(2) A licensee
shall
will
serve as operator of the residential facility or contract with another entity
to serve as operator of the residential facility. When a licensee contracts
with another entity to serve as operator:
(a)
The licensee and operator shall
will enter into a written agreement that
establishes the operator's responsibility to provide the licensee all
information necessary to comply with paragraphs (C)(4)(a) to
(C)(4)(g)
(C)(4)(h) of this rule.
(b) The licensee remains responsible for
ensuring compliance with all rules and regulations governing the residential
facility.
(3) When home
and community-based services are provided at a residential facility, the
licensee or the operator, as applicable, shall
will submit an
application for approval to provide home and community-based services in
accordance with procedures established by the department, obtain and maintain a
medicaid provider agreement with the Ohio department of medicaid, and comply
with rules in Chapter 5123-9 of the Administrative Code for the specific home
and community-based services provided.
(4) A licensee shall
will:
(e)(f) At the point of
application for licensure and upon request by the department, provide:
a certificate of a
continuing policy of general liability insurance in an amount of at least one
million dollars which includes coverage for individuals' losses due to theft or
property damage.
(f)(g) Electronically
notify the department within seven calendar days of any bankruptcy petition for
which the licensee or operator is the subject and provide related documents to
the department upon request.
(g)(h) Electronically
notify the department within fourteen calendar days of determining that the
administrator has had a professional registration, certification, or license
(other than a driver's license) suspended or revoked.
(a) Electronically notify the department if
the licensee, operator, or administrator has been or is formally charged with,
is convicted of, pleads guilty to, or is found
eligible for intervention in lieu of conviction for any of the offenses listed
or described in divisions (A)(3)(a) to (A)(3)(e) of section
109.572 of the Revised Code
within fourteen calendar days after the date of such charge, conviction, guilty
plea, or finding.
(b)
Electronically notify the department within fourteen calendar days if the
licensee, operator, or administrator is or becomes a related party of a person
or government entity for which the department refused to issue or renew or
revoked a supported living certificate pursuant to section
5123.166 of the Revised
Code.
(c) Electronically notify the
department within fourteen calendar days of occurrence, and provide the name,
date of birth, and social security number for any person newly acquiring a
financial interest of five per cent or more in the residential facility
(including a direct, indirect, security, or mortgage financial
interest).
(d) Provide and maintain
on file with the department, the licensee's and the operator's current physical
address, telephone number, and electronic mail address.
(e)
At the point of
application for licensure and upon request by the department, provide proof of
a:
(i)
Continuing line of credit in the licensee's name in an
amount of at least ten thousand dollars; or
(ii)
Bank account in
the licensee's name with a daily balance of at least ten thousand dollars for
the most recent ninety days.
(i) A certificate of a continuing
policy of general liability insurance in an amount of at least one million
dollars which includes coverage for individuals' losses due to theft or
property damage.
(ii) Proof of a continuing line of
credit in the licensee's name in an amount of at least ten thousand
dollars.
(5) An operator shall
will:
(a) Comply with rules in Chapter 5123-3 of
the Administrative Code, rules in other chapters of the Administrative Code
adopted by the department to license or regulate the operation of residential
facilities, and all applicable federal, state, and local regulations including
but not limited to, the Americans with Disabilities Act, fire safety code, wage
and hour, workers' compensation, unemployment compensation, and withholding
taxes.
(b) Have written policies
and procedures that address management practices regarding:
(i) Person-centered planning and
self-determination;
(ii)
Individuals' satisfaction with services delivered;
(iii) Internal monitoring and evaluation
procedures to improve services delivered;
(iv) Supervision of staff;
(v) The training plan described in paragraph
(D)(7) of this rule;
(vi) Service
delivery;
(vii) Background
investigations for employment in accordance with rule
5123-2-02 of the Administrative
Code; and
(viii) Volunteers (when
the residential facility engages volunteers).
(c) Demonstrate that it has an established
internal compliance program to ensure compliance with requirements for:
(i) Residential facilities in accordance with
rules in Chapter 5123-3 of the Administrative Code;
(ii) Background investigations and
appropriate actions in accordance with rule
5123-2-02 of the Administrative
Code, for its administrator, licensee, operator, supervisors of direct support
professionals, direct support professionals, direct
support assistants, and when
applicable, volunteers;
(iii) Service delivery, service
documentation, and billing for services in accordance with Chapter 5123. of the
Revised Code and rules adopted pursuant to that chapter for supported living
services and the specific home and community-based services provided;
and
(iv) Management of individuals'
funds.
(d) Participate
as requested by the department in service delivery system data collection
initiatives.
(e) Ensure the
operator and its employees interact with individuals in a way to safeguard the
rights of individuals enumerated in sections
5123.62 and
5123.65 of the Revised
Code.
(f) Meet the requirements
established under sections
5123.63 and
5123.64 of the Revised
Code.
(6) When a
residential facility is governed by a board of directors, board members
shall
will:
(a) Ensure the fiscal integrity of the
residential facility by reviewing and approving the residential facility's
annual audit, if otherwise required, or annual financial statements and by
monitoring the residential facility's financial status including trends and
challenges;
(b) Review and evaluate
all compliance review reports by the department or the Ohio department of
health and the operator's response, including the plan of correction;
(c) Monitor the effectiveness of the
operator's internal compliance program described in paragraph (C)(5)(c) of this
rule; and
(d) Promote the delivery
of high-quality services.
(D) Staffing
An operator shall
will:
(1) Conduct background investigations and
take appropriate actions in accordance with rule
5123-2-02 of the Administrative
Code for the administrator, supervisors of direct support professionals, direct
support professionals, direct support assistants,
and when applicable, volunteers. The
administrator shall
will consent to be enrolled in the Ohio attorney
general's retained applicant fingerprint database (also known as "Rapback").
When the licensee and/or operator is a natural person, the licensee and/or
operator shall
will be subject to background investigations in
accordance with the requirements for candidates set forth in rule
5123-2-02 of the Administrative
Code and consent to be enrolled in the Ohio attorney general's retained
applicant fingerprint database (also known as "Rapback").
(2) Annually notify in writing, each of its
staff members explaining the conduct for which the staff member may be placed
on the abuser registry and setting forth the requirement for each staff member
who is a supervisor of direct support professionals,
or a direct
support professional, or a direct support
assistant to report in writing to the operator, if the staff member is
formally charged with, is convicted of, pleads guilty to, or is found eligible
for intervention in lieu of conviction for any of the offenses listed or
described in divisions (A)(3)(a) to (A)(3)(e) of section
109.572 of the Revised Code
within fourteen calendar days after the date of such charge, conviction, guilty
plea, or finding.
(3) Be current in
payment of payroll taxes, workers' compensation premiums, and unemployment
compensation premiums.
(4) Ensure
that staff are on duty on the basis of the needs of individuals being served.
Staff schedules will be prepared in advance and available for review at each
residential facility.
(5) Provide
sufficient support staff so that direct support professionals are not required
to perform support services to the extent that these duties interfere with the
exercise of their primary duties.
(6) Maintain personnel records for each
employee in accordance with the residential facility's personnel
policies.
(7) Develop and implement
a written training plan for its administrator, supervisors of direct support
professionals, direct support professionals, direct
support assistants, support staff, and when
applicable, volunteers that:
(a) Is
consistent with the needs of individuals served, best practice, and the
requirements set forth in appendix A, appendix B, appendix C, and appendix D to
this rule.
(b) Describes the method
(e.g., written test, skills demonstration, or documented observation by
supervisor) that will be used to establish competency in areas of
training.
(c) Is updated at least
once every twelve months and identifies who is responsible for arranging or
providing the training and projected timelines for completion of the
training.
(8) Maintain a
written record of training completed by the administrator, supervisors of
direct support professionals, direct support professionals,
direct support assistants, support staff, and
volunteers that includes a description of the training completed, the date of
training, the duration of training, and when applicable, the instructor's
name.
(E) Requirements
for administrator
(1) An operator
shall
will
employ an administrator. When the operator is a natural person, the operator
may serve as the administrator provided the operator meets the requirements for
administrators set forth in this rule.
(2) An administrator
shall
will:
(a) Have a valid birth certificate.
(b) Be at least twenty-one years of
age.
(c) Have a valid social
security card and a valid government-issued photo identification.
(d) Be able to read, write, and understand
English at a level sufficient to comply with all requirements set forth in
administrative rules governing the services provided.
(e) Have at least:
(i) One year of full-time (or equivalent
part-time) paid work experience in the provision of specialized services;
or
(ii) Four years of experience
providing care to a family member (i.e., parent, child, or sibling) with a
developmental disability.
(f) Have at least one year of full-time (or
equivalent part-time) paid work experience in:
(i) Supervision of employees;
(ii) Development, oversight, and/or
supervision of programs or services; and
(iii) Financial management of an
organization.
(g) Except
for a person who, on September 30, 2016, was employed by or under contract with
a residential facility as the administrator, hold either:
(i) A bachelor's degree from an accredited
college or university; or
(ii) A
high school diploma or certificate of high school equivalence and have at
least:
(a) Four years of full-time (or
equivalent part-time) paid work experience as a supervisor of specialized
services; or
(b) Four years of
experience providing care to a family member (i.e., parent, child, or sibling)
with a developmental disability.
(h) Successfully complete the training
specified in appendix A to this rule in accordance with the stipulated
timelines.
(3) An
operator shall
will designate in writing a staff member to whom
executive authority has been delegated in the temporary absence of the
administrator.
(4) An operator
shall
will
electronically notify the department within fourteen calendar days when the
administrator leaves or joins the residential facility's employ.
(a) When the administrator leaves a
residential facility's employ, the operator shall
will provide
the operator's plan for identifying a new administrator and identify the person
to whom executive authority has been delegated in the interim period.
(b) A person newly appointed or employed as
administrator shall
will complete the department-provided web-based
orientation for administrators of residential facilities described in appendix
A to this rule within thirty calendar days of appointment or hire.
(5) An administrator
shall
will
electronically notify the department if the administrator:
(a) Serves as administrator for more than one
licensee.
(b) Is or was the
administrator of a residential facility at a point in time within the last five
years when the residential facility had its license revoked or not
renewed.
(F)
Requirements for direct support professionals
(3)(2) Is able to read,
write, and understand English at a level sufficient to comply with all
requirements set forth in administrative rules governing the services
provided.
(4)(3) Obtains within
sixty calendar days of hire and thereafter maintains valid "American Red Cross"
or equivalent certification in first aid which includes an in-person skills
assessment completed with an approved trainer. Until such time that
certification in first aid is obtained, the direct support professional may
provide direct services only when there is another staff member who holds valid
certification in first aid present.
(5)(4) Obtains within
sixty calendar days of hire and thereafter maintains valid "American Red Cross"
or equivalent certification in cardiopulmonary resuscitation which includes an
in-person skills assessment completed with an approved trainer. Until such time
that certification in cardiopulmonary resuscitation is obtained, the direct
support professional may provide direct services only when there is another
staff member who holds valid certification in cardiopulmonary resuscitation
present.
(6)(5) Successfully
completes the training specified in appendix B to this rule in accordance with
the stipulated timelines.
An operator shall
will ensure that each direct support
professional:
(1) Is at least eighteen
years of age.
(2) Holds a high school diploma or
certificate of high school equivalence, except for persons who, on September
30, 2016, were employed by or under contract with a residential facility in a
direct services position.
(G) Requirements for supervisory staff
An operator shall
will ensure that each staff member who supervises
direct support professionals:
(1)
Meets the requirements set forth in paragraph (F) of this rule; and
(2) Has successfully completed training
regarding all relevant duties and responsibilities of being a supervisor for
the residential facility within ninety calendar days of becoming a
supervisor.
(H)
Requirements for support staff
An operator shall
will ensure that support staff successfully
complete the training specified in appendix C to this rule in accordance with
the stipulated timelines.
(I)
Requirements for
direct support assistants
(1)
A residential facility may employ persons who are
sixteen or seventeen years of age to perform limited duties as direct support
assistants.
(2)
A person employed as a direct support assistant will,
at all times, work in the company of an employee of the residential facility
who is:
(a)
Physically present at the location where the direct support
assistant is providing services; and
(b)
A direct support
professional who meets the requirements of paragraph (F) of this rule or a
supervisor of direct support professionals who meets the requirements of
paragraph (G) of this rule.
(3)
An operator will
ensure that each direct support assistant:
(a)
Undergoes a
background investigation for employment in accordance with rule
5123-2-02 of the Administrative
Code.
(b)
Meets the training requirements for direct support
professionals set forth in appendix B to this rule.
(c)
Is able to read,
write, and understand English at a level sufficient to comply with all
requirements set forth in administrative rules governing the services provided
by the direct support assistant.
(4)
A person employed
as a direct support assistant will not, under any circumstances:
(a)
Provide intimate
personal care such as dressing, showering, bathing, toileting, or changing
undergarments;
(b)
Operate a vehicle to transport an individual receiving
services;
(c)
Administer medication or perform health-related
activities;
(d)
Provide any care or perform any task for an individual
expressly forbidden by the individual (e.g., provide assistance with eating);
or
(e)
Implement any restrictive measure as defined in rule
5123-2-06 of the Administrative
Code.
(5)
An operator will not assign a direct support assistant
to provide services to an individual who does not consent to having services
provided by a direct support assistant.
(1) A residential
facility may engage volunteers to provide supplementary services.
(2) An operator shall
will ensure
that volunteers:
(a) Are at all times under
supervision of paid supervisory staff of the residential facility.
(b) Do not provide intimate personal care
(such as dressing, showering, bathing, toileting, or changing undergarments),
administer medication, or perform health-related activities.
(3) An operator
shall
will
ensure that each volunteer who provides more than forty hours of service
working directly with residents during a calendar year:
(a) Successfully completes the training
specified in appendix D to this rule.
(b) Undergoes a background investigation
which includes:
(i) Requiring the volunteer to
submit a statement to the operator with the volunteer's signature attesting
that the volunteer has not been convicted of, pleaded guilty to, or been found
eligible for intervention in lieu of conviction for any of the offenses listed
or described in divisions (A)(3)(a) to (A)(3)(e) of section
109.572 of the Revised
Code.
(ii) Requiring the volunteer
to sign an agreement under which the volunteer agrees to notify the operator
within fourteen calendar days if the volunteer is formally charged with, is
convicted of, pleads guilty to, or is found eligible for intervention in lieu
of conviction for any of the offenses listed or described in divisions
(A)(3)(a) to (A)(3)(e) of section
109.572 of the Revised Code. The
agreement will provide that failure to make the notification may result in
termination of the volunteer's services.
(iii) Checking each of the databases
described in paragraph (C)(2) of rule
5123-2-02 of the Administrative
Code to determine if the volunteer is included.
(iv) Obtaining a criminal records check
conducted by the Ohio bureau of criminal identification and investigation. If
the volunteer does not present proof that the volunteer has been a resident of
Ohio for the five-year period immediately prior to the date upon which the
criminal records check is requested, the criminal records check will include
information from the federal bureau of investigation.
(4) An operator
shall
will,
at a frequency of no less than once every five years, conduct a background
investigation in accordance with paragraph (I)(3)(b)
(J)(3)(b)
of this rule for each volunteer who provides more than forty hours of service
working directly with residents during a calendar year.
(5) An operator shall
will not engage
or continue to engage a volunteer who:
(a) Is
included in one or more of the databases described in paragraphs (C)(2)(a) to
(C)(2)(f) of rule
5123-2-02 of the Administrative
Code; or
(b) Has a conviction for,
pleads guilty to, or is found eligible for intervention in lieu of conviction
for any of the offenses listed or described in divisions (A)(3)(a) to (A)(3)(e)
of section 109.572 of the Revised Code if
the corresponding exclusionary period as specified in paragraph (E) of rule
5123-2-02 of the Administrative
Code has not elapsed.
Notes
Promulgated Under: 119.03
Statutory Authority: 5123.04, 5123.19, 5124.03
Rule Amplifies: 5123.04, 5123.19, 5124.03
Prior Effective Dates: 10/31/1977, 06/12/1981, 09/30/1983, 08/01/1987, 10/24/1987, 11/16/1990, 12/09/1991, 05/18/1995, 04/27/2000, 11/20/2000, 09/22/2002, 04/28/2003, 01/01/2006, 10/01/2009, 10/01/2016, 12/01/2022
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.