Or. Admin. R. 411-323-0050 - Agency Management and Personnel Practices

(1) NON-DISCRIMINATION. An agency's personnel policies and practices must comply with all applicable state and federal statutes, rules, regulations, and Department policy regarding non-discrimination.
(a) An agency must notify each mandatory reporter of abuse reporting requirements at least annually on the applicable Department form.
(b) An agency must provide each mandatory reporter with a Department produced card regarding abuse reporting status and abuse reporting requirements.
(c) An agency must maintain and implement personnel policies and procedures that address suspension, increased supervision, or other appropriate disciplinary action when a staff member, provider, subcontractor, relief provider, or volunteer, has been identified as an accused person in an abuse investigation or a founded report of child abuse or substantiated adult abuse.
(d) NON-RETALIATION. An agency or provider may not retaliate against a person who reports in good faith suspected abuse or retaliate against an individual with respect to a report. An accused person may not self-report solely to claim retaliation.
(A) An agency, provider, or person that retaliates against a person because of a report of suspected abuse is liable under ORS 430.755 in a private action for actual damages and, in addition, is subject to a penalty up to $1,000, notwithstanding any other remedy provided by law.
(B) Any adverse action is evidence of retaliation if taken within 90 calendar days of a report of abuse.
(C) For the purpose of this section, "adverse action" means any action taken by an agency, provider, or person involved in a report against the person making the report or against the individual because of the report and includes, but is not limited to, the following:
(i) Discharge or transfer from the agency, except for clinical reasons.
(ii) Discharge from, suspension, or termination of, employment.
(iii) Demotion or reduction in remuneration for program services.
(iv) Restriction or prohibition of access to the agency or the individuals receiving services delivered by the agency.
(3) APPLICATION FOR EMPLOYMENT. An agency must use an application for employment that inquires whether an applicant has had a founded report of child abuse or substantiated adult abuse..
(4) BACKGROUND CHECKS - NON-DEPARTMENT PROVIDER AGENCY. This section applies to a subject individual, as defined in OAR 407-007-0210, employed or contracted by an agency to provide program services.
(a) A background check must be approved for each subject individual in accordance with the following:
(A) OAR 407-007-0200 through 407-007-0370;
(B) OAR 407-007-0600 through 407-007-0640;
(C) ORS 181A.200; and
(D) ORS 409.027.
(b) A subject individual may be approved for one position to work in multiple locations within a qualified entity as defined in OAR 407-007-0210. The Background Check Request Form must be completed by the subject individual to show intent to work at various locations.
(c) An agency must perform a background check on all subject individuals at least every two years.
(d) As of July 28, 2009, an agency may not use public funds to support a subject individual convicted of a disqualifying crime in ORS 443.004, unless the subject individual remains in the position the subject individual held prior to July 28, 2009.
(e) A subject individual must notify the Department, or the designee of the Department, within 24 hours of any potentially disqualifying crime under OAR 407-007-0281 or potentially disqualifying condition under OAR 407-007-0290.
(5) BACKGROUND CHECKS - DEPARTMENT. This section applies to a subject individual, as defined in OAR 407-007-0010, employed or contracted by the Department to provide services in a residential training facility as defined in ORS 443.400 or a residential training home as defined in ORS 443.400.
(a) A background check must be approved for each subject individual in accordance with the following:
(A) OAR 407-007-0000 through 407-007-0100;
(B) OAR 407-007-0400 through 407-007-0460;
(C) ORS 181A.200; and
(D) ORS 409.027.
(b) The Department shall perform a background check on all subject individuals at least every two years.
(c) As of January 1, 2018, the Department may not use public funds to support a subject individual ineligible under OAR 407-007-0445.
(6) EXECUTIVE DIRECTOR QUALIFICATIONS. An agency must be operated under the supervision of an executive director. After October 1, 2023, a newly named executive director must have a minimum of a bachelor's degree in a related field and two years of experience in the field of intellectual or developmental disabilities, including at least one year providing supervision.
(a) Four years of experience in developmental disabilities services in Oregon may substitute for a bachelor's degree.
(b) Six years of experience in a related field may substitute for a degree. For the purposes of this subsection a related field is psychology, sociology, human services, education, or social work.
(c) For the purposes of this section, supervision is having authority in the interest of the employer to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibility to direct them, or to adjust their grievances, or effectively to recommend such action, if in connection therewith, the exercise of the authority is not of a merely routine or clerical nature but requires the use of independent judgment. Supervision solely of family members does not satisfy this requirement.
(7) EXECUTIVE DIRECTOR RESPONSIBILITES. The executive director is responsible for:
(a) Coordinating and directing the overall daily operations of the agency.
(b) Assuring a timely response from the agency to communication from the Department regarding the agency.
(c) Ensuring implementation of operational and administrative policies and procedures.
(d) Oversight of the fiscal budget and oversight of fiscal staff or management.
(e) Maintaining a high level of ongoing communication with individuals and families and being consistently responsive to questions from employees.
(f) Directing the hiring, training, and evaluation of all personnel.
(8) GENERAL STAFF QUALIFICATIONS. A staff member delivering services to an individual must meet the following criteria:
(a) Be at least 18 years of age.
(b) Be legally eligible to work in the United States demonstrated by:
(A) A completed U.S. Citizenship and Immigration Services Form I-9;
(B) Other documents that prove legal ability to work in the United States; or
(C) A notarized letter from the executive director or board of directors acknowledging the agency understands the responsibility to maintain I-9s for all employees and attesting the agency has a completed I-9 for each employee.
(c) Hold a current, valid, and unrestricted professional license or certification where services and supervision requires specific professional education, training, and skill.
(d) Understand requirements of maintaining confidentiality and safeguarding individual information.
(e) Not be on the list of excluded or debarred providers maintained by the Office of the Inspector General.
(f) Be literate and capable of understanding written and oral orders.
(g) Be able to communicate with individuals, health care providers, case managers, and appropriate others.
(h) Be able to respond to emergency situations at all times services are being delivered.
(i) Be certified in CPR and First Aid by a recognized training agency within 90 calendar days of employment.
(j) Receive 12 hours of job-related in-service training annually.
(k) Receive training on support documents, when a support document is present, for every individual the staff member will support. Training must occur before working unsupervised with an individual who has a support document. A staff member is supervised only when a person who has received training on the support document is in the same building or within line of sight and hearing of the untrained staff member.
(l) Have clear job responsibilities as described in a current signed and dated job description.
(m) If transporting individuals, have a valid driver's license in compliance with the laws of the Department of Motor Vehicles.
(n) Additional qualifications required by applicable program rules for the staff of an agency engaging in the delivery of the program service.
(9) PERSONNEL FILES AND QUALIFICATION RECORDS. An agency must maintain up-to-date written job descriptions for each staff member as well as a personnel file, available to the Department or the designee of the Department for inspection. The personnel file must include, but is not limited to, the following:
(a) Written documentation that references and qualifications were checked.
(b) Written documentation by the Department of an approved background check in accordance with sections (4) or (5) of this rule.
(c) Written documentation of mandatory abuse training and notification of mandatory reporter status prior to delivering services and annually thereafter.
(d) Written documentation of any complaints filed against the staff member and the results of the complaint process, including, if any, disciplinary action.
(e) Written documentation of any founded report of child abuse or substantiated adult abuse.
(f) Written documentation of 12 hours of job-related in-service training annually.
(g) Documentation the staff member has been certified in CPR and First Aid by a recognized training agency within 90 calendar days of employment and certification is kept current.
(h) For staff operating vehicles that transport individuals, documentation of a valid driver's license in compliance with the laws of the Department of Motor Vehicles.
(10) An agency must implement all directives related to staffing and operation of the agency during a public health emergency or declared state of emergency issued by any of the following:
(a) Governor's Executive Order.
(b) Written instruction to the agency from the Local Public Health Authority or the Oregon Health Authority Public Health Division.
(c) Written guidance directed at the agency through Department policy.


Or. Admin. R. 411-323-0050
SPD 19-2011(Temp), f. & cert. ef. 7-1-11 thru 12-28-11; SPD 12-2011, f. & cert. ef. 7-1-11; Reverted to SPD 12-2011, f. & cert. ef. 7-1-11; SPD 1-2012, f. & cert. ef. 1-6-12; APD 24-2014(Temp), f. & cert. ef. 7-1-14 thru 12-28-14; APD 42-2014, f. 12-26-14, cert. ef. 12/28/2014; APD 25-2016, f. & cert. ef. 6/29/2016; APD 40-2016(Temp), f. & cert. ef. 10-24-16 thru 4-21-17; APD 42-2016(Temp), f. & cert. ef. 12-16-16 thru 4-27-17; APD 9-2017, f. 4-17-17, cert. ef. 4/22/2017; APD 32-2017, temporary amend filed 12/29/2017, effective 01/01/2018 through 06/29/2018; APD 20-2018, amend filed 07/02/2018, effective 7/2/2018; APD 44-2019, amend filed 10/29/2019, effective 11/1/2019; APD 15-2020, temporary amend filed 04/30/2020, effective 04/30/2020 through 10/26/2020; APD 30-2020, temporary amend filed 07/22/2020, effective 07/23/2020 through 10/26/2020; APD 43-2020, amend filed 10/09/2020, effective 10/15/2020; APD 37-2022, minor correction filed 07/22/2022, effective 7/22/2022; APD 16-2023, amend filed 09/30/2023, effective 10/1/2023

Statutory/Other Authority: ORS 409.050, 427.104, 430.662, 443.007 & SB 1548 (2022 OR Law, Ch. 91)

Statutes/Other Implemented: ORS 409.010, 427.007, 427.104, 430.215, 430.610, 430.662, 443.007 & SB 1548 (2022 OR Law, Ch. 91)

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