OAR 309-040-0305

(1) “Abuse” includes but is not limited to the following:
(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 an AFH or community program or provider or other caregiver and the individual. For all other situations, 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 individual;
(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 individual.
(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 (Investigation of abuse) to 430.765 (Duty of officials to report abuse) and OAR 943-045-0000 (Review of Substantiated Physical Abuse When Self-Defense is Asserted at State Hospitals), or any other rules established by the Division applicable to allegations of abuse of individuals residing at an AFH licensed by the Division.
(3) “Activities of Daily Living (ADL)” means those individual skills necessary for an individual’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 an individual as prescribed by a Licensed Medical Practitioner.
(5) “Adult Foster Home (AFH)” means any home licensed by the Health Systems Division of the Authority in which residential care is provided to five or fewer individuals who are not related to the provider by blood or marriage as described in ORS 443.705 (Definitions for ORS 443.705 to 443.825) through 443.825 (Disposition of penalties recovered). If an adult family member of the provider receives care, they shall be included as one of the individuals within the total license capacity of the AFH. An AFH or individual that advertises, including word-of-mouth advertising, to provide room, board, and care and services for adults is considered an AFH. For the purpose of these rules, an AFH does not include facilities referenced in ORS 443.715 (Exclusions from definition of “adult foster home”).
(6) “Aid to Physical Functioning” means any special equipment ordered for an individual by a Licensed Medical Professional (LMP) or other qualified health care professional that maintains or enhances the individual’s physical functioning.
(7) “Applicant” means any individual or entity that makes an application for a license that is also the owner of the business.
(8) “Assessment” means an evaluation of an individual and the individual’s level of functioning completed by a qualified provider and provides the basis for the development of the individual’s residential care plan and person-centered service plan.
(9) “Authority” means the Oregon Health Authority or designee.
(10) “Behavioral Interventions” means interventions that modify the individual’s behavior or the individual’s environment.
(11) “Bill of Rights” means civil, legal, or human rights afforded to those individuals residing in an AFH that are in accord with those rights afforded to all other U.S. citizens, including but not limited to those rights delineated in the AFH Bill of Rights as outlined in OAR 309-040-0410 (Residents’ Bill of Rights, Complaints, and Grievances).
(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 and ORS 678.010 (Definitions for ORS 678.010 to 678.410) to 678.445 (Administration of noninjectable medication by nursing assistant).
(13) “Care” means the provision of but is not limited to services of room, board, services and assistance with ADLs, such as assistance with bathing, dressing, grooming, eating, money management, recreational activities, and medication management. Care also means services that promote maximum individual independence and enhance quality of life.
(14) “Caregiver” means the provider, resident managers, or substitute caregivers who provide services to an individual.
(15) “Case Manager” means an individual employed by a local, regional, or state allied agency approved by the Division to provide case management services and assist in the development of the personal care plan. Case manager’s evaluate the appropriateness of services in relation to the consumer’s assessed need and review the residential care plan every 180 days.
(16) “CMS” means the U.S. Department of Health and Human Services, Centers for Medicare and Medicaid Services.
(17) “Community Mental Health Program (CMHP)” means the organization of all services for individuals 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.
(18) “Compensation” means payments made by or on behalf of an individual to a provider in exchange for room and board, care and services, including services described in the individual’s residential care plan and person-centered service plan
(19) “Competitive Integrated Employment” means full-time or part-time work:
(a) At minimum wage or higher, at a rate that is not less than the customary rate paid by the employer for the same or similar work performed by other employees who are not individuals with disabilities, and who are similarly situated in similar occupations by the same employer, and who have similar training, experience, and skill;
(b) With eligibility for the level of benefits provided to other employees;
(c) At a location where the employee interacts with other persons who are not individuals with disabilities (not including supervisory personnel or individuals who are providing services to such employee) to the same extent that individuals who are not individuals with disabilities and who are in comparable positions interact with other persons; and
(d) As appropriate, presents opportunities for advancement that are similar to those for other employees who are not individuals with disabilities and who have similar positions.
(20) “Complaint Investigation” means an investigation of any allegation that a provider has taken action, or inaction, that is perceived as contrary to law, rule, or policy but does not meet the criteria for an abuse investigation.
(21) “Condition” means a provision attached to a new or existing license that limits or restricts the scope of the license or imposes additional requirements on the licensee.
(22) “Contested Case Hearing” means a 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 results in the loss of license of the provider or other sanctions that adversely affects 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.
(23) “Contract” means a written agreement between a provider and the Division to provide room and board, care and services for compensation for individuals of a licensed AFH.
(24) “Controlled Substance” means any drug classified as schedules one through five under the Federal Controlled Substance Act.
(25) “Criminal History Check (CHC)” means the Oregon Criminal History Check and when required, a National Criminal History check or a State-Specific Criminal History check, and the processes and procedures required by the rules OAR 943-007-0001 (Background Checks) through 943-007-0501 (Contesting a Final Fitness Determination) (Criminal History Checks).
(26) “Day Care” means care and services in an AFH for a person who is not an individual of the AFH.
(27) “Declaration for Mental Health Treatment” means a document that states the individual’s preferences or instructions regarding mental health treatment as defined by ORS 127.700 (Definitions for ORS 127.700 to 127.737) through 127.737 (Certain other laws applicable to declaration).
(28) “Designated Representative” means:
(a) Any adult who is not the individual’s paid provider, who:
(A) The individual has authorized to serve as his or her representative; or
(B) The individual’s legal representative is authorized to serve as the individual’s representative.
(b) The power to act as a designated representative is valid until the individual or the individual’s legal representative modifies the authorization and notifies the Division of the modification, the individual or the individual’s representative notifies the provider that the designated representative is no longer authorized to act the individual’s behalf, or there is a change in the legal authority upon which the designation was based. Notice shall include the individual’s or the representative’s signature as appropriate;
(c) An individual or the individual’s legal representative is not required to appoint a designated representative; and
(d) For the purposes of these rules, the term “individual” shall be considered to include the individual’s designated representative.
(29) “Director” means the Director of the Oregon Health Authority or designee.
(30) “Discharge Summary” means a document that describes the conclusion of the planned course of services described in the individual’s residential care plan and person-centered service plan, regardless of outcome or attainment of goals described in the individual’s individualized personal care plan. In addition, the discharge summary addresses individual’s monies, financial assets and monies, medication, and personal belongings at the time of discharge.
(31) “Division” means the Health Systems Division of the Oregon Health Authority or designee.
(32) “Division Staff” means an employee of the Division, the Division’s designee, or the designee of the local Community Mental Health Program.
(33) “Employee” means an individual employed by a licensed AFH and 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 an individual.
(34) “Exempt Area” means a county agency that provides similar programs for licensing and inspection of AFH’s that the Director finds equal to or superior to the requirements of ORS 443.705 (Definitions for ORS 443.705 to 443.825) to 443.825 (Disposition of penalties recovered) and that has entered into an agreement with the Division to license, inspect, and collect fees according to the provisions of 443.705 (Definitions for ORS 443.705 to 443.825) to 443.825 (Disposition of penalties recovered).
(35) “Family Member” 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.
(36) “HCB” means Home and Community Based.
(37) “Home” means the Adult Foster Home (AFH) and as indicated by the context of its use may refer to the one or more buildings and adjacent grounds on contiguous properties used in the operation of the AFH.
(38) “Home and Community-Based Services” or “HCBS” means Home and Community-Based Services as defined in OAR chapter 411, division 4. HCBS are services provided in the individual’s home or community.
(39) “Home-Like” means an environment that promotes the dignity, security, and comfort of individuals through the provision of personalized care and services and encourages independence, choice, and decision-making by the individuals.
(40) “House Rules” means the written standards governing house activities developed by the provider and approved by the Division. These standards may not conflict with the AFH Bill of Rights or other individual rights set out by these rules.
(41) “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, or any unusual incident involving an individual, the home, or provider.
(42) “Individual” means any individual being considered for placement or currently residing in a licensed home receiving residential, HCBS and other services regulated by these rules on a 24-hour basis except as excluded under ORS 443.400 (Definitions for ORS 443.400 to 443.455).
(43) “Individual Care Services” means services prescribed by a physician or other designated individual 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 AFH individuals who are Medicaid eligible, personal care services are funded under Medicaid.
(44) “Individually-Based Limitation” means a limitation to the qualities outlined in OAR 309-040-0393 (Individually-Based Limitations)(1)(a) through (g), due to health and safety risks. An individually-based limitation is based on a specific assessed need and implemented only with the informed consent of the individual or the individual’s legal representative as outlined in 309-040-0393 (Individually-Based Limitations).
(45) “Informed Consent” means:
(a) Options, risks, and benefits of the services outlined in these rules have been explained to an individual and in a manner that the individual comprehends; and
(b) The individual consents to a person-centered service plan of action, including any individually-based limitations to the rules, prior to implementation of the initial or updated person-centered service plan or any individually-based limitation.
(46) “Initial Residential Care Plan (IRCP)” means a written document developed for an individual, within 24 hours of admission to the home, that addresses the care and services to be provided for the individual during the first 30 days or less until the residential care plan can be developed.
(47) “Legal Representative” means an individual who has the legal authority to act for an individual and only within the scope and limits to the authority as designated by the court or other agreement. A legal representative may include the following:
(a) For an individual under the age of 18, the parent, unless a court appoints another person or agency to act as the guardian; or
(b) For an individual 18 years of age or older, a guardian appointed by a court order or an agent legally designated as the health care representative;
(c) For purposes of these rules, the term individual shall be considered to include the individual’s legal representative.
(48) “Level One AFH” means an AFH licensed by the Division to provide care and services to individuals with severe and persistent mental illness, who may also have limited medical conditions.
(49) “License” means a document issued by the Division to applicants who are determined by the Division to be in substantial compliance with these rules.
(50) “Licensed Medical Practitioner (LMP)” means any individual 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.
(51) “Licensee” means the individual or entity to whom a license is issued and whose name is on the license.
(52) “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 that directly contracts with the Division to operate a CMHP for that county.
(53) “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 any individual with whom the official contact while acting in an official capacity has abused the adult. Pursuant to ORS 430.765 (Duty of officials to report abuse)(2) psychiatrists, psychologists, clergy, and attorneys are not mandatory reporters with regard to information received through communications that are privileged under 40.225 (Rule 503. Lawyer-client privilege) to 40.295 (Rule 514. Effect on existing privileges).
(54) “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 individual.
(55) “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 individual’s social, educational, or economic functioning. Medical diagnosis and classification shall be consistent with the Diagnostic and Statistical Manual of Mental Disorders of the American Psychiatric Association (DSM-V). As used in these rules, this term is functionally equivalent to “serious and persistent mental illness.”
(56) “Mistreatment” means the following behaviors displayed by an employee, program staff, caregiver, 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 reasonably believes 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 their 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 poses a risk to health or safety to themselves 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 individual’s well-being;
(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 any use of a physical or chemical restraint except for the following:
(A) An act of restraint prescribed by a licensed physician pursuant to OAR 309-033-0730 (Seclusion and Restraint Procedures); or
(B) A physical emergency restraint to prevent immediate injury to an individual who is in danger of physically harming themselves or others, provided that only the degree of force reasonably necessary for protection is used for the least amount of time necessary.
(57) “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 943-007-0001 (Background Checks) through 943-007-0501 (Contesting a Final Fitness Determination) (Criminal History Checks).
(58) “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 include a failure of the state or a community program to provide services due to a lack of funding available to provide the services.
(59) “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.
(60) “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 individuals 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.
(61) “Nursing Delegation” means that a registered nurse authorizes an unlicensed individual to perform special tasks for individuals in select situations and indicates that authorization in writing. The delegation process includes nursing assessment of an individual in a specific situation, evaluation of the ability of the unlicensed person, teaching the task, and ensuring supervision.
(62) Person-Centered Service Plan" means written documentation that includes the details of the supports, desired outcomes, activities, and resources required for an individual to achieve and maintain personal goals, health, and safety as described in OAR 411-004-0030 (Person-Centered Service Plans).
(63) “Person-Centered Service Plan Coordinator” means the individual, which may be a case manager, service coordinator, personal agent, and other individual designated by the Division to provide person-centered service planning for and with individuals.
(64) “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 that promotes the person’s optimum health and independence.
(65) “Program Staff” means an employee or individual who by contract with an AFH provides a service to an individual.
(66) “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.
(67) “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 (Effect of qualifying mental disorder) through 161.400 (Leave of absence).
(68) “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.
(69) “Related” means the following relationships: 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.
(70) “Relative” means any individual identified as a family member.
(71) “Representative” means both “Designated Representative” and “Legal Representative” as defined in these rules unless otherwise stated.
(72) “Residency Agreement” means the written, legally enforceable agreement between a provider and an individual when the individual receives services from the provider.
(73) “Resident Manager” means an employee of the provider who is approved by the Division to live in the AFH and is responsible for the care and services of individuals on a day-to-day basis.
(74) “Residential Care” means the provision of room, board, and services that assist the individual 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 individual’s general whereabouts; monitoring the activities of the individual while on the premises of the AFH to ensure the individual’s health, safety, and welfare; providing social and recreational activities; and assistance with money management as requested.
(75) “Residential Care Plan (RCP)” means a written plan outlining the care and services to be provided to an individual. The RCP is based upon the review of current assessment, referral, observations, individual preference, and input from members of the residential care plan team. The plan identifies the care, services, activities, and opportunities to be provided by the caregiver to promote the individual’s recovery and independence.
(76) “Residential Care Plan Team (RCP Team)” means a group composed of the individual, the case manager or other designated representative, CMHP representative, the provider, resident manager, and others needed including the individual’s legal guardian, representatives of all current service providers, advocates, or others determined appropriate by the individual receiving services. If the individual is unable or does not express a preference, other appropriate team membership shall be determined by the RCP team members.
(77) “Residents’ Bill of Rights” means the AFH residents have the rights set forth in ORS 443.739 (Rights of residents).
(78) “Respite Care” means the provision of room, board, care, and services in an AFH for a period of up to 14 days. Respite care for individuals shall be counted in the total licensed capacity of the home. Respite care is not crisis respite care.
(79) “Restraints” means any physical hold, device, or chemical substance that restricts or is meant to restrict the movement or normal functioning of an individual.
(80) “Room and Board” means the provision of meals, a place to sleep, laundry, and housekeeping.
(81) “Seclusion” means the involuntary confinement of an individual to a room or area where the individual is physically prevented from leaving.
(82) “Self-Administration of Medication” means the act of an individual placing a medication in or on the individual’s own body. The individual identifies the medication and the times and manners of administration and placed the medication internally or externally on the individual’s own body without assistance.
(83) “Self-Preservation” means in relation to fire and life safety the ability of individuals to respond to an alarm without additional cues and be able to reach a point of safety without assistance.
(84) “Services” means those activities that are intended to help the individual 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 the individual’s access to necessary medical care, treatment, or services identified in the individual’s personal care plan.
(85) “Substitute Caregiver” means any individual meeting the qualifications of a caregiver who provides care and services in an AFH under the Division’s jurisdiction in the absence of the provider or resident manager. An individual may not be a substitute caregiver.
(86) “Unit” means the bedroom and other space of an individual residing in an AFH as agreed to in the residency agreement. Unit includes the following:
(a) Private single occupancy spaces; and
(b) Shared units with roommates as allowed by these rules.
(87) “Unusual Incident” means those incidents involving acts of physical aggression, serious illnesses or accidents, any injury or illness of an individual requiring a non-routine visit to a health care practitioner, suicide attempts, death of an individual, a fire requiring the services of a fire department, or any incident requiring an abuse investigation.
(88) “Variance” means an exception from a regulation or provision of these rules granted in writing by the Division upon written application from the provider.
(89) “Volunteer” means a person who provides a service or who takes part in a service provided to individuals receiving services in an AFH or other provider and who is not a paid employee of the AFH or other provider. The services shall be non-clinical unless the person has the required credentials to provide a clinical service.
Publications referenced are available from the agency.
Purpose and Scope
Required Home-like Qualities
License Required
License Application and Fees
Classification of AFHs
Zoning for Adult Foster Homes
Training Requirements for Providers, Resident Managers, and Substitute Caregivers
Issuance of a License
Qualifications for AFH Providers, Resident Managers, and Other Caregivers
Facility Standards
Individual Furnishings
Food Services
Standards and Practices for Care and Services
Individually-Based Limitations
Residency Agreement
Standards for Admission, Transfers, Respite, Discharges, and Closures
Procedures for Correction of Violations
Residents’ Bill of Rights, Complaints, and Grievances
Administrative Sanctions
Denial, Suspension, Revocation, or Refusal to Renew
Removal of Residents
Criminal Penalties
Civil Penalties
Public Information
Adjustment, Suspension or Termination of Payment
Enjoinment of AFH Operation
Last Updated

Jun. 24, 2021

Rule 309-040-0305’s source at or​.us