Oregon Department of Human Services, Aging and People with Disabilities and Developmental Disabilities

Rule Rule 411-054-0038
Individually-Based Limitations


This rule will begin being implemented January 1, 2017. The requirements in this rule must be in place no later than June 30, 2019.
(1) When the condition under OAR 411-004-0020 (Home and Community-Based Services and Settings)(1)(d) may not be met due to a threat to the health and safety of an individual or others, an individually-based limitation process, as described in this rule, must apply in any residential or non-residential setting.
(2) When a condition under OAR 411-004-0020 (Home and Community-Based Services and Settings)(2)(d) to (2)(j) may not be met due to a threat to the health and safety of an individual or others, in a provider owned, controlled, or operated residential setting, an individually-based limitation process, as described in this rule, must apply.
(3) An individually-based limitation must be supported by a specific assessed need and documented in the person-centered service plan by completing and signing a program approved form documenting the consent to the appropriate individually-based limitation. The form identifies and documents, at a minimum, all of the following requirements:
(a) The specific and individualized assessed need justifying the individually-based limitation.
(b) The positive interventions and supports used prior to any individually-based limitation.
(c) Less intrusive methods that have been tried but did not work.
(d) A clear description of the limitation that is directly proportionate to the specific assessed need.
(e) Regular collection and review of data to measure the ongoing effectiveness of the individually-based limitation.
(f) Established time limits for periodic reviews of the individually-based limitation to determine if the limitation should be terminated or remains necessary. The individually-based limitation must be reviewed at least annually.
(g) The informed consent of the individual or, as applicable, the legal representative of the individual, including any discrepancy between the wishes of the individual and the consent of the legal representative.
(h) An assurance that the interventions and support do not cause harm to the individual.
(i) If using a restraint, a facility must meet the requirements of OAR 411-054-0060 (Restraints and Supportive Devices).
(4) Providers are responsible for:
(a) Maintaining a copy of the completed and signed form documenting the consent to the appropriate limitation. The form must be signed by the individual, or, if applicable, the legal representative of the individual prior to the implementation being implemented.
(b) Regular collection and review of data to measure the ongoing effectiveness of and the continued need for the individually-based limitation.
(c) Requesting a review of the individually-based limitation when a new individually-based limitation is indicated, or change or removal of an individually-based limitation is needed.
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Last accessed
Jun. 8, 2021