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

Rule Rule 411-320-0030
Organization and Program Management


(1)

ORGANIZATION AND INTERNAL MANAGEMENT. Each service provider of community developmental disabilities services funded by the Department must have written standards governing the operation and management of the CDDP. Such standards must be up to date, available upon request, and include:

(a)

An up-to-date organization chart showing lines of authority and responsibility from the LMHA to the CDDP manager and the components and staff within the CDDP;

(b)

Position descriptions for all staff providing community developmental disabilities services;

(c)

Personnel policies and procedures concerning:

(A)

Recruitment and termination of employees;

(B)

Employee compensation and benefits;

(C)

Employee performance appraisals, promotions, and merit pay;

(D)

Staff development and training;

(E)

Employee conduct, including the requirement that abuse of an individual by an employee, staff, or volunteer of the CDDP is prohibited and is not condoned or tolerated; and

(F)

Reporting of abuse, including the requirement that any employee of the CDDP is to report incidents of abuse when the employee comes in contact with and has reasonable cause to believe that an individual has suffered abuse. Notification of mandatory reporting status must be made at least annually to all employees and documented on forms provided by the Department.

(2)

MANAGEMENT PLAN. The CDDP must maintain a current management plan assigning responsibility for the program management functions and duties described in this rule. The management plan must:

(a)

Consider the unique organizational structure, policies, and procedures of the CDDP;

(b)

Assure that the functions and duties are assigned to people who have the knowledge and experience necessary to perform them, as well as ensuring that the functions are implemented; and

(c)

Reflect implementation of minimum quality assurance activities described in OAR 411-320-0045 (Quality Assurance Responsibilities) that support the Department’s Quality Management Strategy for meeting CMS’ waiver quality assurances as required by 42 CFR 441.301 (Payment of expenses when income inadequate) and 441.302.

(3)

The CDDP must have and implement written policies and procedures that protect the individual rights described in OAR 411-318-0010 (Individual Rights).

(4)

PROGRAM MANAGEMENT.

(a)

Staff delivering developmental disabilities services must be organized under the leadership of a designated CDDP manager and receive clerical services sufficient to perform their required duties.

(b)

The LMHA, public entity, or the public or private corporation operating the CDDP must designate a full-time employee who must, on at least a part-time basis, be responsible for management of developmental disabilities services within a specific geographic service area.

(c)

In addition to other duties as may be assigned in the area of developmental disabilities services, the CDDP must at a minimum develop and assure:

(A)

Implementation of plans as may be needed to provide a coordinated and efficient use of resources available to serve individuals;

(B)

Maintenance of positive and cooperative working relationships with legal and designated representatives, families, service providers, support services brokerages, the Department, local government, and other state and local agencies with an interest in developmental disabilities services;

(C)

Implementation of programs funded by the Department to encourage pursuit of defined program outcomes and monitor the programs to assure service delivery that is in compliance with related contracts and applicable local, state, and federal requirements;

(D)

Collection and timely reporting of information as may be needed to conduct business with the Department, including but not limited to information needed to license foster homes, collect federal funds supporting services, and investigate complaints related to services or suspected abuse; and

(E)

Use of procedures that attempt to resolve complaints involving individuals or organizations that are associated with developmental disabilities services.

(5)

QUALIFIED STAFF. Each CDDP must provide a qualified CDDP manager, services coordinator, eligibility specialist, assessor, and abuse investigator specialist for adults with intellectual or developmental disabilities, or have an agreement with another case management entity to provide a qualified eligibility specialist, assessor, or abuse investigator specialist for adults with intellectual or developmental disabilities.

(a)

CDDP MANAGER.

(A)

The CDDP manager must have knowledge of the public service system for developmental disabilities services in Oregon and at least:

(i)

A bachelor’s degree in behavioral science, social science, health science, special education, public administration, or human service administration and a minimum of four years of experience with at least two of those years of experience in developmental disabilities services that provided recent experience in program management, fiscal management, and staff supervision; or

(ii)

Six years of experience with staff supervision; or

(iii)

Six years of experience in technical or professional level staff work related to developmental disabilities services.

(B)

On an exceptional basis, the CDDP may hire a person who does not meet the qualifications in subsection (A) of this section if the county and the Department have mutually agreed on a training and technical assistance plan that assures that the person quickly acquires all needed skills and experience.

(C)

When the position of a CDDP manager becomes vacant, an interim CDDP manager must be appointed to serve until a permanent CDDP manager is appointed. The CDDP must request a variance as described in section (8) of this rule if the person appointed as interim CDDP manager does not meet the qualifications in subsection (A) of this section and the term of the appointment totals more than 180 calendar days.

(b)

CDDP SUPERVISOR. The CDDP supervisor (when designated) must have knowledge of the public service system for developmental disabilities services in Oregon and at least:

(A)

A bachelor’s degree or equivalent course work in a field related to management such as business or public administration, or a field related to developmental disabilities services may be substituted for up to three years required experience; or

(B)

Five years of experience in staff supervision or five years of experience in technical or professional level staff work related to developmental disabilities services.

(c)

SERVICES COORDINATOR. The services coordinator must meet the qualifications for a case manager described in OAR 411-415-0040 (Case Manager Staff Requirements).

(d)

ELIGIBILITY SPECIALIST. The eligibility specialist must have knowledge of the public service system for developmental disabilities services in Oregon and at least:

(A)

A bachelor’s degree in behavioral science, social science, or a closely related field;

(B)

A bachelor’s degree in any field and one year of human services related experience;

(C)

An associate’s degree in behavioral science, social science, or a closely related field and two years of human services related experience; or

(D)

Three years of human services related experience.

(e)

ASSESSOR. The assessor must meet the qualifications described in OAR 411-425-0035 (Qualifications and Training).

(f)

ABUSE INVESTIGATOR SPECIALIST. The abuse investigator specialist must have at least:

(A)

A bachelor’s degree in human science, social science, behavioral science, or criminal science and two years of human services, law enforcement, or investigative experience; or

(B)

An associate’s degree in human science, social science, behavioral science, or criminal science and four years of human services, law enforcement, or investigative experience.

(g)

FOSTER CARE LICENSING AND CERTIFICATION SPECIALIST. A foster care licensing and certification specialist must have knowledge of the public service system for developmental disabilities services in Oregon and at least:

(A)

A master’s degree in social work;

(B)

A bachelor’s degree in behavioral science, social work, social science, or a closely related field;

(C)

A bachelor’s degree in any field and one year of human services related experience, such as work providing assistance to individuals and groups with issues such as economical disadvantages, employment, abuse and neglect, substance abuse, aging, disabilities, prevention, health, cultural competencies, or housing;

(D)

An associate’s degree in a behavioral science, social science, or a closely related field and two years of human services related experience, such as work providing assistance to individuals and groups with issues such as economical disadvantages, employment, abuse and neglect, substance abuse, aging, disabilities, prevention, health, cultural competencies, or housing; or

(E)

Three years of human services related experience, such as work providing assistance to individuals and groups with issues such as economical disadvantages, employment, abuse and neglect, substance abuse, aging, disabilities, prevention, health, cultural competencies, or housing.

(6)

EMPLOYMENT APPLICATION. An application for employment at the CDDP must inquire whether an applicant has had any founded reports of child abuse or substantiated abuse.

(7)

BACKGROUND CHECKS.

(a)

Any employee, volunteer, advisor of the CDDP, or any subject individual defined by OAR 407-007-0210 (Definitions), including staff who are not identified in this rule but use public funds intended for the operation of the CDDP, who has or shall have contact with a recipient of CDDP services, must have an approved background check in accordance with OAR 407-007-0200 (Purpose and Scope) through 407-007-0370 (Variances) and ORS 181A.200 (Authority of Department of Human Services, Oregon Health Authority and Employment Department to require fingerprints).

(A)

The CDDP may not use public funds to support, in whole or in part, any employee, volunteer, advisor of the CDDP, or any subject individual defined by OAR 407-007-0210 (Definitions), who shall have contact with a recipient of CDDP services and who has been convicted of a disqualifying crime in ORS 443.004 (Criminal records check required for employees and volunteers providing direct care).

(B)

A person does not meet the qualifications described in this rule if the person has been convicted of a disqualifying crime in ORS 443.004 (Criminal records check required for employees and volunteers providing direct care).

(C)

Any employee, volunteer, advisor of the CDDP, or any subject individual defined by OAR 407-007-0210 (Definitions), must self-report any potentially disqualifying crime under OAR 125-007-0270 (Crimes Considered) or potentially disqualifying condition under OAR 407-007-0290 (Potentially Disqualifying Conditions). The person must notify the Department or the Department’s designee within 24 hours.

(b)

Subsections (A) and (B) of section (a) do not apply to employees who were hired prior to July 28, 2009 that remain in the current position for which the employee was hired.

(8)

VARIANCE. The CDDP must submit a written variance request to the Department prior to employing a person not meeting the minimum qualifications in section (5) of this rule. A variance request may not be requested for sections (6) and (7) of this rule. The written variance request must include:

(a)

An acceptable rationale for the need to employ a person who does not meet the minimum qualifications in section (5) of this rule; and

(b)

A proposed alternative plan for education and training to correct the deficiencies.

(A)

The proposal must specify activities, timelines, and responsibility for costs incurred in completing the alternative plan.

(B)

A person who fails to complete the alternative plan for education and training to correct the deficiencies may not fulfill the requirements for the qualifications.

(9)

STAFF DUTIES.

(a)

SERVICES COORDINATOR DUTIES. The duties of the services coordinator must be specified in the employee’s job description and at a minimum include:

(A)

The delivery of case management services to individuals as described in OAR chapter 411, division 415;

(B)

Assisting the CDDP manager in monitoring the quality of services delivered within the county; and

(C)

Assisting the CDDP manager in the identification of existing and insufficient service delivery resources or options.

(b)

ELIGIBILITY SPECIALIST DUTIES. The duties of the eligibility specialist must be specified in the employee’s job description and at a minimum include:

(A)

Completing intake and eligibility determination for individuals applying for developmental disabilities services;

(B)

Completing eligibility redetermination for individuals requesting continuing developmental disabilities services; and

(C)

Assisting the CDDP manager in the identification of existing and insufficient service delivery resources or options.

(c)

ASSESSOR DUTIES. The duties of the assessor must be specified in the employee’s job description and at a minimum include conducting Oregon Needs Assessments as described in OAR chapter 411, division 425.

(d)

ABUSE INVESTIGATOR SPECIALIST DUTIES. The duties of the abuse investigator specialist must be specified in the employee’s job description and at a minimum include:

(A)

Conducting abuse investigation and protective services for adult individuals with intellectual or developmental disabilities enrolled in, or previously eligible and voluntarily terminated from, developmental disabilities services;

(B)

Assisting the CDDP manager in monitoring the quality of services delivered within the county; and

(C)

Assisting the CDDP manager in the identification of existing and insufficient service delivery resources or options.

(e)

FOSTER CARE LICENSOR AND CERTIFIER DUTIES. The duties of the foster care licensor and certifier must be specified in the employee’s job description and at a minimum include:

(A)

In coordination with the Department, assist in the initial licensing and certification and renewals of licenses and certifications of local adult foster homes as described in OAR chapter 411, division 360 and children’s foster homes as described in OAR chapter 411, division 346.

(i)

Assuring completed application forms from applicants are submitted to the Department.

(ii)

Completing and submitting inspection reports.

(iii)

Completing and submitting background checks, as needed.

(iv)

Making test sites available, administering tests provided by the Department, and sending completed tests to the Department for scoring.

(v)

Maintaining a link to the Adult Foster Home Training website where the Basic Training Course, self-study manual, and associated information are maintained and distributing information upon request.

(vi)

Assisting in completing any other information necessary for licensing or certifying homes.

(B)

Complete foster home visits for rule compliance, issue violation citations, and monitor for correction.

(C)

Coordinate the recruitment, retention, placement, and training of foster providers.

(f)

Staff must appear as a witness on behalf of the Department during an informal conference and hearing when required by the Department. Staff may not act as a representative for the claimant during an informal conference and hearing.

(10)

STAFF TRAINING. Qualified staff of the CDDP must maintain and enhance their knowledge and skills through participation in education and training. The Department provides training materials and the provision of training may be conducted by the Department or CDDP staff, depending on available resources.

(a)

The CDDP manager and CDDP supervisor (when designated) must complete Core Competencies for case management within the first year of entering into the position.

(b)

The CDDP manager and CDDP supervisor (when designated) must continue to enhance his or her knowledge, as well as maintain a basic understanding of developmental disabilities services and the skills, knowledge, and responsibilities of the staff they supervise.

(A)

Each CDDP manager and CDDP supervisor (when designated) must participate in a minimum of 20 hours per year of additional Department-sponsored training or other training in the areas of intellectual or developmental disabilities.

(B)

Each CDDP manager and CDDP supervisor (when designated) must attend trainings to maintain a working knowledge of system changes in the area the CDDP manager is managing or supervising.

(c)

SERVICES COORDINATOR TRAINING. The services coordinator must participate in the case manager training as described in OAR 411-415-0040 (Case Manager Staff Requirements).

(d)

ELIGIBILITY SPECIALIST TRAINING. The eligibility specialist must participate in a basic training sequence. The basic training sequence is not a substitute for the normal procedural orientation that must be provided by the CDDP to the new eligibility specialist.

(A)

The orientation provided by the CDDP to a new eligibility specialist must include:

(i)

An overview of eligibility criteria and the intake process;

(ii)

An overview of developmental disabilities services and related human services within the county;

(iii)

An overview of the Department’s rules governing the CDDP;

(iv)

An overview of the Department’s licensing and certification rules for service providers;

(v)

An overview of the enrollment process and required documents needed for enrollment into the Department’s payment and reporting systems;

(vi)

A review and orientation of Medicaid, SSI, Social Security Administration, home and community-based waiver and state plan services, and OHP; and

(vii)

A review (prior to having contact with individuals) of the eligibility specialist’s responsibility as a mandatory reporter of abuse, including abuse of individuals with intellectual or developmental disabilities, individuals with mental illness, older adults, individuals with physical disabilities, and children.

(B)

The eligibility specialist must attend and complete eligibility core competency training within the first year of entering into the position and demonstrate competency after completion of core competency training. Until completion of eligibility core competency training, or if competency is not demonstrated, the eligibility specialist must consult with another trained eligibility specialist or consult with a Department diagnosis and evaluation coordinator when making eligibility determinations.

(C)

The eligibility specialist must continue to enhance his or her knowledge, as well as maintain a basic understanding of the skills, knowledge, and responsibilities necessary to perform the position.

(i)

Each eligibility specialist must participate in Department-sponsored trainings for eligibility on an annual basis.

(ii)

Each eligibility specialist must participate in a minimum of 20 hours per year of Department-sponsored training or other training in the areas of intellectual or developmental disabilities.

(e)

ASSESSOR TRAINING. The assessor must participate in and complete the training described in OAR 411-425-0035 (Qualifications and Training).

(f)

ABUSE INVESTIGATOR SPECIALIST TRAINING. The abuse investigator specialist must participate in core competency training. Training materials are provided by OTIS. The core competency training is not a substitute for the normal procedural orientation that must be provided by the CDDP to the new abuse investigator specialist.

(A)

The orientation provided by the CDDP to a new abuse investigator specialist must include:

(i)

An overview of developmental disabilities services and related human services within the county;

(ii)

An overview of the Department’s rules governing the CDDP;

(iii)

An overview of the Department’s licensing and certification rules for service providers;

(iv)

A review and orientation of Medicaid, SSI, Social Security Administration, home and community-based waiver and state plan services, OHP, and the individual support planning processes; and

(v)

A review (prior to having contact with individuals) of the abuse investigator specialist’s responsibility as a mandatory reporter of abuse, including abuse of individuals with intellectual or developmental disabilities, individuals with mental illness, older adults, individuals with physical disabilities, and children.

(B)

The abuse investigator specialist must attend and pass core competency training within the first six months of entering into the position and demonstrate competency after completion of core competency training. Until completion of core competency training, or if competency is not demonstrated, the abuse investigator specialist must consult with OTIS prior to completing the abuse investigation and protective services report.

(C)

The abuse investigator specialist must complete 20 hours of additional training each year to continue to enhance his or her knowledge, as well as maintain a basic understanding of the skills, knowledge, and responsibilities necessary to perform the position. Each abuse investigator specialist must participate in quarterly meetings held by OTIS.

(g)

FOSTER CARE LICENSOR AND CERTIFIER TRAINING. The foster care licensor and certifier must participate in any Department required trainings.

(A)

The orientation provided by a CDDP to a new foster care licensor and certifier must include:

(i)

An overview of developmental disabilities services and related human services within the county;

(ii)

An overview of the Department’s rules governing the CDDP;

(iii)

An overview of the Department’s licensing and certification rules for service providers;

(iv)

A review of policy and procedures that address conflict of interests, including the prohibition against licensing or certifying a foster home in the following circumstances:

(I)

While also providing case management services to the individuals or children in the home.

(II)

By a licensor or certifier who is related by blood, marriage, or adoption to the foster care applicant or current foster provider, or an individual or child to be served in the foster home.

(III)

If after a local CDDP assessment of any conflict of interest or appearance of conflict of interest is identified.

(B)

A review (prior to having contact with individuals) of the licensor and certifier’s responsibility as a mandatory reporter of abuse, including abuse of individuals with intellectual or developmental disabilities, individuals with mental illness, older adults, individuals with physical disabilities, and children.

(h)

DOCUMENTATION. The CDDP must keep documentation of required training in the personnel files of the individual employees including the CDDP manager, CDDP supervisor (when designated), services coordinator, eligibility specialist, abuse investigator specialist, and other employees providing services to individuals.

(11)

ADVISORY COMMITTEE. Each CDDP must have an advisory committee.

(a)

The advisory committee must meet at least quarterly.

(b)

The membership of the advisory committee must be broadly representative of the community with a balance of age, sex, ethnic, socioeconomic, geographic, professional, and consumer interests represented. Membership must include advocates for individuals as well as individuals and the individuals’ families.

(c)

The advisory committee must advise the LMHA, CDDP director, and CDDP manager on community needs and priorities for services, and assist in planning, reviewing, and evaluating services, functions, duties, and quality assurance activities described in the CDDP’s management plan.

(d)

When the Department or a private corporation is operating the CDDP, the advisory committee must advise the LMHA, CDDP director, and CDDP manager on community needs and priorities for services, and assist in planning, reviewing, and evaluating services, functions, duties, and quality assurance activities described in the CDDP’s management plan.

(e)

The advisory committee may function as the disability issues advisory committee as described in ORS 430.631 (Local advisory committees) if so designated by the LMHA.

(12)

LOCAL NEEDS ASSESSMENT, PLANNING, AND COORDINATION. Upon the Department’s request, the CDDP must assess local needs for services to individuals and must submit planning and assessment information to the Department.

(13)

FINANCIAL MANAGEMENT.

(a)

There must be up-to-date accounting records for each developmental disabilities service accurately reflecting all revenue by source, all expenses by object of expense, and all assets, liabilities, and equities. The accounting records must be consistent with generally accepted accounting principles and conform to the requirements of OAR 309-013-0120 (Purpose and Statutory Authority) through 309-013-0220 (Independent Audit Reports).

(b)

There must be written statements of policy and procedure as are necessary and useful to assure compliance with any Department administrative rules pertaining to fraud and embezzlement and financial abuse or exploitation of individuals.

(c)

Billing for Title XIX funds must in no case exceed customary charges to private pay individuals for any like item or service.

(14)

POLICIES AND PROCEDURES. There must be such other written and implemented statements of policy and procedure as necessary and useful to enable the CDDP to accomplish its service objectives and to meet the requirements of the contract with the Department, these rules, and other applicable standards and rules.

(a)

The CDDP must have procedures for the ongoing involvement of individuals and their requested family member or other representative in the planning and review of consumer satisfaction with the delivery of case management provided by the CDDP.

(b)

Copies of the procedures for planning and review of case management services, consumer satisfaction, and complaints must be maintained on file at the CDDP offices. The procedures must be available to:

(A)

CDDP employees who work with individuals;

(B)

Individuals who are receiving services from the CDDP and the families of individuals;

(C)

Legal or designated representatives (as applicable) and providers of individuals; and

(D)

The Department.
Source

Last accessed
Jun. 8, 2021