411-340-0050 Inspections and Investigations (1) A brokerage must allow and participate in all of the following types of investigations and inspections: (a) Quality assurance, certification, and on-site inspections. (b) Complaint investigations. (c) Abuse investigations. (d) Workers' compensation claim investigations conducted by the Oregon Home Care Commission. (2) The Department, CDDP, Oregon Health Authority, or other appropriate authority shall perform all inspections and investigations. (3) An inspection or investigation may be unannounced. (4) The Department shall review a brokerage's implementation of these rules as needed to ensure compliance. (a) Following a Department review, the Department shall issue a report to the brokerage identifying areas of compliance and areas in need of improvement. (b) If, following a Department review, the brokerage is not in substantial compliance with these rules, the brokerage must respond to a plan of improvement within 45 days of the review report being issued, or in a time specified by the Department. The Department may conduct additional reviews as necessary to ensure improvement measures have been achieved. The Department may offer, or the brokerage may request, technical assistance or training. (5) All documentation and written reports required by these rules and other relevant administrative rules must be: (a) Open to inspection and investigation by the Department, CDDP, Oregon Health Authority, or other appropriate authority; and (b) Submitted within the time allotted. (6) ABUSE INVESTIGATIONS. (a) The Department or the CDDP shall conduct abuse investigations as set forth in OAR chapter 419, division 100 and complete abuse investigation and protective services reports according to OAR 419-100-0080. Upon completion of an abuse investigation and protective services report and in accordance with OAR 419-100-0100, the Department or CDDP shall provide the sections of the report that are public records and not exempt from disclosure under the public records law. (b) When abuse is alleged or death of an individual has occurred and a law enforcement agency, the Department, or CDDP has determined to initiate an investigation, a brokerage may not conduct an internal investigation without prior authorization from the Department. For the purposes of this rule, an "internal investigation" is defined as: (A) Conducting interviews with the alleged victim, witness, the accused person, or any other person who may have knowledge of the facts of the abuse allegation or related circumstances; (B) Reviewing evidence relevant to the abuse allegation, other than the initial report; or (C) Any other actions beyond the initial actions of determining: (i) If there is reasonable cause to believe that abuse has occurred; (ii) If the alleged victim is in danger or in need of immediate protective services; (iii) If there is reason to believe that a crime has been committed; or (iv) What, if any, immediate personnel actions must be taken. (c) Upon completion of the abuse investigation by the Department, CDDP, or a law enforcement agency, a brokerage may conduct an investigation without further Department approval to determine if any other personnel actions are necessary. Statutory/Other Authority: ORS 409.050, 427.104, 427.115, 427.154 & 430.662 Statutes/Other Implemented: ORS 409.010, 427.005-427.163, 430.610, 430.620, 430.662 & 430.664 History: APD 47-2024, minor correction filed 07/17/2024, effective 07/17/2024 APD 5-2023, amend filed 05/01/2023, effective 05/01/2023 APD 15-2016, f. 6-28-16, cert. ef. 6-29-16 APD 44-2014, f. 12-26-14, cert. ef. 12-28-14 SPD 50-2013, f. 12-27-13, cert. ef. 12-28-13 SPD 5-2010, f. 6-29-10, cert. ef. 7-1-10 SPD 25-2009(Temp), f. 12-31-09, cert. ef. 1-1-10 thru 6-30-10 SPD 8-2009, f. & cert. ef. 7-1-09 SPD 8-2008, f. 6-27-08, cert. ef. 6-29-08 SPD 17-2006, f. 4-26-06, cert. ef. 5-1-06 SPD 8-2005, f. & cert. ef. 6-23-05 Renumbered from 309-041-1790, SPD 22-2003, f. 12-22-03, cert. ef. 12-28-03 MHD 5-2002, f. 2-26-02 cert. ef. 2-27-02 MHD 9-2001(Temp), f. 8-30-01, cert. ef. 9-1-01 thru 2-27-02