justicedao/ipfs_state_laws huggingface dataset:
411-039-0130 Personnel Records (1) The Agency with Choice shall maintain a personnel record for each Direct Support Worker and employee. An Individual may also maintain documentation of their interview and refences and ongoing employee records. The Individual may share that information with the Agency with Choice. (2) Each record at minimum must include the following: (a) General position descriptions signed by the Direct Support Worker or employee. The Individual may have a specific job description that is designed to meet their preferences; (b) Evidence of orientation, training, competency evaluations, and continuing education. All services must be delivered using a self-directed approach, ensuring that Individuals are empowered and have choice for their support and care; and (c) Evidence of a valid driver's license with current auto insurance for each staff whose duties include community transportation services. (3) The Direct Support Worker general job description shall be prepared by the Agency with Choice. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0140 Individual Choice to Receive Agency with Choice Services (1) The Case Manager must provide the Individual with neutral, comprehensive information about all available in-home service delivery models, including Agency with Choice. Upon the Individual’s request to receive Agency with Choice services, the Case Manager will refer the Individual to the Agency with Choice and authorize services accordingly. (2) At the request of the Individual for Agency with Choice Services, the Individual’s Case Manager will refer the Individual to the Agency with Choice and authorize services through the Agency with Choice. After authorizing the services through the Agency with Choice, the Case Manager will provide the Individual’s Person-Centered Service Plan to the Agency with Choice. The Case Manager will also provide the approved Task List to the Agency with Choice. (3) If an Individual has a pre-selected Direct Support Worker who is not currently working with the Agency with Choice, the Agency with Choice will assist the potential Direct Support Worker to be evaluated by the Agency with Choice. (4) Agency with Choice Services must be provided in accordance with the Person-Centered Service Plan and as directed by the Individual or the Individual Authorized Representative. (5) Nothing in these rules shall limit the Individual’s choice to receive home and community based services from any authorized provider allowed by the Department or to receive some services from an Agency with Choice and other in-home service models. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0150 Individual Records (1) An Individual record must be maintained for every Individual and must be maintained in the Agency with Choice’s office. (2) A legible, reproducible Individual record which is easily accessible including: (a) Identification data; (b) Signed disclosure documents and documentation required by these rules including the Individuals' rights documentation required by these rules; (c) An agreement signed by the Individual or the Authorized Representative before the initiation of services that specifies the services to be provided in accordance with the Person-centered Service Plan; and (d) End-of-service summary, including the dates of service and the disposition of the Individual. (3) A list of Agency with Choice Direct Support Workers providing services to an Individual must be documented in the Individual's record at the Agency with Choice. The Individual’s record must also identify back-up coverage during planned or unplanned absence or emergent circumstances where the primary Direct Support Worker is, or workers are, unavailable. (4) Reasonable precautions must be taken to protect an Individual’s record and information from unauthorized access, fire, water, theft, damage or destruction. (5) All Individuals' records must be kept for a period of at least seven years after the date of last service. (6) Individual records must be made available upon request to the Individual and or the representative upon request. (7) If there is a change in the business entity operating as an Agency with Choice, all Individuals' records must remain with the Agency with Choice. Until a new Licensee has assume control of the Individual’s records, it is the responsibility of the outgoing Licensee to protect and maintain these records. This requirement applies when the underlying business entity changes, regardless of whether there is a Change in Ownership. (8) Before an Agency with Choice terminates its business, the Agency with Choice must notify the Department at least 60 days in advance and must notify the Department where the Individuals' records will be stored. Copies of all records must be transferred to the Department prior to the closure of the Agency with Choice. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0160 Individual Rights (1) The Agency with Choice owner, Administrator and Administrator's designee as applicable must ensure that the Agency with Choice recognizes and protects the rights of each Individual. (2) The Agency with Choice must provide each Individual with a written notice of the Individual's rights as a part of the disclosure statement, prior to providing services to the Individual. The Individual’s rights notice must include: (a) The right to be treated with dignity and respect; (b) The right to be free from theft, damage, or misuse of one's personal property; (c) The right to be given the informed choice and to select or refuse service and to accept responsibility for the consequences; (d) The right to be free from neglect, verbal, mental, emotional, physical, and sexual Abuse; (e) The right to be free from financial exploitation; (f) The right to be free from physical and chemical restraints; (g) The right to be free from coercion and seclusion; (h) The right to privacy; (i) The right to voice Grievances or Complaints regarding services or any other issue without discrimination or reprisal for exercising such rights; (j) The right to be free from discrimination as to race, color, religion, national origin, age, sex, sexual orientation, gender identity, disability, or any other protected status under state and federal law; (k) The right and responsibility for the planning of the services to be furnished, the frequency of services to be provided, any changes in services, the Direct Support Workers schedule, and cessation of services; (l) The right to select or otherwise approve the Direct Support Workers who provide services to the Individual before the Direct Support Workers begin providing the services; (m) The right to train Direct Support Workers in the Individual’s specific service needs and in the provision services to the Individual; (n) The right to direct the Individual’s own services that are provided by Direct Support Workers; (o) The right to require an Agency with Choice to remove a Direct Support Worker from the Individual’s Services and Supports team; (p) The right to schedule a Direct Support Worker’s time in accordance with the Individual’s desires, needs and authorized hours; (q) The right to have access to their own records; (r) The right to have Individual information and records confidentially maintained by the Agency with Choice; and (s) The right to receive prior written notice before a Change of Ownership or a program closure. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0170 Delivery of Services (1) In order to meet the Individual’s needs, the Agency with Choice must work with the Individual or their Authorized Representative to develop: (a) The schedule for the provision of services specifying the total number of hours to be provided per month based on the Department’s authorized hours; (b) The days of the week services will be provided; (c) The services to be provided, specifying the tasks to be conducted; and (d) Other pertinent information about the Individual's needs in relation to the services to be provided to ensure the provision of safe and appropriate service delivery. (2) An Individual or an Authorized Representative may request changes provided the changes do not require modifications to the Individual’s service authorization that would result in a change of authorized hours. All requested changes must be reviewed and approved by the Individual or Authorized Representative. These changes must be communicated to the assigned Direct Support Worker(s) either by phone, or electronic means. (3) If an Individual experiences a significant Change of Condition that is a major change in the Individual’s health or functional abilities, the Agency with Choice must notify the Case Manager, and document the change. The Direct Support Worker must be updated, as needed. (4) The Agency with Choice must ensure the Individual or the Authorized Representative is notified of any changes in the delivery of the Agency with Choice Services, as applicable, such as if the Agency with Choice becomes aware a Direct Support Worker is unavailable to cover scheduled hours or shifts. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0180 Initial Visit and Monitoring (1) A representative of the Agency with Choice, who is not the Direct Support Worker, must contact the Individual at least every six months. Monitoring contacts may occur by phone or by other electronic means determined jointly with the Individual, or their Authorized Representative. The contact may not be conducted by a Direct Support Worker. (2) The Agency with Choice, who is not the Direct Support Worker, must conduct at least one in-home visit with the Individual each 12 months, at a time determined jointly with the Individual or the Authorized Representative. The annual in-home visit replaces the need for a six-month monitoring visit. The in-home visit may not be conducted by a Direct Support Worker. (3) Each contact and visit must be documented, dated, and signed by the Agency with Choice representative who conducted the visit or contact. The contacts and in-home visit should document the Individual’s level of satisfaction with their services, any concerns or support they need to continue to self-direct their services. (4) Documentation of the contacts and visits must be made available to the Department, if requested. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0190 Quality Assurance and Performance Improvement (1) An Agency with Choice must establish and maintain an effective, quality assurance and performance improvement program that evaluates and monitors the quality, safety, retention of Direct Support Workers, and appropriateness of services provided by the Agency with Choice, and must include at a minimum: (a) A method to identify, analyze and correct events listed in OAR 411-039-0060 (9)(a), issues with infection control and other aspects of performance relating to services provided; (b) A method to identify, and track quality indicators by high risk, high volume, problem prone areas and by the effect on Individual safety and quality of the services received; (c) A method to ensure services provided by the Agency with Choice are self-directed by the Individual and honor the Individual’s needs and preferences; and (d) A method to analyze workforce trends, proactive responses to identified challenges, address systemic issues, such as like high turnover among Direct Support Workers. (2) After an analysis of the causes for any issues identified in section (1) of this rule, develop and implement a performance improvement program to ensure staff are trained in and familiar with any identified quality improvement activities. (3) The improvement activities must be reviewed by a committee comprised of, at a minimum, Agency with Choice administrative staff, Direct Support Workers, and at least one Individual receiving Agency with Choice Services. (4) Quality improvement activities must be conducted and documented at least quarterly. All reports of the quality assurance system and performance improvement must be submitted to the Department. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0200 Program Review and Investigations (1) The Department must conduct a program review as defined in OAR 411-039-0030(3). (2) The Department must conduct and complete an investigation upon receipt of information or allegations an Agency with Choice is not operating in compliance with these rules and complete the investigation within 90 days. For Abuse investigations must occur within the timeframes established in those rules. (3) Program reviews and investigations may be conducted at other times as the Department deem necessary including: (a) To determine if cited violations have been corrected; (b) For the purpose of routine monitoring of Individual’s services, or to investigate a Grievance, Complaint or Formal Complaint; (c) The Department has reason to believe the Agency with Choice has violated a regulation or provision of these rules; or (d) The Department has reason to believe the Agency with Choice is operating without a license. (4) The Department may conduct a program review or investigation without advance notification. (5) An Agency with Choice must permit the Department staff access to any physical Agency with Choice business location from which it is operating its Agency with Choice. Department access to Individual’s homes should be coordinated with the Individual. (6) Following a program review, the Department will conduct an exit conference with an Agency with Choice owner, Administrator, or Administrator's designee. During the exit conference, Department staff must: (a) Inform the Agency with Choice owner, administrator, or Administrator's designee of the preliminary findings of the program review; and (b) Give the owner, Administrator, or Administrator's designee an opportunity to submit additional facts or other information to the Department in response to the findings. (7) When findings result in a referral to another regulatory agency, the Department staff must submit the applicable information to that agency for its review and determination of appropriate action. (8) If no deficiencies are found during a program review, the Department must issue a written report to the Agency with Choice owner indicating that fact within 30 days of the exit conference confirming compliance with program rules. (9) If deficiencies are found, the Department must issue a statement of deficiencies within 15 days of the exit conference citing the rule(s) alleged to be violated, the facts supporting the allegation, and a date by which corrections must be made. The written statement may include specific actions that must be taken for the Agency with Choice to maintain their license. (10) A copy of the most current program review report and any conditions placed upon the license must be posted with the Agency with Choice license in public view near the main entrance to the Agency with Choice. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0210 Complaints (1) Any person who believes these rules have been violated may file a Complaint verbally or in writing to the Department regarding an allegation as to the services provided by an Agency with Choice or violations of Agency with Choice laws or regulations. (2) The identity of a person making a Complaint and Formal Complaint and any personally identifiable information of the reporter or someone else, is confidential and not subject to disclosure and can only be disclosed when legally required. (3) Upon conclusion of an investigation of a Complaint, the Department may publicly release a report of its findings. However, the publicly released report must not disclose the identity of the complainant, witness, or any Individual associated with an Agency with Choice. (4) The Department may use any information obtained during an investigation in an administrative or judicial proceeding concerning the licensing of an Agency with Choice. (5) Any Agency with Choice employee who becomes aware of a violation of a law or these rules must immediately report it to the Department. (6) The Agency with Choice must not interfere with a good faith disclosure of information by an employee or volunteer concerning violation(s) of laws or rules. (7) The Licensee and Administrator must ensure any complainant, witness, or employee of an Agency with Choice is not subjected to retaliation by any Agency with Choice employee, for making a report, being interviewed about a Complaint, or being a witness, including, but not limited to, restriction of access to the Individual or, if an employee, dismissal or harassment. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0220 Abuse Reporting and Investigations (1) Agency with Choice employees, agents and Licensee must not permit, aid, or engage in Abuse of Individuals who are served by the Agency with Choice. All Agency with Choice staff are Mandatory Reporters of Abuse. (a) All Agency with Choice employees are required to immediately report Abuse or suspected Abuse to the ODHS SAFE line (1-855-503-SAFE (7233)), local APD office, local AAA office, or local law enforcement agency; (b) The Agency with Choice Administrator, or designee, must immediately notify the local APD office, local AAA, or Department of any incident of Abuse or suspected Abuse, including events overheard or witnessed by observation; (c) The local law enforcement agency must be called first when the suspected Abuse is believed to be a crime, including neglect that rises to a crime, financial exploitation, etc.; and (d) Physical injury of unknown cause must be reported to the local APD office, local AAA, or Department as suspected Abuse. (2) Upon any allegation of an event defined in OAR 411-039-0060 (9)(a) or Abuse, the Agency with Choice must promptly investigate, and document the report and take measures necessary to protect the Individual and prevent the reoccurrence of the event or Abuse. The investigation must document: (a) Time, date, place and Individuals present; (b) Description of the event as reported; (c) Response of staff at the time of the event; (d) Follow-up action; and (e) Administrator’s review. (3) Upon substantiation of Abuse, the Department must provide written notification of the findings to the Individual involved, and the Agency with Choice as defined in OAR chapter 411, division 020. (4) The Agency with Choice must not hamper nor impede the Department or law enforcement from investigating Abuse and suspected crimes and must give full access of Agency with Choice records, including but not limited to alleged victim records, and Direct Support Worker training records. The Department must be able to interview all Agency with Choice employees, including Direct Support Workers without an Agency with Choice Administrator present, unless it is requested by them. (5) An Agency with Choice must immediately terminate employment of a Direct Support Worker who has a substantiated claim of Abuse or neglect of an Individual from serving any Individual. If the Direct Support Worker was involved in other events listed in OAR 411-039-0060 (9)(a), the Agency with Choice will discuss with the Individual if they are comfortable with the Direct Support Worker continuing to provide Services and Supports. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025
411-039-0230 Enforcement (1) Upon receipt of a statement of deficiencies, an Agency with Choice must be provided an opportunity to dispute the Department’s program review findings but must still comply with sections (2) and (3) of this rule. (a) If an Agency with Choice desires an informal conference to dispute the Department's program review findings, the Agency with Choice must notify the Department in writing within 10 business days after receipt of the statement of deficiencies. The written request must include a detailed explanation of why the Agency with Choice believes the statement of deficiencies is incorrect; (b) An Agency with Choice may not seek a delay of any enforcement action against it on the grounds the informal conference has not been completed; and (c) If an Agency with Choice is successful in demonstrating the deficiencies should not have been cited, the Department may reissue the statement of deficiencies, removing such deficiencies. The reissued statement of deficiencies must state that it supersedes the previous statement of deficiencies and must clearly identify the date of the superseded statement of deficiencies; (2) A signed plan of correction must be submitted to the Department within 10 business days from the date the statement of deficiencies was received by the Agency with Choice. (3) An Agency with Choice must correct all deficiencies within 30 days from the date the statement of deficiencies was received by the Agency with Choice, unless an extension of time is requested from the Department. A request for such an extension must be submitted in writing and must accompany the plan of correction. (4) The Department must determine if a written plan of correction is acceptable. If the plan of correction is not acceptable to the Department, the Department must notify the Agency with Choice owner or Administrator in writing: (a) Identifying which provisions in the plan the Department finds unacceptable; (b) Citing the reasons, the Department finds the provisions unacceptable; and (c) Requesting that the plan of correction be modified and resubmitted no later than 10 business days from the date notification of non-compliance was received by the Agency with Choice owner or Administrator. (5) If the Agency with Choice does not come into compliance by the date of correction reflected on the plan of correction or 30 days from the date of the exit conference, whichever is sooner, the Department may propose to deny, suspend or revoke the Agency with Choice license or impose civil penalties. (6) An Agency with Choice must have an active license to operate. If a person or entity is found to be operating as an Agency with Choice without a valid license, the unlicensed Agency with Choice must, within 14 days of the receipt of an injunction obtained by the Department: (a) Inform its Individuals receiving services that the Agency with Choice can no longer provide services; and (b) Cease providing services to Individuals. Statutory/Other Authority: Or Laws 2024, ch. 37 Statutes/Other Implemented: ORS 124.050 & Or Laws 2024, ch. 37 History: APD 17-2025, adopt filed 12/10/2025, effective 12/15/2025