411-340-0030 Certification of Support Service Brokerages (1) CERTIFICATE REQUIRED. (a) No person or governmental unit acting individually or jointly with any other person or governmental unit may establish, conduct, maintain, manage, or operate a Brokerage without being certified by the Department under this rule. (b) Certificates are not transferable or assignable and are issued only for the Brokerage and people or governmental units named in the application. (c) Certificates issued on or after January 1, 2016 are effective for a maximum of two years. (d) The Department shall conduct a review of the Brokerage prior to the issuance of a certificate. (2) CERTIFICATION. A Brokerage must apply for an initial certificate and for a certificate renewal. (a) The application must be on a form provided by the Department and must include all information requested by the Department. (b) The applicant requesting certification as a Brokerage must identify the maximum number of individuals to be served and the geographic service area. (c) To renew certification, the Brokerage must make application at least 30 days, but not more than 120 days, prior to the expiration date of the existing certificate. On renewal of certification, no increase in the maximum number of individuals to be served by the Brokerage may be certified unless specifically approved by the Department. (d) Application for renewal must be filed no more than 120 days prior to the expiration date of the existing certificate and extends the effective date of the existing certificate until the Department takes action upon the application for renewal. (e) Failure to disclose requested information on the application or providing incomplete or incorrect information on the application may result in denial, revocation, or refusal to renew the certificate. (f) Prior to issuance or renewal of the certificate, the applicant must demonstrate to the satisfaction of the Department that the applicant is capable of providing services identified in a manner consistent with the requirements of these rules. (3) CERTIFICATION EXPIRATION, TERMINATION OF OPERATIONS, OR CERTIFICATE RETURN. (a) Unless revoked, suspended, or terminated earlier, each certificate to operate a Brokerage expires on the expiration date specified on the certificate. (b) If a certified Brokerage is discontinued, the certificate automatically terminates on the date operation is discontinued. (4) CHANGE OF OWNERSHIP, LEGAL ENTITY, LEGAL STATUS, OR MANAGEMENT CORPORATION. The Brokerage must notify the Department in writing of any pending action resulting in a five percent or more change in ownership and of any pending change in the legal entity, legal status, or management corporation of the Brokerage. (5) NEW CERTIFICATE REQUIRED. A new certificate for a Brokerage is required upon change in the ownership, legal entity, or legal status of a Brokerage. The Brokerage must submit a certificate application at least 30 days prior to change in ownership, legal entity, or legal status. (6) CERTIFICATE DENIAL, REVOCATION, OR REFUSAL TO RENEW. The Department may deny, revoke, or refuse to renew a certificate when the Department finds the Brokerage, the Brokerage Director, or any person holding five percent or greater financial interest in the Brokerage: (a) Demonstrates substantial failure to comply with these rules such that the health, safety, or welfare of individuals is jeopardized and the Brokerage fails to correct the noncompliance within 30 calendar days of receipt of written notice of non-compliance; (b) Has demonstrated, during two inspections within a six year period, a substantial failure to comply with these rules such that the health, safety, or welfare of individuals is jeopardized. For the purpose of this rule, "inspection" means an on-site review of the service site by the Department for the purpose of investigation or certification; (c) Has been convicted of a felony or any crime as described in OAR 407-007-0275; (d) Has been convicted of a misdemeanor associated with the operation of a Brokerage; (e) Falsifies information required by the Department to be maintained or submitted regarding services of individuals, program finances, or individuals' funds; (f) Has been found to have permitted, aided, or abetted any illegal act that has had significant adverse impact on individual health, safety, or welfare; or (g) Has been placed on the list of excluded or debarred providers by the Office of Inspector General (http://exclusions.oig.hhs.gov/). (7) NOTICE OF CERTIFICATE DENIAL, REVOCATION, OR REFUSAL TO RENEW. Following a Department finding that there is a substantial failure to comply with these rules such that the health, safety, or welfare of individuals is jeopardized, or that one or more of the events listed in section (6) of this rule has occurred, the Department may issue a notice of certificate revocation, denial, or refusal to renew. (8) IMMEDIATE SUSPENSION OF CERTIFICATE. When the Department finds a serious and immediate threat to individual health and safety and sets forth the specific reasons for such findings, the Department may, by written notice to the certificate holder, immediately suspend a certificate without a pre-suspension hearing and the Brokerage may not continue operation. (9) HEARING. An applicant for a certificate or a certificate holder may request a hearing pursuant to the contested case provisions of ORS chapter 183 upon written notice from the Department of denial, suspension, revocation, or refusal to renew a certificate. In addition to, or in lieu of a hearing, the applicant or certificate holder may request an administrative review by the Director of the Department. An administrative review does not preclude the right of the applicant or certificate holder to a hearing. (a) The applicant or certificate holder must request a hearing within 60 days of receipt of written notice by the Department of denial, suspension, revocation, or refusal to renew a certificate. The request for a hearing must include an admission or denial of each factual matter alleged by the Department and must affirmatively allege a short plain statement of each relevant, affirmative defense the applicant or certificate holder may have. (b) In the event of a suspension pursuant to section (8) of this rule and during the first 30 days after the suspension of a certificate, the Brokerage may submit a written request to the Department for an administrative review. The Department shall conduct the review within 10 days after receipt of the request for an administrative review. Any review requested after the end of the 30-day period following certificate suspension is treated as a request for a hearing under subsection (a) of this section. If following the administrative review the suspension is upheld, the Brokerage may request a hearing pursuant to the contested case provisions of ORS chapter 183. Statutory/Other Authority: ORS 409.050, 427.402 & 430.662 Statutes/Other Implemented: ORS 427.005, 427.007, 427.400-410, 430.610, 430.620 & 430.662-695 History: APD 15-2016, f. 6-28-16, cert. ef. 6-29-16 APD 32-2015(Temp), f. 12-31-15, cert. ef. 1-1-16 thru 6-28-16 SPD 50-2013, f. 12-27-13, cert. ef. 12-28-13 SPD 10-2011, f. & cert. ef. 5-5-11 SPD 25-2010(Temp), f. & cert. ef. 11-17-10 thru 5-16-11 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 309-041-1770, 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