411-340-0070 Personnel Policies and Practices for Brokerages (1) A brokerage must maintain up-to-date written position descriptions for all staff as well as a personnel file for each employee, available to the Department, the Oregon Health Authority, or other appropriate authority for inspection, that includes written documentation of all of the following: (a) Reference checks and confirmation of qualifications prior to hire. (b) An approved background check completed by the Department in accordance with OAR 407-007-0200 through 407-007-0370 and ORS 181A.200. (c) Satisfactory completion of basic orientation, including instructions for mandatory abuse reporting and training specific to intellectual or developmental disabilities and skills required to carry out assigned work if the employee is to provide direct assistance to individuals. (d) Employee notification of mandatory reporter status. (e) Any founded report of child abuse or substantiated adult abuse. (f) Any complaints filed against the employee and the results of the complaint process, including any disciplinary action. (g) Legal eligibility to work in the United States. (2) An employee providing direct assistance to individuals must be at least 18 years of age and capable of performing the duties described in a current position description signed and dated by the employee. (3) An application for employment at a brokerage must inquire whether an applicant has had any founded report of child abuse or substantiated adult abuse. (4) An employee of a brokerage, or any subject individual as defined in OAR 407-007-0210, who has or will have contact with an eligible individual of support services, must have an approved background check in accordance with OAR 407-007-0200 through 407-007-0370 and ORS 181A.200. (5) A person may not be employed by a brokerage if the person has been convicted of a disqualifying crime in ORS 443.004. (6) Section (5) of this rule does not apply to employees of a brokerage who were hired prior to July 28, 2009 and remain in the current position for which the employee was hired. (7) A brokerage regulated by these rules must be a drug-free workplace. (8) BROKERAGE DIRECTOR. (a) A brokerage must employ a full-time brokerage director who is responsible for the daily operations of the brokerage in compliance with these rules and who has authority to make budget, staffing, policy, and procedural decisions for the brokerage. (b) In addition to the general staff qualifications in sections (1) and (2) of this rule, a brokerage director must have one of the following: (A) A minimum of a bachelor's degree and two years of experience, including supervision, in the field of intellectual or developmental disabilities, social services, mental health, or a related field. (B) Six years of experience, including supervision, in the field of intellectual or developmental disabilities, social services, or mental health. (c) A brokerage director must complete core competencies for case management within the first year of entering into the position. (d) A brokerage director must continue to enhance their knowledge, as well as maintain a basic understanding of developmental disabilities services and the skills, knowledge, and responsibilities of the staff they supervise. (A) A brokerage director 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, equity and diversity, mental health, or substance abuse. (B) A brokerage director must attend trainings to maintain a working knowledge of system changes. (9) PERSONAL AGENTS. (a) A personal agent must meet the qualifications for a case manager as described in OAR 411-415-0040. (b) A brokerage must submit a written variance request to the Department prior to employing a person not meeting the minimum qualifications for a personal agent set forth in subsection (a) of this section. The variance request must include all of the following: (A) An acceptable rationale for the need to employ a person who does not meet the qualifications. (B) A proposed alternative plan for education and training to correct the deficiencies. (i) The proposal must specify activities, timelines, and responsibility for costs incurred in completing the alternative plan. (ii) 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. (c) The duties of a personal agent must be specified in a position description and include, at a minimum, all of the following: (A) The delivery of case management services to individuals as described in OAR chapter 411, division 415. (B) Assisting the brokerage director in the identification of existing and insufficient service delivery resources or options. (10) ASSESSORS. A brokerage must employ a qualified assessor. The duties of an assessor must be specified in the employee's position description and at a minimum include conducting Oregon Needs Assessments as described in OAR chapter 411, division 425. An assessor must: (a) Meet the qualifications described in OAR 411-425-0035; and (b) Participate in and complete the training described in OAR 411-425-0035. (11) DESIGNATED REFERRAL CONTACT. A brokerage must employ a designated referral contact. (a) A designated referral contact must have knowledge of the public service system for developmental disabilities services in Oregon and at least one of the following: (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. (D) Three years of human services related experience. (b) The duties of a designated referral contact must be specified in the employee’s position description and at a minimum include all of the following: (A) Assisting with coordination of the activities related to the entry of an individual into a residential setting. (B) Making information about residential setting options available to an individual who is looking for a residential setting, or as applicable the individual's legal or designated representative. (C) Supporting case managers to identify local and statewide residential setting options. The designated referral contact is the liaison to the Department for issues related to residential setting entries. (D) Assisting providers to assess referrals the provider receives for goodness of fit. (c) The training for a designated referral contact must include, at a minimum, all of the following: (A) An overview of developmental disabilities services and related human services within the county. (B) An overview of the forms and processes for referrals to residential programs. (C) An overview of the Department's rules governing the brokerage. (D) An overview of the Department's licensing and certification rules for providers. (E) A review and orientation of Medicaid, SSI, Social Security Administration, home and community-based waiver and state plan services, and the medical assistance programs delivered by the Oregon Health Authority. (F) A review (prior to having contact with individuals) of the designated referral contact’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. (d) A designated referral contact must complete 20 hours of additional training each year to continue to enhance their knowledge, as well as maintain a basic understanding of the skills, knowledge, and responsibilities necessary to perform the position. (12) Qualified staff of a brokerage must maintain and enhance their knowledge and skills through participation in education and training. The Department shall provide training materials and training may be conducted by the Department or brokerage staff, depending on available resources. (13) 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 a claimant during an informal conference and hearing. 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 7-2025, amend filed 07/10/2025, effective 07/10/2025 APD 5-2023, amend filed 05/01/2023, effective 05/01/2023 APD 4-2019, minor correction filed 01/07/2019, effective 01/07/2019 APD 46-2018, amend filed 12/28/2018, effective 12/28/2018 APD 23-2018, temporary amend filed 07/02/2018, effective 07/02/2018 through 12/27/2018 APD 15-2016, f. 6-28-16, cert. ef. 6-29-16 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 2-2010(Temp), f. & cert. ef. 3-18-10 thru 6-30-10 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 21-2007(Temp), f. 12-31-07, cert. ef. 1-1-08 thru 6-29-08 Renumbered from 309-041-1810, 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