PROPOSED RULES
SOCIAL AND HEALTH SERVICES
(Aging and Disability Services Administration)
Original Notice.
Preproposal statement of inquiry was filed as WSR 09-14-068.
Title of Rule and Other Identifying Information: The department is amending and creating new sections to chapter 388-101 WAC, Certified community residential services and supports.
The department is proposing amendments to WAC 388-101-3060 Change of ownership, 388-101-3080 The department may deny -- Application, 388-101-3090 The department must deny -- Application, 388-101-3250 Background checks, 388-101-3520 Client related funds, 388-101-4010 Community protection -- Written individual plan, 388-101-4170 Mandating reporting policies and procedures, 388-101-4270 Notice of preliminary finding, 388-101-4280 Reporting preliminary findings, 388-101-4290 Disputing a preliminary finding, 388-101-4300 Disclosure of investigative and finding information, 388-101-4310 Hearing procedures to dispute a preliminary finding, 388-101-4320 Appeal of the administrative law judge's preliminary order on a finding, 388-101-4330 Finalizing a preliminary finding, and 388-101-4340 Reporting final findings.
The department is proposing new sections WAC 388-101-3055 Application for initial certification -- Liability insurance required, 388-101-3165 Access to certification evaluation report and plan of correction, 388-101-3205 Liability insurance required -- Ongoing, 388-101-3206 Liability insurance required -- Commercial general liability insurance or business liability insurance coverage, 388-101-3207 Liability insurance required -- Professional liability insurance coverage, 388-101-3372 Medical devices, 388-101-4269 Individual defined, 388-101-4350 Notice -- Service complete, and 388-101-4360 Notice -- Proof of service.
Hearing Location(s): Blake Office Park East, Rose Room, 4500 10th Avenue S.E., Lacey, WA 98503 (one block north of the intersection of Pacific Avenue S.E. and Alhadeff Lane. A map or directions are available at http://www.dshs.wa.gov/msa/rpau/docket.html or by calling (360) 664-6094), on December 8, 2009, at 10:00 a.m.
Date of Intended Adoption: Not earlier than December 9, 2009.
Submit Written Comments to: DSHS Rules Coordinator, P.O. Box 45850, Olympia, WA 98504-5850, delivery 4500 10th Avenue S.E., Lacey, WA 98503, e-mail DSHSRPAURulesCoordinator@dshs.wa.gov, fax (360) 664-6185, by 5 p.m. on December 8, 2009.
Assistance for Persons with Disabilities: Contact Jennisha Johnson, DSHS rules consultant, by November 24, 2009, TTY (360) 664-6178 or (360) 664-6094 or by e-mail at johnsjl4@dshs.wa.gov.
Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: The purpose of amending these rules is to make editorial and clarifying changes and to make the rules consistent with current law and standards. The anticipated effects are to make the rules clearer, easier to read, understand and apply.
Highlights of proposed changes:
• Editorial and housekeeping changes in the following sections: Title for mandated reporting policies and procedures; and notice and appeal rights.
• Clarifies when notice is considered complete and what constitutes proof of notice.
• Clarifies that the service provider is responsible to implement, not develop the treatment plan required for clients in the community protection program (CPP).
• Eliminates from this chapter CPP treatment plan rules that are not service provider requirements but that are CPP program requirements in chapter 388-831 WAC.
• Clarifies when the department may or must deny an application for certification.
• Clarifies that individuals who are on a state registry with a finding of abuse, neglect, financial exploitation, or abandonment cannot have unsupervised access to clients.
• Adds existing liability insurance contract requirements to rule.
• Clarifies requirements for ensuring that common household expenses are shared equitably among clients living in the same household.
• Clarifies that group home providers applying for a change of ownership must also meet applicable adult family home or boarding home licensing requirements for change of ownership.
• Adds a section to clarify that certification evaluation reports and plans of correction must be made available upon request.
• Adds a section regarding requirements for the safe use of medical devices.
Reasons Supporting Proposal: See above.
Statutory Authority for Adoption: RCW 71A.12.080.
Statute Being Implemented: Chapter 71A.12 RCW.
Rule is not necessitated by federal law, federal or state court decision.
Name of Proponent: Department of social and health services, governmental.
Name of Agency Personnel Responsible for Drafting: John Gaskell, P.O. Box 45600, Olympia, WA 98513, (360) 725-3210; Implementation and Enforcement: Joyce Stockwell, P.O. Box 45600, Olympia, WA 98513, (360) 725-2401.
No small business economic impact statement has been prepared under chapter 19.85 RCW. RCS analyzed the proposed amendments and concludes that costs to small businesses will be minor, if there are any costs at all. The primary purpose of the proposed amendments is to make editorial and clarifying changes and to make the rules consistent with current laws and standards. As a result, the preparation of a small business economic impact statement is not required.
A cost-benefit analysis is required under RCW 34.05.328. A preliminary cost-benefit analysis may be obtained by contacting John Gaskell, P.O. Box 45600, Olympia, WA 98504-5600, phone (360) 725-3210, fax (360) 438-7903, e-mail gaskejw@dshs.wa.gov.
October 15, 2009
Stephanie E. Vaughn
Rules Coordinator
4151.5(2) The coverage and evidence of coverage must comply with the requirements of WAC 388-101-3206 and 388-101-3207.
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(a) The business entity ownership; or
(b) The form of legal organization.
(2) ((The service provider)) When applying for a change
of ownership, an applicant may be required to provide any or
all items listed in WAC 388-101-3050.
(3) For group homes, applicants must also meet the applicable change of ownership requirements found in:
(a) WAC 388-76-10105 for licensed adult family homes; or
(b) WAC 388-78A-2770 through 388-78A-2787 for licensed boarding homes.
(4) If the applicant is not a current service provider, the applicant must apply for initial certification.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-3060, filed 12/21/07, effective 2/1/08.]
(a) That funding is not available; or
(b) There is not a programmatic need for additional service providers in the area of the state the applicant intends to serve.
(2) The department may deny the application for initial certification or change of ownership if any person named in the application has:
(((1) Has)) (a) Shown a lack of the understanding,
ability, or emotional stability that is necessary to meet the
identified needs of vulnerable adults;
(((2))) (b) Had a ((department)) contract((,)) terminated
or a certification((,)) or license ((withdrawn)) revoked or
denied by the department, or has been subjected to department
enforcement actions;
(((3))) (c) Had a contract terminated, or a
certification((,)) or license ((withdrawn)) revoked or denied
in another state, or ((was)) has been subjected to an
enforcement action in another state;
(((4))) (d) Obtained or attempted to obtain a license or
certification by fraudulent means or misrepresentation;
(((5) Has)) (e) Relinquished or been denied a license or
license renewal to operate a home or facility that was
licensed for the care of children or vulnerable adults;
(((6))) (f) Refused to permit authorized department
representatives to interview clients or to have access to
client records;
(((7) Has)) (g) Been convicted of a drug-related
conviction within the past five years without evidence of
rehabilitation, unless denial is required under WAC 388-06-0180(4); or
(((8) Has)) (h) Been convicted of an alcohol-related
conviction within the past five years without evidence of
rehabilitation.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-3080, filed 12/21/07, effective 2/1/08.]
(((1))) (a) Convicted of a crime ((against children or
other persons or crimes relating to financial exploitation as
defined under RCW 43.43.830 or 43.43.842)) listed under WAC 388-06-0170(1);
(b) Convicted of a disqualifying crime under WAC 388-06-0180;
(((2))) (c) Found by a court in a criminal proceeding, a
protection proceeding, or in a civil damages lawsuit under
chapter 74.34 RCW to have abused, neglected, abandoned, or
financially exploited a vulnerable adult;
(((3))) (d) Found in any dependency action ((under
chapter 13.34 RCW)) to have sexually assaulted, neglected,
exploited, or physically abused any minor;
(((4))) (e) Found by a court in a domestic relations
proceeding under Title 26 RCW, or any comparable state or
federal law, to have sexually abused, exploited, or physically
abused any minor;
(((5))) (f) Found in any final decision issued by a
disciplinary board to have sexually or physically abused or
exploited any minor or to have abused, neglected, abandoned,
or financially exploited any vulnerable adult, as defined
under chapter 74.34 RCW; or
(((6) The subject of a stipulated finding of fact,
conclusion of law, an agreed order, finding of fact, final
order issued by a disciplining authority or final decision by
any federal or state agency or department, a court of law, or
entered into a state registry or department or agency list
with a finding of abuse, neglect, financial exploitation, or
abandonment of a minor or a vulnerable adult as defined in
chapter 74.34 RCW)) (g) Found to have abused, neglected,
financially exploited, abandoned, or mistreated a minor or
vulnerable adult, as defined in chapter 74.34 RCW, and the
finding has been entered on any department registry or on any
state or federal agency list.
(2) The department must deny an application for initial certification or change of ownership if any person named in the application has a pending criminal charge as described in WAC 388-06-0200.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-3090, filed 12/21/07, effective 2/1/08.]
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(1) Maintain liability insurance as required in WAC 388-101-3206 and 388-101-3207; and
(2) Have evidence of liability insurance coverage available if requested by the department.
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(1) Coverage for the acts and omissions of any employee and volunteer;
(2) Coverage for bodily injury, property damage, and contractual liability;
(3) Coverage for premises, operations, independent contractors, products-completed operations, personal injury, advertising injury, and liability assumed under an insured contract; and
(4) Minimum limits of:
(a) Each occurrence--one million dollars;
(b) General aggregate--two million dollars; and
(c) For community protection service providers--three million dollars general aggregate.
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(1) Coverage for losses caused by errors and omissions of the service provider, its employees, and volunteers; and
(2) Minimum limits of:
(a) Each occurrence--one million dollars; and
(b) General aggregate--two million dollars.
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(2) The service provider must obtain background checks including, but not limited to background inquiries and criminal history disclosure from the department for all administrators, employees, volunteers, students, and subcontractors who may have unsupervised access to clients.
(((2))) (3) The service provider must not allow the
following persons to have unsupervised access to clients until
the service provider receives successful background check
results from the department:
(a) Administrators;
(b) Employees;
(c) Volunteers or students; and
(d) Subcontractors.
(((3) Service providers or applicants)) (4) Persons
identified in subsection (2) of this section who have lived in
Washington state less than three years or who are otherwise
required to complete a fingerprint-based background check may
be hired for a one hundred twenty-day provisional period ((as
allowed under law)) when:
(a) The ((applicant or service provider)) person is not
disqualified based on the initial result of the background
check from the department; and
(b) A fingerprint-based background check is pending.
(((4))) (5) The service provider must notify the person,
within ten days of receiving the result, that he or she may
request a copy of the background check.
(((5))) (6) The service provider must renew the
background check at least every thirty-six months and keep
current department background checks for each administrator,
employee, volunteer, student, or subcontractor of a service
provider.
(((6))) (7) Licensed boarding homes or adult family homes
must adhere to the current regulations in this chapter and in
the applicable licensing laws.
(((7))) (8) Service providers must ((follow the
requirements of RCW 43.43.830 through 43.43.842 and RCW 74.15.030)) prevent unsupervised access to clients by any
administrator, employee, subcontractor, student, or volunteer
who has a disqualifying conviction or finding described in WAC 388-101-3090.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-3250, filed 12/21/07, effective 2/1/08.]
(2) Use of medical devices often poses a safety risk for clients. Examples of medical devices with known safety risks are transfer poles, helmets, straps and belts on wheelchairs or beds, and bed side rails.
(3) Medical devices must not be used by the service provider:
(a) As a restraint; or
(b) For staff convenience.
(4) Before using medical devices for any client, the service provider must:
(a) Review the client's assessment to identify the client's need;
(b) Identify and implement interventions that might decrease the need for the use of a medical device;
(c) Document the use of less restrictive and less invasive options, successful or not;
(d) Provide the client and client's family or legal representative with information about the anticipated benefits and safety risks of using the device to enable them to make an informed decision about whether or not to use the device;
(e) Obtain a current physician's order that describes the medical necessity for use of the device and the anticipated duration of use; and
(f) Provide written instructions to staff regarding safe and proper use of the device.
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(2) The service provider must ensure that common household expenses are shared equitably among all clients living in the household.
(3) If the service provider ((does not manage the
client's funds and)) receives funds for the client from any
source, the service provider must be able to show that all the
funds received are:
(((1))) (a) Given to the client or the client's legal
representative;
(((2))) (b) Deposited to the client's account; or
(((3))) (c) Used only for the client.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-3520, filed 12/21/07, effective 2/1/08.]
(a) A qualified professional's risk assessment of emotional and behavioral issues related to community protection risks; or
(b) A written risk assessment and treatment recommendations by:
(i) A sexual offender treatment provider or sexual offender treatment provider affiliate if the client has a sexual offense history; or
(ii) A licensed psychologist or psychiatrist with specialized training in the treatment of or three or more years' experience treating violent or aggressive behavior when the person being assessed has demonstrated violent, dangerous, or aggressive behavior.
(2) In addition to the requirements in WAC 388-101-3460 through 388-101-3510, the community protection service provider must include the following in the client's written individual plan:
(a) Intervention strategies and techniques related to community protection risks;
(b) Restrictions and measures, including security precautions; and
(c) A therapist's approval of the written individual plan.
(3) For community protection clients with a history of sexual offending, the assessment by a certified sexual offender treatment provider or sexual offender treatment provider affiliate may serve as the functional assessment and treatment recommendations related to the sexual behaviors)) written by a qualified professional/therapist in accordance with any procedures published by the department.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4010, filed 12/21/07, effective 2/1/08.]
(a) Immediately reporting mandated reporting incidents to:
(i) The department and law enforcement;
(ii) Appropriate persons within the service provider's agency as designated by the service provider; and
(iii) The alleged victim's legal representative.
(b) Protecting clients;
(c) Preserving evidence when necessary; and
(d) Initiating an outside review or investigation.
(2) The service provider must not have or implement any policies or procedures that interfere with a mandated reporter's obligation to report.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4170, filed 12/21/07, effective 2/1/08.]
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(a) Will not include the identities of the alleged victim, reporter and witnesses; and
(b) Will include the necessary information for the alleged perpetrator to ask for an administrative hearing to challenge the preliminary finding)) serve notice of the preliminary finding as provided in WAC 388-101-4350.
(2) ((The department must make a reasonable, good faith
effort to determine the last known address of the alleged
perpetrator.
(3) The department will serve notice of the preliminary finding as provided in chapter 388-02 WAC.
(4))) The department may ((extend the time frame for
written notification beyond ten working days for good cause))
establish proof of service as provided in WAC 388-101-4360.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4270, filed 12/21/07, effective 2/1/08.]
(((a))) (1) Other divisions within the department;
(((b))) (2) The agency or program identified under RCW 74.34.068 with which the ((alleged perpetrator is)) individual
was associated as an employee, volunteer or contractor;
(((c))) (3) The employer or program that is currently
associated with the individual ((alleged to have abandoned,
abused, neglected, or financially exploited a client, if
known));
(((d))) (4) Law enforcement; ((and))
(((e))) (5) Other entities as authorized by law and this
chapter including investigative authorities consistent with
chapter 74.34 RCW; and
(6) The appropriate licensing agency.
(((2) The notification will identify the finding as a
preliminary finding.))
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4280, filed 12/21/07, effective 2/1/08.]
(2) The request must be made in writing to the office of administrative hearings.
(3) The office of administrative hearings must receive
the ((alleged perpetrator's)) individual's written request for
a hearing within thirty calendar days of the date written on
the notice of the preliminary finding.
(4) The written request for a hearing must include:
(a) The full legal name, current address and phone number
of the ((alleged perpetrator)) individual;
(b) A brief explanation of why the ((alleged
perpetrator)) individual disagrees with the preliminary
finding;
(c) A description of any assistance needed in the
administrative appeal process by the ((alleged perpetrator))
individual, including a foreign language or sign language
interpreter or any reasonable accommodation for a disability;
and
(d) The ((alleged perpetrator's)) individual's signature.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4290, filed 12/21/07, effective 2/1/08.]
(2) Confidential information such as the name and other personal identifying information of the reporter, witnesses, or the client will be redacted from documents unless release of that information is consistent with chapter 74.34 RCW and other applicable state and federal laws.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4300, filed 12/21/07, effective 2/1/08.]
(2) The administrative law judge shall determine whether
the preliminary finding is supported by a preponderance of the
evidence ((supports the preliminary finding that the alleged
perpetrator abandoned, abused, neglected, or financially
exploited a vulnerable adult, and shall issue a preliminary
order)).
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4310, filed 12/21/07, effective 2/1/08.]
(2) If the department appeals the administrative law judge's decision, the department will not modify the finding in the department's records until a final hearing decision is issued.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4320, filed 12/21/07, effective 2/1/08.]
(a) The department gives the ((alleged perpetrator))
individual notice of the preliminary finding ((pursuant to))
under WAC 388-101-4270 and the ((alleged perpetrator))
individual does not request an administrative hearing;
(b) The administrative law judge:
(i) Dismisses the ((hearing)) appeal following withdrawal
of the appeal or default; or
(ii) Issues ((a preliminary)) an initial order upholding
the finding and the ((alleged perpetrator)) individual fails
to appeal the ((preliminary)) initial order to the
department's board of appeals; or
(c) The board of appeals issues a final order upholding the finding.
(2) The final finding is permanent and will only be
removed from the department's records if((:
(a))) it is rescinded following judicial review((; or
(b) The department may decide to remove the single finding of neglect from its records based upon a written petition by the alleged perpetrator provided that no further findings have occurred, and at least one calendar year has passed since the finding was finalized and recorded)).
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4330, filed 12/21/07, effective 2/1/08.]
(a) The ((perpetrator)) individual against whom the final
finding was made;
(b) The service provider that was associated with the
((perpetrator)) individual during the time of the incident;
(c) The service provider that is currently associated
with the ((perpetrator)) individual against whom the final
finding was made, if known;
(d) The appropriate licensing, contracting, or certification authority; and
(e) ((The)) Any federal or state ((department)) registry
or ((agency)) list of individuals found to have abandoned,
abused, neglected, or financially exploited a vulnerable
adult.
(2) The findings may be disclosed to the public upon request subject to applicable public disclosure laws.
[Statutory Authority: Chapter 71A.12 RCW. 08-02-022, § 388-101-4340, filed 12/21/07, effective 2/1/08.]
(1) Personal service is made;
(2) The notice is addressed to the service provider or to the individual at his or her last known address, and deposited in the United States mail;
(3) The notice is faxed and the department receives evidence of transmission;
(4) Notice is delivered to a commercial delivery service with charges prepaid; or
(5) Notice is delivered to a legal messenger service with charges prepaid.
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(1) A declaration of personal service;
(2) An affidavit or certificate of mailing to the service provider or to the individual to whom the notice is directed;
(3) A signed receipt from the person who accepted the certified mail, the commercial delivery service, or the legal messenger service package; or
(4) Proof of fax transmission.
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