Vol. 2007, No. 15 (08/01/2007) PDF - Administrative Rules - Utah.gov

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NOTICES OF PROPOSED RULES DAR File No. 30180 (c) The program shall comply with State and Federal laws regarding the compensation and safety of staff and clients on its workforce, including but not limited to laws regarding minimum wage requirements. (10) Information provided to clients, guardians, media, and the public shall be accurate and factual. Requests for information received from clients and guardians shall be responded to within 5 business days. R501-2-4. Financial Requirements. A program shall provide a written disclosure of all fees and expenses a client or a client's guardian may incur, and identify which fees may be non-refundable, before accepting any payment, entering any contract to provide client services, or admitting a client to the program. A program shall provide an itemized accounting of actual expenditures made on behalf of each client before requiring reimbursement from the client or the client's guardian, except a program is not required to provide an itemized accounting of expenditures that have previously been disclosed to and approved by the client or the client's guardian in writing. The program shall not handle the personal business affairs of a client, including but not limited to borrowing or lending money, withdrawing assets from a client's account, or co-signing applications or notes, unless the program is first court-appointed as the client's guardian or conservator and acting within the limits of that appointment, except for a provider who is certified by the Social Security Administration and designated as the client's representative payee. A client's personal funds shall not be commingled with the program's funds. A program that maintains clients' personal funds for the client's use shall have a section in its policy and procedure manual regarding access to and use of clients' personal funds. (a) A program's policy and procedures regarding a client's personal funds shall be admission. (b) A program shall permit a client to access the client's personal funds in accordance with its policy and procedure manual. (c) A program shall maintain an accurate log of all funds deposited and all withdrawals made for the personal use of each client. (d) A program shall obtain the signature of the client or client's guardian verifying receipt of each withdrawal made for the personal use of each client. (e) Receipts for purchases of over $20.00 shall be signed by the client or guardian, and direct care staff, and maintained with the log. R501-2-5. Governance. (1) The program shall have a governing body that is responsible for and has authority over program policies and procedures. The governing body's responsibilities shall include the following: (a) to ensure program policy and procedures compliance; (b) to ensure continual compliance with local, state and federal requirements; (c) to notify the Office of Licensing prior to changes in program purpose or services, and no later than one business day after changes in program administration; (d) to ensure that the program is fiscally and operationally sound, by providing written verification by an independent financial professional by means of a Financial Opinion Statement that offers an unqualified opinion that the program's financial statements are presented fairly. A financial audit of the program by an independent CPA may be substituted for a Financial Opinion Statement; (e) to ensure that the program has adequate staffing as identified on the organizational chart and categorical rules; (f) to ensure that the program has general or commercial general liability insurance, professional liability insurance, motor vehicle insurance for each vehicle used to transport clients, worker's compensation insurance in accordance with Section 34A-2-101, et seq., and fire insurance; and (g) to provide the Office of Licensing with current certificates of insurance or self-insurance that include a provision requiring the insurer to notify the Office of Licensing in the event that policy coverage is amended or cancelled. (2) The governing body shall be: (a) a Board of Directors in a non-profit organization; (i) a non-profit organization shall document its legal status; (b) commissioners or appointed officials of a governmental unit; (i) a publicly operated program shall document its statutory authorization; or (c) Board of Directors or individual owners of a for-profit organization; (i) a for-profit organization shall document its ownership and legal status. (3) The program shall have a current list of all members of its governing body, indicating the name, address and term of each member. (4) The program shall have an organization chart which identifies operating units of the program and their interrelationships. The chart shall define lines of authority and responsibility for all program staff and identifies by name the staff person who fills each position. (5) When the governing body is composed of more than one person, the governing body shall establish written by-laws, hold formal meetings at least twice a year, and maintain written minutes, which shall be available to the Office of Licensing, to include: (a) attendance; (b) date; (c) agenda items; and (d) actions. R501-2-6. Record Keeping. (1) The program shall have a written record for each client, which shall include: (a) the client's full name, gender, date of birth, description, and other identifying information; (b) the client's guardian, if any, and the guardian's full name, address, and telephone numbers, and copies of documents establishing guardianship; (c) client's application, all contracts and agreements with the program that are signed by the client or the client's guardian, intake evaluation and assessments; (d) dates of placement and discharge, who placed client in program, and to whom client was discharged; (i) this subsection(d) does not apply to child placing adoption agencies; (e) the client's background information, including: (i) intake screening and initial assessment; (ii) legal status; 32 UTAH STATE BULLETIN, August 1, 2007, Vol. 2007, No. 15
DAR File No. 30180 NOTICES OF PROPOSED RULES (iii) emergency contact with name, address and telephone number; and (iv) in residential programs and programs where clients consume medications, a current, full-face photo kept at the location where medications are administered; (f) health records of a client, including: (i) in programs serving children, immunizations; (ii) medical needs, medication, and allergies; and (iii) in residential programs, physical, dental, hearing, and vision examinations; (g) signed consent forms for treatment; (h) signed and completed release of information form(s); (i) the client's individual treatment or service plan; (j) the client's progress records; (k) a copy of all incident reports involving the client; (l) a copy of all search reports involving the client; (m) a copy of all transfer and placement reports involving the client; (n) a record of family visits; and (o) a record of attendance and absences. (2) The program shall have a personnel file for each staff, which shall include: (a) his or her job description; (b) application for employment or resume; (c) current address and telephone numbers; (d) copies of required credentials and certifications, including but not limited to diplomas and licenses; (e) verification of work experience and qualifications for the staff position held; (f) food handler permit, if staff prepare food for clients; (g) training record; (h) annual performance evaluations and proficiency evaluations; (i) documentation of disciplinary actions; (j) completed IRS I-9 Form; (k) current background screening approval verifications; (l) a signed copy of the current Department of Human Services Provider Code of Conduct, for programs that are contracted to provide services to the Department of any or its Divisions; and (m) copy of current driver's license for all staff who transport clients. (3) A program shall retain all records relating to a client or staff for a minimum of 8 years after the date the client or staff is discharged, terminated, or otherwise departs the program, and for a minimum of 4 years after a client or staff who is a child attains the age of 18 years. (a) Current staff and client records shall be maintained on-site and shall be immediately available to the Office of Licensing upon request. (b) Former staff and client records may be maintained off-site and made available to the Office of Licensing within 24 hours of request. (4) All manuals and other program records shall be available to the Office of Licensing upon request for a minimum of 8 years from the date they expired or were superceded. A program: (a) shall maintain copies of all written reports and certificates of clearance issued by the fire inspector; (b) that is required to have fire sprinklers shall maintain copies of all written reports issued by the fire sprinkler inspector; (c) shall maintain copies of all written reports and certificates issued by the building inspector; and (d) shall maintain copies of all written reports and certificates issued by the local health inspector. (5)(a) Staff and client records shall be maintained in locked storage when not in active use. (b) Unlocked staff and client records shall not be left unattended. Direct care staff shall remain within immediate reach of unlocked records at all times. (6) The on duty staff-in-charge shall have access to all locked files, including computer files, and make them immediately available to the Office of Licensing upon request. A program that does not grant a staff-in-charge access to all locked staff files shall have an on-call staff with access and shall make staff files available to the Office of Licensing within one hour of a request. (7) A licensed program with more than one site may locate its staff files at one licensed site, however client files and other records shall be available at the licensed site where the client resides, or in non-residential programs, where the client receives services. (8) A current roster of all clients shall be available on site at all times. The roster shall include each client's name, date of birth, sex, emergency contact information, and date of admission. In a residential program, the current location of any client who is off-site shall be maintained in the roster or a log established for that purpose. (9) A program's rules shall be provided to clients and clients' guardians, and shall be available to a client's clergy or attorney upon request. R501-2-7. Direct Service Management. (a) A program shall have written policies and procedures that describe the appropriate treatment of clients, and shall prohibit the abuse, neglect, maltreatment, and exploitation of clients. (b) Staff shall not abuse, neglect, maltreat, or exploit any client through any act or omission. (c) Staff shall not encourage or fail to deter the acts or omissions of another that abuse, neglect, maltreat, or exploit any client. (d) Staff shall not engage in criminal conduct. (2) The program shall have a written eligibility policy and procedure that shall include: (a) legal status; (b) age and sex of client; (c) client needs or problems best addressed by program; (d) program limitations; and (e) placement. (3) Admission policy and procedures shall include: (a) written intake screening conducted prior to a client's admission that determines whether a prospective client meets the program's eligibility standards; (b) age of clients served, as approved by the Office of Licensing; (i) a program shall not provide services to children and adults without first obtaining the written approval of the Office of Licensing; (ii) a residential program shall not locate the bedrooms or bathrooms of children on the same wing, corridor, or floor with adult clients; A program providing services only to women and their children is excepted from this subsection(3)(b)(ii). UTAH STATE BULLETIN, August 1, 2007, Vol. 2007, No. 15 33
Page 1 and 2: UTAH STATE BULLETIN OFFICIAL NOTICE
Page 3 and 4: TABLE OF CONTENTS 1. SPECIAL NOTICE
Page 5 and 6: SPECIAL NOTICES Governor's Declarat
Page 7 and 8: DAR File No. 30172 NOTICES OF PROPO
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Page 61 and 62: NOTICES OF CHANGES IN PROPOSED RULE
Page 63 and 64: DAR File No. 30008 NOTICES OF CHANG
Page 65 and 66: FIVE-YEAR NOTICES OF REVIEW AND STA
Page 67 and 68: DAR File No. 30185 FIVE-YEAR NOTICE
Page 75 and 76: NOTICES OF RULE EFFECTIVE DATES The
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Vol. 2007, No. 15 (08/01/2007) PDF - Administrative Rules - Utah.gov

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