Title of Regulation: 12VAC35-105. Rules and Regulations for Licensing Providers by the Department of Behavioral Health and Developmental Services (amending 12VAC35-105-10 through 12VAC35-105-70, 12VAC35-105-90, 12VAC35-105-100, 12VAC35-105-110, 12VAC35-105-115, 12VAC35-105-130 through 12VAC35-105-240, 12VAC35-105-260 through 12VAC35-105-560, 12VAC35-105-580 through 12VAC35-105-620, 12VAC35-105-650, 12VAC35-105-660, 12VAC35-105-680, 12VAC35-105-690, 12VAC35-105-700, 12VAC35-105-710, 12VAC35-105-720, 12VAC35-105-740, 12VAC35-105-750, 12VAC35-105-770, 12VAC35-105-790 through 12VAC35-105-840, 12VAC35-105-870 through 12VAC35-105-910, 12VAC35-105-925, 12VAC35-105-930 through 12VAC35-105-1020, 12VAC35-105-1040, 12VAC35-105-1050, 12VAC35-105-1060, 12VAC35-105-1080, 12VAC35-105-1090, 12VAC35-105-1100, 12VAC35-105-1110, 12VAC35-105-1140 through 12VAC35-105-1250, 12VAC35-105-1270 through 12VAC35-105-1370, 12VAC35-105-1390, 12VAC35-105-1400, 12VAC35-105-1410; adding 12VAC35-105-155, 12VAC35-105-265, 12VAC35-105-325, 12VAC35-105-645, 12VAC35-105-665, 12VAC35-105-675, 12VAC35-105-691, 12VAC35-105-693, 12VAC35-105-1055, 12VAC35-105-1235, 12VAC35-105-1255; repealing 12VAC35-105-630, 12VAC35-105-640, 12VAC35-105-670, 12VAC35-105-730, 12VAC35-105-850, 12VAC35-105-860).

Statutory Authority: § 37.2-203 of the Code of Virginia.

Public Hearing Information:

March 9, 2010 - 10 a.m. - Henrico Area Mental Health and Retardation Services Building, 10299 Woodman Road, Conference Room C, Glen Allen, VA

Public Comment Deadline: April 2, 2010.

Agency Contact: Les Saltzberg, Director, Office of Licensing, Department of Behavioral Health and Developmental Services, 1220 Bank Street, P.O. Box 1797, Richmond, VA 23218, telephone (804) 371-6885, FAX (804) 692-0066, or email les.saltzberg@dbhds.virginia.gov.

Basis: Section 37.2-203 of the Code of Virginia authorizes the State Board of Behavioral Health and Developmental Services (board) to adopt regulations necessary to carry out the provisions of Title 37.2 of the Code of Virginia. The board has the authority to adopt regulations for licensing under § 37.2-404 of the Code of Virginia. Providers of services are required to be licensed under § 37-2.405 of the Code of Virginia.

Purpose: This action is necessary to increase the protections for the health, safety, and welfare of individuals receiving services from licensed providers. These revisions strengthen the ability of the Department of Behavioral Health and Developmental Services (DBHDS) to deny applications for licensing, revoke licenses, and restrict the activities of provider applicants that do not meet service standards during the provisional period. The agency has determined that these updates are necessary to resolve issues pertaining to the regulation of service areas where problems have occurred.

These revisions also update the definitions for consistency with other regulations of the board and with the current mission of DBHDS, including the provision of person centered planning and the goals of recovery and self-determination for individuals receiving services. Updates will also ensure that the regulations reflect current standards of practice, statutes, and regulatory requirements.

Substance: The following changes have been proposed:

1. Revise language to reflect the concepts of person centered planning, recovery, and the empowerment of persons receiving services.

2. Update definitions for consistency with other regulations of the board and other state agencies.

3. Update requirements for consistency with mental health reform laws and to allow DBHDS to impose restrictions and requirements on applicants and providers during the provisional licensing period, including requiring disclosure of previous licenses and disciplinary actions, prohibiting provisional providers from adding new services, and adding criteria for denying or revoking a license.

4. Add provisions allowing DBHDS to stipulate on the license the special expertise of a provider, as established by DBHDS.

5. Eliminate the provision requiring an audit every three years and replace it with a provision that DBHDS may require an audit should the circumstances warrant it.

6. Remove the requirement that group homes must be inspected by the Virginia Department of Health. The DBHDS Office of Licensing will continue its routine inspections of kitchens in group homes as part of the licensing process.

7. Add a requirement for providers to designate a staff person to act as a community liaison to work with neighbors, local government, and the community.

8. Adjust the timeframe for submitting a certificate of occupancy and floor plan to be more economical for provider applicants.

9. Limit the occupancy of shared bedrooms in a Medicaid waiver group home to two individuals.

10. Reduce the maximum number of beds allowed in a community intermediate care/mental retardation facility (ICF/MR) from 20 to 12 beds.

11. Add a requirement for stocking a three-day supply of food as recommended by the Virginia Department of Emergency Management.

12. Delete or modify the specific references to and the definitions of Qualified Mental Health Professional (QMHP), Qualified Mental Retardation Professional (QMRP), Qualified Developmental Disabilities Professional, and Qualified Brain Injury Professional. The Department of Medical Assistance Services (DMAS) uses terms QMHP and QMRP for purposes that are not entirely consistent with these regulations. QMHP and QMRP have been replaced with descriptions of the required qualifications for individuals who supervise and are responsible for approval of assessments and individualized service plans (ISPs). These qualifications have been updated to allow appropriate experience to substitute for a degree.

13. Update the quality improvement process to require providers to obtain input from individuals receiving services about their satisfaction with their participation in individualized service plan (ISP) development.

14. Add a requirement that a history of trauma and abuse be included as part of the comprehensive assessment.

15. Allow for a state or federally sanctioned standardized assessment to substitute for the required assessment in the regulations as long as the standardized assessment incorporates certain health and safety issues.

16. Relocate to the beginning of the ISP section the requirement for the participation of the individual receiving services in the ISP development to stress the importance of this participation.

17.Clarify and strengthen the requirements for initial ISPs. The ISP is now required to be completed within 24 hours of admission and must address health, safety, and immediate service needs.

18. Increase the timeframe for completion of a comprehensive ISP from 30 to 60 days after admission under most conditions. The intention is to reduce paperwork for providers when individuals receive services for periods of less than 60 days.

19. Require that goals on ISPs be written in the language of the individual receiving services whenever possible.

20. Change terminology from "behavior management" to "behavior interventions."

21. Strengthen the requirements for sponsor residential homes. The regulations now outline the requirements for sponsor agreements.

22. Add requirements for licensing sponsor residential services for children according to a recent opinion from the Office of the Attorney General which indicated that DBHDS may license this service.

23. Enhance the requirements for case management services.

Issues: This action poses no disadvantages to the public or the Commonwealth. Several advantages have been identified. The regulations will be more consistent with the needs of individuals receiving services, providers, and the agency's mission. Clarification of regulatory requirements will facilitate their application and promote better understanding for users. Modifications were made to reduce implementation costs for providers and the agency whenever possible and resolve identified problem areas.

The Department of Planning and Budget's Economic Impact Analysis:

Summary of the Proposed Amendments to Regulation. The State Board of Behavioral Health and Developmental Services (Board) proposes to make several substantive amendments to its regulations governing licensure of non-residential care providers and residential facilities. Specifically, the Board proposes to:

• Update definitions (and other text throughout these regulations) to reflect current practices,

• Require applicants for licensure to disclose "the legal names and dates of any services licensed to the applicant in other states or in Virginia" as well as disciplinary actions or sanctions taken against the applicant (in relation to any previously licensed services) and any crimes of which the applicant has been convicted,

• Eliminate the requirement that food services at licensed group homes and community residential homes must be inspected and approved by local health department authorities,

• Eliminate the requirement that providers undergo an audit every three years and replace it with a statement that the Department of Behavioral Health and Developmental Services (DBHDS) may, at its discretion, ask for an audit,

• Eliminate the requirement that service locations that are not hooked into public water and sewer lines have their wells and septic fields inspected annually and replace it with a requirements that these service locations be in compliance with state and local laws for such inspections,

• Limit per bedroom occupancy in Medicaid waiver group homes licensed after the effective date of these proposed regulations to two individuals, and

• Limit maximum patient capacity of Intermediate Care Facility for the Mentally Retarded (ICF/MR) facilities licensed after the effective date of these proposed regulations to 12 individuals.

Result of Analysis. The benefits likely exceed the costs for several proposed changes. There is insufficient information to accurately gauge whether benefits will outweigh costs for several other of these proposed changes. The potential costs associated with further limiting maximum capacity of ICF/MR facilities, however, likely outweigh the potential benefits of making this change. All likely substantive costs and benefits are discussed below.

Estimated Economic Impact. Since these regulations were promulgated, common terminology amongst professionals who care for individuals who are mentally ill, mentally retarded or who have substance abuse issues has changed. The Board proposes to amend not only the definitions section in these regulations, but also language throughout all other sections, to reflect these changes; for instance, the Board proposes to insert the phrase intellectual disabilities next to each iteration of the phrase mental retardation because intellectual disabilities is more used by individuals who work with the disabled. These changes to language are not likely to increase costs for regulated entities but will likely provide the benefit of additional clarity (since regulatory language will more closely resemble language in common use in this field).

Current state law does not allow the Board to deny licensure to individuals on account of criminal record or sanctions or disciplinary actions levied against them with regard to other licenses that may have been held in the past; current regulations do not require disclosure of conviction or disciplinary action, either. The Board proposes to require that this information be disclosed on any application for licensure. The Board will not be able, at this point, to deny licensure to individuals who have been convicted of crimes or who have been subject to disciplinary action either in Virginia or any other state but they will be able to initiate disciplinary action (which may include loss of licensure) against licensees who fail to disclose this information.

This proposed change will not (absent legislative action) cost applicants with less than pristine past behavior the ability to engage in enterprise for which Board licensure is required but it will provide the benefit of additional information, both for the Board and for citizens who will be able to better choose service providers with this additional information. This proposed change will also allow the Board to discipline individuals who do not fully disclose information about past behavior and, so, may allow the Board to better protect client populations.

Current regulations require service providers that offer food services to have those food services inspected and approved by local health authorities. DBHDS reports that such inspections are not among the tasks that local health authorities normally perform. Since this requires licensees to obtain a service that is not available, the Board proposes to eliminate this provision. This regulatory change will benefit licensees in that it will conform these regulations to reality and clarify what is required of licensee for any entities who might choose to read them.

Current regulations require that licensed service providers have their financial records audited by a certified public accountant every three years. DBHDS reports that these audits usually cost service providers between $1,500 and $2,000. The Board proposes to eliminate the strict time frame for obtaining an audit and instead require that audits be done upon request of the Board. If the Board asks for audits less frequently than every three years, then this proposed change will likely benefit service providers. If, on the other hand, the Board asks for audits more frequently then every three years, this change will likely raise costs for service providers. In practice, the Board will likely ask for audits more frequently from some licensees and less frequently from others (because of complaints, appearance of financial struggle, etc). Whether this proposed change provides a net benefit for service providers as a whole will depend on whether the majority of service providers are audited less often or more often than every three years.

Current regulations require facilities that have septic systems or well water, or both, to inspect those systems on an annual basis. The Board proposes to eliminate this requirement. Instead, regulations will have language that indicates that facilities will have to follow applicable state and local laws. Since facilities are already subject to these laws, this proposed change will only remove any additional inspections imposed by the Board’s current regulations. Whether this change provides a benefit for regulated entities will depend on whether state and local laws require inspections less frequently than every year.

Current regulations do not contain a limit on the number of patients per bedroom for Medicaid waiver group homes. The Board proposes to limit group homes (licensed after the effective date of these proposed regulations) to only housing two patients per room. DBHDS reports that this change is being proposed to further therapeutic ends for patients. Patients who reside in these group homes often have sensory issues which cause them to react badly when surrounded by many people or much noise and confusion. This change may benefit patients who have the issues reported by DBHDS but will also decrease the flexibility that group homes currently have to house patients in the most efficient manner possible. This change will also give existing licensed facilities a competitive advantage over future group homes that will be differentially affected by this rule. DBHDS reports that waivers will be available so that more than two patients may be housed in a single room if it would not be adversely impact therapeutic outcomes. Whether this proposed change proves to be a net benefit for patients and licensees will depend on how much patients benefit and how responsive the Board is in issuing waivers.

Current regulations set the maximum capacity for ICF/MR facilities at 20 patients. The Board proposes to lower this capacity for facilities that are licensed after the effective date of these proposed regulations to a maximum of 12 patients. This proposed change would reduce the operational flexibility for facilities licensed in the future and would increase the per patient overhead costs for facilities that would choose to take in more than 12 patients but will be precluded from doing so. DBHDS reports that there are currently four facilities that house more than 12 patients and that facilities must obtain a certificate of public need (COPN) if they plan to house more than 12 patients. DBHDS further reports that there is no evidence that larger facilities are more unsafe or that patients in those facilities have worse outcomes. This change will also give existing licensed facilities a competitive advantage over future group homes that will be differentially affected by this rule. Costs will likely outweigh benefits for this proposed change.

Businesses and Entities Affected. DBHDS reports that the Board currently licenses 524 facilities, 484 of which qualify as small businesses. All of these licensees and the clients that they serve will be affected by these proposed regulations.

Localities Particularly Affected. No locality will be particularly affected by this proposed regulatory action.

Projected Impact on Employment. The proposal to further limit capacity of IFC/MR facilities licensed in the future may artificially lower demand for the labor of individuals who would be hired if these facilities were working under current rules. This might limit growth in employment in these fields.

Effects on the Use and Value of Private Property. The proposal to further limit capacity of IFC/MR facilities licensed in the future will likely increase per patient costs (compared to costs for current facilities. This will put such facilities at a competitive disadvantage and will likely limit profits for such facilities.

Small Businesses: Costs and Other Effects. The proposal to further limit capacity of IFC/MR facilities licensed in the future will likely increase per patient costs (compared to costs for current facilities. This will put such facilities at a competitive disadvantage and will likely limit profits for such facilities. DBHDS reports that 484 of the facilities licensed by the Board qualify as small businesses.

Small Businesses: Alternative Method that Minimizes Adverse Impact. The extra costs incurred by small businesses licensed in the future would be further minimized if maximum capacity for ICF/MR facilities were not lowered by 40%.

Real Estate Development Costs. This regulatory action will likely have no effect on real estate development costs in the Commonwealth.

Legal Mandate. The Department of Planning and Budget (DPB) has analyzed the economic impact of this proposed regulation in accordance with § 2.2-4007.04 of the Administrative Process Act and Executive Order Number 36 (06). Section 2.2-4007.04 requires that such economic impact analyses include, but need not be limited to, the projected number of businesses or other entities to whom the regulation would apply, the identity of any localities and types of businesses or other entities particularly affected, the projected number of persons and employment positions to be affected, the projected costs to affected businesses or entities to implement or comply with the regulation, and the impact on the use and value of private property. Further, if the proposed regulation has adverse effect on small businesses, § 2.2-4007.04 requires that such economic impact analyses include (i) an identification and estimate of the number of small businesses subject to the regulation; (ii) the projected reporting, recordkeeping, and other administrative costs required for small businesses to comply with the regulation, including the type of professional skills necessary for preparing required reports and other documents; (iii) a statement of the probable effect of the regulation on affected small businesses; and (iv) a description of any less intrusive or less costly alternative methods of achieving the purpose of the regulation. The analysis presented above represents DPB's best estimate of these economic impacts.

Agency's Response to the Department of Planning and Budget's Economic Impact Analysis: The agency concurs with the economic impact analysis prepared by the Department of Planning and Budget.

Summary:

The proposed amendments (i) update definitions and text of the regulations to reflect current practices as well as relevant laws and regulations; (ii) require applicants for licensure to disclose other services licensed to the applicant in other states or Virginia, disciplinary actions or sanctions taken against the applicant in relation to any previously licensed service, and any criminal convictions; (iii) strengthen the ability to take disciplinary action or impose restrictions when providers fail to comply with licensing standards and to deny licenses to applicants under certain conditions; (iv) eliminate the local health department inspection and approval requirement for food services at licensed group homes and community residential homes; (v) eliminate the periodic audit requirement and replace it with a statement that the Department of Behavioral Health and Developmental Services may ask for an audit at its discretion; (vi) eliminate the wells and septic fields annual inspection for service locations not hooked into public water and sewer lines and replace it with a requirement to comply with state and local laws for such inspections; (vii) limit the per bedroom occupancy in Medicaid waiver group homes licensed after the effective date of these proposed regulations to two individuals; and (viii) limit the maximum patient capacity of a community intermediate care/mental retardation facility licensed after the effective date of these proposed regulations to 12 individuals.

CHAPTER 105
RULES AND REGULATIONS FOR THE LICENSING OF PROVIDERS OF MENTAL HEALTH, MENTAL RETARDATION, SUBSTANCE ABUSE, THE INDIVIDUAL AND FAMILY DEVELOPMENTAL DISABILITIES SUPPORT WAIVER, AND RESIDENTIAL BRAIN INJURY BY THE DEPARTMENT OF BEHAVIORAL HEALTH AND DEVELOPMENTAL SERVICES

Part I
General Provisions

Article 1
Authority and Applicability

12VAC35-105-10. Authority and applicability.

A. Section 37.1-179.1 37.2-404 of the Code of Virginia authorizes the commissioner to license providers subject to rules and regulations promulgated adopted by the State Mental Health, Mental Retardation and Substance Abuse Services Board of Behavioral Health and Developmental Services.

B. No provider shall establish, maintain, conduct or operate any service for persons with mental illness or mental retardation or persons with substance addiction or abuse without first receiving a license from the commissioner.

Article 2.
Definitions

12VAC35-105-20. Definitions.

The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:

"Abuse" (§ 37.2-100 of the Code of Virginia) means any act or failure to act by an employee or other person responsible for the care of an individual receiving services in a facility or program operated, licensed, or funded by the department, excluding those operated by the Virginia Department of Corrections, that was performed or was failed to be performed knowingly, recklessly, or intentionally, and that caused or might have caused physical or psychological harm, injury, or death to an individual a person receiving services care or treatment for mental illness, mental retardation (intellectual disability), or substance abuse (substance use disorder). Examples of abuse include, but are not limited to, the following acts such as:

1. Rape, sexual assault, or other criminal sexual behavior;

2. Assault or battery;

3. Use of language that demeans, threatens, intimidates, or humiliates the person;

4. Misuse or misappropriation of the person's assets, goods, or property;

5. Use of excessive force when placing a person in physical or mechanical restraint;

6. Use of physical or mechanical restraints on a person that is not in compliance with federal and state laws, regulations, and policies, professional accepted standards of practice, or the person's individual service individualized services plan;

7. Use of more restrictive or intensive services or denial of services to punish the person or that is not consistent with his individual service individualized services plan.

"Activities of daily living" or "ADLs" means personal care activities and include bathing, dressing, transferring, toileting, grooming, hygiene, feeding, and eating. An individual's degree of independence in performing these activities is part of determining the appropriate level of care and services.

"Admission" means the process of acceptance into a service that includes orientation to service goals, rules and requirements, and assignment to appropriate employees as defined by the provider's policies.

"Authorized representative" means a person permitted by law or the Rules and Regulations to Assure Rights of Individuals Receiving Services from Providers Licensed, Funded, or Operated by the Department of Behavioral Health and Developmental Services (12VAC35-115) to authorize the disclosure of information or consent to treatment and services or the participation in human research.

"Behavior management intervention" means those principles and methods employed by a provider to help an individual receiving services to achieve a positive outcome and to address and correct inappropriate challenging behavior in a constructive and safe manner. Behavior management intervention principles and methods must be employed in accordance with the individualized service services plan and written policies and procedures governing service expectations, treatment goals, safety, and security.

"Behavioral treatment" or "positive behavior support program" means any set of documented procedures that are an integral part of the interdisciplinary treatment plan and are developed on the basis of a systemic data collection such as a functional assessment for the purpose of assisting an individual receiving services to achieve any or all of the following: (i) improved behavioral functioning and effectiveness; (ii) alleviation of the symptoms of psychopathology; or (iii) reduction of serious behaviors. A behavioral treatment program can also be referred to as a behavioral treatment plan or behavioral support plan.

"Behavioral treatment plan," "functional plan," or "behavioral support plan" means any set of documented procedures that are an integral part of the individualized services plan and are developed on the basis of a systematic data collection, such as a functional assessment, for the purpose of assisting individuals to achieve:

1. Improved behavioral functioning and effectiveness;

2. Alleviation of symptoms of psychopathology; or

3. Reduction of challenging behaviors.

"Brain injury" means any injury to the brain that occurs after birth, but before age 65, that is acquired through traumatic or nontraumatic insults. Nontraumatic insults may include, but are not limited to, anoxia, hypoxia, aneurysm, toxic exposure, encephalopathy, surgical interventions, tumor, and stroke. Brain injury does not include hereditary, congenital, or degenerative brain disorders, or injuries induced by birth trauma.

"Brain Injury Waiver" means a Virginia Medicaid home and community-based waiver for persons with brain injury approved by the Centers for Medicare and Medicaid Services.

"Care" or "treatment" means a set of individually planned interventions, training, habilitation, or supports that help an individual obtain or maintain an optimal level of functioning, reduce the effects of disability or discomfort, or ameliorate symptoms, undesirable changes or conditions specific to physical, mental, behavioral, cognitive, or social functioning the individually planned, sound, and therapeutic interventions that conform to current acceptable professional practice and that are intended to improve or maintain functioning of an individual receiving services delivered by a provider.

"Case management service" means assisting assistance to individuals and their families to access family members in assessing needed services and supports that are essential to meeting their basic needs identified in their individualized service plan, which include not only accessing needed mental health, mental retardation and substance abuse services, but also any medical, nutritional, social, educational, vocational and employment, housing, economic assistance, transportation, leisure and recreational, legal, and advocacy services and supports that the individual needs to function in a community setting responsive to the person's individual needs. Case management services include: identifying and reaching out to potential users of the service; assessing needs and planning services; linking the individual to services and supports; assisting the individual directly to locate, develop, or obtain needed services and resources; coordinating services with other providers; enhancing community integration; making collateral contacts; monitoring service delivery; discharge planning; and advocating for individuals in response to their changing needs. Maintaining waiting lists for services, case management tracking and periodically contacting individuals for the purpose of determining the potential need for services shall be considered screening and referral and not admission into licensed case management. The term "case management service" does not include maintaining service waiting lists or periodically contacting or tracking individuals to determine potential service needs.

"Clubhouse service" means the provision of recovery-oriented psychosocial rehabilitation services in a nonresidential setting on a regular basis not less than two hours per day, five days per week, in which clubhouse members and employees work together in the development and implementation of structured activities involved in the day-to-day operation of the clubhouse facilities and in other social and employment opportunities through skills training, peer support, vocational rehabilitation, and community resource development.

"Commissioner" means the Commissioner of the Department of Mental Behavioral Health, Mental Retardation and Substance Abuse Services or his authorized agent Developmental Services.

"Community gero-psychiatric residential services" means 24-hour nonacute care in conjunction with treatment provided to individuals with mental illness, behavioral problems, and concomitant health problems who are usually age 65 or older in a geriatric setting that provides is less intensive services than a psychiatric hospital, but more intensive mental health services than a nursing home or group home. Individuals with mental illness, behavioral problems, and concomitant health problems (usually age 65 and older), appropriately treated in a geriatric setting, are provided Services include assessment and individualized services planning by an interdisciplinary services team, intense supervision, psychiatric care, behavioral treatment planning and behavioral interventions, nursing, and other health related services. An Interdisciplinary Services Team assesses the individual and develops the services plan.

"Community intermediate care facility/mental retardation (ICF/MR)" means a service residential facility licensed by the Department of Mental Health, Mental Retardation, and Substance Abuse Services in which care is provided in which care is provided to individuals who have mental retardation (intellectual disability) or a developmental disability due to brain injury who are not in need of nursing care, but who need more intensive training and supervision than may be available in an assisted living facility or group home. Such facilities must shall comply with Title XIX of the Social Security Act standards and federal certification requirements, provide health or rehabilitative services, and provide active treatment to individuals receiving services toward the achievement of a more independent level of functioning or an improved quality of life.

"Complaint" means an allegation brought to the attention of the department that a licensed provider violated of a violation of these regulations or a provider's policies and procedures related to these regulations.

"Co-occurring disorders" means the presence of more than one and often several of the following disorders that are identified independently of one another and are not simply a cluster of symptoms resulting from a single disorder: mental illness, mental retardation (intellectual disability), or substance use disorder; brain injury; or developmental disability.

"Co-occurring services" means individually planned, sound, and therapeutic treatment that addresses in an integrated concurrent manner the service needs of individuals who have co-occurring disorders who have an established diagnosis in one domain such as mental illness, mental retardation (intellectual disability), substance abuse disorder, developmental disability, or brain injury and signs or symptoms of an evolving disorder in another domain; or who present acute signs or symptoms of a co-occurring condition.

"Consumer service plan" or "CSP" means that document addressing all needs of recipients of home and community-based care developmental disability services (IFDDS Waiver), in all life areas. Supporting documentation developed by service providers is to be incorporated in the CSP by the support coordinator. Factors to be considered when these plans are developed may include, but are not limited to, recipient ages, level of functioning, and preferences.

"Corrective action plan" means the provider's pledged corrective action in response to noncompliances cited areas of noncompliance documented by the regulatory authority. A corrective action plan must be completed within a specified time.

"Correctional facility" means a facility operated under the management and control of the Virginia Department of Corrections.

"Corporal punishment" means punishment administered through the intentional inflicting of pain or discomfort to the an individual's body (i) through actions such as, but not limited to, striking or hitting the individual with any part of the body or with an implement; (ii) through pinching, pulling or shaking; or (iii) through any similar action that normally inflicts pain or discomfort to the individual.

"Crisis" means a situation in which an individual presents an immediate danger to self or others or is at risk of serious mental or physical health deterioration that produces emotional, mental, physical, medical, or behavioral distress or challenges; or any situation or circumstance in which the individual perceives or experiences a sudden loss of his ability to use effective problem-solving and coping skills.

"Crisis stabilization" means direct, intensive intervention to individuals who are experiencing serious psychiatric or behavioral problems, or both, that jeopardize their current community living situation. This service shall include temporary intensive services and supports that avert emergency psychiatric hospitalization or institutional placement or prevent out-of-home placement. This service shall be designed to stabilize recipients and strengthen the current living situations so that individuals can be maintained in the community during and beyond the crisis period nonresidential ambulatory or residential direct care and treatment to nonhospitalized individuals experiencing an acute crisis that may jeopardize their current community living situation. Crisis stabilization is intended to avert hospitalization or rehospitalization; provide normative environments with a high assurance of safety and security for crisis intervention; stabilize individuals in crisis; and mobilize the resources of the community support system, family members, and others for ongoing rehabilitation and recovery.

"Day support service" means the provision of individualized planned activities, supports, training, supervision, and transportation to individuals with mental retardation or related conditions, or brain injury, to improve functioning or maintain an optimal level of functioning structured programs of treatment, activity, or training services generally in clusters of two or more continuous hours per day provided to groups or individuals in nonresidential (center-based) settings or in the community (noncenter-based) settings. Services may Day support services may provide opportunities for peer interaction and community integration and are designed to enhance the following skills: self-care and hygiene, eating, toileting, task learning, community resource utilization, environmental and behavioral skills, social skills, medication management, prevocational skills, and transportation skills. Services provide opportunities for peer interaction and community integration. Services may be provided in a facility (center based) or provided out in the community (noncenter based). Services are provided for two or more consecutive hours per day. The term "day support service" does not include services in which the primary function is to provide extended sheltered or competitive employment, supported or transitional employment-related services, general education educational services, or general recreational services, or outpatient services licensed pursuant to this chapter.

"Day treatment services" means the provision of coordinated, intensive, comprehensive, and multidisciplinary treatment to individuals through a combination of diagnostic, medical, psychiatric, case management, psychosocial rehabilitation, prevocational and educational services. Services are provided for two or more consecutive hours per day treatment that includes the major diagnostic, medical, psychiatric, psychosocial, and prevocational and educational treatment modalities designed for adults with serious mental illnesses or substance use or co-occurring disorders who require coordinated, intensive, comprehensive, and multidisciplinary treatment that is not provided in outpatient services. Partial hospitalization is a type of day treatment service. See definitions of "therapeutic day treatment services for children and adolescents" and "partial hospitalization."

"Department" means the Virginia Department of Mental Health, Mental Retardation Behavioral Health and Substance Abuse Developmental Services.

"Discharge" means the process by which the individual's active involvement with a provider is terminated by the provider or individual.

"Discharge plan" means the written plan that establishes the criteria for an individual's discharge from a service and identifies and coordinates planning for aftercare delivery of any services needed after discharge.

"Dispense" means to deliver a drug to an ultimate user by or pursuant to the lawful order of a practitioner, including the prescribing and administering, packaging, labeling or compounding necessary to prepare the substance for that delivery. (§ 54.1-3400 et seq. of the Code of Virginia.)

"Emergency service" means mental health, mental retardation or substance abuse services available unscheduled and sometimes scheduled crisis intervention, stabilization, and referral assistance provided over the telephone or face-to-face, if indicated, 24 hours a day and seven days per week that provide crisis intervention, stabilization, and referral assistance over the telephone or face-to-face for individuals seeking services for themselves or others. Emergency services also may include walk-ins, home visits, jail interventions, pre-admission screenings, preadmission and other screening activities designed to stabilize an individual within the setting most appropriate to the individual's current condition associated with judicial admission to a state hospital, inpatient or crisis stabilization unit, training center, or other activities associated with the judicial admission process, such as mandatory outpatient treatment orders.

"Group home or community residential service" means a congregate residential service providing 24-hour supervision in a community-based, home-like dwelling. These services are provided for individuals needing assistance Services include supervision, supports, counseling, and training in activities of daily living or for individuals whose service plan identifies the need for the specific type types of supervision or counseling services available in this setting. Section 15.2-2291 of the Code of Virginia defines group homes for zoning purposes as having eight or fewer residents.

"Home and noncenter based" means that a service is provided in the individual's home or other noncenter-based setting. This includes but is not limited to noncenter-based day support, supportive in-home, and intensive in-home services.

"IFDDS Waiver" means the Individual and Family Developmental Disabilities Support Waiver.

"Individual" or "individual receiving services" means a person receiving care or treatment or other services from a provider that are licensed under this chapter whether that person is referred to as a patient, consumer, client, resident, student, individual, recipient, family member, relative, or other term. When the term is used, the requirement applies to every individual receiving services of the provider.

"Individualized services plan" or "ISP" means a comprehensive and regularly updated written plan of action to meet the needs and preferences of an individual that describes the individual's needs, the measurable goals and objectives to address those needs, and strategies to reach the individual's goals. An ISP is person-centered, empowers the individual, and is designed to meet the needs and preferences of the individual. The ISP is developed through a partnership between the individual and the provider and includes an individual's treatment plan, habilitation plan, person-centered plan, or plan of care.

"Initial assessment" means an assessment conducted prior to or at admission to determine whether the individual meets the service's admission criteria; what the individual's immediate service, health, and safety needs are; and whether the provider has the capability and staffing to provide the needed services.

"Inpatient psychiatric service" means a intensive 24-hour intensive medical, nursing care, and treatment services provided for to individuals with mental illness illnesses or problems with substance abuse use disorders in a hospital as defined in § 32.1-123 of the Code of Virginia or in a special unit of such a hospital.

"Instrumental activities of daily living" or "IADLs" means meal preparation, housekeeping, laundry, and managing money. A person's degree of independence in performing these activities is part of determining appropriate level of care and services.

"Intensive Community Treatment (ICT) service" means a self-contained interdisciplinary team of at least five full-time equivalent clinical staff, a program assistant, and a full-time psychiatrist that:

1. Assumes responsibility for directly providing needed treatment, rehabilitation, and support services to identified individuals with severe and persistent mental illnesses especially those who have severe symptoms that are not effectively remedied by available treatments or who because of reasons related to their mental illness resist or avoid involvement with mental health services;

2. Minimally refers individuals to outside service providers;

3. Provides services on a long-term care basis with continuity of caregivers over time;

4. Delivers 75% or more of the services outside program offices; and

5. Emphasizes outreach, relationship building, and individualization of services.

The individuals to be served by ICT are individuals who have severe symptoms and impairments not effectively remedied by available treatments or who, because of reasons related to their mental illness, resist or avoid involvement with mental health services.

"Intensive in-home service" means family preservation interventions for children and adolescents who have or are at-risk of serious emotional disturbance, including such individuals who also have a diagnosis of mental retardation (intellectual disability). Services are Intensive in-home service is usually time-limited and is provided typically in the residence of an individual who is at risk of being moved to out-of-home placement or who is being transitioned back home from an out-of-home placement. These services include The service includes 24-hour per day emergency response; crisis treatment; individual and family counseling; life, parenting, and communication skills; and case management activities and coordination with other services; and emergency response.

"Intensive outpatient service" means treatment provided in a concentrated manner (involving multiple outpatient visits per week) over a period of time for individuals requiring intensive outpatient stabilization. These services usually Intensive outpatient services include multiple group therapy sessions during the week, individual and family therapy, individual monitoring, and case management.

"Investigation" means a detailed inquiry or systematic examination of the operations of a provider or its services regarding a violation of regulations or law. An investigation may be undertaken as a result of a complaint, an incident report or other information that comes to the attention of the department.

"Legally authorized representative" means a person permitted by law to give informed consent for disclosure of information and give informed consent to treatment, including medical treatment, and participation in human research for an individual who lacks the mental capacity to make these decisions.

"Licensed mental health professional (LMHP)" means a physician, licensed clinical psychologist, licensed professional counselor, licensed clinical social worker, licensed substance abuse treatment practitioner, licensed marriage and family counselor, or certification as a certified psychiatric clinical nurse specialist.

"Location" means a place where services are or could be provided.

"Managed withdrawal services" means detoxification services to eliminate or reduce the effects of alcohol or other drugs in the individual's body.

"Mandatory outpatient treatment order" means an order issued by the court pursuant to § 37.2-817 D of the Code of Virginia.

"Medical detoxification" means a service provided in a hospital or other 24-hour care facility, under the supervision of medical personnel using medication to systematically eliminate or reduce effects of alcohol or other drugs in the individual's body.

"Medical evaluation" means the process of assessing an individual's health status that includes a medical history and a physical examination of an individual conducted by a licensed medical practitioner operating within the scope of his license.

"Medication" means prescribed or over-the-counter drugs or both.

"Medication administration" means the direct application of medications by injection, inhalation, or ingestion or any other means to an individual receiving services by (i) persons legally permitted to administer medications or (ii) the individual at the direction and in the presence of persons legally permitted to administer medications.

"Medication error" means that an error has been made in administering a medication to an individual when any of the following occur: (i) the wrong medication is given to an individual, such as (ii) the wrong individual is given the medication, (iii) the wrong dosage is given to an individual, (iv) medication is given to an individual at the wrong time or not at all, or (v) the proper method is not used to give the medication to the individual.

"Medication storage" means any area where medications are maintained by the provider, including a locked cabinet, locked room, or locked box.

"Mental Health Community Support Service (MHCSS)" means the provision of recovery-oriented psychosocial rehabilitation services to individuals with long-term, severe psychiatric disabilities including. MHCSS include skills training and assistance in accessing and effectively utilizing services and supports that are essential to meeting the needs identified in their the individualized service services plan and development of environmental supports necessary to sustain active community living as independently as possible. MHCSS Services are may be provided in any setting in which the individual's needs can be addressed, skills training applied, and recovery experienced.

"Mental illness" means a disorder of thought, mood, emotion, perception, or orientation that significantly impairs judgment, behavior, capacity to recognize reality, or ability to address basic life necessities and requires care and treatment for the health, safety, or recovery of the individual or for the safety of others.

"Mental retardation (intellectual disability)" means substantial a disability originating before the age of 18 years characterized concurrently by (i) significantly subaverage general intellectual functioning as demonstrated by performance on a standardized measure of intellectual functioning administered in conformity with accepted professional practice that is at least two standard deviations below the mean; and (ii) that originates during the development period and is associated with impairment significant limitations in adaptive behavior as expressed in conceptual, social, and practical adaptive skills (§ 37.2-100 of the Code of Virginia). It exists concurrently with related limitations in two or more of the following applicable adaptive skill areas: communication, self-care, home living, social skills, community use, self-direction, health and safety, functional academics, leisure, and work. According to the American Association on Intellectual and Developmental Disabilities (AAIDD) definition, these impairments should be assessed in the context of the individual's environment, considering cultural and linguistic diversity as well as differences in communication, and sensory motor and behavioral factors. Within an individual, limitations often coexist with strengths. The purpose of describing limitations is to develop a profile of needed supports. With personalized supports over a sustained period, the functioning of an individual will improve. In some organizations, the term "intellectual disability" is used instead of "mental retardation."

"Mentally ill" means any person afflicted with mental disease to such an extent that for his own welfare or the welfare of others he requires care and treatment, or with mental disorder or functioning classifiable under the diagnostic criteria from the Diagnostic and Statistical Manual of Mental Disorders of the American Psychiatric Association, Fourth Edition, 1994, that affects the well-being or behavior of an individual.

"Neglect" means the failure by an individual or provider responsible for providing services to provide nourishment, treatment, care, goods, or services necessary to the health, safety or welfare of a person receiving care or treatment for mental illness, mental retardation or substance abuse (§ 37.2-100 of the Code of Virginia). This definition of neglect also applies to individuals receiving in-home support, crisis stabilization, and day support under the IFDDS or Brain Injury Waiver and individuals receiving residential brain injury services a program or facility operated, licensed, or funded by the department, excluding those operated by the Department of Corrections, responsible for providing services to do so, including nourishment, treatment, care, goods, or services necessary to the health, safety, or welfare of a person receiving care or treatment for mental illness, mental retardation (intellectual disability), or substance abuse.

"Neurobehavioral services" means the assessment, evaluation, and treatment of cognitive, perceptual, behavioral, and other impairments caused by brain injury that affect an individual's ability to function successfully in the community.

"Opioid treatment service" means an intervention strategy that combines treatment with the administering or dispensing of opioid agonist treatment medication. An individual-specific, physician-ordered dose of medication is administered or dispensed either for detoxification or maintenance treatment.

"Outpatient service" means a variety of treatment interventions generally provided to individuals, groups or families on an hourly schedule, on an individual, group, or family basis, and usually in a clinic or similar facility or in another location. Outpatient services may include, but are not limited to, emergency services, crisis intervention services, diagnosis and evaluation, intake and screening, counseling, psychotherapy, behavior management, psychological testing and assessment, chemotherapy and medication management services, and jail based services diagnosis and evaluation, screening and intake, counseling, psychotherapy, behavior management, psychological testing and assessment, laboratory and other ancillary services, medical services, medication services, and, jail and detention-based services. "Outpatient service" specifically includes:

1. Services operated by a community services board established pursuant to Chapter 5 (§ 37.2-500 et seq.) of Title 37.2 of the Code of Virginia;

2. Services funded wholly or in part, directly or indirectly, by a community services board or a behavioral health authority established pursuant to Chapter 5 (§ 37.2-500 et seq.) or Chapter 6 (§ 37.2-600 et seq.) of Title 37.2 of the Code of Virginia; or

3. Services that are owned, operated, or controlled by a corporation organized pursuant to the provisions of either Chapter 9 (§ 13.1-601 et seq.) or Chapter 10 (§ 13.1-801 et seq.) of Title 13.1 of the Code of Virginia.

"Partial hospitalization service" means the provision within a medically supervised setting of day treatment services that are time-limited active treatment interventions, more intensive than outpatient services, designed to stabilize and ameliorate acute symptoms, and serve as an alternative to inpatient hospitalization or to reduce the length of a hospital stay. Partial hospitalization is focused on individuals at risk of hospitalization or who have been recently discharged from an inpatient setting.

"Person-centered" means focusing on the needs and preferences of the individual; empowering and supporting the individual in defining the direction for his life; and promoting self-determination, community involvement, and recovery.

"Plan of care" means a document addressing all needs of recipients of home and community-based care developmental disability services (IFDDS Waiver) in all life areas. It includes supporting documentation developed by service providers. Factors considered in developing this plan may include recipient ages, level of functioning, and preferences.

"Program of Assertive Community Treatment (PACT) service" means a self-contained interdisciplinary team of at least 10 full-time equivalent clinical staff, a program assistant, and a full- or part-time psychiatrist that:

1. Assumes responsibility for directly providing needed treatment, rehabilitation, and support services to identified individuals with severe and persistent mental illnesses;, especially those who have severe symptoms that are not effectively remedied by available treatments or who because of reasons related to their mental illness resist or avoid involvement with mental health services;

2. Minimally refers individuals to outside service providers;

3. Provides services on a long-term care basis with continuity of caregivers over time;

4. Delivers 75% or more of the services outside program offices; and

5. Emphasizes outreach, relationship building, and individualization of services.

The individuals to be served by PACT are individuals who have severe symptoms and impairments not effectively remedied by available treatments or who, because of reasons related to their mental illness, resist or avoid involvement with mental health services.

"Provider" means any person, entity or organization, excluding an agency of the federal government by whatever name or designation, that delivers (i) services to persons with mental illness, mental retardation (intellectual disability), or substance abuse;, (ii) services to persons who receive day support, in-home support, or crisis stabilization services funded through the IFDDS Waiver;, (iii) services to persons under the Brain Injury Waiver;, or (iv) residential services for persons with brain injury. The person, entity or organization shall include a hospital as defined in § 32.1-123 of the Code of Virginia, community services board, behavioral health authority, private provider, and any other similar or related person, entity or organization. It shall not include any individual practitioner who holds a license issued by a health regulatory board of the Department of Health Professions or who is exempt from licensing pursuant to §§ 54.1-2901, 54.1-3001, 54.1-3501, 54.1-3601 and 54.1-3701 of the Code of Virginia.

"Psychosocial rehabilitation service" means care or treatment for individuals with long-term, severe psychiatric disabilities, which is designed to improve their quality of life by assisting them to assume responsibility over their lives and to function as actively and independently in society as possible, through the strengthening of individual skills and the development of environmental supports necessary to sustain community living the process of providing assessment, medication education, opportunities to learn and use independent living skills and enhance social and interpersonal skills, opportunities for vocational and other education, family support and education, and advocacy in a supportive community environment focusing on normalization. It emphasizes strengthening the individual's ability to deal with everyday life rather than focusing on the treatment of pathological conditions. Psychosocial rehabilitation includes skills training, peer support, vocational rehabilitation, and community resource development oriented toward empowerment, recovery, and competency.

"Qualified Brain Injury Professional (QBIP)" means a clinician in the health professions who is trained and experienced in providing brain injury services to individuals who have a brain injury diagnosis including a (i) physician: a doctor of medicine or osteopathy; (ii) psychiatrist: a doctor of medicine or osteopathy, specializing in psychiatry and licensed in Virginia; (iii) psychologist: a person with a master's degree in psychology from a college or university with at least one year of clinical experience; (iv) social worker: a person with at least a bachelor's degree in human services or related field (social work, psychology, psychiatric rehabilitation, sociology, counseling, vocational rehabilitation, human services counseling, or other degree deemed equivalent to those described) from an accredited college, with at least two years of clinical experience providing direct services to individuals with a diagnosis of brain injury; (v) certified brain injury specialist; (vi) registered nurse licensed in Virginia with at least one year of clinical experience; or (vii) any other licensed rehabilitation professional with one year of clinical experience.

"Qualified Developmental Disabilities Professional (QDDP)" means an individual possessing at least one year of documented experience working directly with individuals who have related conditions and is one of the following: a doctor of medicine or osteopathy, a registered nurse, or an individual holding at least a bachelor's degree in a human service field including, but not limited to, sociology, social work, special education, rehabilitation counseling, or psychology.

"Qualified Mental Health Professional (QMHP)" means a clinician in the health professions a person working in a PACT or ICT who is trained and experienced in providing psychiatric or mental health services to individuals who have a psychiatric diagnosis; including a (i) physician: a doctor of medicine or osteopathy; (ii) psychiatrist: a doctor of medicine or osteopathy, specializing in psychiatry and licensed in Virginia; (iii) psychologist: an individual with a master's degree in psychology from a college or university with at least one year of clinical experience; (iv) social worker: an individual with at least a bachelor's degree in human services or related field (social work, psychology, psychiatric rehabilitation, sociology, counseling, vocational rehabilitation, human services counseling or other degree deemed equivalent to those described) from an accredited college and with at least one year of clinical experience providing direct services to persons with a diagnosis of mental illness; (v) Registered Psychiatric Rehabilitation Provider (RPRP) registered with the International Association of Psychosocial Rehabilitation Services (IAPSRS) United States Psychiatric Rehabilitation Association (USPRA); (vi) registered nurse licensed in the Commonwealth of Virginia with at least one year of clinical experience; or (vii) any other licensed mental health professional.

"Qualified Mental Retardation Professional (QMRP)" means an individual possessing at least one year of documented experience working directly with individuals who have mental retardation or other developmental disabilities and is one of the following: a doctor of medicine or osteopathy, a registered nurse, or holds at least a bachelor's degree in a human services field including, but not limited to, sociology, social work, special education, rehabilitation counseling, and psychology.

"Qualified Paraprofessional in Brain Injury (QPPBI)" means an individual with at least a high school diploma and two years experience working with individuals with disabilities.

"Qualified Paraprofessional in Mental Health (QPPMH)" means an individual a person who must, at a minimum, meet one of the following criteria: (i) registered with the International Association of Psychosocial Rehabilitation Services (IAPSRS) as an Associate Psychiatric Rehabilitation Provider (APRP); (ii) an Associate's Degree in a related field (social work, psychology, psychiatric rehabilitation, sociology, counseling, vocational rehabilitation, human services counseling) and at least one year of experience providing direct services to persons with a diagnosis of mental illness; or (iii) a minimum of 90 hours classroom training and 12 weeks of experience under the direct personal supervision of a QMHP providing services to persons with mental illness and at least one year of experience (including the 12 weeks of supervised experience).

"Recovery" means a journey of healing and transformation enabling an individual with a mental illness to live a meaningful life in a community of his choice while striving to achieve his full potential. For individuals with substance use disorders, recovery is an incremental process leading to positive social change and a full return to biological, psychological, and social functioning. For individuals with mental retardation (intellectual disability), the concept of recovery does not apply in the sense that persons with mental retardation (intellectual disability) will need supports throughout their entire life although these may change over time. With supports, individuals with mental retardation (intellectual disability) are capable of living lives that are fulfilling and satisfying and that bring meaning to themselves and others that they know.

"Referral" means the process of directing an applicant or an individual to a provider or service that is designed to provide the assistance needed.

"Related conditions" or "developmental disabilities" means autism or a severe, chronic disability that meets all of the following conditions identified in 42 CFR 435.1009:

1. Attributable to cerebral palsy, epilepsy or any other condition, other than mental illness, that is found to be closely related to mental retardation (intellectual disability) because this condition results in impairment of general intellectual functioning or adaptive behavior similar to behavior of persons with mental retardation (intellectual disability), and requires treatment or services similar to those required for these persons;

2. Manifested before the person reaches age 22;

3. Likely to continue indefinitely; and

4. Results in substantial functional limitations in three or more of the following areas of major life activity:

a. Self-care;

b. Understanding and use of language;

c. Learning;

d. Mobility;

e. Self-direction; or

f. Capacity for independent living.

"Residential crisis stabilization service" means (i) providing short-term, intensive treatment to individuals who require multidisciplinary treatment in order to stabilize acute psychiatric symptoms and prevent admission to a psychiatric inpatient unit; (ii) providing normative environments with a high assurance of safety and security for crisis intervention; and (iii) mobilizing the resources of the community support system, family members, and others for ongoing rehabilitation and recovery.

"Residential service" means a category of service providing 24-hour care support in conjunction with care and treatment or a training program in a setting other than a hospital or training center. Residential services provide a range of living arrangements from highly structured and intensively supervised to relatively independent requiring a modest amount of staff support and monitoring. Residential services include, but are not limited to: residential treatment, group or community homes, supervised living, residential crisis stabilization, community gero-psychiatric residential, community intermediate care facility-MR, sponsored residential homes, medical and social detoxification, neurobehavioral services, and substance abuse residential treatment for women and children.

"Residential treatment service" means providing an intensive and highly structured mental health, substance abuse, or neurobehavioral service, or services for co-occurring disorders in a residential setting, other than an inpatient service.

"Respite care service" means providing for a short-term, time limited period of care of an individual for the purpose of providing relief to the individual's family, guardian, or regular care giver. Individuals providing respite care are recruited, trained, and supervised by a licensed provider. These services may be provided in a variety of settings including residential, day support, in-home, or in a sponsored residential home.

"Restraint" means the use of an approved a mechanical device, medication, physical intervention, or hands-on hold, or pharmacologic agent to involuntarily prevent an individual receiving services from moving his body to engage in a behavior that places him or others at imminent risk. This term includes restraints used for behavioral, medical, or protective purposes. There are three kinds of restraints:

1. A restraint used for "behavioral" purposes means the use of an approved physical hold, a psychotropic medication, or a mechanical device that is used for the purpose of controlling behavior or involuntarily restricting the freedom of movement of the individual in an instance in which there is an imminent risk of an individual harming himself or others, including staff; when nonphysical interventions are not viable; and safety issues require an immediate response.

2. A restraint used for "medical" purposes means the use of an approved mechanical or physical hold to limit the mobility of the individual for medical, diagnostic, or surgical purposes and the related post-procedure care processes, when the use of such a device is not a standard practice for the individual's condition.

3. A restraint used for "protective" purposes means the use of a mechanical device to compensate for a physical deficit, when the individual does not have the option to remove the device. The device may limit an individual's movement and prevent possible harm to the individual (e.g., bed rail or gerichair) or it may create a passive barrier to protect the individual (e.g., helmet).

4. A "mechanical restraint" means the use of an approved mechanical device that involuntarily restricts the freedom of movement or voluntary functioning of a limb or a portion of a person's body as a means to control his physical activities, and the individual receiving services does not have the ability to remove the device.

5. A "pharmacological restraint" means a drug that is given involuntarily for the emergency control of behavior when it is not standard treatment for the individual's medical or psychiatric condition.

6. A "physical restraint" (also referred to "manual hold") means the use of approved physical interventions or "hands-on" holds to prevent an individual from moving his body to engage in a behavior that places him or others at risk of physical harm. Physical restraint does not include the use of "hands-on" approaches that occur for extremely brief periods of time and never exceed more than a few seconds duration and are used for the following purposes: (i) to intervene in or redirect a potentially dangerous encounter in which the individual may voluntarily move away from the situation or hands-on approach or (ii) to quickly de-escalate a dangerous situation that could cause harm to the individual or others.

1. Mechanical restraint means the use of a mechanical device that cannot be removed by the individual to restrict the individual's freedom of movement or functioning of a limb or portion of an individual's body when that behavior places him or others at imminent risk.

2. Pharmacological restraint means the use of a medication that is administered involuntarily for the emergency control of an individual's behavior when that individual's behavior places him or others at imminent risk and the administered medication is not a standard treatment for the individual's medical or psychiatric condition.

3. Physical restraint, also referred to as manual hold, means the use of a physical intervention or hands-on hold to prevent an individual from moving his body when that individual's behavior places him or others at imminent risk.

"Restraints for behavioral purposes" means using a physical hold, medication, or a mechanical device to control behavior or involuntary restrict the freedom of movement of an individual in an instance when all of the following conditions are met: (i) there is an emergency; (ii) nonphysical interventions are not viable; and (iii) safety issues require an immediate response.

"Restraints for medical purposes" means using a physical hold, medication, or mechanical device to limit the mobility of an individual for medical, diagnostic, or surgical purposes, such as routine dental care or radiological procedures and related post-procedure care processes, when use of the restraint is not the accepted clinical practice for treating the individual's condition.

"Restraints for protective purposes" means using a mechanical device to compensate for a physical or cognitive deficit when the individual does not have the option to remove the device. The device may limit an individual's movement, for example, bed rails or a gerichair, and prevent possible harm to the individual or it may create a passive barrier, such as a helmet to protect the individual.

"Restriction" means anything that limits or prevents an individual from freely exercising his rights and privileges.

"Screening" means the preliminary assessment of an individual's appropriateness for admission or readmission to a service process or procedure for determining whether the individual meets the minimum criteria for admission.

"Seclusion" means the involuntary placement of an individual receiving services alone, in a locked room or secured area from which he is physically prevented from leaving an area secured by a door that is locked or held shut by a staff person by physically blocking the door, or by any other physical or verbal means so that the individual cannot leave it.

"Serious injury" means any injury resulting in bodily hurt, damage, harm or loss that requires medical attention by a licensed physician, doctor of osteopathic medicine, physician assistant, or nurse practitioner while the individual is supervised by or involved in services; or injuries related to the individual's diagnosis wherever they occur, such as, attempted suicides, medication overdoses, reactions from medications administered or prescribed by the service, when the injuries require medical attention by a licensed physician, doctor of osteopathic medicine, physician assistant, or nurse practitioner.

"Service" or "services" means (i) planned individualized interventions intended to reduce or ameliorate mental illness, mental retardation (intellectual disability), or substance abuse through care, treatment, training, habilitation, or other supports that are delivered by a provider to individuals with mental illness, mental retardation (intellectual disability), or substance abuse. Services include outpatient services, intensive in-home services, opioid treatment services, inpatient psychiatric hospitalization, community gero-psychiatric residential services, assertive community treatment and other clinical services; day support, day treatment, partial hospitalization, psychosocial rehabilitation, and habilitation services; case management services; and supportive residential, special school, halfway house, and other residential services; (ii) day support, in home support, and crisis stabilization services provided to individuals under the IFDDS Waiver; and (iii) planned individualized interventions intended to reduce or ameliorate the effects of brain injury through care, treatment, or other supports provided under the Brain Injury Waiver or in residential services for persons with brain injury.

"Shall" means an obligation to act is imposed.

"Shall not" means an obligation not to act is imposed.

"Skills training" means systematic skill building through curriculum-based psychoeducational and cognitive-behavioral interventions. These interventions break down complex objectives for role performance into simpler components, including basic cognitive skills such as attention, to facilitate learning and competency.

"Social detoxification service" means providing nonmedical supervised care for the individual's natural process of withdrawal from excessive use of alcohol or other drugs.

"Sponsored residential home" means a service where providers arrange for, supervise and provide programmatic, financial, and service support to families or individuals persons (sponsors) providing care or treatment in their own homes for adults.

"State board" means the State Board of Behavioral Health and Developmental Services. The board has statutory responsibility for adopting regulations that may be necessary to carry out the provisions of Title 37.2 of the Code of Virginia and other laws of the Commonwealth administered by the commissioner or the department.

"State methadone authority" means the Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services department that is authorized by the federal Center for Substance Abuse Treatment to exercise the responsibility and authority for governing the treatment of opiate addiction with an opioid drug. This is the agency designated by the Governor to exercise the responsibility and authority for governing the treatment of opiate addiction with an opioid drug.

"Substance abuse" or "substance use disorder" means the use, of drugs enumerated in the Virginia Drug Control Act (§ 54.1-3400 et seq.) without a compelling medical reason, of or alcohol and other drugs which that (i) results in psychological or physiological dependency dependence or danger to self or others as a function of continued and compulsive use in such a manner as to induce or (ii) results in mental, emotional or physical impairment and cause that causes socially dysfunctional or socially disordering behavior; and (iii) because of such substance abuse requires care and treatment for the health of the individual. This care and treatment may include counseling, rehabilitation, or medical or psychiatric care.

"Substance abuse residential treatment for women with children service" means a 24-hour residential service providing an intensive and highly structured substance abuse service for women with children who live in the same facility.

"Supervised living residential service" means the provision of significant direct supervision and community support services to individuals living in apartments or other residential settings. These services differ from supportive in-home service because the provider assumes responsibility for management of the physical environment of the residence, and staff supervision and monitoring are daily and available on a 24-hour basis. Services are provided based on the needs of the individual in areas such as food preparation, housekeeping, medication administration, personal hygiene, and budgeting.

"Supportive in-home service" (formerly supportive residential) means the provision of community support services and other structured services to assist individuals. Services, to strengthen individual skills, and to provide environmental supports necessary to attain and sustain independent community residential living. They Services include, but are not limited to, drop-in or friendly-visitor support and counseling to more intensive support, monitoring, training, in-home support, respite care, and family support services. Services are based on the needs of the individual and include training and assistance. These services normally do not involve overnight care by the provider; however, due to the flexible nature of these services, overnight care may be provided on an occasional basis.

"Systemic corrective action" means the provider's plans to address any cited violation of these regulations that will significantly reduce the probability that the violation will re-occur.

"Therapeutic day treatment for children and adolescents" means a treatment program that serves (i) children and adolescents from birth through age 17 with serious emotional disturbances, substance use, or co-occurring disorders or (ii) children from birth through age seven who are at risk of serious emotional disturbance, in order to combine psychotherapeutic interventions with education and mental health or substance abuse treatment. Services include: evaluation; medication education and management; opportunities to learn and use daily living skills and to enhance social and interpersonal skills; and individual, group, and family counseling.

"Time out" means assisting an individual to regain emotional control by removing the individual from his immediate environment to a different, open location until he is calm or the problem behavior has subsided the involuntary removal of an individual by a staff person from a source of reinforcement to a different, open location for a specified period of time or until the problem behavior has subsided to discontinue or reduce the frequency of problematic behavior.

"Volunteer" means a person who, without financial remuneration, provides services to individuals on behalf of the provider.

Part II
Licensing Process

12VAC35-105-30. Licenses.

A. Licenses are issued to providers who offer services to one or a combination of the following disability groups: persons with individuals who have mental illness, persons with mental retardation (intellectual disability), persons with or substance addiction or abuse problems; persons with related conditions use disorder; have developmental disability and are served under the IFDDS Waiver,; or persons with have brain injury and are served in residential settings or under the Brain Injury Waiver or in a residential service.

B. Providers shall be licensed to provide specific services as defined in this chapter or as determined by the commissioner. These services include:

1. Case management;

2. Clubhouse;

3. 2. Community gero-psychiatric residential;

4. 3. Community intermediate care facility-MR;

5. Crisis 4. Residential crisis stabilization (residential and nonresidential);

5. Nonresidential crisis stabilization;

6. Day support;

7. Day treatment, includes club house and therapeutic day treatment for children and adolescents;

8. Group home and community residential;

9. Inpatient psychiatric;

10. Intensive Community Treatment (ICT);

11. Intensive in-home;

12. Intensive outpatient;

13. Medical detoxification Managed withdrawal, including medical detoxification and social detoxification;

14. Mental health community support;

15. Opioid treatment;

16. Emergency;

16. 17. Outpatient;

17. 18. Partial hospitalization;

18. 19. Program of assertive community treatment (PACT);

19. 20. Psychosocial rehabilitation;

20. 21. Residential treatment;

21. 22. Respite care;

22. Social detoxification;

23. Sponsored residential home;

24. Substance abuse residential treatment for women with children;

25. Supervised living residential; and

26. Supportive in-home.

C. A license addendum describes shall describe the services licensed, the population disabilities of individuals who may be served, the specific locations where services are to be provided or organized administered, and the terms, and conditions for each service offered by a licensed provider. For residential and inpatient services, the license identifies the number of beds individuals each residential location may serve at a given time.

12VAC35-105-40. Application requirements.

A. All providers that are not currently licensed shall be required to apply for a license using the application designated by the commissioner. Providers applying for a license must shall submit:

1. A working budget showing projected revenue and expenses for the first year of operation, including a revenue plan.

2. Documentation of working capital to include:

a. Funds or a line of credit sufficient to cover at least 90 days of operating expenses if the provider is a corporation, unincorporated organization or association, a sole proprietor, or a partnership.

b. Appropriated revenue if the provider is a state or local government agency, board or commission.

3. Documentation of authority to conduct business in the Commonwealth of Virginia.

4. A disclosure statement identifying the legal names and dates of any services licensed to the applicant in other states or in Virginia, previous sanctions or negative actions against any license to provide services that the applicant holds or has held in any other state or in Virginia, the names and dates of any disciplinary actions involving the applicant's current or past licensed services, and any criminal convictions and conviction dates involving the applicant.

B. Providers must shall submit an application listing each service to be provided and submit the following items for each service:

1. A staffing plan;

2. Employee credentials or and job descriptions containing all the elements outlined in 12VAC35-105-410 A;

3. A service description containing all the elements outlined in 12VAC35-105-580 C; and

4. Records management policy containing all the elements outlined in 12VAC35-105-390 and 12VAC35-105-870 A; and.

5. A certificate of occupancy, floor plan (with dimensions), and any required inspections for all service locations.

C. The provider shall confirm his intent to renew the license prior to the expiration date of the license and notify the department in advance of any changes in service or location.

12VAC35-105-50. Issuance of licenses.

A. The commissioner issues may issue the following types of licenses.

B. A conditional license shall be issued to a new provider or service for services that demonstrates compliance with administrative and policy regulations but has not demonstrated compliance with all the regulations.

1. A conditional license shall not exceed six months.

2. A conditional license may be renewed if the provider is not able to demonstrate compliance with all the regulations at the end of the license period. A conditional license and any renewals shall not exceed 12 successive months for all conditional licenses and renewals combined.

3. A provider or service holding a conditional license shall demonstrate progress toward compliance.

4. A provider holding a conditional license shall not add services or locations during the conditional period.

5. A group home or community residential service provider shall not serve more than four individuals in a single location during the conditional period.

C. A provisional license may be issued to a provider or for a service that has demonstrated an inability to maintain compliance with regulations, has violations of human rights or licensing regulations that pose a threat to the health or safety of individuals being served, has multiple violations of human rights or licensing regulations, or has failed to comply with a previous corrective action plan.

1. A provisional license may be issued at any time.

2. The term of a provisional license may not exceed six months.

3. A provisional license may be renewed; but a provisional license and any renewals shall not exceed 12 successive months for all provisional licenses and renewals combined.

4. A provider or service holding a provisional license shall demonstrate progress toward compliance.

5. A provider for a service holding a provisional license shall not increase its services or locations or expand the capacity of the service.

5. 6. A provisional license for a service shall be noted as a stipulation on the provider license. The stipulation shall also indicate the violations to be corrected and the expiration date of the provisional license.

D. A full license shall be issued after a provider or service demonstrates compliance with all the applicable regulations.

1. A full license may be granted to a provider for service for up to three years. The length of the license shall be in the sole discretion of the commissioner.

2. If a full license is granted for three years, it shall be referred to as a triennial license. A triennial license shall be granted to providers for services who that have had no noncompliances or only violations that did not pose a threat to the health of safety of individuals being served during the previous license period demonstrated compliance with the regulations. The commissioner may waive this limitation if the provider has demonstrated consistent compliance for more than a year or that sufficient provider oversight is in place issue a triennial license to a provider for service that had violations during the previous license period if those violations did not pose a threat to the health or safety of individuals being served and the provider or service has demonstrated consistent compliance for more than a year and has a process that provides sufficient oversight to maintain compliance in place.

3. If a full license is granted for one year, it shall be referred to as an annual license.

4. The term of the first full renewal license after the expiration of a conditional or provisional license may shall not exceed one year.

E. The license may bear stipulations. Stipulations may be limitations on the provider or may impose additional requirements. Terms of any such stipulations on licenses issued to the provider shall be specified on the provider license.

1. Stipulations may be added to the license issued to the provider to place limits on the provider or to impose additional requirements on the provider. Terms of any such stipulations shall be specified on the provider license.

2. Stipulations may recognize the expertise of the provider as defined and approved by the department to serve individuals with specialized needs.

F. A license shall not be transferred or assigned to another provider. A new application shall be made and a new license issued when there is a change in ownership.

G. A license shall not be issued or renewed unless the provider is affiliated with a local human rights committee.

H. No service may shall be issued a license with an expiration date that is after the expiration date of the provider license.

I. A license continues shall continue in effect after the expiration date if the provider has submitted a renewal application before the date of expiration and there are no grounds to deny the application. The department shall issue a letter stating the provider or service license shall be effective for six additional months if the license is not issued before the date of expiration.

12VAC35-105-60. Modification.

A. Upon written request by the provider, the license may be modified during the term of the license with respect to the populations A provider shall submit a written service modification application at least 45 days in advance of a proposed modification to its license. The modification may address the characteristics of individuals served (disability, age, and gender), the services offered, the locations where services are provided, existing stipulations and the, or the maximum number of beds. Approval of such request shall be at the sole discretion of the commissioner individuals served under the provider or service license.

B. A change requiring a modification of the license shall not be implemented prior to approval by the commissioner. The department may give approval to implement a modification pending the issuance of the modified license based on guidelines determined by the commissioner Upon receipt of the completed service modification application, the commissioner may revise the provider or service license. Approval of such request shall be at the sole discretion of the commissioner.

C. A change requiring a modification of the license shall not be implemented prior to approval by the commissioner. The department may send the provider a letter approving implementation of the modification pending the issuance of the modified license.

12VAC35-105-70. Onsite reviews.

A. The department shall conduct an announced or unannounced onsite review of all new providers and services to determine compliance with this chapter.

B. The department shall conduct unannounced onsite reviews of licensed providers and each of its services service at any time and at least annually to determine compliance with these regulations. The annual unannounced onsite reviews shall be focused on preventing specific risks to individuals, including an evaluation of the physical facilities in which the services are provided.

C. The department may conduct announced and unannounced onsite reviews at any time as part of the investigations of complaints or incidents to determine if there is a violation of this chapter.

12VAC35-105-90. Compliance.

A. The department shall determine the level of compliance with each regulation as follows:

1. "Compliance" (C) means the provider is clearly in compliance with acts in accordance with a regulation.

2. "Noncompliance" (NC) means the provider is clearly in noncompliance with fails to meet or violates part or all of a regulation.

3. "Not Determined" (ND) means that the provider must provide additional information to determine compliance with a regulation.

4. "Not Applicable" (NA) means the provider is specifically exempted from or not required to demonstrate compliance with the provisions of a regulation at the time.

B. The provider, including its employees, contract service providers, student interns and volunteers, shall comply with all applicable regulations.

12VAC35-105-100. Sanctions.

A. The commissioner may invoke the sanctions enumerated in § 37.1-185.1 § 37.2-419 of the Code of Virginia upon receipt of information that a licensed provider is:

1. In violation of the provisions of §§ 37.1-84.1 and 37.1-179 through 37.1-189.1 §§ 37.2-400 through 37.2-422 of the Code of Virginia, these regulations, or the provisions of the Rules and Regulations to Assure the Rights of Individuals Receiving Services from Providers of Mental Health, Mental Retardation and Substance Abuse Services Licensed, Funded, or Operated by the Department of Mental Health, Mental Retardation and Substance Abuse Services (12VAC35-115); and

2. Such violation adversely impacts affects the human rights of individuals, or poses an imminent and substantial threat to the health, safety or welfare of individuals.

The commissioner shall notify the provider in writing of the specific violations found, and of his intention to convene an informal conference pursuant to § 2.2-4019 of the Code of Virginia at which the presiding officer will be asked to recommend issuance of a special order.

B. The sanctions contained in the special order shall remain in effect during the pendency of any appeal of the special order.

12VAC35-105-110. Denial, revocation or suspension of a license.

A. An application for a license or license renewal may be denied and a full, conditional, or provisional license may be revoked or suspended for one or more of the following reasons:

1. The provider has violated any provisions of Chapter 8 (§ 37.1-179 et seq.) of Title 37.1 Article 2 (§ 37.2-403 et seq.) of Chapter 4 of Title 37.2 of the Code of Virginia or these licensing regulations;

2. The provider's conduct or practices are detrimental to the welfare of any individual receiving services or in violation of human rights identified in § 37.1-84.1 § 37.2-400 of the Code of Virginia or the human rights regulations (12VAC35-115);

3. The provider permits, aids, or abets the commission of an illegal act;

4. The provider fails or refuses to submit reports or to make records available as requested by the department;

5. The provider refuses to admit a representative of the department to the premises; or

6. The provider fails to submit or implement an adequate corrective action plan.; or

7. The provider submits substantively misleading or false information to the department.

B. A provider shall be notified in writing of the department's intent to deny, revoke or suspend a License; the reasons for the action; the right to appeal; and the appeal process. The provider has the right to appeal the department's decision under the provisions of the Administrative Process Act (§ 2.2-4000 et seq. of the Code of Virginia).

12VAC35-105-115. Summary suspension.

A. In conjunction with any proceeding for revocation, denial or other action, when conditions or practices exist that pose an immediate and substantial threat to the health, safety, and welfare of the residents individuals living there, the commissioner may issue an order of summary suspension of the license to operate any group home or residential facility service for adults when he believes the operation of the home or facility residential service should be suspended during the pendency of such proceeding.

B. Prior to the issuance of an order of summary suspension, the department shall contact the Executive Secretary of the Supreme Court of Virginia to obtain the name of a hearing officer. The department shall schedule the time, date, and location of the administrative hearing with the hearing officer.

C. The order of summary suspension shall take effect upon its issuance. It shall be delivered by personal service and certified mail, return receipt requested, to the address of record of the licensee as soon as practicable. The order shall set forth:

1. The time, date, and location of the hearing;

2. The procedures for the hearing;

3. The hearing and appeal rights; and

4. Facts and evidence that formed the basis for the order of summary suspension.

D. The hearing shall take place within three business days of the issuance of the order of summary suspension.

E. The department shall have the burden of proving in any summary suspension hearing that it had reasonable grounds to require the licensee to cease operations during the pendency of the concurrent revocation, denial, or other proceeding.

F. The administrative hearing officer shall provide written findings and conclusions together with a recommendation as to whether the license should be summarily suspended, to the commissioner within five business days of the hearing.

G. The commissioner shall issue a final order of summary suspension or make a determination that the summary suspension is not warranted based on the facts presented and the recommendation of the hearing officer within seven business days of receiving the recommendation of the hearing officer.

H. The commissioner shall issue and serve on the group home or residential facility for adults or its designee by personal service or by certified mail, return receipt requested either:

1. A final order of summary suspension including (i) the basis for accepting or rejecting the hearing officer's recommendation, and (ii) notice that the group home or residential facility may appeal the commissioner's decision to the appropriate circuit court no later than 10 days following issuance of the order; or

2. Notification that the summary suspension is not warranted by the facts and circumstances presented and that the order of summary suspension is rescinded.

I. The licensee may appeal the commissioner's decision on the summary suspension to the appropriate circuit court no more than 10 days after issuance of the final order.

J. The outcome of concurrent revocation, denial, and other proceedings shall not be affected by the outcome of any hearing pertaining to the appropriateness of the order of summary suspension.

K. At the time of the issuance of the order of summary suspension, the department shall contact the appropriate agencies to inform them of the action and the need to develop relocation plans for residents, and ensure that any other legal guardians or responsible family members are informed of the pending action.

12VAC35-105-130. Confidentiality of records.

Records that are confidential under federal or state law shall be maintained as confidential by the department and shall not be further disclosed except as required or permitted by law.

Part III
Administrative Services

Article 1
Management and Administration

12VAC35-105-140. License availability.

The current license or a copy shall be prominently displayed for public inspection in all service locations.

12VAC35-105-150. Compliance with applicable laws, regulations and policies.

The provider including its employees, contractors, students, and volunteers shall comply with:

1. These regulations;

2. Terms The terms and stipulations of the license;

3. All applicable federal, state or local laws, and regulations including but not limited to:

a. Laws regarding employment practices including the Equal Employment Opportunity Act;

b. The Americans with Disabilities Act and the Virginians with Disabilities Act;

c. Occupational Safety and Health Administration regulations;

d. Virginia Department of Health regulations;

e. Laws or and regulations of the Department of Health Professions;

f. Uniform Statewide Building Code; and

g. Uniform Statewide Fire Prevention Code.

4. Section 37.1-84.1 37.2-400 of the Code of Virginia on the human rights of individuals receiving services and related human rights regulations adopted by the state board; and

5. Section 37.1-197.1 of the Code of Virginia regarding prescreening and predischarge planning. Providers responsible for complying with § 37.1-197.1 are required to develop and implement policies and procedures that include:

a. Identification of employees or services responsible for prescreening and predischarge planning services for all disability groups; and

b. Completion of predischarge plans prior to an individual's discharge in consultation with the state facility which:

(1) Involve the individual or his legally authorized representative and reflect the individual's preferences to the greatest extent possible consistent with the individual's needs.

(2) Include the mental health, mental retardation, substance abuse, social, educational, medical, employment, housing, legal, advocacy, transportation, and other services that the individual will need upon discharge into the community and identify the public or private agencies or persons that have agreed to provide them.

6. 5.The provider's own policies. All required policies shall be in writing.

12VAC35-105-155. Preadmission screening, predischarge planning, involuntary commitment, and mandatory outpatient treatment orders.

A. Providers responsible for complying with § 37.2-505 of the Code of Virginia regarding community service board preadmission screening and predischarge planning shall establish and implement policies and procedures that include:

1. Identification, qualification, training, and responsibilities of employees responsible for prescreening and predischarge planning.

2. Completion of predischarge plans prior to an individual's discharge in consultation with the state facility that:

a. Involve the individual or his authorized representative and reflect the individual's preferences to the greatest extent possible consistent with the individual's needs.

b. Include mental health, mental retardation (intellectual disability), substance abuse, social, educational, medical, employment, housing, legal, advocacy, transportation, and other services that the individual will need upon discharge into the community and identify the public or private agencies or persons that have agreed to provide them.

B. Any provider who serves individuals through an emergency custody order, temporary detention order, or mandatory outpatient treatment order shall develop and implement policies and procedures to comply with §§ 37.2-800 through 37.2-817 of the Code of Virginia.

12VAC35-105-160. Reviews by the department; requests for information.

A. The provider shall permit representatives from the department to conduct reviews to:

1. Verify application information;

2. Assure compliance with this chapter; and

3. Investigate complaints.

B. The provider shall cooperate fully with inspections and provide all information requested to assist representatives from the department who conduct inspections.

C. The provider shall collect, maintain, and report or make available the following information to the department:

1. Each allegation of abuse or neglect shall be reported to the assigned human rights advocate and the individual's authorized representative within 24 hours from the receipt of the initial allegation and the investigating authority shall provide a written report of the results of the investigation of abuse or neglect to the provider and the human rights advocate within 10 working days, unless an exemption has been granted, from the date the investigation began. The report shall include but not be limited to the following: whether abuse, neglect or exploitation occurred; type of abuse; and whether the act resulted in physical or psychological injury. Reported information shall include the type of abuse, neglect, or exploitation that is alleged and whether there is physical or psychological injury to the individual.

2. Deaths and Each instance of death or serious injuries injury shall be reported in writing to the department within 24 hours of discovery and by phone to the legally individual's authorized representative as applicable within 24 hours to. Reported information shall include, but not be limited to, the following: the date and place of the individual's death or serious injury; the nature of the individual's injuries and the treatment required received; and the circumstances of the death or serious injury. Deaths that occur in a hospital as a result of illness or injury occurring when the individual was in a licensed service shall be reported.

3. Each instance of seclusion or restraint that does not comply with the human rights regulations or approved variances, or that results in injury to an individual, shall be reported to the legally individual's authorized representative and the assigned human rights advocate within 24 hours.

4. Reports and other such information required by the department to establish compliance with these regulations or any other local, state, and federal statutues or regulations.

D. The provider shall submit, or make available, reports and information that the department requires to establish compliance with these regulations and applicable statutes.

E. D. Records that are confidential under federal or state law shall be maintained as confidential by the department and shall not be further disclosed except as permitted by law; however, there shall be no right of access to communications that are privileged pursuant to § 8.01-581.17 of the Code of Virginia.

F. If E. Additional information requested by the department if compliance with a regulation cannot be determined, the department shall issue a licensing report requesting additional information. Additional information must shall be submitted within 10 business days of the issuance of the licensing report requesting additional information. Extensions may be granted by the department when requested prior to the due date, but extensions shall not exceed an additional 10 business days.

F. Applicants and providers shall not submit substantively misleading or false information to the department.

12VAC35-105-170. Corrective action plan.

A. If there is noncompliance with any of these regulations applicable regulation during an initial or ongoing review or investigation, the department shall issue a licensing report describing the noncompliance and requesting the provider to submit a corrective action plan for each violation cited.

B. The provider shall submit to the department and implement a written corrective action plan for each regulation with which it is found to be in noncompliance with these regulations identified on violation as identified in the licensing report.

C. The corrective action plan shall include a:

1. Description of the systemic corrective actions to be taken that will minimize the possibility that the violation will occur again;

2. Date of completion for each corrective action; and

3. Signature of the person responsible for the service.

D. The provider shall submit a corrective action plans plan to the department within 15 business days of the issuance of the licensing report. Extensions may be granted by the department when requested prior to the due date, but extensions shall not exceed an additional 10 business days. An immediate corrective action plan shall be required if the department determines that the violations pose a danger to individuals receiving the service.

E. A corrective action plan shall be approved by the department Upon receipt of the corrective action plan, the department shall review the plan and shall determine whether the plan is approved or not approved. The provider has an additional 10 business days to submit a revised corrective action plan after receiving a notice that the plan submitted has not been approved by the department.

F. When the provider disagrees with a citation of a violation, the provider shall discuss this disagreement with the licensing specialist initially. If the disagreement is not resolved, the provider may ask for a meeting with the licensing specialist's supervisor to challenge a finding of noncompliance. The determination of the supervisor is final.

G. The provider shall monitor implementation of pledged corrective action and include a plan for such monitoring in its quality assurance activities specified in 12VAC30-105-620.

12VAC35-105-180. Notification of changes.

A. The provider shall notify the department in writing prior to implementing changes that affect:

1. Organizational or administrative structure, including the name of the provider;

2. Geographic location of the provider or its services;

3. Service description as defined in these regulations;

4. Significant changes in qualifications required for a position or qualifications of an individual occupying a position to the staffing plan, position descriptions, or employee or contractor qualifications; or

5. Bed capacity for services providing residential or inpatient services.

B. The provider shall not implement the specified changes without the prior approval of the department.

C. The provider shall provide any documentation necessary for the department to determine continued compliance with these regulations after any of these specified changes are implemented.

D. A provider shall notify the department in writing of its intent to discontinue services 30 days prior to the cessation of services. The provider will shall continue to provide all services that are identified in every each individual's Individualized Services Plan (ISP) ISP after it has given official notice of its intent to cease operations and until each individual is appropriately discharged. The provider will shall further continue to maintain substantial compliance with all applicable regulations as it discontinues its services.

E. All individuals receiving services or their authorized representatives shall be notified of the provider's intent to cease services in writing 30 days prior to the cessation of services. This written notification will shall be documented in each individual's ISP. Also, refer to as outlined in Records Management, Part V (12VAC35-105-870 et seq.) of this chapter.

12VAC35-105-190. Operating authority, governing body and organizational structure.

A. The provider shall provide the following evidence of its operating authority.:

1. A public organization Public organizations shall provide documents describing the administrative framework of the governmental department of which it is a component or describing the legal and administrative framework under which it was established and operates.

2. All private organizations except sole proprietorships shall provide a certification certificate from the State Corporation Commission.

B. The provider's provider shall provide an organizational chart that clearly identifies its governing body and organizational structure shall be clearly identified by providing an organizational chart.

C. The provider shall document the role and actions of the governing body, which shall be consistent with its operating authority. The provider shall identify its operating elements and services, the internal relationship among these elements and services, and the its management or leadership structure.

12VAC35-105-210. Fiscal accountability.

A. The provider shall document financial resources to operate its services or facilities or shall have a line of credit sufficient to cover 90 days of operating expense, based on a working budget showing projected revenue and expenses arrangements or a line of credit that are adequate to ensure maintenance of ongoing operations for at least 90 days on an ongoing basis. The amount needed shall be based on a working budget showing projected revenue and expenses.

B. At the end of each fiscal year, the provider shall prepare, according to generally accepted accounting principles (GAAP) or those standards promulgated by the Governmental Accounting Standards Board (GASB) and the State Auditor of Public Accounts:

1. An operating statement showing revenue and expenses for the fiscal year just ended.

2. A balance sheet showing assets and liabilities for the fiscal year just ended. At least once every three years, all financial records shall be audited by The department may require an audit of all financial records by an independent Certified Public Accountant (CPA) or audited as otherwise provided by law or regulation.

3. Providers operating as a part of a local government agency are excluded from providing not required to provide a balance sheet; however, they shall provide a financial statement.

C. The provider shall have written internal controls to minimize the risk of theft or embezzlement of provider funds.

D. The provider shall identify in writing the title and qualifications of the person who has the authority and responsibility for the fiscal management of its services. At a minimum, the person who has the authority and responsibility for the fiscal management of the provider shall be bonded or otherwise indemnified.

12VAC35-105-220. Indemnity coverage.

To protect the interests of individuals, employees, and the provider from risks of liability, there shall be indemnity coverage to include:

1. General liability;

2. Professional liability;

3. Vehicular Commercial vehicular liability; and

4. Property damage.

12VAC35-105-230. Written fee schedule.

If the provider charges for services, the written schedule of rates and charges shall be available to the individual or authorized representative upon request.

12VAC35-105-240. Policy on funds of individuals receiving services.

A. The provider shall establish and implement a written policy for handling funds of individuals receiving services, including providing for separate accounting of individual funds.

B. The provider shall have documented financial controls to minimize the risk of theft or embezzlement of funds of individuals receiving services.

C. The provider shall purchase a surety bond or otherwise provide assurance for the security of all funds of individuals receiving services deposited with the provider.

Article 2
Physical Environment

12VAC35-105-260. Building inspection and classification.

All locations shall be inspected and approved as required by the appropriate building regulatory entity. Approval Documentation of approval shall be a Certificate of Use and Occupancy indicating the building is classified for its proposed licensed purpose. The provider shall submit a copy of the Certificate of Use and Occupancy to the department for new locations. This section does not apply to correctional facilities or home and noncenter-based services. Sponsored residential services service providers shall certify compliance of that their sponsored residential homes comply with this regulation.

12VAC35-105-265. Floor plans.

All services shall submit floor plans with room dimensions to the department for new locations. This does not apply to home or noncenter-based services.

12VAC35-105-270. Building modifications.

A. Building The provider shall submit building plans and specifications for new any planned construction of locations, change in at a new location, changes in the use of existing locations, and any structural modifications or additions to existing locations where services are provided shall be submitted for review by the department to determine compliance with the licensing regulations. This section does not apply to correctional facilities, jails, or home and noncenter-based services.

B. An The provider shall submit an interim plan to the department addressing safety and continued service delivery shall be required for new if new construction or for conversion, involving structural modifications or additions to existing buildings is planned.

12VAC35-105-280. Physical environment.

A. The physical environment, design, structure, furnishings, and lighting shall be appropriate to the population individuals served and the services provided and.

B. The physical environment shall be accessible to individuals with physical and sensory disabilities.

B. C. The physical environment and furnishings shall be clean, dry, free of foul odors, safe, and well-maintained.

C. The physical environment, design, structure, furnishing, and lighting shall be appropriate to the population served and the services provided.

D. Floor surfaces and floor covering coverings shall promote mobility in areas used by individuals and shall promote maintenance of sanitary conditions.

E. The physical environment shall be well ventilated. Temperatures shall be maintained between 65°F and 80°F.

F. Adequate hot and cold running water of a safe and appropriate temperature shall be available. Hot water accessible to individuals being served shall be maintained within a range of 100-120°F. If temperatures cannot be maintained within the specified range, the provider shall make provisions for protecting individuals from injury due to scalding.

G. Lighting shall be sufficient for the activities being performed and all areas within buildings and outside entrances and parking areas shall be lighted for safety.

H. Recycling, composting, and garbage disposal shall not create a nuisance, permit transmission of disease, or create a breeding place for insects or rodents.

I. If smoking is permitted, the provider shall make provisions for alternate smoking areas that are separate from the service environment. This regulation does not apply to home-based services.

J. For all program areas added after September 19, 2002, minimum room height shall be 7-1/2 feet.

K. This section regulation does not apply to home and noncenter-based services. Sponsored residential services shall certify compliance of sponsored residential homes with this regulation.

12VAC35-105-290. Food service inspections.

Any location where the provider is responsible for preparing or serving food shall request inspection and obtain approval by state or local health authorities regarding food service and general sanitation at the time of the original application and annually thereafter. Documentation of the most recent three inspections and approval shall be kept on file. This regulation does not apply to sponsored residential services or to group homes or community residential homes.

12VAC35-105-300. Sewer and water inspections.

A. A location Service locations shall either be on a public water and sewage systems system or the location's on a nonpublic water and sewage system shall be inspected and approved by state or local health authorities at the time of its original application and annually thereafter. Documentation of the three most recent inspections and approval shall be kept on file. Sponsored Prior to a location being licensed, the provider shall obtain the report from the building inspector pertaining to the septic system and its capacity. Nonpublic water and sewer systems shall be maintained in good working order and in compliance with local and state laws. Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation.

B. A location that is Service locations that are not on a public water system shall have a water sample tested prior to being licensed and annually by an accredited, independent laboratory for the absence of chloroform. The water sample shall also be tested for lead or nitrates if recommended by the local health department. Documentation of the three most recent inspections shall be kept on file.

12VAC35-105-310. Weapons.

The provider or facility shall have and implement a written policy governing the use and possession of firearms, pellet guns, air rifles and other weapons on the facility's premises of the provider's services. The policy shall provide that no firearms, pellet guns, air rifles and other weapons on the facility's premises shall be permitted unless the weapons are:

1. In the possession of licensed security or sworn law-enforcement personnel;

2. Kept securely under lock and key; or

3. Used under the supervision of a responsible adult in accordance with policies and procedures developed by the facility provider for the weapons' lawful and safe use.

12VAC35-105-320. Fire inspections.

The provider shall document at the time of its original application and annually thereafter that buildings and equipment in residential service locations with more than eight beds serving more than eight individuals are maintained in accordance with the Virginia Statewide Fire Prevention Code (13VAC5-51). This section does not apply to correctional facilities or home and noncenter-based or sponsored residential home services.

12VAC35-105-325. Community liaison.

Each residential service shall designate a staff person as a community liaison responsible for facilitating cooperative relationships with neighbors, local law-enforcement personnel, local government officials, and the community at large.

Article 3
Physical Environment of Residential/Inpatient Service Locations

12VAC35-105-330. Beds.

A. The provider shall not operate more beds than the number for which its service location or locations are licensed.

B. A community intermediate care facility for the mentally retarded ICF/MR may not have more than 20 12 beds at any one location. This applies to new applications for services after September 19, 2002 and not to existing services or locations licensed prior to [the effective date of these regulations].

12VAC35-105-340. Bedrooms.

A. Size of bedrooms Bedrooms shall meet the following square footage requirements.:

1. Single occupancy bedrooms shall have no less than 80 square feet of floor space.

2. Multiple occupancy bedrooms shall have no less than 60 square feet of floor space per individual.

3. This subsection does not apply to community gero-psychiatric residential services.

B. No more than four individuals shall share a bedroom, except in group homes where no more than two individuals shall share a room. This does not apply to group home locations licensed prior to [the effective date of these regulations].

C. Each individual shall be assigned have adequate storage space accessible to the bedroom for clothing and personal belongings.

D. This section does not apply to correctional facilities and jails. Sponsored Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation.

12VAC35-105-350. Condition of beds.

Beds shall be clean, comfortable, and equipped with a mattress, pillow, blankets, and bed linens. When a bed is soiled, providers shall assist individuals with bathing as needed, and provide clean clothing and bed linen. Sponsored Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation.

12VAC35-105-360. Privacy.

A. Bedroom and bathroom windows and doors shall provide privacy.

B. Bathrooms not intended for individual use shall provide privacy for showers and toilets.

C. No required path of travel to the bathroom shall be through another bedroom.

D. This section does not apply to correctional facilities and jails. Sponsored Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation.

12VAC35-105-370. Ratios of toilets, basins and showers or baths.

For all residential and inpatient locations established, constructed or reconstructed after January 13, 1995, there shall be at least one toilet, one hand basin, and shower or bath for every four individuals. Sponsored This section does not apply to correctional facilities or jails. Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation. This section does not apply to correctional facilities or jails.

12VAC35-105-380. Lighting.

Each service location shall have adequate lighting in halls and bathrooms at night. Sponsored Providers of sponsored residential home services shall certify compliance of that their sponsored residential homes comply with this regulation.

Article 4
Human Resources

12VAC35-105-390. Confidentiality and security of personnel records.

A. The provider shall maintain an organized system to manage and protect the confidentiality of personnel files and records.

B. Physical and data security controls shall exist for electronic records personnel records maintained in electronic databases.

C. Providers shall comply with requirements of the American Americans with Disabilities Act and the Virginians with Disabilities Act regarding retention of employee health-related information in a file separate from personnel files.

12VAC35-105-400. Criminal registry checks.

A. The provider shall develop a policy for the criminal history and registry checks for all employees, contractors, students and volunteers. The policy shall contain, at a minimum, a disclosure statement concerning whether the person has ever been convicted of or is the subject of pending charges for any offense Providers shall comply with the background check requirements for direct care positions outlined in § 37.2-416 of the Code of Virginia for individuals hired after July 1, 1999.

B. After July 1, 1999, providers shall comply with the background check requirements for direct care positions outlined in § 37.1-183.3 of the Code of Virginia Prior to a new employee beginning his duties, the provider shall obtain the employee's written consent and personal information necessary to obtain a search of the registry of founded complaints of child abuse and neglect maintained by the Virginia Department of Social Services.

C. The provider shall submit all information required by the department to complete the background checks for all employees, and for contractors, students and volunteers, if required by the provider's policy develop a policy for criminal history and registry checks for all employees, contractors, students, and volunteers. The policy shall require at a minimum a disclosure statement from the employee, contractor, student, or volunteer stating whether the person has ever been convicted of or is the subject of pending charges for any offense and shall address what actions the provider will take should it be discovered that an employee, student, contractor, or volunteer has a founded case of abuse or neglect or both, or a conviction or pending criminal charge.

D. Prior to a new employee beginning his duties, the provider shall obtain the employee's written consent and personal information necessary to obtain a search of the registry of founded complaints of child abuse and neglect maintained by the Department of Social Services. Results of the search of the registry shall be maintained in the employee's personnel record The provider shall submit all information required by the department to complete the background and registry checks for all employees and for contractors, students, and volunteers if required by the provider's policy.

E. The provider shall maintain the following documentation:

1. The disclosure statement; and

2. Documentation that the provider submitted all information required by the department to complete the background and registry checks, and memoranda from the department transmitting the results to the provider, and the results from the Child Protective Registry check.

12VAC35-105-410. Job description.

A. Each employee or contractor shall have a written job description that includes:

1. Job title;

2. Duties and responsibilities required of the position;

3. Job title of the immediate supervisor; and

4. Minimum knowledge, skills, and abilities, experience or professional qualifications required for entry level as specified in 12VAC35-105-420.

B. Employees or contractors shall have access to their current job description. There The provider shall be a have written documentation of the mechanism for advising used to advise employees or contractors of changes to their job responsibilities.

12VAC35-105-420. Qualifications of employees or contractors.

A. Any person who assumes the responsibilities of any employee position as an employee or a contractor shall meet the minimum qualifications of that position as determined by job descriptions.

B. Employees and contractors shall comply, as required, with the regulations of the Department of Health Professions. The provider shall design and, implement a mechanism, and document the process used to verify professional credentials.

C. Service directors Supervisors shall have experience in working with the population individuals being served and in providing the services outlined in the service description.

D. Job descriptions shall include minimum knowledge, skills and abilities, professional qualification qualifications and experience appropriate to the duties and responsibilities required of the position.

12VAC35-105-430. Employee or contractor personnel records.

A. Employee or contractor personnel record records, whether hard-copy or electronic, shall include:

1. Identifying Individual identifying information;

2. Education and training history;

3. Employment history;

4. Results of the any provider credentialing process including methods of verification of applicable professional licenses or certificates;

5. Results of reasonable efforts to secure job-related references and reasonable verification of employment history;

6. Results of the required criminal background checks and a search searches of the registry of founded complaints of child abuse and neglect, if any;

7. Results of performance evaluations;

8. A record of disciplinary action taken by the provider, if any;

9. A record of adverse action by any licensing and oversight bodies and or organizations and state human rights regulations, if any; and

10. A record of participation in employee development activities, including orientation.

B. Each employee or contractor personnel record shall be retained in its entirety for a minimum of three years after the employee's or contractor's termination of employment.

12VAC35-105-440. Orientation of new employees, contractors, volunteers, and students.

New employees, contractors, volunteers, and students shall be oriented commensurate with their function or job-specific responsibilities within 15 business days. Orientation to The provider shall document that the orientation covers each of the following policies shall be documented. Orientation shall include, procedures, and practices:

1. Objectives and philosophy of the provider;

2. Practices of confidentiality including access, duplication, and dissemination of any portion of an individual's record;

3. Practices that assure an individual's rights including orientation to human rights regulations;

4. Applicable personnel policies;

5. Emergency preparedness procedures;

6. Infection control practices and measures; and

7. Other policies and procedures that apply to specific positions and specific duties and responsibilities.

12VAC35-105-450. Employee training and development.

The provider shall provide training and development opportunities for employees to enable them to perform fully support the individuals served and to carry out the responsibilities of their job jobs. The provider shall develop a training policy must address that addresses the frequency of retraining on medication administration, behavior management, and emergency preparedness. Training Employee participation in training and development opportunities shall be documented in the employee personnel records and accessible to the department.

12VAC35-105-460. Emergency medical or first aid training.

There shall be at least one employee or contractor on duty at each location who holds a current certificate, issued by a recognized authority, in standard first aid and cardiopulmonary resuscitation, or with emergency medical training. A nurse or physician who holds a current professional license shall be deemed to hold a current certificate in first aid, but not in CPR.

12VAC35-105-470. Notification of policy changes.

All employees or contractors shall be kept informed of policy changes that affect performance of duties. The provider shall have written documentation of the process used to advise employees or contractors of policy changes.

12VAC35-105-480. Employee or contractor performance evaluation.

A. The provider shall develop and implement a policy for evaluating employee or and contractor performance.

B. Employee development needs and plans shall be a part of the performance evaluation.

C. The provider shall evaluate employee or and contractor performance at least annually.

12VAC35-105-490. Written grievance policy.

The provider shall have a written grievance policy and a mechanism to shall inform employees of grievance procedures. The provider shall have documentation of the process used to advise employees of grievance procedures.

12VAC35-105-500. Students and volunteers.

A. The provider shall have and implement a written policy that clearly defines and communicates the requirements for the use and responsibilities of students and volunteers including selection and supervision.

B. The provider shall not rely on students or volunteers for the provision of direct care services. The provider staffing plan shall not include volunteers or students.

12VAC35-105-510. Tuberculosis screening.

A. Each new employee, contractor, student or volunteer who will have direct contact with individuals being served receiving services shall obtain a statement of certification by a qualified licensed practitioner indicating the absence of tuberculosis in a communicable form within 30 days of employment or initial contact with individuals receiving services. The employee shall submit a copy of the original screening to the provider. A statement of certification shall not be required for an a new employee who has separated from service with another licensed provider with a break in service of six months or less or who is currently working for another licensed provider. The employee must submit a copy of the original screening to the provider.

B. All employees, contractors, students or volunteers in substance abuse co-occurring outpatient or substance abuse residential treatment services shall be certified as tuberculosis free on an annual basis by a qualified licensed practitioner.

C. Any employee, contractor, student or volunteer who comes in contact with a known case of active tuberculosis disease or who develops symptoms of active tuberculosis disease (including, but not limited to fever, chills, hemoptysis, cough, fatigue, night sweats, weight loss or anorexia) of three weeks duration shall be screened as determined appropriate for continued contact with employees, contractors, students, volunteers, or individuals receiving services based on consultation with the local health department.

D. An employee, contractor, student or volunteer suspected of having active tuberculosis shall not be permitted to return to work or have contact with employees, contractors, students, volunteers or individuals receiving services until a physician has determined that the person is free of active tuberculosis.

Article 5
Health and Safety Management

12VAC35-105-520. Risk management.

A. The provider shall designate a person responsible for risk management.

B. The provider shall document and implement a plan to identify, monitor, reduce and minimize risks associated with personal injury, infectious disease, property damage or loss, and other sources of potential liability.

C. As part of the plan, the The provider shall conduct and document that a safety inspection has been performed at least annually its own safety inspections of all each service locations location owned, rented, or leased by the provider. Recommendations for safety improvement shall be documented and implemented by the provider.

D. The provider shall document serious injuries to employees, contractors, students, volunteers and visitors. Documentation shall be kept on file for three years. The provider shall evaluate injuries at least annually. Recommendations for improvement shall be documented and implemented by the provider.

E. The risk management plan shall establish and implement policies to identify any populations at risk for falls and to develop a prevention/management program.

F. The provider shall develop, document and implement infection control measures, including the use of universal precautions.

12VAC35-105-530. Emergency preparedness and response plan.

A. The provider shall develop a written emergency preparedness and response plan for all of a provider's services and locations that describes its approach to emergencies throughout the organization or community. This plan shall include an analysis of potential emergencies that could disrupt the normal course of service delivery including emergencies that would require expanded or extended care over a prolonged period of time. The plan shall address:

1. Specific procedures describing mitigation, preparedness, response and recovery strategies, actions, and responsibilities for each emergency.

2. Documentation of contact involvement with the local emergency coordinator authorities to determine local disaster risks and community-wide plans to address different disasters and emergency situations.

2. Analysis of the provider's capabilities and potential hazards, including natural disasters, severe weather, fire, flooding, work place violence or terrorism, missing persons, severe injuries, or other emergencies that would disrupt the normal course of service delivery.

3. The process for notifying local and state authorities of the emergency and a process for contacting staff when emergency response measures are initiated.

4. Written emergency management policies outlining specific responsibilities for provision of administrative direction and management of response activities, coordination of logistics during the emergency, communications, life safety of employees, contractors, students, volunteers, visitors and individuals receiving services, property protection, community outreach, and recovery and restoration.

4. 5. Written emergency response procedures for initiating the response and recovery phase of the plan including a description of how, when, and by whom the phases will be activated. This includes assessing the situation; protecting individuals receiving services, employees, contractors, students, volunteers, visitors, equipment and vital records; and restoring services. Emergency procedures shall address:

a. Communicating with employees, contractors and community responders Warning and notification of individuals receiving services;

b. Warning and notification of individuals receiving services Communicating with employees, contractors, and community responders;

c. Designating alternative roles and responsibilities of staff during emergencies including to whom they will report in the provider's organization command structure and when activated in the community's command structure;

d. Providing emergency access to secure areas and opening locked doors;

d. e. Conducting evacuations to emergency shelters or alternative sites and accounting for all individuals receiving services;

e. f. Relocating individuals receiving residential or inpatient services, if necessary;

f. g. Notifying family members and legal guardians or authorized representatives;

g. h. Alerting emergency personnel and sounding alarms;

h. i. Locating and shutting off utilities when necessary; and

j. Maintaining a 24 hour telephone answering capability to respond to emergencies for individuals receiving services.

6. Processes for managing the following under emergency conditions:

a. Activities related to the provision of care, treatment, and services including but not limited to scheduling, modifying, or discontinuing services; controlling information about individuals receiving services; providing medication; and transportation services;

b. Logistics related to critical supplies such as pharmaceuticals, food, linen, and water;

c. Security including access, crowd control, and traffic control; and

d. Back-up communication systems in the event of electronic or power failure.

7. Specific processes and protocols for evacuation of the provider's building or premises when the environment cannot support adequate care, treatment, and services.

5. 8. Supporting documents that would be needed in an emergency, including emergency call lists, building and site maps necessary to shut off utilities, designated escape routes, and list of major resources such as local emergency shelters.

6. 9. Schedule for testing the implementation of the plan and conducting emergency preparedness drills.

B. The provider shall develop and implement periodic annual emergency preparedness and response training for all employees, individuals receiving services, contractors, students, and volunteers. Training This training shall also be provided as part of orientation for new employees and cover responsibilities for:

1. Alerting emergency personnel and sounding alarms;

2. Implementing evacuation procedures, including evacuation of individuals with special needs (i.e., deaf, blind, nonambulatory);

3. Using, maintaining, and operating emergency equipment;

4. Accessing emergency medical information for individuals receiving services; and

5. Utilizing community support services.

C. The provider shall review the emergency preparedness plan annually and make necessary revisions. Such revisions shall be communicated to employees, contractors, students and, volunteers, and individuals receiving services and incorporated into training for employees, contractors, students and volunteers and orientation of individuals to services.

D. In the event of a disaster, fire, emergency or any other condition that may jeopardize the health, safety and welfare of individuals, the provider shall take appropriate action to protect the health, safety and welfare of the individuals receiving services and take appropriate actions to remedy the conditions as soon as possible.

E. Employees, contractors, students and volunteers shall be knowledgeable in and prepared to implement the emergency preparedness plan in the event of an emergency. The plan shall include a policy regarding periodic regularly scheduled emergency preparedness training for all employees, contractors, students and volunteers.

F. In the event of a disaster, fire, emergency, or any other condition that may jeopardize the health, safety and welfare of individuals, the provider should first respond and stabilize the disaster/emergency. After the disaster/emergency is stabilized, the provider should report the disaster/emergency to the department, but no later than 72 24 hours after the incident occurs.

G. Providers of residential services shall have at all times a three-day supply of emergency food and water for all residents and staff. Emergency food supplies should include foods that do not require cooking. Water supplies shall include one gallon of water, per person, per day.

H. This section regulation does not apply to home and noncenter-based services.

12VAC35-105-540. Access to telephone in emergencies; emergency telephone numbers.

A. Telephones shall be accessible for emergency purposes.

B. Current emergency telephone numbers and location of the nearest hospital, ambulance service, rescue squad and other trained medical personnel, poison control center, fire station and the police are prominently posted near the telephones Instructions for contacting emergency services and telephone numbers shall be prominently posted near the telephone including directions to the nearest hospital and how to contact provider medical personnel if appropriate.

C. This section regulation does not apply to home and noncenter-based services and correctional facilities.

12VAC35-105-550. First aid kit accessible.

A. A well-stocked first aid kit shall be maintained and readily accessible for minor injuries and medical emergencies at each service location and to employees or contractors providing in-home services or traveling with individuals. The minimum requirements of a well-stocked first aid kit that shall be maintained include a thermometer, bandages, saline solution, band-aids, sterile gauze, tweezers, instant ice-pack, adhesive tape, first-aid cream, and antiseptic soap, an accessible, unexpired 30 cc bottle of Syrup of Ipecac (for use at the direction of the Poison Control Center or a physician), and activated charcoal (for use at the direction of the Poison Control Center or a physician).

B. A cardiopulmonary resuscitation (CPR) face guard or mask shall be readily accessible.

12VAC35-105-560. Operable flashlights or battery lanterns.

Operable flashlights or battery lanterns shall be readily accessible to employees and contractors in services that operate between dusk and dawn to use in emergencies. This section regulation does not apply to home and noncenter-based services.

12VAC35-105-580. Service description requirements.

A. The provider shall develop, implement, review and revise its descriptions of services offered according to the provider's mission and shall have that information make service descriptions available for public review.

B. The provider shall document that outline how each service offers a structured program of care individualized interventions and care designed to meet the individuals' physical and emotional needs; provide protection, guidance and supervision; and meet the objectives of any required service plan.

C. The provider shall prepare a written description of each service it offers. Service description elements Elements of each service description shall include:

1. Goals Service goals;

2. Care A description of care, treatment, training, habilitation, or other supports provided;

3. Characteristics and needs of the population individuals to be served;

4. Contract services, if any;

5. Admission Eligibility requirements and admission, continued stay, and exclusion criteria;

6. Termination of treatment Service termination and discharge or transition criteria; and

7. Type and role of employees or contractors.

D. The provider shall revise a the written service description whenever the service description changes.

E. The provider shall not implement services that are inconsistent with its most current service description.

F. The provider shall admit only those individuals whose service needs are consistent with the service description, for whom services are available, and for which staffing levels and types meet the needs of the individuals served.

G. The provider shall provide for the physical separation of children and adults in residential and inpatient services and shall provide separate group programming for adults and children, except in the case of family services. The provider shall provide for the safety of children accompanying parents receiving services. Older adolescents transitioning from school to adult activities may participate in mental retardation (intellectual disability) day support services with adults.

G. If the provider offers substance abuse treatment services, the H. The service description for substance abuse treatment services shall address the timely and appropriate treatment of substance abusing pregnant women.

I. If the provider plans to serve individuals as of a result of a temporary detention order to a service, prior to admitting those individuals to that service, the provider shall submit a written plan for adequate staffing and security measures to ensure the individual can be served safely within the service to the department for approval. If approved the department will add a stipulation to the license authorizing the provider to serve individuals who are under temporary detention orders.

J. The provider shall have a written plan on cultural and linguistic competency that assists the organization in delivering culturally competent services and use the National Standards on Culturally and Linguistically Appropriate Services (CLAS) as a primary guidance document.

12VAC35-105-590. Provider staffing plan.

A. The provider shall design and implement a staffing plan including that includes the type types and role roles and numbers of employees and contractors that reflects the required to provide the service. This staffing plan shall reflect the:

1. Needs of the population individuals served;

2. Types of services offered;

3. The service description; and

4. The number Number of people to be served at a given time.

B. The provider shall develop a written transition staffing plan for new services, added locations, and changes in capacity.

C. The provider shall meet the following staffing requirements relate related to supervision.

1. The provider shall describe how employees, volunteers, contractors and student interns are to will be supervised in the staffing plan and how that supervision will be documented.

2. Supervision of employees, volunteers, contractors and student interns shall be provided by persons who have experience in working with the population served and in providing the services outlined in the service description. In addition, supervision of mental health services shall be performed by a QMHP and supervision of mental retardation services shall be performed by a QMRP or an employee or contractor with experience equivalent to the educational requirement. Supervision of IFDDS Waiver services shall be performed by a QDDP or an employee or contractor with equivalent experience. Supervision of Brain Injury Waiver services or residential services shall be performed by a QBIP or an employee or contractor with equivalent experience.

3. Supervision shall be appropriate to the services provided and the needs of the individual. Supervision shall be documented.

4. Supervision shall include responsibility for approving assessments and individualized services plans. This responsibility may be delegated to an employee or contractor who is a QMHP, QMRP, QDDP, or QBIP or who has equivalent experience meets the qualification for supervision as defined in this regulation.

5. Supervision of mental health and substance abuse services and co-occurring disorders shall be provided by a person who is trained and experienced in providing psychiatric, mental health, or substance abuse services to individuals who have a psychiatric or substance abuse disorder diagnosis including (i) a doctor of medicine or osteopathy; (ii) a psychiatrist who is a doctor of medicine or osteopathy specializing in psychiatry and licensed in Virginia; (iii) a psychologist who has a master's degree in psychology from a college or university with at least one year of clinical experience; (iv) a social worker with at least a bachelor's degree in human services or related field (social work, psychology, psychiatric rehabilitation, sociology, counseling, vocational rehabilitation, human services counseling, or other degree deemed equivalent to those described); (v) a Registered Psychiatric Rehabilitation Provider (RPRP) registered with the United States Psychiatric Rehabilitation Association (USPRA); (vi) a registered nurse licensed in Virginia with at least one year of clinical experience; or (vii) any other licensed mental health professional with at least one year of clinical experience.

6. Supervision of mental retardation (intellectual disability) services shall be provided by a person with at least one year of documented experience working directly with individuals who have mental retardation (intellectual disability) or other developmental disabilities and holds at least a bachelor's degree in a human services field including but not limited to sociology, social work, special education, rehabilitation counseling, nursing, or psychology.

7. Supervision of individual and family developmental disabilities support (IFDDS) services shall be provided by a person possessing at least one year of documented experience working directly with individuals who have related conditions and is one of the following: a doctor of medicine or osteopathy; a registered nurse; or a person holding at least a bachelor's degree in a human service field including but not limited to sociology, social work, special education, rehabilitation counseling, or psychology.

8. Supervision of brain injury services shall be provided at a minimum by a clinician in the health professions who is trained and experienced in providing brain injury services to individuals who have a brain injury diagnosis including: (i) a doctor of medicine or osteopathy; (ii) a psychiatrist who is a doctor of medicine or osteopathy specializing in psychiatry and licensed in Virginia; (iii) a psychologist who has a master's degree in psychology from a college or university with at least one year of clinical experience; (iv) a social worker who has a bachelor's degree in human services or a related field (social work, psychology, psychiatric evaluation, sociology, counseling, vocational rehabilitation, human services counseling, or other degree deemed equivalent to those described) from an accredited college or university with at least two years of clinical experience providing direct services to individuals with a diagnosis of brain injury; (v) a Certified Brain Injury Specialist; (vi) a registered nurse licensed in Virginia with at least one year of clinical experience; or (vii) any other licensed rehabilitation professional with one year of clinical experience.

9. Providers of intensive in-home services shall define the nature and frequency of supervision by the LMHP provided to employees working directly with individuals receiving services. The LMHP shall provide direct supervision to these employees at least bi-weekly.

10. Individuals employed as supervisors prior to [the effective date of these regulations] may supervise services based on their experience.

11. Supervision shall include responsibility for approving assessments and individualized services plans. This responsibility may be delegated to an employee or contractor who meets the qualifications for supervision as defined in these regulations.

D. The provider shall employ or contract with persons with appropriate training, as necessary, to meet the specialized needs of and to ensure the safety of individuals being served in residential services with medical or nursing needs, ; speech, language, or hearing problems; or other needs where specialized training is necessary.

E. The provider Providers of brain injury services shall employ or contract with a neuropsychologist or licensed clinical psychologist specializing in brain injury to assist, as appropriate, with initial assessments, development of individualized services plans, crises, staff training, and service design.

F. Direct care staff in who provide brain injury services shall meet the qualifications of a QPPBI and successfully complete an approved training curriculum on brain injuries within six months of employment have at least a high school diploma and two years of experience working with individuals with disabilities or shall have successfully completed an approved training curriculum on brain injuries within six months of employment.

12VAC35-105-600. Nutrition.

A. A provider preparing and serving food shall:

1. Have Implement a written plan for the provision of food services, which ensures access to nourishing, well-balanced, healthful meals;

2. Make reasonable efforts to prepare meals that consider cultural background, personal preferences, and food habits and that meet the dietary needs of the individuals served; and

3. Assist individuals who require assistance feeding themselves in a manner that effectively addresses any deficits.

B. Providers of residential and inpatient services shall develop and implement a policy to monitor each individual's food consumption for:

1. Warning signs of changes in physical or mental status related to nutrition; and

2. Compliance with any needs determined by the individualized services plan or prescribed by a physician, nutritionist or health care professional.

12VAC35-105-610. Community participation.

Opportunities shall be provided for individuals receiving services Individuals receiving residential, day support, and day treatment services shall be afforded the opportunity to participate in community activities. This regulation applies to residential, day support and day treatment services. The provider shall have written documentation that such opportunities were made available to individuals served.

12VAC35-105-620. Monitoring and evaluating service quality.

The provider shall have a mechanism written policies and procedures to monitor and evaluate service quality and effectiveness on a systematic and ongoing basis. Input from individuals receiving services and their authorized representatives, if applicable, about services used and satisfaction level of participation in the direction of service planning shall be part of the provider's quality assurance system. The provider shall implement improvements, when indicated.

Article 2
Screening, Admission, Assessment, Service Planning and Orientation

12VAC35-105-630. Policies on screening, admission and referrals. (Repealed.)

A. The provider shall establish written criteria for admission that include:

1. A description of the population to be served;

2. A description of the types of services offered; and

3. Exclusion criteria.

B. The provider shall admit only those individuals whose service needs are consistent with the service description, for whom services are available, and for which staffing levels and types meet the needs of the individuals served.

C. The provider shall complete a preliminary assessment detailed enough to determine that the individual qualifies for admission and to develop a preliminary individualized services plan for individuals admitted to services. Employee or contractors responsible for screening, admitting and referral shall have immediate access to written service descriptions and admission criteria.

D. The provider shall assist individuals who are not admitted to identify other appropriate services.

E. The provider shall develop and implement procedures for screening, admitting, and referring individuals to services, to include staff who are designated to perform these activities.

12VAC35-105-640. Screening and referral services documentation and retention. (Repealed.)

A. The provider shall maintain written documentation of each screening performed, including:

1. Date of initial contact;

2. Name, age, and gender of the individual;

3. Address and phone number, if applicable;

4. Presenting needs or situation to include psychiatric/medical problems, current medications and history of medical care;

5. Name of screening employee or contractor;

6. Method of screening;

7. Screening recommendation; and

8. Disposition of individual.

B. The provider shall retain documentation for each screening. For individuals not admitted, documentation shall be retained for six months. Documentation shall be included in the individual's record if the individual is admitted.

12VAC35-105-645. Initial contacts, screening, admission, assessment, service planning, orientation, and discharge.

A. The provider shall develop and implement policies and procedures for initial contacts and screening, admissions, and referral of individuals to other services and designate staff to perform these activities.

B. The provider shall maintain written documentation of an individual's initial contact and screening prior to his admission including the:

1. Date of contact;

2. Name, age, and gender of the individual;

3. Address and telephone number of the individual, if applicable;

4. Reason why the individual is requesting services; and

5. Disposition of the individual including his referral to other services for further assessment, placement on a waiting list for service, or admission to the service.

C. The provider shall assist individuals who are not admitted to identify other appropriate services.

D. The provider shall retain documentation of the individual's initial contacts and screening for six months. Documentation shall be included in the individual's record if the individual is admitted to the service.

12VAC35-105-650. Assessment policy.

A. The provider shall document develop and implement an a written assessment policy. The policy shall define how assessments will be documented.

B. The provider shall conduct an assessment to identify an individual's physical, medical, behavioral, functional, and social strengths, preferences and needs, as applicable. The assessment shall address:

1. Onset/duration of problems;

2. Social/behavioral/developmental/family history;

3. Employment/vocation/educational background;

4. Previous interventions/outcomes;

5. Financial resources and benefits;

6. Health history and current medical care needs;

7. Legal status, including guardianship, commitment and representative payee status, and relevant criminal charges or convictions, probation or parole status;

8. Daily living skills;

9. Social/family supports;

10. Housing arrangements; and

11. Ability to access services.

B. The provider shall solicit the individual's own assessment and shall actively involve the individual and authorized representative, if applicable, in the preparation of initial and comprehensive assessments and in subsequent reassessments. In these assessments and reassessments the provider shall consider the individual's needs, strengths, goals, preferences, and abilities within the individual's cultural context.

C. The assessment policy shall designate employees or contractors who are responsible for conducting assessments. Employees or contractors responsible for assessments These employees or contractors shall have experience in working with the population needs of individuals who are being assessed and with, the assessment tool or tools being utilized, and the provision of services that the individuals may require.

D. Frequency of assessments.

1. A preliminary assessment shall be done prior to admission;

2. The preliminary assessment shall be updated and finalized during the first 30 days of service prior to completing the individualized services plan. Longer term assessments may be included as part of the individualized services plan. The provider shall document the reason for assessments requiring more than 30 days.

3. Reassessments shall be completed when there is a need based on the medical, psychiatric or behavioral status of the individual and at least annually.

E. D. Assessment is an ongoing activity. The provider shall make reasonable attempts to obtain previous assessments.

E. An initial assessment shall be completed prior to or at admission to the service. With the participation of the individual and the individual's authorized representative, if applicable, the provider shall complete an initial assessment detailed enough to determine whether the individual qualifies for admission and to develop an initial ISP for those individuals who are admitted to the service. This initial assessment shall assess immediate service, health and safety needs, and at a minimum address the individual's:

1. Diagnosis;

2. Presenting needs including the individual's stated needs, psychiatric needs, support needs, and the onset and duration of problems;

3. Current medical problems;

4. Current medications;

5. Current and past substance use or abuse, including co-occurring mental health and substance abuse disorders; and

6. At-risk behavior to self and others.

F. A comprehensive assessment shall update and finalize the initial assessment. The timing for completion of the comprehensive assessment shall be based upon the nature and scope of the service but shall occur no later than 60 days after admission. It shall address:

1. Onset and duration of problems;

2. Social, behavioral, developmental and family history and supports;

3. Cognitive functioning including strengths and weaknesses;

4. Employment, vocation and educational background;

5. Previous interventions and outcomes;

6. Financial resources and benefits;

7. Health history and current medical care needs, to include:

a. Allergies;

b. Recent physical complaints and medical conditions;

c. Nutritional needs;

d. Chronic conditions;

e. Communicable diseases;

f. Restrictions on physical activities if any;

g. Past serious illnesses, serious injuries, and hospitalizations;

h. Serious illnesses and chronic conditions of the individual's parents, siblings, and significant others in the same household;

i. Current and past substance usage including alcohol, prescription and nonprescription medications, and illicit drugs; and

j. Reproductive history including pregnancy status.

8. Psychiatric and substance use issues including current mental health or substance use needs, presence of co-occurring disorders, history of substance use or abuse, and circumstances that increase the individual's risk for mental health or substance use issues;

9. History of abuse, neglect, sexual and domestic violence, or trauma including psychological trauma;

10. Legal status including guardianship, commitment, and representative payee status;

11. Relevant criminal charges or convictions and probation or parole status;

12. Daily living skills;

13. Housing arrangements;

14. Ability to access services including transportation needs; and

15. As applicable, and in all residential services, fall risk, communication methods or needs, and mobility and adaptive equipment needs.

G. Providers of short-term intensive services including inpatient and crisis stabilization services shall develop policies for completing comprehensive assessments within the time frames appropriate for those services.

H. Providers of non-intensive or short-term services shall meet the requirements for the initial assessment at a minimum. Non-intensive services are services provided in jails, nursing homes, or other locations when access to records and information is limited by the location and nature of the services. Short-term services typically are provided for less than 60 days.

I. Providers may utilize standardized state or federally sanctioned assessment tools that do not meet all the criteria of 12VAC35-105-650 as the initial or comprehensive assessment tools as long as the tools assess the individual's health and safety issues and substantially meet the requirements of this regulation.

J. Individuals who receive medication-only services shall be reassessed at least annually to determine whether there is a change in the need for additional services and the effectiveness of the medication.

K. The provider shall retain documentation for each assessment for a period of six months. Documentation shall be included in the individual's record if the individual is admitted.

L. The provider shall assist individuals who are not scheduled for further assessment or who are not admitted to identify other appropriate services.

12VAC35-105-660. Individualized services plan (ISP).

A. The provider shall develop a preliminary individualized services plan for the first 30 days. The preliminary individualized services plan shall be developed and implemented within 24 hours of admission and shall continue in effect until the individualized services plan is developed or the individual is discharged, whichever comes first actively involve the individual and authorized representative, as appropriate, in the development, review, and revision of a person-centered ISP. The individualized services planning process shall be consistent with laws protecting confidentiality, privacy, human rights of individuals receiving services, and rights of minors.

B. The provider shall develop an individualized services plan for each individual as soon as possible after admission but no later than 30 days after admission. Providers of short-term services must develop and implement a policy to develop individualized services plans within a time frame consistent with the expected length of stay of individuals. Services requiring longer term assessments may include the completion of those as part of the individualized services plan as long as all appropriate services are incorporated into the individualized services plan based on the assessment completed within 30 days of admission and the individualized services plan is updated upon the completion of assessment initial person-centered ISP for the first 60 days. This ISP shall be developed and implemented within 24 hours of admission to address immediate service, health, and safety needs and shall continue in effect until the ISP is developed or the individual is discharged, whichever comes first.

C. The individualized services plan shall address:

1. The individual's needs and preferences.

2. Relevant psychological, behavioral, medical, rehabilitation and nursing needs as indicated by the assessment;

3. Individualized strategies, including the intensity of services needed;

4. A communication plan for individuals with communication barriers, including language barriers; and

5. The behavior treatment plan, if applicable.

D. The provider shall comply with the human rights regulations in regard to participation in decision-making by the individual or legally authorized representative in developing or revising the individualized services plan.

E. The provider shall involve family members, guardian, or others, if appropriate, in developing, reviewing, or revising, at least annually, the individualized service plans consistent with laws protecting confidentiality, privacy, the human rights of individuals receiving services (see 12VAC35-115-60) and the rights of minors.

F. Employees or contractors responsible for implementation of an individualized services plan shall demonstrate a working knowledge of the plan's goals, objectives and strategies.

G. The provider shall designate a person who will develop and implement individualized service plans.

H. The provider shall implement the individualized services plan and review it at least every three months or whenever there is a revised assessment. These reviews shall evaluate the individual's progress toward meeting the plan's objectives. The goals, objectives and strategies of the individualized services plan shall be updated, if indicated.

I. The individualized service plan shall be consistent with the CSP for individuals served by the IFDDS Waiver.

J. In brain injury services, the individualized services plan shall be reassessed and revised more frequently than annually, consistent with the individual's course of recovery.

C. The provider shall develop and implement a person-centered comprehensive ISP as soon as possible after admission based upon the nature and scope of services but no later than 60 days after admission.

12VAC35-105-665. ISP requirements.

A. The comprehensive ISP shall address or include:

1. The individual's needs, strengths, abilities, personal preferences, goals, and natural supports;

2. A summary of or reference to the assessment;

3. Relevant and attainable goals, measurable objectives, and specific strategies for addressing each identifiable need;

4. Services and supports and frequency of services required to accomplish the goals including relevant psychological, mental health, substance abuse, behavioral, medical, rehabilitation, training, and nursing needs and supports as indicated by the assessment;

5. The role of the individual and others in implementing the service plan;

6. A communication plan for individuals with communication barriers, including language barriers;

7. A behavior support or treatment plan, if applicable;

8. A safety plan that addresses identified risks to the individual or to others, including a fall risk plan;

9. A crisis or relapse plan, if applicable;

10. Target dates for accomplishment of goals and objectives and estimated duration of ISP;

11. Discharge goals, if applicable;

12. Identification of employees or contractors responsible for coordination and integration of services, including employees of other agencies; and

13. Recovery plans.

B. The ISP shall be signed and dated at a minimum by the person responsible for implementing the plan and the individual receiving services or the authorized representative. If the signature of the individual receiving services or the authorized representative cannot be obtained the provider shall document his attempt to attain the necessary signature and the reason why he was unable to obtain it.

C. The provider shall designate a person who will be responsible for developing, implementing, reviewing, and revising each individual's ISP in collaboration with the individual or authorized representative, as appropriate.

D. Employees or contractors who are responsible for implementing the ISP shall demonstrate a working knowledge of the objectives and strategies contained in the individual's current ISP.

E. Providers of short-term intensive services such as inpatient and crisis stabilization services that are typically provided for less than 30 days shall develop and implement a policy to develop an ISP within a timeframe consistent with the length of stay of individuals.

F. The ISP shall be consistent with the plan of care for individuals served by the IFDDS Waiver.

G. When a provider provides more than one service to an individual the provider may maintain a single ISP document that contains individualized objectives and strategies for each service provided.

H. Whenever possible the identified goals in the ISP shall be written in the words of the individual receiving services.

12VAC35-105-670. Individualized services plan requirements. (Repealed.)

A. The individualized services plan shall include, at a minimum:

1. A summary or reference to the assessment;

2. Goals and measurable objectives for addressing each identified need;

3. The services and supports and frequency of service to accomplish the goals and objectives;

4. Target dates for accomplishment of goals and objectives;

5. Estimated duration of service plan;

6. Discharge plan, where applicable; and

7. The employees or contractors responsible for coordination and integration of services, including employees of other agencies.

B. The individualized services plan shall be signed and dated, at a minimum, by the person responsible for implementing the plan and the individual receiving services or the legally authorized representative. If unable to obtain the signature of the individual receiving services or the legally authorized representative, the provider shall document the reason.

12VAC35-105-675. Reassessments and ISP reviews.

A. Reassessments shall be completed at least annually and when there is a need based on the medical, psychiatric, or behavioral status of the individual.

B. The provider shall update the ISP at least annually. The provider shall review the ISP at least every three months or whenever there is a revised assessment based upon the individual's changing needs or goals. These reviews shall evaluate the individual's progress toward meeting the plan's goals and objectives and the continued relevance of the ISP's objectives and strategies. The provider shall update the goals, objectives, and strategies contained in the ISP, if indicated, and implement any updates made.

12VAC35-105-680. Progress notes or other documentation.

The provider shall use signed and dated progress notes or other documentation to document the services provided, and the implementation of and outcomes of individualized services plans contained in the ISP.

12VAC35-105-690. Orientation.

A. The provider shall develop and implement a written policy regarding the orientation of individuals and the legally their authorized representative representatives, if applicable to services.

B. At a minimum, As appropriate to the scope and level of services the policy shall require the provision to individuals and the legally authorized representative of the following information, as appropriate to the scope and level of services:

1. The mission of the provider or service;

2. Confidentiality Service confidentiality practices and protections for individuals receiving services;

3. Human rights policies and protections and instructions on how to report violations;

4. Participation Opportunities for participation in treatment services and discharge planning;

5. Fire safety and emergency preparedness procedures;

6. The provider's grievance procedure;

7. Service guidelines including criteria for discharge or transfer from services;

8. Physical plant or building lay-out;

9. Hours and days of operation; and

10. Availability of after-hours service; and

11. Any charges or fees due from the individual.

C. In addition, individuals receiving treatment services in a correctional facilities will facility shall receive an orientation to the facility's security restrictions.

D. The provider shall document that orientation has been provided to individuals and the legal guardian/authorized representative the individual and authorized representative, if applicable, received an orientation to services.

12VAC35-105-691. Transition of individuals among service locations.

A. The provider shall have written procedures that define the process for transitioning an individual between or among services or locations operated by the provider. At a minimum the policy shall address:

1. The process by which the provider will assure continuity of services during and following transition.

2. The participation of the individual and his family or authorized representative, as applicable, in the decision to move and in the planning for transfer;

3. The process and timeframe for transferring the individual's record and ISP to the destination location;

4. The process and timeframe for transmitting the transfer summary to the destination location; and

5. The process and timeframe for transmitting, where applicable, discharge and admission summaries to the destination location.

B. The transfer summary shall include at a minimum the following:

1. Description of each service provided at the initial location;

2. Description of each service to be provided at the destination location;

3. Reason for the individual's transfer;

4. Documentation of involvement by the individual and his family or authorized representative, as applicable, in the decision to and planning for the transfer;

5. Current psychiatric and medical conditions or issues of the individual and the identity of the individual's health care providers;

6. Updated progress of the individual in meeting goals and objectives in his ISP;

7. Emergency medical information;

8. Dosages of all currently prescribed medications and over-the-counter medications used by the individual;

9. Transfer date; and

10. Signature of employee or contractor responsible for preparing the transfer summary.

C. The transfer summary may be documented in the individual's progress notes or in information easily accessible within an electronic record.

12VAC35-105-693. Discharge.

A. The provider shall have policies and procedures regarding the discharge or termination of individuals from the service. These policies and procedures shall include medical and clinical criteria for discharge.

B. Discharge instructions shall be provided in writing to the individual and his authorized representative, as applicable. Discharge instructions shall include at a minimum medications and dosages; names, phone numbers, and addresses of any providers to whom the individual is referred; current medical issues or conditions; and the identity of health care providers. This applies to residential and inpatient services only.

C. The provider shall make appropriate arrangements or referrals to all service providers identified in the discharge plan prior to the individual's scheduled discharge date.

D. The content of the discharge plan and the determination to discharge the individual shall be consistent with the ISP and the criteria for discharge.

E. The provider shall document in the individual's service record that the individual, his authorized representative, and his family members, as appropriate, have been involved in the discharge planning process.

F. A written discharge summary shall be completed within 30 days of discharge and shall include at a minimum the following:

1. Reason for the individual's admission to and discharge from the service;

2. Description of the individual's or authorized representative's participation in discharge planning;

3. The individual's current level of functioning or functioning limitations, if applicable;

4. Recommended procedures, activities, or referrals to assist the individual in maintaining or improving functioning and increased independence;

5. The status, location, and arrangements that have been made for future services;

6. Progress made by the individual in achieving goals and objectives identified in the ISP and summary of critical events during service provision;

7. Discharge date;

8. Discharge medications, if applicable;

9. Date the discharge summary was actually written or documented; and

10. Signature of the person who prepared the summary.

Article 3
Crisis Intervention and Clinical Emergencies

12VAC35-105-700. Written policies and procedures for a crisis or clinical emergency interventions; required elements.

A. The provider shall develop and implement written policies and procedures for prompt intervention in the event of a crisis or clinical a behavioral, medical, or psychiatric emergency that occurs may occur during screening and referral or during, at admission and, or during the period of service provision. A clinical emergency refers to either a medical or psychiatric emergency.

B. The policies and procedures shall include:

1. A definition of what constitutes a crisis and clinical or behavioral, medical, or psychiatric emergency;

2. Procedures for stabilization and immediate access to immediately accessing appropriate internal and external resources including a provision for. This shall include a provision for obtaining physician and mental health clinical services if the provider's or service's on-call or back-up physician back up or mental health clinical services are not available at the time of the emergency;

3. Employee or contractor responsibilities; and

4. Location of emergency medical information for individuals each individual receiving services, including any advance psychiatric or medical directive or crisis response plan developed by the individual, which shall be readily accessible to employees or contractors on duty in an emergency or crisis.

12VAC35-105-710. Documenting crisis intervention and clinical emergency services.

A. The provider shall develop a method for documenting the provision of crisis intervention and clinical emergency services. Documentation shall include the following:

1. Date and time;

2. Nature Description of the nature of or circumstances surrounding the crisis or emergency;

3. Name of individual;

4. Precipitating Description of precipitating factors;

5. Interventions/treatment Interventions or treatment provided;

6. Employees Names of employees or contractors involved responding to or consulted during the crisis or emergency; and

7. Outcome.

B. If a crisis or clinical emergency involves an individual who is admitted into service, documentation of the crisis intervention documentation or provision of emergency services shall become part of his record.

Article 4
Medical Management

12VAC35-105-720. Health care policy.

A. The provider shall develop and implement a written policy, appropriate to the scope and level of service that addresses provision of adequate and appropriate medical care. This policy shall describe how:

1. Medical care needs will be assessed including circumstances that will prompt the decision to obtain a medical assessment.

2. Individualized services plans will address any medical care needs appropriate to the scope and level of service.

3. Identified medical care needs will be addressed.

4. Substance abuse will be assessed.

5. The provider manages will manage medical care needs or responds respond to abnormal findings.

5. 6. The provider communicates will communicate medical assessments and diagnostic laboratory results to individuals the individual and authorized representatives representative, as appropriate.

6. 7. The provider keeps will keep accessible to staff and contractors on duty the names, addresses, and phone numbers of the individual's medical and dental providers.

7. 8. The provider ensures will ensure a means for facilitating and arranging, as appropriate, transportation to medical and dental appointments and medical tests, when services cannot be provided on site.

B. The provider shall establish and implement policies to identify any individuals who are at risk for falls and develop and implement a fall prevention and management plan and program for each at risk individual.

C. Providers of residential or inpatient services shall either provide or arrange for the provision of appropriate medical care. A provider Providers of other services shall define instances when it they shall provide or arrange for appropriate medical and dental care and instances when it they shall refer the individual to appropriate medical care.

D. The provider shall develop, document, and implement infection control measures including the use of universal precautions.

E. The provider shall report outbreaks of infectious diseases to the Department of Health pursuant to § 32.1-37 of the Code of Virginia.

12VAC35-105-730. Medical information. (Repealed.)

A. The provider shall develop and implement a medical evaluation or document its ability to obtain a medical evaluation that consists of, at a minimum, a health history and emergency medical information.

B. A health history shall include:

1. Allergies;

2. Recent physical complaints and medical conditions;

3. Chronic conditions;

4. Communicable diseases;

5. Handicaps or restriction on physical activities, if any;

6. Past serious illnesses, serious injuries and hospitalizations;

7. Serious illnesses and chronic conditions of the individual's parents, siblings and significant others in the same household;

8. Current and past drug usage including alcohol, prescription and nonprescription medications, and illicit drugs; and

9. Sexual health and reproductive history.

12VAC35-105-740. Physical examination.

A. The provider shall develop in consultation with a qualified practitioner and implement a policy on the provision of physical examinations in consultation with a qualified practitioner. Providers of residential services shall administer or obtain results of physical exams within 30 days of an individual's admission. Providers of inpatient services shall administer physical exams within 24 hours of an individual's admission.

B. A physical examination shall include, at a minimum:

1. General physical condition (history and physical);

2. Evaluation for communicable diseases;

3. Recommendations for further diagnostic tests and treatment, if appropriate;

4. Other examinations that may be indicated, if appropriate; and

5. The date of examination and signature of a qualified practitioner.

C. Locations designated for physical examinations shall ensure individual privacy.

D. The provider shall make arrangements for the timely receipt of any further diagnostic tests, treatments, or examinations that may be indicated by the physical examination.

E. The provider shall document results of the physical examination and of any follow-up diagnostic tests, treatments, or examinations in the individual's records.

12VAC35-105-750. Emergency medical information.

A. The provider shall maintain the following emergency medical information for each individual:

1. If available, the name, address, and telephone number of:

a. The individual's physician; and

b. A relative, legally authorized representative, or other person to be notified;

2. Medical insurance company name and policy or Medicaid, Medicare or CHAMPUS number, if any; and

3. Currently prescribed medications and over-the-counter medications used by the individual;

4. Medication and food allergies;

5. History of substance abuse;

6. Significant medical problems or conditions;

7. Significant ambulatory or sensory problems;

8. Significant communication problems; and

8. 9. Advance directive, if one exists.

B. Current emergency medical information shall be readily available to employees or contractors wherever program services are provided.

Article 5
Medication Management Services

12VAC35-105-770. Medication management.

A. The provider shall develop and implement written policies addressing:

1. The safe administration, handling, storage, and disposal of medications;

2. The use of medication orders;

3. The handling of packaged medications brought by individuals from home or other residences;

4. Employees or contractors who are authorized to administer medication and training required for administration of medication;

5. The use of professional samples; and

6. The window within which medications can be given in relation to the ordered time of administration.

B. Medications shall be administered only by persons who are authorized by state law.

C. Medications shall be administered only to the individuals for whom the medications are prescribed and shall be administered as prescribed.

D. The provider shall maintain a daily log of all medicines received and refused by each individual. This log shall identify the employee or contractor who administered the medication, the name of the medication and dosage administered or refused, and the time the medication was administered or refused.

E. If the provider administers medications or supervises self-administration of medication in a service, a current medication order for all medications the individual receives shall be maintained on site.

F. The provider shall promptly dispose of discontinued drugs, outdated drugs, and drug containers with worn, illegible, or missing labels according to the applicable regulations of the Virginia Board of Pharmacy.

12VAC35-105-790. Medication administration and storage or pharmacy operation.

A. The A provider responsible for medication administration and medication storage or pharmacy operations shall comply with:

1. The Drug Control Act (§ 54.1-3400 et seq. of the Code of Virginia);

2. The Virginia Board of Pharmacy regulations (18VAC110-20);

3. The Virginia Board of Nursing regulations and Medication Administration Curriculum (18VAC90-20-370 through 18VAC90-20-390); and

4. Applicable federal laws and regulations relating to controlled substances.

B. The A provider responsible for medication administration and storage or pharmacy operation shall provide in-service training to employees and consultation to individuals or legally and authorized representatives on issues of basic pharmacology including medication side effects.

Article 6
Behavior Management Interventions

12VAC35-105-800. Policies and procedures on behavior management techniques interventions and supports.

A. The provider shall develop and implement written policies and procedures that describe the use of behavior management techniques interventions, including, but not limited to, seclusion, restraint, and time out. The policies and procedures shall:

1. Be consistent with applicable federal and state laws and regulations;

2. Emphasize positive approaches to behavior management interventions;

3. List and define behavior management techniques interventions in the order of their relative degree of intrusiveness or restrictiveness and the conditions under which they may be used in each service for each individual;

4. Protect the safety and well-being of the individual at all times, including during fire and other emergencies;

5. Specify the mechanism for monitoring the use of behavior management techniques interventions; and

6. Specify the methods for documenting the use of behavior management techniques interventions.

B. The behavior management policies and procedures shall be developed, implemented, and monitored by employees or contractors trained in behavior management programming Employees and contractors trained in behavior support interventions shall implement and monitor all behavior interventions.

C. Policies and procedures related to behavior management shall be available to individuals, their families, guardians and advocates except that it does not apply to services provided in correctional facilities interventions shall be available to individuals, their families, authorized representatives, and advocates. Notification of policies does not need to occur in correctional facilities.

D. Individuals receiving services shall not discipline, restrain, seclude or implement behavior management techniques interventions on other individuals receiving services.

E. Injuries resulting from or occurring during the implementation of behavior management techniques interventions shall be recorded in the clinical individual's services record and reported to the employee or contractor responsible for the overall coordination of services.

12VAC35-105-810. Behavioral treatment plan.

A behavioral treatment plan may be developed as part of the individualized services plan in response to behavioral needs identified through the assessment process. A behavioral treatment plan may include restrictions only if the plan has been developed according to procedures outlined in the human rights regulations. Behavioral A behavioral treatment plan shall be developed, implemented, and monitored by employees or contractors trained in behavioral treatment.

12VAC35-105-820. Prohibited actions.

The following actions shall be prohibited:

1. Prohibition of contacts and visits with attorney, probation officer, placing agency representative, minister or chaplain;

2. Any action that is humiliating, degrading, or abusive;

3. Corporal punishment;

4. Subjection to unsanitary living conditions;

5. Deprivation of opportunities for bathing or access to toilet facilities except as ordered by a licensed physician for a legitimate medical purpose and documented in the individual's record;

6. Deprivation of appropriate services and treatment;

7. Deprivation of health care;

8. Administration of laxatives, enemas, or emetics except as ordered by a physician or other professional acting within the scope of his license for a legitimate medical purpose and documented in the individual's record;

9. Applications of aversive stimuli except as permitted pursuant to other applicable state regulations;

10. Limitation on contacts with regulators, advocates or staff attorneys employed by the department or the Department for the Rights of Virginians with Disabilities Virginia Office for Protection and Advocacy.

11. Deprivation of drinking water or food necessary to meet an individual's daily nutritional needs except as ordered by a licensed physician for a legitimate medical purpose and documented in the individual's record;

12. Prohibition on contacts and or visits with family or legal guardian an authorized representative except as permitted by other applicable state regulations or by order of a court of competent jurisdiction;

13. Delay or withholding of incoming or outgoing mail except as permitted by other applicable state and federal regulations or by order of a court of competent jurisdiction; and

14. Deprivation of opportunities for sleep or rest except as ordered by a licensed physician for a legitimate medical purpose and documented in the individual's record.

12VAC35-105-830. Seclusion, restraint, and time out.

A. The use of seclusion, restraint, and time out shall comply with applicable federal and state laws and regulations and be consistent with the provider's policies and procedures.

B. Devices used for mechanical restraint shall be designed specifically for behavior management of human beings in clinical or therapeutic programs.

C. Application of time out, seclusion, and restraint shall be documented in the individual's record and, at a minimum, include the following:

1. Physician's order;

2. Date and time;

3. Employees or contractors involved;

4. Circumstances and reasons for use, including but not limited to other behavior management techniques attempted;

5. Duration;

6. Type of technique used; and

7. Outcomes, including documentation of debriefing of the individual and staff involved following the incident.

12VAC35-105-840. Requirements for seclusion room.

A. The room used for seclusion shall meet the design requirements for buildings used for detention or seclusion of persons.

B. The seclusion room shall be at least six feet wide and six feet long with a minimum ceiling height of eight feet.

C. The seclusion room shall be free of all protrusions, sharp corners, hardware, fixtures or other devices which may cause injury to the occupant individual.

D. Windows in the seclusion room shall be so constructed as to minimize breakage and otherwise prevent the occupant individual from harming himself.

E. Light fixtures and other electrical receptacles in the seclusion room shall be recessed or so constructed as to prevent the occupant individual from harming himself. Light controls shall be located outside the seclusion room.

F. Doors to the seclusion room shall be at least 32 inches wide, shall open outward and shall contain observation view panels of transparent wire glass or its approved equivalent, not exceeding 120 square inches but of sufficient size for someone outside the door to see into all corners of the room.

G. The seclusion room shall contain only a mattress with a washable mattress covering designed to avoid damage by tearing.

H. The seclusion room shall maintain temperatures appropriate for the season.

I. All space in the seclusion room shall be visible through the locked door, either directly or by mirrors.

Article 7
Continuity of Service and Discharge

12VAC35-105-850. Transition of individuals among services. (Repealed.)

A. The provider shall have written procedures to define the process for the transition of an individual among services of the provider. At a minimum, the policy will address:

1. Continuity of service;

2. Participation of the individual and his family;

3. Transfer of the individual's record;

4. Transfer summary; and

5. Where applicable, discharge and admission summaries.

B. The transfer summary will include at a minimum:

1. The originating service;

2. The destination service;

3. Reason for transfer;

4. Current psychiatric and medical condition of the individual;

5. Updated progress on meeting the goals and objectives of the ISP;

6. Medications and dosages in use;

7. Transfer date; and

8. Signature of employee or contractor responsible for preparing the transfer summary.

12VAC35-105-860. Discharge. (Repealed.)

A. The provider shall have written policies and procedures regarding the discharge of individuals from the service and termination of services. These policies and procedures shall include medical or clinical criteria for discharge.

B. Discharge instructions shall be provided, in writing, to the individual or his legally authorized representative or both. Discharge instructions shall include, at a minimum, medications and dosages, phone numbers and addresses of any providers to whom the individual is referred, current medical issues, conditions, and the identity of health care providers. This regulation applies to residential and inpatient services.

C. The provider shall make appropriate arrangements or referrals to all services identified by the discharge plan prior to the individual's scheduled discharge date.

D. Discharge planning and discharge shall be consistent with the individualized services plan and the criteria for discharge.

E. The individual's, the individual's legally authorized representative and the individual's family's involvement in discharge planning shall be documented in the individual's service record.

F. A written discharge summary shall be completed within 30 days of discharge and shall include, at a minimum, the:

1. Reason for admission and discharge;

2. Individual's participation in discharge planning;

3. Individual's level of functioning or functional limitations, if applicable;

4. Recommendations on procedures, activities, or referrals to assist the individual in maintaining or improving functioning and increased independence and the status, location and arrangements for future services that have been made;

5. Progress made achieving the goals and objectives identified in the individualized services plan and summary of critical events during service provision;

6. Discharge date;

7. Discharge medications, if applicable;

8. Date the discharge summary was actually written/documented; and

9. Signature of person who prepared summary.

Part V
Records Management

12VAC35-105-870. Written and electronic records management policy.

A. The provider shall develop and implement a written and electronic records management policy that shall describe describes confidentiality, accessibility, security, and retention of records pertaining to individuals, including:

1. Access and limitation of access, duplication and, or dissemination of individual information only to persons legally who are authorized to access such information according to federal and state laws;

2. Storage, processing and handling of active and closed records;

3. Storage, processing and handling of electronic records;

4. Security measures to that protect records from loss, unauthorized alteration, inadvertent or unauthorized access, disclosure of information, and transportation of records between service sites; physical and data security controls shall exist for electronic records;

5. Strategies for service continuity and record recovery from interruptions that result from disasters or emergencies including contingency plans, electronic or manual back-up systems, and data retrieval systems;

6. Designation of the person responsible for records management; and

6. 7. Disposition of records in the event that the service ceases operation. If the disposition of records would involve involves a transfer to another provider, the provider shall have a written agreement with that provider.

B. The records management policy shall be consistent with applicable state and federal laws and regulations including:

1. Section 32.1-127.1:03 of the Code of Virginia;

2. 42 USC § 290dd;

3. 42 CFR Part 2; and

4. The Health Insurance Portability and Accountability Act (Public Law 104-191, 42 45 USC § 300gg et seq.) and implementing regulations (42 CFR Part 146) (45 CFR Parts 160, 162, and 164).

12VAC35-105-880. Documentation policy.

A. The provider shall define, by policy, all records it maintains that address an individual's care and treatment and what each record contains.

B. The provider shall define, by policy, and implement a system of documentation which that supports appropriate service planning, coordination, and accountability. At a minimum this policy shall outline:

1. The location of the individual's record;

2. Methods of access by employees or contractors to the individual's record; and

3. Methods of updating the individual's record by employees or contractors including the frequency and format of updates.

C. Entries in the individual's record shall be current, dated, and authenticated by the person persons making the entry entries. Errors shall be corrected by striking through the incorrect information and initialing the correction. If records are electronic, the provider shall develop and implement a written policy to identify on the identification of corrections of to the record.

12VAC35-105-890. Individual's service record.

A. There shall be a single, separate primary record for each individual or family admitted for service. A separate record shall be maintained for each family member who is receiving individual treatment.

B. All individuals admitted to the service shall have identifying information on the face sheet readily accessible in the individual's service record. Identifying information on a standardized face sheet or sheets shall include the following:

1. Identification number unique for the individual;

2. Name of individual;

3. Current residence, if known;

4. Social security number;

5. Gender;

6. Marital status;

7. Date of birth;

8. Name of legal guardian or authorized representative, if applicable;

9. Name, address, and telephone number for emergency contact;

10. Adjudicated legal incompetency or legal incapacity, if applicable; and

11. Date of admission to service.

C. In addition to the face sheet, an individual's service record shall contain, at a minimum:

1. Screening documentation;

2. Assessments;

3. Medical evaluation, as applicable to the service;

4. Individualized services plans and reviews;

5. Progress notes; and

6. A discharge summary, if applicable.

12VAC35-105-900. Record storage and security.

A. When not in use, active and closed records shall be stored in a locked cabinet or room.

B. Physical and data security controls shall exist for to protect electronic records.

12VAC35-105-910. Retention of individual's service records.

A. An Unless otherwise specified by state or federal requirements, the provider shall retain an individual's service records shall be kept record for a minimum of three years after his discharge date or date of last contact unless otherwise specified by state or federal requirements.

B. Permanent information kept on each individual shall include The provider shall retain the following individual information permanently:

1. Individual's name;

2. Social security number;

3. Date of individual's birth;

4. Dates of admission and discharge; and

5. Name and address of legal guardian authorized representative, if any.

Part VI
Additional Requirements for Selected Services

Article 1
Opioid Treatment Services

12VAC35-105-925. Standards for the evaluation of the need for new licenses for providers of services to persons with opioid addiction.

A. Applicants requesting an initial license to provide a new service for the treatment of opioid addiction through the use of methadone or any other opioid treatment medication or controlled substance shall supply information to demonstrate the department that demonstrates the need for, and appropriateness of, the proposed service in accordance with this section.

B. Applicants shall demonstrate that the geographic and demographic parameters of the service area are reasonable and the proposed service is expected to serve a sufficient number of individuals to justify the service as documented in subsection D of this section. For purposes of demonstrating need, applicants shall define a service area that is located entirely in Virginia and does not extend more than 100 miles from the proposed location of the service. Applicants also shall identify the number of individuals they seek to be licensed to serve.

C. Applicants shall submit admission policies that give priority to individuals residing in the service area for admission and placement on waiting lists.

D. Applicants shall demonstrate that there are persons residing in their service areas who have an opioid addiction who would benefit from the proposed service. The following information may be used by the applicant to document that individuals in the service area are known or reasonably expected to need the proposed service:

1. Numbers of persons on waiting lists for admission to any existing opioid addiction or other public substance abuse treatment program in the service area for the most recent available 12-month period;

2. Numbers of opioid use disorder cases (e.g., overdoses) originating from the proposed service area that have been treated in hospital emergency rooms for the most recent available 12-month period;

3. Projections of the number of persons in the service area who are likely to obtain services for opioid addiction, based on drug-use forecasting data;

4. Data reported on suicidal and accidental deaths related to opioid use in the proposed service area for the most recent available 12-month period;

5. Data regarding arrests from local law-enforcement officials in the proposed service area related to illicit opioid activities;

6. Data on communicable diseases for the proposed service area related to injection drug abuse (e.g. HIV, AIDS, TB, and Hepatitis B and C);

7. Data on the availability of any evidence-based alternative service or services that have been proven effective in the treatment of opioid addiction and that are accessible to persons within the proposed service area, including services provided by physicians' offices; and

8. Letters of support from citizens, governmental officials, or health care providers, that indicate that there are conditions or problems associated with substance abuse in the community that demonstrate a need for opioid treatment services in the service area.

E. The department shall determine whether a need exists for the proposed service based on the documentation provided in accordance with subsection D of this section and the consideration of the following standards:

1. Whether there are a sufficient number of persons in the proposed service area who are likely to need the specific opioid treatment service that the applicant intends to provide;

2. Whether the data indicate that evidence-based service capacity in the service area is not responsive to or sufficient enough to meet the needs of individuals with opioid addiction; and

3. Whether there is documentation of support to confirm the need for the proposed service in the proposed service area.

F. The proposed site of the service shall comply with § 37.2-406 of the Code of Virginia and, with the exception of services that are proposed to be located in Planning District 8, shall not be located within one-half mile of a public or private licensed day care center or a public or private K-12 school.

G. In jurisdictions without zoning ordinances, the department shall request that the local governing body advise it as to whether the proposed site is suitable for and compatible with use as an office and the delivery of health care services. The department shall make this request when it notifies the local governing body of a pending application.

H. Applicants shall demonstrate that the building or space to be used to provide the proposed service is suitable for the treatment of opioid addiction by submitting documentation of the following:

1. The proposed site complies with the requirements of the local building regulatory entity;

2. The proposed site complies with local zoning laws or ordinances, including any required business licenses;

3. In the absence of local zoning ordinances, the proposed site is suitable for and compatible with use as offices and the delivery of health care services;

4. In jurisdictions where there are no parking ordinances, the proposed site has sufficient off-street parking to accommodate the needs of the individuals being served and prevent the disruption of traffic flow;

5. The proposed site can accommodate individuals during periods of inclement weather;

6. The proposed site complies with the Virginia Statewide Fire Prevention Code; and

7. The applicant has a written plan to ensure security for storage of methadone at the site, which complies with regulations of the Drug Enforcement Agency (DEA), and the Virginia Board of Pharmacy.

I. Applicants shall submit information to demonstrate that there are sufficient personnel available to meet the following staffing requirements and qualifications:

1. The program director shall be licensed or certified by the applicable Virginia health regulatory board or by a nationally recognized certification board, or eligible for this license or certification with relevant training, experience, or both, in the treatment of persons with opioid addiction;

2. The medical director shall be a board-certified addictionologist or have successfully completed or will complete within one year, a course of study in opiate addiction that is approved by the department;

3. A minimum of one pharmacist;

4. Nurses;

5. Counselors shall be licensed or certified by the applicable Virginia health regulatory board or by a nationally recognized certification board, or eligible for this license or certification; and

6. Personnel to provide support services.

J. Applicants shall submit a description for the proposed service that includes:

1. Proposed mission, philosophy, and goals of the provider;

2. Care, treatment, and services to be provided, including a comprehensive discussion of levels of care provided and alternative treatment strategies offered;

3. Proposed hours and days of operation;

4. Plans for on-site security; and

5. A diversion control plan for dispensed medications, including policies for use of drug screens.

K. Applicants shall, in addition to the requirements of 12VAC35-105-580 C 2, provide documentation of their capability to provide the following services and support directly or by arrangement with other specified providers when such services and supports are (i) requested by an individual being served or (ii) identified as an individual need, based on the assessment conducted in accordance with 12VAC35-105-60 B and included in the individualized services plan:

1. Psychological services;

2. Social services;

3. Vocational services;

4. Educational services; and

5. Employment services.

L. Applicants shall submit documentation of contact with community services boards or behavioral health authorities in their service areas to discuss its plans for operating in the area and to develop joint agreements, as appropriate.

M. Applicants shall provide policies and procedures that require every six months each individual served to be assessed by the treatment team to determine if that individual is appropriate for safe and voluntary medically supervised withdrawal, alternative therapies including other medication assisted treatments, or continued federally approved pharmacotherapy treatment for opioid addiction.

N. Applicants shall submit policies and procedures describing services they will provide to individuals who wish to discontinue opioid treatment services.

O. Applicants shall provide assurances that the service will have a community liaison responsible for developing and maintaining cooperative relationships with community organizations, other service providers, local law enforcement, local government officials, and the community at large.

P. The department, including the Office of Licensing, Office of Human Rights, or Office of Substance Abuse Services, shall conduct announced and unannounced reviews and complaint investigations, in collaboration with the state methadone authority, Virginia Board of Pharmacy, and DEA to determine compliance with the regulations.

12VAC35-105-930. Registration, certification or accreditation.

A. The opioid treatment service shall maintain current registration or certification with:

1. The Federal federal Drug Enforcement Administration;

2. The federal Department of Health and Human Services; and

3. The Virginia Board of Pharmacy.

B. If required by federal regulations, a A provider of opioid treatment services shall be required to maintain accreditation with an entity approved under federal regulations.

12VAC35-105-940. Criteria for involuntary termination from treatment.

A. The provider shall establish criteria for involuntary termination from treatment that describe the rights of the individual receiving services and the responsibilities and rights of the provider.

B. The provider shall establish a grievance procedure as part of the rights of the individual.

C. On admission, the individual shall be given a copy of the criteria and shall sign a statement acknowledging receipt of same. The signed acknowledgement shall be maintained in the individual's record.

D. Upon admission and annually all individuals shall sign an authorization for disclosure of information to allow programs access to the Virginia Prescription Monitoring System. Failure to comply shall be grounds for nonadmission to the program.

12VAC35-105-950. Service operation schedule.

A. The service's days of operation shall meet the needs of the population individuals served. If the service dispenses or administers a medication requiring daily dosing, the service shall operate seven days a week, 12 months a year, except for official state holidays. Prior approval from the state methadone authority shall be required for additional closed days.

B. The service may close on Sundays if the following criteria are met:

1. The provider develops and implements policies and procedures that address recently inducted individuals receiving services, individuals not currently on a stable dose of medication, patients that present noncompliance treatment behaviors, and individuals who previously picked up take-homes on Sundays, security of take-home doses, and health and safety of individuals receiving services.

2. The provider receives prior approval from the state methadone authority for Sunday closings.

3. Once approved, the provider shall notify individuals receiving services in writing at least 30 days in advance of their intent to close on Sundays. The notice shall address the risks to the individuals and the security of take-home medications. All individuals shall receive an orientation addressing take-home policies and procedures, and this orientation shall be documented in the patient record prior to receiving take-home medications.

4. The provider shall establish procedures for emergency access to dosing information 24 hours a day, seven days a week. This information may be provided via an answering service, pager, or other electronic measures. Information needed includes the individual's last dosing time and date, and dose.

C. Medication dispensing hours shall include at least two hours each day of operation outside normal working hours, i.e., before 9 a.m. and after 5 p.m. The state methadone authority may approve an alternative schedule if that schedule meets the needs of the population served.

12VAC35-105-960. Physical examinations.

A. The individual shall have a complete physical evaluation prior to admission to the service unless the individual is transferring from another licensed opioid agonist service. A full physical examination, including the results of serology and other tests, shall be completed within 14 days of admission.

B. Physical exams of each individual shall be completed annually or more frequently if there is a change in the individual's physical or mental condition.

C. The provider shall maintain the report of the individual's physical examination in the individual's service record.

D. On admission, all individuals shall be tested for AIDS/HIV. The individual may sign a notice of refusal without prejudice.

E. The provider shall coordinate treatment services for individuals who are prescribed benzodiapines and prescription narcotics with the treating physician. The coordination shall be the responsibility of the provider's physician and shall be documented.

12VAC35-105-970. Counseling sessions.

The provider shall conduct face-to-face counseling sessions (either individual or group) at least every two weeks for the first year of an individual's treatment and every month in the second year of the individual's treatment. After two years, the number of face-to-face counseling sessions that an individual receives shall be based on the individual's progress in treatment. Absences The failure of an individual to participate in counseling sessions shall be addressed as part of the overall treatment process.

12VAC35-105-980. Drug screens.

A. The provider shall perform at least eight random drug screens during a 12-month period unless the conditions in subdivision B of this subsection apply;

B. Whenever an individual's drug screen indicates continued illicit drug use or when clinically and environmentally indicated, random drug screens shall be performed weekly.

C. Drug screens shall be analyzed for opiates, methadone (if ordered), benzodiazepines and cocaine. In addition, drug screens for other drugs with that have the potential for addiction shall be performed when clinically and environmentally indicated.

D. The provider shall develop and implement a policy on how the results of drug screens shall be used to direct treatment.

12VAC35-105-990. Take-home medication.

A. Prior to dispensing regularly scheduled take-home medication, the provider shall ensure the individual demonstrates a level of current lifestyle stability as evidenced by the following:

1. Regular clinic attendance, including dosing and participation in counseling or group sessions;

2. Absence of recent alcohol abuse and other illicit drug use;

3. Absence of significant behavior problems; and

4. Absence of recent criminal activities, charges or convictions;

5. Stability of the individual's home environment and social relationships;

6. Length of time in treatment;

7. Ability to assure take-home medications are safely stored; and

8. Demonstrated rehabilitative benefits of take-home medications outweigh the risks of possible diversion.

B. The provider shall educate the individual on the safe transportation and storage of take-home medication.

12VAC35-105-1000. Preventing duplication of medication services.

To prevent duplication of opioid medication services to an individual, the provider shall have develop and implement a policy and implement procedures to contact for contacting every opioid treatment service within a 50-mile radius before admitting an individual.

12VAC35-105-1010. Guests.

A. No medication shall be dispensed The provider shall not dispense medication to any guest unless the guest has been receiving such medication services from another provider and documentation from such that provider has been received prior to dispensing medication.

B. Guests may receive medication for up to 28 days. To continue receiving medication after 28 days, the guest must be admitted to the service. Individuals receiving guest medications as part of a residential treatment service may exceed the 28-day maximum time limit.

12VAC35-105-1020. Detoxification prior to involuntary discharge.

Individuals The provider shall give an individual who are is being involuntarily discharged shall be given an opportunity to detoxify from opioid agonist medication not less than 10 days or not more than 30 days prior to his discharge from the service, unless the state methadone authority has granted an exception.

12VAC35-105-1040. Emergency preparedness plan.

The provider's emergency preparedness plan shall include provision for the continuation of opioid treatment in the event of an emergency or natural disaster.

12VAC35-105-1050. Security of opioid agonist medication supplies.

A. At a minimum, the provider shall secure opioid agonist medication supplies shall be secured as follows: by restricting access to medication areas to medical or pharmacy personnel.

1. Admittance to the medication area shall be restricted to medical or pharmacy personnel;

2. B. Medication inventory shall be reconciled The provider shall reconcile the medication inventory monthly; and.

3. C. Inventory The provider shall keep inventory records, including the monthly reconciliation, shall be kept for three years.

B. D. The provider shall maintain a current plan to control the diversion of medication to unprescribed or illegal uses.

Article 2
Managed Withdrawal Services

12VAC35-105-1055. Description of level of care provided.

In the service description the provider shall describe the level of services and the medical management provided.

Article 2
Social Detoxification Services

12VAC35-105-1060. Cooperative agreements with community agencies.

The provider shall establish cooperative agreements with other community agencies to accept referrals for treatment, including provisions for physician coverage if not provided on-site, and emergency medical care. The agreements shall clearly outline the responsibility of each party.

12VAC35-105-1080. Direct-care training for providers of detoxification services.

A. The provider shall document staff training in the areas of:

1. Management of withdrawal; and

2. First responder training; or.

3. First aid and CPR training.

B. New employees or contractors shall be trained within 30 days of employment. Untrained employees or contractors shall not be solely responsible for the care of individuals.

12VAC35-105-1090. Minimum number of employees or contractors on duty.

In detoxification service locations, at least two employees or contractors shall be on duty at all times. If the location is within or contiguous to another service location, at least one employee or contractor shall be on duty at the location with trained backup employees or contractors immediately available. In other managed withdrawal settings the number of staff on duty shall be appropriate for the services offered and individuals served.

12VAC35-105-1100. Documentation.

Employees or contractors on each shift shall document services provided and significant events in the individual's record on each shift.

12VAC35-105-1110. Admission assessments.

During the admission process, providers of detoxification managed withdrawal services shall:

1. Identify individuals with a high-risk for medical complications or who may pose a danger to themselves or others;

2. Assess substances used and time of last use;

3. Determine time of last meal;

4. Administer a urine screen;

6. 5. Analyze blood alcohol content or administer a breathalyzer; and

7.  6. Record vital signs.

Article 3
Services in Department of Corrections Correctional Facilities

12VAC35-105-1140. Clinical and security coordination.

A. The provider shall have formal and informal methods of resolving procedural and programmatic issues regarding individual care arising between the clinical and security employees or contractors.

B. The provider shall demonstrate ongoing communication between clinical and security employees to ensure individual care.

C. The provider shall provide cross-training for the clinical and security employees or contractors that includes:

1. Mental health, mental retardation (intellectual disability), and substance abuse education;

2. Use of clinical and security restraints; and

3. Channels of communication.

D. Employees or contractors shall receive periodic in-service training, and have knowledge of and be able to demonstrate the appropriate use of clinical and security restraint.

E. Security and behavioral assessments shall be completed at the time of admission to determine service eligibility and at least weekly for the safety of individuals, other persons, employees, and visitors.

F. Personal grooming and care services for individuals shall be a cooperative effort between the clinical and security employees or contractors.

G. Clinical needs and security level shall be considered when arrangements are made regarding privacy for individual contact with family and attorneys.

H. Living quarters shall be assigned on the basis of the individual's security level and clinical needs.

I. An assessment of the individual's clinical condition and needs shall be made when disciplinary action or restrictions are required for infractions of security measures.

J. Clinical services consistent with the individual's condition and plan of treatment shall be provided when security detention or isolation is imposed.

12VAC35-105-1150. Other requirements for correctional facilities.

A. Group bathroom facilities shall be partitioned between toilets and urinals to provide privacy.

B. If uniform clothing is required, the clothing shall be properly fitted, climatically suitable, durable, and presentable.

C. Financial compensation for work performed shall be determined by the Department of Corrections. Personal housecleaning tasks may be assigned without compensation to the individual.

D. The use of audio equipment, such as televisions, radios, and record players, shall not interfere with therapeutic activities.

E. Aftercare planning for individuals nearing the end of incarceration shall include a provision for continuing medication and follow-up services with area community services to facilitate successful reintegration into the community including specific appointment provided to the inmate no later than the day of release.

Article 4
Sponsored Residential Homes Services

12VAC35-105-1160. Sponsored residential home information.

Providers of sponsored residential home services shall maintain the following information:

1. Names and ages of residential sponsors;

2. Date of sponsored residential home agreement;

3. The maximum number of individuals that can be placed in the home at a given time;

4. Names and ages of all other individuals who are not receiving services, but are residing in a sponsored residential home;

5. Address and telephone number of the sponsored residential home; and

6. All Names of all staff employed in the home, including on-call and substitute staff.

12VAC35-105-1170. Sponsored residential home agreements.

A. The provider shall develop and maintain a written agreement with residential home sponsors. Sponsors are individuals persons who provide the home where the service is located and are directly responsible for the provision of services. The agreement shall include the:

1. Be available for inspection by the licensing specialist; and Provider's responsibilities;

2. Include a provision for granting the right of entry to state licensing specialists or human rights advocates to investigate complaints. Sponsor's responsibilities;

3. Scope of services;

4. Supervision;

5. Compensation;

6. Training; and

7. Reporting requirements and procedures.

B. The agreement shall be available for inspection by the licensing specialist and shall include a provision for granting the right of entry to state licensing specialists or human rights advocates to conduct inspections.

12VAC35-105-1180. Sponsor qualification and approval process.

A. The provider shall evaluate and certify each sponsored residential homes home other than his own through face-to-face interviews, home visits inspections, and other information documenting compliance with this regulation. The provider shall submit the certification form to the department before individuals are placed in the home and ensure that the following requirements are met annually.

B. The provider shall certify and document that all each sponsored residential homes meet home meets the criteria for physical environment and residential services designated in these regulations.

C. The provider shall document the ability of the sponsored staff's ability residential home staff to meet the needs of the individuals placed in the home by assessing and documenting:

1. The sponsored staff's ability of the staff to communicate and understand individuals receiving services;

2. The sponsored staff's ability of the staff to provide the care, treatment, training, or habilitation for individual individuals receiving services in the home;

3. The abilities of all members of the sponsored household to accept individuals with disabilities and their disability-related characteristics, especially the ability of children in the household to adjust to nonfamily members living with them; and

4. The financial capacity of the sponsor to meet the sponsor's own expenses for up to 90 days, independent of payments received for residents living in the home.; and

5. The education, qualifications, and experience of the staff with the individuals served including Virginia Department of Motor Vehicles driving record, tuberculosis screening, first-aid and CPR certification, and completion of medication administration and behavior management interventions training.

D. The provider shall obtain three job-related references, past licensing history, criminal background checks, and a search of the registry of founded complaints of child abuse and neglect maintained by the Department of Social Services for the sponsor and all adults in the home who are staff. The provider must develop policies for obtaining references, background and registry checks for all adults in the home who are not staff and not the individuals being served.

E. The provider shall develop and implement written policies for obtaining references, criminal background checks, and registry checks for all adults in the home who are neither staff nor individuals being served. The policy shall indicate what action the provider will take if the results indicate that a member of the sponsor family has been convicted of a barrier crime or fails to meet the requirements of this regulation should an ineligible result be received.

F. Sponsored The sponsored residential home members shall submit to the provider the results of a physical and mental health examination of family members when requested by the provider based on indications of a physical or mental health problem issue.

F. G. Sponsored residential homes shall not also operate as group homes or Department of Social Services approved homes or foster homes.

H. The provider shall submit the name, address, and certification of the sponsored residential home to the department prior to adding the home. The provider shall submit the name and address of the sponsored residential home to the department prior to closing the home. The provider shall submit a service modification when approving homes more than 100 miles from the previously approved homes.

12VAC35-105-1190. Sponsored residential home service policies.

A. The provider shall develop and implement policies to provide orientation and supportive services to sponsored the sponsored residential home staff specific to individual the needs of the individuals receiving services.

B. The provider shall develop and implement a training plan for the sponsored sponsor staff consistent with resident the needs of the individuals receiving services.

C. The provider shall specify staffing arrangements in all sponsored residential homes, including on-call and substitute care arrangements.

D. The provider shall develop and implement a written policy on managing, monitoring, and supervising sponsored residential homes. This policy shall address changes in supervision arrangements as the number of homes increase.

E. The provider shall conduct at least semi-annual unannounced visits to inspections of each sponsored residential homes home other than his own. Inspections shall be performed at least on a quarterly basis during the year with at least two being unannounced inspections.

F. On an on-going basis and at least annually, the provider shall review and document compliance of by each sponsored residential homes home and sponsors sponsor with regulations related to sponsored residential homes.

G. The provider shall develop written policies regarding termination of for terminating a sponsored residential home.

H. The provider shall document that all residents or their authorized representatives are provided the opportunity to choose a new placement when the current placement ends. Prior to moving an individual to another placement the provider shall conduct and document a meeting to include the individual and their authorized representative, if applicable, case manager, the current sponsor, and a receiving placement staff, if possible.

12VAC35-105-1200. Supervision.

A. The provider shall have a supervisor for every 20 sponsored residential homes where individuals are residing.

B. A responsible adult shall be available to provide supervision to the individual as specified in the individualized service plan.

B. C. Any member of the sponsor family who transports individuals receiving services must have a valid driver's license and automobile liability insurance. The vehicle used to transport individuals receiving services shall have a valid registration and inspection sticker.

C. D. The sponsor shall inform the provider in advance of any anticipated additions or changes in the sponsored residential home or as soon as possible after an unexpected change occurs.

E. In addition to the current reporting requirements the sponsor shall report all hospitalizations of the individuals being served to the provider and the individual's case manager within 24 hours.

12VAC35-105-1210. Sponsored residential home service records.

Providers of sponsored residential home services shall maintain records on each sponsored residential home, which shall include:

1. Documentation of three references for the owner of the sponsor home;

2. Criminal background checks and results of the search of the registry of founded complaints of child abuse and neglect on for all adults who are staff adult employees in the home;

3. Orientation and training provided by the provider to the sponsor and employees;

4. A The log of provider visits to each inspections of the sponsored residential home including the date, the staff person visiting employee conducting the inspection, the purpose of the visit inspection, and a description of any significant events; and

5. The sponsor will maintain a daily log maintained by the sponsor of significant events related to individuals receiving services.

12VAC35-105-1220. Regulations pertaining to employees staff.

Providers will shall certify and document compliance of sponsors with regulations pertaining to employees staff.

12VAC35-105-1230. Maximum number of beds or occupants in sponsored residential home.

The maximum number of individuals served in a sponsored residential home beds is two. The maximum number of occupants in a sponsored residential home is seven.

12VAC35-105-1235. Sponsored residential home services for children.

In addition, the following requirements shall be met for homes serving children:

1. The provider shall develop a service description based upon evidence-based practices or an accepted therapeutic model of mental health, mental retardation (intellectual disability), substance abuse, or brain injury care for children.

2. The provider shall use a treatment team model consisting of staff who provide intensive support and consultation to the sponsor parents.

3. Weekly team meetings and supervision shall be held with the sponsor parent or parents to review progress on each case, review the daily behavioral information collected, and adjust the child's individualized services plan.

4. The sponsor parent or parents shall keep a daily log of behavioral and other child specific information and be available for daily Monday through Friday contact from the provider.

5. The sponsor parent or parents shall receive 25 hours per year of in-service training pertaining to providing services for the child they serve in addition to the training otherwise required in these regulations. The sponsor parent or parents shall also participate in ongoing training at least once a quarter.

6. The provider is not considered a child placing agency. Children are placed with the provider by licensed child placing agencies, local departments of social services, or parents.

7. The sponsor parent or parents shall be at least 25 years old.

8. The sponsor parent or parents shall be able to provide care and supervision during nonschool hours.

9. The provider shall have access through directly providing it or developing agreements for 24-hour emergency mental health care for children with serious emotional disturbances served.

Article 5
Case Management Services

12VAC35-105-1240. Service requirements for providers of case management services.

A. As part of the intake assessment, the provider of case management services shall identify individuals whose needs may be addressed through case management services.

B. Providers of case management services shall document that the services below are performed consistent with the individual's assessment and individualized services plan ISP.

1. Enhancing community integration through increased opportunities for community access and involvement and creating opportunities to enhance community living skills to promote community adjustment including, to the maximum extent possible, the use of local community resources available to the general public;

2. Making collateral contacts with the individual's significant others with properly authorized releases to promote implementation of the individual's individualized services plan and his community adjustment;

3. Assessing needs and planning services to include developing a case management individualized services plan;

4. Linking the individual to those community supports that are most likely to promote the personal habilitative/rehabilitative and life goals of the individual as developed in the individualized service plan (ISP) ISP;

5. Assisting the individual directly to locate, develop, or obtain needed services, resources, and appropriate public benefits;

6. Assuring the coordination of services and service planning within a provider agency, with other providers and with other human service agencies and systems, such as local health and social services departments;

7. Monitoring service delivery through contacts with individuals receiving services, service providers and periodic site and home visits to assess the quality of care and satisfaction of the individual;

8. Providing follow up instruction, education and counseling to guide the individual and develop a supportive relationship that promotes the individualized services plan ISP;

9. Advocating for individuals in response to their changing needs, based on changes in the individualized services plan;

10. Developing a crisis plan for an individual that includes the individual's references regarding treatment in an emergency situation;

11. 10. Planning for transitions in individual's lives; and

12. 11. Knowing and monitoring the individual's health status, any medical conditions, and his medications and potential side effects, and assisting the individual in accessing primary care and other medical services, as needed.; and

12. Understanding the capabilities of services to meet the individual's indentified needs and preferences and to serve the individual without placing the individual, other participants, or staff at risk of serious harm.

12VAC35-105-1250. Qualifications of case management employees or contractors.

A. Employees or contractors providing case management services shall have knowledge of:

1. Services and systems available in the community including primary health care, support services, eligibility criteria and intake processes and generic community resources;

2. The nature of serious mental illness, mental retardation and/or mental retardation (intellectual disability), substance abuse, or co-occurring disorders depending on the population individual's served, including clinical and developmental issues;

3. Different types of assessments, including functional assessment, and their uses in service planning;

4. Treatment modalities and intervention techniques, such as behavior management, independent living skills training, supportive counseling, family education, crisis intervention, discharge planning and service coordination;

5. Types of mental health, mental retardation (intellectual disability) and substance abuse programs available in the locality;

6. The service planning process and major components of a service plan;

7. The use of medications in the care or treatment of the population served; and

8. All applicable federal and state laws, state regulations and local ordinances.

B. Employees or contractors providing case management services shall have skills in:

1. Identifying and documenting an individual's need for resources, services, and other supports;

2. Using information from assessments, evaluations, observation, and interviews to develop service plans;

3. Identifying and documenting how resources, services and natural supports such as family can be utilized to promote achievement of an individual's personal habilitative/rehabilitative and life goals; and

4. Coordinating the provision of services by diverse public and private providers.

C. Employees or contractors providing case management services shall have abilities to:

1. Work as team members, maintaining effective inter- and intra-agency working relationships;

2. Work independently performing position duties under general supervision; and

3. Engage and sustain ongoing relationships with individuals receiving services.

12VAC35-105-1255. Case manager choice.

The provider shall develop and implement a policy as to how individuals are assigned case managers and how they can request a change of their assigned case manager.

12VAC35-105-1270. Physical environment requirements of community gero-psychiatric residential services.

A. Providers shall be responsible for ensuring safe mobility and unimpeded access to programs or services by installing and maintaining ramps, handrails, grab bars, elevators, protective surfaces and other assistive devices or accommodations as determined by periodic review of the needs of the individuals being served. Entries, doors, halls and program areas, including bedrooms, must have adequate room to accommodate wheel chairs and allow for proper transfer of individuals. Single bedrooms shall have at least 100 square feet and multi-bed rooms shall have 80 square feet per individual.

B. Floors must have resilient, nonabrasive, and slip-resistant floor surfaces and floor coverings that promote mobility in areas used by individuals and promote maintenance of sanitary conditions.

C. Temperatures shall be maintained between 70°F and 80°F throughout resident areas.

D. Bathrooms, showers and program areas must be accessible to individuals. There must be at least one bathing unit available by lift, door or swivel-type tub.

E. Areas must be provided for quiet and for recreation.

F. Areas must be provided for charting, storing of administrative supplies, a utility room, employee hand washing, dirty linen, clean linen storage, clothes washing, and equipment storage.

12VAC35-105-1280. Monitoring.

Employees or contractors shall regularly monitor individuals in all areas of the residence to ensure safety.

12VAC35-105-1290. Service requirements for providers of gero-psychiatric residential services.

A. Providers shall provide mental health, nursing and rehabilitative services; medical and psychiatric services; and pharmaceutical services for each individual as specified in the individualized services plan ISP.

B. Providers shall provide crisis stabilization services.

C. Providers shall develop and implement written policies and procedures that support an active program of mental health and behavioral management directed toward assisting each individual to achieve outcomes consistent with the highest level of self-care, independence and quality of life. Programming may be on-site or at another location in the community.

D. Providers shall develop and implement written policies and procedures that respond to the nursing needs of each individual to achieve outcomes consistent with the highest level of self-care, independence and quality of life. Providers shall be responsible for:

1. Providing each individual services to prevent clinically avoidable complications, including but not limited to: skin care, dexterity and mobility, continence, hydration and nutrition;

2. Giving each individual proper daily personal attention and care, including skin, nail, hair and oral hygiene, in addition to any specific care ordered by the attending physician;

3. Dressing each individual in clean clothing and encouraging each individual to wear day clothing when out of bed;

4. Providing each individual tub or shower baths as often as needed, but not less than twice weekly, or a sponge bath daily if the medical condition prohibits tub or shower baths.;

5. Providing each individual appropriate pain management; and

6. Ensuring that each individual has his own personal utensils, grooming items, adaptive devices and other personal belongings including those with sentimental value.

E. Providers shall integrate behavioral/mental health care and medical/nursing care in the individualized services plan.

F. Providers shall have available nourishment between scheduled meals.

12VAC35-105-1300. Staffing requirements for community gero-psychiatric residential services.

A. Community gero-psychiatric residential services shall be under the direction of a:

1. Program director with experience in gero-psychiatric services.

2. Medical director.

3. Director of clinical services who is a registered nurse with experience in gero-psychiatric services.

B. Providers shall provide qualified nursing supervisors, nurses, and certified nurse aides on all shifts, seven days per week, in sufficient number to meet the assessed nursing care and behavioral management needs determined by the individualized services plans ISPs.

C. Providers shall provide qualified staff for behavioral, psychosocial rehabilitation, rehabilitative, mental health, or recreational programming to meet the needs determined by the individualized services plan ISP. These services shall be under the direction of a registered nurse, licensed psychologist, licensed clinical social worker, or licensed therapist.

12VAC35-105-1310. Interdisciplinary services planning team.

A. At a minimum, a registered nurse, a licensed psychologist, a licensed social worker, a therapist (recreational, occupational or physical therapist), a pharmacist, and a psychiatrist shall participate in the development and review of the individualized services plan ISP. Other employees or contractors as appropriate shall be included.

B. The interdisciplinary services planning team shall meet to develop the individualized services plans ISP and review it quarterly. Members of the team shall be available for consultation on an as needed basis.

C. The interdisciplinary services planning team shall review the medications prescribed at least quarterly and consult with the primary care physician as needed.

D. The interdisciplinary services planning team shall integrate medical care plans prescribed by the primary care physician into the individualized services plan ISP and consult with the primary care physician as needed.

12VAC35-105-1330. Medical director.

Providers of community gero-psychiatric community residential services shall employ or have a written agreement with one or more psychiatrists with training and experience in gero-psychiatric services to serve as medical director. The duties of the medical director shall include, but are not limited to:

1. Responsibility for the overall medical and psychiatric care;

2. Advising the program director and the director of clinical services on medical/psychiatric issues, including the criteria for residents to be admitted, transferred or discharged;

3. Advising on the development, execution and coordination of policies and procedures that have a direct effect upon the quality of medical, nursing and psychiatric care delivered to residents; and

4. Acting as liaison and consulting with the administrator and the primary care physician on matters regarding medical, nursing and psychiatric care policies and procedures.

12VAC35-105-1340. Physician services and medical care.

A. Each individual in a community gero-psychiatric residential service shall be under the care of a primary care physician. Nurse practitioners and physician assistants licensed to practice in Virginia may provide care in accordance with their practice agreements. Prior to, or at the time of admission, each individual, his legally authorized representative, or the entity responsible for his care shall designate a primary care physician.

B. The primary care physician shall conduct a physical examination at the time of admission or within 72 hours of admission into a community gero-psychiatric residential service. The primary care physician shall develop, in coordination with the interdisciplinary services planning team, a medical care plan of treatment for an individual.

C. All physicians or other prescribers shall review all medication orders at least every 60 days or whenever there is a change in medication.

D. The provider shall have a signed agreement with a local general hospital describing back-up and emergency medical care plans.

Article 7
Intensive Community Treatment and Program of Assertive Community Treatment Services

12VAC35-105-1360. Admission and discharge criteria.

A. Individuals must meet the following admission criteria:

1. Severe Diagnosis of a severe and persistent mental illness, predominantly schizophrenia, other psychotic disorder, or bipolar disorder, that seriously impairs functioning in the community. Individuals with a sole diagnosis of substance addiction or abuse or mental retardation (intellectual disability) are not eligible for services.

2. Impairments on a continuing or intermittent basis without intensive community support to include one or more of the following Significant challenges to community integration without intensive community support including persistent or recurrent difficulty with one or more of the following:

a. Inability to consistently perform Performing practical daily living tasks required for basic adult functioning in the community;

b. Persistent or recurrent failure to perform daily living tasks except with significant support of assistance by family, friends or relatives Maintaining employment at a self-sustaining level or consistently carrying out homemaker roles; or

c. Inability to be consistently employed at a self-sustaining level or inability to consistently carry out homemaker roles; or

d. Inability to maintain c. Maintaining a safe living situation.

3. High service needs indicated due to one or more of the following problems:

a. Residence in a state mental health facility or other psychiatric hospital but clinically assessed to be able to live in a more independent situation if intensive services were provided or anticipated to require extended hospitalization, if more intensive services are not available;

b. High user of state mental health facility or other acute psychiatric hospital inpatient services within the past two years or a frequent user of psychiatric emergency services (more than four times per year) Multiple admissions to or at least one recent long-term stay (30 days or more) in a state mental health facility or other acute psychiatric hospital inpatient setting within the past two years; or a recent history of more than four interventions by psychiatric emergency services per year;

c. Intractable (i.e., persistent or very recurrent) Persistent or very recurrent severe major symptoms (e.g., affective, psychotic, suicidal);

d. Co-occurring substance addiction or abuse of significant duration (e.g., greater than six months);

e. High risk or a recent history (within the past six months) of criminal justice involvement (e.g., arrest and or incarceration);

f. Unable to meet Ongoing difficulty meeting basic survival needs or residing in substandard housing, homeless, or at imminent risk of becoming homeless; or

g. Unable Inability to consistently participate in traditional office-based services.

B. Individuals receiving PACT individuals or ICT services should not be discharged for failure to comply with treatment plans or other expectations of the provider, except in certain circumstances as outlined. Individuals must meet at least one of the following criteria to be discharged:

1. Moving Change in the individual's residence to a location out of the service area;

2. Death of the individual;

3. Incarceration of the individual for a period to exceed a year or long term hospitalization for (more than one year); however, the provider is expected to prioritize these individuals for PACT or ICT services upon their anticipated return to the community if the individual wishes to return to services and the service level is appropriate to his needs;

4. Choice of the individual (the with the provider is responsible for revising the individualized services plan ISP to meet any concerns of the individual leading to the choice of discharge) discharge; or

5. Demonstration by the individual of an ability to function Significant sustained recovery by the individual in all major role areas with minimal team contact and support for at least two years as determined by both the individual and ICT or PACT team.

12VAC35-105-1370. Treatment team and staffing plan.

A. ICT and PACT Services are delivered by interdisciplinary teams.

1. The PACT and ICT team teams shall have employees or contractors, 80% of whom meet the qualifications of QMHP, who are qualified to provide the services described in 12VAC35-105-1410, including at least five full-time equivalent clinical employees or contractors on an ICT team and at least 10 full-time equivalent clinical employees or contractors on a PACT team, a program assistant, and a full- or part-time psychiatrist. The team shall include the following positions:

a. Team Leader — one full-time equivalent (FTE) QMHP with at least three years experience in the provision of mental health services to adults with serious mental illness. The team leader shall oversee all aspects of team operations and shall routinely provide direct services to individuals in the community.

b. Nurses — one or more FTE registered nurse with one year of experience or licensed practical nurse with three years of experience in the provision of mental health services to adults with serious mental illness PACT and ICT nurses shall be full-time employees or contractors with the following minimum qualifications: A registered nurse (RN) shall have one year of experience in the provision of mental health services to adults with serious mental illness. A licensed practical nurse (LPN) shall have three years of experience in the provision of mental health services to adults with serious mental illness. ICT teams shall have at least one qualified full-time nurse. PACT teams shall have at least three qualified full-time nurses at least one of whom shall be a qualified RN.

c. Mental health professionals — two or more FTE QMHPs (half of whom shall hold a master's degree), including a vocational specialist and a substance abuse specialist One full-time vocational specialist and one full-time substance abuse specialist. These staff members shall provide direct services to consumers in their area of specialty and provide leadership to other team members to also assist individuals with their self identified employment or substance abuse recovery goals.

d. Peer specialists — one or more FTE full-time QPPMH or QMHP who is or has been a recipient of mental health services for severe and persistent mental illness. The peer specialist shall be a fully integrated team member who provides peer support directly to individuals and provides leadership to other team members in understanding and supporting individuals' recovery goals.

e. Program assistant — one full-time person with skills and abilities in medical records management, operating and coordinating shall operate and coordinate the management information system, maintaining maintain accounts and budget records for individual and program expenditures, and providing provide receptionist activities.

f. Psychiatrist — one physician who is board certified in psychiatry or who is board eligible in psychiatry and is licensed to practice medicine. An equivalent ratio to 20 minutes (.008 FTE) of psychiatric time for each individual served must be maintained. The psychiatrist shall be a fully integrated team member who attends team meetings and actively participates in developing and implementing each individual ISP.

2. In addition, a PACT team includes at least three FTE nurses (at least one of whom is an RN and five or more mental health professionals. QMHP and mental health professional standards:

a. At least 80% of the clinical employees or contractors, not including the program assistant or psychiatrist, shall meet QMHP standards and shall be qualified to provide the services described in 12VAC35-105-1410.

b. Mental health professionals – At least half of the clinical employees or contractors, not including the team leader or nurses and including the peer specialist if that person holds such a degree, shall hold a master's degree in a human service field.

3. Staffing capacity:

a. An ICT team shall have at least five full-time equivalent clinical employees or contractors. A PACT team shall have at least 10 full-time equivalent clinical employees or contractors.

B. b. ICT and PACT teams must shall include a minimum number of employees (counting contractors but not counting the psychiatrist and program assistant) to maintain an employee to individual ratio of at least 1:10.

c. ICT teams may serve no more than 80 individuals. PACT teams may serve no more than 120 individuals.

d. A transition plan will shall be required of PACT teams that will allow for "start-up" when newly forming teams are not in full compliance with the PACT model relative to staffing patterns and client consumer capacity.

C. B. ICT and PACT teams shall meet daily Monday through Friday or at least four days per week to review and plan routine services and to plan for address or prevent emergency and crisis situations.

D. C. ICT teams shall operate a minimum of 8 hours per day, 5 days per week and shall provide services on a case-by-case basis in the evenings and on weekends. PACT teams shall be available to individuals 24 hours per day and shall operate a minimum of 12 hours each weekday and 8 hours each weekend day and each holiday.

E. D. The ICT and PACT team shall make crisis services directly available 24 hours a day but may arrange coverage through another crisis services provider if the team coordinates with the crisis services provider daily. The PACT team shall operate an after-hours on-call system and be available to individuals by telephone or in person.

12VAC35-105-1390. ICT and PACT service daily operation and progress notes.

A. ICT teams and PACT teams shall conduct daily organizational meetings Monday through Friday at a regularly scheduled time to review the status of all individuals and the outcome of the most recent employee or contractor contact, assign daily and weekly tasks to employees and contractors, revise treatment plans as needed, plan for emergency and crisis situations, and to add service contacts that are identified as needed.

B. A daily log that provides a roster of individuals served in the ICT or PACT services program and documentation of services provided and contacts made with them shall be maintained and utilized in the daily team meeting. There shall also be at least a weekly individual progress note documenting progress or lack of progress toward goals and objectives as outlined in the Psychosocial Rehabilitation Services Plan services provided in accordance with the ISP or attempts to engage the consumer in services.

12VAC35-105-1400. ICT and PACT assessment.

The provider shall solicit the individual's own assessment of his needs, strengths, goals, preferences and abilities to identify the need for recovery oriented treatment, rehabilitation and support services and the status of his environmental supports within the individual's cultural context. The With the participation of the individual, the provider will assess:

1. Psychiatric history, mental status and diagnosis, including the content of an advance directive;

2. Medical, dental and other health needs;

3. Extent and effect of drug or alcohol use;

4. Education and employment including current daily structures use of time, school or work status, interests and preferences and the effect of psychiatric symptomatology on and supports and barriers to educational and employment performance;

5. Social development and functioning including childhood and family history, culture and religious beliefs, leisure interests, and social skills;

6. Housing and daily living skills, including the support needed to obtain and maintain decent, affordable housing integrated into the broader community; the current ability to meet basic needs such as personal hygiene, food preparation, housekeeping, shopping, money management and the use of public transportation and other community based resources;

7. Family and social network including the current scope and strength of a individual's network of family, peers, friends, and co-workers, and their understanding and expectations of the team's services;

8. Finances and benefits including the management of income, the need for and eligibility for benefits, and the limitations and restrictions of those benefits; and

9. Legal and criminal justice involvement including the guardianship, commitment, representative payee status, and the experience as either victim or accused person.

12VAC35-105-1410. Service requirements.

Providers shall document that the following services are provided consistent with the individual's assessment and individualized services plan ISP.

1. Ongoing assessment to ascertain the needs, strengths, and preferences of the individual;

2. Case management;

3. Nursing;

4. Symptom assessment and management Support for wellness self-management, including the development and implementation of individual recovery plans; symptom assessment; and recovery education;

5. Psychopharmacological treatment, administration and monitoring;

6. Substance abuse assessment and treatment for individuals with a dual co-occurring diagnosis of mental illness and substance abuse;

7. Individual supportive therapy;

8. Skills training in activities of daily living, social skills, interpersonal relationships, and leisure time;

9. Supportive in-home services;

10. Work-related services to help find and maintain employment;

11. Support for resuming education;

12. Support, education, consultation, and skill-teaching to family members and significant others;

13. Collaboration with families and assistance to individuals with children;

14. Direct support to help individuals secure and maintain decent, affordable housing that is integrated into the broader community and to obtain legal and advocacy services, financial support, money-management services, medical and dental services, transportation, and natural supports in the community; and

15. Mobile crisis assessment, intervention interventions to prevent or resolve potential crises, and facilitation into and out of psychiatric hospitals.

FORMS (12VAC35-105)

Initial Provider Application For Licensing (rev.1/10).

Renewal Provider Application For Licensing (rev. 2/09).

Service Modification - Provider Request, DMH 966E 1140 (rev. 1/09).

DOCUMENTS INCORPORATED BY REFERENCE (12VAC35-105)

Diagnostic Criteria from the Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition, American Psychiatric Association, Washington, D.C., 1994.