|
|
DAR File No. 28167 |
| This filing was published in the 09/15/2005, issue, Vol. 2005, No. 18, of the Utah State Bulletin. |
| [ 09/15/2005 Bulletin Table of Contents / Bulletin Page ] |
|
Human Services, Administration, Administrative Services, Licensing R501-1 General Provisions
|
NOTICE OF PROPOSED RULE |
|
DAR File No.: 28167
|
RULE ANALYSIS |
Purpose of the rule or reason for the change: |
|
The rule is being amended at this time in response to the passage of S.B. 107 during the 2005 general legislative session affecting Title 62A, Chapter 2. It also places into rule those items such as fees, which had previously been addressed in policy, that are required to be in rule due to passage of S.B. 30 during the 2003 general session affecting Title 63, Chapter 46a. (DAR NOTE: S.B. 107 (2005) is found at UT L 2005 Ch 188, and was effective 05/02/2005. S.B. 30 (2003) is found at UT L 2003 Ch 197, and was effective 05/05/2003.)
|
Summary of the rule or change: |
|
The changes expand the definitions in rule and add greater detail in the licensing procedures, fees, monitoring violations and corrective actions, and did some renumbering. Because the mark-up was extensive and was hard to follow, it was decided to just strike-through the current rule and just put the changes through as it will appear after being made effective but marked as "new" so it is easier to read.
|
State statutory or constitutional authorization for this rule: |
|
Sections 62A-2-101, 62A-2-120, 62A-2-121 and 62A-2-122
|
Anticipated cost or savings to: |
the state budget: |
|
Other than the cost of having the revised rule reprinted, there will be no additional cost to the state because the changes are for definition and clarification.
|
local governments: |
|
No impact--Changes are for the purpose of clarification and definition, and do not change anything regarding enforcement that would impact local government.
|
other persons: |
|
No impact--There will not be any additional costs to persons or business, because the changes are for clarification and definition purposes.
|
Compliance costs for affected persons: |
|
There are no additional costs to affected persons because the amendment is being made for the purpose of clarity and definition.
|
Comments by the department head on the fiscal impact the rule may have on businesses: |
|
This rule should have no fiscal impact on businesses inasmuch as the amendments are for the purpose of clarification and definition and will not require any change in the physical operation of licensee programs and facilities. Lisa-Michele Church, Executive Director
|
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at: |
|
Human Services Administration, Administrative Services, Licensing 120 N 200 W SALT LAKE CITY UT 84103-1500
|
Direct questions regarding this rule to: |
|
Jan Bohi or Ken Stettler at the above address, by phone at 801-538-4153 or 801-538-4235, by FAX at 801-538-4553 or 801-538-4553, or by Internet E-mail at jbohi@utah.gov or kstettler@utah.gov
|
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on: |
|
10/17/2005
|
This rule may become effective on: |
|
10/18/2005
|
Authorized by: |
|
Ken Stettler, Director
|
RULE TEXT |
|
R501. Human Services, Administration, Administrative Services, Licensing. R501-1. General Provisions. [
R501-1-1. Authority and Purpose. 1. This Rule is authorized by Section 62A-2-101, et seq. 2. This Rule clarifies the standards for: a. approving or denying a human services program application, or b. approving, extending, conditioning, denying, suspending, or revoking a human services program license. 3. This Rule clarifies the standards for inspecting, monitoring, and investigating a human services program. 4. This Rule clarifies the standards for approving or denying a variance to the Human Services Administrative Rules, Title R501, regarding the licensing of human services programs.
R501-1-2. Definitions. 1. "Applicant" means a person who submits an application to the Office of Licensing to obtain a license to operate a human services program. 2. "Certified local inspector" is defined in Section 62A-2-101. 3. "Child" is defined in Section 62A-2-101. 4. "Client" is defined in Section 62A-2-101. 5. "Human services program" is defined in Section 62A-2-101. 6. "Initial License" means the license issued to operate a human services program during the program's first year of operation. 7. "Licensee" means a person with a current, valid license to operate a human services program, issued by the Office of Licensing. 8. "Local government" is defined in Section 62A-2-101. 9. "Person" includes an individual, agency, association, partnership, corporation, or governmental entity. 10. "Probationary License" means a temporary initiallicense issued to operate a newhuman services program during the period of time that the Office of Licensing designates for the program to transition from substantial compliance to full compliance with licensing requirements. 11. "Regular business hours" is defined in Section 62A-2-101. 12. "Residential Treatment" is defined in Section 62A-2-101. 13. "Renewal License" means the license issued to operate a human services program after the program's first year of operation. 14. "Substantial compliance" means a human services program presently conforms to all licensing requirements with the exception of minor requirements that do not create a risk of harm to a child or vulnerable adult. Examples of minor requirements that do not create a risk of harm to a child or vulnerable adult include, but are not limited to, individual staff or client files in a residential treatment program that has not yet provided services, individual staff or client files in a child placing agency that has not yet provided services, or completion of training in a kinship foster care placement. 15. "Variance" means a temporary deviation from an administrative rule. 16. "Vulnerable Adult" is defined in Section 62A-2-101.
R501-1-3. Licensing Procedure. 1. Application for Initial License. A person seeking an initial license to operate a human services program shall submit: a. an application on the forms provided by the Office of Licensing; b. the licensing fee required of a new program for the category of human services program license sought; c. a completed background screening application and consent form, and all required identifying information, in accordance with R501-14, for each adult associated with the proposed human services program; d. the applicant's proposed policy and procedure manual; e. documentation verifying compliance with all local government zoning, health, fire, and business requirements; and f. for residential treatment programs, a copy of the notice of its intent to operate a residential treatment program and proof of service, in accordance with Section 62A-2-108.2. 2. Application for Renewal License. A person seeking renewal of a license to operate a human services program shall submit: a. an application on the form provided by the Office of Licensing; b. the licensing fee required for the category of human services program; c. verification of current background screening approval, in accordance with R501-14, for each adult associated with the human services program; d. a copy ofall modifications that have been made to the licensee's policy and procedure manual since the previous year's licensure; e. documentation verifying current compliance with all local government zoning, health, fire, and business requirements; and f. for residential treatment programs, a copy of the notice of its intent to operate a residential treatment program and proof of service, in accordance with Section 62A-2-108.2. g. the application for renewal of a license shall be submitted no less than thirty days and no more than sixty days prior to the expiration date of the current license. 3. An application and required documentation that are not legible, complete, dated and signed shall be returned to the applicant without further action. 4. On-Site Licensing Review a. An applicant for an initial license shall permit the Office of Licensing to conduct an unlimited on-site evaluation of the physical facility and grounds, and to interview persons associated with the proposed program to verify compliance with all licensing requirements. i. The Office of Licensing shall approve an application for an initial human services program license only after verifying full compliance with all licensing requirements. ii. The Office of Licensing may approve a probationary license only after verifying substantial compliance with licensing requirements. A. The Office of Licensing shall include an expiration date on a probationary license, which shall not exceed 6 months from the date of issue. B. A probationary licensee that fails to achieve full compliance with licensing requirements prior to the expiration of the probationary license shall not be granted an extension, and shall not accept any fees, entering any agreements to provide client services, or provide any client services. C. A probationary licensee that is not granted an initial license may submit a new application for an initial license 3 months after the expiration of the probationary license. iii. The Office of Licensing shall deny an application for an initial human services program license when substantial compliance with all licensing requirements cannot be verified. iv. The Office of Licensing shall permit an applicant for an initial human services program license to withdraw the application at any time prior to denying the application when an applicant requests additional time to demonstrate compliance with all licensing requirements. A. An application that has been voluntarily withdrawn by an applicant may be resubmitted, within six months of the date of withdrawal, for reconsideration without payment of additional fees. b. The Office of Licensing shall conduct a minimum of one annual on-site review of each human services program site. i. The Office of Licensing shall approve an application for a human services program license renewal only after verifying full compliance with all licensing requirements. ii. The Office of Licensing shall deny an application for a human services program license renewal when full compliance with all licensing requirements cannot be verified. iii. The Office of Licensing may extend the current license of a human services program in accordance with this rule. A. A renewal license may be extended for up to sixty days past the current license expiration date if the Office of Licensing determines that the human services program is in substantial compliance with licensing requirements. B. A notice of extension shall identify the extension expiration date andthe requirements that the human services program must comply with toachieve full compliance. C. A human services program that fails to achieve full compliance with licensing requirements prior to the expiration of the extension shall not be granted additional extensions. D. The Office of Licensing shall deny the renewal application of a human services program that fails to achieve full compliance with licensing requirements prior to the expiration of an extension. c. The Office of Licensing shall complete a written monitoring report or a checklist identifying areas of compliance and non-compliance with licensing requirements after each on-site review. 5. The license shall state the name and site address of the human service program facility, category of service, maximum consumer capacity, and the start date and expiration date. 6.a. A license that has expired is void. b. A license expires at midnight one year after the date it was issued, unless: i. the license states an earlier expiration date; ii. the license has been extended in accordance with this rule; iii. the license has been revoked by the Office of Licensing; or iv. the license has been relinquished to the Office of Licensing by the licensee. 7.a. A licensee shall not exceed the licensed maximum client capacity indicated on the license issued by the Office of Licensing. b. A licensee seeking to increase the maximum client capacity of a license shall submit an application for a renewal license in accordance with this rule. 8.a. A licensee shall not provide client services at a new site or change the services it provides without first obtaining a new license issued by the Office of Licensing. b A licensee seeking to change a human services program's site address or services provided shall submit an application for a new license in accordance with this rule. 9. A person with an expired license wishing to operate a human services program shall submit an application for a new license in accordance with this rule. 10. A license is deemed void whenthe human services program has a change of ownership, management, administration, policies, or site address. a. A human services program that has a change of ownership or management shall apply for a renewal license in accordance with this rule. b. A human services program that has a change of administration, policies, or site address shall apply for an initial license in accordance with this rule.
R501-1-4. Fees. 1. The Office of Licensing shall assess and collect licensing fees in accordance with Sections 62A-2-106 and 63-38-3.2. a. An assessed fee shall not be transferred, prorated, reduced, waived, or refunded. b. No licensing fee shall be assessed on a foster home or on a Division of the Department of Human Services. 2. The Office of Licensing shall not perform an on-site review until the applicant pays the assessed licensing fee in full. 3. Fees shall be calculated according to the maximum licensed client capacity of the human services program, and not according to the number of clients served in the program. a. A human services program with a valid, current license that intends to increase its maximum licensed client capacity shall submit an application for a renewal license and shall be assessed a renewal application fee according to the increased maximum client capacity. 4. Fees shall be assessed for each program site of a human services program. a. A human services program with more than one building at one site may choose to have its fees assessed: i. so that one license will be issued for each on-site building; or ii. so that one license will be issued for each site. b. A human services program with a valid, current license that intends to provide services at an additional site shall submit an application for an initial license at the additional site. i. A human services program with a valid, current license that proposes to provide identical services at additional site shall be assessed a renewal application fee. ii. A human services program with a valid, current license that will not provide identical services at an additional site shall be assessed an initial application fee. 5. Fees shall be assessed for each category of human services program offered at a program site. a. A human services program with a valid, current license that intends to provide additional services at the licensed site shall submit an application for a renewal license and shall be assessed a renewal application fee.
R501-1-5. Monitoring. 1. The Office of Licensing shall investigate reports of unlicensed human services programs. a. An unlicensed human services program that fails to submit an application and become licensed shall be referred to the Offices of the Attorney General and the appropriate County Attorney for prosecution. 2. The Office of Licensing shall investigate complaints regarding a licensed human services program. a. A certified local inspector may investigate complaints regarding a residential treatment program in accordance with Section 62A-2-108.3 and R501-4 3. Unannounced administrative inspections may be conducted during regular business hours. 4. The Office of Licensing shall document violations of administrative rules or statutes 5. The Office of Licensing shall provide written notification to the human services program of violations of administrative rules or statutes and any sanctions imposed.
R501-1-6. Corrective Action Plans. 1. The Office of Licensing may require a human services program to submit a written corrective action plan in response to a written notification of its violations of administrative rules or statutes. 2. A human services program shall submit a written corrective action plan to the Office of Licensing within ten calendar days of receiving written notification of its violations of administrative rules or statutes. 3. The written corrective action plan shall include the following: a. a statement of each violation as identified by the Office of Licensing, b. a detailed description of how the human services program will correct each violation and prevent additional violations of administrative rules or statutes; c. the date by which the human services program will achieve complete compliance with administrative rules or statutes; and d. the signature of all owners and managers of the human services program. 4. The Office of Licensing shall issueIa Notice of Agency Action imposing sanctions for a human service program's violations of administrative rules or statutes if the program fails to submit a written corrective action plan in compliance with this rule. 5. The Office of Licensing shall review the submitted written corrective action plan and: a. inform the human services program that the written corrective action plan is approved; or b. inform the human services program that the written corrective action plan fails to satisfy the requirements of this rule. i. The Office of Licensing may permit a human services program to amend its written corrective action plan within 5 additional calendar days to satisfy the requirements of this rule. 6. The Office of Licensing shall issue a Notice of Agency Action imposing sanctions for a human services program's violations of administrative rules or statutes if the program fails to comply with a written corrective action plan approved by the Office of Licensing. 7. A human services program shall post each approved corrective action plan and each Notice of Agency Action where it can be easily reviewed by clients, parents or guardians of clients, and visitors. a. Each approved corrective action plan and each Notice of Agency Action shall remain posted until the Office of Licensing issues written confirmation that the program has achieved compliance with administrative rules and statutes..
R501-1-7. License Violation. 1. An applicant shall not accept any fees, enter any agreements to provide client services, or provide any client services until after receiving written confirmation that the Office of Licensing has approved and issued a license to provide those services. 2. The Office of Licensing may exercise its professional judgment and deny, condition, suspend, or revoke a license for any violation of the administrative Rules or local, state, or federal law. 3. The Office of Licensing shall issue a written notice of agency action when a license sanction is imposed. The notice of agency action shall identify each violation and describe the factual basis underlying each violation. 4. The Office of Licensing may place a license on conditional status. A conditional status allows a program that is in the process of correcting administrative rule violations to continue operation subject to conditions established by the Office of Licensing. 5.a. A human services program that has had its license suspended is prohibited from providing any services to clients until after the suspension period has expired. b. A human services program that has had its license expire during the suspension period shall be required to submit an application for an initial license after the suspension period has expired and obtain a new license prior to providing any services to clients. 6. A human services program that has had its license revoked is prohibited from providing any services to clients until after a new license is issued in accordance with Section 62A-2-113.
R501-1-8. Due Process. 1. A notice of agency action shall inform the applicant or licensee of the right to appeal in accordance with Administrative Rule 497-100 and Section 63-46b-0.5, et seq. 2. A licensee shall not accept any new clients while an appeal is pending.
R501-1-9. Variances. 1. A licensee shall not deviate from any administrative rule without first receiving written approval of a specific variance request signed by the Director of the Office of Licensing or the Director's designee. 2. The Director of the Office of Licensing, or the Director's designee, may grant a variance to the administrative rules of the Office of Licensing, if the Director or the Director's designee determines that a variance: a. is in the best interests of the client; and b. may be granted without compromising any health and safety requirements. 3. The licensee must submit a written request for a variance to the licensing specialist. A request for a variance shall specifically describe: a. the rule for which variance is requested; b. how the licensee will ensure the best interests of the client will be maintained; c. what procedures will be implemented to ensure the health and safety of all clients; and d. the proposed variance expiration date. 4. The licensing specialist shall review the written request for a variance and forward it to the Director or the Director's designee together with the licensing specialist's recommendations to approve, approve with modifications, or deny the request. 5. The Office of Licensing shall notify the licensee of the approval, approval with modifications, or denial of the of the variance, in writing, within 30 days.
R501-1-10. Abuse or Neglect, or Exploitation. 1. The Office of Licensing shall immediately notify the appropriate investigative or law enforcement agency of any allegations or evidence of abuse, neglect, or exploitation of any child or vulnerable adult.
R501-1-11. Compliance. Any licensee that is in operation of the effective date of this rule shall be given 30 days after the effective date to achieve compliance with this rule.
KEY: licensing, human services [ Notice of Continuation November 25, 2002 62A-2-101 et seq.
|
ADDITIONAL INFORMATION |
|
PLEASE NOTE:
|
|
For questions regarding the content or application of this rule, please contact Jan Bohi or Ken Stettler at the above address, by phone at 801-538-4153 or 801-538-4235, by FAX at 801-538-4553 or 801-538-4553, or by Internet E-mail at jbohi@utah.gov or kstettler@utah.gov For questions about the rulemaking process, please contact the Division of Administrative Rules (801-538-3764). Please Note: The Division of Administrative Rules is NOT able to answer questions about the content or application of these administrative rules. |
| [ 09/15/2005 Bulletin Table of Contents / Bulletin Page ] |
| Last modified: 09/14/2005 7:54 PM |