OAR 411-054-0106: Regulatory Framework

(1) PURPOSE. The goal of the regulatory framework is to provide transparency, accuracy, and equity related to regulatory actions taken by the Department in response to facilities’ lack of substantial compliance with Oregon Administrative Rules. The framework should include application of preventative, positive, and progressively more restrictive measures taken by the Department in response to facilities’ lack of substantial compliance with Oregon Administrative Rules. Whenever possible and appropriate, the framework shall be based on a progressive method of regulation based on scope and severity, which includes positive reinforcement, as well as sanctions and penalties. (2) FOCUS. The framework will address measures related to the scope and severity of noncompliance, including but not limited to: (a) Whether the facility has qualified awake direct care staff in consistent numbers to consistently meet the scheduled and unscheduled needs of each resident 24 hours a day; and (b) The impact of any compliance deficiencies on the rights, health, welfare and safety of the residents. (3) PROCESS. The framework will provide information on processes related to the Department’s: (a) Accurate and equitable assessment of substantial compliance based on regulatory requirements. (b) Employment of progressive and positive action to promote and achieve facility substantial compliance. (c) Accurate and equitable imposition of corrective actions. (d) Administration of Enhanced Oversight Program to focus compliance activities on facilities that consistently fail to achieve substantial compliance. (4) TECHNIQUES. Regulatory compliance will be promoted through the use of progressive compliance techniques, as appropriate, including, but not limited to: (a) Proactive communication. (b) Technical support to facilities. (c) Consultation with policy analysts to clarify regulatory requirements. (d) Corrective action involving civil penalties. (e) Imposition of sanctions, including, but not limited to conditions on a provider’s license. (f) Suspension, non-renewal or revocation of license. (5) ENHANCED OVERSIGHT AND SUPERVISION PROGRAM. (a) Facilities that consistently demonstrate a lack of substantial compliance with the requirements of rules adopted to regulate residential care facilities or assisted living facilities or perform substantially below statewide averages on quality metrics will be considered for the Enhanced Oversight and Supervision Program. “Consistently” is defined as regularly and typically for purposes of this rule. (b) The Department shall take one or more of the following actions, the Department deems necessary, to improve the performance of a facility: (A) Increase the frequency of surveys of the facility. (B) Conduct surveys that focus on areas of consistent non-compliance as identified by the Department. (C) Impose one or more conditions on the license of the facility. (c) The Department shall terminate the enhanced oversight and supervision of a facility as follows, after: (A) Three years, if the facility has shown substantial compliance according to the Department; or (B) One year, if the facility submits a written assertion of substantial compliance and the Department determines the facility no longer meets the criteria of the program. (d) The Department shall publish notice on the Department’s licensing website of any facility enrolled in the Enhanced Oversight and Supervision program.