1. A. An administrator shall ensure that:

   1. 1. A personnel member, an employee, or a student is at least 18 years old; and
   2. 2. A volunteer is at least 21 years old.

2. B. An administrator shall ensure that:

   1. 1. The qualifications, skills, and knowledge required for each type of personnel member:

      1. a. Are based on:

         1. i. The type of behavioral health services or physical health services expected to be provided by the personnel member according to the established job description, and
         2. ii. The acuity of the residents receiving behavioral health services or physical health services from the personnel member according to the established job description; and

      2. b. Include:

         1. i. The specific skills and knowledge necessary for the personnel member to provide the expected behavioral health services or physical health services listed in the established job description,
         2. ii. The type and duration of education that may allow the personnel member to have acquired the specific skills and knowledge for the personnel member to provide the expected behavioral health services or physical health services listed in the established job description, and
         3. iii. The type and duration of experience that may allow the personnel member to have acquired the specific skills and knowledge for the personnel member to provide the expected behavioral health services or physical health services listed in the established job description;

   2. 2. A personnel member’s skills and knowledge are verified and documented:

      1. a. Before the personnel member provides physical health services or behavioral health services, and
      2. b. According to policies and procedures; and

   3. 3. Sufficient personnel members are present on a behavioral health residential facility’s premises with the qualifications, experience, skills, and knowledge necessary to:

      1. a. Provide the services in the behavioral health residential facility’s scope of services,
      2. b. Meet the needs of a resident, and
      3. c. Ensure the health and safety of a resident.
3. C. An administrator shall comply with the requirements for behavioral health technicians and behavioral health paraprofessionals in R9-10-115.
4. D. An administrator shall ensure that an individual who is licensed under A.R.S. Title 32, Chapter 33 as a baccalaureate social worker, master social worker, associate marriage and family therapist, associate counselor, or associate substance abuse counselor is under direct supervision, as defined in A.A.C. R4-6-101.

5. E. An administrator shall ensure that:

   1. 1. A plan to provide orientation specific to the duties of a personnel member, an employee, a volunteer, and a student is developed, documented, and implemented;
   2. 2. A personnel member completes orientation before providing behavioral health services or physical health services;

   3. 3. An individual’s orientation is documented, to include:

      1. a. The individual’s name,
      2. b. The date of the orientation, and
      3. c. The subject or topics covered in the orientation;
   4. 4. A written plan is developed and implemented to provide in-service education specific to the duties of a personnel member; and

   5. 5. A personnel member’s in-service education is documented, to include:

      1. a. The personnel member’s name,
      2. b. The date of the training, and
      3. c. The subject or topics covered in the training.

6. F. An administrator shall ensure that a personnel member, or an employee, a volunteer, or a student who has or is expected to have more than eight hours of direct interaction per week with residents, provides evidence of freedom from infectious tuberculosis:

   1. 1. On or before the date the individual begins providing services at or on behalf of the behavioral health residential facility, and
   2. 2. As specified in R9-10-113.

7. G. An administrator shall ensure that a personnel record is maintained for each personnel member, employee, volunteer, or student that includes:

   1. 1. The individual’s name, date of birth, and contact telephone number;
   2. 2. The individual’s starting date of employment or volunteer service and, if applicable, the ending date; and

   3. 3. Documentation of:

      1. a. The individual’s qualifications including skills and knowledge applicable to the individual’s job duties;
      2. b. The individual’s education and experience applicable to the individual’s job duties;
      3. c. The individual’s completed orientation and in-service education as required by policies and procedures;
      4. d. The individual’s license or certification, if the individual is required to be licensed or certified in this Article or policies and procedures;
      5. e. The individual’s compliance with requirements in A.R.S. §§ 36-411, 36-411.01, and 36-425.03, as applicable;
      6. f. The individual’s compliance with the requirements in A.R.S. § 8-804, if applicable;
      7. g. If the individual is a behavioral health technician, clinical oversight required in R9-10-115;
      8. h. Cardiopulmonary resuscitation training, if required for the individual according to R9-10-703(C)(1)(e);
      9. i. First aid training, if required for the individual according to this Article or policies and procedures; and
      10. j. Evidence of freedom from infectious tuberculosis, if required for the individual according to subsection (F).

8. H. An administrator shall ensure that personnel records are:

   1. 1. Maintained:

      1. a. Throughout an individual’s period of providing services at or for the behavioral health residential facility, and
      2. b. For at least 24 months after the last date the individual provided services in or for the behavioral health residential facility; and
   2. 2. For a personnel member who has not provided physical health services or behavioral health services at or for the behavioral health residential facility during the previous 12 months, provided to the Department within 72 hours after the Department’s request.

9. I. An administrator shall ensure that a personnel member who is recidivism reduction staff at an adult residential care institution:

   1. 1. Submits an application for a fingerprint clearance card according to A.R.S. § 36-411; and

   2. 2. If the personnel member is denied a fingerprint clearance card, is evaluated to determine whether the personnel member:

      1. a. Has successfully completed treatment for recidivism reduction as shown by:

         1. i. Documentation of completion of treatment for recidivism reduction;
         2. ii. If applicable, continued negative results on random drug screening tests;
         3. iii. If applicable, continued participation in a self-help group, such as Alcoholics Anonymous or Narcotics Anonymous, or a support group related to the personnel member’s behavioral health issue; and
         4. iv. No arrests or convictions of the personnel member related to the reason for denial of the fingerprint clearance card within the previous two years; and

      2. b. Is not likely to be a threat to the health or safety of staff or residents through:

         1. i. Review of the reasons for denial of a fingerprint clearance card;
         2. ii. Assessment of the situations or circumstances that may have contributed to the reasons for denial of a fingerprint clearance card;
         3. iii. Review of the steps taken by the personnel member to address the situations or circumstances that may have contributed to the reasons for denial of a fingerprint clearance card;
         4. iv. Observation of the personnel member’s interactions with residents while under direct visual supervision, as defined in A.R.S. § 36-411, by personnel members having a valid fingerprint clearance card; and

         5. v. Institution of any other methods, according to policies and procedures, specific to the:

            1. (1) Behavioral health residential facility;
            2. (2) Issues of the residents that place them at risk for a future threat of prosecution, diversion, or incarceration; and
            3. (3) Recidivism reduction services that are expected to be provided by the personnel member.

10. J. An administrator shall ensure that the following personnel members have first-aid and cardiopulmonary resuscitation training specific to the populations served by the behavioral health residential facility:

    1. 1. At least one personnel member who is present at the behavioral health residential facility during hours of operation of the behavioral health residential facility, and
    2. 2. Each personnel member participating in an outing.

11. K. An administrator shall ensure that:

    1. 1. At least one personnel member is present and awake at the behavioral health residential facility when a resident is on the premises;
    2. 2. In addition to the personnel member in subsection (K)(1), at least one personnel member is on-call and available to come to the behavioral health residential facility if needed;

    3. 3. There is a daily staffing schedule that:

       1. a. Indicates the date, scheduled work hours, and name of each employee assigned to work, including on-call personnel members;
       2. b. Includes documentation of the employees who work each calendar day and the hours worked by each employee; and
       3. c. Is maintained for at least 12 months after the last date on the documentation;
    4. 4. A behavioral health professional is present at the behavioral health residential facility or on-call;
    5. 5. A registered nurse is present at the behavioral health residential facility or on-call; and
    6. 6. If a resident requires services that the behavioral health residential facility is not authorized or not able to provide, a personnel member arranges for the resident to be transported to a hospital or another health care institution where the services can be provided.

Historical Note

Adopted as an emergency effective October 26, 1988, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 88-4). Emergency expired. Readopted without change as an emergency effective January 27, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-1). Emergency expired. Readopted without change as an emergency effective April 27, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-2). Emergency expired. Readopted without change as an emergency effective July 31, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-3). Permanent rules adopted with changes effective October 30, 1989 (Supp. 89-4). Section R9-10-706 repealed, new Section R9-10-706 adopted effective November 1, 1998, under an exemption from the provisions of the Administrative Procedure Act pursuant to Laws 1998, Ch. 178, § 17; filed with the Office of the Secretary of State October 2, 1998 (Supp. 98-4). Amended by exempt rulemaking at 19 A.A.R. 2015, effective October 1, 2013 (Supp. 13-2). Amended by exempt rulemaking at 20 A.A.R. 1409, pursuant to Laws 2013, Ch. 10, § 13; effective July 1, 2014 (Supp. 14-2). Amended by final rulemaking at 25 A.A.R. 1583, effective October 1, 2019 (Supp. 19-3). Amended by final expedited rulemaking at 26 A.A.R. 551, with an immediate effective date of March 3, 2020 (Supp. 20-1). Amended by final expedited rulemaking at 26 A.A.R. 3041, with an immediate effective date of November 3, 2020 (Supp. 20-4). The Notice of Final Expedited rulemaking filed by the Department and published at 26 A.A.R. 3041 (File no. R20-200), contained omissions of amended rule text previously codified. This notice did not include amendments made to subsections R9-10-706(G)(3)(e), and R9-10-706(I), (J), and (K) as published at 25 A.A.R. 1583 (File no. R19-115); amendments to subsections R9-10-706(G)(3)(f), (g), (h), (i) and (j) as published at 25 A.A.R. 551 (File no. R20-42); the new Section R9-10-706 as made with subsection R9-10-706(B)(2)(b), including the word “and” after the semicolon as published at 19 A.A.R. 2015 (File no. R13-15). This notice also erroneously included a change to the reference of a subsection in (G)(3)(h) which has been corrected to R9-10-703(C)(1)(e) as originally made at 19 A.A.R. 2015 and amended at 20 A.A.R. 1409 (File no. R14-68). The omission of amendments to these subsections were published as filed by the Department and have been corrected as amended in the original notices at the Department’s request (Supp. 21-2). Due to a Department error published at 26 A.A.R. 551, subsections R9-10-706(I), (J), and (K) have been corrected as amended at 25 A.A.R. 1583 (Supp. 21-3).