1. (1) Each person in a supportive community residence shall have sufficient oversight and guidance to ensure that his or her health, safety and welfare are addressed. The amount and type of oversight and guidance provided shall be directly related to systematic formal assessment and ongoing review of all persons' need for such supervision. A person requiring long-term residential oversight and guidance in excess of an average 21 hours per week is considered inappropriate for placement in a supportive community residence.
2. (2) The provision of needed oversight and guidance for each person may range from daily face-to-face contact and supportive assistance to the minimum of a once-per-week site visitation with the person present, except that an individual on transitional status (see glossary, section 686.99 of this Part) is to be seen at least once a month at the site. Other face-to-face contact and/or phone contacts shall be provided in accordance with each person's need for oversight.
3. (3) The agency is responsible for identifying the degree of risk at each site surrounding the person's use of prescription and nonprescription medications and is responsible for ensuring that such risks do not inordinately affect the health, safety and welfare of any of the people.
4. (4) The agency/facility shall develop policies/procedures governing referral, intake and admission.
5. (5) These policies and procedures shall specifically address how the agency/facility will assess and meet the applicant's need for supervision in the supportive community residence, and shall include criteria justifying admission as listed in paragraph (b)(1) of this section.
6. (6) Admission to a supportive community residence shall be based primarily on the applicant having a diagnosis of developmental disability and that his/her needs for supervision can be adequately addressed in the setting.

7. (7) There shall be discharge criteria which:

   1. (i) describe the level of independent functioning that would appropriately permit a person to live independently; and identify those activities and experiences which would promote such increased independence;
   2. (ii) describe potential problem circumstances or degenerating person functioning level which might result in discharge to a more restrictive program; and
   3. (iii) preclude discharge except to a setting which can more appropriately meet the person's needs and such a setting is actually available at the time of projected discharge.
8. (8) Those responsible for the program planning shall meet within 30 days of a person's admission to the supportive community residence to review the person's adjustment to the placement, the adequacy of the implemented oversight and visitation schedule and the sufficiency of any in-house guidance and training activities.
9. (9) The agency, in accordance with its policies, may allow for occupancy by persons designated as being on non-resident status (see glossary, section 686.99 of this Part) or by individuals of the supportive community residence who have been designated as being on transitional status. Such occupancy shall be in the best interest of the individual on transitional status and any other individuals residing at the site. OPWDD shall be notified at least 45 days prior to an individual's designation as being on transitional status. In addition, such occupancy shall be in accordance with the limitations described in paragraph (11) of this subdivision.

10. (10) Persons on transitional status may remain at the supportive community residence if they meet the following criteria:

    1. (i) they have acquired the skills necessary for independent living;
    2. (ii) the residency continues only to the extent necessary to complete alternative living arrangements; but
    3. (iii) the residency cannot continue for longer than two years.

11. (11) If an agency provides the option of permitting a person on transitional status or non-resident status to reside in the supportive community residence, the following shall apply:

    1. (i) persons on transitional status shall occupy a certified bed;
    2. (ii) persons on non-resident status shall not occupy a certified bed. When it is necessary to use a certified bed for a person on non-resident status, the agency shall notify OPWDD and the certified capacity of the site shall be changed appropriately.
    3. (iii) the agency shall charge and collect from individuals on transitional status and non-residents their financial share of the occupancy, as determined by the agency, and shall appropriately report the receipt of this money to OPWDD in the form and format required by the commissioner.
    4. (iv) when an individual on transitional status permanently leaves the certified site, the space shall only be filled by a person who meets the admission standards;

    5. (v) when more than half of the persons residing in a supportive community residence are on transitional or non-resident status, one of the following options shall be followed:

       1. (a) the individuals remain at the certified supportive community residence and persons on transitional or non-resident status are moved to alternative living arrangements; or
       2. (b) the individuals are moved to another certified supportive community residence, and the site is converted from a certified supportive community residence to an independent living arrangement;
    6. (vi) the above provisions of this paragraph may be modified or waived by the commissioner upon notice and satisfactory explanation justifying why adherence to the requirements would be detrimental to the individuals living in the supportive community residence.

12. (12) The policy and procedure manual, as required in section 686.6(a)(2) of this Part shall also incorporate:

    1. (i) the requirement that a trained person shall be available to make visitations to a person in a supportive community residence in the absence of the assigned case manager;
    2. (ii) the requirement that a person shall be informed of the persons to call in the event of an emergency or other unusual or unsettling circumstances;
    3. (iii) the requirement that all occupants of a supportive community residence shall be trained to evacuate the facility in emergency situations; and
    4. (iv) any other necessary information specific to the operation of a supportive community residence.

13. (13) Only an incorporated entity shall hold the lease to the physical plant of a supportive community residence. Where programmatically appropriate, the incorporated entity may sublease the certified site to the individual(s). However, if the property to be leased is subject to the requirements of the New Construction Regulation issued by the Federal Department of Housing and Urban Development, then the individual(s) shall be the holder of the lease.

    (b) Standards of certification.

14. (1) OPWDD shall verify for each individual (other than those 17 years of age or under) newly admitted since the last survey, that such person(s); prior to admission:

    1. (i) had reached at least his or her 18th birthday;

       1. (a) persons who are under 18 years of age, with a developmental disability, and who are the offspring or legal wards of individuals who are appropriately admitted, may also be admitted as part of the family unit without meeting the supportive community residence admission criteria specified below; and
       2. (b) agencies/facilities operating programs where those as identified in clause (a) of this subparagraph are admitted, shall make provisions to meet their health, safety and welfare needs;
    2. (ii) had the capability to self-administer medication, or adequate provisions have been made to ensure adherence to his/her medication regimen;
    3. (iii) had the ability to evacuate the premises without staff assistance in the event of a fire emergency, or take other appropriate action in such emergency;
    4. (iv) had not evidenced instances of a severe behavior problem within the year previous to admission which threatened the life or limb of themselves or others;
    5. (v) had not manifested a chronic health care or self care need which could not be addressed independently by the applicant or by limited oversight and guidance;
    6. (vi) had the ability to use a telephone or other communications device to obtain assistance; and
    7. (vii) had no need for more face-to-face oversight and guidance than can be accomplished within a schedule approximating an average of 21 hours per week. This shall not be taken to preclude the provision of intermittent additional supervision necessary to assist a given individual in such situations as placement adjustment, illness recovery, or crisis resolution.
15. (2) There is documentation of a formalized assessment of each person's needs for oversight or guidance.
16. (3) If any changes have been made as to the type and/or amount of oversight or guidance of a person by those having oversight responsibilities for the person, there is documentation in the plan of services that the appropriateness of the change provided has been reviewed within 30 days of the change by the party designated to coordinate the person's plan of services.
17. (4) The person's plan of services includes a written assessment, at least annually, of the person's ability to utilize prescription and nonprescription medications. If any person is unable to independently utilize medication, there is a written plan to ensure adherence to the medication regimen.
18. (5) There shall be identification of a person as being on transitional status, if such a determination has been made.
19. (6) OPWDD shall verify the receipt of any special services obtained in the community.
20. (7) There is a schedule of oversight/visitation by the party designated responsible.
21. (8) OPWDD shall verify that scheduled oversight and guidance visitations by the designated party or substitute are being made as scheduled.
22. (9) The phone numbers of staff on call are posted near the phone at the person's place of residence.
23. (10) OPWDD shall verify that each person knows where the phone numbers of the staff on call are located.
24. (11) If a person is designated as being on transitional status, OPWDD shall verify that it was notified at least 45 days prior to the change on the forms and format approved by the commissioner.
25. (12) If a person is designated as being on transitional status, there is documentation that he or she has not been on that status for more than two years.
26. (13) If a person is designated as being on transitional status, or a non-resident is in a residence, OPWDD shall verify that the agency determined a charge for that party's share of the occupancy, did charge and collect or made reasonable effort to collect such money from said parties and appropriately reported the receipt of this money to OPWDD in the form and format required by the commissioner, unless there is documentation that any or all of these requirements have been modified or waived by the commissioner.
27. (14) If the site is subject to the requirements of the new construction regulation issued by the Federal Department of Housing and Urban Development, there is a documentation that the person(s) is/are the leaseholder(s).

(a) Principles of compliance.