1. (1) An agency must implement a Positive Behavior Support Plan when there is one, including the completion of required documentation.
   (2) An agency must implement the requirements of an advisory letter or a serious violation letter.
   (3) An agency must cooperate with and follow instructions from, the Department, case management entity, physician, registered nurse, or other health care provider in carrying out the ISP or Service Agreement for an individual upon receipt of the instructions, the consent of the individual, and when individual rights are not violated.
   (4) An agency must maintain documentation to demonstrate compliance with these rules and program rules to which the agency is endorsed. An agency must not falsify any individual or agency record or cause another person to falsify the individual or agency record.
   (5) An agency must maintain documentation that services were delivered as described in the signed ISP or Service Agreement.
   (6) STAFFING SURVEY.
   (a) An agency must submit annual staffing data to a nationally standardized reporting survey organization specified by the Department.
   (b) An agency must ensure completion of the direct support professional staffing survey by the agency’s employees when required by the Department.
   (7) An agency must submit an annual report to the Department that includes:
   (a) A disclosure of executive compensation and benefits;
   (b) A disclosure of starting, average, and highest wages for direct support professionals that are employed by, under contract with, or otherwise engaged with the agency to deliver community-based services to individuals with intellectual or developmental disabilities;
   (c) A disclosure of the agency’s overhead expenses and expenditures; and
   (d) Any other fiscal matters prescribed by the Department.
   (8) An agency must notify the Department of who to contact in the event the executive director is unable to be contacted by the Department.
   (9) An agency shall not require or ask individuals or their heirs, next of kin, executors, administrators, or any other representative of the individual to sign any documentation that will waive, release, hold harmless, or indemnify the agency, the agency's officers, trustees, agents, or employees from any or all liability from the delivery of developmental disabilities services provided to the individual or to waive the individual’s legal rights.
   (10) An agency must be registered and maintain registration with the Oregon Secretary of State Business Division for the duration of their Provider Enrollment Agreement with the Department.
   (11) A representative of the governing body or owner of an agency must notify the Department in writing 30 calendar days prior to the dissolution of the agency or the surrender of a certificate or endorsement and make appropriate arrangements for the transfer of individual records.
   (12) Change of demographic or contact information for endorsement authorizations must be provided 30 calendar days prior to the change occurring on the Department approved form.
   (13) Reimbursement for money or property that is missing due to the theft or mismanagement on the part of any staff or volunteers of the agency, or of any funds within the custody of the agency that are missing due to theft or mismanagement, must be made to the individual within 10 business days from the verification that funds are missing.
   (14) While a direct support professional is providing support to an individual, an agency must ensure the direct support professional has access to the following, as applicable:
   (a) The individual’s ISP or Service Agreement; and
   (b) Any documents related to maintaining the health and safety of the individual including, but not limited to:
   (A) A Nursing Service Plan.
   (B) Temporary Emergency Safety Plan or Positive Behavior Support Plan.
   (C) Protocols or other written instructions.
   (15) An agency must inform an individual’s case manager of a significant change to medical or behavioral conditions or support needs.
   (16) An agency is prohibited from engaging in direct solicitation.
   (17) An agency may not:
   (a) Offer incentives for an individual to choose the agency to deliver services to the individual.
   (b) Offer bonus payments, prizes, wage enhancements, or other forms of consideration in exchange for a specific direct support professional at another agency or a specific personal support worker ending their other employment arrangements and becoming a direct support professional for their agency.  Agency-wide recruitment or retention incentives that are offered on the same terms to all staff are permitted.
   (c) Require that an individual commit to allocating at least half of their service level to the agency as a condition of enrollment.
   (d) Limit services only to individuals whose existing paid support staff agree to transition their employment to the agency.
   (e) Require a person, as a condition of employment with the agency, to influence any individuals to whom the person delivers a developmental disability service to receive services from the agency.
   (f) Enroll only individuals who receive funded support exclusively from family members or close associates of the individual.
   (g) Communicate with a health care provider in an effort to get the health care provider to recommend the agency to an individual.

Statutory/Other Authority

ORS 409.050, 427.024, 427.104, 427.181 & 430.662

Statutes/Other Implemented

ORS 409.010, 410.855, 427.007, 427.024, 427.104, 427.181, 430.215, 430.610 & 430.662

History

APD 1-2026, amend filed 01/12/2026, effective 01/15/2026
APD 11-2025, temporary amend filed 07/17/2025, effective 07/21/2025 through 01/16/2026
APD 16-2023, adopt filed 09/30/2023, effective 10/01/2023