The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:
(§ 37.2-100 of the Code of Virginia)
means any act or failure to act by an employee or other person responsible for
the care of an individual in a facility or program operated, licensed, or
funded by the department, excluding those operated by the Virginia Department
of Corrections, that was performed or was failed to be performed knowingly,
recklessly, or intentionally, and that caused or might have caused physical or
psychological harm, injury, or death to a person an individual
receiving care or treatment for mental illness, mental retardation (intellectual
disability) developmental disabilities, or substance abuse (substance
use disorders). Examples of abuse include acts such as:
1. Rape, sexual assault, or other criminal sexual behavior;
2. Assault or battery;
3. Use of language that demeans, threatens, intimidates, or
4. Misuse or misappropriation of the
assets, goods, or property;
5. Use of excessive force when placing
a person an
individual in physical or mechanical restraint;
6. Use of physical or mechanical restraints on
a person an
individual that is not in compliance with federal and state laws,
regulations, and policies, professional accepted standards of practice, or the
person's his individualized services plan; or
7. Use of more restrictive or intensive services or denial of
services to punish
the person an individual or that is not
consistent with the person's his individualized services plan.
"Activities of daily living" or "ADLs" means personal care activities and includes bathing, dressing, transferring, toileting, grooming, hygiene, feeding, and eating. An individual's degree of independence in performing these activities is part of determining the appropriate level of care and services.
"Admission" means the process of acceptance into a service as defined by the provider's policies.
"Authorized representative" means a person permitted by law or 12VAC35-115 to authorize the disclosure of information or consent to treatment and services or participation in human research.
"Behavior intervention" means those principles and
methods employed by a provider to help an individual receiving services to
achieve a positive outcome and to address challenging behavior in a
constructive and safe manner. Behavior intervention principles and methods
shall be employed in accordance with the individualized services plan
and written policies and procedures governing service expectations, treatment
goals, safety, and security.
"Behavioral treatment plan," "functional plan," or "behavioral support plan" means any set of documented procedures that are an integral part of the individualized services plan and are developed on the basis of a systematic data collection, such as a functional assessment, for the purpose of assisting individuals to achieve the following:
1. Improved behavioral functioning and effectiveness;
2. Alleviation of symptoms of psychopathology; or
3. Reduction of challenging behaviors.
"Brain injury" means any injury to the brain that occurs after birth, but before age 65, that is acquired through traumatic or nontraumatic insults. Nontraumatic insults may include anoxia, hypoxia, aneurysm, toxic exposure, encephalopathy, surgical interventions, tumor, and stroke. Brain injury does not include hereditary, congenital, or degenerative brain disorders or injuries induced by birth trauma.
"Care" or "treatment" "Care,"
"treatment," or "support" means the individually
planned therapeutic interventions that conform to current acceptable
professional practice and that are intended to improve or maintain functioning
of an individual receiving services delivered by a provider.
"Case management service" or "support
coordination service" means services that can include assistance to
individuals and their family members in
needed services that are responsive to the person's individual individual's
needs. Case management services include identifying potential users of the
service; assessing needs and planning services; linking the individual to
services and supports; assisting the individual directly to locate, develop, or
obtain needed services and resources; coordinating services with other
providers; enhancing community integration; making collateral contacts;
monitoring service delivery; discharge planning; and advocating for individuals
in response to their changing needs. "Case management service" does
not include assistance in which the only function is maintaining service
waiting lists or periodically contacting or tracking individuals to determine
potential service needs.
"Clinical experience" means providing direct services to individuals with mental illness or the provision of direct geriatric services or special education services. Experience may include supervised internships, practicums, and field experience.
"Commissioner" means the Commissioner of the Department of Behavioral Health and Developmental Services.
"Community gero-psychiatric residential services" means 24-hour care provided to individuals with mental illness, behavioral problems, and concomitant health problems who are usually age 65 or older in a geriatric setting that is less intensive than a psychiatric hospital but more intensive than a nursing home or group home. Services include assessment and individualized services planning by an interdisciplinary services team, intense supervision, psychiatric care, behavioral treatment planning and behavior interventions, nursing, and other health related services.
"Community intermediate care facility/mental
retardation" or "ICF/MR" means a residential facility in which
care is provided to individuals who have mental retardation (intellectual
disability) or a developmental disability who need more intensive training and
supervision than may be available in an assisted living facility or group home.
Such facilities shall comply with Title XIX of the Social Security Act
standards and federal certification requirements, provide health or
rehabilitative services, and provide active treatment to individuals receiving
services toward the achievement of a more independent level of functioning or
an improved quality of life.
"Complaint" means an allegation of a violation of this chapter or a provider's policies and procedures related to this chapter.
"Co-occurring disorders" means the presence of more
than one and often several of the following disorders that are identified
independently of one another and are not simply a cluster of symptoms resulting
from a single disorder: mental illness,
mental retardation (intellectual
disability) a developmental disability, or substance abuse
(substance use disorders) ;, or brain injury ; or developmental
"Co-occurring services" means individually planned therapeutic treatment that addresses in an integrated concurrent manner the service needs of individuals who have co-occurring disorders.
"Corrective action plan" means the provider's
pledged corrective action in response to cited areas of noncompliance
documented by the regulatory authority.
A corrective action plan must be
completed within a specified time.
"Correctional facility" means a facility operated under the management and control of the Virginia Department of Corrections.
"Crisis" means a deteriorating or unstable situation
often developing suddenly or rapidly that produces acute, heightened,
emotional, mental, physical, medical, or behavioral distress
situation or circumstance in which the individual perceives or experiences a
sudden loss of the individual's ability to use effective problem-solving and
"Crisis stabilization" means direct, intensive nonresidential or residential direct care and treatment to nonhospitalized individuals experiencing an acute crisis that may jeopardize their current community living situation. Crisis stabilization is intended to avert hospitalization or rehospitalization; provide normative environments with a high assurance of safety and security for crisis intervention; stabilize individuals in crisis; and mobilize the resources of the community support system, family members, and others for ongoing rehabilitation and recovery.
"Day support service" means structured programs of
or training services training, assistance, and specialized supervision
in the acquisition, retention, or improvement of self-help, socialization, and
adaptive skills for adults with an intellectual disability or a
developmental disability , generally in clusters of two or more continuous
hours per day provided to groups or individuals in nonresidential
community-based settings. Day support services may provide opportunities for
peer interaction and community integration and are designed to enhance the
following: self-care and hygiene, eating, toileting, task learning, community
resource utilization, environmental and behavioral skills, social skills,
medication management, prevocational skills, and transportation skills. The
term "day support service" does not include services in which the
primary function is to provide employment-related services, general educational
services, or general recreational services.
"Department" means the Virginia Department of Behavioral Health and Developmental Services.
means autism or a severe, chronic disability that meets all of the
following conditions identified in 42 CFR 435.1009: 1. Attributable to cerebral
palsy, epilepsy, or any other condition, other than mental illness, that is
found to be closely related to mental retardation (intellectual disability)
because this condition results in impairment of general intellectual
functioning or adaptive behavior similar to behavior of individuals with mental
retardation (intellectual disability) and requires treatment or services
similar to those required for these individuals; 2. Manifested before the
individual reaches age 18; 3. Likely to continue indefinitely; and 4. Results
in substantial functional limitations in three or more of the following areas
of major life activity: a. Self-care; b. Understanding and use of language; c.
Learning; d. Mobility; e. Self-direction; or f. Capacity for independent living
of an individual that (i) is attributable to a mental or physical impairment
or a combination of mental and physical impairments other than a sole diagnosis
of mental illness; (ii) is manifested before the individual reaches 22 years of
age; (iii) is likely to continue indefinitely; (iv) results in substantial
functional limitations in three or more of the following areas of major life
activity: self-care, receptive and expressive language, learning, mobility, self-direction,
capacity for independent living, or economic self-sufficiency; and (v) reflects
the individual's need for a combination and sequence of special
interdisciplinary or generic services, individualized supports, or other forms
of assistance that are of lifelong or extended duration and are individually
planned and coordinated. An individual from birth to nine years of age,
inclusive, who has a substantial developmental delay or specific congenital or
acquired condition may be considered to have a developmental disability without
meeting three or more of the criteria described in clauses (i) through (v) if
the individual without services and supports has a high probability of meeting
those criteria later in life.
"Developmental services" means planned, individualized, and person-centered services and supports provided to individuals with developmental disabilities for the purpose of enabling these individuals to increase their self-determination and independence, obtain employment, participate fully in all aspects of community life, advocate for themselves, and achieve their fullest potential to the greatest extent possible.
"Direct care position" means any position that includes responsibility for (i) treatment, case management, health, safety, development, or well-being of an individual receiving services or (ii) immediately supervising a person in a position with this responsibility.
"Discharge" means the process by which the individual's active involvement with a service is terminated by the provider, individual, or authorized representative.
"Discharge plan" means the written plan that establishes the criteria for an individual's discharge from a service and identifies and coordinates delivery of any services needed after discharge.
"Dispense" means to deliver a drug to an ultimate user by or pursuant to the lawful order of a practitioner, including the prescribing and administering, packaging, labeling, or compounding necessary to prepare the substance for that delivery (§ 54.1-3400 et seq. of the Code of Virginia).
"Emergency service" means unscheduled and sometimes scheduled crisis intervention, stabilization, and referral assistance provided over the telephone or face-to-face, if indicated, available 24 hours a day and seven days per week. Emergency services also may include walk-ins, home visits, jail interventions, and preadmission screening activities associated with the judicial process.
"Group home or community residential service" means a congregate service providing 24-hour supervision in a community-based home having eight or fewer residents. Services include supervision, supports, counseling, and training in activities of daily living for individuals whose individualized services plan identifies the need for the specific types of services available in this setting.
"HCBS Waiver" means a Medicaid Home and Community Based Services Waiver.
"Home and noncenter based" means that a service is provided in the individual's home or other noncenter-based setting. This includes noncenter-based day support, supportive in-home, and intensive in-home services.
"IFDDS Waiver" means the Individual and Family
Developmental Disabilities Support Waiver.
"Individual" or "individual receiving
services" means a
person receiving services that are licensed under
this chapter whether that person is referred to as a patient, consumer, client,
resident, student, individual, recipient, family member, relative, or other
term current direct recipient of public or private mental health,
developmental, or substance abuse treatment, rehabilitation, or habilitation
services and includes the terms "consumer," "patient,"
"resident," "recipient," or "client". When
the term is used in this chapter, the requirement applies to every
individual receiving licensed services from the provider.
"Individualized services plan" or "ISP" means a comprehensive and regularly updated written plan that describes the individual's needs, the measurable goals and objectives to address those needs, and strategies to reach the individual's goals. An ISP is person-centered, empowers the individual, and is designed to meet the needs and preferences of the individual. The ISP is developed through a partnership between the individual and the provider and includes an individual's treatment plan, habilitation plan, person-centered plan, or plan of care, which are all considered individualized service plans.
"Informed choice" means a decision made after considering options based on adequate and accurate information and knowledge. These options are developed through collaboration with the individual and his authorized representative, as applicable, and the provider with the intent of empowering the individual and his authorized representative to make decisions that will lead to positive service outcomes.
"Informed consent" means the voluntary written agreement of an individual, or that individual's authorized representative, to surgery, electroconvulsive treatment, use of psychotropic medications, or any other treatment or service that poses a risk of harm greater than that ordinarily encountered in daily life or for participation in human research. To be voluntary, informed consent must be given freely and without undue inducement; any element of force, fraud, deceit, or duress; or any form of constraint or coercion.
"Initial assessment" means an assessment conducted prior to or at admission to determine whether the individual meets the service's admission criteria; what the individual's immediate service, health, and safety needs are; and whether the provider has the capability and staffing to provide the needed services.
"Inpatient psychiatric service" means intensive 24-hour medical, nursing, and treatment services provided to individuals with mental illness or substance abuse (substance use disorders) in a hospital as defined in § 32.1-123 of the Code of Virginia or in a special unit of such a hospital.
"Instrumental activities of daily living" or "IADLs" means meal preparation, housekeeping, laundry, and managing money. A person's degree of independence in performing these activities is part of determining appropriate level of care and services.
"Intellectual disability" means a disability originating before 18 years of age, characterized concurrently by (i) significant subaverage intellectual functioning as demonstrated by performance on a standardized measure of intellectual functioning administered in conformity with accepted professional practice that is at least two standard deviations below the mean and (ii) significant limitations in adaptive behavior as expressed in conceptual, social, and practical adaptive skills.
"Intensive community treatment service" or "ICT" means a self-contained interdisciplinary team of at least five full-time equivalent clinical staff, a program assistant, and a full-time psychiatrist that:
1. Assumes responsibility for directly providing needed treatment, rehabilitation, and support services to identified individuals with severe and persistent mental illness, especially those who have severe symptoms that are not effectively remedied by available treatments or who because of reasons related to their mental illness resist or avoid involvement with mental health services;
2. Minimally refers individuals to outside service providers;
3. Provides services on a long-term care basis with continuity of caregivers over time;
4. Delivers 75% or more of the services outside program offices; and
5. Emphasizes outreach, relationship building, and individualization of services.
"Intensive in-home service" means family
preservation interventions for children and adolescents who have or are at-risk
of serious emotional disturbance, including individuals who also have a
mental retardation (intellectual disability) developmental
disability. Intensive in-home service is usually time-limited and is
provided typically in the residence of an individual who is at risk of being
moved to out-of-home placement or who is being transitioned back home from an
out-of-home placement. The service includes 24-hour per day emergency response;
crisis treatment; individual and family counseling; life, parenting, and
communication skills; and case management and coordination with other services.
"Intermediate care facility/individuals with intellectual disability" or "ICF/IID" means a facility or distinct part of a facility certified by the Virginia Department of Health as meeting the federal certification regulations for an intermediate care facility for individuals with intellectual disability and persons with related conditions and that addresses the total needs of the residents, which include physical, intellectual, social, emotional, and habilitation, providing active treatment as defined in 42 CFR 435.1010 and 42 CFR 483.440.
"Investigation" means a detailed inquiry or systematic examination of the operations of a provider or its services regarding an alleged violation of regulations or law. An investigation may be undertaken as a result of a complaint, an incident report, or other information that comes to the attention of the department.
"Licensed mental health professional" or "LMHP" means a physician, licensed clinical psychologist, licensed professional counselor, licensed clinical social worker, licensed substance abuse treatment practitioner, licensed marriage and family therapist, certified psychiatric clinical nurse specialist, licensed behavior analyst, or licensed psychiatric/mental health nurse practitioner.
"Location" means a place where services are or could be provided.
"Medically managed withdrawal services" means detoxification services to eliminate or reduce the effects of alcohol or other drugs in the individual's body.
"Mandatory outpatient treatment order" means an order issued by a court pursuant to § 37.2-817 of the Code of Virginia.
"Medical detoxification" means a service provided in a hospital or other 24-hour care facility under the supervision of medical personnel using medication to systematically eliminate or reduce effects of alcohol or other drugs in the individual's body.
"Medical evaluation" means the process of assessing an individual's health status that includes a medical history and a physical examination of an individual conducted by a licensed medical practitioner operating within the scope of his license.
"Medication" means prescribed or over-the-counter drugs or both.
"Medication administration" means the direct application of medications by injection, inhalation, ingestion, or any other means to an individual receiving services by (i) persons legally permitted to administer medications or (ii) the individual at the direction and in the presence of persons legally permitted to administer medications.
"Medication assisted treatment (Opioid treatment service)" means an intervention strategy that combines outpatient treatment with the administering or dispensing of synthetic narcotics, such as methadone or buprenorphine (suboxone), approved by the federal Food and Drug Administration for the purpose of replacing the use of and reducing the craving for opioid substances, such as heroin or other narcotic drugs.
"Medication error" means an error in administering a medication to an individual and includes when any of the following occur: (i) the wrong medication is given to an individual, (ii) the wrong individual is given the medication, (iii) the wrong dosage is given to an individual, (iv) medication is given to an individual at the wrong time or not at all, or (v) the wrong method is used to give the medication to the individual.
"Medication storage" means any area where medications are maintained by the provider, including a locked cabinet, locked room, or locked box.
"Mental Health Community Support Service
or "MCHSS" means the provision of recovery-oriented services
to individuals with long-term, severe mental illness. MHCSS includes skills
training and assistance in accessing and effectively utilizing services and
supports that are essential to meeting the needs identified in the
individualized services plan and development of environmental supports necessary
to sustain active community living as independently as possible. MHCSS may be
provided in any setting in which the individual's needs can be addressed,
skills training applied, and recovery experienced.
"Mental illness" means a disorder of thought, mood, emotion, perception, or orientation that significantly impairs judgment, behavior, capacity to recognize reality, or ability to address basic life necessities and requires care and treatment for the health, safety, or recovery of the individual or for the safety of others.
"Mental retardation (intellectual disability)"
means a disability originating before the age of 18 years characterized
concurrently by (i) significantly subaverage intellectual functioning as
demonstrated by performance on a standardized measure of intellectual
functioning administered in conformity with accepted professional practice that
is at least two standard deviations below the mean; and (ii) significant
limitations in adaptive behavior as expressed in conceptual, social, and
practical adaptive skills (§ 37.2-100 of the Code of Virginia).
"Missing" means a circumstance in which an individual is not physically present when and where he should be and his absence cannot be accounted for or explained by his supervision needs or pattern of behavior.
"Neglect" means the failure by
an individual a
person, or a program or facility operated, licensed, or funded by the
department, excluding those operated by the Department of Corrections,
responsible for providing services to do so, including nourishment, treatment,
care, goods, or services necessary to the health, safety, or welfare of a
person an individual receiving care or treatment for mental illness,
mental retardation (intellectual disability) developmental
disabilities, or substance abuse (substance use disorders).
"Neurobehavioral services" means the assessment, evaluation, and treatment of cognitive, perceptual, behavioral, and other impairments caused by brain injury that affect an individual's ability to function successfully in the community.
"Outpatient service" means treatment provided to individuals on an hourly schedule, on an individual, group, or family basis, and usually in a clinic or similar facility or in another location. Outpatient services may include diagnosis and evaluation, screening and intake, counseling, psychotherapy, behavior management, psychological testing and assessment, laboratory and other ancillary services, medical services, and medication services. "Outpatient service" specifically includes:
1. Services operated by a community services board or a behavioral health authority established pursuant to Chapter 5 (§ 37.2-500 et seq.) or Chapter 6 (§ 37.2-600 et seq.) of Title 37.2 of the Code of Virginia;
2. Services contracted by a community services board or a behavioral health authority established pursuant to Chapter 5 (§ 37.2-500 et seq.) or Chapter 6 (§ 37.2-600 et seq.) of Title 37.2 of the Code of Virginia; or
3. Services that are owned, operated, or controlled by a corporation organized pursuant to the provisions of either Chapter 9 (§ 13.1-601 et seq.) or Chapter 10 (§ 13.1-801 et seq.) of Title 13.1 of the Code of Virginia.
"Partial hospitalization service" means time-limited active treatment interventions that are more intensive than outpatient services, designed to stabilize and ameliorate acute symptoms, and serve as an alternative to inpatient hospitalization or to reduce the length of a hospital stay. Partial hospitalization is focused on individuals with serious mental illness, substance abuse (substance use disorders), or co-occurring disorders at risk of hospitalization or who have been recently discharged from an inpatient setting.
"Person-centered" means focusing on the needs and preferences of the individual; empowering and supporting the individual in defining the direction for his life; and promoting self-determination, community involvement, and recovery.
"Program of assertive community treatment service"
or "PACT" means a self-contained interdisciplinary team of at least 10
full-time equivalent clinical staff, a program assistant, and a
or part-time psychiatrist that:
1. Assumes responsibility for directly providing needed treatment, rehabilitation, and support services to identified individuals with severe and persistent mental illnesses, including those who have severe symptoms that are not effectively remedied by available treatments or who because of reasons related to their mental illness resist or avoid involvement with mental health services;
2. Minimally refers individuals to outside service providers;
3. Provides services on a long-term care basis with continuity of caregivers over time;
4. Delivers 75% or more of the services outside program offices; and
5. Emphasizes outreach, relationship building, and individualization of services.
"Provider" means any person, entity, or
organization, excluding an agency of the federal government by whatever name or
designation, that delivers (i) services to individuals with mental illness,
retardation (intellectual disability) developmental disabilities, or
substance abuse (substance use disorders) , or (ii) services to
individuals who receive day support, in-home support, or crisis stabilization
services funded through the IFDDS Waiver, or (iii) residential services for
individuals with brain injury. The person, entity, or organization shall
include a hospital as defined in § 32.1-123 of the Code of Virginia, community
services board, behavioral health authority, private provider, and any other
similar or related person, entity, or organization. It shall not include any
individual practitioner who holds a license issued by a health regulatory board
of the Department of Health Professions or who is exempt from licensing
pursuant to §§ 54.1-2901, 54.1-3001, 54.1-3501, 54.1-3601, and 54.1-3701
of the Code of Virginia.
"Psychosocial rehabilitation service" means a program of two or more consecutive hours per day provided to groups of adults in a nonresidential setting. Individuals must demonstrate a clinical need for the service arising from a condition due to mental, behavioral, or emotional illness that results in significant functional impairments in major life activities. This service provides education to teach the individual about mental illness, substance abuse, and appropriate medication to avoid complication and relapse and opportunities to learn and use independent skills and to enhance social and interpersonal skills within a consistent program structure and environment. Psychosocial rehabilitation includes skills training, peer support, vocational rehabilitation, and community resource development oriented toward empowerment, recovery, and competency.
"Qualified developmental disability professional" or "QDDP" means a person who possesses at least one year of documented experience working directly with individuals who have a developmental disability and who possesses one of the following credentials: (i) a doctor of medicine or osteopathy licensed in Virginia, (ii) a registered nurse licensed in Virginia, (iii) a licensed occupational therapist, or (iv) completion of at least a bachelor's degree in a human services field, including sociology, social work, special education, rehabilitation counseling, or psychology.
"Quality improvement plan" means a
detailed work plan developed by a provider that defines steps the provider will
take to review the quality of services it provides and to manage initiatives to
improve quality. A quality improvement plan consists of systematic and
continuous actions that lead to measurable improvement in the services,
supports, and health status of the individuals receiving services. ]
"Qualified mental health professional" or "QMHP" means a person who by education and experience is professionally qualified and registered by the Board of Counseling in accordance with 18VAC115-80 to provide collaborative mental health services for adults or children. A QMHP shall not engage in independent or autonomous practice. A QMHP shall provide such services as an employee or independent contractor of the department or a provider licensed by the department.
"Qualified mental health professional-adult" or "QMHP-A" means a person who by education and experience is professionally qualified and registered with the Board of Counseling in accordance with 18VAC115-80 to provide collaborative mental health services for adults. A QMHP-A shall provide such services as an employee or independent contractor of the department or a provider licensed by the department. A QMHP-A may be an occupational therapist who by education and experience is professionally qualified and registered with the Board of Counseling in accordance with 18VAC115-80.
"Qualified mental health professional-child" or "QMHP-C" means a person who by education and experience is professionally qualified and registered with the Board of Counseling in accordance with 18VAC115-80 to provide collaborative mental health services for children. A QMHP-C shall provide such services as an employee or independent contractor of the department or a provider licensed by the department. A QMHP-C may be an occupational therapist who by education and experience is professionally qualified and registered with the Board of Counseling in accordance with 18VAC115-80.
"Qualified mental health professional-eligible" or "QMHP-E" means a person receiving supervised training in order to qualify as a QMHP in accordance with 18VAC115-80 and who is registered with the Board of Counseling.
"Qualified paraprofessional in mental health" or "QPPMH" means a person who must meet at least one of the following criteria: (i) registered with the United States Psychiatric Association (USPRA) as an Associate Psychiatric Rehabilitation Provider (APRP); (ii) has an associate's degree in a related field (social work, psychology, psychiatric rehabilitation, sociology, counseling, vocational rehabilitation, human services counseling) and at least one year of experience providing direct services to individuals with a diagnosis of mental illness; (iii) licensed as an occupational therapy assistant, and supervised by a licensed occupational therapist, with at least one year of experience providing direct services to individuals with a diagnosis of mental illness; or (iv) has a minimum of 90 hours classroom training and 12 weeks of experience under the direct personal supervision of a QMHP-A providing services to individuals with mental illness and at least one year of experience (including the 12 weeks of supervised experience).
[ "Quality improvement plan" means a detailed work plan developed by a provider that defines steps the provider will take to review the quality of services it provides and to manage initiatives to improve quality. A quality improvement plan consists of systematic and continuous actions that lead to measurable improvement in the services, supports, and health status of the individuals receiving services. ]
"Recovery" means a journey of healing and
transformation enabling an individual with a mental illness to live a
meaningful life in a community of his choice while striving to achieve his full
potential. For individuals with substance abuse (substance use disorders),
recovery is an incremental process leading to positive social change and a full
return to biological, psychological, and social functioning. For individuals
mental retardation (intellectual disability) a developmental
disability, the concept of recovery does not apply in the sense that
individuals with mental retardation (intellectual disability) a
developmental disability will need supports throughout their entire lives
although these may change over time. With supports, individuals with mental
retardation (intellectual disability) a developmental disability are
capable of living lives that are fulfilling and satisfying and that bring
meaning to themselves and others whom they know.
"Referral" means the process of directing an applicant or an individual to a provider or service that is designed to provide the assistance needed.
"Residential crisis stabilization service" means (i) providing short-term, intensive treatment to nonhospitalized individuals who require multidisciplinary treatment in order to stabilize acute psychiatric symptoms and prevent admission to a psychiatric inpatient unit; (ii) providing normative environments with a high assurance of safety and security for crisis intervention; and (iii) mobilizing the resources of the community support system, family members, and others for ongoing rehabilitation and recovery.
"Residential service" means providing 24-hour
support in conjunction with care and treatment or a training program in a
setting other than a hospital or training center. Residential services provide
a range of living arrangements from highly structured and intensively
supervised to relatively independent requiring a modest amount of staff support
and monitoring. Residential services include residential treatment, group
community homes, supervised living, residential crisis stabilization,
community gero-psychiatric residential, community intermediate care
facility-MR ICF/IID, sponsored residential homes, medical and social
detoxification, neurobehavioral services, and substance abuse residential
treatment for women and children.
"Residential treatment service" means providing an intensive and highly structured mental health, substance abuse, or neurobehavioral service, or services for co-occurring disorders in a residential setting, other than an inpatient service.
"Respite care service" means providing for a
time limited time-limited period of care of an individual
for the purpose of providing relief to the individual's family, guardian, or
regular care giver. Persons providing respite care are recruited, trained, and
supervised by a licensed provider. These services may be provided in a variety
of settings including residential, day support, in-home, or a sponsored
"Restraint" means the use of a mechanical device, medication, physical intervention, or hands-on hold to prevent an individual receiving services from moving his body to engage in a behavior that places him or others at imminent risk. There are three kinds of restraints:
1. Mechanical restraint means the use of a mechanical device that cannot be removed by the individual to restrict the individual's freedom of movement or functioning of a limb or portion of an individual's body when that behavior places him or others at imminent risk.
2. Pharmacological restraint means the use of a medication that is administered involuntarily for the emergency control of an individual's behavior when that individual's behavior places him or others at imminent risk and the administered medication is not a standard treatment for the individual's medical or psychiatric condition.
3. Physical restraint, also referred to as manual hold, means the use of a physical intervention or hands-on hold to prevent an individual from moving his body when that individual's behavior places him or others at imminent risk.
"Restraints for behavioral purposes" means using a physical hold, medication, or a mechanical device to control behavior or involuntary restrict the freedom of movement of an individual in an instance when all of the following conditions are met: (i) there is an emergency; (ii) nonphysical interventions are not viable; and (iii) safety issues require an immediate response.
"Restraints for medical purposes" means using a physical hold, medication, or mechanical device to limit the mobility of an individual for medical, diagnostic, or surgical purposes, such as routine dental care or radiological procedures and related post-procedure care processes, when use of the restraint is not the accepted clinical practice for treating the individual's condition.
"Restraints for protective purposes" means using a mechanical device to compensate for a physical or cognitive deficit when the individual does not have the option to remove the device. The device may limit an individual's movement, for example, bed rails or a gerichair, and prevent possible harm to the individual or it may create a passive barrier, such as a helmet to protect the individual.
"Restriction" means anything that limits or prevents an individual from freely exercising his rights and privileges.
"Risk management" means an integrated system-wide program to ensure the safety of individuals, employees, visitors, and others through identification, mitigation, early detection, monitoring, evaluation, and control of risks.
"Root cause analysis" means a method of problem solving designed to identify the underlying causes of a problem. The focus of a root cause analysis is on systems, processes, and outcomes that require change to reduce the risk of harm.
"Screening" means the process or procedure for determining whether the individual meets the minimum criteria for admission.
"Seclusion" means the involuntary placement of an individual alone in an area secured by a door that is locked or held shut by a staff person, by physically blocking the door, or by any other physical means so that the individual cannot leave it.
"Serious incident" means any event or circumstance that causes or could cause harm to the health, safety, or well-being of an individual. The term "serious incident" includes death and serious injury.
"Level I serious incident" means a serious incident that occurs or originates during the provision of a service or on the premises of the provider and does not meet the definition of a Level II or Level III serious incident. Level I serious incidents do not result in significant harm to individuals, but may include events that result in minor injuries that do not require medical attention or events that have the potential to cause serious injury, even when no injury occurs. "Level II serious incident" means a serious incident that occurs or originates during the provision of a service or on the premises of the provider that results in a significant harm or threat to the health and safety of an individual that does not meet the definition of a Level III serious incident.
"Level II serious incident" includes a significant harm or threat to the health or safety of others caused by an individual. Level II serious incidents include:
1. A serious injury;
2. An individual who is or was missing;
3. An emergency room visit;
4. An unplanned psychiatric or unplanned medical hospital admission of an individual receiving services other than licensed emergency services [ , except that a psychiatric admission in accordance with the individual's Wellness Recovery Action Plan shall not constitute an unplanned admission for the purposes of this chapter ];
5. Choking incidents that require direct physical intervention by another person;
6. Ingestion of any hazardous material; or
7. A diagnosis of:
a. A decubitus ulcer or an increase in severity of level of previously diagnosed decubitus ulcer;
b. A bowel obstruction; or
c. Aspiration pneumonia.
"Level III serious incident" means a serious incident whether or not the incident occurs while in the provision of a service or on the provider's premises and results in:
1. Any death of an individual;
2. A sexual assault of an individual; or
3. A suicide attempt by an individual admitted for services, other than licensed emergency services, that results in a hospital admission.
"Serious injury" means any injury resulting in
bodily hurt, damage, harm, or loss that requires medical attention by a
licensed physician, doctor of osteopathic medicine, physician assistant, or
while the individual is supervised by or involved in
services, such as attempted suicides, medication overdoses, or reactions from
medications administered or prescribed by the service.
"Service" means (i) planned individualized
interventions intended to reduce or ameliorate mental illness,
retardation (intellectual disability) developmental disabilities, or
substance abuse (substance use disorders) through care, treatment, training,
habilitation, or other supports that are delivered by a provider to individuals
with mental illness, mental retardation (intellectual disability) developmental
disabilities, or substance abuse (substance use disorders). Services
include outpatient services, intensive in-home services, opioid treatment
services, inpatient psychiatric hospitalization, community gero-psychiatric
residential services, assertive community treatment and other clinical
services; day support, day treatment, partial hospitalization, psychosocial
rehabilitation, and habilitation services; case management services; and
supportive residential, special school, halfway house, in-home
services, crisis stabilization, and other residential services; and
(ii) day support, in-home support, and crisis stabilization services
provided to individuals under the IFDDS Waiver; and (iii) planned
individualized interventions intended to reduce or ameliorate the effects of
brain injury through care, treatment, or other supports or provided
in residential services for persons with brain injury.
"Shall" means an obligation to act is imposed.
"Shall not" means an obligation not to act is imposed.
"Skills training" means systematic skill building through curriculum-based psychoeducational and cognitive-behavioral interventions. These interventions break down complex objectives for role performance into simpler components, including basic cognitive skills such as attention, to facilitate learning and competency.
"Social detoxification service" means providing nonmedical supervised care for the individual's natural process of withdrawal from use of alcohol or other drugs.
"Sponsored residential home" means a service where providers arrange for, supervise, and provide programmatic, financial, and service support to families or persons (sponsors) providing care or treatment in their own homes for individuals receiving services.
"State board" means the State Board of Behavioral Health and Developmental Services. The board has statutory responsibility for adopting regulations that may be necessary to carry out the provisions of Title 37.2 of the Code of Virginia and other laws of the Commonwealth administered by the commissioner or the department.
"State methadone authority" means the Virginia Department of Behavioral Health and Developmental Services that is authorized by the federal Center for Substance Abuse Treatment to exercise the responsibility and authority for governing the treatment of opiate addiction with an opioid drug.
"Substance abuse (substance use disorders)" means the use of drugs enumerated in the Virginia Drug Control Act (§ 54.1-3400 et seq.) without a compelling medical reason or alcohol that (i) results in psychological or physiological dependence or danger to self or others as a function of continued and compulsive use or (ii) results in mental, emotional, or physical impairment that causes socially dysfunctional or socially disordering behavior; and (iii), because of such substance abuse, requires care and treatment for the health of the individual. This care and treatment may include counseling, rehabilitation, or medical or psychiatric care.
"Substance abuse intensive outpatient service" means treatment provided in a concentrated manner for two or more consecutive hours per day to groups of individuals in a nonresidential setting. This service is provided over a period of time for individuals requiring more intensive services than an outpatient service can provide. Substance abuse intensive outpatient services include multiple group therapy sessions during the week, individual and family therapy, individual monitoring, and case management.
"Substance abuse residential treatment for women with children service" means a 24-hour residential service providing an intensive and highly structured substance abuse service for women with children who live in the same facility.
"Suicide attempt" means a nonfatal, self-directed, potentially injurious behavior with an intent to die as a result of the behavior regardless of whether it results in injury.
"Supervised living residential service" means the provision of significant direct supervision and community support services to individuals living in apartments or other residential settings. These services differ from supportive in-home service because the provider assumes responsibility for management of the physical environment of the residence, and staff supervision and monitoring are daily and available on a 24-hour basis. Services are provided based on the needs of the individual in areas such as food preparation, housekeeping, medication administration, personal hygiene, treatment, counseling, and budgeting.
"Supportive in-home service" (formerly supportive residential) means the provision of community support services and other structured services to assist individuals, to strengthen individual skills, and that provide environmental supports necessary to attain and sustain independent community residential living. Services include drop-in or friendly-visitor support and counseling to more intensive support, monitoring, training, in-home support, respite care, and family support services. Services are based on the needs of the individual and include training and assistance. These services normally do not involve overnight care by the provider; however, due to the flexible nature of these services, overnight care may be provided on an occasional basis.
"Systemic deficiency" means violations of regulations documented by the department that demonstrate multiple or repeat defects in the operation of one or more services.
"Therapeutic day treatment for children and
adolescents" means a treatment program that serves (i) children and
adolescents from birth through
age 17 years of age and under
certain circumstances up to 21 years of age with serious emotional
disturbances, substance use, or co-occurring disorders or (ii) children from
birth through age seven years of age who are at risk of serious
emotional disturbance, in order to combine psychotherapeutic interventions with
education and mental health or substance abuse treatment. Services include:
evaluation; medication education and management; opportunities to learn and use
daily living skills and to enhance social and interpersonal skills; and
individual, group, and family counseling.
"Time out" means the involuntary removal of an individual by a staff person from a source of reinforcement to a different, open location for a specified period of time or until the problem behavior has subsided to discontinue or reduce the frequency of problematic behavior.
"Volunteer" means a person who, without financial remuneration, provides services to individuals on behalf of the provider.
A. Licenses are issued to providers who offer services to
individuals who have mental illness,
mental retardation (intellectual
disability) a developmental disability, or substance abuse (substance
use disorders) ; have developmental disability and are served under the IFDDS
Waiver; or have brain injury and are receiving residential services.
B. Providers shall be licensed to provide specific services as defined in this chapter or as determined by the commissioner. These services include:
1. Case management;
2. Community gero-psychiatric residential;
Community intermediate care facility-MR ICF/IID;
4. Residential crisis stabilization;
5. Nonresidential crisis stabilization;
6. Day support;
7. Day treatment, includes therapeutic day treatment for children and adolescents;
8. Group home and community residential;
9. Inpatient psychiatric;
Community Treatment community treatment
11. Intensive in-home;
12. Managed withdrawal, including medical detoxification and social detoxification;
13. Mental health community support;
14. Opioid treatment/medication assisted treatment;
17. Partial hospitalization;
18. Program of assertive community treatment (PACT);
19. Psychosocial rehabilitation;
20. Residential treatment;
21. Respite care;
22. Sponsored residential home;
23. Substance abuse residential treatment for women with children;
24. Substance abuse intensive outpatient;
25. Supervised living residential; and
26. Supportive in-home.
C. A license addendum shall describe the services licensed, the disabilities of individuals who may be served, the specific locations where services are to be provided or administered, and the terms and conditions for each service offered by a licensed provider. For residential and inpatient services, the license identifies the number of individuals each residential location may serve at a given time.
12VAC35-105-50. Issuance of licenses.
A. The commissioner may issue the following types of licenses:
1. A conditional license
shall may be issued to a
new provider for services that demonstrates compliance with administrative and
policy regulations but has not demonstrated compliance with all the
a. A conditional license shall not exceed six months.
b. A conditional license may be renewed if the provider is not able to demonstrate compliance with all the regulations at the end of the license period. A conditional license and any renewals shall not exceed 12 successive months for all conditional licenses and renewals combined.
c. A provider holding a conditional license for a service shall demonstrate progress toward compliance.
d. A provider holding a conditional license shall not add services or locations during the conditional period.
e. A group home or community residential service provider shall be limited to providing services in a single location, serving no more than four individuals during the conditional period.
2. A provisional license may be issued to a provider for a
service that has demonstrated an inability to maintain compliance with all
applicable regulations, including this chapter and 12VAC35-115, has
violations of human rights or licensing regulations that pose a threat to the
health or safety of individuals
being served receiving services,
has multiple violations of human rights or licensing regulations, or has failed
to comply with a previous corrective action plan.
a. A provisional license may be issued at any time.
b. The term of a provisional license shall not exceed six months.
c. A provisional license may be renewed; but a provisional license and any renewals shall not exceed 12 successive months for all provisional licenses and renewals combined.
d. A provider holding a provisional license for a service shall demonstrate progress toward compliance.
e. A provider holding a provisional license for a service shall not increase its services or locations or expand the capacity of the service.
f. A provisional license for a service shall be noted as a stipulation on the provider license. The stipulation shall also indicate the violations to be corrected and the expiration date of the provisional license.
3. A full license shall be issued after a provider or service demonstrates compliance with all the applicable regulations.
a. A full license may be granted to a provider for service for up to three years. The length of the license shall be in the sole discretion of the commissioner.
b. If a full license is granted for three years, it shall be
referred to as a triennial license. A triennial license shall be granted to
providers for services that have demonstrated full compliance with
all applicable regulations. The commissioner may issue a triennial
license to a provider for service that had violations during the previous
license period if those violations did not pose a threat to the health or
safety of individuals being served receiving services, and the
provider or service has demonstrated consistent compliance for more than a year
and has a process in place that provides sufficient oversight to maintain
c. If a full license is granted for one year, it shall be referred to as an annual license.
d. The term of the first full renewal license after the expiration of a conditional or provisional license shall not exceed one year.
B. The commissioner may add stipulations on a license issued to a provider that may place limits on the provider or to impose additional requirements on the provider.
C. A license shall not be transferred or assigned to another provider. A new application shall be made and a new license issued when there is a change in ownership.
D. A license shall not be issued or renewed unless the
provider is affiliated with a local human rights committee. E. D. No service shall be issued a license with
an expiration date that is after the expiration date of the provider license. F. E. A license shall continue in effect after
the expiration date if the provider has submitted a renewal application before
the date of expiration and there are no grounds to deny the application. The
department shall issue a letter stating the provider or service license shall
be effective for six additional months if the renewed license is not issued
before the date of expiration.
The commissioner may grant a variance to a specific regulation
if he determines that such a variance will not jeopardize the health, safety,
or welfare of individuals
and upon demonstration by the provider requesting.
A provider shall submit a request for such variance in writing to the
commissioner. The request shall demonstrate that complying with the
regulation would be a hardship unique to the provider and that the variance
will not jeopardize the health, safety, or welfare of individuals. The
department may limit the length of time a variance will be effective. A
provider shall submit a request for a variance in writing to the commissioner.
A variance may be time limited or have other conditions attached to it. The department
must approve a variance prior to implementation The provider shall not
implement a variance until it has been approved in writing by the commissioner.
12VAC35-105-150. Compliance with applicable laws, regulations and policies.
The provider including its employees, contractors, students, and volunteers shall comply with:
These regulations This chapter;
2. The terms and stipulations of the license;
3. All applicable federal, state, or local laws and regulations including:
a. Laws regarding employment practices including the Equal Employment Opportunity Act;
b. The Americans with Disabilities Act and the Virginians with Disabilities Act;
c. For home and community-based services waiver settings
subject to this chapter, 42 CFR 441.301(c)(1) through (4) [
contents of request for a waiver ];
d. Occupational Safety and Health Administration regulations;
d. e. Virginia Department of Health regulations;
e. Laws and regulations of the f. Virginia
Department of Health Professions regulations; f. g. Virginia Department of Medical Assistance
Services regulations; g. h. Uniform Statewide Building Code; and h. i. Uniform Statewide Fire Prevention Code.
4. Section 37.2-400 of the Code of Virginia and related human rights regulations adopted by the state board; and
5. The provider's own policies. All required policies shall be in writing.
12VAC35-105-155. Preadmission screening, discharge planning, involuntary commitment, and mandatory outpatient treatment orders.
A. Providers responsible for complying with §§ 37.2-505 and
37.2-606 of the Code of Virginia regarding community
board and behavioral health authority preadmission screening and discharge
planning shall implement policies and procedures that include:
1. Identification, qualification, training, and responsibilities of employees responsible for preadmission screening and discharge planning.
2. Completion of a discharge plan prior to an individual's discharge in consultation with the state facility that:
a. Involves the individual or his authorized representative and reflects the individual's preferences to the greatest extent possible consistent with the individual's needs.
b. Involves mental health,
mental retardation (intellectual
disability) developmental disability, substance abuse, social,
educational, medical, employment, housing, legal, advocacy, transportation, and
other services that the individual will need upon discharge into the community
and identifies the public or private agencies or persons that have agreed to
B. Any provider who serves individuals through an emergency custody order, temporary detention order, or mandatory outpatient treatment order shall implement policies and procedures to comply with §§ 37.2-800 through 37.2-817 of the Code of Virginia.
12VAC35-105-160. Reviews by the department; requests for information; required reporting.
A. The provider shall permit representatives from the department to conduct reviews to:
1. Verify application information;
2. Assure compliance with this chapter; and
3. Investigate complaints.
B. The provider shall cooperate fully with inspections and
investigations and shall provide all information requested
assist representatives from by the department who conduct inspections.
C. The provider shall collect, maintain, and review at least quarterly all serious incidents, including Level I serious incidents, as part of the quality improvement program in accordance with 12VAC35-105-620 to include an analysis of trends, potential systemic issues or causes, indicated remediation, and documentation of steps taken to mitigate the potential for future incidents.
D. The provider shall collect, maintain, and report or make available to the department the following information:
1. Each allegation of abuse or neglect shall be reported to the
assigned human rights advocate and the individual's authorized
representative within 24 hours from the receipt of the initial allegation.
Reported information shall include the type of abuse, neglect, or exploitation
that is alleged and whether there is physical or psychological injury to the
individual department as provided in 12VAC35-115-230 A.
Each instance of death or serious injury Level II
and Level III serious incidents shall be reported in writing to the
department's assigned licensing specialist using the department's
web-based reporting application and by telephone [ or email ]
to anyone designated by the individual to receive such notice and to the
individual's authorized representative within 24 hours of discovery and
by phone to the individual's authorized representative within 24 hours.
Reported information shall include the information specified by the
department as required in its web-based reporting application, but at least the
following: the date and, place, and circumstances of the individual's
death or serious injury; serious incident. For serious injuries and
deaths, the reported information shall also include the nature of the
individual's injuries or circumstances of the death and the any
treatment received ; and the circumstances of the death or serious injury.
For all other Level II and Level III serious incidents, the reported
information shall also include the consequences [ or risk of
harm ] that resulted from the serious incident. Deaths that
occur in a hospital as a result of illness or injury occurring when the
individual was in a licensed service shall be reported.
Each instance Instances of seclusion or
restraint that does not comply with the human rights regulations or approved
variances or that results in injury to an individual shall be reported to the
individual's authorized representative and the assigned human rights advocate
within 24 hours shall be reported to the department as provided in
12VAC35-115-230 C 4.
E. A root cause analysis shall be conducted by the provider within 30 days of discovery of Level II serious incidents and any Level III serious incidents that occur during the provision of a service or on the provider's premises.
[ 1. ] The root cause analysis shall include at least the following information:
(i) a a. A ] detailed
description of what happened;
(ii) an b. An ] analysis
of why it happened, including identification of all identifiable underlying
causes of the incident that were under the control of the provider; and
(iii) identified c. Identified ]
solutions to mitigate its reoccurrence [ and future risk of harm ]
when applicable. [ A more detailed root cause analysis,
including convening a team, collecting and analyzing data, mapping processes,
and charting causal factors should be considered based upon the circumstances
of the incident.
2. The provider shall develop and implement a root cause analysis policy for determining when a more detailed root cause analysis, including convening a team, collecting and analyzing data, mapping processes, and charting causal factors, should be conducted. At a minimum, the policy shall require for the provider to conduct a more detailed root cause analysis when:
a. A threshold number, as specified in the provider's policy based on the provider's size, number of locations, service type, number of individuals served, and the unique needs of the individuals served by the provider, of similar Level II serious incidents occur to the same individual or at the same location within a six-month period;
b. Two or more of the same Level III serious incidents occur to the same individual or at the same location within a six-month period;
c. A threshold number, as specified in the provider's policy based on the provider's size, number of locations, service type, number of individuals served, and the unique needs of the individuals served by the provider, of similar Level II or Level III serious incidents occur across all of the provider's locations within a six-month period; or
d. A death occurs as a result of an acute medical event that was not expected in advance or based on a person's known medical condition. ]
D. F. The provider shall submit, or make
available and, when requested, submit reports and information
that the department requires to establish compliance with these regulations and
applicable statutes. E. G. Records that are confidential under
federal or state law shall be maintained as confidential by the department and
shall not be further disclosed except as required or permitted by law; however,
there shall be no right of access to communications that are privileged
pursuant to § 8.01-581.17 of the Code of Virginia. F. H. Additional information requested by the
department if compliance with a regulation cannot be determined shall be
submitted within 10 business days of the issuance of the licensing report
requesting additional information. Extensions may be granted by the department
when requested prior to the due date, but extensions shall not exceed an
additional 10 business days. G. I. Applicants and providers shall not submit
any misleading or false information to the department.
[ J. The provider shall develop and implement a serious incident management policy, which shall be consistent with this section and which shall describe the processes by which the provider will document, analyze, and report to the department information related to serious incidents. ]
12VAC35-105-170. Corrective action plan.
A. If there is noncompliance with any applicable regulation during an initial or ongoing review, inspection, or investigation, the department shall issue a licensing report describing the noncompliance and requesting the provider to submit a corrective action plan for each violation cited.
B. The provider shall submit to the department [
implement ] a written corrective action plan for each regulation
with which it is found to be in violation as identified in the licensing report
C. The corrective action plan shall include a:
Description Detailed description of the
corrective actions to be taken that will minimize the possibility that the
violation will occur again and correct any systemic deficiencies;
2. Date of completion for each corrective action; and
3. Signature of the person responsible for [
service oversight of the implementation of the pledged corrective action ].
D. The provider shall submit a corrective action plan to the
department within 15 business days of the issuance of the licensing report.
One extension may be granted by the department when requested prior to
the due date, but extensions shall not exceed an additional 10 business days.
An immediate corrective action plan shall be required if the department
determines that the violations pose a danger to individuals receiving the
E. Upon receipt of the corrective action plan, the department
shall review the plan and determine whether the plan is approved or not
approved. The provider has an additional 10 business days to submit a revised
corrective action plan after receiving a notice that
the plan submitted has
not been approved by the department has not approved the revised plan.
If the submitted revised corrective action plan is [ still
unacceptable not approved ], the provider shall follow
the dispute resolution process identified in this section.
F. When the provider disagrees with a citation of a violation or
the disapproval of [
the a ] revised
corrective action [ plans plan ], the
provider shall discuss this disagreement with the licensing specialist
initially. If the disagreement is not resolved, the provider may ask for a
meeting with the licensing specialist's supervisor, in consultation with the
director of licensing, to challenge a finding of noncompliance. The
determination of the director is final.
G. The provider shall implement [
monitor implementation of the approved corrective action and include a
plan for monitoring in. The provider shall monitor implementation and
effectiveness of approved corrective actions as part of its quality
assurance activities improvement program specified in required by
12VAC30-105-620 their written corrective action plan for each violation
cited by the date of completion identified in the plan.
H. The provider shall monitor implementation and effectiveness of approved corrective actions as part of its quality improvement program required by 12VAC35-105-620. If the provider determines that an approved corrective action was fully implemented, but did not prevent the recurrence of a regulatory violation or correct any systemic deficiencies, the provider shall:
1. Continue implementing the corrective action plan and put into place additional measures to prevent the recurrence of the cited violation and address identified systemic deficiencies; or
2. Submit a revised corrective action plan to the department for approval. ]
12VAC35-105-320. Fire inspections.
The provider shall document at the time of its original
application and annually thereafter that buildings and equipment in residential
service locations [ serving more than eight individuals ] are
maintained in accordance with the Virginia Statewide Fire Prevention Code
(13VAC5-51). [ This section does not apply to correctional facilities or
home and noncenter-based or sponsored residential home services.
provider shall evaluate each individual and, based on that evaluation, shall
provide appropriate environmental supports and adequate staff to safely
evacuate all individuals during an emergency. ]
Physical Environment of
Residential/Inpatient Residential and
Inpatient Service Locations
A. The provider shall not operate more beds than the number
for which its service location
or locations are is licensed.
A community ICF/MR An ICF/IID may not have
more than 12 beds at any one location. This applies to new applications for
services and not to existing services or locations licensed prior to December
checks and registry searches.
A. Providers shall comply with the requirements for
obtaining criminal history background
check requirements for direct care
positions checks as outlined in §§ 37.2-416, 37.2-506, and 37.2-607
of the Code of Virginia for individuals hired after July 1, 1999. B. Prior to a new employee beginning his duties, the
provider shall obtain the employee's written consent and personal information
necessary to obtain a search of the registry of founded complaints of child
abuse and neglect maintained by the Virginia Department of Social Services. C. B. The provider shall develop a written
policy for criminal history background checks and registry checks for
all employees, contractors, students, and volunteers searches. The
policy shall require at a minimum a disclosure statement from the employee,
contractor, student, or volunteer stating whether the person has ever been
convicted of or is the subject of pending charges for any offense and shall
address what actions the provider will take should it be discovered that an
employee, student, contractor, or volunteer a person has a founded
case of abuse or neglect or both, or a conviction or pending criminal charge. D. C. The provider shall submit all information
required by the department to complete the criminal history background checks
and registry checks for all employees and for contractors, students, and
volunteers if required by the provider's policy searches. E. D. The provider shall maintain the following
1. The disclosure statement from the applicant stating whether he has ever been convicted of or is the subject of pending charges for any offense; and
2. Documentation that the provider submitted all information
required by the department to complete the criminal history background checks
checks searches, memoranda from the department
transmitting the results to the provider, [ if applicable, ]
and the results from the Child Protective Registry check search.
12VAC35-105-440. Orientation of new employees, contractors, volunteers, and students.
New employees, contractors, volunteers, and students shall be oriented commensurate with their function or job-specific responsibilities within 15 business days. The provider shall document that the orientation covers each of the following policies, procedures, and practices:
1. Objectives and philosophy of the provider;
2. Practices of confidentiality including access, duplication, and dissemination of any portion of an individual's record;
3. Practices that assure an individual's rights including orientation to human rights regulations;
4. Applicable personnel policies;
5. Emergency preparedness procedures;
7. Infection control practices and measures;
8. Other policies and procedures that apply to specific positions and specific duties and responsibilities; and
9. Serious incident reporting, including when, how, and under what circumstances a serious incident report must be submitted and the consequences of failing to report a serious incident to the department in accordance with this chapter.
12VAC35-105-450. Employee training and development.
The provider shall provide training and development
opportunities for employees to enable them to support the individuals
receiving services and to carry out the their job
responsibilities of their jobs. The provider shall develop a training
policy that addresses the frequency of retraining on serious incident
reporting, medication administration, behavior intervention, emergency
preparedness, and infection control, to include flu epidemics. Employee
participation in training and development opportunities shall be documented and
accessible to the department.
12VAC35-105-460. Emergency medical or first aid training.
There shall be at least one employee or contractor on duty at each location who holds a current certificate (i) issued by the American Red Cross, the American Heart Association, or comparable authority in standard first aid and cardiopulmonary resuscitation (CPR) or (ii) as an emergency medical technician. A licensed medical professional who holds a current professional license shall be deemed to hold a current certificate in first aid, but not in CPR. The certification process shall include a hands-on, in-person demonstration of first aid and CPR competency.
[ 12VAC35-105-500. Students and volunteers.
A. The provider shall implement a written policy that clearly defines and communicates the requirements for the use and responsibilities of students and volunteers including selection and supervision.
B. The provider shall not rely on students or volunteers
the provision of direct care services to supplant direct care positions.
The provider staffing plan shall not include volunteers or students. ]
Health and Safety Management
12VAC35-105-520. Risk management.
A. The provider shall designate a person responsible for the
risk management function who has [ completed department approved ]
and expertise in, which shall include training
related to risk management, understanding of individual risk screening, ]
conducting investigations, root cause analysis, and [ the use of ]
data [ analysis to identify risk patterns and
B. The provider shall implement a written plan to identify,
monitor, reduce, and minimize
risks associated with harms and risk of
harm, including personal injury, infectious disease, property damage or
loss, and other sources of potential liability.
C. The provider shall conduct systemic risk assessment reviews at least annually to identify and respond to practices, situations, and policies that could result in the risk of harm to individuals receiving services. The risk assessment review shall address [ at least the following:
(i) the 1. The ] environment of
(ii) clinical 2. Clinical ] assessment
or reassessment processes;
(iii) staff 3. Staff ] competence
and adequacy of staffing;
(iv) use 4. Use ] of high
risk procedures, including seclusion and restraint; and
(v) a 5. A ] review of serious
incidents. [ This process shall incorporate uniform risk
triggers and thresholds as defined by the department.
D. The systemic risk assessment process shall incorporate uniform risk triggers and thresholds as defined by the department. ]
C. [ D. E. ] The
provider shall conduct and document that a safety inspection has been performed
at least annually of each service location owned, rented, or leased by the
provider. Recommendations for safety improvement shall be documented and
implemented by the provider. D. [ E. F. ] The
provider shall document serious injuries to employees, contractors, students,
volunteers, and visitors that occur during the provision of a service or on
the provider's property. Documentation shall be kept on file for three
years. The provider shall evaluate serious injuries at least annually.
Recommendations for improvement shall be documented and implemented by the
[ 12VAC35-105-530. Emergency preparedness and response plan.
A. The provider shall develop a written emergency preparedness and response plan for all of its services and locations that describes its approach to emergencies throughout the organization or community. This plan shall include an analysis of potential emergencies that could disrupt the normal course of service delivery including emergencies that would require expanded or extended care over a prolonged period of time. The plan shall address:
1. Specific procedures describing mitigation, preparedness, response, and recovery strategies, actions, and responsibilities for each emergency.
2. Documentation of coordination with the local emergency authorities to determine local disaster risks and community-wide plans to address different disasters and emergency situations.
3. The process for notifying local and state authorities of the emergency and a process for contacting staff when emergency response measures are initiated.
4. Written emergency management policies outlining specific responsibilities for provision of administrative direction and management of response activities, coordination of logistics during the emergency, communications, life safety of employees, contractors, students, volunteers, visitors, and individuals receiving services, property protection, community outreach, and recovery and restoration.
5. Written emergency response procedures for initiating the response and recovery phase of the plan including a description of how, when, and by whom the phases will be activated. This includes assessing the situation; protecting individuals receiving services, employees, contractors, students, volunteers, visitors, equipment, and vital records; and restoring services. Emergency procedures shall address:
a. Warning and notifying individuals receiving services;
b. Communicating with employees, contractors, and community responders;
c. Designating alternative roles and responsibilities of staff during emergencies including to whom they will report in the provider's organization command structure and when activated in the community's command structure;
d. Providing emergency access to secure areas and opening locked doors;
e. Evacuation procedures, including for individuals who need evacuation assistance;
e. f. Conducting evacuations to emergency
shelters or alternative sites and accounting for all individuals receiving
services; f. g. Relocating individuals receiving
residential or inpatient services, if necessary; g. h. Notifying family members or authorized
representatives; h. i. Alerting emergency personnel and sounding
alarms; i. j Locating and shutting off utilities when
necessary; and j. k. Maintaining a 24 hour telephone answering
capability to respond to emergencies for individuals receiving services.
6. Processes for managing the following under emergency conditions:
a. Activities related to the provision of care, treatment, and services including scheduling, modifying, or discontinuing services; controlling information about individuals receiving services; providing medication; and transportation services;
b. Logistics related to critical supplies such as pharmaceuticals, food, linen, and water;
c. Security including access, crowd control, and traffic control; and
d. Back-up communication systems in the event of electronic or power failure.
7. Specific processes and protocols for evacuation of the provider's building or premises when the environment cannot support adequate care, treatment, and services.
8. Supporting documents that would be needed in an emergency, including emergency call lists, building and site maps necessary to shut off utilities, designated escape routes, and list of major resources such as local emergency shelters.
9. Schedule for testing the implementation of the plan and conducting emergency preparedness drills. Fire and evacuation drills shall be conducted at least monthly.
B. The provider shall evaluate each individual and, based on that evaluation, shall provide appropriate environmental supports and adequate staff to safely evacuate all individuals during an emergency.
B. C. The provider shall implement annual
emergency preparedness and response training for all employees, contractors,
students, and volunteers. This training shall also be provided as part of
orientation for new employees and cover responsibilities for:
1. Alerting emergency personnel and sounding alarms;
2. Implementing evacuation procedures, including evacuation of individuals with special needs (i.e., deaf, blind, nonambulatory);
3. Using, maintaining, and operating emergency equipment;
4. Accessing emergency medical information for individuals receiving services; and
5. Utilizing community support services.
C. D. The provider shall review the emergency
preparedness plan annually and make necessary revisions. Such revisions shall
be communicated to employees, contractors, students, volunteers, and
individuals receiving services and incorporated into training for employees, contractors,
students, and volunteers and into the orientation of individuals to services. D. E. In the event of a disaster, fire,
emergency or any other condition that may jeopardize the health, safety, or
welfare of individuals, the provider shall take appropriate action to protect
the health, safety, and welfare of individuals receiving services and take
appropriate actions to remedy the conditions as soon as possible. E. F. Employees, contractors, students, and
volunteers shall be knowledgeable in and prepared to implement the emergency
preparedness plan in the event of an emergency. The plan shall include a policy
regarding regularly scheduled emergency preparedness training for all
employees, contractors, students, and volunteers. F. G. In the event of a disaster, fire,
emergency, or any other condition that may jeopardize the health, safety, or
welfare of individuals, the provider should first respond and stabilize the
disaster or emergency. After the disaster or emergency is stabilized, the
provider should report the disaster or emergency to the department, but no
later than 24 hours after the incident occurs. G. H. Providers of residential services shall
have at all times a three-day supply of emergency food and water for all
residents and staff. Emergency food supplies should include foods that do not
require cooking. Water supplies shall include one gallon of water per person
per day. H. This section does not apply to home and noncenter-based
services. I. All provider locations shall be equipped with at least one
approved type ABC portable fire extinguisher with a minimum rating of 2A10BC
installed in each kitchen.
J. All provider locations shall have an appropriate number of properly installed smoke detectors based on the size of the location, which shall include at a minimum:
1. At least one smoke detector on each level of multi-level buildings, including the basement;
2. At least one smoke detector in each bedroom in locations with bedrooms;
3. At least one smoke detector in any area adjacent to any bedroom in locations with bedrooms; and
4. Any additional smoke detectors necessary to comply with all applicable federal and state laws and regulations and local ordinances.
K. Smoke detectors shall be tested monthly for proper operation.
L. All provider locations shall maintain a floor plan identifying locations of:
2. Primary and secondary evacuation routes;
3. Accessible egress routes;
4. Portable fire extinguishers; and
M. This section does not apply to home and noncenter-based services. ]
12VAC35-105-580. Service description requirements.
A. The provider shall develop, implement, review, and revise its descriptions of services offered according to the provider's mission and shall make service descriptions available for public review.
B. The provider shall outline how each service offers a structured program of individualized interventions and care designed to meet the individuals' physical and emotional needs; provide protection, guidance and supervision; and meet the objectives of any required individualized services plan.
C. The provider shall prepare a written description of each service it offers. Elements of each service description shall include:
1. Service goals;
2. A description of care, treatment,
acquisition, or other supports provided;
3. Characteristics and needs of individuals to
4. Contract services, if any;
5. Eligibility requirements and admission, continued stay, and exclusion criteria;
6. Service termination and discharge or transition criteria; and
7. Type and role of employees or contractors.
D. The provider shall revise the written service description whenever the operation of the service changes.
E. The provider shall not implement services that are inconsistent with its most current service description.
F. The provider shall admit only those individuals whose
service needs are consistent with the service description, for whom services
are available, and for which staffing levels and types meet the needs of the individuals
served receiving services.
G. The provider shall provide for the physical separation of
children and adults in residential and inpatient services and shall provide
separate group programming for adults and children, except in the case of
family services. The provider shall provide for the safety of children
accompanying parents receiving services. Older adolescents transitioning from
school to adult activities may participate in
(intellectual disability) developmental day support services with
H. The service description for substance abuse treatment services shall address the timely and appropriate treatment of pregnant women with substance abuse (substance use disorders).
I. If the provider plans to serve individuals as of a result
of a temporary detention order to a service, prior to admitting those
individuals to that service, the provider shall submit a written plan for
adequate staffing and security measures to ensure the individual can
served receive services safely within the service to the department
for approval. If the plan is approved, the department will shall
add a stipulation to the license authorizing the provider to serve individuals
who are under temporary detention orders.
12VAC35-105-590. Provider staffing plan.
A. The provider shall implement a written staffing plan that includes the types, roles, and numbers of employees and contractors that are required to provide the service. This staffing plan shall reflect the:
1. Needs of the individuals
served receiving services;
2. Types of services offered;
3. Service description;
4. Number of
people individuals to be served
receive services at a given time; and
5. Adequate number of staff required to safely evacuate all individuals during an emergency.
B. The provider shall develop a written transition staffing plan for new services, added locations, and changes in capacity.
C. The provider shall meet the following staffing requirements related to supervision.
1. The provider shall describe how employees, volunteers, contractors, and student interns will be supervised in the staffing plan and how that supervision will be documented.
2. Supervision of employees, volunteers, contractors, and student interns shall be provided by persons who have experience in working with individuals receiving services and in providing the services outlined in the service description.
3. Supervision shall be appropriate to the services provided and the needs of the individual. Supervision shall be documented.
4. Supervision shall include responsibility for approving assessments and individualized services plans, as appropriate. This responsibility may be delegated to an employee or contractor who meets the qualification for supervision as defined in this section.
5. Supervision of mental health, substance abuse, or co-occurring services that are of an acute or clinical nature such as outpatient, inpatient, intensive in-home, or day treatment shall be provided by a licensed mental health professional or a mental health professional who is license-eligible and registered with a board of the Department of Health Professions.
6. Supervision of mental health, substance abuse, or co-occurring services that are of a supportive or maintenance nature, such as psychosocial rehabilitation or mental health supports, shall be provided by a QMHP-A, a licensed mental health professional, or a mental health professional who is license-eligible and registered with a board of the Department of Health Professions. An individual who is a QMHP-E may not provide this type of supervision.
7. Supervision of
mental retardation (intellectual
disability) developmental services shall be provided by a person
with at least one year of documented experience working directly with
individuals who have mental retardation (intellectual disability) or other
developmental disabilities and holds at least a bachelor's degree in a human
services field such as sociology, social work, special education,
rehabilitation counseling, nursing, or psychology. Experience may be
substituted for the education requirement.
Supervision of individual and family developmental
disabilities support (IFDDS) services shall be provided by a person possessing
at least one year of documented experience working directly with individuals
who have developmental disabilities and is one of the following: a doctor of
medicine or osteopathy licensed in Virginia; a registered nurse licensed in
Virginia; or a person holding at least a bachelor's degree in a human services
field such as sociology, social work, special education, rehabilitation
counseling, or psychology. Experience may be substituted for the education
requirement. 9. Supervision of brain injury services shall be provided at a
minimum by a clinician in the health professions field who is trained and
experienced in providing brain injury services to individuals who have a brain
injury diagnosis including : (i) a doctor of medicine or osteopathy
licensed in Virginia; (ii) a psychiatrist who is a doctor of medicine or
osteopathy specializing in psychiatry and licensed in Virginia; (iii) a
psychologist who has a master's degree in psychology from a college or
university with at least one year of clinical experience; (iv) a social worker
who has a bachelor's degree in human services or a related field (social work,
psychology, psychiatric evaluation, sociology, counseling, vocational
rehabilitation, human services counseling, or other degree deemed equivalent to
those described) from an accredited college or university with at least two
years of clinical experience providing direct services to individuals with a
diagnosis of brain injury; (v) a Certified Brain Injury Specialist; (vi) a
registered nurse licensed in Virginia with at least one year of clinical
experience; or (vii) any other licensed rehabilitation professional with one
year of clinical experience.
D. The provider shall employ or contract with persons with
appropriate training, as necessary, to meet the specialized needs of and to
ensure the safety of individuals
being served receiving services
in residential services with medical or nursing needs; speech, language, or
hearing problems; or other needs where specialized training is necessary.
E. Providers of brain injury services shall employ or contract with a neuropsychologist or licensed clinical psychologist specializing in brain injury to assist, as appropriate, with initial assessments, development of individualized services plans, crises, staff training, and service design.
Direct care staff who provide Staff in
direct care positions providing ] brain injury services shall have at
least a high school diploma and two years of experience working with
individuals with disabilities or shall have successfully completed an approved
training curriculum on brain injuries within six months of employment.
12VAC35-105-620. Monitoring and evaluating service quality.
[ A. ] The provider shall develop and
implement written policies and procedures
to for a quality
improvement program sufficient to identify, monitor, and evaluate clinical
and service quality and effectiveness on a systematic and ongoing basis.
[ B. ] The [ quality
improvement ] program shall utilize standard quality improvement
tools, including root cause analysis, and shall include a quality improvement
plan [ .
C. The quality improvement plan shall:
(i) is 1. Be ] reviewed and
updated at least annually;
(ii) defines 2. Define ] measurable
goals and objectives;
(iii) includes 3. Include ] and
[ reports report ] on statewide performance
measures, if applicable, as required by DBHDS;
(iv) monitors 4. Monitor ] implementation
and effectiveness of approved corrective action plans pursuant to
(v) includes 5. Include ] ongoing
monitoring and evaluation of progress toward meeting established goals and
[ D. ] The provider's policies and
procedures shall include the criteria the provider will use to [
1. Establish ] measurable goals and objectives
2. Update the provider's quality improvement plan; and
3. Submit revised corrective action plans to the department for approval or continue implementing the corrective action plan and put into place additional measures to prevent the recurrence of the cited violation and address identified systemic deficiencies when reviews determine that a corrective action was fully implemented but did not prevent the recurrence of the cited regulatory violation or correct a systemic deficiency pursuant to 12VAC35-105-170.
E. ] Input from individuals receiving services and
their authorized representatives, if applicable, about services used and
satisfaction level of participation in the direction of service planning shall
be part of the provider's quality
assurance system improvement plan.
The provider shall implement improvements, when indicated.
12VAC35-105-650. Assessment policy.
A. The provider shall implement a written assessment policy. The policy shall define how assessments will be conducted and documented.
B. The provider shall actively involve the individual and authorized representative, if applicable, in the preparation of initial and comprehensive assessments and in subsequent reassessments. In these assessments and reassessments, the provider shall consider the individual's needs, strengths, goals, preferences, and abilities within the individual's cultural context.
C. The assessment policy shall designate employees or
contractors who are responsible for conducting assessments. These employees or
contractors shall have experience in working with the needs of individuals who
are being assessed, the assessment
tool or tools being utilized, and the
provision of services that the individuals may require.
D. Assessment is an ongoing activity. The provider shall make reasonable attempts to obtain previous assessments or relevant history.
E. An assessment shall be initiated prior to or at admission to the service. With the participation of the individual and the individual's authorized representative, if applicable, the provider shall complete an initial assessment detailed enough to determine whether the individual qualifies for admission and to initiate an ISP for those individuals who are admitted to the service. This assessment shall assess immediate service, health, and safety needs, and at a minimum include the individual's:
2. Presenting needs including the individual's stated needs, psychiatric needs, support needs, and the onset and duration of problems;
3. Current medical problems;
4. Current medications;
5. Current and past substance use or abuse, including co-occurring mental health and substance abuse disorders; and
6. At-risk behavior to self and others.
F. A comprehensive assessment shall update and finalize the
initial assessment. The timing for completion of the comprehensive assessment
shall be based upon the nature and scope of the service but shall occur no
later than 30 days, after admission for providers of mental health and
substance abuse services and 60 days after admission for providers of
retardation (intellectual disability) and developmental disabilities
services. It shall address:
1. Onset and duration of problems;
2. Social, behavioral, developmental, and family history and supports;
3. Cognitive functioning including strengths and weaknesses;
4. Employment, vocational, and educational background;
5. Previous interventions and outcomes;
6. Financial resources and benefits;
7. Health history and current medical care needs, to include:
b. Recent physical complaints and medical conditions;
c. Nutritional needs;
d. Chronic conditions;
e. Communicable diseases;
f. Restrictions on physical activities if any;
g. Restrictive protocols or special supervision requirements;
h. Past serious illnesses, serious injuries, and hospitalizations;
h. i. Serious illnesses and chronic conditions
of the individual's parents, siblings, and significant others in the same
household; and i. j. Current and past substance use including
alcohol, prescription and nonprescription medications, and illicit drugs.
8. Psychiatric and substance use issues including current mental health or substance use needs, presence of co-occurring disorders, history of substance use or abuse, and circumstances that increase the individual's risk for mental health or substance use issues;
9. History of abuse, neglect, sexual, or domestic violence, or trauma including psychological trauma;
10. Legal status including authorized representative, commitment, and representative payee status;
11. Relevant criminal charges or convictions and probation or parole status;
12. Daily living skills;
13. Housing arrangements;
14. Ability to access services including transportation needs; and
15. As applicable, and in all residential services, fall risk, communication methods or needs, and mobility and adaptive equipment needs.
G. Providers of short-term intensive services including inpatient and crisis stabilization services shall develop policies for completing comprehensive assessments within the time frames appropriate for those services.
H. Providers of
non-intensive nonintensive or
short-term services shall meet the requirements for the initial assessment at a
minimum. Non-intensive Nonintensive services are services
provided in jails, nursing homes, or other locations when access to records and
information is limited by the location and nature of the services. Short-term
services typically are provided for less than 60 days.
I. Providers may utilize standardized state or federally sanctioned assessment tools that do not meet all the criteria of 12VAC35-105-650 as the initial or comprehensive assessment tools as long as the tools assess the individual's health and safety issues and substantially meet the requirements of this section.
J. Individuals who receive medication-only services shall be reassessed at least annually to determine whether there is a change in the need for additional services and the effectiveness of the medication.
12VAC35-105-660. Individualized services plan (ISP).
A. The provider shall actively involve the individual and authorized representative, as appropriate, in the development, review, and revision of a person-centered ISP. The individualized services planning process shall be consistent with laws protecting confidentiality, privacy, human rights of individuals receiving services, and rights of minors.
B. The provider shall develop and implement an initial
person-centered ISP for the first 60 days for
(intellectual disability) and developmental disabilities services or
for the first 30 days for mental health and substance abuse services. This ISP
shall be developed and implemented within 24 hours of admission to address
immediate service, health, and safety needs and shall continue in effect until
the ISP is developed or the individual is discharged, whichever comes first.
C. The provider shall implement a person-centered comprehensive
ISP as soon as possible after admission based upon the nature and scope of
services but no later than 30 days after admission for providers of mental
health and substance abuse services and 60 days after admission for providers
mental retardation (intellectual disability) and developmental disabilities
D. The initial ISP and the comprehensive ISP shall be developed based on the respective assessment with the participation and informed choice of the individual receiving services.
[ 1. ] To ensure the individual's
participation and informed choice, the [
following ] shall [ explain be explained ]
to the individual or the individual's authorized representative, as
applicable, in a reasonable and comprehensible manner [ : the a. The ] proposed services to
be delivered [ ,;
b. Any ] alternative services that might be
advantageous for the individual [
,; ] and
[ c. Any ] accompanying risks or benefits
[ of the proposed and alternative services ]. [
provider shall clearly document that the individual's information was explained
to the individual or the individual's authorized representative and the reasons
the individual or the individual's authorized representative chose the option
included in the ISP.
2. If no alternative services are available to the individual, it shall be clearly documented within the ISP, or within documentation attached to the ISP, that alternative services were not available as well as any steps taken to identify if alternative services were available.
3. Whenever there is a change to an individual's ISP, it shall be clearly documented within the ISP, or within documentation attached to the ISP that:
a. The individual participated in the development of or revision to the ISP;
b. The proposed and alternative services and their respective risks and benefits were explained to the individual or the individual's authorized representative, and;
c. The reasons the individual or the individual's authorized representative chose the option included in the ISP. ]
12VAC35-105-665. ISP requirements.
A. The comprehensive ISP shall be based on the individual's needs, strengths, abilities, personal preferences, goals, and natural supports identified in the assessment. The ISP shall include:
1. Relevant and attainable goals, measurable objectives, and specific strategies for addressing each need;
2. Services and supports and frequency of services required to accomplish the goals including relevant psychological, mental health, substance abuse, behavioral, medical, rehabilitation, training, and nursing needs and supports;
3. The role of the individual and others in implementing the service plan;
4. A communication plan for individuals with communication barriers, including language barriers;
5. A behavioral support or treatment plan, if applicable;
6. A safety plan that addresses identified risks to the individual or to others, including a fall risk plan;
7. A crisis or relapse plan, if applicable;
8. Target dates for accomplishment of goals and objectives;
9. Identification of employees or contractors responsible for
coordination and integration of services, including employees of other
10. Recovery plans, if applicable; and
11. Services the individual elects to self direct, if applicable.
B. The ISP shall be signed and dated at a minimum by the
person responsible for implementing the plan and the individual receiving
services or the authorized representative in order to document agreement.
If the signature of the individual receiving services or the authorized
representative cannot be obtained, the provider shall document
attempts to obtain the necessary signature and the reason why he was
unable to obtain it. The ISP shall be distributed to the individual and
others authorized to receive it.
C. The provider shall designate a person who
be responsible for developing, implementing, reviewing, and revising each
individual's ISP in collaboration with the individual or authorized
representative, as appropriate.
D. Employees or contractors who are responsible for implementing the ISP shall demonstrate a working knowledge of the objectives and strategies contained in the individual's current ISP [ , including an individual's detailed health and safety protocols ].
E. Providers of short-term intensive services such as
inpatient and crisis
stabilization services that are typically provided
for less than 30 days shall implement a policy to develop an ISP within a
timeframe consistent with the length of stay of individuals.
The ISP shall be consistent with the plan of care for
individuals served by the IFDDS Waiver. G. When a provider provides more
than one service to an individual the provider may maintain a single ISP
document that contains individualized objectives and strategies for each
service provided. H. G. Whenever possible the identified goals in
the ISP shall be written in the words of the individual receiving services.
12VAC35-105-675. Reassessments and ISP reviews.
A. Reassessments shall be completed at least annually and
any time there is a need based on changes in the medical,
psychiatric, or behavioral, or other status of the individual.
B. Providers shall complete changes to the ISP as a result of the assessments.
C. The provider shall update the ISP at least annually and any time assessments identify risks, injuries, needs, or a change in status of the individual.
D. The provider shall review the ISP at least every three months from the date of the implementation of the ISP or whenever there is a revised assessment based upon the individual's changing needs or goals.
1. These reviews shall evaluate the individual's
progress toward meeting the
plan's ISP's goals and objectives and
the continued relevance of the ISP's objectives and strategies. The provider
shall update the goals, objectives, and strategies contained in the ISP, if
indicated, and implement any updates made.
2. These reviews shall document evidence of progression toward or achievement of a specific targeted outcome for each goal and objective.
3. For goals and objectives that were not accomplished by the identified target date, the provider and any appropriate treatment team members shall meet to review the reasons for lack of progress and provide the individual an opportunity to make an informed choice of how to proceed.
12VAC35-105-691. Transition of individuals among service.
A. The provider shall implement written procedures that define the process for transitioning an individual between or among services operated by the provider. At a minimum the policy shall address:
1. The process by which the provider will assure continuity of services during and following transition;
2. The participation of the individual or his authorized representative, as applicable, in the decision to move and in the planning for transfer;
3. The process and timeframe for transferring the access to individual's record and ISP to the destination location;
4. The process and timeframe for completing the transfer summary; and
5. The process and timeframe for transmitting or accessing, where applicable, discharge summaries to the destination service.
B. The transfer summary shall include at a minimum the following:
1. Reason for the individual's transfer;
2. Documentation of
involvement informed choice
by the individual or his authorized representative, as applicable, in the
decision to and planning for the transfer;
3. Current psychiatric and known medical conditions or issues of the individual and the identity of the individual's health care providers;
4. Updated progress of the individual in meeting goals and objectives in his ISP;
5. Emergency medical information;
6. Dosages of all currently prescribed medications and over-the-counter medications used by the individual when prescribed by the provider or known by the case manager;
7. Transfer date; and
8. Signature of employee or contractor responsible for preparing the transfer summary.
C. The transfer summary may be documented in the individual's progress notes or in information easily accessible within an electronic health record.
12VAC35-105-800. Policies and procedures on behavior interventions and supports.
A. The provider shall implement written policies and procedures that describe the use of behavior interventions, including seclusion, restraint, and time out. The policies and procedures shall:
1. Be consistent with applicable federal and state laws and regulations;
2. Emphasize positive approaches to behavior interventions;
3. List and define behavior interventions in the order of their relative degree of intrusiveness or restrictiveness and the conditions under which they may be used in each service for each individual;
4. Protect the safety and well-being of the individual at all times, including during fire and other emergencies;
5. Specify the mechanism for monitoring the use of behavior interventions; and
6. Specify the methods for documenting the use of behavior interventions.
B. Employees and contractors trained in behavior support interventions shall implement and monitor all behavior interventions.
C. Policies and procedures related to behavior interventions shall be available to individuals, their families, authorized representatives, and advocates. Notification of policies does not need to occur in correctional facilities.
D. Individuals receiving services shall not discipline, restrain, seclude, or implement behavior interventions on other individuals receiving services.
E. Injuries resulting from or occurring during the
behavior interventions seclusion or restraint
shall be recorded in the individual's services record and reported to
the assigned human rights advocate and the employee or contractor
responsible for the overall coordination of services department as
provided in 12VAC35-115-230 C.
12VAC35-105-830. Seclusion, restraint, and time out.
A. The use of seclusion, restraint, and time out shall comply with applicable federal and state laws and regulations and be consistent with the provider's policies and procedures.
B. Devices used for mechanical restraint shall be designed specifically for emergency behavior management of human beings in clinical or therapeutic programs.
C. Application of time out, seclusion, or restraint shall be documented in the individual's record and include the following:
1. Physician's order for seclusion or mechanical restraint or chemical restraint;
2. Date and time;
3. Employees or contractors involved;
4. Circumstances and reasons for use including other emergency behavior management techniques attempted;
6. Type of technique used; and
7. Outcomes, including documentation of debriefing of the individual and staff involved following the incident.
Services in Department of Corrections Correctional Facilities
12VAC35-105-1140. Clinical and security coordination.
A. The provider shall have formal and informal methods of resolving procedural and programmatic issues regarding individual care arising between the clinical and security employees or contractors.
B. The provider shall demonstrate ongoing communication between clinical and security employees to ensure individual care.
C. The provider shall provide cross-training for the clinical and security employees or contractors that includes:
1. Mental health,
mental retardation (intellectual
disability) developmental disability, and substance abuse education;
2. Use of clinical and security restraints; and
3. Channels of communication.
D. Employees or contractors shall receive periodic in-service training, and have knowledge of and be able to demonstrate the appropriate use of clinical and security restraint.
E. Security and behavioral assessments shall be completed at the time of admission to determine service eligibility and at least weekly for the safety of individuals, other persons, employees, and visitors.
F. Personal grooming and care services for individuals shall be a cooperative effort between the clinical and security employees or contractors.
G. Clinical needs and security level shall be considered when arrangements are made regarding privacy for individual contact with family and attorneys.
H. Living quarters shall be assigned on the basis of the individual's security level and clinical needs.
I. An assessment of the individual's clinical condition and needs shall be made when disciplinary action or restrictions are required for infractions of security measures.
J. Clinical services consistent with the individual's condition and plan of treatment shall be provided when security detention or isolation is imposed.
12VAC35-105-1245. Case management direct assessments.
Case managers shall meet with each individual face-to-face as dictated by the individual's needs. At face-to-face meetings, the case manager shall (i) observe and assess for any previously unidentified risks, injuries, needs, or other changes in status; (ii) assess the status of previously identified risks, injuries, or needs, or other changes in status; (iii) assess whether the individual's service plan is being implemented appropriately and remains appropriate for the individual; and (iv) assess whether supports and services are being implemented consistent with the individual's strengths and preferences and in the most integrated setting appropriate to the individual's needs.
12VAC35-105-1250. Qualifications of case management employees or contractors.
A. Employees or contractors providing case management services shall have knowledge of:
1. Services and systems available in the community including primary health care, support services, eligibility criteria and intake processes and generic community resources;
2. The nature of serious mental illness,
(intellectual disability) developmental disability, substance abuse
(substance use disorders), or co-occurring disorders depending on the
individuals served receiving services, including clinical and
3. Different types of assessments, including functional assessment, and their uses in service planning;
4. Treatment modalities and intervention techniques, such as behavior management, independent living skills training, supportive counseling, family education, crisis intervention, discharge planning, and service coordination;
5. Types of mental health, developmental, and substance abuse programs available in the locality;
6. The service planning process and major components of a service plan;
7. The use of medications in the care or treatment of the population served; and
8. All applicable federal and state laws and regulations and local ordinances.
B. Employees or contractors providing case management services shall have skills in:
1. Identifying and documenting an individual's need for resources, services, and other supports;
2. Using information from assessments, evaluations, observation, and interviews to develop service plans;
3. Identifying and documenting how resources, services, and natural supports such as family can be utilized to promote achievement of an individual's personal habilitative or rehabilitative and life goals; and
4. Coordinating the provision of services by diverse public and private providers.
C. Employees or contractors providing case management services shall have abilities to:
1. Work as team members, maintaining effective
and intra-agency working relationships;
2. Work independently performing position duties under general supervision; and
3. Engage in and sustain ongoing relationships with individuals receiving services.
D. Case managers serving individuals with developmental disability shall complete the DBHDS core competency-based curriculum within 30 days of hire.
Intensive Community Treatment and Program of Assertive Community Treatment Services
12VAC35-105-1360. Admission and discharge criteria.
A. Individuals must meet the following admission criteria:
1. Diagnosis of a severe and persistent mental illness,
predominantly schizophrenia, other psychotic disorder, or bipolar disorder that
seriously impairs functioning in the community. Individuals with a sole
diagnosis of substance addiction or abuse or
(intellectual disability) developmental disability are not eligible
2. Significant challenges to community integration without intensive community support including persistent or recurrent difficulty with one or more of the following:
a. Performing practical daily living tasks;
b. Maintaining employment at a self-sustaining level or consistently carrying out homemaker roles; or
c. Maintaining a safe living situation.
3. High service needs indicated due to one or more of the following:
a. Residence in a state hospital or other psychiatric hospital but clinically assessed to be able to live in a more independent situation if intensive services were provided or anticipated to require extended hospitalization, if more intensive services are not available;
b. Multiple admissions to or at least one recent long-term stay (30 days or more) in a state hospital or other acute psychiatric hospital inpatient setting within the past two years; or a recent history of more than four interventions by psychiatric emergency services per year;
c. Persistent or very recurrent severe major symptoms (e.g., affective, psychotic, suicidal);
d. Co-occurring substance addiction or abuse of significant duration (e.g., greater than six months);
e. High risk or a recent history (within the past six months) of criminal justice involvement (e.g., arrest or incarceration);
f. Ongoing difficulty meeting basic survival needs or residing in substandard housing, homeless, or at imminent risk of becoming homeless; or
g. Inability to consistently participate in traditional office-based services.
B. Individuals receiving PACT or ICT services should not be discharged for failure to comply with treatment plans or other expectations of the provider, except in certain circumstances as outlined. Individuals must meet at least one of the following criteria to be discharged:
1. Change in the individual's residence to a location out of the service area;
2. Death of the individual;
3. Incarceration of the individual for a period to exceed a
long term long-term hospitalization (more than one year);
however, the provider is expected to prioritize these individuals for PACT or
ICT services upon their the individual's anticipated return to
the community if the individual wishes to return to services and the service
level is appropriate to his needs;
4. Choice of the individual with the provider responsible for revising the ISP to meet any concerns of the individual leading to the choice of discharge; or
5. Significant sustained recovery by the individual in all major role areas with minimal team contact and support for at least two years as determined by both the individual and ICT or PACT team.