218 R.I. Code R. 218-RICR-40-00-5.6

Current through December 3, 2024

Section 218-RICR-40-00-5.6 - Personnel

5.6.1Employee Policies

A. The agency must document clear job roles and lines of communication.

B. The agency must disclose any financial or other formal relationships with other facilities and organizations to which it refers consumers.

C. The agency must have an established process for assuring employee competence, including licensing where necessary.

D. The agency must have written policies to:

1. Inform staff and consumers of general content of Division and other state and federal regulations, including but not limited to regulations related to personnel, fiscal, access to services;

2. Develop and implement personnel policies and procedures to ensure compliance with Division and other state and federal regulations;

3. Outline personnel supervision, evaluation, training and record keeping;

4. Verify licensing and credentials of licensed or certified personnel upon hire and then at least every year; and

5. Specify roles played by volunteers and which employee policies and procedures apply to volunteers.

E. All employees who have direct participant contact must be subject to a state and national criminal background check prior to, or within one (1) week of, employment.

1. In those situations in which no disqualifying information, defined as any conviction for any offense listed in R.I. Gen. Laws § 23-17.4-30 and R.I. Gen. Laws § 23-17-37, has been found, the bureau of criminal identification (BCI) will inform the applicant and the agency in writing;

2. Any disqualifying information will be conveyed to the applicant in writing by the BCI;

3. The agency will also be notified that disqualifying information has been discovered, but will not be informed of the nature of the disqualifying information;

4. The agency must maintain on file, subject to inspection by the Division, evidence that criminal records checks have been initiated on all employees seeking employment, as well as the results of said checks;

5. If an applicant has undergone a criminal records check within eighteen (18) months of an application for employment, than an agency may request from the BCI a letter indicating if any disqualifying information was discovered. The BCI will respond without disclosing the nature of the disqualifying information. This letter may be maintained on file to satisfy the requirements of this section.

6. An employee against whom disqualifying information has been found may request a copy of the criminal background report be sent to the agency that shall make a judgment regarding the continued employment of the employee.

F. The agency must assure that staff holding professional licensure hold a current Rhode Island license and practice within the scope of this license.

G. The agency must maintain confidential personnel records for each employee that include at least the following information:

1. Job application and resume;

2. References;

3. Copy of license or certificate;

4. Documentation of training;

5. Results of criminal background checks;

6. Any performance evaluations; and

7. Signed agreement about consumer information and records confidentiality.

H. The agency must protect itself by providing professional insurance protection/malpractice insurance/errors and omission protection coverage. The agency shall maintain customary commercial general liability insurance (including automobile coverage) and professional liability insurance in commercially reasonable amounts, and any additional bonding that the Division may require. Evidence of such insurance shall be provided to the Department simultaneously with the execution and delivery of this Agreement by the Contractor and from time to time upon request.

I. The agency must comply with all provisions of applicable law, including, but not limited to, the Americans with Disabilities Act of 1990, 42 U.S.C. § 12101; Public Law 88-352, July 2, 1964, 78 Stat. 253, 42 U.S.C. Sec. 2000e et. seq (prohibits discrimination on the basis of race, sex, national origin, sexual orientation, disability); and the Governor's Executive Order No. 95-11 (relating to sexual harassment).

J. The agency must comply with the Division's requirements regarding the safeguarding of consumer information and records.

K. The agency must comply with all state and local building, fire safety, and health codes.

L. The agency must have a written infection control plan.

5.6.2Staff Training

A. A written plan for providing ongoing education, supervision and direction to staff who provide the core services specified in the contract must be included in the agency's policy and procedure manual.

B. The agency must provide training to refine and update staff's knowledge and skills in the following areas:

1. Consumer rights;

2. Consumer information and record confidentiality;

3. Diversity and cultural sensitivity;

4. Substance abuse, mental health, elder abuse and self-neglect identification;

5. Dementias, including but not limited to Alzheimer's disease;

6. Detection of potential risk factors; and

7. Staff and consumer safety;

8. Training of staff on how to approach clients with significant vision/hearing impairments.

C. The agency must provide staff with orientation and training needed to produce competent and caring case managers:

1. All new case management staff must receive a complete orientation to agency policies and procedures, resources in the community, and overview of all agency programs.

2. At time of orientation, the agency must distribute a copy of the agency's educational plan and professional development guidelines that address continuing educational opportunities for case management staff.

3. Case managers must receive training on the Division's standardized assessment instrument and client database system, with training provided when changes are made to this instrument.

5.6.3Staffing and Staff Qualifications

A. NOTE: these requirements are in addition to all applicable state and other funding agency licensing and other requirements.

B. The agency must delineate staff roles, reporting relationships, and supervision.

C. The agency must provide job descriptions for each staff position.

1. Where volunteers are used, provide volunteers with written job descriptions outlining needed skills, duties, lines of supervision and communication.

D. Each consumer must have a designated case manager:

1. The agency must define how a case manager will be assigned to the consumer, including but not limited to procedures for consumer choice of case manager;

2. The case manager must receive training in the systems the consumer may need and that are available in the network and through other providers;

3. The agency must define the experience criteria for a case manager.

E. Case Managers must have an associates or higher degree in social work, gerontology, nursing, human services, or related field; and must meet the agency's definition of experience criteria for a case manager (See §5.6.3(D)(3) of this Part).

F. Case Management Supervisors must have a bachelor's degree, preferably in social work, or have a bachelor of science in nursing degree with a current Rhode Island license. Specialty or advanced training in gerontology and in supervision is preferred. A minimum of three (3) years of experience in direct services with the elderly and one (1) year experience in supervision preferred.

G. All staff licensed by the State of Rhode Island must maintain current Rhode Island license(s).

H. The agency must ensure that case managers possess the following skills and abilities:

1. Ability to communicate with consumers, family members, providers, and coworkers;

2. Knowledge of human behavior and the aging process;

3. Knowledge of available program funding and other resources;

4. Ability to engage persons of various cultures and lifestyles in the helping process;

5. Ability to work with various cultures and the sensitivity required to empower the family system;

6. Knowledge of social, health, and mental health interventions;

7. Skills and techniques for crisis intervention and problem solving;

8. Ability to critically analyze and make immediate decisions;

9. Ability to actively listen to the consumer;

10. Skills in time management, organizational development, and planning;

11. Ability to empower consumers and to accept the consumer's choices;

12. Knowledge of federal, state, and local policies with regard to community based programs;

13. Ability to effect change through advocacy for the consumer; and the

14. Ability to initiate and sustain trusting relationships.

I. The agency must ensure that each case manager has a reasonable caseload that allows him/her adequate time to meet the needs of their consumers and comply with Division rules, regulations and standards.

J. Agency determination of caseload size must take into account consumer mix, scope of work provided, and complexity of work provided.

K. The agency must have sufficient case management staff to provide good consumer service and assure the provision of quality services to all consumers in a timely manner.

L. The agency must ensure that case management supervisors possess the following skills and abilities:

1. Ability for strong inter-personal communication;

2. Ability to plan and conduct weekly supervisory meetings with individuals and groups;

3. Ability to provide ongoing guidance and support to staff and consumers;

4. Ability to design consumer and program goals, policies, and procedures that can be adjusted to the changing needs of consumers and policy makers;

5. Ability to conduct in-service training and provide ongoing professional growth of staff members;

6. Ability to evaluate case manager's skills on an ongoing and annual basis;

7. Ability to establish clear and measurable objectives for case managers and other staff;

8. Ability to coordinate and network with a wide variety of agencies and professionals involved in providing services to older persons;

9. Ability to collect and use data required by the Division management information system;

10. Knowledge of quality measures; and

11. Ability to develop and implement quality outcome measures.

M. The agency must assure that the individual who is responsible for the supervision of all case management staff assumes a leadership role by doing at least the following:

1. Reviewing case records and ensuring that documentation is adequate and up- to-date and that consumer records and reports meet agency guidelines;

2. Meeting at least twice a month with each case manager to assist him/her with care plan implementation and problem solving;

3. Documenting all supervision meetings and signing those consumer records reviewed during the meeting;

4. Conducting home visits with each case managers every six (6) months in order to evaluate the skill level of the case manager; and

5. Observing and documenting each case manager's inter-personal skills, care plan review, knowledge of services provided, and active listening skills.

N. The agency administrator must have a bachelor's degree and at least three (3) years of experience in program development or management. Equivalent education and experience will be acceptable and shall be justified in writing at the time of hire.

218 R.I. Code R. 218-RICR-40-00-5.6