Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS Chapter 13B, 209.030(2), (3), 209.032,
216.710-216.716, 216B.015, 311.621(16), 620.030(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216.712(4) requires
the Secretary of the Cabinet for Health and Family Services to promulgate
administrative regulations to implement KRS 216.712 through 216.716, which
require that personal service agencies be certified by the Cabinet for Health
and Family Services. KRS 216.713(11) requires the cabinet to promulgate
administrative regulations to implement, monitor, and enforce compliance with
the dementia-specific training requirements for direct-care staff members. This
administrative regulation establishes standards for the certification of
personal services agencies.
Section 1.
Definitions.
(1) "Adverse action" means action
taken by the cabinet's Office of Inspector General (OIG) to deny or revoke the
certification of a personal services agency.
(2) "Cabinet" is defined by KRS 216.710(1).
(3) "Certification"
means that a person, business entity, corporation, or association, either
for-profit or not-for-profit, has been issued a certificate by the Office of
Inspector General to operate a personal services agency.
(4) "Client" is defined by KRS 216.710(2).
(5) "Designated
representative" is defined by KRS 216.710(5).
(6) "Direct-care staff member" is defined by
KRS 216.710(6).
(7) "Direct
service" is defined by KRS 216.710(7).
(8) "Employee" means an individual who is:
(a) Directly employed by a personal services
agency;
(b) An agent of a personal
services agency;
(c) An independent
contractor who has a contractual arrangement with a personal services agency to
provide personal services; or
(d)
Referred by another person or other agency that has an ownership or financial
interest that is realized from the delivery of personal services rendered by
the individual for whom the referral is made.
(9) "Facilitate the self-administration of
medication" means the client or the client's guardian, healthcare surrogate as
defined by KRS 311.621(16), or attorney-in-fact as appointed by a durable power
of attorney authorizing the attorney-in-fact to make health care decisions for
the client, has executed a written consent designating the persons or entities
authorized to prepare or direct the client's medications and authorizing the
personal services agency to facilitate the self-administration of medication in
accordance with Section 7(1)(b) of this administrative regulation.
(10) "Parent personal services agency" is
defined by KRS 216.710(11).
(11)
"Personal services" is defined by KRS 216.710(9).
(12) "Personal services agency" is defined by
KRS 216.710(10).
(13) "Provisional
certification" means that the Office of Inspector General (OIG) has issued a
ninety (90) day preliminary certificate to operate a personal services agency
to a person, business entity, corporation, or association, either for-profit or
not-for-profit, which:
(a) Has three (3) or
fewer employees when the initial application is filed; and
(b) Indicated on the application that it
intends to hire additional employees within ninety (90) calendar days of the
date of the application.
(14) "Significant financial interest" means
lawful, direct or indirect ownership of a personal services agency or health
care facility licensed pursuant to KRS Chapter 216B in an amount equal to or
greater than twenty-five (25) percent total ownership of the personal services
agency or health care facility.
Section 2. Certification of Personal Services
Agencies.
(1) To operate a personal services
agency, a person or entity shall obtain certification from the Office of
Inspector General.
(2) If an
out-of-state personal services agency operates a branch office in Kentucky, the
out-of-state agency shall be required to obtain separate certificates for each
of its branch offices in Kentucky.
(3) A branch office of a parent personal
services agency shall be owned and controlled by the parent personal services
agency.
(4) A "health facility" or
a "health service" as defined by KRS 216B.015 or a health-care practitioner
licensed, certified, or regulated by local, state, or federal statutes or
administrative regulations shall not be required to obtain certification to
provide personal services pursuant to KRS 216.710(9)(b)9.
Section 3. Initial Application, Provisional
Certification, and Approval.
(1) A person,
entity, corporation, or association shall not provide personal services prior
to obtaining certification.
(2) An
applicant for initial certification, including provisional certification, shall
submit to the OIG:
(a) An initial application
fee of $500 made payable to the Kentucky State Treasurer;
(b) A completed Application for Certification
to Operate a Personal Services Agency, OIG ¢â,¬o 1180;
and
(c) Documentation required by
Section 3.A, if applicable, and Section 6 of the application.
(3) Approval of initial
certification shall be contingent on:
(a)
Submission of the initial application fee of $500;
(b) The applicant's demonstration of
compliance with the requirements of this administrative regulation and KRS 216.712, as documented on the Application for Certification to Operate a
Personal Services Agency, OIG - 1180; and
(c) Submission of the documentation required
by Section 3.A, if applicable, and Section 6 of the application.
(4)
(a) Approval of provisional certification
shall be contingent on:
1. Submission of the
initial application fee of $500;
2.
The applicant's demonstration of compliance with the requirements of this
administrative regulation and KRS 216.712, as documented on the Application for
Certification to Operate a Personal Services Agency, OIG - 1180; and
3. Submission of the documentation required
by Section 3.A, if applicable, and Section 6 of the application.
(b) A personal services agency
operating under provisional certification shall, no later than fourteen (14)
calendar days prior to expiration of the provisional certificate, submit
employee information required by Section 6, paragraph 2 of the Application for
Certification to Operate a Personal Services Agency, OIG - 1180 for each
employee hired by the agency after submission of the application for initial
certification.
(c) If a personal
services agency operates under provisional certification prior to approval of
initial certification, the initial certification period shall expire one (1)
year from the date of the provisional certificate.
Section 4. Annual Recertification.
(1) At least sixty (60) calendar days prior
to expiration of certification, the personal services agency shall submit to
the OIG:
(a) An annual recertification fee of
$350 made payable to the Kentucky State Treasurer;
(b) A completed Application for Certification
to Operate a Personal Services Agency, OIG ¢â,¬o 1180;
and
(c) Documentation required by
Section 6 of the application.
(2) Approval of recertification shall be
contingent on:
(a) Submission of the annual
recertification fee of $350;
(b)
The applicant's demonstration of continued compliance with the requirements of
this administrative regulation and KRS 216.712, as documented on the
Application for Certification to Operate a Personal Services Agency, OIG -
1180; and
(c) Submission of
documentation required by Section 6 of the application.
Section 5. Change of Status.
(1) Within thirty (30) calendar days after a
change in an ownership interest of more than twenty-five (25) percent of a
personal services agency, the following shall be submitted to the OIG:
(a) An Application for Certification to
Operate a Personal Services Agency, OIG - 1180;
(b) Documentation required by Section 3.A, if
applicable, and Section 6 of the application;
(c) A fee of $350 made payable to the
Kentucky State Treasurer; and
(d) A
bill of sale or comparable document that includes:
1. The name and signature of the new owner or
corporation;
2. The name and
signature of the buyer and the seller; and
3. The effective date of the
transaction.
(2) Following a change of ownership reported
in accordance with subsection (1) of this section, certification shall be
effective for a period of one (1) year from the date the change of ownership is
approved by the OIG.
(3) A personal
services agency shall notify the OIG in writing within thirty (30) calendar
days after the effective date of:
(a) A change
of name;
(b) A change in the
location of the parent personal services agency or a branch office;
(c) The opening of a new branch office in
Kentucky; or
(d) The closing of the
parent personal services agency or an existing branch office within the
state.
Section
6. Staff Requirements.
(1)
(a) A personal services agency shall employ
an individual to act as the personal services agency's manager.
(b) The manager shall be responsible for the
organization and daily operation of the personal services agency.
(c) The manager shall designate in writing
one (1) or more individuals to act on behalf of the manager, or to perform any
or all of the manager's responsibilities during the time in which the manager
is unavailable to perform daily managerial duties for at least three (3)
consecutive business days.
(2) Prior to acting as a personal services
agency's manager, or prior to providing direct services to a client, an
applicant for employment in a personal services agency shall submit to, and
have completed a:
(a) Criminal record check
conducted by the Justice and Public Safety Cabinet, Administrative Office of
the Courts, or a company that conducts a search of criminal record information
maintained by the Justice and Public Safety Cabinet or Administrative Office of
the Courts;
(b) Check of the nurse
aide and home health aide abuse registry established by 906 KAR 1:100;
(c) Check of the caregiver
misconduct registry established by 922 KAR 5:120 and required by KRS 209.032;
(d) Substance abuse test;
and
(e)
1. A tuberculosis (TB) risk assessment
performed and reported by a physician, advanced practice registered nurse,
physician assistant, or registered nurse.
2. If the TB risk assessment indicates that
the applicant for employment is at increased risk for developing tuberculosis
infection, or for progressing to active TB disease if infected, the individual
shall submit to the following for purposes of employment:
a. Follow-up tuberculin skin test (TST);
or
b. Blood assay for M.
tuberculosis (BAMT).
3.
An individual who has a positive TST result or a positive BAMT result:
a. Shall have a medical evaluation for
possible active TB and receive a chest x-ray; and
b. Shall not provide direct services to a
client until evidence is provided to the personal services agency documenting
that the individual is free of active TB as verified through a health
professional's statement, signed by a physician, advanced practice registered
nurse, physician assistant, or registered nurse.
(3) A personal services
agency may, at its discretion, request that its manager or an employee who
provides direct services to a client submit to any of the following background
checks after the date of initial hire:
(a)
Criminal record check conducted by the Justice and Public Safety Cabinet,
Administrative Office of the Courts, or a company that conducts a search of
criminal record information maintained by the Justice and Public Safety Cabinet
or Administrative Office of the Courts;
(b) Check of the nurse aide and home health
aide abuse registry;
(c) Check of
the caregiver misconduct registry; or
(d) Substance abuse test.
(4) A personal services agency
shall not employ or retain an individual to serve as a manager or provide
direct services to a client if the individual:
(a) Has been convicted of a crime defined by
KRS 216.710(3) as verified through a criminal record check conducted pursuant
to subsection (2)(a) or (3)(a) of this section;
(b) Appears on the nurse aide and home health
aide abuse registry as verified through a check of the registry conducted
pursuant to subsection (2)(b) or (3)(b) of this section;
(c) Appears on the caregiver misconduct
registry as verified through a check of the registry conducted pursuant to
subsection (2)(c) or (3)(c) of this section;
(d) Tests positive for the presence of an
illegal drug as verified through a substance abuse test conducted pursuant to
subsection (2)(d) or subsection (3)(d) of this section; or
(e) Fails to provide upon initial employment
pursuant to subsection (2)(e) or annually pursuant to subsection (5) of this
section:
1. A copy of the results of a health
professional's statement documenting that the individual is free of active
tuberculosis;
2. Documentation of a
negative TST; or
3. Documentation
of a negative BAMT.
(5)
(a) A
personal services agency shall require its manager and each employee who
provides direct services to a client to submit annually to a tuberculosis risk
assessment performed and reported by a physician, advanced practice registered
nurse, physician assistant, or registered nurse.
(b) If a determination is made from the
annual tuberculosis risk assessment that the employee is at increased risk for
developing tuberculosis infection, or for progressing to active TB disease if
infected, the employee shall submit to a follow-up TST or BAMT.
(c) An employee who has a positive TST result
or a newly positive BAMT shall have a medical evaluation for possible active TB
and receive a chest x-ray.
(d) If
the annual tuberculosis screening reveals that the employee is recently
infected, the employee shall not provide direct services to a client until
evidence is provided documenting that the employee is free of active
tuberculosis as verified through a health professional's statement signed by a
physician, advanced practice registered nurse, physician's assistant, or a
registered nurse.
(6) A
personal services agency shall maintain documentation of the following in
employee records:
(a) The results of each
criminal record check conducted pursuant to subsection (2)(a) and (3)(a) of
this section;
(b) The results of
each check of the nurse aide and home health aide abuse registry conducted
pursuant to subsection (2)(b) and (3)(b) of this section;
(c) The results of each check of the
caregiver misconduct registry conducted pursuant to subsection (2)(c) and
(3)(c) of this section;
(d) The
results of the substance abuse test conducted pursuant to subsection (2)(d) and
(3)(d) of this section; and
(e)
Documentation from a health professional that the employee is free of active TB
and, if applicable, documentation of a follow-up TST or BAMT, chest x-ray, or
medical evaluation.
(7)
A personal services agency shall:
(a) Maintain
employee records for a period of at least five (5) years; and
(b) Ensure that the records of current
employees are:
1. Maintained on the premises
of the agency; or
2. Accessible via
a central computer file.
(8) A personal services agency or agency
employee shall not be, or shall not apply to be a client's:
(a) Guardian;
(b) Power of attorney;
(c) Conservator;
(d) Limited conservator;
(e) Limited guardian;
(f) Standby guardian; or
(g) Testamentary guardian.
Section 7. Staff
training and Competency.
(1) Prior to
providing direct services to a client, each employee shall receive training
from the personal services agency regarding the following:
(a) Procedures for reporting abuse, neglect,
or exploitation of an adult pursuant to KRS 209.030(2) and (3), or child abuse
or neglect pursuant to KRS 620.030(1);
(b) Procedures for facilitating the
self-administration of medications if personal services agency staff facilitate
the self-administration of medication, in accordance with the following
requirements:
1. A client's medication shall:
a. Be prepared or directed in accordance with
KRS 216.710(9)(a)2 by:
(i) The client's
designated representative; or
(ii)
A licensed health-care professional who is not an owner, manager, or employee
of the personal services agency;
b. Except for ointments, be preset in a
medication organizer or be a single dose unit; and
c. Include the client's name on the
medication organizer or container in which the single dose unit is
stored;
2. A personal
services agency direct care staff person may:
a. Remind a client when to take medications
and observe to ensure that the client takes the medication as
directed;
b. Hand the client's
medication to the client. If the client is unable to open the medication, the
staff person may open the unit dose or medication organizer, remove the
medication from a medication organizer, and close the medication organizer for
the client;
c. Assist a client in
consuming oral medication, including tablets, capsules, or liquid medication,
by:
(i) Placing the dose in a container and
placing the container to the mouth of the client;
(ii) Placing the medication in the client's
hand or mouth; or
(iii) Following
the written instructions of the client's designated representative or licensed
health care professional for how to enable the client to take his or her
medication; or
(iv) Steady or guide
a client's hand while applying ointments; and
3. Facilitating the self-administration of
medication shall not include:
a. Instilling
eye, ear, or nasal drops;
b.
Mixing, compounding, converting, or calculating medication doses;
c. The preparation of syringes for injection
or the administration of medications by any injectable route;
d. Administration of medications through
intermittent positive pressure breathing machines or a nebulizer;
e. Administration of medications by way of a
tube inserted in a cavity of the body;
f. Administration of parenteral
preparations;
g. Administration of
irrigations or debriding agents used in the treatment of a skin condition;
or
h. Administration of rectal,
urethral, or vaginal preparations; and
(c) Effective communication techniques
tailored to individual client needs.
(2)
(a)
1. In addition to the training required by
subsection (1) of this section and within ninety (90) days from the most recent
effective date of this administrative regulation, a direct-care staff member
who provides services to a client that exhibits symptoms of Alzheimer's disease
or other dementia shall complete at least six (6) hours of initial training and
three (3) hours of annual training in dementia care pursuant to the
requirements established by KRS 216.713(3).
2. In accordance with KRS 216.713(2), a
direct-care staff member shall successfully complete the initial training in
dementia care prior to providing services to a client that exhibits symptoms of
Alzheimer's disease or other dementia.
3. Pursuant to KRS 216.713(6), a direct-care
staff member who has a lapse of twenty-four (24) months or more providing care
to a client that exhibits symptoms of Alzheimer's disease or other dementia
shall complete the six (6) hours of initial training within sixty (60) days of
resuming the delivery of care to a client that exhibits symptoms of Alzheimer's
disease or other dementia.
(b) A personal services agency shall:
1. Obtain cabinet approval of the agency's
dementia care training curriculum in accordance with the process established by
910 KAR 4:010;
2. Provide a
certificate of completion pursuant to KRS 216.713(4) to each direct-care staff
member who successfully completes the initial and annual dementia care
training; and
3. Maintain
documentation of successful completion of dementia care training for each
direct-care staff member in accordance with KRS 216.713(5).
(c)
1. The cabinet shall impose fines in
accordance with KRS 216.713(9) and (10).
2. All fines collected by the cabinet shall
be deposited in the Kentucky personal services agency fund pursuant to KRS 216.716(1)(c).
(3)
(a) A
personal services agency shall evaluate the competency of each employee who
will provide direct services to a client.
(b) The agency's evaluation to determine
competency shall pertain to each personal services task the agency chooses to
have the employee perform.
(4)
(a) An
employee's evaluation and a determination by the personal services agency that
the employee is competent to perform a personal services task shall occur
before the employee performs the task for a client without direct agency
supervision.
(b) The content of the
employee's training and evaluation shall:
1.
Be documented and maintained in the employee's record, which shall be retained
for a period of at least five (5) years; and
2. Include the date and the signature of the:
a. Person who conducted the training and
evaluation; and
b. Employee who
received the training and evaluation.
Section 8. Service
Agreement.
(1) Each personal services agency
shall provide a written service agreement to the client or the client's
designated representative that includes the following:
(a) The charge for each service provided by
the personal services agency;
(b)
The personal services agency's policy for notifying the client or client's
designated representative of any change in the charge for services. Notice of
an increase in the charge for services shall be given to a participating client
or client's designated representative at least thirty (30) calendar days in
advance of the effective date of the increase;
(c) The hours the personal services agency's
office is open for business;
(d)
The procedure for contacting the personal services agency's manager or the
manager's designee;
(e) The
procedure and telephone number to call for the purpose of filing a grievance
with the personal services agency as described in Section 10 of this
administrative regulation;
(f) An
explanation of whether the personal services agency:
1. Directly employs the individual who will
be providing personal services to the client;
2. Provides bonded protection for the client;
and
3. Pays workers compensation or
other benefits for the individual who will be providing personal services to
the client;
(g) Name of
the personal services agency's owner, including anyone with a significant
financial interest in the agency;
(h) The procedure for changing or terminating
a client's service plan; and
(i) A
statement of client rights, which shall include the following:
1. The client has the right to have the
client's property treated with respect;
2. The client has the right to request a
change in his or her service plan, including the temporary suspension,
permanent termination, temporary addition, or permanent addition of a
service;
3. The client has the
right to file a grievance as described in Section 10 of this administrative
regulation regarding services, employee conduct, or the lack of respect for
property and not be subject to discrimination or reprisal for filing the
grievance; and
4. The client has
the right to be free from verbal, physical, and psychological abuse, and to be
treated with dignity.
(2) A personal services agency shall report
to the cabinet an incident of suspected:
(a)
Abuse, neglect, or exploitation of an adult pursuant to KRS 209.030(2) and (3);
or
(b) Child abuse or neglect
pursuant to KRS 620.030(1).
Section 9. Service Plan.
(1) A personal services agency's manager or
the manager's designee shall prepare a service plan. The initial service plan
shall:
(a) Be in writing, dated, and signed by
the:
1. Individual who prepared it;
and
2. Client or client's
designated representative;
(b) List the types and schedule of services
to be provided to the client; and
(c) Identify the charge per service or charge
per hour, whichever method the agency uses to bill clients.
(2) If a client or the client's
designated representative requests a change in the type of service, duration of
the service, or an increase or decrease in the number of visits, the personal
services agency manager or manager's designee shall document on the client's
service plan the:
(a) Requested
change;
(b) Name of the person who
requested the change; and
(c) Date
the request was made.
(3) A personal services agency shall provide
a copy of the service plan to the client within ten (10) calendar days of the
date that the agency begins providing initial services.
Section 10. Client Grievances.
(1) A personal services agency shall
investigate a grievance made by a client or the client's designated
representative alleging:
(a) An issue with a
service that is furnished;
(b)
Failure to furnish a service listed in the service plan;
(c) Failure to provide thirty (30) day
advance notice of an increase in the amount the agency charges for its
services;
(d) Inappropriate conduct
of an employee while the individual is providing services to the client;
or
(e) A violation of the client's
rights.
(2)
(a) A personal services agency shall:
1. Document how the agency investigated each
grievance; and
2. Maintain on file
for a period of at least five (5) years a written record documenting the
outcome of the agency's investigation, including any action taken by the
agency.
(b) Upon
completing an investigation of a grievance, the personal services agency shall
document that it notified the individual who reported the grievance of the
outcome of the investigation and any action the agency plans to take as a
result.
Section
11. Complaint Investigations.
(1)
The OIG shall investigate a:
(a) Report of any
business that provides personal services without receiving
certification;
(b) Report of any
business that markets its services as a personal services agency without
receiving certification;
(c)
Complaint against a certified personal services agency in which the agency is
alleged to be in noncompliance with the requirements of this administrative
regulation, KRS 216.712, or 216.713;
(d) Complaint against a certified personal
services agency in which an agency employee is alleged to have abused or
neglected a client, or misappropriated a client's property; or
(e) Complaint against a certified personal
services agency in which an agency employee is alleged to have provided
services to a client that exceed the scope of personal services.
(2)
(a) A certified personal services agency or a
business that is the subject of a complaint investigation shall not deny access
to a representative of the OIG, after proper identification, to make an
inspection for determining compliance with the requirements of this
administrative regulation, KRS 216.712, or 216.713.
(b) Denial of access, including any effort to
delay, interfere with, or obstruct an effort by a representative of the OIG to
enter the agency or deny access to records related to an inspection or
investigation shall result in revocation of a personal services agency's
certification.
Section
12. Request for Additional Information and Plans of Correction.
(1)
(a) The
OIG shall notify an applicant or certified personal services agency in writing
after:
1. Receipt of an incomplete or
illegible application for initial certification or recertification;
2. Receipt of an application for initial
certification or recertification in which additional information is needed by
the OIG to verify that the applicant or personal services agency is in
compliance with the requirements of this administrative regulation, KRS 216.712, and in the case of recertification, KRS 216.713; or
3. Completion of a complaint investigation
pursuant to Section 11 of this administrative regulation.
(b) The OIG's written notification specified
in paragraph (a) of this subsection shall request that the applicant or
certified personal services agency submit the following within ten (10)
calendar days of the date of the notice:
1.
Additional information needed by the OIG to deem an initial or recertification
application as complete or legible;
2. Additional information needed by the OIG
to make a determination of compliance with the requirements of this
administrative regulation, KRS 216.712, and in the case of recertification, KRS 216.713; or
3. A written plan of
correction if the OIG has found upon completion of a complaint investigation
that the certified personal services agency is in violation of this
administrative regulation, KRS 216.712, or 216.713. A plan of correction shall:
a. Be signed by the personal services
agency's owner or manager;
b.
Specify the date by which the agency intends to have corrected the
violation;
c. Identify the specific
measures the agency intends to use to correct the violation; and
d. Identify the specific measures the agency
plans to use to ensure the violation will not recur.
(c) The OIG shall review
additional information or a written plan of correction submitted pursuant to
paragraph (b) of this subsection and notify the applicant or certified personal
services agency in writing of the decision to:
1. Approve or not approve an
application;
2. Accept or not
accept a plan of correction;
3.
Deny or revoke certification for a violation of this administrative regulation
or KRS 216.712; or
4. Impose a fine
in accordance with Section 7(2)(c) of this administrative regulation.
(d) If the OIG determines that a
plan of correction is not acceptable and makes a written request for an amended
plan of correction, the certified personal services agency shall submit the
amended plan of correction within ten (10) calendar days of the date of the
OIG's written request. The OIG shall review an amended plan of correction and
notify the personal services agency in writing of the decision to:
1. Accept the amended plan of
correction;
2. Deny or revoke
certification for a violation of this administrative regulation or KRS 216.712;
3. Require the agency to
submit an acceptable plan of correction; or
4. Impose a fine in accordance with Section
7(2)(c) of this administrative regulation.
(e) Except for a violation for which a fine
is imposed pursuant to Section 7(2)(c) of this administrative regulation, a
certified personal services agency that fails to submit an acceptable plan of
correction or acceptable amended plan of correction shall have its
certification revoked.
(2) The OIG may impose fines in accordance
with KRS 216.714(1) or (2).
Section
13. Denial, Revocation, and Fines.
(1) Initial certification shall be denied if
an applicant:
(a) Has a significant financial
interest in the entity applying for certification and held a significant
financial interest in a personal services agency or health facility licensed
pursuant to KRS Chapter 216B in which the agency's certification or facility's
licensure was revoked during the three (3) years immediately preceding the
filing of the application;
(b)
Knowingly misrepresents or submits false information on the application;
or
(c) Submits an application which
fails to validate the entity's compliance with the requirements of this
administrative regulation and KRS 216.712.
(2) Certification shall be revoked if a
personal services agency:
(a) Fails to apply
for annual recertification pursuant to Section 4(1) of this administrative
regulation;
(b) Knowingly
misrepresents or submits false information on the application at the time of
annual recertification;
(c) Submits
an application for annual recertification which fails to validate the agency's
compliance with the requirements of this administrative regulation and KRS 216.712;
(d) Fails to comply with
the background check and employment requirements of Section 6(2), (4), and (5)
of this administrative regulation;
(e) Knowingly retains an employee who is:
1. Found by the cabinet to have abused or
misappropriated a client's property; or
2. Convicted of, or pleads guilty, to a crime
as defined by KRS 216.710(3);
(f) Fails to submit an acceptable plan of
correction or acceptable amended plan of correction pursuant to Section
12(1)(b)3 or (d) of this administrative regulation;
(g) Interferes with a cabinet
representative's ability to perform an official duty; or
(h) Provides services that are beyond the
scope of personal services as defined by KRS 216.710(9).
(3) Written notice of adverse action or
notice of a decision to impose a fine pursuant to Section 7(2)(c) of this
administrative regulation shall be provided at least thirty (30) calendar days
prior to the:
(a) Effective date of the
denial, revocation; or
(b) Date by
which the amount of the fine shall be paid in full.
(4) The notice shall:
(a) Explain the reason for the:
1. Denial or revocation of certification;
or
2. Decision to impose a
fine;
(b) Unless a fine
is imposed pursuant to Section 7(2)(c) of this administrative regulation,
specify that the personal services agency shall cease operation prior to the
effective date of the adverse action;
(c) Advise the personal services agency of
the right to request an appeal prior to the:
1. Effective date of the adverse action;
or
2. Date by which the amount of
the fine shall be paid in full;
(d) Specify that denial, revocation, or fine
shall be stayed if an appeal is requested; and
(e) Require the agency to:
1. Surrender the certificate of operation to
OIG when the denial or revocation becomes effective; or
2. Pay any fine in full if an appeal is not
requested.
Section 14. Closure of a Personal Services
Agency. If a personal services agency closes voluntarily or as the result of
adverse action, the agency shall relinquish to the OIG its certificate to
operate as a personal services agency immediately after the effective date of
the closure.
Section 15. Appeals.
(1) A personal services agency that submits a
written request for appeal within thirty (30) calendar days of the date the
agency receives a notice of adverse action or notice of a decision to impose a
fine shall be afforded a hearing in accordance with KRS Chapter 13B.
(2) If a hearing officer's final order does
not uphold revocation of certification, the personal services agency may resume
providing personal services.
Section
16. Incorporation by Reference.
(1) "OIG - 1180, Application for
Certification to Operate a Personal Services Agency", edition September 2021,
is incorporated by reference.
(2)
This material may be inspected, copied, or obtained, subject to applicable
copyright law, at the Office of Inspector General, 275 East Main Street,
Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30 p.m. This
material may also be viewed on the Office of Inspector General's Web site at:
https://chfs.ky.gov/agencies/os/oig/dhc/Pages/ltcapplications.aspx
STATUTORY AUTHORITY: KRS 216.712(4),
216.713(11)