Chapter 3701-8 Help Me Grow Program

3701-8-01 Definitions.

(A) "Accreditation" means the process by which a local implementing agency reaches the quality standards set forth by the evidence based model.

(B) "Affiliation" means a verified association with an evidence-based home visiting model, per model standards.

(C) "Assessment" means the ongoing procedures used by qualified personnel to assess a child and family's resources, strengths, priorities, needs risks, and concerns.

(D) "Caregiver" means a parent or relative who has assumed an active role in the health and welfare of a child eligible for home visiting services.

(E) "Centralized intake and referral contractor" means any entity who enters into agreement with the Ohio department of health to provide administration and oversight of central intake activities as specified in section 3701.611 of the Revised Code or its successor. At a minimum, these activities include public awareness, child find, maintaining central directories, and referral activity.

(F) "Child find" means the strategies and activities which identify families, parents, caregivers, or other individuals potentially eligible for home visiting and community health worker related services, as well as part C early intervention services as determined by the Ohio department of developmental disabilities.

(G) "Consent" means that written permission is provided once an individual has been fully informed of all information relevant to the activity for which permission is sought. Consent is further voluntarily given and may be revoked at any time.

(H) "Contract manager" means the designated individual who is responsible for oversight and monitoring of central intake and referral activities as outlined in this rule and in agreements entered into with the department.

(I) "Department" means the Ohio department of health.

(J) "Developmental delay" means delays in any or all areas including cognitive, social, language, sensory, and emotional development.

(K) "Director" means the director of health or authorized designee.

(L) "Early intervention" means the statewide program authorized by part C of the "Individuals with Disabilities Education Act of 1997," 20 U.S.C. 1400 as implemented by the state's lead agency.

(M) "Early intervention service coordination contractor" means any entity that provides early intervention service coordination as required by the lead agency for part C services.

(N) "Evidence-based home visiting model" means utilizing a model that has been determined evidence-based by the Ohio department of health (ODH), and/or the office of planning, research, and evaluation in the administration for children and families, United States department of health and human services or its successor.

(O) "Family" means at least one eligible caregiver or parent, and at least one eligible infant or toddler.

(P) "Family goal plan" means a written plan that guides the development of home visiting activities, the identification of resources, and the successful achievements that build a family's resiliency and promote protective factors.

(Q) "Federal poverty level" or "FPL" means the level of household income by family size as reported in the federal register by the United States department of health and human services, published on or before April first of each year.

(R) "Fidelity" means the extent to which each program or provider, as a whole, performs in accordance with established model standards and guidelines.

(S) "Financial solvency" means an entity's ability to pay their long-term debts including any associated interest. To be considered solvent, the value of a company's or individual's assets must be greater than the sum of their debt obligations.

(T) "Home visit" means a completed in person activity where screening, assessment, family goal planning, the delivery of parenting education, or referral services were facilitated.

(U) "Home visiting" means an in person, evidenced-based service that provides expectant parents and caregivers of infants and toddlers, particularly those considered at-risk, the necessary resources and skills to raise children who are physically, socially, and emotionally healthy and ready to learn.

(V) "Home visitor" means the qualified individual who delivers services during home visits.

(W) "Home visiting program manager" means the qualified individual responsible for the day-to-day, hands on management of the local implementing agency, and is responsible for program planning, budgeting, staffing, training, quality assurance, and evaluation.

(X) "Home visiting provider" means any local implementing agency or entity which provides home visits through a contract, grant or other agreement with the department.

(Y) "Home visiting supervisor" means the qualified individual who provides the supervision of services delivered by the home visitor.

(Z) "Infant" means a child from birth through twelve months of age.

(AA) "Innovative" or "promising approach" means a process, product, strategy, or practice that improves (or is expected to improve) significantly upon the outcomes reached with current/status quo options and that can ultimately reach widespread effective usage.

(BB) "Local implementing agency (LIA)" means an agency who has entered into an agreement with the department to provide evidence-based home visiting services.

(CC) "Native language" means the language normally used by an individual or family. When used with respect to an individual who is deaf or hard of hearing, blind or visually impaired, or for an individual with no written language, it means the mode of communication that is normally used by that individual, such as sign language, braille, or other communication.

(DD) "Parent" means an adult caregiver responsible for a child's health and well-being.

(EE) "Parenting education" means sharing age-appropriate child development information, coaching appropriate activities and behaviors, and answering questions about child development with a caregiver of a child.

(FF) "Personally identifiable information" means information which can identify an individual, including but not limited to: child's name; name of the child's parent or other family member; address of the child or child's family; a personal identifier, such as the child's social security number or identification number; a list of personal characteristics that would make the child's identity easily traceable; or other information that would make the child's identity easily traceable.

(GG) "Primary referral sources" means those individuals or agencies making referrals to the centralized intake and referral system for any home visiting or part C service. Sources may include, but are not limited to hospital personnel, physicians, parents, caregivers, child care programs, early learning programs, local education agencies and schools, public health facilities, other public health or social service agencies, other clinics and health care providers, public agencies and staff in the child welfare system, including child protective services and foster care, homeless family shelters, and domestic violence shelters and agencies.

(HH) "Privacy practices" means the procedural safeguards providers must implement and adhere to in order to safeguard personally identifiable information and to ensure program participants are advised of their rights.

(II) "Program referral" means the activity of making an eligible family known from a centralized intake contractor to a home visiting provider or an early intervention service coordination contractor for the purposes of initiating services.

(JJ) "Research-informed parenting curriculum" means an education tool approved by the Ohio department of health that is used with caregivers to educate on topics related to birth outcomes and/or parenting, in which research has demonstrated effectiveness for the purposeand goals of its use.

(KK) "Record" means a document, file, device, or item regardless of physical form or characteristic, including electronic format, created or received for an individual from system referral through program exit or transition.

(LL) "Screening tool" or "screening" means the administration of a department approved, evidenced-based, or research-informed instrument that informs the assessment and/ or generates needed community-based referrals. Approved screening may include, however not be limited to those instruments that inform the areas of child development, social-emotional growth, parent/caregiver depression, intimate partner violence (domestic/sexual violence and coercion), chemical and tobacco use and home safety.

(MM) "Sentinel event" means a critical incident where the safety of a child or caregiver receiving home visiting services becomes jeopardized. At a minimum, this includes a child or caregiver death, or serious abuse incidents that prompt child welfare investigation.

(NN) "Statewide data system" means the data entry platform approved by the department for central intake and referral and home visiting related services.

(OO) "System referral" means the instance when a potentially eligible family is made known to a centralized intake contractor, with the following information: child's age; child's county of residence; parent or caregiver's first and last name; and telephone number; e-mail address; or mailing address.

(PP) "Toddler" means a child who is at least thirteen months, but less than thirty-six months of age.

(QQ) "Transition" means the change within or exit from home visiting services including:

(1) Exit from services due ineligibility at age three years, unless otherwise specified;

(2) Exit from one home visiting program to another in either the same or different service location in the state;

(3) Exit to an appropriate development-enhancing setting;

(4) Exit from home visiting for other reasons.

Replaces: 3701-8-01

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 9/5/2013, 1/15/2015

3701-8-02 Home visiting program eligibility.

(A) Home visiting providers shall ensure that every caregiver, parent or child referred to home visiting is determined eligible or not eligible within thirty days of the program referral, in accordance with the following:

(1) Expectant families or caregivers of a child under the age of two whose family income is not in excess of two hundred per cent of the federal poverty level; and possess at least one of the following risk factors:

(a) Pregnant women under age twenty-one;

(b) Previous preterm birth;

(c) Families with a history of child abuse, neglect or have had interactions with child welfare services;

(d) Families with a history of substance abuse, or demonstrate a need for substance abuse treatment;

(e) Families with a child who has a diagnosed developmental delay;

(f) Families that have users of tobacco products in the home;

(g) Active military families;

(h) Families with a history of unstable housing or homelessness; or

(i) Families with a caregiver who has a history of depression or other diagnosed mental health concerns.

(2) At least eighty-five per cent of the provider's capacity shall be used to serve families or caregivers that meet the criteria in paragraph (A) (1) of this rule who are enrolled prenatally, or families of a child not exceeding six months of age at the time of system referral.

(3) Up to fifteen per cent of the provider's capacity may be used to serve families that meet the criteria in paragraph (A) (1) of this rule that include a child not exceeding twenty-four months of age at the time of system referral.

(4) Any family or caregiver referenced in paragraph (A) of this rule who is enrolled in home visiting services, may be served in accordance with the requirements of the Administrative Code until the child reaches three years of age.

(5) When an eligible child is in foster care placement, home visiting services shall be permitted in accordance with this chapter when family reunification, improving parenting skills and capacity are identified as goals. Accordingly, a parent or caregiver who is actively working with child welfare to regain or obtain custody shall receive services, and must be present for the service to be reimbursable as required by rule 3701-8-09 of the Administrative Code.

(B) Families will remain eligible for home visiting services as long as the child defined in paragraph (A) of this rule has not reached three years of age and enrollment in services does not end. Eligibility remains with the child if transferred to another provider, however does not stay with the family if they exit the program. A family's eligibility will be re-determined when a new system referral is made in accordance with rule 3701-8-10 of the Administrative Code.

(C) When a family or caregiver is determined not eligible for home visiting services, the provider shall submit a letter in person, by e-mail, or by post mail stating the reasons they did not qualify for the home visiting, present other potential service options available, and the process for reconsideration. This communication must be sent to the family or caregiver within ten days of the decision.

(D) When a family or caregiver disagrees with the eligibility determination, the caregiver may request reconsideration of the decision by filing a written request with the director within thirty days of the date on the written notice. The request for reconsideration shall contain a statement of the reasons the caregiver believes the decision is incorrect or inappropriate and may include any written documentation, argument, or other materials they wish to submit. The request is filed with the director when it is received by the department. The decision of the director shall be final, and not subject further administrative or judicial review.

Replaces: 3701-8-06

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/2015

3701-8-02.1 [Rescinded] Monitoring contractors.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012

3701-8-03 Standards and procedures for determining eligibility of home visiting providers.

(A) An entity who seeks to become a home visiting provider shall complete and submit to the department a provider enrollment application using forms approved by the director. Applicant shall also do the following:

(1) Complete the process to become a vendor with the state of Ohio as required by the Ohio department of administrative services;

(2) Submit documentation demonstrating financial solvency;

(3) Submit an operation plan indicating the use of qualified personnel; and

(4) Submit an implementation work plan, including timelines to affiliate with and facilitate a model that has been determined evidence-based by the Ohio department of health, and the office of planning, research, and evaluation in the administration for children and families, United States department of health and human services or its successor.

(B) When the department determines an applicant has met the requirements set forth in this rule, the applicant shall be notified in writing of approval or disapproval within forty-five days of the department receiving a completed application.

(C) If awarded a contract or agreement to provide home visiting services, provider shall:

(1) Designate one individual as the program manager who is responsible for oversight and monitoring;

(2) Establish a physical headquarters that serves as the base of daily operations where records are securely maintained;

(3) Maintain a telephone number, internet connection, fax capabilities, individual e- mail address for each employed individual, and the technical capacity to enter data into the statewide data system;

(4) Achieve accreditation within model specified timeframes;

(5) Serve directly or subcontract to serve all individuals determined eligible in accordance with rule 3701-8-02 of the Administrative Code. When subcontracting, provider shall ensure that subcontractor meets compliance with all rules established within Chapter 3701-8 of the Administrative Code.

(D) An applicant who is denied a provider agreement may request reconsideration of the application in accordance with the following procedures:

(1) Submit a written request for reconsideration to the department that includes any written materials the applicant wishes to be considered so that they are received by the department no later than thirty days after the date on the notice of disapproval issued under this paragraph.

(2) The decision of the director under this paragraph shall be final and not subject to further administrative or judicial review.

Replaces: 3701-8-02

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.611, 3701.612
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012

3701-8-04 Personnel and supervision requirements.

(A) Providers shall ensure compliance with the personnel requirements for any individual used to provide home visiting services in accordance with "Equal Employment Opportunity" (EEO) laws and the following:

(1) Each individual serving in the capacity of home visitor, supervisor of home visitors, or program manager shall meet the education and training requirements set forth in this rule, maintaining such credential without lapse if applicable. Failure to maintain the credential as required will result in the department initiating actions set forth in paragraph (B) of rule 3701-8-06 of the Administrative Code;

(2) If an individual obtains the supervisor credential, they may serve in multiple roles, in accordance with fidelity standards for the home visiting model implemented;

(3) Providers shall maintain documentation of compliance with this paragraph for each supervisor of home visitors and each home visitor the provider uses through sub-contract or employment;

(4) Home visitors, supervisors of home visitors, and program managers shall avoid multiple relationships and conflicts of interest with any client/consumer-of-services, ex-clients, family members, family members of clients or ex-clients, or other persons encountered in professional or non-professional setting, which are not in the best interest of the client and might impair professional judgment or which increases the risk of client/consumer-of-services exploitation.

(B) Providers shall ensure and maintain documentation that each individual used on or after the effective date of this rule as program managers of home visitors meet the following requirements:

(1) Individual holds a master's degree from a council for higher education accredited college or university in a field closely related to early childhood or human services, with three years of relevant experience in serving children and families; or possess a bachelor's degree from a council for higher education accredited college or university with a minimum of three years of experience working with pregnant women, infants or toddlers;

(2) Undergo both:

(a) A criminal background check with the Ohio bureau of criminal investigation;

(b) A background check with the Ohio central registry on child abuse and neglect.

(3) Individual completes all department required trainings, to include those required by the evidenced-based model being implemented;

(4) Individuals that serve dual roles of both program manager and home visiting supervisor shall meet the requirements of the home visiting supervisor per paragraph (C) of this rule.

(C) Providers shall ensure and maintain documentation that each individual used on or after the effective date of this rule as supervisors of home visitors meet the following credentialing requirements:

(1) Individual holds at least a bachelor's degree from a council for higher education accredited college or university in a field closely related to early childhood or human services, with three years of relevant experience in serving children and families; or possess a bachelor's degree from a council for higher education accredited college or university with a minimum of three years of experience working with pregnant women, infants or toddlers;

(2) Undergo both:

(a) A criminal background check with the Ohio bureau of criminal investigation;

(b) A background check with the Ohio central registry on child abuse and neglect.

(3) Individual completes a personal profile with the Ohio professional registry (OPR) or its successor;

(4) Individual completes the department required supervisor trainings, to include those required by the evidenced-based model being implemented;

(5) Individual maintains a supervisor credential without lapse and shall renew every two years from the date of initial or most recent credential renewal by completing at least twenty contact hours of training related to the role or target population;

(6) Individual will update OPR personal profile to reflect training and obtain verification.

(D) Providers shall ensure and maintain documentation that each individual used on or after the effective date of this rule as a home visitor meets the following requirements:

(1) Individual holds at least an associate's degree from a council for higher education accredited college or university in a field closely related to early childhood or human services; or possess a bachelor's degree from a council for higher education accredited college or university with a minimum of one year experience working with pregnant women, infants, or toddlers;

(2) Undergo both:

(a) A criminal background check with the Ohio bureau of criminal investigation;

(b) A background check with the Ohio central registry on child abuse and neglect.

(3) Individual completes a personal profile with the Ohio professional registry (OPR) or its successor;

(4) Individual completes the department required home visitor trainings, to include those required by the evidenced-based model being implemented;

(5) Individual maintains home visiting credential without lapse and shall renew every two years from the date of initial or most recent credential renewal by completing at least twenty contact hours of training related to the role or target population.

(6) Individual will update OPR personal profile to reflect training and obtain verification.

(E) Providers shall ensure that home visitors are supervised by an individual who is qualified in accordance with rule 3701-8-04 of the Administrative Code, and delivered in a manner that is:

(1) Documented to reflect an ongoing and direct manner;

(2) Inclusive of administrative, clinical, and reflective, and/or other identified best practice; and

(3) Facilitated in accordance with the evidence-based home visiting model being implemented.

Replaces: 3701-8-03

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.612, 3701.611
Prior Effective Dates: 9/3/2012, 1/15/2015

3701-8-05 Provision of home visiting services.

(A) All home visiting services shall be delivered utilizing a model that has been determined evidence-based by the Ohio department of health, and/or the office of planning, research, and evaluation in the administration for children and families, United States department of health and human services or its successor. Services shall be implemented to model fidelity.

(B) Families residing in the urban and rural communities specified in rules adopted under section 3701.142 of the Revised Code shall receive priority for home visiting services.

(C) Only one home visitor is assigned to the family or caregiver at any given time.

(D) After receiving a program referral, home visiting providers shall assign a home visitor and ensure that the following activities are completed before the first visit with the family:

(1) Confirm potential eligibility for the program; and

(2) Inform the family that the home visitor will need to view any one of the following documents to verify program eligibility:

(a) Current women, infants and children (WIC), Ohio medicaid, or other Ohio public assistance verification;

(b) Two most recent, consecutive pay stubs from current employment that verifies the family meets income guidelines;

(c) Military identification; or

(d) Other documentation which allows the home visitor to determine financial or military eligibility.

(E) During the first visit, home visitors shall complete of the following:

(1) Review documentation to confirm eligibility for the program in accordance with paragraph (D) of this rule and document in the family record when financial criteria are used for eligibility.

When an individual is unemployed, this shall be noted in the demographics section of the statewide data system.

(2) Obtain written consent to participate in the program on a form approved by the director, which shall be placed into the record;

(3) Explain the program's goals, the structure and expectations for participation;

(4) Provide the parent or caregiver general information about the agency providing the services, as well as how to contact both the home visitor and home visiting supervisor;

(5) Provide a copy of the home visiting participants right's and privacy practices.

(F) Home visitors shall complete and document in the statewide data system a family centered assessment within the first thirty days after the first home visit and determination of eligibility using an assessment identified and approved for use by the department and/or the evidence-based model implemented.

(G) Home visitors shall complete other initial and ongoing required tools in accordance with provisions contained within the provider agreement;

(H) Home visitors shall complete a family goal plan in the statewide data system within the first sixty days after the first home visit and determination of eligibility. The family goal plan shall be reviewed and revised at least once every six months, or as requested by the family;

(1) Each family goal plan, to include revisions, are signed and dated by primary caregiver and home visitor. Copies shall be placed in the record;

(2) One copy of each family goal plan is to be provided to the family at no cost within ten days of the caregiver's signature.

(I) Home visitors shall offer and facilitate scheduling of visits according to evidenced-based model fidelity standards;

(J) Home visiting providers shall inform the centralized coordination contractor each time:

A child or family needs to change home visiting providers;

When starting services with a family who has been participating with another home visiting provider, the new provider shall conduct a family goal plan review within sixty days of the program referral.

(K) When the referral source is professional in nature, the home visiting providers shall, with caregiver consent, provide a follow-up to the referral source on a form approved by the director within sixty days of receiving the program referral.

(L) A family shall be exited from home visiting services in accordance with the standards of the evidence-based model being implemented, when any one of the following applies:

(1) The youngest eligible child in the family reaches three years of age;

(2) The child moves out of the state of Ohio;

(3) Repeated attempts to visit are unsuccessful, as defined by the evidenced-based model being implemented, and documented in the statewide data system;

(4) The family terminates program participation.

(M) When a home visiting provider exits a family due to loss of contact, the provider shall send a written correspondence via email, or post mail to the last known address containing the following information:

(1) Details of the attempts which have been made to contact the family;

(2) This notification is the last contact attempt which the home visitor will make;

(3) Contact information for the program; and

(4) Information explaining qualifications and procedures for returning to the home visiting program.

(N) Providers shall immediately communicate to the department all sentinel events involving families served in the home visiting program. Provider shall communicate via email or telephone call to their assigned program representative or the home visiting administrator.

(O) Providers who disagree with a programmatic action taken by the department may submit a request reconsideration in accordance with the following procedures:

(1) Submit a written request for reconsideration to the department that includes any written materials the applicant wishes to be considered so that they are received by the department no later than thirty days after the date of initiation of the programmatic action in questions;

(2) The decision of the director under this paragraph shall be final and not subject to further administrative or judicial review.

Replaces: 3701-8- 06.1

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.612, 3701.611
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/15

3701-8-06 Quality assurance and monitoring of providers.

(A) The department will monitor providers for compliance with the rules in this chapter; the terms of an agreement, or contract entered into by provider; quality assurance standards set forth by the model being implement, and other applicable program-related federal and state laws.

(B) When the director determines that a home visiting provider is not in compliance with the rules in this chapter, the terms of an agreement or contract entered into by provider or other applicable program-related federal or state laws, the director of health shall notify the provider in writing of the specific findings and the action the department will take. Actions may include, but are not limited to:

(1) Require participation in technical assistance or training provided by the department;

(2) Require a plan of corrective action setting forth how provider will correct the deficiency;

(3) Withhold future funds or require repayment of funds to the department; or

(4) Suspend or terminate provider's agreement or contract.

(C) In the event that the director would take action described in paragraph (B)(3) or (B)(4) of this rule, the provider may request reconsideration of the decision in accordance with the following procedures:

(1) Submit a written request for reconsideration to the department which includes any written materials that the provider wishes to be considered so that they are received by the department no later than ten days from the date of notice from the department.

(2) The director of health shall notify the provider in writing of the decision to take action within thirty days of receiving request for reconsideration. The director's decision is final and is not subject to further administrative or judicial review.

Replaces: 3701-8- 02.1

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.611, 3701.612
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012

3701-8-06.1 [Rescinded] Home visiting contractor requirements.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/2015

3701-8-06.2 [Rescinded] Reimbursement for services in help me grow home visiting.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61
Prior Effective Dates: 9/3/2012

3701-8-07 Data and maintenance of records.

(A) Providers shall designate at least one individual as a data system administrator who is responsible for the provider's data quality assurance plan. The data quality assurance plan shall be reviewed and updated annually, and must be produced to the department upon request. Data system administrators shall oversee and ensure:

(1) Data entry, as required, into the statewide data system within ten business days of the activity, except when otherwise specified;

(2) Information entered into the statewide data system is consistent with the information in the program participant's record

(3) All staff required to enter, or supervise the entry of data into the statewide system, complete all department required trainings;

(4) Required state and model reports regarding data quality, compliance, monitoring, goals and outcomes are run and analyzed at least quarterly;

(5) That prior to granting individuals initial access or reactivation of previous access to the statewide data system, individuals have completed a data system user agreement form approved by the director. Data agreement forms shall be submitted to the department;

(6) A roster of individuals who have access to personally-identifiable information of program participants is maintained and updated as the need for access changes. This roster shall be made available to the department upon request, and at a minimum shall specify:

(a) Whether the individual has access to paper records, electronic records, or both;

(b) The date that access was first granted.

(7) Notification to the department for deactivation of access to the statewide data system upon a user's termination, resignation, a change in scope of duties that no longer warrants access to the data;

(8) That inactive users, or those who have not logged in within sixty days have their access terminated.

(9) Adherence to section 3701.17 of the Revised Code and other applicable federal and state laws, regulations, and rules with regard to confidentiality and security of personally identifiable information;

(10) That only one record is generated for each home visiting participant, containing requirements specified in paragraph (B) of this rule.

(B) The record of every family and caregiver receiving home visiting services shall meet evidenced-based model implementation standards, and at a minimum contain:

(1) Documentation of eligibility for home visiting services;

(2) Copies of any screening tools administered in accordance with provider agreement;

(3) All family goal plans and family goal plan revisions containing the signature of the primary caregiver and the assigned home visitor;

(4) Referral from a public children services agency (PCSA), if applicable, on a form approved by the director;

(5) Referral and referral follow-up, if applicable, on a form approved by the director;

(6) A consent to receive home visiting services signed by the primary caregiver on a form approved by the director. This consent shall indicate that the family was provided information on the potential benefits home visiting services;

(7) Consent to release information and coordinate health and social service referrals on a form approved by the director;

(8) Copies of pertinent written correspondence received from and sent to the family, other health and/or social service providers.

(C) Records shall be retained electronically to fullest extent possible. In the event electronic record keeping is not possible, paper records shall be maintained in accordance with this chapter and must be retained for a period of six years from the date of receipt of payment for the service or until an audit is completed whichever is longer. All documentation shall be made available to the department upon request.

(D) Providers must ensure and document that the individual designated as data systems administrator has undergone both a criminal background check with the Ohio bureau of criminal identification and investigation, as well as a background check with the Ohio central registry on child abuse and neglect.

(E) Upon home visiting participant request, providers shall provide:

(1) A list of the types and locations of records collected, maintained, or used by the provider; and/or

(2) One electronic or paper copy of the complete record, free of charge and in accordance with rule 3701-8-08 of the Administrative Code.

(F) If a program participant exits services or transfers to another provider within a department supported system, the current provider shall retain the original file, and provide, with written consent from the family, an electronic or paper copy of the participant's record to the new provider in a secure fashion. Information maintained in the statewide data system shall be updated before transfer of the program participant's record.

(G) Providers shall document in the participant's record a log of every request made and granted to access or receive a copy of a program participant's record. Documentation log must include the name of the requester, the date the request was received by the provider, the date access was granted to the requester, and the purpose for which the individual is authorized to see or have a copy of the record.

(H) All data is property of the department, and any research proposals whether internal or external, involving past or present participants, must first be approved by the department's institutional review board (IRB). Approval or denial of each request shall be communicated to the requesting entity.

Replaces: 3701-8-09

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Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.611, 3701.61 , 3701.612
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/2015

3701-8-07.1 [Rescinded] Early intervention individualized family service plan and service delivery.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 5123.0421, 5123.024
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/2015

3701-8-08 Rights and privacy practices.

(A) Program participants have the following rights from the time of program referral throughout participation in home visiting services:

(1) To be informed of rights in the participant's native language, unless clearly not feasible to do so;

(2) To be fully informed of all information relevant to the activity for which written consent is sought before any service begins, to include:

(a) The administration of any assessment or screening tool;

(b) Any disclosure of service, permission, activities, or records to any requesting entity.

(3) To participate or decline to participate in home visiting services at any time and to be informed of how refusal to consent will affect the ability to receive services in the program;

(4) To revoke previously provided consents at any time;

(5) To request to review or receive a copy of the participant's record at any time during program participation and until six years past the date of receipt of payment and to either review the record or receive a copy of the record within ten days;

(6) To receive one electronic or paper copy of each completed family goal plan within ten days of request;

(7) To be fully informed of requests for personally identifiable information, to include purpose and time period of request; and to provide consent, before personally identifiable information would be shared, unless such disclosure is authorized under state and federal law;

(8) To file a complaint with the provider and with the department about program services in accordance with paragraph (B) of this rule.

(B) Providers shall provide printed materials and verbal communication informing every program participant how to file a complaint about the home visiting program, in accordance with this chapter.

(C) When a home visiting program participant files a complaint, the complaint must include the following to be sufficient:

(1) The name, address, and contact information of the program participant who is making the complaint;

(2) Complaint must be in writing and be signed by program participant;

(3) A statement describing how the department or home visiting provider has not met service expectations, or has violated a requirement of this rule;

(4) The facts on which the statement is based;

(5) The name of the home visitor and home visiting provider agency serving program participant at time of complaint;

(6) Complaint(s) must be submitted to the director within a period not to exceed sixty days from the date of the allegation.

(D) When the department receives a sufficient complaint as set forth in paragraph (B) of this rule, the department shall contact the caregiver and explain the options available for dispute resolution. The department shall investigate the complaint at no cost to the program participant. The investigation and a written decision shall be completed by the department within sixty days of receipt of a sufficient complaint.

(E) Providers shall ensure that program participants are informed, in writing, of their rights before consent to participate is sought and at least annually thereafter for the duration of program participation.

(F) Providers shall ensure that program participants provide written consent in every applicable instance related to their services as required in paragraph (A) of this rule.

(G) Except when authorized by state or federal law, providers shall ensure that prior to releasing personally identifiable information to any individual or entity, that written consent is obtained utilizing a form approved by the director, which shall include:

(1) The individual, and when applicable, agency, to whom information will be given;

(2) The type of information that will be given;

(3) The intended purpose for sharing the information;

(4) An expiration date of the consent not to exceed one year; and

(5) A signature and date the form was signed.

Replaces: 3701-8-10, 3701-8- 10.1

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.611, 3701.612
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 9/5/13

3701-8-08.1 [Rescinded] Early intervention payor of last resort eligibility and procedures.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 5123.024, 5123.0421
Prior Effective Dates: 8/8/2005, 7/16/10, 9/3/12, 1/15/15

3701-8-09 Criteria for reimbursement of home visiting services.

(A) Home visiting services shall be reimbursed per the terms and rate set forth in the provider agreement. Minutes of service provided to an eligible individual will be aggregated by covered services in accordance with paragraph (B) of this rule, within each day. The number of units of covered services is the total minutes divided by fifteen plus one additional unit if the remaining number of minutes is at least eight minutes, for each covered service.

(B) Provider shall accept reimbursement for all reimbursable services as payment in full.

Services shall be reimbursed when:

(1) The provider is qualified in accordance with rule 3701-8-03 of the Administrative Code;

(2) The home visitor delivering the service meets requirements for education and training set forth in rule 3701-8-04 of the Administrative Code;

(3) All required data prescribed by the Administrative Code is entered into the statewide data system and approved by the assigned supervisor of the individual delivering the service. The supervisor shall serve concurrently as the billing approver to ensure accuracy and quality of services delivered;

(4) The service for which reimbursement is sought is allowable under paragraph (C) of this rule and are clearly identified in the family goal plan or record.

(C) Reimbursable home visiting services include:

(1) Preparing materials and information for a completed home visit;

(2) Conducting comprehensive assessment, including the administration of approved screening tools, monitoring, and follow-up with families during a home visit, in accordance with timeframes specified within provider agreements;

(3) Developing and managing a family goal plan during home visits, when such goals are related to the program goals;

(4) Department approved parenting education curriculum provided to families during home visits;

(5) Referral and referral follow-up activities facilitated by the assigned home visitor to link families and caregivers to services that address identified goals or needs in the family goal plan or record;

(6) Traveling to and from the visit when the home visit is successfully completed;

(7) Documentation and data entry into the statewide data system.

(D) Providers may be reimbursed up to the department caps set forth in the provider agreement.

(E) Activities not reimbursable for home visiting services include, but are not limited to:

(1) Time spent in training;

(2) Time spent in supervision;

(3) Time spent on activities for a home visit that was not successfully completed;

(4) Time spent on administrative task or duties;

(5) Vacation leave, sick leave or other related benefits.

(F) Documentation for the provision of each service shall be maintained for purposes of supporting payment, delivery of the service, and to provide an audit trail. Documentation shall include:

(1) The activity that was provided;

(2) The date inclusive of day, month, and year that the activity was provided;

(3) The first and last name of the individual for whom the activity was provided;

(4) The duration in minutes or time in and time out of the activity provided; and

(5) The signature or initials of the person delivering the service on each entry of service delivery.

(G) Records necessary to fully disclose the extent of services provided and costs associated with these services shall be maintained for a period of six years from the date of receipt of payment based upon those records or until any initiated audit, review, investigation or other activities are completed and appropriately resolved, whichever is longer. Records shall be made available upon request to the Ohio department of health or designee. Failure to supply requested records, documentation and/or information may result in non-payment for outstanding services or recoupment of funds.

(H) The Ohio department of health, or a designee, may conduct audits, reviews, investigations, or any other activities necessary to assure a home visiting provider, its sub grantee or sub provider are compliant with federal and state requirements. Based on the results of an audit, review, investigation or other activities, the Ohio department of health may seek legal recourse, including but not limited to, recoupment of funding related to over payments, misuse, fraud waste or abuse or noncompliance with federal or state requirements from the home visiting provider.

Replaces: 3701-8- 06.2

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.611, 3701.612
Prior Effective Dates: 9/3/2012

3701-8-10 Central intake and referral system.

(A) Central intake and referral system contractors who enter into contracts, subsidy agreements, or who are awarded grant funds by the department shall be qualified nonprofit entities as defined by the Ohio department of taxation, or government entities who must:

(1) Complete the required application or submit a proposal, as applicable, by the due date set forth in the announcement of available funds;

(2) Complete the process to become a vendor with the state of Ohio;

(3) Provide the services in accordance with the terms of the contract, grant or agreement and rules in this chapter, and to comply with request, expectations and requirements of the department.

(B) Contractor shall designate one individual as the contract manager who is responsible for oversight and monitoring of the required activities of the grant, contract or agreement. Contract manager must have a minimum equivalent of a bachelor's degree in public health, social work, public administration, business, or a field closely related to early childhood, from an accredited college or university. The contract manager shall complete all required training within thirty days of hire.

(C) Contractors shall ensure that individuals utilized for central intake related activities possess a minimum of a high school diploma or GED, and shall complete all required training within thirty days of hire.

(D) Central intake and referral system contractors shall:

(1) Facilitate public awareness and outreach activities designed to engage and inform the public regarding the potential benefits of participating in home visiting and early intervention programs. At a minimum, contractor shall develop and execute a balanced, coordinated child find and outreach plan, consisting of activities designed to connect with families and children eligible for either home visiting and early intervention for the counties of contracted service. Additionally, contractor shall:

(a) Inform potential referral sources on timely identification of and process to refer potentially eligible pregnant women, caregivers of eligible infants and toddlers, including the early identification of infants and toddlers with a disability;

(b) Facilitate or participate in local community events that present the opportunity to promote the potential benefits of both the home visiting and early intervention programs;

(c) Disseminate approved information to possible referral sources, as well as to potentially eligible families, informing them of the potential benefits of home visiting or early intervention programs;

(d) Facilitate other activities that provide the opportunity to collaborate with other early childhood, prenatal and caregiver health and wellness related activities;

(e) Develop and maintain a county-based directory of resources for caregiver- child health, child development, caregiver support, and other appropriate early childhood resources. Directory shall be updated annually, to coincide with the beginning of the state fiscal year, and must be submitted to the department upon request;

(f) As a component of the local directory, contractor shall maintain a home visiting matrix of services which identifies any federal, state, county, or municipal funded home visiting program in the contracted service area, by county of service. At a minimum, matrix must include program name and description, eligibility and enrolment criteria, agency name and contact information.

(2) Provide an initial screening to identify each caregiver member's risk factors and social determinants of health, ultimately formulating a determination of fit for available programing in accordance with section 3701.611 of the Revised Code;

(3) Initiate applicable system, program and/or community referrals based on caregiver needs identified by screening process;

(4) Maintain applicable wait list for home visiting services in each community where contracted to provide services.

(5) Ensure that families residing in the urban and rural communities specified in rules adopted under section 3701.142 of the Revised Code receive priority for home visiting services.

(E) Central intake and referral system contractors must establish and maintain local procedures regarding the facilitation of system and program referrals for both home visiting and early intervention programs in accordance with the following:

(1) Maintain and disseminate telephone numbers that begin with local prefixes, with voicemail capabilities, a fax number, and an email address for the general public to make local inquires and/or referrals;

(2) Collect the minimum information to be considered a system referral;

(3) Ensure all referrals from public children service agencies (PCSA) are facilitated on a form approved by the director, and processed into an applicable program referral within one business day of receipt.

(F) Referral information set forth above shall be entered by the contractor into the department required statewide data system for the central intake and referral system within one business day after the information is received.

(1) Referrals received from a home visiting provider must be completed utilizing a form approved by the director of health and indicate the following:

(a) One successful contact with the caregiver in accordance with this rule;

(b) Completion of initial risk screen; and

(c) Demonstrate caregiver choice in accordance with this rule.

(2) Once a system referral is obtained in accordance with this rule, the contractor shall make contact with the parent or caregiver in accordance with the following:

(a) When a valid phone number or email address has been provided, the contractor shall make a minimum of three different attempts, on different days to call or e-mail the caregiver, until successful contact is made, within fourteen days;

(b) When a caregiver's phone number or email address is not active, in-service or operable, and the system referral contact information provides only a mailing address, the contractor shall send a written correspondence providing information on how to contact the central intake site if interested in services.

(c) If a successful contact has not been achieved after fourteen days with the caregiver since receiving the system referral, or a successful contact results in a caregiver communicating he or she is not interested in services, the contractor shall exit the system referral in the statewide data system.

(d) All contact attempts, successful and unsuccessful, shall be documented into the statewide data system within one business day after the attempt is made.

(3) During the contact with the caregiver, the contractor shall provide information regarding any applicable services for which the caregiver may be eligible for, and obtain the following minimum information:

(a) Whether or not the caregiver is interested in participating in home visiting or early intervention services;

(i) If the caregiver communicates an interest in participating in home visiting or early intervention, the contractor shall then move on with the remaining requirements in this paragraph.

(ii) If the caregiver communicates that he or she is not interested in participating in home visiting or early intervention services, the contractor shall exit the system referral in the statewide data system within one business day, effective the date of communication with the caregiver.

(b) If the caregiver communicates that there is a concern about the child's development, the contractor shall offer the caregiver a referral to an early intervention service coordination contractor and enter the program referral into the statewide data system within one business day.

(c) If the caregiver communicates that they are interested in home visiting services, the contractor shall communicate the recommendation results of the initial risk screen identifying home visiting program that best meets the identified needs of the caregiver. After communicating the results, contractor must offer the caregiver a choice of all applicable home visiting providers, where a choice exists, and make a program referral to the caregiver chosen home visiting provider within one business day into the statewide data system. The program referral to a home visiting provider begins the thirty- day timeline for providers to determine eligibility.

(i) If the caregiver's choice of provider does not have capacity to serve them, contractor must inform the caregiver that they may join the provider's wait list for services, which is maintained by the central intake contractor, or inform the caregiver that they may choose another provider for services, if one is available.

(ii) When age at system referral is used for program referral eligibility, a wait listed status does not impact the eligibility.

(d) Program referrals may be made simultaneously to both home visiting and early intervention services.

(4) Ensure that the system referral is exited and documented as such in the statewide data system for any of the following reasons:

(a) The minimum contact attempts were made without successful contact, in accordance with this chapter;

(b) An early intervention child who is forty-five or fewer days from the child's third birthday. Prior to exiting the system referral, the contractor shall provide information to the caregiver about other community resources available in the county of residence, to include special education preschool at the local education agency;

(c) An individual declines to participate in home visiting or early intervention services.

(5) The contractor shall send a completed referral follow up communication to the referral source when that source is professional in nature.

(6) When a contractor exits a system referral due to loss of contact, the contractor shall send a written correspondence to the last known address or email with the following information:

(a) Details of the attempts which have been made to contact the caregiver;

(b) That this notification is the last contact attempt which central intake will make without further contact from the family;

(c) Information explaining the potential benefits of home visiting and/or early intervention services; and

(d) Contact information for the central intake site should the caregiver choose to reengage.

(7) For families and individuals already in the statewide data system, the following requirements apply:

(a) When the centralized intake contractor is notified that an individual has moved or another circumstance requires that the individual change either home visiting provider or early intervention service coordination contractor, the contractor is responsible for documenting the transfer in the statewide data system;

(b) If an initial risk screening has been completed within the last eighteen months, the contractor will review for changes that may necessitate additional referrals, or a change in determination of fit for home visiting;

(c) Exited records shall be reopened upon any further successful contact or receipt of a new system referral for the family.

Replaces: 3701-8-04

Effective: 7/1/2018
Five Year Review (FYR) Dates: 07/01/2023
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 3701.61 , 3701.612, 3701.611
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012, 1/15/2015

3701-8-10.1 [Rescinded] Procedural safeguards to ensure parent's rights in help me grow.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701-61
Rule Amplifies: 3701-61
Prior Effective Dates: 8/8/2005, 7/16/10, 9/3/2012

3701-8-10.2 [Rescinded] Procedural safeguards to ensure parent's rights in HMG early intervention.

Effective: 7/1/2018
Five Year Review (FYR) Dates: 11/7/2017
Promulgated Under: 119.03
Statutory Authority: 3701.61
Rule Amplifies: 5123.0421, 5123.024
Prior Effective Dates: 8/8/2005, 7/16/2010, 9/3/2012