Chapter 5122-1 | General Provisions

Rule 5122-1-01 | Definitions.

• Effective: June 6, 2011
• Promulgated Under: 111.15

As used throughout these internal management rules, unless the context requires otherwise, the following definitions shall apply:

(A) "Central office" means the executive office of the department in Columbus, Ohio, where the director and his/her staff, including deputy directors, and medical director are located.

(B) "Chief" means an individual who is the principal administrator of an office located within the central office of the department.

(C) "Chief clinical officer" (CCO) means the medical director of a regional psychiatric hospital as defined in division (K) of section 5122.01 of the Revised Code.

(D) "Chief executive officer" (CEO) means an individual who directs and oversees the operation of a regional psychiatric hospital.

(E) "Chief legal counsel" means the person appointed by the director to advise the department in all legal matters.

(F) "Client" means any person who is receiving care and treatment in a regional psychiatric hospital. Client shall have the same meaning as "consumer" and "patient".

(G) "Client rights specialist" means an individual responsible for planning, implementing and coordinating regional psychiatric hospital (RPH) or campus of multi-site RPHs client advocacy programs; representing and assisting persons served who have or are receiving RPH inpatient services, by promoting recovery, mental and emotional well-being, social and economic well-being, protecting and promoting the human and civil rights of persons served; investigating and responding to grievances; and providing client advocacy services as stated in rule 5122-7-02 of the Administrative Code. The client rights specialist reports directly to the chief executive officer (CEO) of the RPH.

(H) "Community support network" (CSN) means community mental health services provided by a regional psychiatric hospital to persons with severe mental illnesses who are living in the community.

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

(J) "Deputy director" means an individual responsible for the management of one of the divisions of the department.

(K) "Director" means the chief administrative official and appointing authority, appointed by the governor, who regulates, guides or directs the overall operation and official business of the department.

(L) "Division" means one of the operations units of the department.

(M) "Guardian" means any person charged by law with power to act for, or responsible for the care and management of the person, estate or both of an individual deemed incompetent or minor.

(N) "Hospital" means any facility/entity delivering hospital/inpatient services.

(O) "Hospital services" (HS) means the ODMH system of regional psychiatric hospitals which provide inpatient and community mental health services.

(P) "The joint commission" (TJC) means the independent, not-for-profit accreditation organization which develops standards for general hospitals, psychiatric hospitals, other healthcare facilities and health-related programs, community mental health agencies, and residential facilities for persons with mental illness.

(Q) "Leadership support team" (LST) means the group of central office employees, comprised of the director, deputy directors, and other individuals identified by the director, responsible for policy, fiscal, and operations review and discussion.

(R) "Medical director to the department" means the physician appointed by the director to advise the department in all matters relating to medical and psychiatric policies and priorities.

(S) "Office" means an organizational branch which is charged with specific duties and is located within the central office of the department.

(T) "Regional psychiatric hospital" (RPH) means a facility operated by the department that provides inpatient care, and may provide community mental health services, and is supported primarily through state appropriations.

(U) "Rule or rules" means any rule adopted, amended, repealed, or rescinded pursuant to the procedures and requirements of Chapter 119. or section 111.15 of the Revised Code.

Supplemental Information

Authorized By: 5119.01
Amplifies: 5119.01
Five Year Review Date:
Prior Effective Dates: 5/8/1990

Rule 5122-1-02 | Notification and consultation with constituencies affected by rules, standards, and guidelines.

• Effective: May 7, 2015
• Promulgated Under: 119.03

(A) Definitions.

(1) "Board" means any board authorized pursuant to Chapter 340. of the Revised Code, such as a board of alcohol, drug addiction, and mental health services; an alcohol and drug addiction services board; or a community mental health board.

(2) "Consultation" means the process described in this rule by which the department seeks information from relevant constituencies prior to the establishment of rules, standards, and guidelines. Such communications may be written or oral, in group or individual meetings, by review of proposals or responses, or other appropriate methods.

(3) "Department " means the Ohio department of mental health and addiction services.

(4) "Guideline" means a written set of principles by which to make a judgment or determine a course of action and which is required to be issued by the department under Chapter 340. or 5119. of the Revised Code.

(5) "Rule" as defined by division (C) of section 119.01 of the Revised Code, means a written statement having a general and uniform operation, adopted under Chapter 119. of the Revised Code, and enforced by the department under the authority of the laws governing the department.

(6) "Standard" means those standards required to be adopted as rules under Chapter 5119. of the Revised Code.

(B) Procedure for adopting rules, standards, and guidelines:

This paragraph sets forth the procedure that shall be used be the department when taking actions with respect to rules, guidelines, or standards.

(1) The department identifies rules, standards, or guidelines in need of either a change (amendment, rescission, or a new rule) or a rule due for the statutorily required five-year review, stakeholders may also propose changes or requests reviews of rules.

(2) The department develops proposals internally. During this development phase the department may consult with clinical roundtables and individual stakeholders, convene public meetings, or create ad-hoc committees.

(3) Upon internal approval of a proposal, the department shall then conduct a notification and consultation period by posting the proposal to the departments draft rules website and notifying stakeholders through the departments "adminrules" email list. The notification and consultation period shall be fourteen calendar days, unless circumstances require a different duration, and stakeholders may provide input for the departments consideration during this period.

(4) If the proposed rules have an adverse impact on business, as defined by section 107.52 of the Revised Code, the notification and consultation period may run concurrently with the review of the rule proposal by the common sense initiative office (CSIO) as warranted by the subject matter of the rule. If the notification and consultation period and the CSIO review run concurrently, the proposal shall be posted to the draft rules website with the business impact analysis (BIA) and the review period shall be a minimum of fifteen business days.

(5) During the notification and consultation period the department may use additional means beyond the email list to gather stakeholder input. The department may meet with individual stakeholders, convene public meetings, hold public hearings, or create ad-hoc committees.

(6) The department shall review all input received during the notification and consultation period, and may change the proposal as warranted.

(7) At the completion of the notification and consultation period, rules that were not submitted to CSIO concurrently with the notification and consultation period and which have an adverse impact shall be submitted for review by the CSIO for a minimum of fifteen business days and the BIA shall be posted to the draft rules website.

(8) Once the proposed rules have passed through the notification and consultation period and the CSIO review, if applicable, the proposed rules may be filed in accordance with either section 111.15 of the Revised Code or section 119.03 of the Revised Code. Public hearings shall be noticed and conducted in accordance with the statutory provisions under which the rules are promulgated.

Proposed guidelines and standards may be adopted as effective at the conclusion of the notification and consultation period. Changes made to rules, guidelines, or standards after the notification and consultation period or the CSIO review do not require another notification and consultation period.

Last updated December 1, 2021 at 10:11 AM

Supplemental Information

Authorized By: 5119.10
Amplifies: 5119.10, 5119.21, 5119.41, 119.03, 111.15
Five Year Review Date: 12/1/2026
Prior Effective Dates: 5/24/1990, 2/17/2012

Rule 5122-1-03 | HIPAA requirements, policies and procedures.

• Effective: January 24, 2011
• Promulgated Under: 111.15

(A) Purpose. The purpose of this rule shall be to establish required policies and procedures for department-wide compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), the American Recovery and Reinvestment Act of 2009 (ARRA), and implementing regulations.

(B) Procedure. All offices, hospitals, including CSN programs, and workforce members of the Ohio department of mental health (ODMH) are directed to follow all applicable mandates found in the "ODMH HIPAA Requirements, Policies, and Procedures Manual" maintained at each regional psychiatric hospital (RPH), at OSS, and in central office.

Failure to comply with this internal management rule and its referenced document, the "ODMH HIPAA Requirements, Policies, and Procedures Manual", may result in disciplinary sanctions as defined in ODMH policy AH-22, "Code of Conduct and General Work Rules", effective January 1, 2010, and as it may be amended.

Supplemental Information

Authorized By: 5119.01
Amplifies: 5122.31
Five Year Review Date:
Prior Effective Dates: 9/30/2002, 12/10/2005

Rule 5122-1-04 | Access to confidential personal information.

• Effective: May 10, 2021
• Promulgated Under: 119.03

(A) The purpose of this rule is to establish the requirements for regulating access to the confidential personal information that is maintained by the Ohio department of mental health and addiction services.

(B) For the purposes of administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(1) "Access" when used in this rule as a noun means an instance of copying, viewing, or otherwise perceiving.

"Access" when used in this rule as a verb means to copy, view, or otherwise perceive.

(2) "Acquisition of a new computer system" means the purchase of a "computer system," as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the department rule addressing requirements in section 1347.15 of the Revised Code.

(3) "Computer system" means a "system," as defined by section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

(4) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the department in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the department confidential.

(5) "Department" means the Ohio department of mental health and addiction services.

(6) "Employee" means each Ohio department of mental health and addiction services employee regardless of whether the employee holds an elected or appointed office or position within the department.

(7) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(8) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.

(9) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.

(10) "Person" means a natural person.

(11) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(12) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.

(13) "Research" means a methodical investigation into a subject.

(14) "Routine" means commonplace, regular, habitual, or ordinary.

(15) "Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the agency for internal administrative and human resource purposes.

(16) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(17) "Upgrade" means a substantial redesign of an existing computer system for the purpose of providing a substantial amount of new application functionality, or application modifications that would involve substantial administrative or fiscal resources to implement, but would not include maintenance, minor updates and patches, or modifications that entail a limited addition of functionality due to changes in business or legal requirements.

(C) Procedures for accessing confidential personal information for personal information systems, whether manual or computer systems.

(1) Personal information systems of the department are managed on a "need-to-know" basis whereby the information owner determines the level of access required for a department employee to fulfill the employee's job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The department shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(2) Individual's request for a list of confidential personal information.

Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the department, the department shall do all of the following:

(a) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(b) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and

(c) If all information relates to an investigation about that individual, inform the individual that the department has no confidential personal information about the individual that is responsive to the individual's request.

(3) Notice of invalid access.

(a) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the department shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the department shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the department may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the department determines that notification would not delay or impede an investigation, the department shall disclose the access to confidential personal information made for an invalid reason to the person.

(b) Notification provided by the department shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(c) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(4) Appointment and duties of a data privacy point of contact.

(a) The director of the department shall designate an employee of the department to serve as the data privacy point of contact.

(b) The data privacy point of contact shall work with the chief privacy officer within the Ohio department of administrative services office of information technology to assist the department with both the implementation of privacy protections for the confidential personal information that the department maintains and compliance with section 1347.15 of the Revised Code and the rules adopted thereunder.

(c) The data privacy point of contact shall ensure the timely completion of the "privacy impact assessment form" developed by the Ohio department of administrative services office of information technology.

(D) Valid reasons for accessing confidential person information.

Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons directly related to the department's exercise of its powers or duties, for which only employees of the department may access confidential personal information regardless of whether the personal information system is a manual system or computer system.

Performing the following functions, as part of the employee's assigned duties on behalf of the department, constitute valid reasons for authorized employees of the department to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of confidential personal information the department maintains on that individual;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty;

(5) Administering an administrative rule provision or duty;

(6) Complying with any state or federal program requirements;

(7) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(8) Auditing purposes;

(9) Licensure or certification processes;

(10) Investigation or law enforcement purposes;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena;

(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(14) Complying with an executive order or policy;

(15) Complying with a department policy or a state administrative policy issued by the Ohio department of administrative services, the office of budget and management or other similar state agency;

(16) Complying with a collective bargaining agreement provision; or

(17) Research in the furtherance of department specific programs in so far as allowed by statute.

(E) The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the department confidential and identify the confidential personal information within the scope of rules promulgated by this department in accordance with section 1347.15 of the Revised Code:

(1) 5 U.S.C. 552a. (social security numbers).

(2) 42 U.S.C. 1320d and 45 C.F.R. parts 160 and 164 (protected health information under the Health Insurance Portability and Accountability Act).

(3) 42 U.S.C. 9501 and 42 U.S.C. 10841 (patient records).

(4) 42 C.F.R. 482.13 (patient records).

(5) 42 C.F.R. Part 2 (confidentiality of alcohol and drug abuse patient records).

(6) 42 U.S.C. 1396a(a) (medicaid records).

(7) Sections 5119.27 and 5119.28 of the Revised Code (confidentiality of records).

(8) Sections 2305.24, 2305.25, 2305.251, 2305.252, 2305.253 and 5122.32 of the Revised Code (quality assurance and peer review records).

(9) Section 5122.31 of the Revised Code (patient certificates, applications, records, and reports).

(10) Section 5122.311 of the Revised Code (notification of bureau of criminal identification and investigation of adjudication of mental illness).

(11) Paragraph (I) of rule 5122-1-31 of the Administrative Code (voter registration of consumers and absentee voting assistance in behavioral healthcare organizations of the integrated behavioral healthcare system).

(12) Paragraph (D)(3) of rule 5122-2-25 of the Administrative Code (morbidity and mortality events).

(13) Paragraph (D)(4)(e) of rule 5122-3-13 of the Administrative Code (incident reports).

(F) Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the department shall do the following:

(1) Access restrictions.

Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(2) Acquisition of a new computer system.

When the department acquires a new computer system that stores, manages or contains confidential personal information, the department shall include a mechanism for recording specific access by employees of the department to confidential personal information in the system.

(3) Upgrading existing computer systems.

When the department modifies an existing computer system that stores, manages or contains confidential personal information, the department shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by department employees to confidential personal information in the system.

(4) Logging requirements regarding confidential personal information in existing department computer systems.

(a) The department shall require department employees who access confidential personal information within computer systems to maintain a log that records their access.

(b) Access to confidential information is not required to be entered into the log under the following circumstances:

(i) The department employee is accessing confidential personal information for official department purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(ii) The department employee is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(iii) The department employee comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(iv) The department employee accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(a) The individual requests confidential personal information about himself/herself

(b) The individual makes a request that the department takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request

(v) For purposes of this paragraph, the department may choose the form or forms of logging, whether in electronic or paper formats.

(5) Log management.

The department shall issue a policy that specifies the following:

(a) Who shall maintain the log;

(b) What information shall be captured in the log;

(c) How the log is to be stored; and

(d) How long information kept in the log is to be retained.

(6) Nothing in this rule limits the department from requiring logging in any circumstance that it deems necessary

Last updated May 10, 2021 at 10:43 AM

Supplemental Information

Authorized By: 1347.15, 5119.10
Amplifies: 1347.01, 1347.05, 1347.15, 5119.01, 5119.10 , 5119.27, 5119.28
Five Year Review Date: 5/10/2026

Rule 5122-1-06 | Research.

• Effective: September 18, 2010
• Promulgated Under: 111.15

(A) The purpose of this rule shall be to establish policies and procedures for the planning, review, administration and coordination of all research projects which are funded by the department, or which utilize patients, staff or records of regional psychiatric hospitals (RPHs) or persons under the managing authority of the department.

(B) The provisions of this rule shall be applicable to all employees of the department and to individuals and organizations carrying out research approved (funded or non-funded) by the department.

(C) The following definitions shall apply to this rule in addition to or in place of those appearing in rule 5122-1-01 of the Administrative Code:

"Applied research" means an original, systematic study designed to answer a specific question, determine why something failed or succeeded, solve a specific pragmatic problem, or to acquire new knowledge and understanding. Applied research has immediate and direct impact on a specific problem.

(D) The department shall institute, encourage and support applied research projects in both communities and RPHs. The projects may include studies of causes, prevention, or treatment of mental illness, and means for enhancing the positive mental health of the citizens of Ohio.

(E) Policy

(1) All research funded by the department shall be reviewed and approved by the office of research and evaluation. Research approved for funding shall be consistent with priorities identified in the department's strategic plan. Depending upon the subject matter of this research, the review process shall also include other individuals such as the department medical director, staff in program offices, and external experts.

(2) All research (funded or non-funded) to be conducted in RPHs under the managing authority of the department, or which involves employees, patients or records of the department, shall be reviewed and approved by the RPH and the office of research and evaluation.

(3) The office of research and evaluation shall be responsible for issuing guidelines for submission of research proposals, and shall periodically distribute the department's research priorities to potential researchers as well as to RPHs and local mental health systems.

(4) The office of program evaluation and research shall specify appropriate procedures for protection of human subjects in research projects, including situations in which written informed consent is required.

(5) The office of research and evaluation shall disseminate reports of findings or outcomes of all funded research projects at the end of each biennium.

(F) Procedure

(1) Applicants for research funding will request approval by submission to the office of research and evaluation of four copies of the research abstract form DMH-RES-617 and four copies of a detailed project proposal. Applicants for no-funds approval will submit two copies of the research abstract form DMH-RES-617 and two copies of a detailed project proposal.

(2) Research proposals which originate from, and are to be carried out at, specific RPHs operated by the department must be approved by the chief executive officer and chief clinical officer of that RPH prior to submission to the office of research and evaluation for review and approval.

(a) These proposals may include:

(i) Those submitted by employees of the department and which utilize clients, staff, or records of the RPH; and

(ii) Those submitted by researchers who are not employees of the department (e.g. university professors, graduate students, etc.), and which utilize clients, staff, or records of the RPH.

(3) Implementation of approved research which does not originate at the RPH, and which utilizes clients, staff, or records of an RPH, will be coordinated by the office of research and evaluation with the chief clinical officer and chief executive officer of the RPH.

(4) All approved researchers shall be bound by applicable laws, rules, policies, guidelines, etc. (including but not necessarily limited to state and federal) concerning confidentiality with regard to information obtained from RPH records, staff interviews, or other data collection methods.

(5) Researchers are required to report the status of the research project to the office of research and evaluation on a quarterly basis. The quarterly report will be submitted within ten days of the end of each quarter.

(6) At the conclusion of a project or the end of a key phase of project, a report of findings must be submitted to the office of research and evaluation and the RPH.

Supplemental Information

Authorized By: 340.09, 5119.01, 5119.06
Amplifies: 340.09, 5119.01, 5119.06
Five Year Review Date:
Prior Effective Dates: 9/24/1998

Rule 5122-1-28 | Industrial and entertainment funds.

• Effective: April 4, 2022
• Promulgated Under: 119.03

(A) This rule is applicable to all employees of the Ohio department of mental health and addiction services regional psychiatric hospitals (RPHs).

(B) Process

(1) The chief executive officer of each RPH will take the necessary action to ensure that an industrial and entertainment fund is established.

(2) All monies received by an RPH that are designated for entertainment and benefit of the patients, including profits from the commissary fund operations, will be deposited in the industrial and entertainment fund and be used only for the entertainment and benefit of patients.

(3) All monies donated to a hospital that are ear-marked for a specific patient purpose will be deposited in a subsidiary account of the industrial and entertainment fund and be included in the total balance of the fund.

(C) Income

Income for the industrial and entertainment fund will be derived from, but not be limited to, the following sources:

(1) Donations;

(2) Vending machine commissions;

(3) Monies from occupational or activity therapy projects financed by industrial and entertainment funds;

(4) Confiscated monies;

(5) Telephone commissions from telephone calls by patients;

(6) Interest income;

(7) Funds transferred under the provisions of section 5119.56 of the Revised Code; and

(8) Profits generated by hospital commissaries in accordance with division (B) of section 5119.52 of the Revised Code.

(D) Disbursements

Disbursements may be made from the industrial and entertainment fund only for items that exclusively benefit patients and for which no appropriated or patient funds are available. Disbursements will be controlled and documented by a voucher system and supported by a verified roster of the patients served. Industrial and entertainment fund disbursements may be utilized for, but not limited to, the following items or activities:

(1) Recreation and entertainment;

(2) Recreation and entertainment supplies, equipment, and maintenance and repair of same;

(3) Holiday decorations;

(4) Books, magazines, newspapers, and other library supplies;

(5) Movie or game purchases and rentals;

(6) Chapel expenses;

(7) Bus rentals and bus fares;

(8) Occupational or activity therapy supplies; and

(9) Benefit clients of the community support network.

(E) Other disbursements

Disbursements in the amount of one thousand dollars or less may be made with the approval of the chief executive officer or the chief executive officer's designee. Expenditures in excess of one thousand dollars will have prior approval from central office. Approval will be secured in advance by submitting a request for approval to purchase form DMHAS-0205 as follows:

(1) The form will be prepared by the requesting RPH, numbered consecutively within each fiscal year, and signed by the chief executive officer.

(2) The form, accompanied by at least three letterhead bids, will be forwarded to the deputy director of hospital services for approval. A vendor's refusal to bid is acceptable as a bid.

(3) Items to be purchased from state term contracts or Ohio penal industries do not require bids.

(4) Upon central office approval, the copy of the certificate of approval will be returned to the initiating RPH. The original copy of the certificate will be retained by the RPH according to the department retention schedule.

Last updated April 4, 2022 at 8:49 AM

Supplemental Information

Authorized By: R.C. 5119.52
Amplifies: R.C. 5119.52
Five Year Review Date: 4/4/2027
Prior Effective Dates: 7/27/1990, 7/2/2015

Rule 5122-1-29 | Operation of regional psychiatric hospital commissaries.

• Effective: April 4, 2022
• Promulgated Under: 119.03

(A) The purpose of this rule is to establish procedures for the funding and operation of regional psychiatric hospital (RPH) commissaries under the managing responsibility of the Ohio department of mental health and addiction services, division of hospital services.

(B) The provisions of this rule apply to all RPHs.

(C) Process

(1) An RPH may create and maintain commissaries for the benefit of the patients. Upon receipt of central office approval, an RPH may transfer funds from the industrial and entertainment fund to establish a commissary operation.

(2) Hours of operation of commissaries will be established by the chief executive officer of the RPH as justified by sales records and dictated by the availability of employees designated and instructed in the workings of the commissary operation.

(3) The salaries or wages of all commissary employees, including assigned patient workers, will be paid from appropriated funds. A state employee must be accountable for the day-to-day operation of the commissary. All volunteers are to be covered by a fidelity bond.

(4) The recording of transactions of the commissaries will be directly supervised by the business office of each RPH and will be subject to audit by central office, and the auditor of state.

(D) Operation

(1) A cash register will be used to record all cash sales at the time of transaction. In addition to use of a cash register, accounting software may be used to track transactions.

(2) The commissary cash journal will be used to substantiate all charge sales. Fund transfers for all non-cash sales will be made within one day of the actual transactions.

(3) All deliveries will be checked and verified in the presence of the delivery person. A receiving document will be written to substantiate the delivery.

(4) Commissary invoices will be extended by commissary personnel and verified by business office personnel before figures are entered into the commissary ledger. The retail value and cash over/short columns will be completed. A-2 forms will be completed daily and turned into the business office monthly for approval and storage. All other generally accepted accounting practices will be implemented in maintaining proper financial records.

(5) Commissary revenue over and above operating costs will be considered profits. Commissary prices will be established locally at the lowest possible level which will generate a controlled net profit range of five per cent to fifteen per cent. All profits from commissary operations except those funds needed for equipment will be paid into the industrial and entertainment fund of the hospital to be used to benefit the patients. Profits will be transferred at regular intervals in like amounts to establish transfer patterns. Profits needed for replacement of equipment which would exceed normal maintenance costs may be held in reserve to a maximum time limit of six months, at which time the reserved amount shall either be utilized for the intended purpose or transferred to the industrial and entertainment fund. Once profits are transferred, there will be no rescission.

(6) Apparent merchandise shrinkage will be maintained at a level of not more than two per cent based on total charges for a one year audit period.

(7) No employee will gain personally from the operation of the commissary. There will be no wholesale transactions or personal items purchased through commissary vendors.

(8) Items for sale in or for operation of commissaries may be purchased from requisite purchase programs specified in Ohio administrative policy PM-01 (including the department's Ohio pharmacy services office) or from local suppliers. Before seeking bids from local suppliers, the business office of the RPH will determine whether the needed items are available from requisite purchase programs.

(9) Items purchased from local suppliers will be obtained at the lowest prices available and bidding for such items will occur at least annually using formal procedures. It is the responsibility of the business office to provide periodic checks for competitive prices from vendors.

(10) Disbursements in the amount of one thousand dollars or less may be made with the approval of the chief executive officer or designee. Equipment purchases or any expenditure in excess of one thousand dollars (other than items for resale) will have prior approval from central office. Approval will be secured in advance by submitting a request for approval to purchase form DMHAS-0205 as follows:

(a) The form will be prepared by the requesting RPH, numbered consecutively within each fiscal year, and signed by the chief executive officer.

(b) The form will be forwarded to the deputy director of hospital services for approval. With the form, the requesting RPH will verify that requisite purchase programs were reviewed to determine whether the needed items are available from those programs. If the items are unavailable from those programs, the form will also be accompanied by at least three letterhead bids.

(c) Upon central office approval, the copy of the approved request will be returned to the initiating RPH. The approved request will be retained by the RPH according to the department retention schedule.

(11) Appropriate expenditures to be paid from the commissary fund will include but not be limited to:

(a) All merchandise for resale;

(b) Overhead supplies, overhead foods, and raw foods;

(c) Equipment;

(d) Repair and maintenance of equipment;

(e) Commissary sales taxes (state and local);

(f) Licenses (food service, etc.); and

(g) Check printing charges.

(12) The commissary area will be maintained in clean, neat, and orderly conditions at all times. The cost of building repair and maintenance will be the responsibility of the RPH.

Last updated April 4, 2022 at 8:49 AM

Supplemental Information

Authorized By: R.C. 5119.36
Amplifies: R.C. 5119.36
Five Year Review Date: 4/4/2027
Prior Effective Dates: 12/17/1979, 7/1/1980

Rule 5122-1-31 | Voter registration of consumers and absentee voting assistance in regional psychiatric hospitals.

• Effective: April 9, 2013
• Promulgated Under: 111.15

(A) The purpose of this rule shall be to establish a policy and to set forth procedures for the implementation of voter registration and absentee voting in all regional psychiatric hospitals (RPH) operated by the Ohio department of mental health (ODMH).

(B) The provisions of this rule shall be applicable to all RPHs providing mental health services operated by ODMH.

(C) The following definitions shall apply to this rule in addition to or in place of those appearing in rule 5122-1-01 of the Administrative Code.

(1) "Consumer" means any person receiving services or applying for admission to an RPH.

(2) "Persons qualified to register to vote" means any person over eighteen years of age and any person seventeen years of age who is within six months of his/her eighteenth birthday who has not been specifically adjudicated incompetent for voting purposes.

(D) The following services shall be made available to all consumers with every application for RPH services:

(1) Provide a consumer with a state voter registration application, absentee ballot application, and notice of rights form if requested by the individual;

(2) Assist a consumer in completing the voter registration or absentee ballot application form, if requested. Each consumer who requests assistance shall be provided the same degree of assistance with completion of the forms as is provided with the completion of any other form for which help is given;

(3) Provide all consumers with notification of all elections along with an absentee ballot form if requested by the individual;

(4) Accept completed voter registration and absentee ballot application forms regardless of whether the application was distributed by the RPH or other entities for transmittal to the appropriate local county board of election; and

(5) Advise consumers that they may mail or otherwise transmit completed voter registrations to the appropriate local county board of elections.

(6) Work with the local board of elections to assist consumers in completing absentee ballots, upon request.

(E) Voter registration and absentee ballot applications and assistance shall be made available to RPH consumers in alternative locations wherever applications, re-applications, and address changes are taken. An example of an alternative location would be an independent residence.

(F) The RPH shall not:

(1) Seek to influence a consumer's political preference or party registration;

(2) Display any political preference or party allegiance;

(3) Make any statement to a consumer or take any action, the purpose or effect of which is to discourage the consumer from registering to vote; or

(4) Make any statement to a consumer or take any action, the purpose or effect of which is to lead the person to believe that a decision to register or not to register has any bearing on the availability of services or benefits.

Information relating to a declination to register to vote may not be used for any purpose other than voter registration.

(G) The RPH shall establish an internal procedure for collection of all voter registration and absentee ballot application forms. The internal procedure shall include the selection of a designated individual at each RPH to serve as coordinator(s) for all activities related to absentee voting and voter registration.

The coordinator shall have the following responsibilities:

(1) Collect all voter registration forms and absentee ballot applications;

(2) Transmit voter registration forms and absentee ballot applications to the local county boards of election;

(3) Advise consumers that they may mail or otherwise transmit completed voter registration forms and absentee ballot applications to the appropriate local county board of elections;

(4) Train new RPH employees who will be assisting consumers in completing voter registration and absentee ballot applications;

(5) Maintain an adequate supply of voter registration and absentee ballot applications, and notice of rights forms at the RPH;

(6) Monitor voter registration and absentee voting activities; and

(7) Resolve questions and problems that arise, in coordination with state or county election officials.

(H) The RPH, with the assistance of the local county board of election shall establish procedures by which voter registration applications shall be transmitted. Transmission of completed voter registration forms shall occur no later than five working days after the date of receipt by the RPH. The voter registration transmission form shall be used for this purpose.

(I) The identity of the RPH from which voter registration and absentee ballot application forms are received shall remain confidential except as required by the secretary of state and county board of elections for record-keeping purposes.

(J) Completed voter registration forms and absentee ballot applications may be returned to any RPH in person or through another person. When voter registration applications or absentee ballots are accepted, these shall be collected and transmitted through procedures established with the local county boards of election.

Supplemental Information

Authorized By: 111.15
Amplifies: 3501.05, 5122.301
Five Year Review Date:
Prior Effective Dates: 12/10/2005