Records and information requests.
Ch. DHS 82 Note
Note: Chapter HSS 82 was created an emergency rule effective May 1, 1988.
Ch. DHS 82 Note
Chapter HSS 82 was renumbered ch. HFS 82 under s. 13.93 (2m) (b) 1., Stats., and corrections made under s. 13.93 (2m) (b) 6. and 7., Stats., Register, August, 2000, No. 536
. Chapter HFS 82 was renumbered to chapter DHS 82 under s. 13.92 (4) (b) 1., Stats., and corrections made under s. 13.92 (4) (b) 7., Stats., Register November 2008 No. 635
Authority and purpose.
This chapter is promulgated under the authority of s. 50.02 (2) (am) 1.
, Stats., to establish certification standards for the operation of adult family homes in order to protect and promote the health, safety and welfare of persons residing in and receiving care and maintenance in these homes.
This chapter applies to the department, county certifying agencies and contracted certifying agencies and adult family home sponsors and substitute providers.
DHS 82.01 History
Cr. Register, December, 1989, No. 408
, eff. 1-1-90; emerg. am. (1), eff. 6-1-95; am. (1), Register, January, 1996, No. 481
, eff. 2-1-96.
In this chapter:
Activities relating to the performance of self care and engaging in leisure or recreational activities. "Self care" includes dressing, eating, bathing, grooming, toileting, mobility, object manipulation, ambulation and rest;
Activities relating to home and household management, including preparing meals, shopping and chores, personal housekeeping, using the telephone, managing one's personal finances, and health care activities including taking medicine, applying or changing dressings and using a medical device; and
Activities involving movement about in one's community, for purposes that include accessing and participating in vocational, recreational and social activities in the community with other members of the community.
"Adult family home" or "home" means a private residence in which care and maintenance above the level of room and board, but not including nursing care provided by the sponsor, are provided to developmentally disabled adults by a person whose primary domicile is that residence, provided that both of the following conditions apply:
The residence was licensed under s. 48.62
, Stats., and ch. DCF 56
as a foster home and all current adult residents resided in the residence at least 12 months before they reached 18 years of age or replaced former adult residents who resided in the residence sometime during the previous 12 months and who left the residence on a permanent basis; and
There are 3 or 4 developmentally disabled residents, or more than 4 if all are siblings, or the sponsor is currently licensed as a foster home for children and there is a combined total of no more than 4 developmentally disabled adults and children residing there, or more than 4 if all adults or all children are siblings.
"Certifying agency" means a county agency that elects to certify adult family homes located in the county or an agent of a county agency who does not also place residents in any type of residential placement or facility or provide placement assistance services and who is authorized by a county agency to certify adult family homes located in the county, or the department in a county where no county agency has elected to certify adult family homes or to designate an agent to certify adult family homes.
"County agency" means a county department of social services established under s. 46.215
, Stats., a county department of human services established under s. 46.23
, Stats., a county department of community programs established under s. 51.42
, Stats., or a county department of developmental disabilities services established under s. 51.437
"Department" means the Wisconsin department of health services.
"Household member" means any person living in an adult family home, including any resident. "Household" means all household members.
"Nursing care" means services and procedures provided by a registered nurse licensed under ch. 441, Stats.
, or which require the direct supervision of a registered nurse licensed under ch. 441, Stats.
"Permanent basis" means that a resident of an adult family home has attained 18 years of age, has physically moved himself or herself and his or her possessions out of the home, has established a new residence where he or she intends to remain and has been terminated from the adult family home by the sponsor under s. DHS 82.08
"Private residence" or "residence" means a house or apartment rented or owned by the sponsor, lived in by the sponsor and not used by the sponsor or anyone else for any business purpose which regularly brings customers to the home so that the residents' use of the home as their residence or the residents' privacy is adversely affected.
"Referring agency" means the agency responsible for placing a resident in an adult family home.
"Resident" means a person who resides in the home and receives care and maintenance provided by the sponsor or substitute provider.
"Service coordinator" means the person who has primary responsibility for arranging, coordinating, managing and monitoring the care and services needed by a resident, including services provided outside of the adult family home.
"Sponsor" means the person certified to operate an adult family home who is responsible for the home, whose primary domicile is the home and who provides care and maintenance to residents of the home.
"Substitute provider" means a person designated by the sponsor to operate and take full responsibility for the adult family home when the sponsor is temporarily absent and cannot provide services or needed supervision.
"Voluntary" means according to a resident's free choice if the resident is competent, or by choice of the resident's guardian if the resident is under guardianship.
DHS 82.02 History
Cr. Register, December, 1989, No. 408
, eff. 1-1-90; correction in (2) (a) made under s. 13.93 (2m) (b) 7., Stats., Register December 2004 No. 588
; corrections in (2) (a) and (5) made under s. 13.92 (4) (b) 6. and 7., Stats., Register November 2008 No. 635
No person may operate an adult family home unless a certifying agency certifies that the home is in compliance with all requirements of s. 50.032
, Stats., and this chapter.
Application for certification shall be made on a department-approved form provided by the certifying agency. The application form shall be signed by the applicant.
DHS 82.03 Note
Note: To obtain a copy of the application form, contact the certifying agency in the county in which the prospective family home is located or write or call: Resident Care Review Section, Bureau of Quality Assurance, Division of Disability and Elder Services, P.O. Box 2969, Madison, WI 53701-0309; (608) 266-8481.
No applicant previously denied certification or whose certificate was revoked may reapply for certification within 2 years after the effective date of the notice of denial or revocation unless the applicant documents to the satisfaction of the certifying agency that the condition which caused the denial or revocation has been corrected.
Before an applicant for an initial certificate may be certified to operate an adult family home, the applicant shall submit an application form and any other documentation required by this chapter or requested by the certifying agency to determine whether the applicant complies with this chapter.
(3) Approval process.
The certifying agency shall review the application and supporting documents, interview the applicant and conduct an on-site visit of the home to determine if the requirements for certification set out in this chapter are met. If the requirements for certification set out in this chapter are met, the certifying agency shall issue a certificate of approval to the applicant for the home and shall inform the department that it has issued the certification of approval. If the requirements for certification are not met and, therefore, the certifying agency does not issue a certificate of approval, the applicant and each resident's service coordinator shall be given notice of the decision not to certify the home. The notice to the applicant shall clearly and concisely state the reasons for not approving the application and shall inform the applicant of the opportunity for an administrative review under sub. (7)
of the non-approval decision. The certifying agency shall issue the certificate of approval or the notice of denial within 60 days after having received a complete application, all supporting documents and following the on-site visit.
An adult family home certification is valid indefinitely unless suspended or revoked.
Every 12 months, on a schedule determined by the department, a certified adult family home shall submit an annual report to the certifying agency in the form and containing the information that the department requires. If a complete annual report is not timely filed, the certifying agency shall issue a warning to the sponsor of the certified adult family home. If a certified adult family home that has not filed a timely report fails to submit a complete report to the certifying agency within 60 days after the date established under the schedule determined by the department, the certifying agency may decertify the adult family home.
The sponsor shall report to the certifying agency any of the following changes within 7 days after it occurs and the certifying agency may require an application for recertification:
A substantive change in the type or amount of services the sponsor offers to provide if the change adversely affects any resident who needs the service;
A change in the sponsor's or substitute provider's legal status because he or she has been charged with or convicted of any crime which is substantially related to caring for dependent persons.
Certification is not transferable to another sponsor or to another private residence.
The certifying agency may, without notice to the sponsor, visit the home at any time during the period of certification to evaluate the status of resident health, safety or welfare or to determine if the sponsor continues to comply with this chapter. The sponsor shall provide the certification agency access to the home.
The certifying agency may request fire, health, sanitation or safety officials to inspect the home and premises to assist in evaluating the safety of the home.
(5) Exceptions to certification standards.
The certifying agency may grant an exception to any requirement in this chapter except a resident right under s. DHS 82.10
if the sponsor requests the exception in writing and presents a convincing argument that the proposed exception will not jeopardize the health, safety or welfare of residents or violate the rights of residents. The certifying agency shall respond in writing to a request for an exception and shall send the department a copy of the request and its response. An exception may be granted only when strict enforcement would result in hardship for the sponsor, if the exception does not adversely affect the ability of the sponsor or the home to meet the resident's needs and if the exception will not jeopardize the health, safety or welfare of residents or violate the rights of residents. Pursuant to the authority granted to the department in s. 50.02 (1)
, Stats., the department may, within 45 days following receipt of a certifying agency's affirmative response to a request for exception, reverse or modify the exception. The department shall give written notice to the certifying agency and the sponsor of its decision to reverse or modify the certifying agency's decision to grant the exception. Any exception cited in the approval may remain in effect for no longer than one year from the date of approval at which time the certifying agency shall determine if there is continued justification for the exception. The certifying agency may impose conditions or time limitations on an exception. Violation of the conditions under which the exception is granted constitutes a violation of these rules.
The certifying agency, after giving written notice to the sponsor, may decertify an adult family home if the certifying agency finds that the sponsor has substantially and intentionally violated or does not comply with s. 50.032
, Stats., or any provision of this chapter.
The notice under par. (a)
shall include a clear and concise statement of the basis for decertification, including the specific requirements that have not been met or which have been violated and a notice of the opportunity for an administrative review under sub. (7)
of the decertification decision.
(7) Administrative review.
If an applicant or sponsor desires to contest a decision not to certify a home under sub. (3)
or to decertify a home under sub. (6)
, the applicant or sponsor shall, within 15 calendar days after the date of the notice of the decision, submit to the certifying agency a written request for an administrative review of the decision. The request shall include the applicant's or sponsor's reason why he or she disagrees with the action. The administrator of the certifying agency or his or her designee shall review the facts and send a written decision to the applicant or sponsor and, if the certifying agency is not the department, to the department, within 30 calendar days after receipt of the request for review. If the certifying agency is not the department, the applicant or sponsor may, within 15 calendar days after the date of the certifying agency's decision, submit to the department a written request for an administrative review of the applicant or sponsor's original request and the certifying agency's decision. The department shall review the facts and send a written decision to the applicant or sponsor and to the certifying agency within 45 calendar days after the receipt of the request for review. The department's decision shall be final.
DHS 82.03 History
Cr. Register, December, 1989, No. 408
, eff. 1-1-90; am. (2) (a), (7), r. and recr. (4) (a) and (b), Register, August, 2000, No. 536
, eff. 9-1-00.
Age and ability.
The sponsor and every substitute provider shall be at least 18 years of age and shall be physically, emotionally and mentally capable of providing responsible adult family home care.
(2) Personal qualifications.
The sponsor and any substitute provider shall be persons who are responsible, mature and of reputable character, who exercise sound judgment and display the capacity to successfully care for developmentally disabled adults. An applicant for certification or a sponsor requesting renewal of certification shall provide any information requested by the certifying agency to assist in evaluating the applicant's, sponsor's or substitute provider's character and qualifications. In assessing character and qualifications, the certifying agency may consider evidence of abuse or fraud, substantial or repeated violations of applicable or related statutes and rules in the applicant's, sponsor's or substitute provider's operation of or employment in any care facility or service agency, or in the applicant's, sponsor's or substitute provider's care of dependent persons, and conviction within the previous 5 years of a crime substantially related to caring for a dependent population.
(3) Financial security.
The sponsor shall present evidence of having or having access to sufficient financial reserves to meet the needs of all residents and of all members of the household for whom the sponsor is financially responsible and to ensure the adequate functioning of the home for a period of at least 30 days without receiving payment for the care of any resident.
The sponsor and any substitute provider shall be in good health. Each applicant for initial certification or for recertification shall submit a statement from a physician certifying that a physical examination was completed and that the applicant does not have an illness or condition that would threaten the health, safety or welfare of residents or interfere with the person's capacity to provide care. The statement from a physician may not be dated more than 2 years prior to the date of the application. A statement from a physician which is contained in the applicant's children's foster home records and released by the applicant to the certifying agency may be substituted for the statement required in this paragraph.
If the certifying agency suspects or has reason to believe that the applicant, sponsor, substitute provider or other household member may pose a threat to the health, safety or welfare of residents, the certifying agency may require a physical examination, an alcohol or drug abuse assessment or a mental health evaluation of the person as a condition of initial or continued certification.
(5) Vehicle liability insurance.
An applicant or sponsor who plans to transport residents in his or her vehicle shall provide the certifying agency with documentation of current automobile liability insurance coverage. The sponsor shall maintain that coverage in force.
Except as provided in pars. (c)
, the sponsor shall be enrolled in or have completed 8 hours of department-approved training related to the health, safety, welfare, rights and treatment of developmentally disabled residents during the first year after initial certification.
Except as provided in pars. (c)
, the sponsor shall be enrolled in or have completed 12 hours of department-approved training related to health, safety, welfare, rights and treatment of developmentally disabled residents every 2 years beginning with the second year of certification.
The certifying agency may require the sponsor to obtain training in amounts that exceed the minimum amounts required in pars. (a)
and on particular topics that ensure that the sponsor is capable of protecting and promoting resident health, safety and welfare.
The certifying agency may approve alternatives to the training requirements in pars. (a)
if the sponsor requests a waiver and the certifying agency determines that:
The person has successfully completed substantially similar or related training;
The person has successfully completed course work or an academic degree program related to the care, maintenance and treatment of developmentally disabled persons or other persons in need of care, maintenance or treatment; or
The person has acquired substantial and up-to-date knowledge concerning care, maintenance and treatment and health, safety, welfare and rights of persons with developmental disabilities through prior experience as a care provider in licensed or certified programs which are substantially similar to adult family homes.
DHS 82.04 History
Cr. Register, December, 1989, No. 408
, eff. 1-1-90; am. (4) (b) and (5), Register, August, 2000, No. 536
, eff. 9-1-00.
Location and access to the community.
Adult family homes shall be physically located so that residents can easily get to community activities and supportive services by walking or by means of convenient private or public transportation, or the sponsor shall ensure that residents receive the assistance necessary to enable them to get to these activities and services.
(2) Resident access to the home and within the home.
The adult family home shall be physically accessible to all residents of the home. Residents shall be able to easily enter and exit the home, to get to their sleeping rooms and to all common living areas in the home and to easily move about in the home.
The adult family home shall be safe, clean and well maintained and shall provide a humane and homelike environment.
The home shall be free from hazards and kept uncluttered and free of dangerous substances, insects and rodents.
The home shall have adequate, safe and functioning heating, hot and cold water, fire protection, electrical, plumbing, sewerage and lighting systems.
The home shall have adequate and functioning support services, including refuse removal and access to laundry facilities.
The home shall have adequate ventilation. There shall be at least one window which is capable of being opened to the outside in each resident sleeping room and each common room used by residents. Windows used for ventilation shall be screened during appropriate seasons of the year.
The home shall have sufficient space to accommodate all household activities and members comfortably as follows:
There shall be distinct living and sleeping areas separated by permanent solid walls;
There shall be at least one bathroom with at least one sink, stool and shower or tub for every 8 household members and sufficient towel rack space for each household member. The door of each bathroom shall have a lock which can be opened from the outside in an emergency;
A resident's bedroom shall provide comfort and privacy, shall have a swing door or a pocket door which is stored in a wall when opened, and may accommodate no more than 2 persons. No residents may regularly sleep in a basement bedroom or in a bedroom above the second floor of a single family dwelling unless there are 2 exits to the grade from that floor level. The bedroom shall have a floor area of at least 60 square feet per occupant. An exception under s. DHS 82.03 (5)
to this standard is not permitted unless all of the following apply:
The resident occupied the space for which the exception is requested when the home was licensed under s. 48.62
, Stats., and ch. DCF 56
There is no alternative space in the home that meets these requirements and the exception is necessary to retain the resident's placement;
Any adult resident for whom the exception is requested has not replaced a former resident on a permanent basis;