Ohio Adm.Code 173 | Ohio Administrative Code 173 — Department of Aging

Chapter 173-1 General Provisions

Ohio Adm.Code 173-1-01 Public meetings, public hearings, and public comments.

Any person may learn the time and place of any public meeting held by the Ohio department of aging (ODA) and any public comment period and public hearing on ODA administrative rules by any of the following methods:

(A) View the notice on https://aging.ohio.gov/news-and-events for public meetings or https://aging.ohio.gov/rule-development for rules.

(B) Subscribe to receive email notices of news and events for public meetings or rules on https://aging.ohio.gov/subscribe.

Last updated November 1, 2022 at 12:22 PM

History

Effective: November 1, 2022
Promulgated Under: 119.03

Chapter 173-2 Area Agency on Aging (AAA)

Ohio Adm.Code 173-2-01 AAAs: introduction and definitions.

(A) Introduction: This chapter governs planning and service area designations and changes to designations; an intrastate funding formula; AGE's area agency on aging designations and changes to designations; area plans; monitoring and corrective actions; and withdrawal of an AAA designation.

(B) Definitions for this chapter and Chapters 173-3 and 173-4 of the Administrative Code:

"AAA-provider agreement" (agreement) means a contract or grant agreement between an AAA and a provider for the provision of services to consumers.

"Activities of daily living" (ADLs) has the same meaning as in rule 5160-3-05 of the Administrative Code.

"AGE" means the Ohio department of aging.

"Agency provider" means a provider hiring persons to provide services to consumers.

"Area agency on aging" (AAA) means an entity that AGE designates as an area agency on aging under section 173.011 of the Revised Code and 45 C.F.R. 1321.19.

"Assessment" means a gathering of information about a person's strengths, problems, financial resources, and care needs in the following major functional areas: physical health, use of medical care, ADLs, IADLs, mental and social functioning, physical environment, and use of services and supports.

"Assistance with self-administration of medication" has the same meaning as in paragraph (C) of rule 4723-13-02 of the Administrative Code when an unlicensed person provides the assistance.

"Business day" means any day that is not a Saturday, Sunday, or legal holiday in section 1.14 of the Revised Code.

"Caregiver" and "family caregiver" have the same meaning as "family caregiver" in 42 U.S.C. 3022.

"Case management" has the same meaning as "case management service" in 42 U.S.C. 3002.

"Competency evaluation" includes both standardized testing (which may include written testing) and skills testing by return demonstration to ensure an applicant or employee is able to address the care needs of the consumer to be served.

"Congregate dining project" means a nutrition project that complies with rule 173-4-05.1 of the Administrative Code.

"Congregate dining project based in restaurants and supermarkets" means a nutrition project that complies with rule 173-4-05.3 of the Administrative Code.

"Consumer" means, for the purposes of services paid for, in whole or in part, with Older Americans Act funds, any person sixty years of age or older, unless a different age is required by a state or federal law.

"Contract" has the same meaning as "AAA-provider agreement," unless the context clearly indicates otherwise.

"Coordination" means the development and implementation of an integrated service delivery system to ensure appropriate care, service levels, and continuity for consumers. This includes integration with other federal, state, and local programs and services to promote synchronization of planning, policy development, priority setting, and evaluation of activities related to the objectives of the Older Americans Act without, to the extent possible, duplicating services and/or compromising the consumer's goals and objectives.

"Day" means a twenty-four-hour period beginning and ending at midnight.

"Dietary Guidelines for Americans" means the version of the dietary guidelines in effect on a day of service as published by the United States departments of agriculture and health and human services on https://www.dietaryguidelines.gov/.

"Dietitian" and "licensed dietitian" mean a person with a current, valid license to practice dietetics under section 4759.06 of the Revised Code or an unencumbered license from another state with compact privilege under section 4759.30 of the Revised Code.

"Electronic record" has the same meaning as in section 1306.01 of the Revised Code. For a health care record, "electronic record" has the same meaning as in section 3701.75 of the Revised Code.

"Electronic signature" has the same meaning as in section 1306.01 of the Revised Code. If attached to, or associated with, a health care record, "electronic signature" has the same meaning as in section 3701.75 of the Revised Code.

"Greatest economic need" has the same meaning as in 42 U.S.C. 3002 and 45 C.F.R. 1321.3.

"Greatest social need" has the same meaning as in 42 U.S.C. 3002 and 45 C.F.R. 1321.3.

"Groceries" mean foods for a household to eat, such as breads and cereals; fruits and vegetables; meats, fish, and poultry; and dairy products.

"Grocery store" has the same meaning as "retail food establishment" in rule 3717-1-01 of the Administrative Code.

"Health care record" has the same meaning as in section 3701.75 of the Revised Code. Examples of a health care record are a plan of treatment or diet order received from a licensed healthcare professional.

"Home-delivered meals project" means a nutrition project that complies with rule 173-4-05.2 of the Administrative Code.

"Incident" means an event that is inconsistent with the routine care or routine provision of services to a consumer. An incident may involve a consumer, caregiver (to the extent it impacts a consumer), provider, provider's staff or facility, another facility, an AAA's staff, AGE's staff, or other administrative authorities. Examples of an incident are abuse, neglect, abandonment, an accident, or an unusual situation resulting in an injury to a person or damage to the person's property or equipment.

"Instrumental activities of daily living" (IADLs) means preparing meals, shopping for personal items, medication management, managing money, using the telephone, doing heavy housework, doing light housework, and the ability to get and use available transportation without assistance.

"Licensed healthcare professional" includes a physician with an "expedited license," as defined in section 4731.11 of the Revised Code; or a licensed audiologist, occupational therapist, occupational therapy assistant, physical therapist, physical therapy assistant, or speech-language pathologist from another state with "compact privilege," as defined in section 4753.17, 4755.14, or 4755.57 of the Revised Code. "Licensed healthcare professional" also includes an RN or LPN with a "multistate license" from another state with "multistate licensure privilege," as those terms are defined in section 4723.11 of the Revised Code.

"Licensed practical nurse" (LPN) has the same meaning as in divisions (E) and (F) of section 4723.01 of the Revised Code. "Licensed practical nurse" also includes a licensed practical nurse with a "multistate license" from another state with "multistate licensure privilege," as those terms are defined in section 4723.11 of the Revised Code.

"Limited basis" in context of a Title III-E supplemental service means the extent to which a service compliments a family caregiver's care. "Limited basis" means that the services are not universally available or provided continuously. Services are typically provided to address a specific, temporary need or gap in the caregiving situation.

"Nutrition project" means a congregate dining project, home-delivered meals project, or a congregate dining project based in restaurants and supermarkets. Under 45 C.F.R. 1321.87(b), a nutrition project also considers the availability of resources and the community's need for nutrition services described in state and area plans.

"ODA" means "the Ohio department of aging."

"Older Americans Act" means 42 U.S.C. Chapter 35.

"Older Americans Act funds" means the federal funds awarded to AGE through Title III of the Older Americans Act (42 U.S.C. Chapter 35, Subchapter III) and any state or local funds used to match those federal funds, regardless of whether the local funds are public or private funds. For the purposes of this chapter and Chapter 173-4 of the Administrative Code, "Older Americans Act funds" does not mean funds for an ombudsman program.

"Older Americans Act nutrition program" means the program created under 42 U.S.C. 3030d-21 to 3030g-23 (2020).

"Older relative caregiver" has the same meaning as in 42 U.S.C. 3030s.

"Participant-directed provider " means a provider (e.g., relative, friend, neighbor, or other person) a consumer hired and directs to provide services to the consumer.

"PCA" means "personal care aide."

"Planning and service area" (PSA) means a multi-county region that AGE designates as a planning and service area under section 173.011 of the Revised Code and 45 C.F.R. 1321.13.

"Provider" means a person or entity entering into an AAA-provider agreement with an AAA to provide services to consumers. The three categories of providers are agency providers, self-employed providers, and participant-directed providers.

"Registered nurse" (RN) has the same meaning as in section 4723.01 of the Revised Code. "Registered nurse" also includes a registered nurse with a "multistate license" from another state with "multistate licensure privilege," as those terms are defined in section 4723.11 of the Revised Code.

"Restaurant" has the same meaning as "food service operation" in rule 3717-1-0 1 of the Administrative Code.

"RFP" means "request for proposal."

"Rural area" means any area not designated as urban by the United States census bureau.

"Self-employed provider" means a provider who provides services to consumers and who does not hire, or contract with, other persons to provide those services.

"Shelf-stable meal" means a meal that is non-perishable, ready-to-eat, stored at room temperature, and eaten without heating.

"Unique identifier" means an item belonging to a specific consumer, caregiver, provider, aide, PCA, driver, or instructor that identifies only that consumer, caregiver, provider, aide, PCA, driver, or instructor. Examples of a unique identifier are a handwritten or electronic signature or initials, fingerprint, mark, stamp, password, barcode, or swipe card. A consumer, caregiver, provider, aide, PCA, driver or instructor offers their unique identifier as an attestation that a provider, or the provider's staff, completed an activity or unit of service or as an authorization for a plan or agreement.

Last updated November 5, 2025 at 8:52 AM

History

Effective: November 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 5160-3-05

(A) For purposes of determining an individual's nursing-facility (NF) based level of care, the following definitions apply unless a term is otherwise defined in a specific rule:

(1) "Activity of daily living (ADL)" means a personal or self-care task that enables an individual to meet basic life needs. "ADL" includes the following defined activities:

(a) "Bathing" means the ability of an individual to cleanse one's body by showering, tub, or sponge bath, or any other generally accepted method.

(b) "Dressing" means the ability of an individual to complete the activities necessary to dress oneself and includes the following two components:

(i) Putting on and taking off an item of clothing or prosthesis; and

(ii) Fastening and unfastening an item of clothing or prosthesis.

(c) "Eating" means the ability of an individual to feed oneself. Eating includes the processes of getting food into one's mouth, chewing, and swallowing, or the ability to use and self-manage a feeding tube.

(d) "Grooming" means the ability of an individual to care for one's appearance and includes the following three components:

(i) Oral hygiene;

(ii) Hair care; and

(iii) Nail care.

(e) "Mobility" means the ability of an individual to use fine and gross motor skills to reposition or move oneself from place to place and includes the following three components:

(i) "Bed mobility" means the ability of an individual to move to or from a lying position, turn from side to side, or otherwise position the body while in bed or alternative sleep furniture;

(ii) "Locomotion" means the ability of an individual to move between locations by ambulation or by other means; and

(iii) "Transfer" means the ability of an individual to move between surfaces, including but not limited to, to and from a bed, chair, wheelchair, or standing position.

(f) "Toileting" means the ability of an individual to complete the activities necessary to eliminate and dispose of bodily waste and includes the following four components:

(i) Using a commode, bedpan, or urinal;

(ii) Changing incontinence supplies or feminine hygiene products;

(iii) Cleansing self; and

(iv) Managing an ostomy or catheter.

(2) "Adverse level of care determination" means a determination that an individual does not meet the criteria for a specific level of care.

(3) "Alternative form" means a form that is used in place of and contains all of the data elements of, the ODM 03697, "Level of Care Assessment" to request a level of care determination from the Ohio department of medicaid (ODM) or its designee.

(4) "Assistance" means the hands-on provision of help in the initiation or completion of a task.

(5) "Authorized representative" has the same meaning as in rule 5160-1-33 of the Administrative Code.

(6) "Current diagnoses" means a written medical determination by the individual's attending physician, whose scope of practice includes diagnosis, listing those diagnosed conditions that currently impact the individual's health and functional abilities.

(7) "Delayed in-person visit" means an in-person visit that occurs within a specified period of time after a desk review has been conducted that includes the elements of a long-term care consultation, in accordance with Chapter 173-43 of the Administrative Code, for the purposes of exploring home and community-based services (HCBS) options and making referrals to the individual as appropriate.

(8) "Desk review" means a level of care determination process that is not conducted in person.

(9) "Developmental disabilities level of care" means the level of care as described in rule 5123-8-01 of the Administrative Code.

(10) "ICF-IID" means an intermediate care facility for individuals with intellectual disabilities as defined in section 5124.01 of the Revised Code.

(11) "Immediate need" means an individual has a need that may result in substantial harm or decline in functioning if waiver services and supports are not received within thirty calendar days.

(12) "In-person" means a level of care assessment and determination process conducted in the physical presence of the individual for the purposes of exploring nursing facility services or HCBS options and making referrals to the individual as appropriate, that is not conducted by a desk review only.

(13) "Individual" means a medicaid recipient or person applying for medicaid eligibility.

(14) "Instrumental activity of daily living (IADL)" means the ability of an individual to complete community living skills. "IADL" includes the following defined activities:

(a) "Community access" means the ability of an individual to use available community services and supports to meet one's needs and includes the following three components:

(i) "Accessing transportation" means the ability to get and use transportation.

(ii) "Handling finances" means the ability of an individual to manage one's money. Handling finances includes all of the following:

(a) Knowing where money is;

(b) Knowing how to get money;

(d) Knowing how to get and use benefits and services, including but not limited to:

(i) Health benefits and insurance;

(ii) Social benefits; and

(iii) Home utilities.

(iii) "Telephoning" means the ability to make and answer telephone calls or use technology to connect to community services and supports.

(b) "Environmental management" means the ability of an individual to maintain the living arrangement in a manner that ensures the health and safety of the individual and includes the following three components:

(i) "Heavy chores" means the ability to move heavy furniture and appliances for cleaning, turn mattresses, and wash windows and walls; and

(ii) "House cleaning" means the ability to make beds, clean the bathroom, sweep and mop floors, dust, clean and store dishes, pick up clutter, and take out trash;

(iii) "Yard work and maintenance" means the ability to care for the lawn, rake leaves, shovel snow, complete minor home repairs, and paint.

(d) "Personal laundry" means the ability of an individual to wash and dry one's clothing and household items by machine or by hand.

(e) "Shopping" means the ability to obtain or purchase one's necessary items. Necessary items include, but are not limited to, groceries, clothing, and household items. Shopping does not include handling finances or accessing transportation.

(15) "Less than twenty-four hour support" means that an individual needs the presence of another person, or the presence of a remote monitoring device that does not need the individual to initiate a response, during a portion of a twenty-four hour period of time.

(16) "Level of care determination" means an assessment and evaluation by ODM or its designee of an individual's physical, mental, social, and emotional status, using the processes described in rule 5160-3-14 of the Administrative Code, to compare the criteria for all of the possible levels of care as described in rules 5160-3-06 to 5160-3-08 of the Administrative Code, and make a decision about whether an individual meets the criteria for a level of care.

(17) "Level of care validation" means the verification process for ODM or its designee that includes verifying the preadmission screening and resident review criteria have been met for an individual as well as reviewing and entering an individual's current level of care in the electronic records that are maintained by ODM.

(18) "Long-term services and supports" means institutional or community-based medical, health, psycho-social, habilitative, rehabilitative, or personal care services that may be provided to medicaid-eligible individuals.

(19) "Medication administration" means the ability of an individual to prepare and self-administer all forms of over-the-counter (OTC) and prescription medication. Intravenous medication administration will be considered a skilled nursing service for the purposes of determining NF-based level of care, OTC and all other self-administered prescription medication will not be considered a skilled nursing service.

(20) "Need" means the inability of an individual to complete a necessary and applicable task independently, safely, and consistently. An individual does not have a need when:

(a) The individual is not willing to complete a task or does not have the choice to complete a task.

(b) The task can be completed with the use of available assistive devices and accommodations.

(21) "Nursing facility (NF)" has the same meaning as in section 5165.01 of the Revised Code. A facility that has submitted an application packet for medicaid certification to the Ohio department of health is considered to be in the process of obtaining its initial medicaid certification and will be treated as a NF for the purposes of this rule.

(22) "NF-based level of care" means the intermediate and skilled levels of care, as described in rule 5160-3-08 of the Administrative Code.

(23) "NF-based level of care program" means a NF, a home and community-based services medicaid waiver that uses a NF-based level of care, or other medicaid program that uses a NF-based level of care.

(24) "PASRR" means the preadmission screening and resident review requirements mandated by section 1919(e)(7) of the Social Security Act and implemented in accordance with rules 5160-3-14, 5160-3-15.1, 5160-3-15.2, 5122-21-03, and 5123-14-01 of the Administrative Code.

(25) "Physician" means a person licensed under Chapter 4731. of the Revised Code or licensed in another state as defined by applicable law, to practice medicine and surgery or osteopathic medicine and surgery.

(26) "Skilled nursing services" means specific tasks that are, in accordance with Chapter 4723. of the Revised Code, provided by a licensed practical nurse (LPN) at the direction of a registered nurse or by a registered nurse directly.

(27) "Skilled rehabilitation services" means specific tasks that are, in accordance with Title 47 of the Revised Code, provided directly by a licensed or other appropriately certified technical or professional health care personnel.

(28) "Supervision" means either of the following:

(a) Reminding an individual to perform or complete an activity; or

(b) Observing while an individual performs an activity to ensure the individual's health and safety.

(29) "Twenty-four hour support" means that an individual needs the continuous presence of another person throughout the course of the entire day and night during a twenty-four hour period of time.

(30) "Unstable medical condition" means clinical signs and symptoms are present in an individual and a physician has determined that:

(a) The individual's signs and symptoms need extensive monitoring and ongoing evaluation of the individual's status and care and there are supporting diagnostic or ancillary testing reports that justify the need for frequent monitoring or adjustment of the treatment regimen; and

(b) Changes in the individual's medical condition are uncontrollable or unpredictable and may need immediate interventions.

Last updated July 1, 2025 at 8:05 AM

History

Effective: July 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 4723-13-02

(A) A nursing task may be delegated to an unlicensed person only by a licensed nurse who shall delegate in accordance with this chapter.

(B) Nothing in this chapter shall be construed to prevent any person registered, certified, licensed, or otherwise legally authorized in this state under any law from engaging in the practice for which such person is registered, certified, licensed, or authorized.

"Otherwise legally authorized" may include, but is not limited to, authorization for medication administration pursuant to section 3313.713 of the Revised Code, DODD personnel authorized to perform tasks or activities pursuant to sections 5123.41 to 5123.47 of the Revised Code, and individuals authorized to administer medications or perform tasks pursuant to Title 47 of the Revised Code.

(C) Nothing in this chapter shall prohibit an unlicensed person from assisting an individual who can safely self direct his or her own care, including, helping the individual with self-administration of medications in a facility where the substantial purpose of the setting is other than the provision of health care. An unlicensed person assisting with self-administration of medications may do only the following:

(1) Remind an individual when to take the medication and observe to ensure that the individual follows the directions on the container;

(2) Assist an individual in the self-administration of medication by taking the medication in its container from the area where it is stored and handing the container with the medication in it to the individual. If the individual is physically unable to open the container, the unlicensed person may open the container for the individual;

(3) Assist upon request by or with the consent of, a physically impaired but mentally alert individual, in removing oral or topical medication from the container and in taking or applying the medication. If an individual is physically unable to place a dose of medicine in the individual's mouth without spilling or dropping it, an unlicensed person may place the dose in another container and place that container to the mouth of the individual; or

(4) Assisting an individual with self-administration does not mean that an unlicensed person can administer medication to an individual, whether orally, by injection, or by any other route.

(D) Nothing in this chapter shall prohibit an unlicensed person from administering medication under the following circumstances:

(1) The giving of oral or the applying of topical medication in accordance with sections 5123.41 to 5123.47 of the Revised Code and in accordance with rules 5123-6-01 and 5123-6-07 of the Administrative Code;

(2) When medication is administered by an individual employed by a board of education, or a school charted by the state board of education, who has been designated according to section 3313.713 of the Revised Code to administer to a student a drug prescribed by an authorized prescriber; or

(3) In accordance with any other law or rule that authorizes an unlicensed person to administer medications.

Last updated February 1, 2022 at 8:56 AM

History

Effective: February 1, 2022
Promulgated Under: 119.03

Ohio Adm.Code 173-4-05.1

The following are the requirements for every AAA-provider agreement for a congregate dining project paid, in whole or in part, with Older Americans Act funds:

(A) The AAA-provider agreement is subject to rules 173-3-06 and 173-4-05 of the Administrative Code.

(B) Availability:

(1) The provider shall keep at least one congregate dining location in its nutrition project open for business to provide meals for at least one mealtime (i.e., a breakfast, lunch, or dinner) per day to consumers on five or more days per week, within a reasonable distance to older adult target populations. An AAA may obtain AGE's approval to enter into an AAA-provider agreement that allows fewer days per week or during a state of emergency declared by the governor or a federal public health emergency.

(2) The provider has flexibility to offer meals in different congregate dining locations on different days rather than have every congregate dining location open for at least five days per week.

(C) Carry-out meals: Older Americans Act Title III-C1 funds do not pay, in whole or in part, for carry-out meals (also known as "grab-and-go meals") provided at congregate dining locations unless all of the following apply:

(1) AGE approved an AAA's area plan or an amendment to the area plan to allow Title III C-1 funds to pay, in whole or in part, for carry-out meals pursuant to 45 C.F.R. 1321.87(a)(1)(i), subject to any limitations in the approved area plan or area plan amendment.

(2) The meals provided on a carry-out basis do not exceed the twenty-five per-cent limits in 45 C.F.R. 1321.87(a)(1)(ii).

(3) Each carry-out meal is provided to a consumer in one of the scenarios under 45 C.F.R. 1321.87(a)(1)(iii).

(D) Emergency closings:

(1) The provider shall give those consumers enrolled in its congregate dining project reasonable notice, to the extent practicable, before a scheduled mealtime when a congregate dining location will be closed due to weather-related emergencies, loss of power, kitchen malfunctions, natural disasters, a state of emergency declared by the governor, or a federal public health emergency by using broadcast media, its website, telephone, or by any combination of the three.

(2) The provider shall distribute information to consumers on how to stock an emergency food shelf to prepare for emergency closings.

(E) Quality assurance: Each year, the provider shall implement a plan to evaluate and improve the effectiveness of the project's operations and services to ensure continuous improvement by reviewing the existing project and the changing needs or interests of consumers, staff, or volunteers.

(F) Meal verification:

(1) The following are the mandatory reporting items for each meal provided that a provider retains to comply with the requirements under paragraph (B)(9) of rule 173-3-06 of the Administrative Code:

(a) Consumer's name.

(b) Date of meal provision.

(2) During a state of emergency declared by the governor or a federal public health emergency, the provider may verify each meal provided without collecting a unique identifier of the consumer or the consumer's caregiver.

Last updated November 3, 2025 at 7:43 AM

History

Effective: November 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-4-05.3

The following are the requirements to include in every AAA-provider agreement for a congregate dining project based in restaurants or grocery stores paid, in whole or in part, with Older Americans Act funds:

(A) The AAA-provider agreement is subject to rules 173-3-06 and 173-4-05 of the Administrative Code.

(B) Eligibility verification: The provider shall use one of the following three methods to verify consumers' eligibility when complying with the eligibility-verification requirements in rule 173-4-03 of the Administrative Code:

(1) Identification card method (whether or not electronically verified): The provider that uses this method registers each consumer that it serves and issues the consumer an identification card. When the consumer visits the restaurant or grocery store, the consumer provides the identification card to the designated staff person at the restaurant or grocery store to receive a prepared meal. The provider may use an electronic verification system to validate the identification card.

(2) Voucher method (whether or not electronically verified): The provider that uses this method registers each consumer that it serves and issues the consumer a voucher. When the consumer visits the restaurant or grocery store, the consumer provides a voucher to the designated staff person at the restaurant or grocery store to receive a prepared meal. The provider may use an electronic verification system to validate the voucher.

(3) Handwritten verification method: Before providing a consumer the first meal, the provider that uses this method collects information required by the AAA and obtains a unique identifier from the consumer.

(C) Consumer contributions: The provider shall use one of the following two methods for soliciting consumer contributions when complying with the consumer-contribution requirements in rule 173-3-07 of the Administrative Code:

(1) The provider that uses the consumer identification method in paragraph (B)(1) or (B)(3) of this rule solicits the consumer to voluntarily contribute to the cost of the meals when the provider provides the meals.

(2) The provider that uses the method in paragraph (B)(2) of this rule solicits the consumer to voluntarily contribute to the cost of the meals when the provider provides the vouchers.

(D) Emergency closings: The provider shall distribute information to consumers on how to stock an emergency food shelf.

(E) Quality assurance: The provider shall elicit consumer's comments on dining environments, food appearance, type of food, food temperatures, and staff professionalism.

(F) Meal verification:

(1) The following are the mandatory reporting items for each meal provided that a provider retains to comply with the requirements under paragraph (B)(9) of rule 173-3-06 of the Administrative Code:

(a) Consumer's name.

(b) Date of meal provision.

Last updated November 8, 2023 at 8:20 AM

History

Effective: January 1, 2023
Promulgated Under: 119.03

Ohio Adm.Code 3717-1-01

[Comment: For publication dates of the Code of Federal Regulations (C.F.R.) referenced in this rule, see paragraph (B)(15)(b) of rule 3717-1-01 of the Administrative Code.]

(A) Chapter 3717-1 of the Administrative Code will also be known as "The State of Ohio Uniform Food Safety Code."

(B) Definitions for the purposes of Chapter 3717-1 of the Administrative Code:

(1) Additive.

(a) "Color additive" has the meaning stated in the Federal Food, Drug, and Cosmetic Act, section 201(t) (as amended on December 29, 2022) and 21 C.F.R. 70.3 (f).

(b) "Food additive" has the meaning stated in the Federal Food, Drug, and Cosmetic Act, section 201(s) (as amended on December 29, 2022) and 21 C.F.R. 170.3 (e)(1).

(2) "Adulterated" has the meaning stated in section 3715.59 of the Revised Code.

(3) "Approved" means acceptable to the appropriate regulatory authority based on a determination of conformity with principles, practices, and generally recognized standards that protect public health.

(4) "Approved source" means a food is from:

(a) A processor that is inspected by a federal food safety regulatory agency or equivalent, the Ohio department of agriculture under Chapter 3715., 911., 913., 915., 917., 918. whether mandatory or voluntary, or 925. of the Revised Code, or other recognized food regulatory agency of another state responsible for food safety; or

(b) A cottage food production operation as defined in division (A) of section 3715.01 of the Revised Code, or an exempt processor of tree syrup, honey, sorghum, apple syrup, or apple butter as specified in division (A) of section 3715.021 of the Revised Code; and that is in compliance with the provisions of Chapter 3715. of the Revised Code and any applicable rules adopted thereunder; or

(c) Provided the processing is not subject to regulations as stated in paragraphs (B)(4)(a) and (B)(4)(b) of this rule, a food service operation or retail food establishment as defined and licensed in accordance with Chapter 3717. of the Revised Code.

(d) Except for mushrooms and sprouts, the term "approved source" is not applicable to fresh unprocessed fruits and vegetables.

(5) "ANSI" means the American national standards institute.

(6) "Asymptomatic" means without obvious symptoms; not showing or producing indications of a disease or other medical condition, such as an individual infected with a pathogen but not exhibiting or producing any signs or symptoms of vomiting, diarrhea, or jaundice. It includes not showing symptoms because symptoms have resolved or subsided.

(7) "a_w" means water activity, which is a measure of the free moisture in a food, is the quotient of the water vapor pressure of the substance divided by the vapor pressure of pure water at the same temperature.

(8) "Balut" means an embryo inside a fertile egg that has been incubated for a period sufficient for the embryo to reach a specific stage of development after which it is removed from incubation before hatching.

(9) "Beverage" means a liquid for drinking, including water.

(10) "Board of health" means the board of health of any city or general health district, or the authority having the duties of a board of health as authorized by section 3709.05 of the Revised Code.

(11) "Bottled drinking water" means water that is sealed in bottles, packages, or other containers and offered for sale for human consumption, including bottled mineral water.

(12) "Bulk water machine" means a self-service device used for the filling of containers with water. The device includes a water treatment process which is not replenished after each use and does not need prior payment by the user for activation of the machine.

(13) "Casing" means a tubular container for sausage products made of either natural or artificial (synthetic) material.

(14) "Certification number" means the unique identification number issued by the shellfish control authority to each dealer for each location.

(15) "C.F.R." means Code of Federal Regulations which is the compilation of the general and permanent rules published in the federal register by the executive departments and agencies of the federal government which:

(a) Is published annually by the United States government printing office;

(b) Contains FDA rules in 21 C.F.R. (as amended on March 21, 2023), USDA rules in 7 C.F.R. and 9 C.F.R. (as amended on January 1, 2018), EPA rules in 40 C.F.R. (as amended on March 20, 2023), and wildlife and fisheries rules in 50 C.F.R. (as amended on March 16, 2023); and

(c) Citations in this chapter to the C.F.R. refer sequentially to the title, part, and section numbers, such as 40 C.F.R. 180.194 refers to Title 40, Part 180, Section 194.

(16) "CIP" means cleaned in place by the circulation or flowing by mechanical means through a piping system of a detergent solution, water rinse, and sanitizing solution onto or over equipment surfaces that are to be cleaned, such as the method used, in part, to clean and sanitize a frozen dessert machine. "CIP" does not include the cleaning of equipment such as band saws, slicers, or mixers that are subjected to in-place manual cleaning without the use of a CIP system.

(17) "Commingle" means the act of combining different lots of shellfish.

(18) "Comminuted":

(a) Means reduced in size by methods including chopping, flaking, grinding, or mincing; and

(b) Includes fish or meat products that are reduced in size and restructured or reformulated such as gefilte fish, gyros, ground beef, and sausage; and a mixture of two or more types of meat that have been reduced in size and combined, such as sausages made from two or more meats.

(19) "Conditional employee" means a potential food employee to whom a job offer is made, conditional on responses to subsequent medical questions or examinations designed to identify potential food employees who may be suffering from a disease that can be transmitted through food and done in compliance with Title 1 of the Americans with Disabilities Act of 1990.

(20) "Confirmed disease outbreak" means a foodborne disease outbreak in which laboratory analysis of appropriate specimens identifies a causative agent and epidemiological analysis implicates the food as the source of the illness.

(21) "Consumer" means a person who is a member of the public, takes possession of food, is not functioning in the capacity of an operator of a food service operation, retail food establishment or food processing plant, and does not offer the food for resale.

(22) "Corrosion-resistant material" means a material that maintains acceptable surface cleanability characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and sanitizing solutions, and other conditions of the use environment.

(23) "Cottage food production operation" means a person who, in the person's home, produces food items that are not potentially hazardous foods, including bakery products, jams, jellies, candy, fruit butter, and similar products specified in rules adopted pursuant to section 3715.025 of the Revised Code.

(24) "Counter-mounted equipment" means equipment that is not portable and is designed to be mounted off the floor on a table, counter, or shelf.

(25) "Critical control point" means a point or procedure in a specific food system where loss of control may result in an unacceptable health risk.

(26) "Critical limit" means the maximum or minimum value to which a physical, biological, or chemical parameter is to be controlled at a critical control point to minimize the risk that the identified food safety hazard may occur.

(27) "Cut leafy greens" means fresh leafy greens whose leaves have been cut, shredded, sliced, chopped, or torn. The term "leafy greens" includes iceberg lettuce, romaine lettuce, leaf lettuce, butter lettuce, baby leaf lettuce (i.e., immature lettuce or leafy greens), escarole, endive, spring mix, spinach, cabbage, kale, arugula and chard. The term "leafy greens" does not include herbs such as cilantro or parsley.

(28) "Dealer" means a person who is authorized by a shellfish control authority for the activities of shellstock shipper, shucker-packer, repacker, reshipper, or depuration processor of molluscan shellfish according to the provisions of the national shellfish sanitation program.

(29) "Disclosure" means a written statement that clearly identifies the animal-derived foods which are, or can be ordered, raw, undercooked, or without otherwise being processed to eliminate pathogens, or items that contain an ingredient that is raw, undercooked, or without otherwise being processed to eliminate pathogens.

(30) "Drinking water" means water that meets criteria as specified in 40 C.F.R. 141. "Drinking water" is traditionally known as "potable water." "Drinking water" includes the term "water" except where the term used connotes that the water is not potable, such as "boiler water," "mop water," "rainwater," "wastewater," and "nondrinking" water.

(31) "Dry storage area" means a room or area designated for the storage of packaged or containerized bulk food that is not time/temperature controlled for safety and dry goods such as single-service items.

(32) "Easily cleanable":

(a) Means a characteristic of a surface that:

(i) Allows effective removal of soil by normal cleaning methods;

(ii) Is dependent on the material, design, construction, and installation of the surface; and

(iii) Varies with the likelihood of the surface's role in introducing pathogenic or toxigenic agents or other contaminants into food based on the surface's approved placement, purpose, and use.

(b) Includes a tiered application of the criteria that qualify the surface as easily cleanable as specified under paragraph (B)(32)(a) of this rule to different situations in which varying degrees of cleanability are needed such as:

(i) The appropriateness of stainless steel for a food preparation surface as opposed to the lack of need for stainless steel to be used for floors or for tables used for consumer dining; or

(ii) The need for a different degree of cleanability for a utilitarian attachment or accessory in the kitchen as opposed to a decorative attachment or accessory in the consumer dining area.

(33) "Easily movable" means:

(a) Portable; mounted on casters, gliders, or rollers; or provided with a mechanical means to safely tilt a unit of equipment for cleaning; and

(b) Having no utility connection, a utility connection that disconnects quickly, or a flexible utility connection line of sufficient length to allow the equipment to be moved for cleaning of the equipment and adjacent area.

(34) "Egg" means the shell egg of avian species such as chicken, duck, goose, guinea, quail, ratites or turkey. It does not include a balut; the egg of reptile species such as alligator; or an egg product.

(35) "Egg product" means all, or a portion of, the contents found inside eggs separated from the shell and pasteurized in a food processing plant, with or without added ingredients, intended for human consumption, such as dried, frozen or liquid eggs. It does not include food which contains eggs only in a relatively small proportion such as cake mixes.

(36) "Employee" means the license holder, person in charge, food employee, person having supervisory or management duties, person on the payroll, family member, volunteer, person performing work under contractual agreement, or other person working in a food service operation or retail food establishment.

(37) "EPA" means the United States environmental protection agency.

(38) "Equipment" means an article that is used in the operation of a food service operation or retail food establishment such as a freezer, grinder, hood, ice maker, meat block, mixer, oven, reach-in refrigerator, scale, sink, slicer, stove, table, temperature measuring device for ambient air, vending machine, bulk water machine, or warewashing machine. "Equipment" does not include apparatuses used for handling or storing large quantities of packaged foods that are received from a supplier in a cased or overwrapped lot, such as hand trucks, forklifts, dollies, pallets, racks, or skids.

(39) "Exclude" means to prevent a person from working as an employee in a food service operation or retail food establishment, or entering a food service operation or retail food establishment as an employee.

(40) "FDA" means the United States food and drug administration.

(41) "Fish":

(a) Means fresh or saltwater finfish, crustaceans and other forms of aquatic life (including alligator, frog, aquatic turtle, jellyfish, sea cucumber, and sea urchin and the roe of such animals) other than birds or mammals, and all mollusks, if such animal life is intended for human consumption.

(b) Includes an edible human food product derived in whole or in part from fish, including fish that have been processed in any manner.

(42) "Food" means a raw, cooked, or processed edible substance, ice, beverage, or ingredient used or intended for use or for sale in whole or in part for human consumption, or chewing gum.

(43) "Foodborne disease outbreak" means the occurrence of two or more cases of a similar illness resulting from the ingestion of a common food.

(44) "Food-contact surface" means:

(a) A surface of equipment or a utensil with which food normally comes into contact; or

(b) A surface of equipment or a utensil from which food may drain, drip, or splash:

(i) Into a food; or

(ii) Onto a surface normally in contact with food.

(45) "Food employee" means an individual working with unpackaged food, food equipment or utensils, or food-contact surfaces.

(46) "Food monitoring device" means a digital pH meter, a_w meter, or other device such as a relative humidity meter or wet bulb thermometer, that are used to ensure a critical limit is being met as indicated in a HACCP plan or a variance as specified in paragraph (B)(129) of this rule.

(47) "Food processing plant" means a commercial business or that portion of a business that manufactures, packages, labels, or stores food for human consumption, and is under regulation of the federal government or the Ohio department of agriculture under Chapter 3715., 911., 913., 915., 917., 918., or 925. of the Revised Code.

(48) "Food service operation":

(a) Means a place, location, site, or separate area where food intended to be served in individual portions is prepared or served for a charge or mandatory donation. As used in this definition, "served" means a response made to an order for one or more individual portions of food in a form that is edible without washing, cooking, or additional preparation and "prepared" means any action that affects a food other than receiving or maintaining it at the temperature at which it was received;

(b) Includes a catering food service operation, a food delivery sales operation, a mobile food service operation, temporary food service operation, seasonal food service operation, and a vending machine location; and

(49) "Food service operation sales volume" means the annual sales, minus sales tax, for individual portions of food that are prepared or served by the operation for on premise consumption or individual portions of food served for carry-out or delivery and that are edible without further washing, cooking, or additional preparation.

(50) "Game animal":

(a) Means an animal, the products of which are food, that is not classified as cattle, sheep, swine, goat, horse, mule or other equine in 9 C.F.R. 301.2, or as poultry, or fish.

(b) Includes mammals such as reindeer, elk, deer, antelope, water buffalo, bison, rabbit, squirrel, opossum, raccoon, nutria, or muskrat, and nonaquatic reptiles such as land snakes.

(51) "General use pesticide" means a pesticide that is not classified as a restricted use pesticide under the federal act which, except as provided to avoid immediate harm, may only be applied in a food service operation or retail food establishment under the direct supervision of a commercial applicator licensed as specified under section 921.06 of the Revised Code.

(52) "Grade A standards" means the requirements of the United States public health service/FDA "Grade A Pasteurized Milk Ordinance" with which certain fluid and dry milk and milk products comply.

(53) "HACCP plan" means a written document that delineates the formal procedures for following the hazard analysis and critical control point (HACCP) principles developed by the national advisory committee on microbiological criteria for foods.

(54) "Handwashing sink" means a lavatory, a basin or vessel for washing, a wash basin, or a plumbing fixture especially placed for use in personal hygiene and designed for the washing of the hands. The term includes an automatic handwashing facility.

(55) "Hazard" means a biological, chemical, or physical property that may cause an unacceptable consumer health risk.

(56) "Hermetically sealed container" means a container that is designed and intended to be secure against the entry of microorganisms and, in the case of low acid canned foods, to maintain the commercial sterility of its contents after processing.

(57) "Highly susceptible population" means persons who are more likely than other people in the general population to experience foodborne disease because they are:

(a) Immunocompromised; preschool age children, or older adults; and

(b) Obtaining food at a facility that provides services such as custodial care, health care, or assisted living, such as a child or adult day care center, kidney dialysis center, hospital or nursing home, or nutritional or socialization services such as a senior center.

(58) "Injected" means manipulating meat to which a solution has been introduced into its interior by processes that are referred to as "injecting," "pump marinating," or "stitch pumping."

(59) "In-shell product" means non-living, processed shellfish with one or both shells present.

(60) "Intact meat" means a cut of whole muscle(s) meat that has not undergone comminution, mechanical tenderization, vacuum tumbling with solutions, reconstruction, cubing, or pounding.

(61) "Juice" means the aqueous liquid expressed or extracted from one or more fruits or vegetables, purees of the edible portions of one or more fruits or vegetables, or any concentrates of such liquid or puree. Juice includes juice as a whole beverage, an ingredient of a beverage and a puree as an ingredient of a beverage.

(62) "Kitchenware" means food preparation and storage utensils.

(63) "Law" means applicable local, state, and federal statutes, regulations, and ordinances.

(64) "License" means the document issued by the licensor that authorizes a person to operate a food service operation or retail food establishment.

(65) "License holder" means the entity that:

(a) Is legally responsible for the operation of the food service operation or retail food establishment such as the owner, the owner's agent, or other person; and

(b) Possesses a valid license to operate a food service operation or retail food establishment.

(66) "Licensor" means one of the following:

(a) A board of health or the authority having the duties of a board of health approved under section 3717.11 of the Revised Code;

(b) The director of agriculture acting under section 3717.11 of the Revised Code or 3717.111 of the Revised Code with respect to licensing retail food establishments; or

(c) The director of health acting under section 3717.11 of the Revised Code or 3717.111 of the Revised Code with respect to licensing food service operations.

(67) "Linens" means fabric items such as cloth hampers, cloth napkins, table cloths, wiping cloths, and work garments including cloth gloves.

(68) "Major food allergen" means:

(a) Milk, egg, fish (such as bass, flounder, cod, and including crustacean shellfish such as crab, lobster, or shrimp), tree nuts (such as almonds, pecans, or walnuts), wheat, peanuts, soybeans, and sesame; or

(b) A food ingredient that contains protein derived from a food, as specified in paragraph (B)(68)(a) of this rule.

(i) Any highly refined oil derived from a food specified in paragraph (B)(68)(a) of this rule and any ingredient derived from such highly refined oil; or

(ii) Any ingredient that is exempt under the petition or notification process specified in the Food Allergen Labeling and Consumer Protection Act of 2004 (Public Law 108-282).

(69) "Meat" means the flesh of animals used as food including the dressed flesh of cattle, swine, sheep, or goats and other edible animals, except fish and poultry.

(70) "Mechanically tenderized" means manipulating meat by piercing with a set of needles, pins, blades, or any mechanical device, which breaks up muscle fiber and tough connective tissue, to increase tenderness. This includes injection, scoring, and processes which may be referred to as "blade tenderizing," "jaccarding," "pinning," or "needling."

(71) "mg/L" means milligrams per liter, which is the metric equivalent of parts per million (ppm).

(72) "Micro market" means a retail food establishment that offers for sale food items that are allowable in a risk level one operation in displays not more than two hundred and fifty linear feet. All commercially prepackaged refrigerated or frozen time/temperature controlled for safety foods are to be stored in equipment that complies with paragraph (H) of rule 3717-1-03.4, paragraphs (MM) and (NN) of rule 3717-1-04.1 of the Administrative Code.

(73) "Mobile food service operation" means a food service operation that is operated from a movable vehicle, portable structure, or watercraft and that routinely changes location, except that if the operation remains at any one location for more than forty consecutive days, the operation is no longer a mobile food service operation. "Mobile food service operation" includes a food service operation that does not remain at any one location for more than forty consecutive days and serves, in a manner consistent with division (F) of section 3717.01 of the Revised Code.

(74) "Mobile retail food establishment" means a retail food establishment that is operated from a movable vehicle or other portable structure, and that routinely changes location, except that if the establishment operates from any one location for more than forty consecutive days, the establishment is no longer a mobile retail food establishment.

(75) "Molluscan shellfish" means any edible species of fresh or frozen oysters, clams, mussels, and scallops or edible portions thereof, except when the scallop product consists only of the shucked adductor muscle. Molluscan shellfish includes shellstock, shucked shellfish, and in-shell products.

(76) "Non-continuous cooking":

(a) Means the cooking of food in a food service operation or retail food establishment using a process in which the initial heating of the food is intentionally halted so that it may be cooled and held for complete cooking at a later time prior to sale or service.

(b) Does not include cooking procedures that only involve temporarily interrupting or slowing an otherwise continuous cooking process.

(77) "NSF" means the national sanitation foundation or NSF international which contains standard 61, "Drinking Water System Components - Health Effects" (2020).

(78) "Packaged":

(a) Means bottled, canned, cartoned, bagged, or wrapped, whether packaged in a food service operation, retail food establishment, or a food processing plant; and

(b) Does not include wrapped or placed in a carry-out container to protect the food during service or delivery to the consumer, by a food employee, upon consumer request.

(79) "Person" means an association, corporation, individual, partnership, other legal entity, government, or governmental subdivision or agency.

(80) "Person in charge" means the individual present at a food service operation or retail food establishment who is responsible for the operation at any given time .

(81) "Personal care items" means items or substances that may be poisonous, toxic, or a source of contamination and are used to maintain or enhance a person's health, hygiene, or appearance. Personal care items include items such as medicines; first aid supplies; and other items such as cosmetics, and toiletries such as toothpaste and mouthwash.

(82) "pH" is the symbol for the negative logarithm of the hydrogen ion concentration, which is a measure of the degree of acidity or alkalinity of a solution. Values between zero and seven indicate acidity and values between seven and fourteen indicate alkalinity. The value for pure distilled water is seven, which is considered neutral.

(83) "Physical facilities" means the structure and interior surfaces of a food service operation or retail food establishment including accessories such as soap and towel dispensers and attachments such as light fixtures and heating or air conditioning system vents.

(84) "Plumbing fixture" means a receptacle or device that:

(a) Is permanently or temporarily connected to the water distribution system of the premises and demands a supply of water from the system; or

(b) Discharges used water, waste materials, or sewage directly or indirectly to the drainage system of the premises.

(85) "Plumbing system" means the water supply and distribution pipes; plumbing fixtures and traps; soil, waste, and vent pipes; sanitary and storm sewers and building drains, including their respective connections, devices, and appurtenances within the premises; and water-treating equipment.

(86) "Poisonous or toxic materials" means substances that are not intended for ingestion and are included in four categories:

(a) Cleaners and sanitizers, which include cleaning and sanitizing agents and agents such as caustics, acids, drying agents, polishes, and other chemicals;

(b) Pesticides, except sanitizers, which include substances such as insecticides and rodenticides;

(c) Substances necessary for the operation and maintenance of the establishment such as nonfood grade lubricants and personal care items that may be deleterious to health; and

(d) Substances that are not necessary for the operation and maintenance of the establishment and are on the premises for retail sale, such as petroleum products and paints.

(87) "Potentially hazardous food" means time/temperature controlled for safety food as defined in paragraph (B)(125) of this rule.

(88) "Poultry" means:

(a) Any domesticated bird (chickens, ducks, geese, guineas, ratites, squabs or turkeys), whether live or dead, as defined in 9 C.F.R. 381.1; and

(b) Any migratory waterfowl or game bird, pheasant, partridge, quail, grouse, or pigeon, whether live or dead, as defined in 9 C.F.R. 362.1.

(89) "Premises" means:

(a) The physical facility, its contents, and the contiguous land or property under the control of the license holder; or

(b) The physical facility, its contents, and the land or property not described under paragraph (B)(89)(a) of this rule if its facilities and contents are under the control of the license holder and may impact food service operation or retail food establishment personnel, facilities, or operations, and a food service operation or retail food establishment is only one component of a larger operation such as a health care facility, hotel, motel, school, recreational camp, or prison.

(90) "Primal cut" means a basic major cut into which carcasses and sides of meat are separated, such as a beef round, pork loin, lamb flank, or veal breast.

(91) "Public water system" has the meaning stated in Chapter 3745-81 of the Administrative Code.

(92) "Ratite" means a flightless bird such as an emu, ostrich, or rhea.

(93) "Ready-to-eat food":

(a) Means food that:

(i) Is in a form that is edible without additional preparation to achieve food safety, as specified under one of the following paragraph (A)(1) or (A)(4), (B), or (F) of rule 3717-1-03.3 of the Administrative Code or as specified in paragraph (A)(2) of rule 3717-1-03.3 of the Administrative Code; or

(ii) Is a raw or partially cooked animal food and the consumer is advised as specified in paragraphs (A)(3)(a) and (A)(3)(b) of rule 3717-1-03.3 of the Administrative Code; or

(iii) Is prepared in accordance with a variance that is granted as specified in paragraph (A)(3)(c) of rule 3717-1-03.3 of the Administrative Code; and

(iv) May receive additional preparation for palatability or aesthetic, epicurean, gastronomic, or culinary purposes.

(b) Includes:

(i) Raw animal food that is cooked as specified under paragraph (A) or (B) or frozen as specified under paragraph (F) of rule 3717-1-03.3 of the Administrative Code;

(ii) Raw, fruits and vegetables that are washed as specified under paragraph (G) of rule 3717-1-03.2 of the Administrative Code;

(iii) Plant foods that are cooked for hot holding, as specified under paragraph (C) of rule 3717-1-03.3 of the Administrative Code;

(iv) All time/temperature controlled for safety food that is cooked to the temperature and time requirements for the specific food under paragraphs (A) to (D) of rule 3717-1-03.3 of the Administrative Code and cooled as specified under paragraph (D) of rule 3717-1-03.4 of the Administrative Code;

(v) Plant food for which further washing, cooking, or other processing is not necessary for food safety, and from which rinds, peels, husks, or shells, if naturally present are removed;

(vi) Substances derived from plants such as spices, seasonings, and sugar;

(vii) A bakery item such as bread, cakes, pies, fillings, or icing for which further cooking is not necessary for food safety;

(viii) The following products that are produced in accordance with USDA guidelines and that have received a lethality treatment for pathogens: dry fermented sausages, such as dry salami or pepperoni; salt-cured meat and poultry products, such as prosciutto ham, country cured ham, and Parma ham; and dried meat and poultry products, such as jerky or beef sticks; and

(ix) Foods manufactured as specified in 21 C.F.R. 113, thermally processed low-acid foods packaged in hermetically sealed containers.

(i) Commercially packaged food that bears a manufacturer's cooking instructions; and

(ii) Food for which the manufacturer has provided information that it has not been processed to control pathogens.

(94) "Reduced oxygen packaging":

(a) Means the reduction of the amount of oxygen in a package by removing oxygen; displacing oxygen and replacing it with another gas or combination of gases; or otherwise controlling the oxygen content to a level below that normally found in the surrounding atmosphere, which is approximately twenty-one per cent at sea level; and

(b) Is a process as specified in paragraph (B)(94)(a) of this rule that involves a food for which the hazards Clostridium botulinum or Listeria monocytogenes warrant control in the final packaged form.

(i) Vacuum packaging, in which air is removed from a package of food and the package is hermetically sealed so that a vacuum remains inside the package;

(ii) Modified atmosphere packaging, in which the atmosphere of a package of food is modified so that its composition is different from air but the atmosphere may change over time due to the permeability of the packaging material or the respiration of the food. Modified atmosphere packaging includes: reduction in the proportion of oxygen, total replacement of oxygen, or an increase in the proportion of other gases such as carbon dioxide or nitrogen;

(iii) Controlled atmosphere packaging, in which the atmosphere of a package of food is modified so that until the package is opened, its composition is different from air, and continuous control of that atmosphere is maintained, such as by using oxygen scavengers or a combination of total replacement of oxygen, nonrespiring food, and impermeable packaging material;

(iv) Cook chill packaging, in which cooked food is hot filled into impermeable bags that are then sealed or crimped closed. The bagged food is rapidly chilled and refrigerated at temperatures that inhibit the growth of psychrotrophic pathogens; or

(v) Sous vide packaging, in which raw or partially cooked food is vacuum packaged in an impermeable bag, cooked in the bag, rapidly chilled, and refrigerated at temperatures that inhibit the growth of psychrotrophic pathogens.

(95) "Refuse" means solid waste not carried by water through the sewage system.

(96) "Regulatory authority" means the local, state, or federal enforcement body or authorized representative having jurisdiction over the process or facility.

(97) "Reminder" means a written statement concerning the health risk of consuming animal foods raw, undercooked, or without otherwise being processed to eliminate pathogens.

(98) "Re-service" means the transfer of food that is unused and returned by a consumer after being served or sold and in the possession of the consumer, to another person.

(99) "Restrict" means to limit the activities of a food employee so that there is no risk of transmitting a disease that is transmissible through food and the food employee does not work with exposed food; clean equipment, utensils, linens; or unwrapped single-service or single-use articles.

(100) "Restricted egg" means any check, dirty egg, incubator reject, inedible, leaker, or loss as defined in 9 C.F.R. 590.

(101) "Restricted use pesticide" means any pesticide or pesticide use classified by the administrator of the United States environmental protection agency for use only by a certified applicator or by an individual working under the direct supervision of a certified applicator.

(102) "Retail food establishment" means a premises or part of a premises where food is stored, processed, prepared, manufactured, or otherwise held or handled for retail sale. Except when expressly provided otherwise, retail food establishment includes a mobile retail food establishment, seasonal retail food establishment and temporary retail food establishment. It does not include those operations exempted in section 3717.22 of the Revised Code. As used in this definition:

(a) "Retail" means the sale of food to a person who is the ultimate consumer of the food.

(b) "Prepared" means any action that affects a food, including receiving and maintaining it at the temperature at which it was received.

(103) "Retail food establishment sales volume" means the annual sales, minus sales tax, for food, that is sold in bulk or multiple portions by the establishment for off premise consumption that may need further washing, cooking, or additional preparation; or in individual portions that are not consumed on the premise and that either need further washing, cooking or additional preparation before consumption or are ingredient labeled for self service.

(104) "Risk" means the likelihood that an adverse health effect will occur within a population as a result of a hazard in a food.

(105) "Safe material" means:

(a) An article manufactured from or composed of materials that is not expected to result, directly or indirectly, in their becoming a component or otherwise affecting the characteristics of any food;

(b) An additive that is used as specified in section 409 of the Federal Food, Drug, and Cosmetic Act (as amended on August 14, 2018); or

(c) Other materials that are not additives and that are used in conformity with applicable regulations of the food and drug administration.

(106) "Sanitization" means the application of cumulative heat or chemicals on cleaned food-contact surfaces that, when evaluated for efficacy, is sufficient to yield a reduction of five logs, which is equal to a 99.999 per cent reduction, of representative disease microorganisms of public health importance.

(107) "Sealed" means free of cracks or other openings that allow the entry or passage of moisture.

(108) "Seasonal food service operation" means a food service operation, other than a mobile food service operation, that is operated for not more than six months in a licensing period.

(109) "Seasonal retail food establishment" means a retail food establishment, other than a mobile retail food establishment, that is operated for not more than six months in a licensing period.

(110) "Service animal" means an animal such as a guide dog, signal dog, or other animal individually trained to provide assistance to an individual with a disability.

(111) "Servicing area" means an operating base location to which a mobile food service operation, mobile retail food establishment or transportation vehicle returns regularly for such things as vehicle and equipment cleaning, discharging liquid or solid wastes, refilling water tanks and ice bins, and boarding food.

(112) "Sewage" means liquid waste containing animal or vegetable matter in suspension or solution and may include liquids containing chemicals in solution.

(113) "Shellfish control authority" means a state, federal, foreign, tribal, or other government entity legally responsible for administering a program that includes certification of molluscan shellfish harvesters and dealers for interstate commerce.

(114) "Shellstock" means live molluscan shellfish in the shell.

(115) "Shiga toxin-producing Escherichia coli" or STEC means any E. coli capable of producing Shiga toxins (also called verocytotoxins). STEC infections can be asymptomatic or may result in a spectrum of illness ranging from mild non-bloody diarrhea, to hemorrhagic colitis (i.e., bloody diarrhea), to hemolytic uremic syndrome (HUS - a type of kidney failure). Examples of serotypes of STEC include : E. coli 0157:H7; E.coli 0157:NM; E.coli 026:H11; E. coli 0145:NM; E. coli 0103:H2; and E. coli 0111:NM. STEC are sometimes referred to as verocytotoxigenic E. coli (VTEC) or as Enterohemorrhagic E. coli (EHEC). EHEC are a subset of STEC which can cause hemorrhagic colitis or HUS.

(116) "Shucked shellfish" means molluscan shellfish that have both shells removed.

(117) "Single-service articles" means tableware, carry-out utensils, and other items such as bags, containers, placemats, stirrers, straws, toothpicks, and wrappers that are designed and constructed for one time, one person use after which they are intended for discard.

(118) "Single-use articles":

(a) Means utensils and bulk food containers designed and constructed to be used once and discarded; and

(b) Includes, but are not limited to, items such as wax paper, butcher paper, plastic wrap, formed aluminum food containers, jars, plastic tubs or buckets, bread wrappers, pickle barrels, ketchup bottles, and number ten cans which do not meet the materials, durability, strength, and cleanability specifications under paragraph (A) of rule 3717-1-04 of the Administrative Code, and paragraphs (A) and (C) of rule 3717-1-04.1 of the Administrative Code for multiuse utensils.

(119) "Slacking" means the process of moderating the temperature of a food such as allowing a food to gradually increase from a temperature of minus ten degrees Fahrenheit (minus twenty-three degrees Celsius) to twenty-five degrees Fahrenheit (minus four degrees Celsius) in preparation for deep-fat frying or to facilitate even heat penetration during the cooking of previously block-frozen food such as shrimp.

(120) "Smooth" means:

(a) A food-contact surface having a surface free of pits and inclusions with a cleanability equal to or exceeding that of (one hundred grit) number three stainless steel;

(b) A nonfood-contact surface of equipment having a surface equal to that of commercial grade hot-rolled steel free of visible scale; or

(c) A floor, wall, or ceiling having an even or level surface with no roughness or projections that render it difficult to clean.

(121) "Tableware" means eating, drinking, and serving utensils for table use such as plates; flatware including forks, knives, and spoons; and hollowware including bowls, cups, serving dishes, and tumblers.

(122) "Temperature measuring device" means a thermometer, thermocouple, thermistor, or other device that indicates the temperature of food, air, or water.

(123) "Temporary food service operation" means a food service operation that is operated at an event for no more than five consecutive days, except when operated for more than five consecutive days under division (E)(2) of section 3717.43 of the Revised Code.

(124) "Temporary retail food establishment" means a retail food establishment that is operated at an event for not more than five consecutive days, except when operated for more than five consecutive days pursuant to division (E)(2) of section 3717.23 of the Revised Code.

(125) "Time/temperature controlled for safety food" or "TCS food" means a food that needs time/temperature control for safety to limit pathogenic microorganism growth or toxin formation.

(a) TCS food includes:

(i) An animal food that is raw or heat-treated; a plant food that is heat-treated or consists of raw seed sprouts, cut melons, cut leafy greens, cut tomatoes or mixtures of cut tomatoes that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation, or garlic-in-oil mixtures that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation; and

(ii) Except as specified in paragraph (B)(125)(b)(iv) of this rule, a food that because of the interaction of its a_w and pH values is designated as product assessment needed (PA) in table A or B of this rule.

Table A. Interaction of pH and a_w for control of spores in food heat-treated to destroy vegetative cells and subsequently packaged.

| | pH 4.6 or less | pH greater than 4.6 to 5.6 | pH greater than 5.6 | | --- | --- | --- | --- | | a_w less than or equal to 0.92 | non-TCS food | non-TCS food | non-TCS food | | a_w greater than 0.92 to 0.95 | non-TCS food | non-TCS food | PA | | a_w greater than 0.95 | non-TCS food | PA | PA |

Table B. Interaction of pH and a_w for control of vegetative cells and spores in food not heat-treated or heat-treated but not packaged.

| | pH less than 4.2 | pH 4.2 to 4.6 | pH greater than 4.6 to 5.0 | pH greater than 5.0 | | --- | --- | --- | --- | --- | | a_w less than 0.88 | non-TCS food | non-TCS food | non-TCS food | non-TCS food | | a_w 0.88 to 0.90 | non-TCS food | non-TCS food | non-TCS food | PA | | a_w greater than 0.90 to 0.92 | non-TCS food | non-TCS food | PA | PA | | a_w greater than 0.92 | non-TCS food | PA | PA | PA |

(b) TCS food does not include:

(i) An air-cooled hard-boiled egg with shell intact, or an egg with shell intact that is not hard-boiled, but has been pasteurized to destroy all viable salmonellae;

(ii) A food in an unopened hermetically sealed container that is commercially processed to achieve and maintain commercial sterility under conditions of non-refrigerated storage and distribution;

(iii) A food that because of its pH or a_w value, or interaction of a_w and pH values, is designated as a non-TCS food in table A or B of paragraph (B)(125)(a) of this rule;

(iv) A food that is designated as product assessment needed (PA) in table A or B of paragraph (B)(125)(a) of this rule and has undergone a product assessment showing that the growth or toxin formation of pathogenic microorganisms that are reasonably likely to occur in that food is precluded due to:

(a) Intrinsic factors including added or natural characteristics of the food such as preservatives, antimicrobials, humectants, acidulants, or nutrients,

(b) Extrinsic factors including environmental or operational factors that affect the food such as packaging, modified atmosphere such as reduced oxygen packaging, shelf life and use, or temperature range of storage and use, or

(v) A food that does not support the growth or toxin formation of pathogenic microorganisms in accordance with either paragraph (B)(125)(b)(i), (B)(125)(b)(ii), (B)(125)(b)(iii), or (B)(125)(b)(iv) of this rule even though the food may contain a pathogenic microorganism or chemical or physical contaminant at a level sufficient to cause illness or injury.

(126) "Tobacco product" has the meaning specified in Chapter 2927. of the Revised Code.

(127) "USDA" means the United States department of agriculture.

(128) "Utensil" means a food-contact implement or container used in the storage, preparation, transportation, dispensing, sale, or service of food, such as kitchenware or tableware that is multiuse, single-service, or single-use; gloves used in contact with food; temperature sensing probes of food temperature measuring devices; and probe-type price or identification tags used in contact with food.

(129) "Variance" means a written document issued by the Ohio department of agriculture or the Ohio department of health that authorizes a modification or waiver of one or more requirements of this chapter if, in the opinion of the Ohio department of agriculture or the Ohio department of health, a health hazard or nuisance will not result from the modification or waiver.

(130) "Vending machine" means a self-service device that automatically dispenses on the insertion of currency, token, card, key, by electronic transaction, or similar means a predetermined unit serving of food, either in bulk or in package, without having to be replenished after each use.

(131) "Vending machine location" means an area or room where one or more vending machines are installed and operated, except that if the machines within an area are separated by more than one hundred fifty feet, each area separated by that distance constitutes a separate vending machine location.

(132) "Warewashing" means the cleaning and sanitizing of utensils and food-contact surfaces of equipment.

(133) "Whole-muscle, intact beef" means whole muscle beef that is not injected, mechanically tenderized, reconstructed, or scored and marinated, from which beef steaks may be cut.

Last updated September 5, 2024 at 11:02 AM

History

Effective: September 5, 2024
Promulgated Under: 119.03

Ohio Adm.Code 173-4-05.2

The following are the requirements to include in every AAA-provider agreement for a home-delivered meals project paid, in whole or in part, with Older Americans Act funds:

(A) The AAA-provider agreement is subject to rules 173-3-06 and 173-4-05 of the Administrative Code.

(B) Delivery:

(1) Availability:

(a) Per-meal delivery:

(i) To a consumer who chooses to receive per-meal deliveries and needs meals on five or more days per week, the provider shall deliver at least one meal per day for five or more days per week.

(ii) To a consumer who chooses to receive per-meal deliveries, but does not need meals on five or more days per week, the provider shall deliver at least one meal per day on days that the consumer needs meals.

(b) Periodic delivery: The provider has flexibility to deliver meals to cover multiple mealtimes in one delivery to consumers who choose periodic deliveries.

(c) State of emergency: During a state of emergency declared by the governor or a federal public health emergency, the provider has flexibility to, in one delivery, deliver meals to cover multiple mealtimes for consumers who received meals before the state of emergency (or federal public health emergency) by per-meal delivery or periodic delivery.

(2) Successful deliveries: The provider may deliver meals to the consumer's home only when the consumer or the consumer's caregiver is home, unless otherwise authorized by the AAA.

(3) Delivery method: 45 C.F.R. 1321.87 allows the provider to deliver meals by home delivery, pick-up, carry-out, drive-through, or similar methods.

(C) Emergency closings: The provider shall develop and implement emergency preparedness plans for emergency closings due to short-term weather-related emergencies, loss of power, kitchen malfunctions, natural disasters, a state of emergency declared by the governor (or a federal public health emergency), etc. that include both of the following:

(1) Providing timely notification of emergency situations to consumers.

(2) Distributing either of the following:

(a) Information to consumers on how to stock an emergency food shelf.

(b) Shelf-stable meals to consumers for an emergency food shelf.

(D) Quality assurance: Each year, the provider shall implement a plan to evaluate and improve the effectiveness of the project's operations and services to ensure continuous improvement by reviewing the existing project and the needs or interest of consumers, staff, or volunteers.

(E) Delivery verification: The following are the mandatory reporting items for each meal delivery that a provider retains to comply with the requirements under paragraph (B)(9) of rule 173-3-06 of the Administrative Code:

(1) Consumer's name.

(2) Delivery date.

(3) Number of meals delivered.

(4) A unique identifier of the consumer, the consumer's caregiver, or the delivery person to attest to the delivery.

(F) Health and wellness: 45 C.F.R. 1321.87 allows the provider to encourage consumers of home-delivered meals to participate in congregate dining and other health-and-wellness activities, as feasible, based on a person-centered approach and local availability.

Last updated November 5, 2025 at 8:56 AM

History

Effective: November 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-02 AAAs: planning and service areas.

(A) ODA publishes the list of PSA designations on its website. The existing PSA designations as of July 1, 2024 are retained unless changed through the process listed in paragraph (E) of this rule.

(B) ODA designates and make changes to designated PSAs according to 45 C.F.R. 1321.13 and section 173.011 of the Revised Code.

(C) Any person may submit an application to ODA requesting a change to one or more PSA designations, with supporting documentation addressing the factors under 45 C.F.R. 1321.13(d), by emailing legal@age.ohio.gov and copying elderconnections@age.ohio.gov.

(D) ODA may initiate a change to one or more PSA designations by publishing a proposed order that includes consideration of the factors under 45 C.F.R. 1321.13(d).

(E) ODA uses the following process on receipt of a complete application, or issuance of an ODA-proposed order, to change one or more PSA designations:

(1) Publish a notice of public hearing on ODA's website that includes instructions on ways to participate in the hearing, along with the ODA-proposed order or application, as applicable.

(2) Provide an email notice directly to affected AAAs, and interested parties who have subscribed to ODA's announcements on rules review that announces the publication of the public notice on ODA's website.

(3) Conduct a public hearing on the ODA-proposed order or application, as applicable, no fewer than thirty days after issuing the notice of public hearing.

(4) Prepare or revise the ODA-proposed order, as applicable, after considering all public testimony, then publish the proposed order or revised order on ODA's website.

(5) Comply with the adjudication hearing procedures in sections 119.05 to 119.09 of the Revised Code.

(6) Provide a notice of opportunity for hearing, with a proposed order that considers the factors in 45 C.F.R. 1321.13(d) and any other relevant factor identified by ODA, to any applicant and each affected AAA.

(F) Any applicant or affected AAA may appeal an adverse ODA final order pursuant to 45 C.F.R. 1321.17.

(G) ODA may issue a provisional designation of a PSA if circumstances exist in which a provisional designation is needed to maintain service to consumers and comply with the Older Americans Act. The following standards apply to a provisional designation:

(1) The ODA order of provisional designation includes consideration of the factors under 45 C.F.R. 1321.13(d) and identifies the geographic boundaries of the provisional PSA.

(2) ODA may divide a PSA into one or more provisional PSAs.

(3) The provisional order remains in effect until ODA issues a final order of PSA designation, but not longer than one hundred eighty days, unless ODA extends the provisional order for an additional ninety days for good cause.

Last updated February 3, 2025 at 8:17 AM

History

Effective: February 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-03 AAAs: fiscal standards and intrastate funding formula (IFF).

(A) The IFF determines how AGE distributes the state's Title III and Title VII Older Americans Act funds to each PSA, unless federal or state laws instruct AGE to distribute the funds in another manner. The standards to prepare, develop, and publish the IFF are established by 45 C.F.R. 1321.49 and 42 U.S.C. 3025(a) and (d), using the best available data.

(B) AGE publishes a notice on AGE's website, along with the proposed IFF, and provides an announcement of the notice by e-mail to the AAAs and interested parties who have subscribed to AGE announcements on rules review to obtain public comment from older individuals, family caregivers, other appropriate agencies and organizations, and the general public.

(C) AGE conducts a review, update, and submission of the IFF for approval to the assistant secretary for aging through the state plan process, as required by 45 C.F.R. 1321.33.

(D) The appendix to this rule lists applicable fiscal standards for Older Americans Act funds.

View Appendix

Last updated October 1, 2025 at 8:04 AM

History

Effective: October 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-04 AAAs: designation of and designation changes to area agencies.

(A) ODA publishes the list of AAA designations on its website. The existing AAA designations as of July 1, 2024 are retained unless changed through the process in this rule.

(B) ODA shall designate and change AAA designations in compliance with 45 C.F.R. 1321.19. All designated AAAs shall enter into an operations agreement with ODA.

(C) ODA may change an AAA's designation when ODA changes one or more PSA designations, the AAA voluntarily relinquishes a designation and ODA provides a written acceptance, ODA withdraws the AAA's designation pursuant to 45 C.F.R. 1321.21 and rule 173-2-08 of the Administrative Code, or for any other permissible reason.

(D) ODA shall comply with the following standards for designation and designation changes to an AAA:

(1) Publish a public notice on ODA's website soliciting applications and input from interested parties, and provide an email notice directly to interested parties who have subscribed to ODA announcements on rules review, the units of general purpose local governments within the PSA, and the designated AAAs that announces the publication of the public notice on ODA's website.

(2) Any entity may apply to ODA for consideration:

(3) The following are the minimum standards for consideration of an application:

(a) The applicant is one of the types of agencies listed under 45 C.F.R. 1321.19(c).

(b) Not more than one AAA is designated per PSA.

(d) The application describes the entity's relevant experience and ability to be designated an AAA.

(e) The applicant has not had an AAA designation withdrawn for cause within the past twelve months.

(f) The application includes a draft area plan.

(4) 45 C.F.R. 1321.19 gives a unit of general-purpose local government the right of first refusal if the unit meets both of the following qualifications:

(a) The unit demonstrates the ability to meet the requirements of this chapter and Chapters 173-3, 173-4, and 173-9 of the Administrative Code, the Older Americans Act, 2 C.F.R. Parts 200 and 300, and 45 C.F.R. Parts 75 and 1321.

(b) The unit's boundaries are reasonably contiguous to the PSA's boundaries.

(5) 45 C.F.R. 1321.19 gives an established office on aging the right of second refusal if a unit of general-purpose local government does not apply or does not meet the minimum standards or qualifications.

(6) ODA provides a notice of the selected entity and an opportunity for hearing to each applicant pursuant to the adjudication hearing procedures found in sections 119.05 to 119.09 of the Revised Code.

(7) An applicant may appeal any adverse ODA final order pursuant to 45 C.F.R. 1321.23.

(E) A selected entity's designation is conditioned on compliance with rule 173-2-06 of the Administrative Code and executing an operations agreement with ODA.

(F) ODA may assume temporary AAA responsibilities or delegate those responsibilities to one or more general purpose unit(s) of local government, established office(s) on aging pursuant to 42 U.S.C. 3026(f) or 45 C.F.R. 1321.19(a) if no entity applied or qualified.

(G) ODA may withhold funds from a designated AAA pursuant to 42 U.S.C 3026(f) after issuing a notice and an opportunity for hearing pursuant to sections 119.05 to 119.09 of the Revised Code

(H) Definition for this rule: "Unit of general-purpose local government" has the same meaning as in 42 U.S.C. 3022(4).

Last updated February 3, 2025 at 8:17 AM

History

Effective: February 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-08

(A) AGE establishes requirements for AAA commercial relationships in compliance with 42 U.S.C. 3020c and 45 C.F.R. 1321.9(c)(2)(xiv).

(1) For purposes of this rule, a "commercial relationship" means any AAA legal agreement or contract, for the AAA to provide or facilitate a service that is also available under the Older Americans Act (OAA), to an individual or entity not otherwise receiving OAA services, regardless of the source of funding. A "commercial relationship" includes contracts with health care payers, private pay programs, and other arrangements with entities or individuals that increase the availability of home- and community-based services and supports. The following types of agreements are explicitly excluded from this definition:

(a) An agreement in which an AAA uses OAA funding to pay another entity to provide OAA services to consumers in accordance with the approved AAA area plan.

(b) An agreement in which an AAA uses OAA funding to pay an entity to meet the administrative needs necessary to enable the AAA to fulfill its obligations under the OAA.

(d) An agreement in which an AAA pays another entity to provide services pursuant to an AGE pre-approved or approved commercial relationship.

(2) Commercial relationships that are pre-approved by AGE, unless the AAA has received an audit report with financial findings within the previous twelve months, include the following:

(a) An agreement solely with a governmental entity.

(b) An agreement solely with another designated AAA.

(c) A renewal or extension of a commercial relationship previously approved by AGE that has substantially the same terms and conditions as the previously approved commercial relationship, if any renewal or extension occurs no later than three years after the expiration of the initial AGE-approved commercial relationship.

(B) An AAA may establish a commercial relationship with any entity if the AAA:

(1) Develops policies and procedures, and ensures that service providers develop policies and procedures, that comply with 45 C.F.R. 1321.9(c)(2)(xiv)(B).

(2) Obtains AGE's approval of the commercial relationship in accordance with 42 U.S.C. 3020c, 42 U.S.C. 3025(a)(1)(C), 42 U.S.C. 3026(a)(13) to (a)(15), and 45 C.F.R. 1321.9(c)(2)(xiv), which includes the following:

(a) Submit a completed application for approval of any commercial relationship on an AGE-approved form by e-mail to legal@age.ohio.gov. The timing of the submission may occur before or after obtaining the signatures of the parties if no term of the agreement is substantially altered.

(b) Unless the commercial relationship is pre-approved, engage in an interactive process with AGE by providing any information, documentation, or assurances as requested by AGE to ensure the prompt and efficient processing of a completed application within fifteen business days, plus any time an AAA may need to respond to AGE inquiries.

(c) Provide for an exception in any non-disclosure provision or commercial relationship to allow AGE to obtain information concerning, and a copy of, the commercial relationship on request. AAAs may redact trade secret information with any submission.

(d) Ensure the proposed commercial relationship complies with 42 U.S.C. 3020c(a) and (b), and 45 C.F.R. 1321.9(c)(2)(xiv).

(3) An amendment to a commercial relationship which substantially alters a term or condition of an AGE-approved commercial relationship is subject to the approval standards in paragraph (B)(2) of this rule, unless paragraph (A)(2) of this rule applies.

Last updated April 1, 2026 at 7:28 AM

History

Effective: April 1, 2026
Promulgated Under: 119.03

Ohio Adm.Code 173-2-06

(A) Monitoring: ODA shall monitor each AAA to ensure grant awards are used for authorized purposes and in compliance with state and federal statutes, regulations, and the terms and conditions of each award.

(B) Reporting and corrective-action plans (CAPs):

(1) ODA shall notify an AAA of the results of the monitoring review, including any instance of non-compliance ("deficiency"). In the notice, ODA shall require the AAA to develop a CAP and to correct the deficiency.

(2) In response to ODA's notice, the AAA shall provide ODA with a proposed CAP. In the CAP, the AAA shall include all of the following:

(a) The manner in which the AAA will correct the deficiency.

(b) The correction deadline.

(3) ODA shall review the AAA's proposed CAP and shall inform the AAA of its decision to either approve the AAA's CAP or impose the corrective action in paragraph (C)(1) of this rule.

(1) ODA shall impose corrective action on an AAA in any of the following three situations:

(a) The AAA's CAP failed to comply with paragraph (B)(2) of this rule.

(b) The AAA failed to fully implement the ODA-approved CAP.

(c) ODA immediately imposes corrective action without first requiring the AAA to develop a proposed CAP due to one or more of the following situations:

(i) Laws or agreements necessitate immediate corrective action.

(ii) The consumers' health, safety, or welfare necessitates immediate corrective action.

(iii) Protecting state or federal dollars necessitates immediate corrective action.

(2) ODA shall consider the AAA's history of deficiencies, the impact of the present deficiency or other unrelated deficiencies, and the cause of the deficiency or other unrelated deficiencies when determining the nature and extent of corrective action to impose on the AAA.

(3) ODA shall impose one or more of the following corrective actions upon an AAA to comply with paragraph (C)(1) of this rule:

(a) ODA may require the AAA to fully implement the AAA's self-imposed, but not yet fully-implemented, CAP.

(b) ODA may develop new corrective actions to impose upon the AAA.

(d) ODA may terminate all or part of the AAA's present grants and contracts. If ODA terminates all or part of an AAA's grants or contracts, ODA shall take all actions necessary to ensure the continuation of any services directly provided by the AAA that were authorized for consumers in the PSA. The actions that ODA takes to ensure the continuation of services may include directly administering the AAA's grants and contracts or contracting with another AAA to administer the deficient AAA's grants and contracts on ODA's behalf.

(e) ODA may withhold one or more future grant awards to the AAA under 42 U.S.C. 3026(f).

(f) ODA may withdraw the designation according to rule 173-2-07 of the Administrative Code.

(g) ODA may impose any other corrective action that laws authorize.

(h) ODA shall inform the AAA of ODA's acceptance of the AAA's response to an ODA-imposed CAP.

Last updated February 3, 2025 at 8:18 AM

History

Effective: February 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-05 AAAs: standards for AAAs.

(A) Each AAA shall comply with all the following standards:

(1) All requirements for an AAA in this chapter and Chapters 173-3, 173-4, and 173-9 of the Administrative Code.

(2) The requirements under 42 U.S.C. 3026(a)(1) and 45 C.F.R. 1321.55 to establish a comprehensive and coordinated system.

(3) The requirement under 45 C.F.R. 1321.55(b)(10) for a board of directors.

(4) The standards under 45 C.F.R. 1321.57, section 173.38 of the Revised Code, Chapter 173-9 of the Administrative Code, and paragraph (A)(9) of this rule on staffing and staff qualifications.

(5) The requirements under 45 C.F.R. 1321.47(a)(5) and 1321.59 for policies and procedures.

(6) The requirements under 42 U.S.C. 3026(a)(6)(B) and 45 C.F.R. 1321.61 on advocacy.

(7) The requirement under 42 U.S.C. 3026(a)(6)(D) and 45 C.F.R. 1321.63 to establish an advisory council.

(8) The following area-plan standards and procedures, pursuant to 45 C.F.R. 1321.65:

(a) AGE notifies each AAA before its current area plan expires of the upcoming need to prepare and submit a new four-year area plan in the format described in the notice, and to submit that area plan according to the instructions in the notice with the following:

(i) The AAA's plan for a comprehensive and coordinated service delivery system for services to older individuals in its PSA.

(ii) Assurances, an operational budget, and the AAA's plan to distribute funds in the PSA to address populations identified as in greatest social need and greatest economic need within the parameters listed in the appendix to rule 173-2-03 of the Administrative Code.

(iii) Any funds transfer requests that the AAA wants, within the parameters listed in the appendix to rule 173-2-03 of the Administrative Code.

(iv) Any waiver request under rule 173-2-09 of the Administrative Code that the AAA requests.

(v) A description of the populations in the PSA at greatest economic and greatest social need.

(vi) An assessment of the needs of older individuals, including an assessment and evaluation of unmet need, in the PSA through various mechanisms including community forums, questionnaires, reputable data sources, and surveys.

(vii) The AAA's response to the findings of the needs assessment.

(viii) The input provided through the public participation in paragraph (A)(8)(b) of this rule.

(ix) A description of the AAA's compliance with 45 C.F.R. 1321.65(d).

(x) Any other information listed in the notice as a requirement for an area plan.

(b) The requirement under 45 C.F.R. 1321.65(b)(4) for each AAA to incorporate public participation in the development of its area plan according to AGE's standards for the public participation, which are to conduct a public hearing on its area plan by notifying providers, older individuals, other stakeholders, and the general public in the PSA of the date, time, and place of the public hearing.

(c) The AAA shall fully implement the duties outlined in its approved area plan, whether it does so directly or through contractual or other arrangements.

(d) An AAA may appeal a denied area plan by emailing elderconnections@age.ohio.gov and including any of the following type of information that apply in, or attached to, the email:

(i) The information required under paragraph (A)(8)(a) of this rule, if the denial was based on incomplete or incorrect information in the AAA's original submission.

(ii) A defense of compliance with federal laws and rules and state laws and rules, if the denial was based on non-compliance with those laws and rules.

(iii) Any other information noted in the denial as missing.

(e) An AAA may request AGE's approval to amend an approved area plan by emailing elderconnections@age.ohio.gov including all of the following information in, or attached to, the email:

(i) An explanation of the need to amend.

(ii) A correction to the information the AAA originally submitted to AGE under paragraph (A)(8)(a) of this rule, that is the basis for the proposed amendment.

(iii) An explanation of how the amended area plan will comply with federal laws and rules and state laws and rules.

(f) AGE may request additional information from the AAA before deciding whether to approve an appeal under paragraph (A)(8)(d) of this rule or an amendment under paragraph (A)(8)(e) of this rule.

(9) The conflict-of-interest standards under 45 C.F.R. 1321.67, which include the following standards adopted pursuant to 45 C.F.R. 1321.47;

(a) An organizational conflict of interest is subject to an AGE-approved remedy.

(b) An individual conflict of interest is subject to an AGE-approved remedy.

(c) The requirement under 45 C.F.R. 1321.67(a)(5) to periodically review the Title III program to identify, avoid, and remove individual or organizational conflicts of interest.

(d) The requirement under 2 C.F.R. 200.112 for the AAA to report any potential organizational or individual conflict of interest to AGE.

(e) An AAA may email AGE at legal@age.ohio.gov with a proposed remedy to a conflict of interest for AGE's approval.

(10) The requirement in 42 U.S.C. 3026(a)(13)(A) and 2 C.F.R. 200.303 for the AAA to monitor each provider with whom it enters into an AAA-provider agreement under rule 173-3-06 of the Administrative Code.

(B) Definitions for this rule:

(1) "Conflict of interest" has the same meaning as defined or described by all of the following:

(a) Chapter 102. of the Revised Code, as that chapter applies to an instrumentality of the state.

(b) Section 2921.42 of the Revised Code, as that section applies to an instrumentality of the state.

(d) 42 U.S.C. 3026(a)(8)(C)(iii).

(e) 2 C.F.R. 200.318 and 200.319 regarding procurement and competition.

(f) 45 C.F.R. 1321.3, 1321.55(d), 1321.63(d), and 1321.67.

(g) The United States department of health and human services policies issued pursuant to 2 C.F.R. 300.112.

(2) "Individual conflict of interest" means a conflict of interest held by an AAA's employee, board member, advisory council member, or volunteer, or provider and contractor. "Individual conflict of interest" includes any conflict listed under 45 C.F.R. 1321.47(b). If the AAA directly provides case management, then "individual conflict of interest" also includes the conflict described in 42 U.S.C. 3026(a)(8)(C)(iii).

(3) "Organizational conflict of interest" means a conflict of interest held by an AAA or its advisory council. "Organizational conflict of interest" includes any conflict listed under 45 C.F.R. 1321.47(c).

(4) "Remedy" means an action, restriction of action, restriction of contact, or other means to neutralize a conflict of interest. Examples of remedies to an organizational conflict of interest are a firewall between the organization's conflicting functions or the termination of one or more of the organization's conflicting functions. Examples of remedies to an individual conflict of interest are the recusal, reassignment, or termination of the employee, board member, advisory council member, or volunteer with the conflict.

Last updated January 5, 2026 at 8:27 AM

History

Effective: January 1, 2026
Promulgated Under: 119.03

Ohio Adm.Code 173-2-09

(A) Definitions for this rule:

(1) "Direct service waiver" means permission for an AAA to directly provide a service paid with Title III-B, III-C, III-D, or III-E Older Americans Act funds or senior community service funds in lieu of procuring for a provider(s) to provide the service in its PSA.

(2) "Title III-B required funding allocation waiver" means permission for an AAA to allocate less than the percentage of funding designated in Ohio's state plan on aging for services paid with Title III-B Older Americans Act funds as required by 42 U.S.C. 3026(a)(2) and 45 C.F.R. 1321.9(c)(2)(v) and 1321.27(i).

(3) "Cost sharing waiver" means permission for an AAA to not comply with the requirements paragraph (C)(2) of rule 173-3-07 of the Administrative Code.

(4) "Competitive procurement waiver" means permission for an AAA to use non-competitive procurement in paragraph (B) of rule 173-3-05 of the Administrative Code.

(B) Waiver requests:

(1) An AAA may request a waiver concurrent with the AAA's area plan cycle as defined in its area plan, as part of any of the following submissions:

(a) Area plan.

(b) Annual area plan update.

(2) Determinations:

(a) Waiver requests submitted with the area plan or annual update receive a response as part of the area plan approval process.

(b) Waiver requests submitted as an emergency request receive a response within thirty days after AGE's receipt of a complete waiver request. If AGE determines that it needs clarification on the request or supporting documentation, AGE's response time may be extended.

(3) Duration: A waiver does not extend beyond the AAA's area plan cycle.

(4) Direct service waiver:

(a) In accordance with 45 U.S.C. 1321.65(b)(7)(ii) and Ohio's state plan on aging, an AAA may directly provide case management, information and assistance, and outreach without first requesting and obtaining a waiver.

(b) A request qualifies for approval only if it meets the following standards:

(i) The request meets the standards in 42 U.S.C. 3027(a)(8)(A) and 45 C.F.R. 1321.65(b)(7).

(ii) The request is submitted on form ODA3002.

(iii) The request includes the following:

(a) A copy of the RFP.

(b) The list of prospective and current providers notified of the RFP.

(d) The names of those that submitted a proposal.

(e) The reason(s) why the proposals received were not acceptable.

(i) An AAA may request an emergency direct service waiver under any one or more of the following circumstances:

(a) A current service provider is unable to continue to meet its timely provision of service to consumers.

(b) An established service provider's contract is suddenly terminated by the provider or AAA.

(ii) A request qualifies for approval only if it meets the following standards:

(a) The request is submitted on form ODA3003.

(b) The request states the circumstance(s) that constitute an emergency.

(d) The request includes a precise explanation of the applicable service and the number of consumers and counties impacted.

(e) The request includes a detailed action plan for the AAA and timelines indicating when a provider will be in place for the services identified in the emergency request.

(f) The request includes a detailed explanation indicating the AAA's efforts to identify providers to offer services using a competitive procurement process under rule 173-3-05 of the Administrative Code.

(5) Title III-B required funding allocation waiver: A request qualifies for approval only if it meets the following standards:

(a) The request meets the requirements in 42 U.S.C. 3026(c).

(b) The request is submitted on form ODA3001.

(i) A specific review of the waiver request.

(ii) A public hearing notice was provided to the public, providers, older individuals in the PSA, and other stakeholders at least ten business days before the public hearing.

(iii) The public hearing notice was provided by:

(a) Publishing through external publicly available digital and/or print media that reaches all geographic regions of the PSA.

(b) Posting on the AAA's website, social media outlets, media channels, and other city or local governmental websites where notices of local public hearings are posted.

(iv) The public hearing notice included the following:

(a) The date, time, and location of the public hearing.

(b) The specific reason for the public hearing, including the type of waiver the AAA intends to seek from AGE.

(d) The amount and source of funds involved.

(e) The AAA's reason(s) for requesting to reallocate funds.

(f) Instructions for reviewing the waiver request documents before the public hearing.

(g) The deadline for submitting written comments and the address to which written comments may be directed.

(h) A contact name for more information.

(v) A copy of the public hearing notice was sent to the service providers within the PSA and anyone who requested notification of such public hearings.

(vi) Evidence of the AAA's active effort to notify potential providers and encourage their participation in the process.

(6) Cost sharing waiver: A request qualifies for approval only if it meets the following standards:

(a) The AAA demonstrates that its request meets the requirements in 42 U.S.C. 3030c-2(a)(6) and 45 C.F.R 1321.9(c)(2)(xi)(A). To meet the requirement in 42 U.S.C. 3030c-2(a)(6)(A), at least eighty per cent of consumers receiving services subject to cost sharing in the PSA have incomes below one hundred fifty per cent of the federal poverty guidelines.

(b) The request is submitted on form ODA3004.

(7) Waiver of competitive procurement: A request for waiver of competitive procurement, which is separate from an emergency waiver request, qualifies for approval only if it meets the standards in paragraph (B) of rule 173-3-05 of the Administrative Code.

Last updated January 5, 2026 at 8:26 AM

History

Effective: January 1, 2026
Promulgated Under: 119.03

Ohio Adm.Code 173-3-06

(A) Federal requirements for every AAA-provider agreement (agreement) for services paid, in whole or in part, with Older Americans Act funds:

(1) The Older Americans Act.

(2) Subparts C and D of 45 C.F.R. Part 1321.

(3) 2 C.F.R. 200.318 to 200.327 and 2 C.F.R. Part 300.

(4) 45 C.F.R. Parts 160, 162, and 164 regarding individually identifiable health information and protected health information.

(5) Any additional federal law, rule, or executive order with jurisdiction over the agreement or any service procured through the agreement.

(B) State requirements for every agreement for services paid, in whole or in part, with Older Americans Act funds:

(1) Program and funding identification:

(a) The agreement shall identify the names of the federal and state programs that are sources for the Older Americans Act funding being used to pay for the services procured through the agreement.

(b) The agreement shall contain the following statement:

"This agreement is for the provision of services paid with federal funds that the United States Department of Health and Human Services appropriated to the Ohio Department of Aging (AGE). AGE, in turn, allocated the federal funds to the area agency on aging. The agreement is subject to federal and state laws, rules, and executive orders with jurisdiction over the agreement or any service procured through the agreement."

(2) Additional state laws:

(a) The agreement is subject to any rule in this chapter or Chapter 173-4 of the Administrative Code regulating agreements in general or the provision of any service being procured through the agreement.

(b) The agreement is subject to any additional state law, rule, or executive order with jurisdiction over agreements in general or the provision of any service procured through the agreement.

(3) Safety:

(a) Disasters: The agreement shall require the provider to cooperate with the AAA and AGE to assess disaster impact on consumers and to coordinate with public and private resources in the field of aging to assist consumers when the president of the United States declares that the provider's service area is a disaster area.

(b) Significant changes: If the provider provides a service to a consumer who is enrolled in a case management service as part of care coordination, then the agreement shall require the provider to notify the AAA of any significant change that may necessitate a reassessment the case-managed consumer's need for the service no later than one day after the provider is aware of a repeated refusal to receive the service; changes in the consumer's physical, mental, or emotional status; documented changes in the consumer's environmental conditions; or, other significant, documented changes to the consumer's health and safety. If "one day after" falls on a weekend or legal holiday, the deadline is extended to the next business day.

(c) APS: The agreement shall require the provider to immediately report any reasonable cause to believe a consumer is the victim of abuse, neglect, or exploitation to the local adult protective services program in accordance with section 5101.63 of the Revised Code.

(d) Discontinuing the provision of services: If the provider provides a service to a consumer who is enrolled in a case management service with the AAA as part of care coordination, the agreement shall require the provider to notify the AAA and the case-managed consumer in writing of the anticipated last day the provider will provide the service to the case-managed consumer no later than thirty days before the anticipated last day, unless the reason for discontinuing the service is the hospitalization, institutionalization, or death of the consumer; serious risk to the health or safety of the provider; the consumer's decision to discontinue the service; or a similar reason why the provider is unable to notify the AAA and the case-managed consumer thirty days before the anticipated last day. The provider shall also notify the case-managed consumer on how to reach a long-term care ombudsman. If the thirtieth day falls on a weekend or legal holiday, the deadline is extended to the next business day.

(4) Confidentiality: In addition to the federal requirements in 45 C.F.R. Parts 160, 162, and 164 and 45 C.F.R. 1321.75 the agreement shall require the provider to store each consumer's electronic records in a password-protected file and physical records in a designated, locked storage space.

(5) Provider qualifications: In the agreement, the AAA shall include the following requirements:

(a) When hiring an applicant for, or retaining an employee in, a paid direct-care position, the provider is subject to section 173.38 of the Revised Code and Chapter 173-9 of the Administrative Code, or if self-employed, section 173.381 of the Revised Code and Chapter 173-9 of the Administrative Code.

(b) If a federal, state, or local government regulatory authority prohibits the provider from providing a service required by the agreement, the provider shall notify the AAA of the disciplinary action and the AAA shall, simultaneous to the date of the regulatory authority's disciplinary action, deem the provider to be ineligible to be paid with Older Americans Act funds for providing that service to consumers.

(6) Subcontracting: The agreement shall require the provider to obtain authorization from the AAA before subcontracting any of its duties under the agreement to another provider.

(7) Modification:

(a) The agreement shall describe the grounds (and the process) for modifying the agreement.

(b) The agreement shall state that if an amendment, repeal, or rescission of any law, rule, or regulation cited in the agreement would change the responsibilities of the AAA, the provider, or both the AAA and provider, then the AAA, the provider, or both the AAA and provider shall comply with the amendment, repeal, or rescission of the law, rule, or regulation even if the agreement is not updated before the amendment, repeal, or rescission takes effect.

(c) Every new agreement shall require the provider to sign up for email updates on AGE's rules on https://aging.ohio.gov/wps/portal/gov/aging/see-news-and-events/subscribe/subscribe.

(8) Renewable and multi-year agreements: If the agreement is renewable or covers a multi-year term, the agreement is subject to the requirements for renewable or multi-year agreements under rule 173-3-05 of the Administrative Code.

(9) Records: The agreement shall include the following permissions and requirements:

(a) Permission to use an electronic system to collect or retain records.

(b) A requirement to retain any record relating to services provided, including activity plans (if required), assessments (if required), permits (if required), evaluations (if required), and mandatory reporting items to verify a unit of service, until all of the following periods of time have passed:

(i) Three years after the date the provider receives payment for the services.

(ii) The date on which AGE, the AAA, or a duly-authorized law enforcement official concludes monitoring the records and any findings are finally settled.

(iii) The date on which the auditor of the state of Ohio, the inspector general, or a duly-authorized law enforcement official concludes an audit of the records and any findings are finally settled.

(c) A requirement to retain all records regarding an employee's background checks and qualifications, including records on initial qualifications, successful completion of orientation and subsequent training (if required), and performance reviews (if required) until all of the following periods of time have passed:

(i) Three years after the date the provider no longer retains the employee.

(ii) The date on which AGE, the AAA, or a duly-authorized law enforcement official concludes monitoring the records and any findings are finally settled.

(iii) The date on which the auditor of the state of Ohio, the inspector general, or a duly-authorized law enforcement official concludes an audit of the records and any findings are finally settled.

(d) A requirement to participate in good faith in the monitoring of the provider's provision of services. To participate in good faith includes assisting the AAA and AGE with the scheduling of announced or unannounced monitoring and providing the AAA and AGE with access to its business site(s) during the provider's normal business hours, a place to work in its business site(s), and access to policies and records for each unit of service billed.

(10) Payment:

(a) The agreement shall describe how the AAA pays the provider, including the amount and payment method.

(b) The agreement shall include the following requirements:

(i) The requirements in rule 173-3-07 of the Administrative Code.

(ii) The requirement to return any Older Americans Act funds payments for its services, if the provider's provision of the services did not comply with the laws, rules, or executive orders with jurisdiction over the provision of the service.

(11) Administrative hearings:

(a) The agreement shall state that the provider may appeal an action the AAA takes against the provider according to rule 173-3-09 of the Administrative Code and state the procedures by which the provider may appeal the adverse action.

(b) If the AAA intends to redistribute unearned funds to other providers, the agreement shall state that it may redistribute funds if a provider is not, in a timely manner, earning the funds it was awarded and if the AAA determines the provider is not, in a timely manner earning the funds it was awarded in the agreement.

(C) An AAA may add requirements to an agreement in addition to the requirements in paragraphs (A) and (B) of this rule if the additional requirements do not conflict with any federal laws, rules, or executive orders with jurisdiction over the agreement or state laws, rules, or executive orders with jurisdiction over the agreement.

(D) Any reference in this rule to a consumer includes a caregiver if the caregiver is the service recipient.

Last updated January 5, 2026 at 9:54 AM

History

Effective: January 1, 2026
Promulgated Under: 119.03

Ohio Adm.Code 173-2-07

(A) ODA shall withdraw an AAA's designation in compliance with 45 C.F.R. 1321.21.

(B) ODA shall accept any voluntary withdrawal of designation in writing pursuant to 45 C.F.R. 1321.19(a)(2) which acts as ODA's withdrawal of designation without any right of appeal.

(C) ODA shall provide to the affected AAA a notice and an opportunity for a hearing according to sections 119.05 to 119.09 of the Revised Code.

(D) The AAA may appeal any adverse ODA final order pursuant to 45 C.F.R. 1321.23.

(E) ODA shall comply with 45 C.F.R. 1321.21(b) on issuing a final order of withdrawal.

(F) ODA may assume temporary AAA responsibilities or delegate those responsibilities to one or more general purpose unit(s) of local government, established office(s) on aging, pursuant to 45 C.F.R. 1321.21(c) if necessary to ensure the continuity of services for consumers.

Last updated February 3, 2025 at 8:18 AM

History

Effective: February 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-3-07

(A) Introduction: All services paid, in whole or in part, with Older Americans Act funds are subject to voluntary contributions. All services paid, in whole or in part, with Older Americans Act funds are subject to cost sharing, except for services excluded by paragraph (C)(1) of this rule. All voluntary contributions and cost sharing for services paid, in whole or in part, with Older Americans Act funds are subject to the requirements contained in 42 U.S.C. 3030c-2.

(B) Voluntary contributions: Each AAA is subject to the federal mandate under 42 U.S.C. 3030c-2 to consult with relevant service providers and older individuals in the AAA's PSA to determine the best method for accepting voluntary contributions.

(1) A provider may do the following:

(a) Solicit service recipients to contribute toward the cost of the services received and encourage any service recipient to contribute if the service recipient's self-declared income is at, or above, one hundred eighty-five per cent of the federal poverty guidelines, which the United States department of health and human services establishes annually according to 42 U.S.C. 9902 and publishes on https://aspe.hhs.gov/poverty-guidelines.

(b) Develop a suggested contributions schedule for voluntary contributions based on the actual cost of services, but not use the schedule or any other means test to determine if a service recipient is eligible to receive a service.

(2) A provider shall do the following:

(a) Clearly inform each service recipient in written materials, in alternative formats, and in languages other than English in compliance with federal civil rights laws, that contributions are purely voluntary. 42 U.S.C. 3030c-2 does not allow means testing or denial of a service to a service recipient who does not contribute of the cost of the service.

(b) Protect the privacy and confidentiality of each service recipient with respect to the service recipient's contribution or lack of contribution.

(d) Use collected voluntary contributions to expand the services for which service recipients contributed, and supplement Older Americans Act funds for those services and to meet any other requirements for program income in 2 C.F.R. 200.307 and 45 C.F.R. 1321.9(c)(2)(xii).

(e) Conduct voluntary contributions in a manner that does not cause a service recipient to feel intimidated or pressured to contribute.

(1) All services paid, in whole or in part, with Older Americans Act funds are subject to cost sharing, except for the following services:

(a) Information and assistance, outreach, benefits counseling, case management, disease preventionand health promotion, or volunteer management.

(b) Education, training, or a support group provided through the national family caregiver support program.

(d) Ombudsman, elder abuse prevention, legal assistance, or another consumer-protection service.

(2) Each AAA shall implement and administer a cost-sharing policy that includes all of the following:

(a) The following sliding-fee schedule, which determines the service recipient's suggested cost-share percentage of the actual (or partial) contracted cost of a unit of a service based upon the service recipient's individual income as a percentage of the federal poverty guideline. Under no circumstances may an AAA permit or obligate a service recipient to participate in cost sharing when the service recipient's income is below one hundred fifty per cent of the federal poverty guideline.

Sliding-fee Schedule

| INCOME | SUGGESTED COST SHARE | | --- | --- | | 149% and below | 0% | | 150-174% | 10% | | 175-199% | 20% | | 200-224% | 30% | | 225-249% | 40% | | 250-274% | 50% | | 275-299% | 60% | | 300-324% | 70% | | 325-349% | 80% | | 350-374% | 90% | | 375%and above | 100% |

(b) A requirement to determine the service recipient's income solely by the service recipient's self-declaration of income with no requirement for verification, and no consideration or means testing of the service recipient's assets, savings, or other property.

(c) A procedure for collecting cost-sharing payments from service recipients, including from service recipients receiving participant-directed services.

(d) A prohibition against denying services paid, in whole or in part, by Older Americans Act funds due to the income of the service recipient or the service recipient's failure to make a cost sharing payment.

(e) A requirement to widely distribute written materials to service recipients that describe the requirements for cost sharing, the services subject to cost sharing, the procedure for cost sharing, the sliding-fee schedule published in this rule, and a statement that a provider is prohibited from denying services paid, in whole or in part, by Older Americans Act funds due to the income of the service recipient or the service recipient's failure to make a cost sharing payment.

(f) A requirement to provide a receipt to a service recipient or caregiver who makes a payment.

(g) A procedure for safeguarding and accounting for all cost-sharing funds collected.

(h) A requirement to retain records of all cost-sharing funds collected.

(i) A requirement to keep the service recipient's declaration or non-declaration of income and cost-sharing payment history confidential.

(j) A requirement to use the funds collected from cost sharing to expand the capacity to provide the service for which the funds were given, unless the funds are used to expand the pool of funds from which a coordinated service is paid and to meet any other requirements for program income in 2 C.F.R. 200.307 and 45 C.F.R. 1321.9(c)(2)(xii).

(k) A requirement to conduct cost sharing in a manner that does not cause a service recipient to feel intimidated or pressured to contribute.

(3) The AAA may request a waiver of the requirement in paragraph (C)(2) of this rule to implement and administer a cost-sharing policy. AGE shall approve the request if the AAA demonstrates to AGE, by a preponderance of the evidence, one of the following:

(a) At least eighty per cent of the service recipients in the PSA have incomes below one hundred fifty per cent of the federal poverty guidelines.

(b) Cost sharing would be an unreasonable administrative or financial burden on the AAA.

(D) All program income:

(1) "Program income" has the same meaning as in 2 C.F.R. 200.1. Under 45 C.F.R. 1321.9(c)(2)(xii), "program income" includes voluntary contributions and cost sharing.

(2) Program income is subject to all of the following standards:

(a) 45 C.F.R. 1321.9(c)(2)(xii), which establishes the following:

(i) A limit on spending program income on only the service to which the income was originally collected.

(a) For program income received through a congregate dining project or home-delivered meals project, this means using the program income to increase the number of meals provided or to increase the nutrition counseling, nutrition education, or nutrition health screening to consumers who receive meals through the project.

(b) For program income received for a Title III-B service, this means using the program income to provide the same service to either of the following:

(i) Service recipients on waiting lists.

(ii) Service recipients in areas of the PSA in which the service has not been available or is underserved.

(ii) The addition alternative in 2 C.F.R. 200.307(e)(2).

(iii) A requirement to use program income during the grant period in which the income was originally collected.

(b) Requirements to report program income to AGE as it is earned.

Last updated November 4, 2025 at 1:54 PM

History

Effective: November 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-3-05

(A) General procurement standards:

(1) When an AAA procures services paid, in whole or in part, with Older Americans Act funds, the AAA is subject to the requirements in 2 C.F.R. 200.318 to 200.3270 and 2 C.F.R. Part 300.

(2) 2 C.F.R. 200.1 establishes the micro-purchase threshold. 2 C.F.R. 200.320 does not allow an AAA to use micro-purchase procurement for AAA-provider agreements (agreements) worth more than the micro-purchase threshold, unless the threshold is increased according to 2 C.F.R. 200.320(a)(1)(iv) or (a)(1)(v)..

(3) 2 C.F.R. 200.1 establishes the simplified acquisition threshold. 2 C.F.R. 200.320 does not allow an AAA to use small-purchase procurement for agreements worth more than the simplified acquisition threshold.

(B) Authorization for non-competitive procurement: An AAA may request authorization from AGE to use a non-competitive procurement process by complying with paragraph (A) of this rule and providing a written or electronic request to AGE that meets all of the following conditions:

(1) The AAA makes its request to AGE no fewer than thirty days before the AAA needs a decision from AGE.

(2) The AAA's request does not consider a public exigency or emergency to be a basis for non-competitive procurement if the AAA created the exigency or emergency.

(3) The AAA's request provides AGE with evidence to verify that the circumstances in 2 C.F.R. 200.320(c) exist.

(4) If the AAA wants to procure services from a single source, the AAA's request verifies that the circumstances in 2 C.F.R. 200.320(c)(2) exist by including the names of all known providers of the services located in, or willing to do business in, the planning and service area and includes emails or letters from each of those providers to document their inability to provide the services the AAA wants to procure. If the providers are unwilling to provide emails or letters to the AAA, the AAA's request includes records of the AAA's efforts to obtain information from the providers.

(1) RFPs:

(a) An AAA may offer a provider a renewable or multi-year AAA-provider agreement (agreement) only if the RFP for the renewable or multi-year agreement clearly states all of the following:

(i) Whether the agreement would be renewable after the first term or for a multi-year term.

(ii) One of the following:

(a) The methodology by which the AAA would determine the amount, if any, of a rate increase upon renewal or during the multi-year term.

(b) A statement that the agreement would not include an opportunity for rate increases.

(b) An AAA may offer a provider a renewable agreement only if the RFP for the renewable agreement clearly states the following:

(i) The AAA retains the right to decline to renew a renewable agreement.

(ii) The circumstances under which the AAA may terminate a renewed agreement.

(c) An AAA may offer a provider a multi-year agreement only if the RFP for the multi-year agreement clearly states that the AAA may terminate a multi-year agreement, rather than fulfill all years of the multi-year term, under any one or more of the following circumstances:

(i) The provider does not demonstrate satisfactory performance.

(ii) The AAA does not have funds to pay for the services for a subsequent year.

(iii) A situation arises that was unforeseen at the time the AAA and the provider entered into the agreement. Examples of unforeseen situations are changes in market conditions or changes in the law regulating the services the agreement covers.

(2) Agreements:

(a) Every agreement for a renewable agreement or agreement with a multi-year term shall clearly state the following:

(i) Whether the agreement is renewable after the first term or for a multi-year term.

(ii) One of the following:

(a) The methodology by which the AAA determines the amount, if any, of a rate increase upon renewal or during the multi-year term.

(b) A statement that the agreement does not include an opportunity for rate increases.

(b) Every agreement for a renewable agreement shall clearly state the following:

(i) The AAA retains the right to decline to renew the agreement.

(ii) The circumstances under which the AAA may terminate a renewed agreement.

(c) Every agreement with a multi-year term shall clearly state that the AAA may terminate the multi-year agreement, rather than fulfill all years of the multi-year term, under any one or more of the following circumstances:

(i) The provider does not demonstrate satisfactory performance.

(ii) The AAA does not have funds to pay for the services for a subsequent year.

(3) Effective periods: No renewable or multi-year agreement (whether in its initial term or a renewed term) may remain in effect after the last day that the AAA's approved area plan is in effect unless the AAA makes a written or electronic request for authorization from AGE to extend the effective period no fewer than thirty days before the end of the effective period of the AAA's area plan and if AGE grants the requested extension to the AAA.

Last updated October 1, 2025 at 8:05 AM

History

Effective: October 1, 2025
Promulgated Under: 119.03

Chapter 173-3 Older Americans Act Programs

Ohio Adm.Code 173-3-01 Older Americans Act: introduction and definitions.

(A) Introduction: This chapter regulates AAA-provider agreements for services paid, in whole or in part, with Older Americans Act funds.

(B) Definitions: The definitions in rule 173-2-01 of the Administrative Code apply to this chapter.

Last updated February 3, 2025 at 8:19 AM

History

Effective: February 1, 2025
Promulgated Under: 119.03

Ohio Adm.Code 173-2-01