Compliance Reference

QAM Compliance Checklist

All 135 requirements from Ontario Regulation 299/10, organized into 13 categories. Use this as your reference when preparing for MCCSS inspections or internal audits.

Based on Ontario Regulation 299/10 under the Services and Supports to Promote the Social Inclusion of Persons with Developmental Disabilities Act, 2008

2. Individual Support Plans

Section 5

19 requirements

ISP exists for EVERY person receiving services

s.5(1)1

ISP addresses goals, preferences and needs

s.5(1)1

Annual review with person and persons acting on behalf

s.5(1)2

Annual

Update ISP as necessary after review

s.5(1)2

Discuss information sharing permissions at creation and annual review

s.5(1)3

Record date of ISP and all updates

s.5(1)4

Person supported to participate fully in ISP development and review

s.5(2)

ISP based on application form, needs assessment (SIS), stated goals, clinical assessments

s.5(3)

ISP includes persons involved in development

s.5(4)(a)

ISP includes short-term and long-term goals with expected outcomes

s.5(4)(b)

ISP includes community resources (medical, vocational, recreational, cultural, religious, social)

s.5(4)(c)

ISP includes specific funded services and supports to be provided

s.5(4)(d)

ISP includes actions required to achieve outcomes

s.5(4)(e)

ISP includes persons responsible with roles/responsibilities

s.5(4)(f)

ISP includes manner of service delivery

s.5(4)(g)

ISP includes amount of allocated resources

s.5(4)(h)

ISP includes date of next review

s.5(4)(i)

ISP includes health and safety safeguards

s.5(4)(j)

ISP includes level of financial management support needed

s.5(4)(k)

3. Financial Management Assistance

Section 6

4 requirements

Policies/procedures for financial assistance (when requested or in ISP)

s.6(1)

Separate books of accounts per person per fiscal year

s.6(2)

Independent third-party annual review of financial records

s.6(3)

Annual

Independent review report to board of directors

s.6(3)

4. Health, Medical Services & Medication

Sections 7, 24, 25

19 requirements

Policy: provision of public health information

s.7(1)1

Policy: monitoring health concerns (per ISP)

s.7(1)2

Policy: documentation of medical services provided

s.7(1)3.i

Policy: medication administration (incl. self-admin)

s.7(1)3.ii

Policy: medication errors and refusals documentation

s.7(1)3.iii

Policy: refusals of recommended medical services

s.7(1)3.iv

Policy: emergency medical services

s.7(1)3.v

Policy: access to and storage of medication (prescribed + non-prescribed)

s.7(1)4

Policy: transfer of medication between locations

s.7(1)5.i

Policy: responsibility for medication at each location

s.7(1)5.ii

Public health info in accessible language/manner/support level

s.7(2)

Staff trained on first aid and CPR

s.7(3)

Staff trained on specific health needs (incl. controlled acts)

s.7(4)

Assist with regular medical/dental appointments and log kept

s.24(1)

Medicine administration record (MAR) kept per person

s.24(2)

Information provided re: prescription meds, diet, hygiene, fitness, sexual health, safety, self-esteem, communication, relationships

s.24(3)

Food/nutrition policy consistent with Canada's Food Guide, culturally diverse

s.25(1)

Scalding prevention: water temp max 49C, monitoring and documentation

s.25(4)

Bathing/showering supervision policy (needs-appropriate)

s.25(5)

5. Abuse Prevention & Reporting

Sections 8, 9, 30, 31

18 requirements

Policy: documentation and reporting of alleged/suspected/witnessed abuse

s.8(1)1

Policy: manner of supporting person where abuse alleged/suspected/witnessed

s.8(1)2

Policy: dealing with staff/volunteers involved in abuse

s.8(1)3

Policies promote ZERO TOLERANCE of all forms of abuse

s.8(3)

Policy: notification of persons acting on behalf

s.9(1)

Policy: obtain consent before notifying others (if person capable)

s.9(2)

Mandatory abuse prevention/identification/reporting training: all staff/volunteers with direct contact

s.8(2)(a)(i)

Initial

Annual refresher on abuse training

s.8(2)(a)(ii)

Annual

Mandatory orientation: new board members on abuse policies

s.8(2)(b)

On join

Annual refresher: board members on abuse policies

s.8(2)(b)

Annual

Mandatory education/awareness: persons receiving services on abuse prevention

s.8(2)(c)

On intake + annual

Annual mandatory review of abuse prevention policies

s.8(2)(d)

Annual

Annual review of zero-tolerance policies

s.8(5)(a)

Annual

Assess need for policy changes

s.8(5)(b)

Annual

Promptly implement necessary changes

s.8(5)(c)

Written record of policy review and any changes

s.8(6)

Annual

Immediately report to police if criminal offence suspected

s.8(4)(a)

No internal investigation before police complete theirs

s.8(4)(b)

6. Confidentiality & Privacy

Sections 10, 32

5 requirements

Policy: compliance with privacy legislation and funding agreement obligations

s.10(1)1

Policy: consent to collection, use, disclosure of personal info

s.10(1)2

Train staff/volunteers on privacy policies

s.10(2)

Orientation: new board members on privacy policies

s.10(2)

Review privacy policies with persons receiving services (accessible language/support)

s.10(3)

7. Safety: Premises

Sections 11, 26, 33

17 requirements

Approved fire safety plan per premises (per O.Reg. 213/07)

s.11(1)1

Emergency preparedness plan (inside emergencies: power, fire, flood, storm, pandemic, medical)

s.11(1)2.i

Emergency preparedness plan (outside emergencies: medical, runaway/lost person)

s.11(1)2.ii

Staff trained on emergency preparedness plan

s.11(1)3

Continuity of operation plan (service disruption)

s.11(1)4

Produce fire safety plan to Director on request

s.11(2)

Equipment maintenance policies and maintain per manufacturer recommendations

s.11(3)

Residence kept safe and clean

s.26(1)(a)

Recreation/common area exists

s.26(1)(b)

Recreation/common areas safe and clean

s.26(1)(c)

All exits kept clear at all times

s.26(1)(d)

Appliances/furnishings clean, good condition, working order

s.26(1)(e)

Hazardous products stored/used safely

s.26(1)(f)

Minimum 20C temperature Oct 1 - May 31

s.26(1)(g)

Sleeping accommodations: appropriate bed, mattress, bedding, furniture/storage, personal space, exterior window with coverings

s.26(1)(h)

At least one cooling room for extreme heat

s.26(2)(a)

Cooling room maintained below 35C humidex

s.26(2)(b)

8. Personal Safety & Security

Section 12

2 requirements

Policy: personal safety/security of persons receiving services

s.12(1)

Adequate support staff maintained per ISP levels

s.12(2)

9. Human Resource Practices

Sections 13, 34

8 requirements

Policy: orientation and initial training (agency policies + individual needs of persons to be supported)

s.13(1)1

Policy: regular ongoing training

s.13(1)2

Personal reference check: ALL new staff

s.13(2)

Police records check (incl. vulnerable sector): ALL new staff

s.13(2)

Reference and police check: volunteers/board with direct contact

s.13(3)

Written protocols with local police re: appropriate check scope

s.13(4)

Checks completed ASAP before or after assuming responsibilities

s.13(5)

SUPERVISED ONLY until reference check, police check, and orientation complete

s.13(6)

10. Service Records

Sections 14, 35

6 requirements

Record kept for EACH person receiving services

s.14(1)(a)

Policy: record retention and secure storage

s.14(1)(b)

Record includes: Application for DS&S

s.14(2)(a)

Record includes: SIS needs assessment

s.14(2)(b)

Record includes: Individual support plan

s.14(2)(c)

Retain records MINIMUM 7 YEARS after services end

s.14(3)

11. Behaviour Intervention

Part III, Sections 15-21

21 requirements

Policy: training for staff/volunteers on challenging behaviour

s.17(1)

ALL direct-contact staff trained on physical restraint

s.17(2)

Staff trained on person's behaviour support plan BEFORE beginning work with them

s.17(3)

Volunteers trained on BSP before beginning work (if permitted by policy)

s.17(4)

Training records maintained for behaviour interventions

s.17(5)

BSP exists for EVERY person with challenging behaviour

s.18(1)

BSP outlines positive and intrusive strategies

s.18(2)

BSP addresses challenging behaviour from behavioural assessment

s.18(3)(a)

BSP considers risks/benefits of interventions

s.18(3)(b)

BSP sets out least intrusive, most effective strategies

s.18(3)(c)

BSP monitored for effectiveness

s.18(3)(d)

BSP approved by psychologist/physician/psychiatrist/BCBA (if intrusive strategies included)

s.18(3)(e)

BSP reviewed at least TWICE per 12 months

s.18(3)(f)

2x/year

Intrusive intervention ONLY when immediate risk of harm/damage

s.20(1)

Physical/mechanical restraint uses LEAST force necessary

s.20(2)

Person monitored regularly during intrusive intervention

s.20(3)

ALL intrusive intervention incidents recorded in person's file

s.20(4)

Evaluate use/effectiveness of intrusive interventions based on incident records

s.20(5)

Physical restraint ONLY intrusive intervention in crisis (only when positive interventions failed)

s.21(1)

Least force necessary in crisis restraint

s.21(2)

ALL crisis incidents recorded in person's file with details

s.21(3)

12. Residential Services

Part IV, Sections 22-26

2 requirements

Policy: inventory, care, maintenance of personal property

s.25(2)

Policy: pets and service animals in residence

s.25(3)

13. Third-Party Contracts

Section 3(2)(3)

3 requirements

Third-party contracts require compliance with same QAM measures

s.3(2)(a)

Monitor third-party contract performance for QAM compliance

s.3(2)(b)

Exception: one-time/time-limited professional/specialized services

s.3(3)

Annual Compliance Calendar

These items require at minimum annual action. Missing any of these recurring deadlines is one of the most common compliance gaps found during MCCSS inspections.

Frequency	Requirement	Section
Annual	ISP review with person + update	s.5(1)2
Annual	Mission/principles/rights refresher for persons receiving services	s.4(2)(a)
Annual	Mission/principles/rights refresher for staff/volunteers	s.4(2)(b)
Annual	Board review of mission/principles/rights	s.4(2)(c)
Annual	Abuse prevention training refresher (staff/volunteers)	s.8(2)(a)(ii)
Annual	Abuse policy orientation refresher (board)	s.8(2)(b)
Annual	Abuse awareness education (persons receiving services)	s.8(2)(c)
Annual	Review abuse prevention policies + document review	s.8(2)(d), s.8(5), s.8(6)
Annual	Independent review of personal financial records	s.6(3)
2x/year	Behaviour support plan review	s.18(3)(f)

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QAM Compliance Checklist

Categories

1. Social Inclusion, Rights & Mission

2. Individual Support Plans

3. Financial Management Assistance

4. Health, Medical Services & Medication

5. Abuse Prevention & Reporting

6. Confidentiality & Privacy

7. Safety: Premises

8. Personal Safety & Security

9. Human Resource Practices

10. Service Records

11. Behaviour Intervention

12. Residential Services

13. Third-Party Contracts

Annual Compliance Calendar

Stop tracking 135 requirements by hand