How to Prepare for a DODD Compliance Review in Ohio

If you are an agency provider in Ohio, that email from the Department of Developmental Disabilities can feel like a punch in the gut. A compliance review is coming, and suddenly, every policy, training, and note you ever signed feels like it is under a microscope. Take a breath. A DODD compliance review is serious, but it does not have to be a crisis. With the right preparation, you can walk into that review calm, organized, and ready to show the good work your team is already doing.

If you want a bigger picture of how compliance fits into long-term growth, you can also read my article, “The SCALE Effect Blueprint: 5 Steps to Transform Your DODD Agency,” on our Focused Driven Compliance Advisors site at FocusedDrivenCompliance.com. That blueprint shows how structure, compliance, accountability, leadership, and excellence work together so you are not just passing reviews, you are building a stronger business.

What a DODD Compliance Review Actually Is
A DODD compliance review is the department’s way of verifying whether certified providers are complying with state and federal requirements that protect the health, safety, and welfare of people with developmental disabilities. Every certified provider in Ohio is subject to review during their certification period under Ohio Administrative Code 5123 2 04. There are routine reviews, which occur once per certification span, special reviews based on complaints or Major Unusual Incidents, and abbreviated reviews for accredited providers.

For routine reviews, many counties and boards give providers advance notice, followed by a more detailed notification closer to the review date. Special reviews can be unannounced, especially when there are concerns about health and welfare. No matter which type you face, the process uses a standard protocol and review tools that are published on the DODD website. When you learn to think the way the tool “thinks,” the review becomes less mysterious and more manageable.

Start With the Official DODD Review Tools
Before you do anything else, download the current Compliance Review Tool and the Required Documents List for your provider type, agency, or independent, directly from DODD’s Office of Compliance resources page. These tools tell you what reviewers will look at, how they will sample records, and which documents must be available. The agency tool and annotated versions walk through service planning, incident reporting, staff training, and more.

Print the tools, grab some highlighters, and treat them like an open-book test. Everywhere the tool asks a question about your practice, you should be able to point to a policy, a process, and a piece of documentation that proves you do it. That one shift, reading your own operation through the DODD tool, moves you out of guesswork and into real preparation. For more help thinking this way, you can visit CoachLyman.com and review my leadership and clarity content for agency owners who feel pulled in too many directions.

Step 1: Organize Your Core Documents
The Required Documents List is your roadmap for what must be ready before the reviewer ever arrives. This usually includes your certificate, organizational chart, policies and procedures, incident reporting protocols, internal monitoring tools, and various logs and reports. Start by creating labeled folders, physical or digital, that mirror the structure of the list.

Inside each folder, place the most current version of each document, along with any supporting forms you use. Make sure policies reference the correct rule numbers, such as 5123 2 04 for compliance reviews and 5123 17 02 for Major Unusual Incidents, where applicable. Remove outdated versions so your team and the reviewer are always looking at the same, current standard. Order here reduces anxiety later and sets the tone that your agency takes both people and paperwork seriously.

Step 2: Review Individual Files and Service Plans
Much of the compliance review focuses on whether services match what is written in the person centered plan and whether documentation supports what you billed. The agency review tool looks at whether plans are person-centered, culturally responsive, and written in plain language, and whether services and restrictive strategies are clearly documented.

Pull a sample of individual records that match the review tool’s expectations. For each person, check the assessment, service plan, medication needs, behavior support strategies, and daily documentation. Look for gaps where services were billed, but documentation is thin, unclear, or missing. Fix what you can now, strengthen your templates, and coach your staff on what “good documentation” looks like before DODD shows up. If you want help explaining quality and documentation in plain language to staff, check out my coaching content at CoachLyman.com, especially the pieces on clarity, habits, and follow-through.

Step 3: Tighten Incident Reporting and MUI Practices
DODD is very focused on how you handle health and safety. That means your MUI and incident-reporting processes will receive attention. State guidance describes incident documentation, MUI categories, and required follow-up as a core part of provider responsibility.

Review your MUI policies to ensure they match the current DODD rules and county expectations. Check a few recent MUIs and UIs. Ask yourself whether reporting was timely, follow-up was documented, and trends were reviewed with your team. If you find weak spots, put a simple corrective action in place now, such as refresher training, updated forms, or a monthly MUI review meeting. Be ready to describe those improvements to the reviewer. This is also a good time to connect your MUI work to your broader improvement journey described in “The SCALE Effect Blueprint” on FocusedDrivenCompliance.com, so that safety becomes part of an ongoing culture rather than a one-time fix.

Step 4: Check Staff Training, HR, and Personnel Files
Reviews typically include checks on staff qualifications, background checks, training completion, and ongoing competency. Each personnel file should tell a clean story from hire to today. You want to see the application, interview notes if kept, background check documentation, required licenses, job descriptions, orientation records, and evidence of ongoing training.

Create a simple HR checklist and test it against a small sample of staff. Verify that all mandatory trainings, such as MUI, rights, and rule-specific requirements, are present and within required timelines. If you find missing certificates or expired elements, schedule make-up training now and document your corrective actions. Reviewers are often more concerned about your response to gaps than the fact that a gap existed. Leaders who want to strengthen their people practices can pair this work with my leadership and engagement insights at CoachLyman.com, where I talk about how clarity, accountability, and encouragement work together.

Step 5: Run an Internal Mock Compliance Review
Once your documents, records, and files are in better shape, it is time to practice. Use the DODD Compliance Review Tool and walk through it as if you are the reviewer. Pick a small review team, ideally someone from leadership, HR, and direct support, and assign sections of the tool to each person.

Ask your team to cite where in your operation each requirement is met. If someone cannot quickly find an answer, treat that as a citation in your mock review. Capture every issue on a simple internal plan of correction, with actions, a responsible person, and timelines. This exercise not only reveals weak spots, it also helps your staff understand the review process in a calm, low-pressure way. If you want a framework for turning these gaps into strengths, you will find my SCALE content on FocusedDrivenCompliance.com helpful as a companion resource.

Step 6: Prepare Your Staff for the Day of Review
Your systems can be strong, but if staff are nervous or unsure how to respond, the review can still feel chaotic. Let your team know what a compliance review is, why it matters, and what to expect. Clarify that this is about improving quality and protecting the people you serve, not about blaming staff.

Walk through simple guidelines for staff interviews, such as speaking honestly about what they do, referencing policies and procedures, and asking for clarification if they do not understand a question. Make sure they know where key documents are kept and who to contact if a reviewer requests something they cannot access. Calm, informed staff give reviewers confidence that your agency takes compliance seriously and values both people and process.

Step 7: After the Review, Respond with a Strong Plan of Correction
After the review, DODD or the county board issues a written summary that outlines any citations and the next steps. Providers are expected to submit a written appeal or a plan of correction within the timelines set out in the rule, often within fourteen calendar days. This is not the time to panic or ignore the letter. It is your chance to show that you are serious about fixing what needs attention.

For each citation, describe the root cause, the action steps you will take, who is responsible, and how you will monitor for ongoing compliance. Keep the plan realistic and specific, not vague promises. Many providers are cited again in the future, not because they had issues, but because they never fully implemented or monitored their own plan of correction. Treat your POC as a living roadmap and revisit it in your leadership meetings, just as you would revisit any strategic plan for growth or culture.

Final Thoughts and Your Next Step
Preparing for a DODD compliance review in Ohio is really about building an agency that works every day, not just when someone is watching. When your policies match your practice, your documentation reflects the support you provide, and your staff understands the “why” behind the rules, reviews become confirmation of your effort rather than a constant source of fear.

If you read this and thought, “We are serving people well, but our paperwork and processes need help,” you do not have to fix it alone. This is exactly where Focused Driven Compliance Advisors comes in, helping DODD providers build systems, train staff, and stay audit-ready without burning out their teams. To explore how we can support your agency, visit FocusedDrivenCompliance.com or connect with me through CoachLyman.com and request a Compliance Clarity Call. When your following review letter arrives, will you feel dread, or will you be ready to respond with confidence and peace of mind?

 
About Dr. Lyman Montgomery
Dr. Lyman A. Montgomery is a DODD Compliance Advisor, HR professional, and international coach and speaker who has trained and coached thousands of leaders across the United States and abroad. He serves DODD agencies as a co-founder of Focused Driven Compliance Advisors, where he helps providers build structures, systems, and staff capacity to protect people and licenses.

Dr. Montgomery holds a PhD in Human Resources Management and Organizational Leadership, an MBA in Human Resource Management, and multiple certifications, including LEAN Six Sigma Black Belt. He is also the creator of the SCALE Effect Blueprint and Focused Driven Coaching, helping leaders gain clarity, strengthen accountability, and lead with integrity in every room they enter. To learn more about his work with agency owners and faith-driven leaders, visit CoachLyman.com or FocusedDrivenCompliance.com.