42 U.S.C. § 1396t — Home and community care for functionally disabled elderly individuals
submitted 91 years ago by Pub. L. 101-508 to r/title-42-THE-PUBLIC-HEALTH-AND-WELFARE · 5,580 words · no verdicts yet
This section authorizes States to provide specified home and community services to functionally disabled elderly individuals under written care plans. It sets eligibility, assessment, quality, inspection, enforcement, and spending rules for those services and care settings.
(a) “Home and community care” means one or more of these services for a person* found after a subsection (c) assessment to be a functionally disabled elderly individual, under an individual community care plan established and reviewed by a qualified case manager: (1) homemaker or home-health-aide; (2) chore; (3) personal-care; (4) nursing care by or supervised by a registered nurse; (5) respite care; (6) family training; (7) adult day care; (8) for chronic mental illness, day treatment* or partial hospitalization*, psychosocial rehabilitation, and clinic services whether or not in a facility; and (9) other Secretary*-approved home/community services except room and board.
(b) (1) “Functionally disabled elderly individual” means a person who (A) is at least 65, (B) is functionally disabled under (c), and (C), subject to sections 1396a(f) and 1396a(r)(2), receives SSI under subchapter XVI or a State* plan under it, or, at State option, is described in section 1396a(a)(10)(C). (2)(A) If a State elects this coverage while it has a section 1396n(c) or (d) waiver for people 65 or older and later ends it, a person eligible under the waiver when it ended who would qualify for this care but for income or resources remains treated as functionally disabled elderly for as long as waiver eligibility would have continued. (B) A State that used a health-insuring organization before January 1, 1986 and had a section 1315 waiver on December 31, 1990 may include a person who (i) is at least 65 or disabled under SSI, (ii) meets the waiver’s then-current functional-disability test, and (iii) meets the State’s resource requirement and income standard for section 1396a(a)(10)(A)(ii)(V) people. (3) For a person described in section 1396a(a)(10)(C), a State may determine anticipated medical expenses deductible from income over up to six months.
(c) (1) A person is functionally disabled if (A) without substantial help the person cannot do at least two of toileting, transferring, and eating, or (B) the person has Alzheimer’s and either (i) without substantial human help, reminders, cues, or supervision cannot do at least two of bathing, dressing, toileting, transferring, and eating, or (ii) cognitive impairment requires substantial supervision because inappropriate behavior creates serious health or safety hazards. (2)(A) An electing State, on request by a person 65 or older meeting (b)(1)(C) or someone acting for that person, must provide a free comprehensive assessment that (i) decides disability, (ii) uses the Secretary’s uniform minimum data set, and (iii) uses the State’s selected instrument. (B) The instrument must be designated by the Secretary or approved as consistent with the Secretary’s core elements, definitions, and guidelines. (C) By July 1, 1991, the Secretary must specify the minimum data set and its guidelines and designate one or more instruments. (D) Each qualifying person’s assessment must be reviewed and revised at least every 12 months. (E) A State-designated interdisciplinary team must conduct assessments and reviews. The Secretary must allow contracts with public organizations or private organizations having no care-service provision or ownership, control, affiliation, or relationship with such an entity. (F) The team must identify disabilities and care needs, including health, home/community environment, and informal supports, decide whether disability continues, and use the results for the ICCP. (G) The State must provide appeals for adverse determinations.
(d) (1) An “individual community care plan” or “ICCP” is a written plan for a functionally disabled elderly individual that a qualified case manager establishes, reviews, and revises after a face-to-face interview and the latest comprehensive assessment; within State-plan limits it states the care to be provided and the person’s service-type and provider preferences; and may state other needed services. It may name qualified providers, but neither the ICCP nor State may restrict competent people who can provide the care. (2) A qualified case manager is a nonprofit or public agency* or organization that (A) has experience or training in ICCPs and elderly case management; (B) assures named care is provided, visits the home or care setting at least every 90 days, and tells the person or caregiver how to contact the manager about failures or similar problems; (C) if private, has no care-service provision or ownership, control, affiliation, or relationship with such an entity; (D) has quality procedures including peer review; (E) completes plans promptly and discusses new or revised plans with the person or caregiver; and (F) meets Secretary standards for competence, protection from financial exploitation, and other State standards. The Secretary may waive (C) for a rural nonprofit. (3) The State must provide appeals for ICCP disagreements.
(e) (1) Quarterly Federal payments may not cover care beyond 50 percent of (A) the average number of recipients, times (B) the Secretary’s average per-day subchapter-XVIII extended-care rate for the State without coinsurance, times (C) the quarter’s days. (2)(A) Except for the listed section 1396n(c) waiver, home-health, and personal-care exclusions, a State receiving payment must report each Federal fiscal year beginning in 1990 its obligated care funds in the Secretary’s format. (B) If below fiscal-year-1989 spending, payments must be reduced by the difference.
(f) (1) Care must meet Secretary-published requirements for rights and quality, including competent caregivers and paragraph (2) rights. (2) These are rights to: (A) advance oral and written information and participation in planning unless incompetent; (B) complain without discrimination or reprisal and learn how to complain to State/local authorities; (C) confidential records; (D) privacy and respectful property treatment; (E) refuse care and learn likely consequences; (F) education or training for the person and family/household; (G) freedom from abuse, corporal punishment, and discipline/convenience restraints not in the ICCP; (H) oral and written rights information; (I) Secretary guidelines for minimum caregiver compensation assuring competent, continuous care at varying disability levels; and (J) other Secretary-established rights.
(g) (1) A small setting is (A) a nonresidential setting serving more than 2 and fewer than 8 people, or (B) a residential setting with more than 2 and fewer than 8 unrelated adults where personal services beyond board accompany residence. (2) It must meet (A) Secretary requirements, (B) applicable listed section 1396r(c) requirements, (C) oral and written legal-rights notice at first care, (D) certification/licensing rules, (E) zoning, building, housing, fire, and safety rules, and (F) health-and-safety design, construction, equipment, and maintenance.
(h) (1) A large setting is (A) nonresidential with more than 8 people, or (B) residential with more than 8 unrelated adults where personal services accompany residence and this care is provided. (2) It must meet (A) Secretary requirements, (B) applicable listed section 1396r(c) requirements, (C) first-care oral and written legal-rights notice, and (D) section 1396r(d)(2) and (3) requirements as nursing facilities do, with life-safety requirements appropriate to the setting. (3) It must disclose ownership/control interests and may not have such an interest held by a program-excluded person or a person whose interest in settings was repeatedly found substandard or noncompliant.
(i) (1) States certify providers and settings under the State plan; the Secretary certifies State providers and settings. Certification is at least annual, and lack of Secretary regulations does not excuse State certification. (2) Provider certification uses periodic ICCP-performance review; the Secretary may independently and bindingly decide compliance. (3) Setting certification uses an unannounced survey. Notice of its time/date can bring a penalty up to $2,000, with section 1320a-7a applying except subsections (a) and (b). The Secretary reviews State procedures. Surveys use a subsection (k) protocol. Team members cannot be current or recent staff/consultants for the setting or responsible person on compliance, or have a personal/family financial interest. The Secretary must, within two months, survey a representative sample using the same protocol; its contrary finding replaces the State’s and binds it. The Secretary may conduct special surveys and binding reviews. (4) State and Secretary must investigate complaints. (5) The State must receive and investigate neglect, abuse (including unknown-source injuries), and property-misappropriation allegations; after notice and a hearing opportunity it must decide accuracy, notify the accused of findings, reject a neglect finding where causes were beyond the person’s control, and disclose findings on request with the disputing person’s statement or accurate summary. (6) State and Secretary must make surveys, reviews, certifications, deficiencies, cost reports, ownership statements, and section 1320a-5 information public. The State must reasonably try to notify families and affected recipients of substandard provider care or settings, and give its fraud-and-abuse unit access to survey-agency information.
(j) (1) A State may end a noncompliant provider’s participation and impose remedies, including a penalty for an earlier noncompliant period. It must establish by law a daily civil penalty collected with interest, may use penalty funds to reimburse lost personal funds, and must set prompt, increasingly severe criteria for repeated or uncorrected deficiencies. Every electing State must apply it to all covered providers; Secretary guidance was due July 1, 1990, but is not a condition of State duty. (2) For State providers, the Secretary has State authority and duties, except the Secretary’s penalty replaces the State penalty. For other providers, the Secretary may end participation and penalize present or past noncompliance. The Secretary must impose up to $10,000 per day, with section 1320a-7a applying except subsections (a) and (b), and must set prompt, increasingly severe criteria.
(k) (1) By December 1, 1991, the Secretary must propose interim requirements covering assessments, instruments, case-manager qualifications, care, settings, and related survey protocols. They must protect recipients, without relying on State licensing, from neglect, physical/sexual abuse, financial exploitation, inappropriate involuntary restraint, and unqualified health-care personnel. (2) By October 1, 1992, the Secretary must develop final requirements and survey protocols/methods for care quality and settings, and may revise them. (3) Authority may not be delegated to States. (4) States may impose stricter requirements.
(l) States may waive section 1396a(a)(1)’s Statewideness requirement for this program.
(m) (1) Medical-assistance spending may be $40 million in 1991, $70 million in 1992, $130 million in 1993, $160 million in 1994, and $180 million in 1995. (2) A State receiving Federal assistance must provide ICCP care to subsection (b) people throughout an election period regardless of that limit. The period is at least four quarters chosen by the State and approved by the Secretary. (3) Eligibility may be limited to reasonable classifications based on age, disability degree, and service need. (4) The Secretary must limit each State’s Federal assistance, considering the spending limit and the State’s share of people 65 or older compared with the United States* in 1990; as practicable, the count should be low-income elderly people.
In this subchapter, the term “home and community care” means one or more of the following services furnished to an individual who has been determined, after an assessment under subsection (c), to be a functionally disabled elderly individual, furnished in accordance with an individual community care plan (established and periodically reviewed and revised by a qualified community care case manager under subsection (d)):
Homemaker/home health aide services.
Chore services.
Personal care services.
Nursing care services provided by, or under the supervision of, a registered nurse.
Respite care.
Training for family members in managing the individual.
Adult day care.
In the case of an individual with chronic mental illness, day treatment* or other partial hospitalization*, psychosocial rehabilitation services, and clinic services (whether or not furnished in a facility).
Such other home and community-based services (other than room and board) as the Secretary* may approve.
In this subchapter, the term “functionally disabled elderly individual” means an individual who—
is 65 years of age or older,
is determined to be a functionally disabled individual under subsection (c), and
subject to section 1396a(f) of this title (as applied consistent with section 1396a(r)(2) of this title), is receiving supplemental security income benefits under subchapter XVI (or under a State* plan approved under subchapter XVI) or, at the option of the State, is described in section 1396a(a)(10)(C) of this title.
In the case of a State which—
at the time of its election to provide coverage for home and community care under this section has a waiver approved under section 1396n(c) or 1396n(d) of this title with respect to individuals 65 years of age or older, and
subsequently discontinues such waiver, individuals who were eligible for benefits under the waiver as of the date of its discontinuance and who would, but for income or resources, be eligible for medical assistance* for home and community care under the plan shall, notwithstanding any other provision of this subchapter, be deemed a functionally disabled elderly individual for so long as the individual would have remained eligible for medical assistance under such waiver.
In the case of a State which used a health insuring organization before January 1, 1986, and which, as of December 31, 1990, had in effect a waiver under section 1315 of this title that provides under the State plan under this subchapter for personal care services for functionally disabled individuals, the term “functionally disabled elderly individual” may include, at the option of the State, an individual who—
is 65 years of age or older or is disabled (as determined under the supplemental security income program under subchapter XVI);
is determined to meet the test of functional disability applied under the waiver as of such date; and
meets the resource requirement and income standard that apply in the State to individuals described in section 1396a(a)(10)(A)(ii)(V) of this title.
In applying section 1396b(f)(1) of this title in determining the eligibility of an individual (described in section 1396a(a)(10)(C) of this title) for medical assistance for home and community care, a State may, at its option, provide for the determination of the individual’s anticipated medical expenses (to be deducted from income) over a period of up to 6 months.
In this section, an individual is “functionally disabled” if the individual—
is unable to perform without substantial assistance from another individual at least 2 of the following 3 activities of daily living: toileting, transferring, and eating; or
has a primary or secondary diagnosis of Alzheimer’s disease and is (i) unable to perform without substantial human assistance (including verbal reminding or physical cueing) or supervision at least 2 of the following 5 activities of daily living: bathing, dressing, toileting, transferring, and eating; or (ii) cognitively impaired so as to require substantial supervision from another individual because he or she engages in inappropriate behaviors that pose serious health or safety hazards to himself or herself or others.
If a State has elected to provide home and community care under this section, upon the request of an individual who is 65 years of age or older and who meets the requirements of subsection (b)(1)(C) (or another person* on such individual’s behalf), the State shall provide for a comprehensive functional assessment under this subparagraph which—
is used to determine whether or not the individual is functionally disabled,
is based on a uniform minimum data set specified by the Secretary under subparagraph (C)(i), and
uses an instrument which has been specified by the State under subparagraph (B).
No fee may be charged for such an assessment.
The State shall specify the instrument to be used in the State in complying with the requirement of subparagraph (A)(iii) which instrument shall be—
one of the instruments designated under subparagraph (C)(ii); or
an instrument which the Secretary has approved as being consistent with the minimum data set of core elements, common definitions, and utilization guidelines specified by the Secretary in subparagraph (C)(i).
The Secretary shall—
not later than July 1, 1991—
specify a minimum data set of core elements and common definitions for use in conducting the assessments required under subparagraph (A); and
establish guidelines for use of the data set; and
by not later than July 1, 1991, designate one or more instruments which are consistent with the specification made under subparagraph (A) and which a State may specify under subparagraph (B) for use in complying with the requirements of subparagraph (A).
Each individual who qualifies as a functionally disabled elderly individual shall have the individual’s assessment periodically reviewed and revised not less often than once every 12 months.
An assessment under subparagraph (A) and a review under subparagraph (D) must be conducted by an interdisciplinary team designated by the State. The Secretary shall permit a State to provide for assessments and reviews through teams under contracts—
with public organizations; or
with nonpublic organizations which do not provide home and community care or nursing facility services* and do not have a direct or indirect ownership or control interest in, or direct or indirect affiliation or relationship with, an entity that provides, community care or nursing facility* services.
The interdisciplinary team must—
identify in each such assessment or review each individual’s functional disabilities and need for home and community care, including information about the individual’s health status, home and community environment, and informal support system; and
based on such assessment or review, determine whether the individual is (or continues to be) functionally disabled.
The results of such an assessment or review shall be used in establishing, reviewing, and revising the individual’s ICCP under subsection (d)(1).
Each State which elects to provide home and community care under this section must have in effect an appeals process for individuals adversely affected by determinations under subparagraph (F).
In this section, the terms “individual community care plan” and “ICCP” mean, with respect to a functionally disabled elderly individual, a written plan which—
is established, and is periodically reviewed and revised, by a qualified case manager after a face-to-face interview with the individual or primary caregiver and based upon the most recent comprehensive functional assessment of such individual conducted under subsection (c)(2);
specifies, within any amount, duration, and scope limitations imposed on home and community care provided under the State plan, the home and community care to be provided to such individual under the plan, and indicates the individual’s preferences for the types and providers of services; and
may specify other services required by such individual.
An ICCP may also designate the specific providers (qualified to provide home and community care under the State plan) which will provide the home and community care described in subparagraph (B). Nothing in this section shall be construed as authorizing an ICCP or the State to restrict the specific persons or individuals (who are competent to provide home and community care under the State plan) who will provide the home and community care described in subparagraph (B).
In this section, the term “qualified community care case manager” means a nonprofit or public agency* or organization which—
has experience or has been trained in establishing, and in periodically reviewing and revising, individual community care plans and in the provision of case management services to the elderly;
is responsible for (i) assuring that home and community care covered under the State plan and specified in the ICCP is being provided, (ii) visiting each individual’s home or community setting where care is being provided not less often than once every 90 days, and (iii) informing the elderly individual or primary caregiver on how to contact the case manager if service providers fail to properly provide services or other similar problems occur;
in the case of a nonpublic agency, does not provide home and community care or nursing facility services and does not have a direct or indirect ownership or control interest in, or direct or indirect affiliation or relationship with, an entity that provides, home and community care or nursing facility services;
has procedures for assuring the quality of case management services that includes a peer review process;
completes the ICCP in a timely manner and reviews and discusses new and revised ICCPs with elderly individuals or primary caregivers; and
meets such other standards, established by the Secretary, as to assure that—
such a manager is competent to perform case management functions;
individuals whose home and community care they manage are not at risk of financial exploitation due to such a manager; and
meets such other standards as the State may establish.
The Secretary may waive the requirement of subparagraph (C) in the case of a nonprofit agency located in a rural area.
Each State which elects to provide home and community care under this section must have in effect an appeals process for individuals who disagree with the ICCP established.
Payments may not be made under section 1396b(a) of this title to a State for home and community care provided under this section in a quarter to the extent that the medical assistance for such care in the quarter exceeds 50 percent of the product of—
the average number of individuals in the quarter receiving such care under this section;
the average per diem rate of payment which the Secretary has determined (before the beginning of the quarter) will be payable under subchapter XVIII (without regard to coinsurance) for extended care services to be provided in the State during such quarter; and
the number of days in such quarter.
As a condition for the receipt of payment under section 1396b(a) of this title with respect to medical assistance provided by a State for home and community care (other than a waiver under section 1396n(c) of this title and other than home health care services described in section 1396d(a)(7) of this title and personal care services specified under regulations under section 1396d(a)(23) of this title), the State shall report to the Secretary, with respect to each Federal fiscal year (beginning with fiscal year 1990) and in a format developed or approved by the Secretary, the amount of funds obligated by the State with respect to the provision of home and community care to the functionally disabled elderly in that fiscal year.
If the amount reported under subparagraph (A) by a State with respect to a fiscal year is less than the amount reported under subparagraph (A) with respect to fiscal year 1989, the Secretary shall provide for a reduction in payments to the State under section 1396b(a) of this title in an amount equal to the difference between the amounts so reported.
Home and Community 1 care provided under this section must meet such requirements for individuals’ rights and quality as are published or developed by the Secretary under subsection (k). Such requirements shall include—
the requirement that individuals providing care are competent to provide such care; and
the rights specified in paragraph (2).
The rights specified in this paragraph are as follows:
The right to be fully informed in advance, orally and in writing, of the care to be provided, to be fully informed in advance of any changes in care to be provided, and (except with respect to an individual determined incompetent) to participate in planning care or changes in care.
The right to voice grievances with respect to services that are (or fail to be) furnished without discrimination or reprisal for voicing grievances, and to be told how to complain to State and local authorities.
The right to confidentiality of personal and clinical records.
The right to privacy and to have one’s property treated with respect.
The right to refuse all or part of any care and to be informed of the likely consequences of such refusal.
The right to education or training for oneself and for members of one’s family or household on the management of care.
The right to be free from physical or mental abuse, corporal punishment, and any physical or chemical restraints imposed for purposes of discipline or convenience and not included in an individual’s ICCP.
The right to be fully informed orally and in writing of the individual’s rights.
Guidelines for such minimum compensation for individuals providing such care as will assure the availability and continuity of competent individuals to provide such care for functionally disabled individuals who have functional disabilities of varying levels of severity.
Any other rights established by the Secretary.
In this section, the term “small community care setting” means—
a nonresidential setting that serves more than 2 and less than 8 individuals; or
a residential setting in which more than 2 and less than 8 unrelated adults reside and in which personal services (other than merely board) are provided in conjunction with residing in the setting.
A small community care setting in which community care is provided under this section must—
meet such requirements as are published or developed by the Secretary under subsection (k);
meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of section 1396r(c) of this title, to the extent applicable to such a setting;
inform each individual receiving community care under this section in the setting, orally and in writing at the time the individual first receives community care in the setting, of the individual’s legal rights with respect to such a setting and the care provided in the setting;
meet any applicable State or local requirements regarding certification or licensure;
meet any applicable State and local zoning, building, and housing codes, and State and local fire and safety regulations; and
be designed, constructed, equipped, and maintained in a manner to protect the health and safety of residents.
In this section, the term “large community care setting” means—
a nonresidential setting in which more than 8 individuals are served; or
a residential setting in which more than 8 unrelated adults reside and in which personal services are provided in conjunction with residing in the setting in which home and community care under this section is provided.
A large community care setting in which community care is provided under this section must—
meet such requirements as are published or developed by the Secretary under subsection (k);
meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of section 1396r(c) of this title, to the extent applicable to such a setting;
inform each individual receiving community care under this section in the setting, orally and in writing at the time the individual first receives home and community care in the setting, of the individual’s legal rights with respect to such a setting and the care provided in the setting; and
meet the requirements of paragraphs (2) and (3) of section 1396r(d) of this title (relating to administration* and other matters) in the same manner as such requirements apply to nursing facilities under such section; except that, in applying the requirement of section 1396r(d)(2) of this title (relating to life safety code), the Secretary shall provide for the application of such life safety requirements (if any) that are appropriate to the setting.
A community care setting—
must disclose persons with an ownership or control interest (including such persons as defined in section 1320a–3(a)(3) of this title) in the setting; and
may not have, as a person with an ownership or control interest in the setting, any individual or person who has been excluded from participation in the program under this subchapter or who has had such an ownership or control interest in one or more community care settings which have been found repeatedly to be substandard or to have failed to meet the requirements of paragraph (2).
Under each State plan under this subchapter, the State shall be responsible for certifying the compliance of providers of home and community care and community care settings with the applicable requirements of subsections (f), (g) and (h). The failure of the Secretary to issue regulations to carry out this subsection shall not relieve a State of its responsibility under this subsection.
The Secretary shall be responsible for certifying the compliance of State providers of home and community care, and of State community care settings in which such care is provided, with the requirements of subsections (f), (g) and (h).
Certification of providers and settings under this subsection shall occur no less frequently than once every 12 months.
The certification under this subsection with respect to a provider of home or community care must be based on a periodic review of the provider’s performance in providing the care required under ICCP’s in accordance with the requirements of subsection (f).
Where the Secretary has reason to question the compliance of a provider of home or community care with any of the requirements of subsection (f), the Secretary may conduct a review of the provider and, on the basis of that review, make independent and binding determinations concerning the extent to which the provider meets such requirements.
The certification under this subsection with respect to community care settings must be based on a survey. Such survey for such a setting must be conducted without prior notice to the setting. Any individual who notifies (or causes to be notified) a community care setting of the time or date on which such a survey is scheduled to be conducted is subject to a civil money penalty of not to exceed $2,000. The provisions of section 1320a–7a of this title (other than subsections (a) and (b)) shall apply to a civil money penalty under the previous sentence in the same manner as such provisions apply to a penalty or proceeding under section 1320a–7a(a) of this title. The Secretary shall review each State’s procedures for scheduling and conducting such surveys to assure that the State has taken all reasonable steps to avoid giving notice of such a survey through the scheduling procedures and the conduct of the surveys themselves.
Surveys under this paragraph shall be conducted based upon a protocol which the Secretary has provided for under subsection (k).
A State and the Secretary may not use as a member of a survey team under this paragraph an individual who is serving (or has served within the previous 2 years) as a member of the staff of, or as a consultant to, the community care setting being surveyed (or the person responsible for such setting) respecting compliance with the requirements of subsection (g) or (h) or who has a personal or familial financial interest in the setting being surveyed.
The Secretary shall conduct onsite surveys of a representative sample of community care settings in each State, within 2 months of the date of surveys conducted under subparagraph (A) by the State, in a sufficient number to allow inferences about the adequacies of each State’s surveys conducted under subparagraph (A). In conducting such surveys, the Secretary shall use the same survey protocols as the State is required to use under subparagraph (B). If the State has determined that an individual setting meets the requirements of subsection (g), but the Secretary determines that the setting does not meet such requirements, the Secretary’s determination as to the setting’s noncompliance with such requirements is binding and supersedes that of the State survey.
Where the Secretary has reason to question the compliance of a community care setting with any of the requirements of subsection (g) or (h), the Secretary may conduct a survey of the setting and, on the basis of that survey, make independent and binding determinations concerning the extent to which the setting meets such requirements.
Each State and the Secretary shall maintain procedures and adequate staff to investigate complaints of violations of applicable requirements imposed on providers of community care or on community care settings under subsections (f), (g) and (h).
The State shall provide, through the agency responsible for surveys and certification of providers of home or community care and community care settings under this subsection, for a process for the receipt, review, and investigation of allegations of individual neglect and abuse (including injuries of unknown source) by individuals providing such care or in such setting and of misappropriation of individual property by such individuals. The State shall, after notice to the individual involved and a reasonable opportunity for hearing for the individual to rebut allegations, make a finding as to the accuracy of the allegations. If the State finds that an individual has neglected or abused an individual receiving community care or misappropriated such individual’s property, the State shall notify the individual against whom the finding is made. A State shall not make a finding that a person has neglected an individual receiving community care if the person demonstrates that such neglect was caused by factors beyond the control of the person. The State shall provide for public disclosure of findings under this paragraph upon request and for inclusion, in any such disclosure of such findings, of any brief statement (or of a clear and accurate summary thereof) of the individual disputing such findings.
Each State, and the Secretary, shall make available to the public—
information respecting all surveys, reviews, and certifications made under this subsection respecting providers of home or community care and community care settings, including statements of deficiencies,
copies of cost reports (if any) of such providers and settings filed under this subchapter,
copies of statements of ownership under section 1320a–3 of this title, and
information disclosed under section 1320a–5 of this title.
If a State finds that—
a provider of home or community care has provided care of substandard quality with respect to an individual, the State shall make a reasonable effort to notify promptly (I) an immediate family member of each such individual and (II) individuals receiving home or community care from that provider under this subchapter, or
a community care setting is substandard, the State shall make a reasonable effort to notify promptly (I) individuals receiving community care in that setting, and (II) immediate family members of such individuals.
Each State shall provide its State medicaid fraud and abuse control unit (established under section 1396b(q) of this title) with access to all information of the State agency responsible for surveys, reviews, and certifications under this subsection.
If a State finds, on the basis of a review under subsection (i)(2) or otherwise, that a provider of home or community care no longer meets the requirements of this section, the State may terminate the provider’s participation under the State plan and may provide in addition for a civil money penalty. Nothing in this subparagraph shall be construed as restricting the remedies available to a State to remedy a provider’s deficiencies. If the State finds that a provider meets such requirements but, as of a previous period, did not meet such requirements, the State may provide for a civil money penalty under paragraph (2)(A) for the period during which it finds that the provider was not in compliance with such requirements.
Each State shall establish by law (whether statute or regulation) at least the following remedy: A civil money penalty assessed and collected, with interest, for each day in which the provider is or was out of compliance with a requirement of this section. Funds collected by a State as a result of imposition of such a penalty (or as a result of the imposition by the State of a civil money penalty under subsection (i)(3)(A)) may be applied to reimbursement of individuals for personal funds lost due to a failure of home or community care providers to meet the requirements of this section. The State also shall specify criteria, as to when and how this remedy is to be applied and the amounts of any penalties. Such criteria shall be designed so as to minimize the time between the identification of violations and final imposition of the penalties and shall provide for the imposition of incrementally more severe penalties for repeated or uncorrected deficiencies.
Each State which elects to provide home and community care under this section must establish the civil money penalty remedy described in clause (i) applicable to all providers of community care covered under this section. The Secretary shall provide, through regulations or otherwise by not later than July 1, 1990, guidance to States in establishing such remedy; but the failure of the Secretary to provide such guidance shall not relieve a State of the responsibility for establishing such remedy.
With respect to a State provider of home or community care, the Secretary shall have the authority and duties of a State under this subsection, except that the civil money penalty remedy described in subparagraph (C) shall be substituted for the civil money remedy described in paragraph (1)(B)(i).
With respect to any other provider of home or community care in a State, if the Secretary finds that a provider no longer meets a requirement of this section, the Secretary may terminate the provider’s participation under the State plan and may provide, in addition, for a civil money penalty under subparagraph (C). If the Secretary finds that a provider meets such requirements but, as of a previous period, did not meet such requirements, the Secretary may provide for a civil money penalty under subparagraph (C) for the period during which the Secretary finds that the provider was not in compliance with such requirements.
If the Secretary finds on the basis of a review under subsection (i)(2) or otherwise that a home or community care provider no longer meets the requirements of this section, the Secretary shall impose a civil money penalty in an amount not to exceed $10,000 for each day of noncompliance. The provisions of section 1320a–7a of this title (other than subsections (a) and (b)) shall apply to a civil money penalty under the previous sentence in the same manner as such provisions apply to a penalty or proceeding under section 1320a–7a(a) of this title. The Secretary shall specify criteria, as to when and how this remedy is to be applied and the amounts of any penalties. Such criteria shall be designed so as to minimize the time between the identification of violations and final imposition of the penalties and shall provide for the imposition of incrementally more severe penalties for repeated or uncorrected deficiencies.
The Secretary shall publish, by December 1, 1991, a proposed regulation that sets forth interim requirements, consistent with subparagraph (B), for the provision of home and community care and for community care settings, including—
the requirements of subsection (c)(2) (relating to comprehensive functional assessments, including the use of assessment instruments), of subsection (d)(2)(E) (relating to qualifications for qualified case managers), of subsection (f) (relating to minimum requirements for home and community care), of subsection (g) (relating to minimum requirements for small community care settings), and of subsection (h) (relating to minimum requirements for large community care settings), and
survey protocols (for use under subsection (i)(3)(A)) which relate to such requirements.
Interim requirements under subparagraph (A) and final requirements under paragraph (2) shall assure, through methods other than reliance on State licensure processes, that individuals receiving home and community care are protected from neglect, physical and sexual abuse, financial exploitation, inappropriate involuntary restraint, and the provision of health care services by unqualified personnel in community care settings.
The Secretary shall develop, by not later than October 1, 1992—
final requirements, consistent with paragraph (1)(B), respecting the provision of appropriate, quality home and community care and respecting community care settings under this section, and including at least the requirements referred to in paragraph (1)(A)(i), and
survey protocols and methods for evaluating and assuring the quality of community care settings.
The Secretary may, from time to time, revise such requirements, protocols, and methods.
The Secretary’s authority under this subsection shall not be delegated to States.
Nothing in this section shall be construed as preventing States from imposing requirements that are more stringent than the requirements published or developed by the Secretary under this subsection.
States may waive the requirement of section 1396a(a)(1) of this title (related to Statewideness) for a program of home and community care under this section.
The amount of funds that may be expended as medical assistance to carry out the purposes of this section shall be for fiscal year 1991, $40,000,000, for fiscal year 1992, $70,000,000, for fiscal year 1993, $130,000,000, for fiscal year 1994, $160,000,000, and for fiscal year 1995, $180,000,000.
A State which receives Federal medical assistance for expenditures for home and community care under this section must provide home and community care specified under the Individual Community Care Plan under subsection (d) to individuals described in subsection (b) for the duration of the election period, without regard to the amount of funds available to the State under paragraph (1). For purposes of this paragraph, an election period is the period of 4 or more calendar quarters elected by the State, and approved by the Secretary, for the provision of home and community care under this section.
The State may limit eligibility for home and community care under this section during an election period under paragraph (2) to reasonable classifications (based on age, degree of functional disability, and need for services).
The Secretary shall establish a limitation on the amount of Federal medical assistance available to any State during the State’s election period under paragraph (2). The limitation under this paragraph shall take into account the limitation under paragraph (1) and the number of elderly individuals age 65 or over residing in such State in relation to the number of such elderly individuals in the United States* during 1990. For purposes of the previous sentence, elderly individuals shall, to the maximum extent practicable, be low-income elderly individuals.
Source credit: (Aug. 14, 1935, ch. 531, title XIX, § 1929, as added Pub. L. 101–508, title IV, § 4711(b), Nov. 5, 1990, 104 Stat. 1388–174; amended Pub. L. 106–113, div. B, § 1000(a)(6) [title VI, § 608(v)], Nov. 29, 1999, 113 Stat. 1536, 1501A–398.)
- 1935Enacted · Pub. L. 101-508 · 104 Stat. 1388
- 1999Amended · Pub. L. 106-113 · 113 Stat. 1536, 1501
A history note hasn’t been published yet. The record shows enactment by Pub. L. 101-508 on 1935-08-14.
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