“Home and community care” defined
“Functionally disabled elderly individual” defined
In general
Treatment of certain individuals previously covered under a waiver
Use of projected income
section 1396b(f)(1) of this titlesection 1396a(a)(10)(C) of this titleIn applying in determining the eligibility of an individual (described in ) 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.
Determinations of functional disability
In general
Assessments of functional disability
Requests for assessments
Specification of assessment instrument
Specification of assessment data set and instruments
Periodic review
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.
Conduct of assessment by interdisciplinary teams
Contents of assessment
Appeal procedures
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).
Individual community care plan (ICCP)
“Individual community care plan” defined
“Qualified community care case manager” defined
Appeals process
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.
Ceiling on payment amounts and maintenance of effort
Ceiling on payment amounts
Maintenance of effort
Annual reports
section 1396b(a) of this titlesection 1396n(c) of this titlesection 1396d(a)(7) of this titlesection 1396d(a)(23) of this titleAs a condition for the receipt of payment under with respect to medical assistance provided by a State for home and community care (other than a waiver under and other than home health care services described in and personal care services specified under regulations under ), 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.
Reduction in payment if failure to maintain effort
section 1396b(a) of this titleIf 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 in an amount equal to the difference between the amounts so reported.
Minimum requirements for home and community care
Requirements
Specified rights
Minimum requirements for small community care settings
“Small community care setting” defined
Minimum requirements
Minimum requirements for large community care settings
“Large community care setting” defined
Minimum requirements
Disclosure of ownership and control interests and exclusion of repeated violators
Survey and certification process
Certifications
Responsibilities of the State
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.
Responsibilities of the Secretary
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).
Frequency of certifications
Certification of providers and settings under this subsection shall occur no less frequently than once every 12 months.
Reviews of providers
In general
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).
Special reviews of compliance
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.
Surveys of community care settings
In general
section 1320a–7a of this titlesection 1320a–7a(a) of this titleThe 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 (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 . 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.
Survey protocol
Surveys under this paragraph shall be conducted based upon a protocol which the Secretary has provided for under subsection (k).
Prohibition of conflict of interest in survey team membership
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.
Validation surveys of community care settings
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.
Special surveys of compliance
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.
Investigation of complaints and monitoring of providers and settings
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).
Investigation of allegations of individual neglect and abuse and misappropriation of individual property
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.
Disclosure of results of inspections and activities
Public information
Notices of substandard care
Access to fraud control units
section 1396b(q) of this titleEach State shall provide its State medicaid fraud and abuse control unit (established under ) with access to all information of the State agency responsible for surveys, reviews, and certifications under this subsection.
Enforcement process for providers of community care
State authority
In general
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.
Civil money penalty
In general
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.
Deadline and guidance
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 , 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.
Secretarial authority
For State providers
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).
Other providers
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.
Civil money penalty
section 1320a–7a of this titlesection 1320a–7a(a) of this titleIf 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 (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 . 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.
Secretarial responsibilities
Publication of interim requirements
In general
Minimum protections
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.
Development of final requirements
No delegation to States
The Secretary’s authority under this subsection shall not be delegated to States.
No prevention of more stringent requirements by 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.
Waiver of Statewideness
section 1396a(a)(1) of this titleStates may waive the requirement of (related to Statewideness) for a program of home and community care under this section.
Limitation on amount of expenditures as medical assistance
Limitation on amount
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.
Assurance of entitlement to service
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.
Limitation on eligibility
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).
Allocation of medical assistance
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.
Aug. 14, 1935, ch. 531Pub. L. 101–508, title IV, § 4711(b)104 Stat. 1388–174Pub. L. 106–113, div. B, § 1000(a)(6) [title VI, § 608(v)]113 Stat. 1536(, title XIX, § 1929, as added , , ; amended , , , 1501A–398.)
Editorial Notes
Codification
Pub. L. 101–508, title IV, § 4711(b)(1)104 Stat. 1388–174, , , which directed renumbering of section 1929 of the Social Security Act, act , as section 1930, could not be executed because there was no section 1929.
Amendments
Pub. L. 106–113, § 1000(a)(6) [title VI, § 608(v)(1)]1999—Subsec. (c)(2)(E)(i), (ii). , realigned margins.
Pub. L. 106–113, § 1000(a)(6) [title VI, § 608(v)(2)]Subsec. (k)(1)(A)(i). , substituted “large community care settings),” for “large community care settings,”.
lPub. L. 106–113, § 1000(a)(6) [title VI, § 608(v)(3)]Subsec. (). , substituted “Statewideness” for “State wideness”.
Statutory Notes and Related Subsidiaries
Effective Date
section 4711 of Pub. L. 101–508section 4711(e) of Pub. L. 101–508section 1396a of this titleSection applicable to home and community care furnished on or after , without regard to whether or not final regulations to carry out the amendments made by have been promulgated by such date, see , set out as an Effective Date of 1990 Amendment note under .