{"identifier":"/us/usc/t42/s1396t","title":42,"num":"\u00a7\u202f1396t.","heading":"Home and community care for functionally disabled elderly individuals","text":"\u00a7\u202f1396t.\nHome and community care for functionally disabled elderly individuals\n(a)\n\u201cHome and community care\u201d defined\nIn this subchapter, the term \u201chome and community care\u201d 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)):\n(1) Homemaker/home health aide services.\n(2) Chore services.\n(3) Personal care services.\n(4) Nursing care services provided by, or under the supervision of, a registered nurse.\n(5) Respite care.\n(6) Training for family members in managing the individual.\n(7) Adult day care.\n(8) 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).\n(9) Such other home and community-based services (other than room and board) as the Secretary may approve.\n(b)\n\u201cFunctionally disabled elderly individual\u201d defined\n(1)\nIn general\nIn this subchapter, the term \u201cfunctionally disabled elderly individual\u201d means an individual who\u2014\n(A) is 65 years of age or older,\n(B) is determined to be a functionally disabled individual under subsection (c), and\n(C) subject to\nsection 1396a(f) of this title\nsection 1396a(r)(2) of this title\nsection 1396a(a)(10)(C) of this title\n(2)\nTreatment of certain individuals previously covered under a waiver\n(A) In the case of a State which\u2014\n(i) 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\n(ii) 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.\n(B) In the case of a State which used a health insuring organization before\n(i) is 65 years of age or older or is disabled (as determined under the supplemental security income program under subchapter XVI);\n(ii) is determined to meet the test of functional disability applied under the waiver as of such date; and\n(iii) meets the resource requirement and income standard that apply in the State to individuals described in\nsection 1396a(a)(10)(A)(ii)(V) of this title\n(3)\nUse of projected income\nIn applying\nsection 1396b(f)(1) of this title\nsection 1396a(a)(10)(C) of this title\n(c)\nDeterminations of functional disability\n(1)\nIn general\nIn this section, an individual is \u201cfunctionally disabled\u201d if the individual\u2014\n(A) 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\n(B) has a primary or secondary diagnosis of Alzheimer\u2019s 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.\n(2)\nAssessments of functional disability\n(A)\nRequests for assessments\nIf 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\u2019s behalf), the State shall provide for a comprehensive functional assessment under this subparagraph which\u2014\n(i) is used to determine whether or not the individual is functionally disabled,\n(ii) is based on a uniform minimum data set specified by the Secretary under subparagraph (C)(i), and\n(iii) uses an instrument which has been specified by the State under subparagraph (B).\nNo fee may be charged for such an assessment.\n(B)\nSpecification of assessment instrument\nThe State shall specify the instrument to be used in the State in complying with the requirement of subparagraph (A)(iii) which instrument shall be\u2014\n(i) one of the instruments designated under subparagraph (C)(ii); or\n(ii) 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).\n(C)\nSpecification of assessment data set and instruments\nThe Secretary shall\u2014\n(i) not later than\n(I) specify a minimum data set of core elements and common definitions for use in conducting the assessments required under subparagraph (A); and\n(II) establish guidelines for use of the data set; and\n(ii) by not later than\nJuly 1, 1991\n(D)\nPeriodic review\nEach individual who qualifies as a functionally disabled elderly individual shall have the individual\u2019s assessment periodically reviewed and revised not less often than once every 12 months.\n(E)\nConduct of assessment by interdisciplinary teams\nAn 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\u2014\n(i) with public organizations; or\n(ii) 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.\n(F)\nContents of assessment\nThe interdisciplinary team must\u2014\n(i) identify in each such assessment or review each individual\u2019s functional disabilities and need for home and community care, including information about the individual\u2019s health status, home and community environment, and informal support system; and\n(ii) based on such assessment or review, determine whether the individual is (or continues to be) functionally disabled.\nThe results of such an assessment or review shall be used in establishing, reviewing, and revising the individual\u2019s ICCP under subsection (d)(1).\n(G)\nAppeal procedures\nEach 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).\n(d)\nIndividual community care plan (ICCP)\n(1)\n\u201cIndividual community care plan\u201d defined\nIn this section, the terms \u201cindividual community care plan\u201d and \u201cICCP\u201d mean, with respect to a functionally disabled elderly individual, a written plan which\u2014\n(A) 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);\n(B) 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\u2019s preferences for the types and providers of services; and\n(C) may specify other services required by such individual.\nAn 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).\n(2)\n\u201cQualified community care case manager\u201d defined\nIn this section, the term \u201cqualified community care case manager\u201d means a nonprofit or public agency or organization which\u2014\n(A) 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;\n(B) 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\u2019s 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;\n(C) 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;\n(D) has procedures for assuring the quality of case management services that includes a peer review process;\n(E) completes the ICCP in a timely manner and reviews and discusses new and revised ICCPs with elderly individuals or primary caregivers; and\n(F) meets such other standards, established by the Secretary, as to assure that\u2014\n(i) such a manager is competent to perform case management functions;\n(ii) individuals whose home and community care they manage are not at risk of financial exploitation due to such a manager; and\n(iii) meets such other standards as the State may establish.\nThe Secretary may waive the requirement of subparagraph (C) in the case of a nonprofit agency located in a rural area.\n(3)\nAppeals process\nEach 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.\n(e)\nCeiling on payment amounts and maintenance of effort\n(1)\nCeiling on payment amounts\nPayments may not be made under\n(A) the average number of individuals in the quarter receiving such care under this section;\n(B) 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\n(C) the number of days in such quarter.\n(2)\nMaintenance of effort\n(A)\nAnnual reports\nAs a condition for the receipt of payment under\nsection 1396b(a) of this title\nsection 1396n(c) of this title\nsection 1396d(a)(7) of this title\nsection 1396d(a)(23) of this title\n(B)\nReduction in payment if failure to maintain effort\nIf 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\nsection 1396b(a) of this title\n(f)\nMinimum requirements for home and community care\n(1)\nRequirements\nHome and Community\n(A) the requirement that individuals providing care are competent to provide such care; and\n(B) the rights specified in paragraph (2).\n(2)\nSpecified rights\nThe rights specified in this paragraph are as follows:\n(A) 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.\n(B) 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.\n(C) The right to confidentiality of personal and clinical records.\n(D) The right to privacy and to have one\u2019s property treated with respect.\n(E) The right to refuse all or part of any care and to be informed of the likely consequences of such refusal.\n(F) The right to education or training for oneself and for members of one\u2019s family or household on the management of care.\n(G) 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\u2019s ICCP.\n(H) The right to be fully informed orally and in writing of the individual\u2019s rights.\n(I) 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.\n(J) Any other rights established by the Secretary.\n(g)\nMinimum requirements for small community care settings\n(1)\n\u201cSmall community care setting\u201d defined\nIn this section, the term \u201csmall community care setting\u201d means\u2014\n(A) a nonresidential setting that serves more than 2 and less than 8 individuals; or\n(B) 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.\n(2)\nMinimum requirements\nA small community care setting in which community care is provided under this section must\u2014\n(A) meet such requirements as are published or developed by the Secretary under subsection (k);\n(B) meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of\nsection 1396r(c) of this title\n(C) 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\u2019s legal rights with respect to such a setting and the care provided in the setting;\n(D) meet any applicable State or local requirements regarding certification or licensure;\n(E) meet any applicable State and local zoning, building, and housing codes, and State and local fire and safety regulations; and\n(F) be designed, constructed, equipped, and maintained in a manner to protect the health and safety of residents.\n(h)\nMinimum requirements for large community care settings\n(1)\n\u201cLarge community care setting\u201d defined\nIn this section, the term \u201clarge community care setting\u201d means\u2014\n(A) a nonresidential setting in which more than 8 individuals are served; or\n(B) 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.\n(2)\nMinimum requirements\nA large community care setting in which community care is provided under this section must\u2014\n(A) meet such requirements as are published or developed by the Secretary under subsection (k);\n(B) meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of\nsection 1396r(c) of this title\n(C) 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\u2019s legal rights with respect to such a setting and the care provided in the setting; and\n(D) meet the requirements of paragraphs (2) and (3) of\nsection 1396r(d) of this title\nsection 1396r(d)(2) of this title\n(3)\nDisclosure of ownership and control interests and exclusion of repeated violators\nA community care setting\u2014\n(A) must disclose persons with an ownership or control interest (including such persons as defined in\nsection 1320a\u20133(a)(3) of this title\n(B) 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).\n(i)\nSurvey and certification process\n(1)\nCertifications\n(A)\nResponsibilities of the State\nUnder 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.\n(B)\nResponsibilities of the Secretary\nThe 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).\n(C)\nFrequency of certifications\nCertification of providers and settings under this subsection shall occur no less frequently than once every 12 months.\n(2)\nReviews of providers\n(A)\nIn general\nThe certification under this subsection with respect to a provider of home or community care must be based on a periodic review of the provider\u2019s performance in providing the care required under ICCP\u2019s in accordance with the requirements of subsection (f).\n(B)\nSpecial reviews of compliance\nWhere 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.\n(3)\nSurveys of community care settings\n(A)\nIn general\nThe 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\nsection 1320a\u20137a of this title\nsection 1320a\u20137a(a) of this title\n(B)\nSurvey protocol\nSurveys under this paragraph shall be conducted based upon a protocol which the Secretary has provided for under subsection (k).\n(C)\nProhibition of conflict of interest in survey team membership\nA 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.\n(D)\nValidation surveys of community care settings\nThe 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\u2019s 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\u2019s determination as to the setting\u2019s noncompliance with such requirements is binding and supersedes that of the State survey.\n(E)\nSpecial surveys of compliance\nWhere 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.\n(4)\nInvestigation of complaints and monitoring of providers and settings\nEach 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).\n(5)\nInvestigation of allegations of individual neglect and abuse and misappropriation of individual property\nThe 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\u2019s 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.\n(6)\nDisclosure of results of inspections and activities\n(A)\nPublic information\nEach State, and the Secretary, shall make available to the public\u2014\n(i) 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,\n(ii) copies of cost reports (if any) of such providers and settings filed under this subchapter,\n(iii) copies of statements of ownership under\nsection 1320a\u20133 of this title\n(iv) information disclosed under\nsection 1320a\u20135 of this title\n(B)\nNotices of substandard care\nIf a State finds that\u2014\n(i) 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\n(ii) 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.\n(C)\nAccess to fraud control units\nEach State shall provide its State medicaid fraud and abuse control unit (established under\nsection 1396b(q) of this title\n(j)\nEnforcement process for providers of community care\n(1)\nState authority\n(A)\nIn general\nIf 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\u2019s 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\u2019s 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.\n(B)\nCivil money penalty\n(i)\nIn general\nEach 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.\n(ii)\nDeadline and guidance\nEach 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\nJuly 1, 1990\n(2)\nSecretarial authority\n(A)\nFor State providers\nWith 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).\n(B)\nOther providers\nWith 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\u2019s 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.\n(C)\nCivil money penalty\nIf 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\nsection 1320a\u20137a of this title\nsection 1320a\u20137a(a) of this title\n(k)\nSecretarial responsibilities\n(1)\nPublication of interim requirements\n(A)\nIn general\nThe Secretary shall publish, by\n(i) 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\n(ii) survey protocols (for use under subsection (i)(3)(A)) which relate to such requirements.\n(B)\nMinimum protections\nInterim 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.\n(2)\nDevelopment of final requirements\nThe Secretary shall develop, by not later than\n(A) 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\n(B) survey protocols and methods for evaluating and assuring the quality of community care settings.\nThe Secretary may, from time to time, revise such requirements, protocols, and methods.\n(3)\nNo delegation to States\nThe Secretary\u2019s authority under this subsection shall not be delegated to States.\n(4)\nNo prevention of more stringent requirements by States\nNothing 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.\n(l)\nWaiver of Statewideness\nStates may waive the requirement of\nsection 1396a(a)(1) of this title\n(m)\nLimitation on amount of expenditures as medical assistance\n(1)\nLimitation on amount\nThe 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.\n(2)\nAssurance of entitlement to service\nA 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.\n(3)\nLimitation on eligibility\nThe 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).\n(4)\nAllocation of medical assistance\nThe Secretary shall establish a limitation on the amount of Federal medical assistance available to any State during the State\u2019s 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.","url":"https://projectusc.org/usc/t42/s1396t.html","content":[{"t":"sec","id":"/us/usc/t42/s1396t","children":[{"t":"num","text":"\u00a7\u202f1396t."},{"t":"heading","text":"Home and community care for functionally disabled elderly individuals"},{"t":"subsec","id":"/us/usc/t42/s1396t/a","children":[{"t":"num","text":"(a)"},{"t":"heading","text":"\u201cHome and community care\u201d defined"},{"t":"chapeau","text":"In this subchapter, the term \u201chome and community care\u201d 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)):"},{"t":"para","id":"/us/usc/t42/s1396t/a/1","children":[{"t":"num","text":"(1)"},{"t":"content","text":" Homemaker/home health aide services.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/2","children":[{"t":"num","text":"(2)"},{"t":"content","text":" Chore services.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/3","children":[{"t":"num","text":"(3)"},{"t":"content","text":" Personal care services.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/4","children":[{"t":"num","text":"(4)"},{"t":"content","text":" Nursing care services provided by, or under the supervision of, a registered nurse.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/5","children":[{"t":"num","text":"(5)"},{"t":"content","text":" Respite care.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/6","children":[{"t":"num","text":"(6)"},{"t":"content","text":" Training for family members in managing the individual.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/7","children":[{"t":"num","text":"(7)"},{"t":"content","text":" Adult day care.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/8","children":[{"t":"num","text":"(8)"},{"t":"content","text":" 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).","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/a/9","children":[{"t":"num","text":"(9)"},{"t":"content","text":" Such other home and community-based services (other than room and board) as the Secretary may approve.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/b","children":[{"t":"num","text":"(b)"},{"t":"heading","text":"\u201cFunctionally disabled elderly individual\u201d defined"},{"t":"para","id":"/us/usc/t42/s1396t/b/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"In general"},{"t":"chapeau","text":"In this subchapter, the term \u201cfunctionally disabled elderly individual\u201d means an individual who\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/b/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" is 65 years of age or older,","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/b/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" is determined to be a functionally disabled individual under subsection (c), and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/b/1/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" subject to ","children":[{"t":"ref","text":"section 1396a(f) of this title","href":"/us/usc/t42/s1396a/f","tail":" (as applied consistent with "},{"t":"ref","text":"section 1396a(r)(2) of this title","href":"/us/usc/t42/s1396a/r/2","tail":"), 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 "},{"t":"ref","text":"section 1396a(a)(10)(C) of this title","href":"/us/usc/t42/s1396a/a/10/C","tail":"."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/b/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Treatment of certain individuals previously covered under a waiver"},{"t":"subpara","id":"/us/usc/t42/s1396t/b/2/A","children":[{"t":"num","text":"(A)"},{"t":"chapeau","text":" In the case of a State which\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/b/2/A/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/b/2/A/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/b/2/B","children":[{"t":"num","text":"(B)"},{"t":"chapeau","text":" In the case of a State which used a health insuring organization before ","children":[{"t":"text","text":"January 1, 1986","tail":", and which, as of "},{"t":"text","text":"December 31, 1990","tail":", had in effect a waiver under "},{"t":"ref","text":"section 1315 of this title","href":"/us/usc/t42/s1315","tail":" that provides under the State plan under this subchapter for personal care services for functionally disabled individuals, the term \u201cfunctionally disabled elderly individual\u201d may include, at the option of the State, an individual who\u2014"}]},{"t":"clause","id":"/us/usc/t42/s1396t/b/2/B/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" is 65 years of age or older or is disabled (as determined under the supplemental security income program under subchapter XVI);","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/b/2/B/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" is determined to meet the test of functional disability applied under the waiver as of such date; and","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/b/2/B/iii","children":[{"t":"num","text":"(iii)"},{"t":"content","text":" meets the resource requirement and income standard that apply in the State to individuals described in ","children":[{"t":"ref","text":"section 1396a(a)(10)(A)(ii)(V) of this title","href":"/us/usc/t42/s1396a/a/10/A/ii/V","tail":"."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/b/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"Use of projected income"},{"t":"content","children":[{"t":"p","text":"In applying ","children":[{"t":"ref","text":"section 1396b(f)(1) of this title","href":"/us/usc/t42/s1396b/f/1","tail":" in determining the eligibility of an individual (described in "},{"t":"ref","text":"section 1396a(a)(10)(C) of this title","href":"/us/usc/t42/s1396a/a/10/C","tail":") for medical assistance for home and community care, a State may, at its option, provide for the determination of the individual\u2019s anticipated medical expenses (to be deducted from income) over a period of up to 6 months."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/c","children":[{"t":"num","text":"(c)"},{"t":"heading","text":"Determinations of functional disability"},{"t":"para","id":"/us/usc/t42/s1396t/c/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"In general"},{"t":"chapeau","text":"In this section, an individual is \u201cfunctionally disabled\u201d if the individual\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" has a primary or secondary diagnosis of Alzheimer\u2019s 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/c/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Assessments of functional disability"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"Requests for assessments"},{"t":"chapeau","text":"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\u2019s behalf), the State shall provide for a comprehensive functional assessment under this subparagraph which\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/A/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" is used to determine whether or not the individual is functionally disabled,","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/A/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" is based on a uniform minimum data set specified by the Secretary under subparagraph (C)(i), and","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/A/iii","children":[{"t":"num","text":"(iii)"},{"t":"content","text":" uses an instrument which has been specified by the State under subparagraph (B).","tail":"\n"}],"tail":"\n\n"},{"t":"continuation","text":"No fee may be charged for such an assessment.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Specification of assessment instrument"},{"t":"chapeau","text":"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\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/B/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" one of the instruments designated under subparagraph (C)(ii); or","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/B/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" 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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/C","children":[{"t":"num","text":"(C)"},{"t":"heading","text":"Specification of assessment data set and instruments"},{"t":"chapeau","text":"The Secretary shall\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/C/i","children":[{"t":"num","text":"(i)"},{"t":"chapeau","text":" not later than ","children":[{"t":"text","text":"July 1, 1991","tail":"\u2014"}]},{"t":"subclause","id":"/us/usc/t42/s1396t/c/2/C/i/I","children":[{"t":"num","text":"(I)"},{"t":"content","text":" specify a minimum data set of core elements and common definitions for use in conducting the assessments required under subparagraph (A); and","tail":"\n"}],"tail":"\n"},{"t":"subclause","id":"/us/usc/t42/s1396t/c/2/C/i/II","children":[{"t":"num","text":"(II)"},{"t":"content","text":" establish guidelines for use of the data set; and","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/C/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" by not later than ","children":[{"t":"text","text":"July 1, 1991","tail":", 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)."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/D","children":[{"t":"num","text":"(D)"},{"t":"heading","text":"Periodic review"},{"t":"content","children":[{"t":"p","text":"Each individual who qualifies as a functionally disabled elderly individual shall have the individual\u2019s assessment periodically reviewed and revised not less often than once every 12 months.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/E","children":[{"t":"num","text":"(E)"},{"t":"heading","text":"Conduct of assessment by interdisciplinary teams"},{"t":"chapeau","text":"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\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/E/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" with public organizations; or","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/E/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/F","children":[{"t":"num","text":"(F)"},{"t":"heading","text":"Contents of assessment"},{"t":"chapeau","text":"The interdisciplinary team must\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/F/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" identify in each such assessment or review each individual\u2019s functional disabilities and need for home and community care, including information about the individual\u2019s health status, home and community environment, and informal support system; and","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/c/2/F/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" based on such assessment or review, determine whether the individual is (or continues to be) functionally disabled.","tail":"\n"}],"tail":"\n\n"},{"t":"continuation","text":"The results of such an assessment or review shall be used in establishing, reviewing, and revising the individual\u2019s ICCP under subsection (d)(1).","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/c/2/G","children":[{"t":"num","text":"(G)"},{"t":"heading","text":"Appeal procedures"},{"t":"content","children":[{"t":"p","text":"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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/d","children":[{"t":"num","text":"(d)"},{"t":"heading","text":"Individual community care plan (ICCP)"},{"t":"para","id":"/us/usc/t42/s1396t/d/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"\u201cIndividual community care plan\u201d defined"},{"t":"chapeau","text":"In this section, the terms \u201cindividual community care plan\u201d and \u201cICCP\u201d mean, with respect to a functionally disabled elderly individual, a written plan which\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" 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);","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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\u2019s preferences for the types and providers of services; and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/1/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" may specify other services required by such individual.","tail":"\n"}],"tail":"\n\n"},{"t":"continuation","text":"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).","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/d/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"\u201cQualified community care case manager\u201d defined"},{"t":"chapeau","text":"In this section, the term \u201cqualified community care case manager\u201d means a nonprofit or public agency or organization which\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" 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;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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\u2019s 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;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" 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;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/D","children":[{"t":"num","text":"(D)"},{"t":"content","text":" has procedures for assuring the quality of case management services that includes a peer review process;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/E","children":[{"t":"num","text":"(E)"},{"t":"content","text":" completes the ICCP in a timely manner and reviews and discusses new and revised ICCPs with elderly individuals or primary caregivers; and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/d/2/F","children":[{"t":"num","text":"(F)"},{"t":"chapeau","text":" meets such other standards, established by the Secretary, as to assure that\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/d/2/F/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" such a manager is competent to perform case management functions;","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/d/2/F/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" individuals whose home and community care they manage are not at risk of financial exploitation due to such a manager; and","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/d/2/F/iii","children":[{"t":"num","text":"(iii)"},{"t":"content","text":" meets such other standards as the State may establish.","tail":"\n"}],"tail":"\n"}],"tail":"\n\n"},{"t":"continuation","text":"The Secretary may waive the requirement of subparagraph (C) in the case of a nonprofit agency located in a rural area.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/d/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"Appeals process"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/e","children":[{"t":"num","text":"(e)"},{"t":"heading","text":"Ceiling on payment amounts and maintenance of effort"},{"t":"para","id":"/us/usc/t42/s1396t/e/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"Ceiling on payment amounts"},{"t":"chapeau","text":"Payments may not be made under ","children":[{"t":"ref","text":"section 1396b(a) of this title","href":"/us/usc/t42/s1396b/a","tail":" 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\u2014"}]},{"t":"subpara","id":"/us/usc/t42/s1396t/e/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" the average number of individuals in the quarter receiving such care under this section;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/e/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/e/1/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" the number of days in such quarter.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/e/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Maintenance of effort"},{"t":"subpara","id":"/us/usc/t42/s1396t/e/2/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"Annual reports"},{"t":"content","children":[{"t":"p","text":"As a condition for the receipt of payment under ","children":[{"t":"ref","text":"section 1396b(a) of this title","href":"/us/usc/t42/s1396b/a","tail":" with respect to medical assistance provided by a State for home and community care (other than a waiver under "},{"t":"ref","text":"section 1396n(c) of this title","href":"/us/usc/t42/s1396n/c","tail":" and other than home health care services described in "},{"t":"ref","text":"section 1396d(a)(7) of this title","href":"/us/usc/t42/s1396d/a/7","tail":" and personal care services specified under regulations under "},{"t":"ref","text":"section 1396d(a)(23) of this title","href":"/us/usc/t42/s1396d/a/23","tail":"), 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."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/e/2/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Reduction in payment if failure to maintain effort"},{"t":"content","children":[{"t":"p","text":"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 ","children":[{"t":"ref","text":"section 1396b(a) of this title","href":"/us/usc/t42/s1396b/a","tail":" in an amount equal to the difference between the amounts so reported."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/f","children":[{"t":"num","text":"(f)"},{"t":"heading","text":"Minimum requirements for home and community care"},{"t":"para","id":"/us/usc/t42/s1396t/f/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"Requirements"},{"t":"chapeau","text":"Home and Community\u202f","children":[{"t":"ref","text":"1"},{"t":"num","text":"1","tail":"\u202fSo in original. Probably should not be capitalized."},{"t":"text","text":"\u202fSo in original. Probably should not be capitalized.","tail":" care provided under this section must meet such requirements for individuals\u2019 rights and quality as are published or developed by the Secretary under subsection (k). Such requirements shall include\u2014"}]},{"t":"subpara","id":"/us/usc/t42/s1396t/f/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" the requirement that individuals providing care are competent to provide such care; and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" the rights specified in paragraph (2).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/f/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Specified rights"},{"t":"chapeau","text":"The rights specified in this paragraph are as follows:"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" The right to confidentiality of personal and clinical records.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/D","children":[{"t":"num","text":"(D)"},{"t":"content","text":" The right to privacy and to have one\u2019s property treated with respect.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/E","children":[{"t":"num","text":"(E)"},{"t":"content","text":" The right to refuse all or part of any care and to be informed of the likely consequences of such refusal.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/F","children":[{"t":"num","text":"(F)"},{"t":"content","text":" The right to education or training for oneself and for members of one\u2019s family or household on the management of care.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/G","children":[{"t":"num","text":"(G)"},{"t":"content","text":" 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\u2019s ICCP.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/H","children":[{"t":"num","text":"(H)"},{"t":"content","text":" The right to be fully informed orally and in writing of the individual\u2019s rights.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/I","children":[{"t":"num","text":"(I)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/f/2/J","children":[{"t":"num","text":"(J)"},{"t":"content","text":" Any other rights established by the Secretary.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/g","children":[{"t":"num","text":"(g)"},{"t":"heading","text":"Minimum requirements for small community care settings"},{"t":"para","id":"/us/usc/t42/s1396t/g/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"\u201cSmall community care setting\u201d defined"},{"t":"chapeau","text":"In this section, the term \u201csmall community care setting\u201d means\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" a nonresidential setting that serves more than 2 and less than 8 individuals; or","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/g/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Minimum requirements"},{"t":"chapeau","text":"A small community care setting in which community care is provided under this section must\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" meet such requirements as are published or developed by the Secretary under subsection (k);","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of ","children":[{"t":"ref","text":"section 1396r(c) of this title","href":"/us/usc/t42/s1396r/c","tail":", to the extent applicable to such a setting;"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" 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\u2019s legal rights with respect to such a setting and the care provided in the setting;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/D","children":[{"t":"num","text":"(D)"},{"t":"content","text":" meet any applicable State or local requirements regarding certification or licensure;","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/E","children":[{"t":"num","text":"(E)"},{"t":"content","text":" meet any applicable State and local zoning, building, and housing codes, and State and local fire and safety regulations; and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/g/2/F","children":[{"t":"num","text":"(F)"},{"t":"content","text":" be designed, constructed, equipped, and maintained in a manner to protect the health and safety of residents.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/h","children":[{"t":"num","text":"(h)"},{"t":"heading","text":"Minimum requirements for large community care settings"},{"t":"para","id":"/us/usc/t42/s1396t/h/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"\u201cLarge community care setting\u201d defined"},{"t":"chapeau","text":"In this section, the term \u201clarge community care setting\u201d means\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/1/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" a nonresidential setting in which more than 8 individuals are served; or","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/1/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/h/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Minimum requirements"},{"t":"chapeau","text":"A large community care setting in which community care is provided under this section must\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/2/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" meet such requirements as are published or developed by the Secretary under subsection (k);","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/2/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" meet the requirements of paragraphs (1)(A), (1)(C), (1)(D), (3), and (6) of ","children":[{"t":"ref","text":"section 1396r(c) of this title","href":"/us/usc/t42/s1396r/c","tail":", to the extent applicable to such a setting;"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/2/C","children":[{"t":"num","text":"(C)"},{"t":"content","text":" 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\u2019s legal rights with respect to such a setting and the care provided in the setting; and","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/2/D","children":[{"t":"num","text":"(D)"},{"t":"content","text":" meet the requirements of paragraphs (2) and (3) of ","children":[{"t":"ref","text":"section 1396r(d) of this title","href":"/us/usc/t42/s1396r/d","tail":" (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 "},{"t":"ref","text":"section 1396r(d)(2) of this title","href":"/us/usc/t42/s1396r/d/2","tail":" (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."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/h/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"Disclosure of ownership and control interests and exclusion of repeated violators"},{"t":"chapeau","text":"A community care setting\u2014"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/3/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" must disclose persons with an ownership or control interest (including such persons as defined in ","children":[{"t":"ref","text":"section 1320a\u20133(a)(3) of this title","href":"/us/usc/t42/s1320a\u20133/a/3","tail":") in the setting; and"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/h/3/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" 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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/i","children":[{"t":"num","text":"(i)"},{"t":"heading","text":"Survey and certification process"},{"t":"para","id":"/us/usc/t42/s1396t/i/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"Certifications"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/1/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"Responsibilities of the State"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/1/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Responsibilities of the Secretary"},{"t":"content","children":[{"t":"p","text":"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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/1/C","children":[{"t":"num","text":"(C)"},{"t":"heading","text":"Frequency of certifications"},{"t":"content","children":[{"t":"p","text":"Certification of providers and settings under this subsection shall occur no less frequently than once every 12 months.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/i/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Reviews of providers"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/2/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"In general"},{"t":"content","children":[{"t":"p","text":"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\u2019s performance in providing the care required under ICCP\u2019s in accordance with the requirements of subsection (f).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/2/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Special reviews of compliance"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/i/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"Surveys of community care settings"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/3/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"In general"},{"t":"content","children":[{"t":"p","text":"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 ","children":[{"t":"ref","text":"section 1320a\u20137a of this title","href":"/us/usc/t42/s1320a\u20137a","tail":" (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 "},{"t":"ref","text":"section 1320a\u20137a(a) of this title","href":"/us/usc/t42/s1320a\u20137a/a","tail":". The Secretary shall review each State\u2019s 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."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/3/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Survey protocol"},{"t":"content","children":[{"t":"p","text":"Surveys under this paragraph shall be conducted based upon a protocol which the Secretary has provided for under subsection (k).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/3/C","children":[{"t":"num","text":"(C)"},{"t":"heading","text":"Prohibition of conflict of interest in survey team membership"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/3/D","children":[{"t":"num","text":"(D)"},{"t":"heading","text":"Validation surveys of community care settings"},{"t":"content","children":[{"t":"p","text":"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\u2019s 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\u2019s determination as to the setting\u2019s noncompliance with such requirements is binding and supersedes that of the State survey.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/3/E","children":[{"t":"num","text":"(E)"},{"t":"heading","text":"Special surveys of compliance"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/i/4","children":[{"t":"num","text":"(4)"},{"t":"heading","text":"Investigation of complaints and monitoring of providers and settings"},{"t":"content","children":[{"t":"p","text":"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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/i/5","children":[{"t":"num","text":"(5)"},{"t":"heading","text":"Investigation of allegations of individual neglect and abuse and misappropriation of individual property"},{"t":"content","children":[{"t":"p","text":"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\u2019s 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/i/6","children":[{"t":"num","text":"(6)"},{"t":"heading","text":"Disclosure of results of inspections and activities"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/6/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"Public information"},{"t":"chapeau","text":"Each State, and the Secretary, shall make available to the public\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/A/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" 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,","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/A/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" copies of cost reports (if any) of such providers and settings filed under this subchapter,","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/A/iii","children":[{"t":"num","text":"(iii)"},{"t":"content","text":" copies of statements of ownership under ","children":[{"t":"ref","text":"section 1320a\u20133 of this title","href":"/us/usc/t42/s1320a\u20133","tail":", and"}],"tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/A/iv","children":[{"t":"num","text":"(iv)"},{"t":"content","text":" information disclosed under ","children":[{"t":"ref","text":"section 1320a\u20135 of this title","href":"/us/usc/t42/s1320a\u20135","tail":"."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/6/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Notices of substandard care"},{"t":"chapeau","text":"If a State finds that\u2014"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/B/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/i/6/B/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/i/6/C","children":[{"t":"num","text":"(C)"},{"t":"heading","text":"Access to fraud control units"},{"t":"content","children":[{"t":"p","text":"Each State shall provide its State medicaid fraud and abuse control unit (established under ","children":[{"t":"ref","text":"section 1396b(q) of this title","href":"/us/usc/t42/s1396b/q","tail":") with access to all information of the State agency responsible for surveys, reviews, and certifications under this subsection."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/j","children":[{"t":"num","text":"(j)"},{"t":"heading","text":"Enforcement process for providers of community care"},{"t":"para","id":"/us/usc/t42/s1396t/j/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"State authority"},{"t":"subpara","id":"/us/usc/t42/s1396t/j/1/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"In general"},{"t":"content","children":[{"t":"p","text":"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\u2019s 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\u2019s 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/j/1/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Civil money penalty"},{"t":"clause","id":"/us/usc/t42/s1396t/j/1/B/i","children":[{"t":"num","text":"(i)"},{"t":"heading","text":"In general"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/j/1/B/ii","children":[{"t":"num","text":"(ii)"},{"t":"heading","text":"Deadline and guidance"},{"t":"content","children":[{"t":"p","text":"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 ","children":[{"t":"text","text":"July 1, 1990","tail":", 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."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/j/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Secretarial authority"},{"t":"subpara","id":"/us/usc/t42/s1396t/j/2/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"For State providers"},{"t":"content","children":[{"t":"p","text":"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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/j/2/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Other providers"},{"t":"content","children":[{"t":"p","text":"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\u2019s 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/j/2/C","children":[{"t":"num","text":"(C)"},{"t":"heading","text":"Civil money penalty"},{"t":"content","children":[{"t":"p","text":"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 ","children":[{"t":"ref","text":"section 1320a\u20137a of this title","href":"/us/usc/t42/s1320a\u20137a","tail":" (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 "},{"t":"ref","text":"section 1320a\u20137a(a) of this title","href":"/us/usc/t42/s1320a\u20137a/a","tail":". 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."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/k","children":[{"t":"num","text":"(k)"},{"t":"heading","text":"Secretarial responsibilities"},{"t":"para","id":"/us/usc/t42/s1396t/k/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"Publication of interim requirements"},{"t":"subpara","id":"/us/usc/t42/s1396t/k/1/A","children":[{"t":"num","text":"(A)"},{"t":"heading","text":"In general"},{"t":"chapeau","text":"The Secretary shall publish, by ","children":[{"t":"text","text":"December 1, 1991","tail":", 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\u2014"}]},{"t":"clause","id":"/us/usc/t42/s1396t/k/1/A/i","children":[{"t":"num","text":"(i)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"clause","id":"/us/usc/t42/s1396t/k/1/A/ii","children":[{"t":"num","text":"(ii)"},{"t":"content","text":" survey protocols (for use under subsection (i)(3)(A)) which relate to such requirements.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/k/1/B","children":[{"t":"num","text":"(B)"},{"t":"heading","text":"Minimum protections"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/k/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Development of final requirements"},{"t":"chapeau","text":"The Secretary shall develop, by not later than ","children":[{"t":"text","text":"October 1, 1992","tail":"\u2014"}]},{"t":"subpara","id":"/us/usc/t42/s1396t/k/2/A","children":[{"t":"num","text":"(A)"},{"t":"content","text":" 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","tail":"\n"}],"tail":"\n"},{"t":"subpara","id":"/us/usc/t42/s1396t/k/2/B","children":[{"t":"num","text":"(B)"},{"t":"content","text":" survey protocols and methods for evaluating and assuring the quality of community care settings.","tail":"\n"}],"tail":"\n\n"},{"t":"continuation","text":"The Secretary may, from time to time, revise such requirements, protocols, and methods.","tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/k/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"No delegation to States"},{"t":"content","children":[{"t":"p","text":"The Secretary\u2019s authority under this subsection shall not be delegated to States.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/k/4","children":[{"t":"num","text":"(4)"},{"t":"heading","text":"No prevention of more stringent requirements by States"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/l","children":[{"t":"num","text":"(l)"},{"t":"heading","text":"Waiver of Statewideness"},{"t":"content","children":[{"t":"p","text":"States may waive the requirement of ","children":[{"t":"ref","text":"section 1396a(a)(1) of this title","href":"/us/usc/t42/s1396a/a/1","tail":" (related to Statewideness) for a program of home and community care under this section."}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"subsec","id":"/us/usc/t42/s1396t/m","children":[{"t":"num","text":"(m)"},{"t":"heading","text":"Limitation on amount of expenditures as medical assistance"},{"t":"para","id":"/us/usc/t42/s1396t/m/1","children":[{"t":"num","text":"(1)"},{"t":"heading","text":"Limitation on amount"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/m/2","children":[{"t":"num","text":"(2)"},{"t":"heading","text":"Assurance of entitlement to service"},{"t":"content","children":[{"t":"p","text":"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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/m/3","children":[{"t":"num","text":"(3)"},{"t":"heading","text":"Limitation on eligibility"},{"t":"content","children":[{"t":"p","text":"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).","tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"para","id":"/us/usc/t42/s1396t/m/4","children":[{"t":"num","text":"(4)"},{"t":"heading","text":"Allocation of medical assistance"},{"t":"content","children":[{"t":"p","text":"The Secretary shall establish a limitation on the amount of Federal medical assistance available to any State during the State\u2019s 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.","tail":"\n"}],"tail":"\n"}],"tail":"\n"}],"tail":"\n"},{"t":"text","text":"\n"},{"t":"text","text":"\n"}]}]}