Application for a §1915(c) Home and Community-Based Services Waiver

PURPOSE OF THE HCBS WAIVER PROGRAM

The Medicaid Home and Community-Based Services (HCBS) waiver program is authorized in §1915(c) of the Social Security Act. The program permits a State to furnish an array of home and community-based services that assist Medicaid beneficiaries to live in the community and avoid institutionalization. The State has broad discretion to design its waiver program to address the needs of the waiver’s target population. Waiver services complement and/or supplement the services that are available to participants through the Medicaid State plan and other federal, state and local public programs as well as the supports that families and communities provide.

The Centers for Medicare & Medicaid Services (CMS) recognizes that the design and operational features of a waiver program will vary depending on the specific needs of the target population, the resources available to the State, service delivery system structure, State goals and objectives, and other factors. A State has the latitude to design a waiver program that is cost-effective and employs a variety of service delivery approaches, including participant direction of services.

Application for a §1915(c) Home and Community-Based Services Waiver

1. Request Information (1 of 3)

  1. The State of West Virginia requests approval for a Medicaid home and community-based services (HCBS) waiver under the authority of §1915(c) of the Social Security Act (the Act).
  2. (optional - this title will be used to locate this waiver in the finder):
  3. new
    (For new waivers requesting five year approval periods, the waiver must serve individuals who are dually eligible for Medicaid and Medicare.)
    Provide the information about the original waiver being migrated
    (if applicable):
    WV.0876.R00.00
    WV.08.00.00
  4. 02/01/12

1. Request Information (2 of 3)

  1. Level(s) of Care. This waiver is requested in order to provide home and community-based waiver services to individuals who, but for the provision of such services, would require the following level(s) of care, the costs of which would be reimbursed under the approved Medicaid State plan (check each that applies):
    Select applicable level of care
    out of 6000
    Select applicable level of care
    out of 6000
    out of 6000

1. Request Information (3 of 3)

  1. Concurrent Operation with Other Programs. This waiver operates concurrently with another program (or programs) approved under the following authorities
    Select one:
    Check the applicable authority or authorities:
    out of 6000
    Specify the §1915(b) authorities under which this program operates (check each that applies):
    out of 6000
    out of 6000
  2. Dual Eligiblity for Medicaid and Medicare.
    Check if applicable:

2. Brief Waiver Description

Brief Waiver Description.
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3. Components of the Waiver Request

The waiver application consists of the following components. Note: Item 3-E must be completed.

  1. Waiver Administration and Operation. Appendix A specifies the administrative and operational structure of this waiver.

  2. Participant Access and Eligibility. Appendix B specifies the target group(s) of individuals who are served in this waiver, the number of participants that the State expects to serve during each year that the waiver is in effect, applicable Medicaid eligibility and post-eligibility (if applicable) requirements, and procedures for the evaluation and reevaluation of level of care.

  3. Participant Services. Appendix C specifies the home and community-based waiver services that are furnished through the waiver, including applicable limitations on such services.

  4. Participant-Centered Service Planning and Delivery. Appendix D specifies the procedures and methods that the State uses to develop, implement and monitor the participant-centered service plan (of care).

  5. Participant-Direction of Services. When the State provides for participant direction of services, Appendix E specifies the participant direction opportunities that are offered in the waiver and the supports that are available to participants who direct their services. (Select one):
    Appendix E is required.
    Appendix E is not required.
  6. Participant Rights. Appendix F specifies how the State informs participants of their Medicaid Fair Hearing rights and other procedures to address participant grievances and complaints.

  7. Participant Safeguards. Appendix G describes the safeguards that the State has established to assure the health and welfare of waiver participants in specified areas.

  8. Quality Improvement Strategy. Appendix H contains the Quality Improvement Strategy for this waiver.

  9. Financial Accountability. Appendix I describes the methods by which the State makes payments for waiver services, ensures the integrity of these payments, and complies with applicable federal requirements concerning payments and federal financial participation.

  10. Cost-Neutrality Demonstration. Appendix J contains the State's demonstration that the waiver is cost-neutral.

4. Waiver(s) Requested

  1. Comparability. The State requests a waiver of the requirements contained in §1902(a)(10)(B) of the Act in order to provide the services specified in Appendix C that are not otherwise available under the approved Medicaid State plan to individuals who: (a) require the level(s) of care specified in Item 1.F and (b) meet the target group criteria specified in Appendix B.
  2. Income and Resources for the Medically Needy. Indicate whether the State requests a waiver of §1902(a)(10)(C)(i)(III) of the Act in order to use institutional income and resource rules for the medically needy (select one):
  3. Statewideness. Indicate whether the State requests a waiver of the statewideness requirements in §1902(a)(1) of the Act (select one):
    If yes, specify the waiver of statewideness that is requested (check each that applies):
    out of 6000
    out of 6000

5. Assurances

In accordance with 42 CFR §441.302, the State provides the following assurances to CMS:
  1. Health & Welfare: The State assures that necessary safeguards have been taken to protect the health and welfare of persons receiving services under this waiver. These safeguards include:

    1. As specified in Appendix C, adequate standards for all types of providers that provide services under this waiver;

    2. Assurance that the standards of any State licensure or certification requirements specified in Appendix C are met for services or for individuals furnishing services that are provided under the waiver. The State assures that these requirements are met on the date that the services are furnished; and,

    3. Assurance that all facilities subject to §1616(e) of the Act where home and community-based waiver services are provided comply with the applicable State standards for board and care facilities as specified in Appendix C.

  2. Financial Accountability. The State assures financial accountability for funds expended for home and community-based services and maintains and makes available to the Department of Health and Human Services (including the Office of the Inspector General), the Comptroller General, or other designees, appropriate financial records documenting the cost of services provided under the waiver. Methods of financial accountability are specified in Appendix I.

  3. Evaluation of Need: The State assures that it provides for an initial evaluation (and periodic reevaluations, at least annually) of the need for a level of care specified for this waiver, when there is a reasonable indication that an individual might need such services in the near future (one month or less) but for the receipt of home and community based services under this waiver. The procedures for evaluation and reevaluation of level of care are specified in Appendix B.

  4. Choice of Alternatives: The State assures that when an individual is determined to be likely to require the level of care specified for this waiver and is in a target group specified in Appendix B, the individual (or, legal representative, if applicable) is:

    1. Informed of any feasible alternatives under the waiver; and,

    2. Given the choice of either institutional or home and community based waiver services. Appendix B specifies the procedures that the State employs to ensure that individuals are informed of feasible alternatives under the waiver and given the choice of institutional or home and community-based waiver services.

  5. Average Per Capita Expenditures: The State assures that, for any year that the waiver is in effect, the average per capita expenditures under the waiver will not exceed 100 percent of the average per capita expenditures that would have been made under the Medicaid State plan for the level(s) of care specified for this waiver had the waiver not been granted. Cost-neutrality is demonstrated in Appendix J.

  6. Actual Total Expenditures: The State assures that the actual total expenditures for home and community-based waiver and other Medicaid services and its claim for FFP in expenditures for the services provided to individuals under the waiver will not, in any year of the waiver period, exceed 100 percent of the amount that would be incurred in the absence of the waiver by the State's Medicaid program for these individuals in the institutional setting(s) specified for this waiver.

  7. Institutionalization Absent Waiver: The State assures that, absent the waiver, individuals served in the waiver would receive the appropriate type of Medicaid-funded institutional care for the level of care specified for this waiver.

  8. Reporting: The State assures that annually it will provide CMS with information concerning the impact of the waiver on the type, amount and cost of services provided under the Medicaid State plan and on the health and welfare of waiver participants. This information will be consistent with a data collection plan designed by CMS.

  9. Habilitation Services. The State assures that prevocational, educational, or supported employment services, or a combination of these services, if provided as habilitation services under the waiver are: (1) not otherwise available to the individual through a local educational agency under the Individuals with Disabilities Education Act (IDEA) or the Rehabilitation Act of 1973; and, (2) furnished as part of expanded habilitation services.

  10. Services for Individuals with Chronic Mental Illness. The State assures that federal financial participation (FFP) will not be claimed in expenditures for waiver services including, but not limited to, day treatment or partial hospitalization, psychosocial rehabilitation services, and clinic services provided as home and community-based services to individuals with chronic mental illnesses if these individuals, in the absence of a waiver, would be placed in an IMD and are: (1) age 22 to 64; (2) age 65 and older and the State has not included the optional Medicaid benefit cited in 42 CFR §440.140; or (3) age 21 and under and the State has not included the optional Medicaid benefit cited in 42 CFR § 440.160.

6. Additional Requirements

Note: Item 6-I must be completed.
  1. Service Plan. In accordance with 42 CFR §441.301(b)(1)(i), a participant-centered service plan (of care) is developed for each participant employing the procedures specified in Appendix D. All waiver services are furnished pursuant to the service plan. The service plan describes: (a) the waiver services that are furnished to the participant, their projected frequency and the type of provider that furnishes each service and (b) the other services (regardless of funding source, including State plan services) and informal supports that complement waiver services in meeting the needs of the participant. The service plan is subject to the approval of the Medicaid agency. Federal financial participation (FFP) is not claimed for waiver services furnished prior to the development of the service plan or for services that are not included in the service plan.

  2. Inpatients. In accordance with 42 CFR §441.301(b)(1) (ii), waiver services are not furnished to individuals who are in-patients of a hospital, nursing facility or ICF/MR.

  3. Room and Board. In accordance with 42 CFR §441.310(a)(2), FFP is not claimed for the cost of room and board except when: (a) provided as part of respite services in a facility approved by the State that is not a private residence or (b) claimed as a portion of the rent and food that may be reasonably attributed to an unrelated caregiver who resides in the same household as the participant, as provided in Appendix I.

  4. Access to Services. The State does not limit or restrict participant access to waiver services except as provided in Appendix C.

  5. Free Choice of Provider. In accordance with 42 CFR §431.151, a participant may select any willing and qualified provider to furnish waiver services included in the service plan unless the State has received approval to limit the number of providers under the provisions of §1915(b) or another provision of the Act.

  6. FFP Limitation. In accordance with 42 CFR §433 Subpart D, FFP is not claimed for services when another third-party (e.g., another third party health insurer or other federal or state program) is legally liable and responsible for the provision and payment of the service. FFP also may not be claimed for services that are available without charge, or as free care to the community. Services will not be considered to be without charge, or free care, when (1) the provider establishes a fee schedule for each service available and (2) collects insurance information from all those served (Medicaid, and non-Medicaid), and bills other legally liable third party insurers. Alternatively, if a provider certifies that a particular legally liable third party insurer does not pay for the service(s), the provider may not generate further bills for that insurer for that annual period.

  7. Fair Hearing: The State provides the opportunity to request a Fair Hearing under 42 CFR §431 Subpart E, to individuals: (a) who are not given the choice of home and community- based waiver services as an alternative to institutional level of care specified for this waiver; (b) who are denied the service(s) of their choice or the provider(s) of their choice; or (c) whose services are denied, suspended, reduced or terminated. Appendix F specifies the State's procedures to provide individuals the opportunity to request a Fair Hearing, including providing notice of action as required in 42 CFR §431.210.

  8. Quality Improvement. The State operates a formal, comprehensive system to ensure that the waiver meets the assurances and other requirements contained in this application. Through an ongoing process of discovery, remediation and improvement, the State assures the health and welfare of participants by monitoring: (a) level of care determinations; (b) individual plans and services delivery; (c) provider qualifications; (d) participant health and welfare; (e) financial oversight and (f) administrative oversight of the waiver. The State further assures that all problems identified through its discovery processes are addressed in an appropriate and timely manner, consistent with the severity and nature of the problem. During the period that the waiver is in effect, the State will implement the Quality Improvement Strategy specified in Appendix H.

  9. Public Input.
    out of 6000
  10. Notice to Tribal Governments. The State assures that it has notified in writing all federally-recognized Tribal Governments that maintain a primary office and/or majority population within the State of the State's intent to submit a Medicaid waiver request or renewal request to CMS at least 60 days before the anticipated submission date is provided by Presidential Executive Order 13175 of November 6, 2000. Evidence of the applicable notice is available through the Medicaid Agency.

  11. Limited English Proficient Persons. The State assures that it provides meaningful access to waiver services by Limited English Proficient persons in accordance with: (a) Presidential Executive Order 13166 of August 11, 2000 (65 FR 50121) and (b) Department of Health and Human Services "Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons" (68 FR 47311 - August 8, 2003). Appendix B describes how the State assures meaningful access to waiver services by Limited English Proficient persons.

7. Contact Person(s)

  1. The Medicaid agency representative with whom CMS should communicate regarding the waiver is:

    West Virginia

  2. If applicable, the State operating agency representative with whom CMS should communicate regarding the waiver is:

    West Virginia

8. Authorizing Signature

This document, together with Appendices A through J, constitutes the State's request for a waiver under §1915(c) of the Social Security Act. The State assures that all materials referenced in this waiver application (including standards, licensure and certification requirements) are readily available in print or electronic form upon request to CMS through the Medicaid agency or, if applicable, from the operating agency specified in Appendix A. Any proposed changes to the waiver will be submitted by the Medicaid agency to CMS in the form of waiver amendments.
Upon approval by CMS, the waiver application serves as the State's authority to provide home and community-based waiver services to the specified target groups. The State attests that it will abide by all provisions of the approved waiver and will continuously operate the waiver in accordance with the assurances specified in Section 5 and the additional requirements specified in Section 6 of the request.

State Medicaid Director or Designee

West Virginia

Attachment #1: Transition Plan

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Additional Needed Information (Optional)

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Appendix A: Waiver Administration and Operation

  1. State Line of Authority for Waiver Operation. Specify the state line of authority for the operation of the waiver (select one):

    Specify the Medicaid agency division/unit that has line authority for the operation of the waiver program (select one):

    (Do not complete item A-2)

    (Complete item A-2-a).

    In accordance with 42 CFR §431.10, the Medicaid agency exercises administrative discretion in the administration and supervision of the waiver and issues policies, rules and regulations related to the waiver. The interagency agreement or memorandum of understanding that sets forth the authority and arrangements for this policy is available through the Medicaid agency to CMS upon request. (Complete item A-2-b).

Appendix A: Waiver Administration and Operation

  1. Oversight of Performance.

    1. Medicaid Director Oversight of Performance When the Waiver is Operated by another Division/Unit within the State Medicaid Agency.
      As indicated in section 1 of this appendix, the waiver is not operated by another division/unit within the State Medicaid agency. Thus this section does not need to be completed.
      out of 12000
    2. Medicaid Agency Oversight of Operating Agency Performance.
      As indicated in section 1 of this appendix, the waiver is not operated by a separate agency of the State. Thus this section does not need to be completed.
      out of 12000

Appendix A: Waiver Administration and Operation

  1. Use of Contracted Entities. Specify whether contracted entities perform waiver operational and administrative functions on behalf of the Medicaid agency and/or the operating agency (if applicable) (select one):
    out of 6000

Appendix A: Waiver Administration and Operation

  1. Role of Local/Regional Non-State Entities. Indicate whether local or regional non-state entities perform waiver operational and administrative functions and, if so, specify the type of entity (Select One):

    - Local/regional non-state agencies perform waiver operational and administrative functions.
    Check each that applies:

    out of 6000

    out of 6000

Appendix A: Waiver Administration and Operation

  1. Responsibility for Assessment of Performance of Contracted and/or Local/Regional Non-State Entities.
    out of 6000

Appendix A: Waiver Administration and Operation

  1. Assessment Methods and Frequency.
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Appendix A: Waiver Administration and Operation

  1. Distribution of Waiver Operational and Administrative Functions. In the following table, specify the entity or entities that have responsibility for conducting each of the waiver operational and administrative functions listed (check each that applies):
    In accordance with 42 CFR §431.10, when the Medicaid agency does not directly conduct a function, it supervises the performance of the function and establishes and/or approves policies that affect the function. All functions not performed directly by the Medicaid agency must be delegated in writing and monitored by the Medicaid Agency. Note: More than one box may be checked per item. Ensure that Medicaid is checked when the Single State Medicaid Agency (1) conducts the function directly; (2) supervises the delegated function; and/or (3) establishes and/or approves policies related to the function.
    Function Medicaid Agency Contracted Entity
    Participant waiver enrollment
    Waiver enrollment managed against approved limits
    Waiver expenditures managed against approved levels
    Level of care evaluation
    Review of Participant service plans
    Prior authorization of waiver services
    Utilization management
    Qualified provider enrollment
    Execution of Medicaid provider agreements
    Establishment of a statewide rate methodology
    Rules, policies, procedures and information development governing the waiver program
    Quality assurance and quality improvement activities

Appendix A: Waiver Administration and Operation

Quality Improvement: Administrative Authority of the Single State Medicaid Agency

As a distinct component of the State’s quality improvement strategy, provide information in the following fields to detail the State’s methods for discovery and remediation.
  1. Methods for Discovery: Administrative Authority
    The Medicaid Agency retains ultimate administrative authority and responsibility for the operation of the waiver program by exercising oversight of the performance of waiver functions by other state and local/regional non-state agencies (if appropriate) and contracted entities.
    1. Performance Measures

      For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

      For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

      Performance Measure:
      Number and percent of Medicaid oversight meetings where Waiver functions are discussed. (Numerator = # of Medicaid oversight meetings where Waiver functions are discussed Denominator = # of Waiver meetings).
      Meeting minutes
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      Performance Measure:
      Number and percent of annual nursing home level of care re-evaluations that were completed in the time specified in the agreement with the ASO. (Numerator = # of annual nursing home level of care re-evaluations completed by ASO in specified time frame Denominator = # of requests for re-evaluations received in a timely manner per policy).
      Reports to State Medicaid Agency on delegated Administrative functions
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      Performance Measure:
      Number and percent of initial nursing home level of care determinations that were completed in the time frame specified in the agreement with the ASO. (Numerator = # of determinations completed by ASO in specified time frame Denominator = # of requests for initial evaluation)
      Record reviews, on-site
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      Performance Measure:
      Number and percent of members enrolled by the ASO who meet all eligibility criteria. (Numerator = # of members enrolled by the ASO who meet all eligibility criteria Denominator = # of members enrolled by the ASO).
      Reports to State Medicaid Agency on delegated Administrative functions
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      Performance Measure:
      Number and percent of prior authorizations conducted by the ASO with enrollment confirmed by the operating agency. (Numerator = # of prior authorizations conducted by the ASO with enrollment confirmed by the operating agency Denominator - # of prior authorizations conducted by the ASO).
      Reports to State Medicaid Agency on delegated Administrative functions
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      Performance Measure:
      Number and percent of annual provider quality reviews conducted by the ASO as specified in the agreement with BMS. (Numerator = # of annual provider quality reviews conducted by the ASO as specified in the agreement with BMS Denominator = # of providers due an annual quality review ).
      Reports to State Medicaid Agency on delegated Administrative functions
      Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
      Data Aggregation and Analysis:
      Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
    2. out of 6000
  2. Methods for Remediation/Fixing Individual Problems
    1. out of 6000
    2. Remediation Data Aggregation
      Remediation-related Data Aggregation and Analysis (including trend identification)
      Responsible Party (check each that applies): Frequency of data aggregation and analysis (check each that applies):
  3. Timelines
    out of 6000

Appendix B: Participant Access and Eligibility

B-1: Specification of the Waiver Target Group(s)

  1. Target Group(s). Under the waiver of Section 1902(a)(10)(B) of the Act, the State limits waiver services to a group or subgroups of individuals. Please see the instruction manual for specifics regarding age limits. In accordance with 42 CFR §441.301(b)(6), select one waiver target group, check each of the subgroups in the selected target group that may receive services under the waiver, and specify the minimum and maximum (if any) age of individuals served in each subgroup:
    Target Group Included Target SubGroup Minimum Age Maximum Age
    Maximum Age Limit No Maximum Age Limit
    Aged
    Disabled (Physical)   
    Disabled (Other)   
    Brain Injury
    HIV/AIDS
    Medically Fragile
    Technology Dependent
    Autism
    Developmental Disability
    Mental Retardation
    Mental Illness   
    Serious Emotional Disturbance   
  2. out of 12000
  3. out of 12000

Appendix B: Participant Access and Eligibility

B-2: Individual Cost Limit (1 of 2)

  1. Individual Cost Limit. The following individual cost limit applies when determining whether to deny home and community-based services or entrance to the waiver to an otherwise eligible individual (select one) Please note that a State may have only ONE individual cost limit for the purposes of determining eligibility for the waiver:
    The State does not apply an individual cost limit. Do not complete Item B-2-b or item B-2-c.
    The State refuses entrance to the waiver to any otherwise eligible individual when the State reasonably expects that the cost of the home and community-based services furnished to that individual would exceed the cost of a level of care specified for the waiver up to an amount specified by the State. Complete Items B-2-b and B-2-c.

    The limit specified by the State is (select one)

    out of 6000
    Pursuant to 42 CFR 441.301(a)(3), the State refuses entrance to the waiver to any otherwise eligible individual when the State reasonably expects that the cost of the home and community-based services furnished to that individual would exceed 100% of the cost of the level of care specified for the waiver. Complete Items B-2-b and B-2-c.
    The State refuses entrance to the waiver to any otherwise qualified individual when the State reasonably expects that the cost of home and community-based services furnished to that individual would exceed the following amount specified by the State that is less than the cost of a level of care specified for the waiver.

    out of 6000

    The cost limit specified by the State is (select one):

    The dollar amount (select one)

    out of 6000

    out of 6000

Appendix B: Participant Access and Eligibility

B-2: Individual Cost Limit (2 of 2)

  1. Method of Implementation of the Individual Cost Limit.

    out of 12000
  2. Participant Safeguards. When the State specifies an individual cost limit in Item B-2-a and there is a change in the participant's condition or circumstances post-entrance to the waiver that requires the provision of services in an amount that exceeds the cost limit in order to assure the participant's health and welfare, the State has established the following safeguards to avoid an adverse impact on the participant (check each that applies):

    out of 12000

    out of 12000

Appendix B: Participant Access and Eligibility

B-3: Number of Individuals Served (1 of 4)

  1. Unduplicated Number of Participants. The following table specifies the maximum number of unduplicated participants who are served in each year that the waiver is in effect. The State will submit a waiver amendment to CMS to modify the number of participants specified for any year(s), including when a modification is necessary due to legislative appropriation or another reason. The number of unduplicated participants specified in this table is basis for the cost-neutrality calculations in Appendix J:
    Table: B-3-a
    Waiver Year Unduplicated Number of Participants
    Year 1

    Year 2

    Year 3

  2. Limitation on the Number of Participants Served at Any Point in Time. Consistent with the unduplicated number of participants specified in Item B-3-a, the State may limit to a lesser number the number of participants who will be served at any point in time during a waiver year. Indicate whether the State limits the number of participants in this way: (select one):

    Table: B-3-b
    Waiver Year Maximum Number of Participants Served At Any Point During the Year
    Year 1

    Year 2

    Year 3

Appendix B: Participant Access and Eligibility

B-3: Number of Individuals Served (2 of 4)

  1. Reserved Waiver Capacity. The State may reserve a portion of the participant capacity of the waiver for specified purposes (e.g., provide for the community transition of institutionalized persons or furnish waiver services to individuals experiencing a crisis) subject to CMS review and approval. The State (select one):

Appendix B: Participant Access and Eligibility

B-3: Number of Individuals Served (3 of 4)

  1. Scheduled Phase-In or Phase-Out. Within a waiver year, the State may make the number of participants who are served subject to a phase-in or phase-out schedule (select one):
  2. Allocation of Waiver Capacity.

    Select one:

    out of 12000
  3. Selection of Entrants to the Waiver.

    out of 12000

Appendix B: Participant Access and Eligibility

B-3: Number of Individuals Served - Attachment #1 (4 of 4)

Answers provided in Appendix B-3-d indicate that you do not need to complete this section.

Appendix B: Participant Access and Eligibility

B-4: Eligibility Groups Served in the Waiver

    1. State Classification. The State is a (select one):
    2. Miller Trust State.
      Indicate whether the State is a Miller Trust State (select one):
  1. Medicaid Eligibility Groups Served in the Waiver. Individuals who receive services under this waiver are eligible under the following eligibility groups contained in the State plan. The State applies all applicable federal financial participation limits under the plan. Check all that apply:
    Eligibility Groups Served in the Waiver (excluding the special home and community-based waiver group under 42 CFR §435.217)

    Select one:

    out of 6000
    Special home and community-based waiver group under 42 CFR §435.217) Note: When the special home and community-based waiver group under 42 CFR §435.217 is included, Appendix B-5 must be completed
    The State does not furnish waiver services to individuals in the special home and community-based waiver group under 42 CFR §435.217. Appendix B-5 is not submitted.
    The State furnishes waiver services to individuals in the special home and community-based waiver group under 42 CFR §435.217.

    Check each that applies:

    Select one:

    Select one:

    out of 6000

Appendix B: Participant Access and Eligibility

B-5: Post-Eligibility Treatment of Income (1 of 4)

In accordance with 42 CFR §441.303(e), Appendix B-5 must be completed when the State furnishes waiver services to individuals in the special home and community-based waiver group under 42 CFR §435.217, as indicated in Appendix B-4. Post-eligibility applies only to the 42 CFR §435.217 group. A State that uses spousal impoverishment rules under §1924 of the Act to determine the eligibility of individuals with a community spouse may elect to use spousal post-eligibility rules under §1924 of the Act to protect a personal needs allowance for a participant with a community spouse.

  1. Use of Spousal Impoverishment Rules. Indicate whether spousal impoverishment rules are used to determine eligibility for the special home and community-based waiver group under 42 CFR §435.217 (select one):

    In the case of a participant with a community spouse, the State elects to (select one):

    (Complete Item B-5-b (SSI State) and Item B-5-d)
    (Complete Item B-5-b (SSI State) . Do not complete Item B-5-d)
    (Complete Item B-5-b (SSI State) . Do not complete Item B-5-d)

Appendix B: Participant Access and Eligibility

B-5: Post-Eligibility Treatment of Income (2 of 4)

  1. Regular Post-Eligibility Treatment of Income: SSI State.

    The State uses the post-eligibility rules at 42 CFR 435.726. Payment for home and community-based waiver services is reduced by the amount remaining after deducting the following allowances and expenses from the waiver participant's income:

    1. Allowance for the needs of the waiver participant (select one):

      Select one:

      (select one):

      out of 36000

      If this amount changes, this item will be revised.

      out of 6000

      out of 6000
    2. Allowance for the spouse only (select one):

      If this amount changes, this item will be revised.

      out of 6000
    3. Allowance for the family (select one):

      The amount specified cannot exceed the higher of the need standard for a family of the same size used to determine eligibility under the State's approved AFDC plan or the medically needy income standard established under 42 CFR §435.811 for a family of the same size. If this amount changes, this item will be revised.

      out of 6000

      out of 6000
    4. Amounts for incurred medical or remedial care expenses not subject to payment by a third party, specified in 42 §CFR 435.726:

      1. Health insurance premiums, deductibles and co-insurance charges
      2. Necessary medical or remedial care expenses recognized under State law but not covered under the State's Medicaid plan, subject to reasonable limits that the State may establish on the amounts of these expenses.

      Select one:

      Note: If the State protects the maximum amount for the waiver participant, not applicable must be selected.

      out of 6000

Appendix B: Participant Access and Eligibility

B-5: Post-Eligibility Treatment of Income (3 of 4)

  1. Regular Post-Eligibility Treatment of Income: 209(B) State.

    Answers provided in Appendix B-4 indicate that you do not need to complete this section and therefore this section is not visible.

Appendix B: Participant Access and Eligibility

B-5: Post-Eligibility Treatment of Income (4 of 4)

  1. Post-Eligibility Treatment of Income Using Spousal Impoverishment Rules

    The State uses the post-eligibility rules of §1924(d) of the Act (spousal impoverishment protection) to determine the contribution of a participant with a community spouse toward the cost of home and community-based care if it determines the individual's eligibility under §1924 of the Act. There is deducted from the participant’s monthly income a personal needs allowance (as specified below), a community spouse's allowance and a family allowance as specified in the State Medicaid Plan.. The State must also protect amounts for incurred expenses for medical or remedial care (as specified below).

    Answers provided in Appendix B-5-a indicate that you do not need to complete this section and therefore this section is not visible.

Appendix B: Participant Access and Eligibility

B-6: Evaluation/Reevaluation of Level of Care

As specified in 42 CFR §441.302(c), the State provides for an evaluation (and periodic reevaluations) of the need for the level(s) of care specified for this waiver, when there is a reasonable indication that an individual may need such services in the near future (one month or less), but for the availability of home and community-based waiver services.
  1. Reasonable Indication of Need for Services. In order for an individual to be determined to need waiver services, an individual must require: (a) the provision of at least one waiver service, as documented in the service plan, and (b) the provision of waiver services at least monthly or, if the need for services is less than monthly, the participant requires regular monthly monitoring which must be documented in the service plan. Specify the State's policies concerning the reasonable indication of the need for services:

    1. Minimum number of services.

    2. Frequency of services. The State requires (select one):

      out of 4000
  2. Responsibility for Performing Evaluations and Reevaluations. Level of care evaluations and reevaluations are performed (select one):

    out of 4000

    out of 4000
  3. Qualifications of Individuals Performing Initial Evaluation:

    out of 6000
  4. Level of Care Criteria.

    out of 12000
  5. Level of Care Instrument(s). Per 42 CFR §441.303(c)(2), indicate whether the instrument/tool used to evaluate level of care for the waiver differs from the instrument/tool used to evaluate institutional level of care (select one):

    out of 12000
  6. Process for Level of Care Evaluation/Reevaluation:

    out of 12000
  7. Reevaluation Schedule. Per 42 CFR §441.303(c)(4), reevaluations of the level of care required by a participant are conducted no less frequently than annually according to the following schedule (select one):

    out of 4000
  8. Qualifications of Individuals Who Perform Reevaluations. Specify the qualifications of individuals who perform reevaluations (select one):

    out of 6000
  9. Procedures to Ensure Timely Reevaluations.

    out of 6000
  10. Maintenance of Evaluation/Reevaluation Records.

    out of 6000

Appendix B: Evaluation/Reevaluation of Level of Care

Quality Improvement: Level of Care

As a distinct component of the State’s quality improvement strategy, provide information in the following fields to detail the State’s methods for discovery and remediation.
  1. Methods for Discovery: Level of Care Assurance/Sub-assurances
    1. Sub-Assurances:
      1. Sub-assurance: An evaluation for LOC is provided to all applicants for whom there is reasonable indication that services may be needed in the future.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        Number and percent of new enrollees whose medical eligibility assessment indicated nursing home level of care was conducted prior to receipt of Waiver services. (Numerator = # of new enrollees whose medical eligibility assessment indicated nursing home level of care was conducted prior to receipt of Waiver services. Denominator = total # of enrollees.)
        Reports to State Medicaid Agency on delegated Administrative functions
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      2. Sub-assurance: The levels of care of enrolled participants are reevaluated at least annually or as specified in the approved waiver.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        # and % of members who receive an anual re-determination of eligibility within twelve (12) months of their last LOC determination. (Numerator = number of members who received an annual re-determination of eligibility within twelve (12) months of their last LOC evaluation. Denominator = total number of members due an annual re-determination.)
        Reports to State Medicaid Agency on delegated Administrative functions
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      3. Sub-assurance: The processes and instruments described in the approved waiver are applied appropriately and according to the approved description to determine participant level of care.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        # and % of members who have current Pre-Admission Screening (West Virginia Level Of Care assessment tool) in member's chart. (Numerator = number of members who have a current Pre-Admission Screening in member's chart. Denominator = number of member charts reviewed.)
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of Pre-Admission Screenings signed by a qualified Administrative Services Organization staff. (Numerator = # of Pre-Admission Screenings signed by a qualified Administrative Services Organization staff. Denominator = # of charts reviewed).
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of initial nursing home LOC determinations made where appropriate criteria was accurately applied. (Numerator = # of initial nursing home LOC determinations made where appropriate criteria was accurately applied Denominator = # of initial nursing home level of care determinations reviewed).
        Reports to State Medicaid Agency on delegated Administrative functions
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
    2. out of 6000
  2. Methods for Remediation/Fixing Individual Problems
    1. out of 6000
    2. Remediation Data Aggregation
      Remediation-related Data Aggregation and Analysis (including trend identification)
      Responsible Party (check each that applies): Frequency of data aggregation and analysis (check each that applies):
  3. Timelines
    out of 6000

Appendix B: Participant Access and Eligibility

B-7: Freedom of Choice

Freedom of Choice. As provided in 42 CFR §441.302(d), when an individual is determined to be likely to require a level of care for this waiver, the individual or his or her legal representative is:
  1. informed of any feasible alternatives under the waiver; and
  2. given the choice of either institutional or home and community-based services.
  1. Procedures.

    out of 12000
  2. Maintenance of Forms.

    out of 4000

Appendix B: Participant Access and Eligibility

B-8: Access to Services by Limited English Proficiency Persons

Access to Services by Limited English Proficient Persons.
out of 12000

Appendix C: Participant Services

C-1: Summary of Services Covered (1 of 2)

  1. Waiver Services Summary. List the services that are furnished under the waiver in the following table. If case management is not a service under the waiver, complete items C-1-b and C-1-c:
    Service Type Service
    Statutory Service Case Management
    Other Service Cognitive Rehabilitation Therapy (CRT)
    Other Service Participant-Directed Goods and Services (PDGS)
    Other Service Personal Attendant Services

Appendix C: Participant Services

C-1/C-3: Service Specification

State laws, regulations and policies referenced in the specification are readily available to CMS upon request through the Medicaid agency or the operating agency (if applicable).

Complete this part for a renewal application or a new waiver that replaces an existing waiver. Select one :

Service Delivery Method (check each that applies):

Specify whether the service may be provided by (check each that applies):

Provider Category Provider Type Title
Agency Case Management agency

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Statutory Service
Service Name: Case Management
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1/C-3: Service Specification

State laws, regulations and policies referenced in the specification are readily available to CMS upon request through the Medicaid agency or the operating agency (if applicable).
As provided in 42 CFR §440.180(b)(9), the State requests the authority to provide the following additional service not specified in statute.

Complete this part for a renewal application or a new waiver that replaces an existing waiver. Select one :

Service Delivery Method (check each that applies):

Specify whether the service may be provided by (check each that applies):

Provider Category Provider Type Title
Individual Licensed Professional
Agency Licensed Behavioral Health Centers

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Other Service
Service Name: Cognitive Rehabilitation Therapy (CRT)
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Other Service
Service Name: Cognitive Rehabilitation Therapy (CRT)
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1/C-3: Service Specification

State laws, regulations and policies referenced in the specification are readily available to CMS upon request through the Medicaid agency or the operating agency (if applicable).
As provided in 42 CFR §440.180(b)(9), the State requests the authority to provide the following additional service not specified in statute.

Complete this part for a renewal application or a new waiver that replaces an existing waiver. Select one :

Service Delivery Method (check each that applies):

Specify whether the service may be provided by (check each that applies):

Provider Category Provider Type Title
Individual Qualified Business

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Other Service
Service Name: Participant-Directed Goods and Services (PDGS)
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1/C-3: Service Specification

State laws, regulations and policies referenced in the specification are readily available to CMS upon request through the Medicaid agency or the operating agency (if applicable).
As provided in 42 CFR §440.180(b)(9), the State requests the authority to provide the following additional service not specified in statute.

Complete this part for a renewal application or a new waiver that replaces an existing waiver. Select one :

Service Delivery Method (check each that applies):

Specify whether the service may be provided by (check each that applies):

Provider Category Provider Type Title
Individual Paraprofessional (Direct-care staff)
Agency Personal Attendent Services Agency

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Other Service
Service Name: Personal Attendant Services
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1/C-3: Provider Specifications for Service

Service Type: Other Service
Service Name: Personal Attendant Services
Provider Qualifications
Verification of Provider Qualifications

Appendix C: Participant Services

C-1: Summary of Services Covered (2 of 2)

  1. Provision of Case Management Services to Waiver Participants. Indicate how case management is furnished to waiver participants (select one):
    - Case management is not furnished as a distinct activity to waiver participants.
    - Case management is furnished as a distinct activity to waiver participants.
    Check each that applies:
    Do not complete item C-1-c.
    Complete item C-1-c.
    Complete item C-1-c.
    Complete item C-1-c. NOTE: Pursuant to CMS-2237-IFC this selection is no longer available for 1915(c) waivers.
    Do not complete item C-1-c.
    - Case management is furnished as a waiver service (Do not complete item C-1-c).
  2. Delivery of Case Management Services.

    out of 4000

Appendix C: Participant Services

C-2: General Service Specifications (1 of 3)

  1. Criminal History and/or Background Investigations.

    out of 12000
  2. Abuse Registry Screening.

    out of 12000

Appendix C: Participant Services

C-2: General Service Specifications (2 of 3)

  1. Services in Facilities Subject to §1616(e) of the Social Security Act. Select one:

Appendix C: Participant Services

C-2: General Service Specifications (3 of 3)

  1. Provision of Personal Care or Similar Services by Legally Responsible Individuals. A legally responsible individual is any person who has a duty under State law to care for another person and typically includes: (a) the parent (biological or adoptive) of a minor child or the guardian of a minor child who must provide care to the child or (b) a spouse of a waiver participant. Except at the option of the State and under extraordinary circumstances specified by the State, payment may not be made to a legally responsible individual for the provision of personal care or similar services that the legally responsible individual would ordinarily perform or be responsible to perform on behalf of a waiver participant. Select one:

    out of 12000
  2. Other State Policies Concerning Payment for Waiver Services Furnished by Relatives/Legal Guardians. Specify State policies concerning making payment to relatives/legal guardians for the provision of waiver services over and above the policies addressed in Item C-2-d. Select one:

    out of 12000

    out of 12000

    out of 12000
  3. Open Enrollment of Providers.

    out of 12000

Appendix C: Participant Services

Quality Improvement: Qualified Providers

As a distinct component of the State’s quality improvement strategy, provide information in the following fields to detail the State’s methods for discovery and remediation.
  1. Methods for Discovery: Qualified Providers
    1. Sub-Assurances:
      1. Sub-Assurance: The State verifies that providers initially and continually meet required licensure and/or certification standards and adhere to other standards prior to their furnishing waiver services.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        Number and percent of new TBI Waiver providers who receive certification prior to provision of Waiver services. (Numerator = # and % of new TBI Waiver providers who receive certification prior to the provision of Waiver services. Denominator = total # of new TBI Waiver providers.)
        Reports to State Medicaid Agency on delegated
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of TBI Waiver providers who continue to meet certification standards. Numerator = # of TBI Waiver providers who continue to meet certification standards Denominator = # of enrolled providers.
        Reports to State Medicaid Agency on delegated Administrative functions
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of direct-care staff for whom a background check is conducted prior to providing services. Numerator = # of direct-care staff for whom a background check is conducted prior to providing services Denominator = Total # of direct-care staff.
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      2. Sub-Assurance: The State monitors non-licensed/non-certified providers to assure adherence to waiver requirements.

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

      3. Sub-Assurance: The State implements its policies and procedures for verifying that provider training is conducted in accordance with state requirements and the approved waiver.

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        # and % of direct care staff who meet all mandatory training requirements prior to service delivery. (Numerator = number of direct care staff who meet all mandatory training requirements prior to service delivery. Denominator = total number of personnel files reviewed.)
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of direct-care staff who meet all annual training requirements for review period. Numerator = # of direct-care staff who meet all annual training requirements for review period Denominator = Total # of personnel files reviewed.
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
    2. out of 6000
  2. Methods for Remediation/Fixing Individual Problems
    1. out of 6000
    2. Remediation Data Aggregation
      Remediation-related Data Aggregation and Analysis (including trend identification)
      Responsible Party (check each that applies): Frequency of data aggregation and analysis (check each that applies):
  3. Timelines
    out of 6000

Appendix C: Participant Services

C-3: Waiver Services Specifications

Section C-3 'Service Specifications' is incorporated into Section C-1 'Waiver Services.'

Appendix C: Participant Services

C-4: Additional Limits on Amount of Waiver Services

  1. Additional Limits on Amount of Waiver Services. Indicate whether the waiver employs any of the following additional limits on the amount of waiver services (select one).

    - The State does not impose a limit on the amount of waiver services except as provided in Appendix C-3.
    - The State imposes additional limits on the amount of waiver services.

    When a limit is employed, specify: (a) the waiver services to which the limit applies; (b) the basis of the limit, including its basis in historical expenditure/utilization patterns and, as applicable, the processes and methodologies that are used to determine the amount of the limit to which a participant's services are subject; (c) how the limit will be adjusted over the course of the waiver period; (d) provisions for adjusting or making exceptions to the limit based on participant health and welfare needs or other factors specified by the state; (e) the safeguards that are in effect when the amount of the limit is insufficient to meet a participant's needs; (f) how participants are notified of the amount of the limit. (check each that applies)

    out of 24000

    out of 24000

    out of 24000

    out of 24000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (1 of 8)

  1. Responsibility for Service Plan Development. Per 42 CFR §441.301(b)(2), specify who is responsible for the development of the service plan and the qualifications of these individuals (select each that applies):

    out of 6000

    out of 6000

    out of 6000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (2 of 8)

  1. Service Plan Development Safeguards. Select one:

    out of 6000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (3 of 8)

  1. Supporting the Participant in Service Plan Development.

    out of 12000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (4 of 8)

  1. Service Plan Development Process.

    out of 24000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (5 of 8)

  1. Risk Assessment and Mitigation.

    out of 12000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (6 of 8)

  1. Informed Choice of Providers.

    out of 6000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (7 of 8)

  1. Process for Making Service Plan Subject to the Approval of the Medicaid Agency.

    out of 6000

Appendix D: Participant-Centered Planning and Service Delivery

D-1: Service Plan Development (8 of 8)

  1. Service Plan Review and Update. The service plan is subject to at least annual periodic review and update to assess the appropriateness and adequacy of the services as participant needs change.

    out of 6000
  2. Maintenance of Service Plan Forms. Written copies or electronic facsimiles of service plans are maintained for a minimum period of 3 years as required by 45 CFR §92.42. Service plans are maintained by the following (check each that applies):

    out of 4000

Appendix D: Participant-Centered Planning and Service Delivery

D-2: Service Plan Implementation and Monitoring

  1. Service Plan Implementation and Monitoring.

    out of 24000
  2. Monitoring Safeguards. Select one:

    out of 24000

Appendix D: Participant-Centered Planning and Service Delivery

Quality Improvement: Service Plan

As a distinct component of the State’s quality improvement strategy, provide information in the following fields to detail the State’s methods for discovery and remediation.
  1. Methods for Discovery: Service Plan Assurance/Sub-assurances
    1. Sub-Assurances:
      1. Sub-assurance: Service plans address all participants’ assessed needs (including health and safety risk factors) and personal goals, either by the provision of waiver services or through other means.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        # and % of members whose Service Plans are adequate and appropriate to their assessed needs. (Numerator = number of Service Plans that are adequate and appropriate to member's assessed needs. Denominator = number of member charts reviewed.)
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
        Performance Measure:
        Number and percent of members whose Service Plans address identified risks. (Numerator =# of Service Plans that address members identified risks Denominator = # of member charts reviewed).
        Provider performance monitoring
        Responsible Party for data collection/generation(check each that applies): Frequency of data collection/generation(check each that applies): Sampling Approach(check each that applies):
        Data Aggregation and Analysis:
        Responsible Party for data aggregation and analysis (check each that applies): Frequency of data aggregation and analysis (check each that applies):
      2. Sub-assurance: The State monitors service plan development in accordance with its policies and procedures.

        Performance Measures

        For each performance measure/indicator the State will use to assess compliance with the statutory assurance complete the following. Where possible, include numerator/denominator. Each performance measure must be specific to this waiver (i.e., data presented must be waiver specific).

        For each performance measure, provide information on the aggregated data that will enable the State to analyze and assess progress toward the performance measure. In this section provide information on the method by which each source of data is analyzed statistically/deductively or inductively, how themes are identified or conclusions drawn, and how recommendations are formulated, where appropriate.

        Performance Measure:
        # and % of members whose initial Service Plans were completed within the required timeframe. (Numerator = number of members whose initial Service Plans were completed within the required timeframe. Denominator = number of charts reviewed for members who had an initial Service Plan developed in the review period.)