441—83.61 (249A) Eligibility. To be eligible for HCBS intellectual disability waiver services a person must meet certain eligibility criteria and be determined to need a service(s) available under the program.
	 83.61(1) Eligibility criteria. All of the following criteria must be met. The person must:
	  a.   	 Have a diagnosis of mental retardation or, for residential-based supported community living services only, be a person with a related condition as defined in rule 441—83.60(249A). The diagnosis shall be initially established and recertified as follows:

Age	Initial application to HCBS intellectual disability waiver program	Recertification for persons with a diagnosis of moderate, severe or profound mental retardation	Recertification for persons with a diagnosis of mild or unspecified mental retardation	
0 through 17 years	Psychological documentation within three years of the application date substantiating a diagnosis of mental retardation or, for residential-based supported community living services, a diagnosis of a related condition as defined in rule 441—83.60(249A)	After the initial psychological evaluation, substantiate a diagnosis of mental retardation or, for residential-based supported community living services, a diagnosis of a related condition as defined in rule 441—83.60(249A) every six years and when a significant change occurs	After the initial psychological evaluation, substantiate a diagnosis of mental retardation or, for residential-based supported community living services, a diagnosis of a related condition as defined in rule 441—83.60(249A) every three years and when a significant change occurs	
18 through 21 years	• Psychological documentation substantiating diagnosis of mental retardation within three years before the application date, or
• Diagnosis of mental retardation made before age 18 and current psychological documentation substantiating a diagnosis of mental retardation	Psychological documentation substantiating a diagnosis of mental retardation every ten years and whenever a significant change occurs	Psychological documentation substantiating a diagnosis of mental retardation every five years and whenever a significant change occurs	
22 years and above	Diagnosis made before age 18 and current psychological documentation substantiating a diagnosis of mental retardation if the last testing date was (1) more than five years ago for an applicant with a diagnosis of mild or unspecified mental retardation, or (2) more than ten years ago for an applicant with a diagnosis of moderate, severe or profound mental retardation	Psychological documentation substantiating a diagnosis of mental retardation made since the member reached 18 years of age	Psychological documentation substantiating a diagnosis of mental retardation every six years and whenever a significant change occurs	
	  b.   	 Be eligible for Medicaid under SSI, SSI-related, FMAP, or FMAP-related coverage groups; eligible under the special income level (300 percent) coverage group; or become eligible through application of the institutional deeming rules or would be eligible for Medicaid if in a medical institution.
	  c.   	 Be certified as being in need for long-term care that, but for the waiver, would otherwise be provided in an ICF/MR. The IME medical services unit shall be responsible for annual approval of the certification of the level of care based on the data collected by the case manager and interdisciplinary team on a tool designated by the department.
	 (1) to (3) 	Rescinded IAB 3/7/01, effective 5/1/01.
	  d.   	 Be a recipient of the Medicaid case management services or be identified to receive Medicaid case management services immediately following program enrollment.
	  e.   	 Have service needs that can be met by this waiver program. At a minimum, a consumer must receive one billable unit of service per calendar quarter under this program.
	  f.   	 Have a service plan completed annually and approved by the department in accordance with rule 441—83.67(249A).
	  g.   	 For supported employment services:
	 (1) 	 Be at least age 16.
	 (2) 	 Rescinded IAB 7/1/98, effective 7/1/98.
	 (3) 	 Not be eligible for supported employment service funding under Public Law 94-142 or for the Rehabilitation Act of 1973.
	 (4) 	 Not reside in a medical institution.
	  h.   	 Choose HCBS intellectual disability waiver services rather than ICF MR services.
	  i.   	 To be eligible for interim medical monitoring and treatment services the consumer must be:
	 (1) 	 Under the age of 21;
	 (2) 	 Currently receiving home health agency services under rule 441—78.9(249A) and require medical assessment, medical monitoring, and regular medical intervention or intervention in a medical emergency during those services. (The home health aide services for which the consumer is eligible must be maximized before the consumer accesses interim medical monitoring and treatment.);
	 (3) 	 Residing in the consumer’s family home or foster family home; and
	 (4) 	 In need of interim medical monitoring and treatment as ordered by a physician.
	  j.   	 Be assigned an HCBS intellectual disability payment slot pursuant to subrule 83.61(4).
	  k.   	 For residential-based supported community living services, meet all of the following additional criteria:
	 (1) 	 Be less than 18 years of age.
	 (2) 	 Be preapproved as appropriate for residential-based supported community living services by the bureau of long-term care. Requests for approval shall be submitted in writing to the DHS Bureau of Long-Term Care, 1305 East Walnut Street, Des Moines, Iowa 50319-0114, and shall include the following:
	  1. 	 Social history;
	  2. 	 Case history that includes previous placements and service programs;
	  3. 	 Medical history that includes major illnesses and current medications;
	  4. 	 Current psychological evaluations and consultations;
	  5. 	 Summary of all reasonable and appropriate service alternatives that have been tried or considered;
	  6. 	 Any current court orders in effect regarding the child;
	  7. 	 Any legal history;
	  8. 	 Whether the child is at risk of out-of-home placement or the proposed placement would be less restrictive than the child’s current placement for services;
	  9. 	 Whether the proposed placement would be safe for the child and for other children living in that setting; and
	  10. 	 Whether the interdisciplinary team is in agreement with the proposed placement.
	 (3) 	 Either:
	  1. 	 Be residing in an ICF/MR;
	  2. 	 Be at risk of ICF/MR placement, as documented by an interdisciplinary team assessment pursuant to paragraph 83.61(2)“a”; or
	  3. 	 Be a child whose long-term placement outside the home is necessary because continued stay in the home would be a detriment to the health and welfare of the child or the family, and all service options to keep the child in the home have been reviewed by an interdisciplinary team, as documented in the service file.
	  l.   	 For day habilitation, be 16 years of age or older.
	  m.   	 For the consumer choices option as set forth in 441—subrule 78.41(5), not be living in a residential care facility.
	 83.61(2) Need for services.
	  a.   	 Applicants currently receiving Medicaid case management or services of a department-qualified mental retardation professional (QMRP) shall have the applicable coordinating staff and other interdisciplinary team members complete Form 470-4694, Case Management Comprehensive Assessment, and identify the applicant’s needs and desires as well as the availability and appropriateness of the services.
	  b.   	 Applicants not receiving services as set forth in paragraph 83.61(2)“a” shall have a department service worker or a case manager paid by the county without Medicaid funds:
	 (1) 	 Complete Form 470-4694, Case Management Comprehensive Assessment, for the initial level of care determination;
	 (2) 	 Establish an initial interdisciplinary team for HCBS intellectual disability waiver services; and
	 (3) 	 With the initial interdisciplinary team, identify the applicant’s needs and desires as well as the availability and appropriateness of services.
	  c.   	 Applicants meeting other eligibility criteria who do not have a Medicaid case manager shall be referred to a Medicaid case manager.
	  d.   	 Services shall not exceed the number of maximum units established for each service.
	  e.   	 The cost of services shall not exceed unit expense maximums. Requests shall only be reviewed for funding needs exceeding the supported community living service unit cost maximum. Requests require special review by the department and may be denied as not cost-effective.
	  f.   	 The service worker, department QMRP, or Medicaid case manager shall complete Form 470-4694, Case Management Comprehensive Assessment, for the initial level of care determination within 30 days from the date of the HCBS application unless the worker can document difficulty in locating information necessary for completion of Form 470-4694 or other circumstances beyond the worker’s control.
	  g.   	 At initial enrollment the service worker, department QMRP, case manager paid by the county without Medicaid funds, or Medicaid case manager shall establish an interdisciplinary team for each applicant and, with the team, identify the applicant’s need for service based on the applicant’s needs and desires as well as the availability and appropriateness of services. The Medicaid case manager shall complete an annual review thereafter. The following criteria shall be used for the initial and ongoing assessments:
	 (1) 	 The assessment shall be based, in part, on information on the completed Case Management Comprehensive Assessment, Form 470-4694.
	 (2) 	 Service plans must be developed or reviewed to reflect use of all appropriate nonwaiver Medicaid services so as not to replace or duplicate those services.
	 (3) 	 Rescinded IAB 3/7/01, effective 5/1/01.
	 (4) 	 Service plans for consumers aged 20 or under which include supported community living services beyond intermittent shall be approved (signed and dated) by the designee of the bureau of long-term care or the designee of the county board of supervisors. The service worker, department QMRP, or Medicaid case manager shall attach a written request for a variance from the maximum for intermittent supported community living with a summary of services and service costs. The written request for the variance shall provide a rationale for requesting supported community living beyond intermittent. The rationale shall contain sufficient information for the designee to make a decision regarding the need for supported community living beyond intermittent.
	  h.   	 Interim medical monitoring and treatment services must be needed because all usual caregivers are unavailable to provide care due to one of the following circumstances:
	 (1) 	 Employment. Interim medical monitoring and treatment services are to be received only during hours of employment.
	 (2) 	 Academic or vocational training. Interim medical monitoring and treatment services provided while a usual caregiver participates in postsecondary education or vocational training shall be limited to 24 periods of no more than 30 days each per caregiver as documented by the service worker. Time spent in high school completion, adult basic education, GED, or English as a second language does not count toward the limit.
	 (3) 	 Absence from the home due to hospitalization, treatment for physical or mental illness, or death of the usual caregiver. Interim medical monitoring and treatment services under this subparagraph are limited to a maximum of 30 days.
	 (4) 	 Search for employment.
	  1. 	 Care during job search shall be limited to only those hours the usual caregiver is actually looking for employment, including travel time.
	  2. 	 Interim medical monitoring and treatment services may be provided under this paragraph only during the execution of one job search plan of up to 30 working days in a 12-month period, approved by the department service worker or targeted case manager pursuant to 441—subparagraph 170.2(2)“b”(5).
	  3. 	 Documentation of job search contacts shall be furnished to the department service worker or targeted case manager.
	 83.61(3) HCBS intellectual disability waiver program limit. The number of persons receiving HCBS intellectual disability waiver services in the state shall be limited to the number of payment slots provided in the HCBS intellectual disability waiver approved by the Centers for Medicare and Medicaid Services (CMS). The department shall make a request to CMS to adjust the program limit as deemed necessary.
	  a.   	 The payment slots are available on a statewide basis. These slots shall be available based on the prioritized need of an applicant pursuant to subrule 83.61(4).
	  b.   	 When services are denied because the limit is reached, a notice of decision denying service based on the limit and stating that the person’s name will be put on a waiting list shall be sent to the person by the department.
	 83.61(4) Securing a payment slot. The department shall determine if a payment slot is available for each applicant for the HCBS intellectual disability waiver.
	  a.   	 A payment slot shall be assigned to the applicant upon confirmation of an available slot.
	 (1) 	 Once a payment slot is assigned, the department shall give written notice to the applicant.
	 (2) 	 The department shall hold the payment slot for the applicant as long as reasonable efforts are being made to arrange services and the applicant has not been determined to be ineligible for the program. If services have not been initiated and reasonable efforts are no longer being made to arrange services, the slot shall revert for use by the next person on the waiting list, if applicable. The applicant originally assigned the slot must reapply for a new slot.
	  b.   	 If no payment slot is available, the applicant shall be placed on a statewide priority waiting list. The department shall assess each applicant to determine the applicant’s priority need. The assessment shall be made for all applicants who are on a waiting list maintained by the state or a county on September 30, 2011, and for all new applications received on or after October 1, 2011.
	 (1) 	 Emergency need criteria are as follows:
	  1. 	 The usual caregiver has died or is incapable of providing care, and no other caregivers are available to provide needed supports.
	  2. 	 The applicant has lost primary residence or will be losing housing within 30 days and has no other housing options available.
	  3. 	 The applicant is living in a homeless shelter and no alternative housing options are available.
	  4. 	 There is founded abuse or neglect by a caregiver or others living within the home of the applicant, and the applicant must move from the home.
	  5. 	 The applicant cannot meet basic health and safety needs without immediate supports.
	 (2) 	 Urgent need criteria are as follows:
	  1. 	 The caregiver will need support within 60 days in order for the applicant to remain living in the current situation.
	  2. 	 The caregiver will be unable to continue to provide care within the next 60 days.
	  3. 	 The caregiver is 55 years of age or older and has a chronic or long-term physical or psychological condition that limits the ability to provide care.
	  4. 	 The applicant is living in temporary housing and plans to move within 31 to 120 days.
	  5. 	 The applicant is losing permanent housing and plans to move within 31 to 120 days.
	  6. 	 The caregiver will be unable to be employed if services are not available.
	  7. 	 There is a potential risk of abuse or neglect by a caregiver or others within the home of the applicant.
	  8. 	 The applicant has behaviors that put the applicant at risk.
	  9. 	 The applicant has behaviors that put others at risk.
	  10. 	 The applicant is at risk of facility placement when needs could be met through community-based services.
	 (3) 	 Applicants who meet an emergency need criterion shall be placed on the priority waiting list based on the total number of criteria in subparagraph 83.61(4)“b”(1) that are met. If applicants meet an equal number of criteria, the position on the waiting list shall be based on the date of application and the age of the applicant. The applicant who has been on the waiting list longer shall be placed higher on the waiting list. If the application date is the same, the older applicant shall be placed higher on the waiting list.
	 (4) 	 Applicants who meet an urgent need criterion shall be placed on the priority waiting list after applicants who meet emergency need criteria. The position on the waiting list shall be based on the total number of criteria in subparagraph 83.61(4)“b”(2) that are met. If applicants meet an equal number of criteria, the position on the waiting list shall be based on the date of application and the age of the applicant. The applicant who has been on the waiting list longer shall be placed higher on the waiting list. If the application date is the same, the older applicant shall be placed higher on the waiting list.
	 (5) 	 Applicants who do not meet emergency or urgent need criteria shall be placed lower on the waiting list than the applicants meeting urgent need criteria, based on the date of application. If the application date is the same, the older applicant shall be placed higher on the waiting list.
	 (6) 	 Applicants shall remain on the waiting list until a payment slot has been assigned to them for use, they withdraw from the list, or they become ineligible for the waiver. If there is a change in an applicant’s need, the applicant may contact the local department office and request that a new assessment be completed. The outcome of the assessment shall determine placement on the waiting list as directed in this subrule.
	  c.   	 To maintain the approved number of members in the program, persons shall be selected from the waiting list as payment slots become available, based on their priority order on the waiting list.
	 (1) 	 Once a payment slot is assigned, the department shall give written notice to the person within five working days.
	 (2) 	 The department shall hold the payment slot for 30 days for the person to file a new application. If an application has not been filed within 30 days, the slot shall revert for use by the next person on the waiting list, if applicable. The person originally assigned the slot must reapply for a new slot.
[ARC 9650B, IAB 8/10/11, effective 10/1/11]