441—77.41 (249A) HCBS physical disability waiver service providers. Providers shall be eligible to participate in the Medicaid physical disability waiver program if they meet the requirements in this rule and the subrules applicable to the individual service. Enrolled providers shall maintain the certification listed in the applicable subrules in order to remain eligible providers.
Services shall be rendered by a person who is at least 16 years old (except as otherwise provided in this rule) and is not the spouse of the consumer served or the parent or stepparent of a consumer aged 17 or under. People who are 16 or 17 years old must be employed and supervised by an enrolled HCBS provider unless they are employed to provide self-directed personal care services through the consumer choices option. A person hired for self-directed personal care services need not be supervised by an enrolled HCBS provider. A person hired through the consumer choices option for independent support brokerage, self-directed personal care, individual-directed goods and services, or self-directed community support and employment is not required to enroll as a Medicaid provider and is not subject to the requirements of subrule 77.41(1).
	   77.41(1) Enrollment process. Reviews of compliance with standards for initial enrollment shall be conducted by the department’s quality assurance staff. Enrollment carries no assurance that the approved provider will receive funding.
Review of a provider may occur at any time.
The department may request any information from the prospective service provider that is pertinent to arriving at an enrollment decision. This may include, but is not limited to:
	      a.    	 Current accreditations, evaluations, inspection reports, and reviews by regulatory and licensing agencies and associations.
	      b.    	 Fiscal capacity of the prospective provider to initiate and operate the specified programs on an ongoing basis.
	   77.41(2) Consumer-directed attendant care providers. The following providers may provide consumer-directed attendant care service:
	      a.    	 An individual who contracts with the member to provide consumer-directed attendant care and who is:
	       (1)  	 At least 18 years of age.
	       (2)  	 Qualified by training or experience to carry out the member’s plan of care pursuant to the department-approved case plan or individual comprehensive plan.
	       (3)  	 Not the spouse or guardian of the member or a parent or stepparent of a member aged 17 or under.
	       (4)  	 Not the recipient of respite services paid through home- and community-based services on behalf of a member who receives home- and community-based services.
	      b.    	 Agencies authorized to provide similar services through a contract with the department of public health (IDPH) for local public health services. The agency must provide a current IDPH local public health services contract number.
	      c.    	 Home health agencies that are certified to participate in the Medicare program.
	      d.    	 Chore providers subcontracting with area agencies on aging or with letters of approval from the area agencies on aging stating that the organization is qualified to provide chore services.
	      e.    	 Community action agencies as designated in Iowa Code section 216A.103.
	      f.    	 Providers certified under an HCBS waiver for supported community living.
	      g.    	 Assisted living programs that are certified by the department of inspections and appeals under 481—Chapter 69.
	      h.    	 Adult day service providers that are certified by the department of inspections and appeals under 481—Chapter 70.
	   77.41(3) Home and vehicle modification providers. The following providers may provide home and vehicle modifications:
	      a.    	 Providers eligible to participate as home and vehicle modification providers under the elderly or health and disability waiver or certified as home and vehicle modification providers under the home- and community-based services intellectual disability or brain injury waiver.
	      b.    	 Community businesses that have all necessary licenses and permits to operate in conformity with federal, state, and local laws and regulations and that submit verification of current liability and workers’ compensation insurance.
	   77.41(4) Personal emergency response system providers. Personal emergency response system providers shall be agencies which meet the conditions of participation set forth in subrule 77.33(2).
	   77.41(5) Specialized medical equipment providers. The following providers may provide specialized medical equipment:
	      a.    	 Medical equipment and supply dealers participating as providers in the Medicaid program.
	      b.    	 Retail and wholesale businesses participating as providers in the Medicaid program which provide specialized medical equipment as defined in 441—subrule 78.46(4).
	   77.41(6) Transportation service providers. The following providers may provide transportation:
	      a.    	 Area agencies on aging as designated in 17—4.4(231) or with letters of approval from the area agencies on aging stating the organization is qualified to provide transportation services.
	      b.    	 Community action agencies as designated in Iowa Code section 216A.93.
	      c.    	 Regional transit agencies as recognized by the Iowa department of transportation.
	      d.    	 Nursing facilities licensed pursuant to Iowa Code chapter 135C.
	      e.    	 Transportation providers contracting with the nonemergency medical transportation contractor.
	   77.41(7) Financial management service. Consumers who elect the consumer choices option shall work with a financial institution that meets the qualifications in subrule 77.30(13).
	   77.41(8) Independent support brokerage. Consumers who elect the consumer choices option shall work with an independent support broker who meets the qualifications in subrule 77.30(14).
	   77.41(9) Self-directed personal care. Consumers who elect the consumer choices option may choose to purchase self-directed personal care services from an individual or business that meets the requirements in subrule 77.30(15).
	   77.41(10) Individual-directed goods and services. Consumers who elect the consumer choices option may choose to purchase individual-directed goods and services from an individual or business that meets the requirements in subrule 77.30(16).
	   77.41(11) Self-directed community supports and employment. Consumers who elect the consumer choices option may choose to purchase self-directed community supports and employment from an individual or business that meets the subrule requirements in 77.30(17).
	   77.41(12) Incident management and reporting. As a condition of participation in the medical assistance program, HCBS physical disability waiver service providers must comply with the requirements of Iowa Code sections 232.69 and 235B.3 regarding the reporting of child abuse and dependent adult abuse and with the incident management and reporting requirements in this subrule. Exception: The conditions in this subrule do not apply to providers of goods and services purchased under the consumer choices option or providers of home and vehicle modification, specialized medical equipment, personal emergency response, and transportation.
	      a.    	  Definitions.
“Major incident” means an occurrence involving a consumer during service provision that:
	      1. 	  Results in a physical injury to or by the consumer that requires a physician’s treatment or admission to a hospital;
	      2. 	  Results in the death of any person;
	      3. 	  Requires emergency mental health treatment for the consumer;
	      4. 	  Requires the intervention of law enforcement;
	      5. 	  Requires a report of child abuse pursuant to Iowa Code section 232.69 or a report of dependent adult abuse pursuant to Iowa Code section 235B.3;
	      6. 	  Constitutes a prescription medication error or a pattern of medication errors that leads to the outcome in paragraph “1,” “2,” or “3”; or
	      7. 	  Involves a consumer’s location being unknown by provider staff who are assigned protective oversight.
“Minor incident” means an occurrence involving a consumer during service provision that is not a major incident and that:
	      1. 	  Results in the application of basic first aid;
	      2. 	  Results in bruising;
	      3. 	  Results in seizure activity;
	      4. 	  Results in injury to self, to others, or to property; or
	      5. 	  Constitutes a prescription medication error.
	      b.    	  Reporting procedure for minor incidents. Minor incidents may be reported in any format designated by the provider. When a minor incident occurs or a staff member becomes aware of a minor incident, the staff member involved shall submit the completed incident report to the staff member’s supervisor within 72 hours of the incident. The completed report shall be maintained in a centralized file with a notation in the consumer’s file.
	      c.    	  Reporting procedure for major incidents. When a major incident occurs or a staff member becomes aware of a major incident:
	       (1)  	 The staff member involved shall notify the following persons of the incident by the end of the next calendar day after the incident:
	      1. 	  The staff member’s supervisor.
	      2. 	  The consumer or the consumer’s legal guardian. Exception: Notification to the consumer is required only if the incident took place outside of the provider’s service provision. Notification to the guardian, if any, is always required.
	      3. 	  The consumer’s case manager.
	       (2)  	 By the end of the next calendar day after the incident, the staff member who observed or first became aware of the incident shall also report as much information as is known about the incident to the department’s bureau of long-term care either:
	      1. 	  By direct data entry into the Iowa Medicaid Provider Access System, or
	      2. 	  By faxing or mailing Form 470-4698, Critical Incident Report, according to the directions on the form.
	       (3)  	 The following information shall be reported:
	      1. 	  The name of the consumer involved.
	      2. 	  The date and time the incident occurred.
	      3. 	  A description of the incident.
	      4. 	  The names of all provider staff and others who were present at the time of the incident or who responded after becoming aware of the incident. The confidentiality of other waiver-eligible or non-waiver-eligible consumers who were present must be maintained by the use of initials or other means.
	      5. 	  The action that the provider staff took to manage the incident.
	      6. 	  The resolution of or follow-up to the incident.
	      7. 	  The date the report is made and the handwritten or electronic signature of the person making the report.
	       (4)  	 Submission of the initial report will generate a workflow in the Individualized Services Information System (ISIS) for follow-up by the case manager. When complete information about the incident is not available at the time of the initial report, the provider must submit follow-up reports until the case manager is satisfied with the incident resolution and follow-up. The completed report shall be maintained in a centralized file with a notation in the consumer’s file.
	      d.    	  Tracking and analysis. The provider shall track incident data and analyze trends to assess the health and safety of consumers served and determine if changes need to be made for service implementation or if staff training is needed to reduce the number or severity of incidents.
This rule is intended to implement Iowa Code section 249A.4.
[ARC 7936B, IAB 7/1/09, effective 9/1/09; ARC 9314B, IAB 12/29/10, effective 3/1/11; ARC 0191C, IAB 7/11/12, effective 7/1/12; ARC 0359C, IAB 10/3/12, effective 12/1/12; ARC 0757C, IAB 5/29/13, effective 8/1/13; ARC 1071C, IAB 10/2/13, effective 10/1/13]