Section 9.553 - DefinitionsThe following words and terms, when used in this subchapter, have the following meanings, unless the context clearly indicates otherwise:
(1) Abuse-- (C) verbal or emotional abuse.(2) Actual harm--A negative outcome that compromises an individual's physical, mental, or emotional well-being but does not constitute immediate threat.(3) ADLs--Activities of daily living. Basic personal everyday activities including tasks such as eating, toileting, grooming, dressing, bathing, and transferring.(4) Alarm call--A signal transmitted from an individual's CFC ERS equipment to the CFC ERS response center indicating that the individual needs immediate assistance.(5) Alleged perpetrator--A person alleged to have committed an act of abuse, neglect, or exploitation of an individual.(6) Applicant--A Texas resident seeking services in the TxHmL Program.(7) Business day--Any day except a Saturday, a Sunday, or a national or state holiday listed in Texas Government Code § 662.003(a) or (b).(8) Calendar day--Any day, including weekends and holidays.(9) CDS option--Consumer directed services option. A service delivery option as defined in § 41.103 of this title (relating to Definitions).(10) CFC--Community First Choice.(11) CFC ERS--CFC emergency response services. Backup systems and supports used to ensure continuity of services and supports. CFC ERS includes electronic devices and an array of available technology, personal emergency response systems, and other mobile communication devices.(12) CFC ERS provider--The entity directly providing CFC ERS to an individual, which may be the program provider or a contractor of the program provider.(13) CFC FMS--The term used for FMS on the IPC of an applicant or individual if the applicant or individual receives only CFC PAS/HAB through the CDS option.(14) CFC PAS/HAB--CFC personal assistance services/habilitation. A service that:(A) consists of: (i) personal assistance services that provide assistance to an individual in performing ADLs and IADLs based on the individual's person-centered service plan, including: (I) non-skilled assistance with the performance of the ADLs and IADLs;(II) household chores necessary to maintain the home in a clean, sanitary, and safe environment;(III) escort services, which consist of accompanying and assisting an individual to access services or activities in the community, but do not include transporting an individual; and(IV) assistance with health-related tasks; and(ii) habilitation that provides assistance to an individual in acquiring, retaining, and improving self-help, socialization, and daily living skills and training the individual on ADLs, IADLs, and health-related tasks, such as: (VI) community integration, including how to get around in the community;(VII) use of adaptive equipment;(VIII) personal decision making;(IX) reduction of challenging behaviors to allow individuals to accomplish ADLs, IADLs, and health-related tasks; and(X) self-administration of medication; and(B) does not include transporting the individual, which means driving the individual from one location to another.(15) CFC support consultation--The term used for support consultation on the IPC of an applicant or individual if the applicant or individual receives only CFC PAS/HAB through the CDS option.(16) CFC support management--Training regarding how to select, manage, and dismiss an unlicensed service provider of CFC PAS/HAB as described in the HCS Handbook.(17) Chemical restraint--A medication used to control an individual's behavior or to restrict the individual's freedom of movement that is not a standard treatment for the individual's medical or psychological condition.(18) CMS--Centers for Medicare & Medicaid Services. The federal agency within the United States Department of Health and Human Services that administers the Medicare and Medicaid programs.(19) Competitive employment--Employment that pays an individual at least minimum wage if the individual is not self-employed.(20) Contract--A provisional contract or a standard contract.(21) Controlling person--A person who: (A) has an ownership interest in a program provider;(B) is an officer or director of a corporation that is a program provider;(C) is a partner in a partnership that is a program provider;(D) is a member or manager in a limited liability company that is a program provider;(E) is a trustee or trust manager of a trust that is a program provider; or(F) because of a personal, familial, or other relationship with a program provider, is in a position of actual control or authority with respect to the program provider, regardless of the person's title.(22) Critical incident--An event listed in the TxHmL Provider User Guide found at www.hhsc.state.tx.us.(23) Critical violation--A violation for which HHSC may assess an administrative penalty before giving a program provider an opportunity to correct the violation and that: (A) is an immediate threat;(B) has resulted in actual harm and is widespread;(C) has resulted in actual harm and is a pattern; or(D) has the potential to result in actual harm and is widespread.(25) Department of Assistive and Rehabilitative Services--The Texas Workforce Commission.(26) DFPS--The Department of Family and Protective Services.(27) Exploitation--The illegal or improper act or process of using, or attempting to use, an individual or the resources of an individual for monetary or personal benefit, profit, or gain.(28) FMS--Financial management services. A service, as defined in § 41.103 of this title, that is provided to an individual participating in the CDS option.(29) FMSA--Financial management services agency. As defined in § 41.103 of this title, an entity that provides financial management services to an individual participating in the CDS option.(30) Follow-up survey--A review by HHSC of a program provider to determine if the program provider has completed corrective action.(31) Former military member--A person who served in the United States Army, Navy, Air Force, Marine Corps, or Coast Guard:(A) who declared and maintained Texas as the person's state of legal residence in the manner provided by the applicable military branch while on active duty; and(B) who was killed in action or died while in service, or whose active duty otherwise ended.(32) Good cause--As used in § 9.578 of this subchapter, (relating to Program Provider Certification Principles: Service Delivery), a reason outside the control of the CFC ERS provider, as determined by HHSC.(33) HCS Program--The Home and Community-based Services Program operated by HHSC as authorized by CMS in accordance with §1915(c) of the Social Security Act.(34) Health-related tasks--Specific tasks related to the needs of an individual, which can be delegated or assigned by licensed health care professionals under state law to be performed by a service provider of CFC PAS/HAB. These include tasks delegated by an RN; health maintenance activities as defined in 22 TAC § 225.4(relating to Definitions), that may not require delegation; and activities assigned to a service provider of CFC PAS/HAB by a licensed physical therapist, occupational therapist, or speech-language pathologist.(35) HHSC--The Texas Health and Human Services Commission.(36) IADLs--Instrumental activities of daily living. Activities related to living independently in the community, including meal planning and preparation; managing finances; shopping for food, clothing, and other essential items; performing essential household chores; communicating by phone or other media; and traveling around and participating in the community.(37) ICAP--Inventory for Client and Agency Planning.(38) ICF/IID--Intermediate care facility for individuals with an intellectual disability or related conditions. An ICF/IID is a facility in which ICF/IID Program services are provided and that is: (A) licensed in accordance with THSC, Chapter 252; or(B) certified by HHSC, including a state supported living center.(39) ICF/IID Program--The Intermediate Care Facilities for Individuals with an Intellectual Disability or Related Conditions Program, which provides Medicaid-funded residential services to individuals with an intellectual disability or related conditions.(40) ID/RC Assessment--A form used by HHSC for LOC determination and LON assignment.(41) Immediate threat--A situation that caused, or is likely to cause, serious physical harm or serious emotional harm to an individual, or the death of an individual.(42) Implementation plan--A written document developed by a program provider for an individual that, for each TxHmL Program service, except for transportation provided as a community support activity, and CFC service, except for CFC support management, on the individual's IPC to be provided by the program provider, includes: (A) a list of outcomes identified in the PDP that will be addressed using TxHmL Program services and CFC services;(B) specific objectives to address the outcomes required by subparagraph (A) of this paragraph that are: (i) observable, measurable, and outcome-oriented; and(ii) derived from assessments of the individual's strengths, personal goals, and needs;(C) a target date for completion of each objective;(D) the number of units of TxHmL Program services and CFC services needed to complete each objective;(E) the frequency and duration of TxHmL Program services and CFC services needed to complete each objective; and(F) the signature and date of the individual, LAR, and the program provider.(43) Individual--A person enrolled in the TxHmL Program.(44) Initial certification survey--A review by HHSC of a program provider with a provisional contract to determine if the program provider is in compliance with the certification principles.(45) Intellectual disability--Significant sub-average general intellectual functioning existing concurrently with deficits in adaptive behavior and manifested during the developmental period.(46) Intermittent survey--A review by HHSC of a program provider that is not an initial certification survey, a recertification survey, or a follow-up survey, to determine if the program provider is in compliance with the certification principles.(47) IPC--Individual plan of care. A written plan that: (A) states: (i) the type and amount of each TxHmL Program service and each CFC service, except for CFC support management, to be provided to an individual during an IPC year;(ii) the services and supports to be provided to the individual through resources other than TxHmL Program services or CFC services, including natural supports, medical services, and educational services; and(iii) if an individual will receive CFC support management; and(B) is authorized by HHSC.(48) IPC cost--Estimated annual cost of program services included on an IPC.(49) IPC year--A 12-month period of time starting on the date an authorized initial or renewal IPC begins.(50) Isolated--The scope of a violation that has affected a very limited number of individuals or that has occurred only occasionally.(51) LAR--Legally authorized representative. A person authorized by law to act on behalf of a person with regard to a matter described in this subchapter, and may include a parent, guardian, or managing conservator of a minor, or the guardian of an adult.(52) LIDDA--Local intellectual and developmental disability authority. An entity designated by the executive commissioner of HHSC, in accordance with THSC §533A.035.(53) LOC--Level of care. A determination made by HHSC about an applicant or individual as part of the TxHmL Program eligibility determination process based on data electronically transmitted on the ID/RC Assessment.(54) LON--Level of need. An assignment given by HHSC for an applicant or individual that is derived from the service level score obtained from the administration of the ICAP to the individual and from selected items on the ID/RC Assessment.(55) LVN--Licensed vocational nurse. A person licensed to practice vocational nursing in accordance with Texas Occupations Code, Chapter 301.(56) Managed care organization--This term has the meaning set forth in Texas Government Code, § 536.001.(57) MAO Medicaid--Medical Assistance Only Medicaid. A type of Medicaid by which an applicant or individual qualifies financially for Medicaid assistance but does not receive Supplemental Security Income (SSI) benefits.(58) Mechanical restraint--A mechanical device, material, or equipment used to control an individual's behavior by restricting the ability of the individual to freely move part or all of the individual's body.(59) Microboard--A program provider: (A) that is a non-profit corporation; (i) that is created and operated by no more than 10 persons, including an individual;(ii) the purpose of which is to address the needs of the individual and directly manage the provision of the TxHmL Program services or CFC services; and(iii) in which each person operating the corporation participates in addressing the needs of the individual and directly managing the provision of TxHmL Program services or CFC services; and(B) that has a service capacity designated in the HHSC data system of no more than three individuals.(60) Military family member--A person who is the spouse or child (regardless of age) of: (A) a military member; or(B) a former military member.(61) Military member--A member of the United States military serving in the Army, Navy, Air Force, Marine Corps, or Coast Guard on active duty who has declared and maintains Texas as the member's state of legal residence in the manner provided by the applicable military branch.(62) Natural supports--Unpaid persons, including family members, volunteers, neighbors, and friends, who assist and sustain an individual.(63) Neglect--A negligent act or omission that caused physical or emotional injury or death to an individual or placed an individual at risk of physical or emotional injury or death.(64) Nursing facility--A facility licensed in accordance with THSC, Chapter 242.(65) Own home or family home--A residence that is not:(C) an assisted living facility licensed or subject to being licensed in accordance with THSC, Chapter 247;(D) a residential child-care operation licensed or subject to being licensed by DFPS unless it is a foster family home or a foster group home;(E) a facility licensed or subject to being licensed by the Department of State Health Services;(F) a residential facility operated by the Texas Workforce Commission;(G) a residential facility operated by the Texas Juvenile Justice Department, a jail, or a prison; or(H) a setting in which two or more dwellings, including units in a duplex or apartment complex, single family homes, or facilities listed in subparagraphs (A) - (G) of this paragraph, but excluding supportive housing under Section 811 of the National Affordable Housing Act of 1990, meet all of the following criteria:(i) the dwellings create a residential area distinguishable from other areas primarily occupied by persons who do not require routine support services because of a disability;(ii) most of the residents of the dwellings are persons with an intellectual disability; and(iii) the residents of the dwellings are provided routine support services through personnel, equipment, or service facilities shared with the residents of the other dwellings.(66) Pattern--The scope of a violation that is not widespread but represents repeated failures by the program provider to comply with certification principles, and the failures: (A) are found throughout the services provided by the program provider; or(B) involve or affect the same individuals, service providers, or volunteers.(67) PDP--Person-directed plan. A written plan, based on person-directed planning and developed with an applicant or individual in accordance with the HHSC Person-Directed Plan form and discovery tool found on the HHSC website, that describes the supports and services necessary to achieve the desired outcomes identified by the applicant, individual, or LAR and ensure the applicant's or individual's health and safety.(68) Performance contract--A written agreement between HHSC and a LIDDA for the performance of delegated functions, including those described in THSC, §533A.035.(69) Physical abuse--Any of the following: (A) an act or failure to act performed knowingly, recklessly, or intentionally, including incitement to act, that caused physical injury or death to an individual or placed an individual at risk of physical injury or death;(B) an act of inappropriate or excessive force or corporal punishment, regardless of whether the act results in a physical injury to an individual;(C) the use of a restraint on an individual not in compliance with federal and state laws, rules, and regulations; or(70) Physical restraint--Any manual method used to control an individual's behavior, except for physical guidance or prompting of brief duration that an individual does not resist, that restricts:(A) the free movement or normal functioning of all or a part of the individual's body; or(B) normal access by an individual to a portion of the individual's body.(71) Plan of correction--A plan documented on the HHSC Plan of Correction form that includes the corrective action that a program provider will take for each violation identified on a final survey report.(72) Plan of removal--A written plan that describes the action a program provider will take to remove an immediate threat that HHSC identifies.(73) Post 45-day follow-up survey--A follow-up survey conducted at least 46 calendar days after the exit conference of the survey in which the violation requiring corrective action was identified.(74) Post-move monitoring visit--As described in 26 TAC § 303.702(relating to Post-transition Responsibilities), a visit conducted by the service coordinator in the individual's residence and other locations, as determined by the service planning team, for an individual who enrolled in the TxHmL Program from a nursing facility or enrolled in the TxHmL Program as a diversion from admission to a nursing facility. The purpose of the visit is to review the individual's residence and other locations to: (A) assess whether essential supports identified in the transition plan are in place;(B) identify gaps in care; and(C) address such gaps, if any, to reduce the risk of crisis, re-admission to a nursing facility, or other negative outcome.(75) Pre-move site review--As described in 26 TAC § 303.701(relating to Transition Planning for a Designated Resident), a review conducted by the service coordinator in the planned residence and other locations, as determined by the service planning team, for an applicant transitioning from a nursing facility to the TxHmL Program. The purpose of the review is to ensure that essential services and supports described in the applicant's transition plan are in place before the applicant moves to the residence or receives services in the other locations.(76) Program provider--A person, as defined in § 49.102 of this title (relating to Definitions), that has a contract with HHSC to provide TxHmL Program services, excluding an FMSA.(77) Provisional contract--A contract that HHSC enters into with a program provider in accordance with § 49.208 of this title (relating to Provisional Contract Application Approval) that has a term of no more than three years, not including any extension agreed to in accordance with § 49.208(e) of this title (relating to Standard Contract) .(78) Public emergency personnel--Personnel of a sheriff's department, police department, emergency medical service, or fire department.(79) Recertification survey--A review by HHSC of a program provider with a standard contract to determine if the program provider is in compliance with the certification principles and will be certified for a new certification period.(80) Related condition--A severe and chronic disability that:(A) is attributed to: (i) cerebral palsy or epilepsy; or(ii) any other condition, other than mental illness, found to be closely related to an intellectual disability because the condition results in impairment of general intellectual functioning or adaptive behavior similar to that of individuals with an intellectual disability, and requires treatment or services similar to those required for individuals with an intellectual disability;(B) is manifested before the individual reaches age 22;(C) is likely to continue indefinitely; and(D) results in substantial functional limitation in at least three of the following areas of major life activity: (ii) understanding and use of language;(vi) capacity for independent living.(81) Repeated violation--A violation that is:(A) based on the same certification principle; and(B) involves the same TxHmL Program service.(82) Respite facility--A site that is not a residence and that is owned or leased by a program provider for the purpose of providing out-of-home respite to not more than six individuals receiving TxHmL Program services or other persons receiving similar services at any one time.(83) Responder--A person designated to respond to an alarm call activated by an individual.(84) Restraint--Any of the following: (A) a physical restraint;(B) a mechanical restraint; or(C) a chemical restraint.(85) RN--Registered nurse. A person licensed to practice professional nursing in accordance with Texas Occupations Code, Chapter 301.(86) Seclusion--The involuntary placement of an individual alone in an area from which the individual is prevented from leaving.(87) Service backup plan--A plan that ensures continuity of a service that is critical to an individual's health and safety if service delivery is interrupted.(88) Service coordination--A service as defined in Chapter 2, Subchapter L of this title (relating to Service Coordination for Individuals with an Intellectual Disability).(89) Service coordinator--An employee of a LIDDA who provides service coordination to an individual.(90) Service planning team--One of the following: (A) for an applicant or individual other than one described in subparagraphs (B) or (C) of this paragraph, a planning team consisting of: (i) an applicant or individual and LAR;(ii) service coordinator; and(iii) other persons chosen by the applicant, individual, or LAR, for example, a staff member of the program provider, a family member, a friend, or a teacher;(B) for an applicant 21 years of age or older who is residing in a nursing facility and enrolling in the TxHmL Program, a planning team consisting of: (i) the applicant and LAR;(ii) service coordinator;(iii) a staff member of the program provider;(iv) providers of specialized services;(v) a nursing facility staff person who is familiar with the applicant's needs;(vi) other persons chosen by the applicant or LAR, for example, a family member, a friend, or a teacher; and(vii) at the discretion of the LIDDA, other persons who are directly involved in the delivery of services to persons with an intellectual or developmental disability; or(C) for an individual 21 years of age or older who has enrolled in the TxHmL program from a nursing facility or has enrolled in the TxHmL Program as a diversion from admission to a nursing facility, for 180 days after enrollment, a planning team consisting of: (i) the individual and LAR;(ii) service coordinator;(iii) a staff member of the program provider;(iv) other persons chosen by the individual or LAR, for example, a family member, a friend, or a teacher; and(v) at the discretion of the LIDDA, other persons who are directly involved in the delivery of services to persons with an intellectual or developmental disability.(91) Service provider--A person, who may be a staff member, who directly provides a TxHmL Program service or CFC service to an individual.(92) Sexual abuse--Any of the following:(A) sexual exploitation of an individual;(B) non-consensual or unwelcomed sexual activity with an individual; or(C) consensual sexual activity between an individual and a service provider, staff member, volunteer, or controlling person, unless a consensual sexual relationship with an adult individual existed before the service provider, staff member, volunteer, or controlling person became a service provider, staff member, volunteer, or controlling person.(93) Sexual activity--An activity that is sexual in nature, including kissing, hugging, stroking, or fondling with sexual intent.(94) Sexual exploitation--A pattern, practice, or scheme of conduct against an individual that can reasonably be construed as being for the purposes of sexual arousal or gratification of any person: (A) which may include sexual contact; and(B) does not include obtaining information about an individual's sexual history within standard accepted clinical practice.(95) Specialized services--The services defined in 26 TAC § 303.102(relating to Definitions).(96) Staff member--An employee or contractor of a TxHmL Program provider.(97) Standard contract--A contract that HHSC enters into with a program provider in accordance with § 49.209 of this title that has a term of no more than five years, not including any extension agreed to in accordance § 49.209(d) of this title .(98) State supported living center--A state-supported and structured residential facility operated by HHSC to provide to persons with an intellectual disability a variety of services, including medical treatment, specialized therapy, and training in the acquisition of personal, social, and vocational skills, but does not include a community-based facility owned by HHSC.(99) System check--A test of the CFC ERS equipment to determine if: (A) the individual can successfully activate an alarm call; and(B) the equipment is working properly.(100) Support consultation--A service, as defined in § 41.103 of this title, that is provided to an individual participating in the CDS option at the request of the individual or LAR.(101) Survey--An initial certification survey, a recertification survey, a follow-up survey, and an intermittent survey.(102) TAC--Texas Administrative Code. A compilation of state agency rules published by the Texas Secretary of State in accordance with Texas Government Code, Chapter 2002, Subchapter C.(103) THSC--Texas Health and Safety Code. Texas statutes relating to health and safety.(104) Transition plan--As described in 26 TAC § 303.102, a written plan developed by the service planning team for an applicant residing in a nursing facility who is enrolling in the TxHmL Program. A transition plan includes the essential and nonessential services and supports the applicant needs to transition from a nursing facility to a community setting.(105) Transportation plan--A written plan, based on person-directed planning and developed with an applicant or individual using HHSC Individual Transportation Plan form found on the HHSC website. A transportation plan is used to document how transportation as a community support activity will be delivered to support an individual's desired outcomes and purposes for transportation as identified in the PDP.(106) TxHmL Program--The Texas Home Living Program, operated by HHSC and approved by CMS in accordance with §1915(c) of the Social Security Act, that provides community-based services and supports to eligible individuals who live in their own homes or in their family homes.(107) Vendor hold--A temporary suspension of payments that are due to a program provider under a contract.(108) Verbal or emotional abuse--Any act or use of verbal or other communication, including gestures: (A) to: (i) harass, intimidate, humiliate, or degrade an individual; or(ii) threaten an individual with physical or emotional harm; and(B) that: (i) results in observable distress or harm to the individual; or(ii) is of such a serious nature that a reasonable person would consider it harmful or a cause of distress.(109) Violation--A finding by HHSC that a program provider is not or has not been in compliance with a certification principle.(110) Volunteer--A person who works for a program provider without compensation, other than reimbursement for actual expenses.(111) Widespread--The scope of a violation that:(A) is pervasive throughout the services provided by the program provider; or(B) represents a systemic failure by the program provider that affects or has the potential to affect a large portion of or all individuals.(112) Willfully interfering--Acting or not acting to intentionally prevent, interfere with, or impede, or to attempt to intentionally prevent, interfere with, or impede.40 Tex. Admin. Code § 9.553
The provisions of this §9.553 adopted to be effective January 5, 2003, 27 TexReg 12254; Transferred effective September 1, 2004, as published in the Texas Register September 10, 2004, 29 TexReg 8841; amended to be effective March 1, 2007, 32 TexReg 544; amended to be effective June 1, 2008, 33 TexReg 4340; amended to be effective December 1, 2013, 38 TexReg 8673; amended to be effective September 1, 2014, 39 TexReg 6549; Amended by Texas Register, Volume 40, Number 21, May 22, 2015, TexReg 2767, eff. 7/1/2015; Amended by Texas Register, Volume 40, Number 45, November 6, 2015, TexReg 7859, eff. 11/15/2015; Amended by Texas Register, Volume 41, Number 11, March 11, 2016, TexReg 1904, eff. 3/20/2016; Amended by Texas Register, Volume 44, Number 37, September 13, 2019, TexReg 5070, eff. 10/1/2019; Amended by Texas Register, Volume 45, Number 17, April 24, 2020, TexReg 2716, eff. 4/28/2020; Amended by Texas Register, Volume 45, Number 51, December 18, 2020, TexReg 9233, eff. 12/20/2020