TITLE 40.SOCIAL SERVICES AND ASSISTANCE

Part 1. TEXAS DEPARTMENT OF HUMAN SERVICES

Chapter 3. TEXAS WORKS

Subchapter SS. ONE-TIME TEMPORARY ASSISTANCE FOR NEEDY FAMILIES PROGRAM

40 TAC §3.7202

The Texas Department of Human Services (DHS) proposes an amendment to §3.7202, concerning One-Time Temporary Assistance for Needy Families Program (OTTANF) Criteria, in its Texas Works chapter.

The purpose of the amendment is to allow households with one or two parents in the certified group to potentially qualify for One-Time Temporary Assistance for Needy Families (OTTANF) if they have a loss of employment. Currently, only households with two parents in the certified group qualify based on a recent loss of employment.

Eric M. Bost, commissioner, has determined that for the first five- year period the section is in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the section.

Mr. Bost also has determined that for each year of the first five years the section is in effect the public benefit anticipated as a result of enforcing the section will be that more families will be eligible for OTTANF, which will assist in keeping them in the workforce and independent from ongoing TANF benefits. There will be no effect on large, small, or micro businesses. There is no anticipated economic cost to persons who are required to comply with the proposed section.

Questions about the content of this proposal may be directed to Mary Haifley at (512) 438-2599 in DHS's Programs and Policy section. Written comments on the proposal may be submitted to Supervisor, Rules and Editing Unit-209, Texas Department of Human Services E-205, P.O. Box 149030, Austin, Texas 78714-9030, within 30 days of publication in the Texas Register .

Under §2007.003(b) of the Texas Government Code, the department has determined that Chapter 2007 of the Government Code does not apply to these rules. Accordingly, the department is not required to complete a takings impact assessment regarding these rules.

The amendment is proposed under the Human Resources Code, Title 2, Chapter 31, which provides the department with the authority to administer financial assistance programs.

The amendment implements the Human Resources Code, §§31.001- 31.0325.

§3.7202.One-Time Temporary Assistance for Needy Families Program (OTTANF) Criteria.

Clients must meet one of the following criteria to qualify for OTTANF.

(1)

[ For cases with two parents in the certified group, ] The [ the ] caretaker or second parent has had loss of employment within the process month, application month, or the two months prior to application.

(2)-(4)

(No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 24, 2000.

TRD-200002921

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Chapter 47. PRIMARY HOME CARE

The Texas Department of Human Services (DHS) proposes amendments to §47.1901, concerning definitions, and §47.4902, concerning primary home care provider qualifications, and proposes new §47.4903, concerning provisional contracts, and §47.4904, concerning current contractors, in its Primary Home Care chapter. DHS is simultaneously filing a related proposal in chapters 48 and 49 in this issue of the Texas Register .

The purpose of the amendments and new sections is to revise the rules for home and community support services agencies (HCSSAs) participating in the Primary Home Care program. The rules address both new and current contractors. To be issued a new contract, a new provider must pass an initial survey and license renewal, provide personal attendant or home health services to at least ten clients with at least two of the clients receiving on-going services during a 60-day period, provide at least 500 hours of personal attendant or home health services, and be screened for licensure penalty history. Current contractors will be subject to more rigorous implications. If a current contract is terminated, the department will not contract with the provider again for six to 24 months, depending on whether or not the contract was involuntarily terminated, why the contract was terminated, and whether the problems that caused the termination have been resolved. If a HCSSA had any administrative penalty imposed in the preceding twelve months, an existing contract may be terminated. If contracts are terminated, current contractors will also be screened for licensure penalty history, and compliance and fiscal monitoring of contracts at least once every two years.

Eric M. Bost, Commissioner, has determined that for the first five-year period the sections are in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the sections.

Mr. Bost also has determined that for each year of the first five years the sections are in effect the public benefit anticipated as a result of enforcing the sections will be better management of the influx of new or inexperienced contractors, less turnover in contractors, greater stability for clients, and more DHS resources devoted to monitoring contracts. There will be no effect on large, small, or micro businesses with existing Primary Home Care contracts, if the contractors provide high quality service to DHS clients. Current contractors who have their contracts involuntarily terminated will be prohibited from obtaining another contract for 24 months. New home and community support services agencies must have been in business for a year, successfully passed a licensure inspection, and provided at least 500 hours of service to 10 clients to obtain a Medicaid contract for Primary Home Care. There is no anticipated economic cost to persons who are required to comply with the proposed amendments and new sections.

Questions about the content of this proposal may be directed to Susan Syler at (512) 438-3111 in DHS's Long Term Care Policy Section. Written comments on the proposal may be submitted to Supervisor, Rules and Handbooks Unit-178, Texas Department of Human Services E-205, P.O. Box 149030, Austin, Texas, 78714-9030, within 30 days of publication in the Texas Register .

Under §2007.003(b) of the Texas Government Code, the department has determined that Chapter 2007 of the Government Code does not apply to these rules. Accordingly, the department is not required to complete a takings impact assessment regarding these rules.

Subchapter A. GENERAL PROVISIONS AND SERVICES

40 TAC §47.1901

The amendment is proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The amendment implements the Human Resources Code, §§22.001- 22.030 and §§32.001-32.042.

§47.1901.Definitions.

The following words and terms[ , when used in this chapter, shall] have the following meanings when used in this chapter , unless the context clearly indicates otherwise.

(1)-(7)

(No change.)

(8)

Controlling interest--an owner who is a sole proprietor, a partner owning 5.0% or more of the partnership, or a corporate stockholder owning 5.0% or more of the outstanding stock of the contracted provider, or a member of the board of directors.

(9)

[ (8) ] Days--All references to number of days are based on calendar days unless the text clearly states otherwise.

(10)

[ (9) ] Department--The Texas Department of Human Services.

(11)

[ (10) ] Emancipated minor--A person under 18 years of age who has the power and capacity of an adult. This includes a minor who has had the disabilities of minority removed by a court of law or a minor who, with or without parental consent, has been married.

(12)

[ (11) ] Exploitation--The illegal or improper act or process of a caretaker or others using an adult's resources for monetary or personal benefit, profit, or gain.

(13)

[ (12) ] Family care--A nonskilled, nontechnical in-home attendant service provided to eligible aged and disabled adults who are functionally limited in performing daily activities.

(14)

[ (13) ] Income eligible--An adult who is neither a Supplemental Security Income (SSI) or Temporary Assistance for Needy Families (TANF) [ Aid to Families with Dependent Children (AFDC) ] client, but who has income that is equal to or less than the eligibility level established by the department.

(15)

[ (14) ] Institution--A nursing home, personal care home, intermediate care facility for the mentally retarded (ICF-MR), or state hospital.

(16)

[ (15) ] Medicaid eligible--An individual who is eligible for Medicaid as an SSI or AFDC client, or who is eligible for medical assistance only while living in the community.

(17)

[ (16) ] Neglect--Failure to provide for oneself the goods or services that are necessary to avoid physical harm, mental anguish, or mental illness; or the failure of a caretaker to provide these goods or services.

(18)

[ (17) ] Person with a disability--A person who, because of physical, mental, or developmental impairment, is limited in his capacity to adequately perform one or more essential activities of daily living. Activities of daily living include but are not limited to:

(A)

personal and health care;

(B)

mobility;

(C)

communication; and

(D)

money management.

(19)

[ (18) ] Physician's order--An order for primary home care services that is signed and dated by a medical doctor (MD) or doctor of osteopathy (DO) who is licensed to practice medicine and who does not have a prohibitive ownership or significant financial or contractual relationship (42 Code of Federal Regulations) §405.1633(d) with the agency that will deliver primary home care.

(20)

[ (19) ] Primary home care--In-home, nontechnical, medically related service provided by an attendant to clients whose chronic health problems cause them to be functionally limited in performing activities of daily living.

(21)

[ (20) ] Prior approval--A decision made by the department regional nurse/caseworker, before services begin and before payment can be made, that the applicant or client meets the department criteria for the requested service.

(22)

[ (21) ] Provider agency--A home and community support services agency that has a contract with the department to provide primary home care.

(23)

Provisional contract--a time-limited contract.

(24)

[ (22) ] RN supervisor--A nurse who is currently licensed as a registered nurse by the Texas Board of Nurse Examiners and who supervises the primary home care attendants.

(25)

[ (23) ] Special attendant--A provider agency employee who can substitute for another attendant.

(26)

[ (24) ] Supervisor--A licensed nurse or individual who meets home and community support services personal assistance services licensing standards. For primary home care services, the supervisor must be a registered nurse. This description applies when the term "supervisor" is used as a stand-alone term. Other types of supervisors are clearly referenced in context.

(27)

[ (25) ] Unit of service--One hour of authorized service delivered to a prior-approved client.

(28)

[ (26) ]Waiver 5--Federally approved waiver for individuals who meet income and resources criteria for Medicaid nursing home placement in Texas and who meet functional assessment and medical criteria for primary home care.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002823

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Subchapter D. PROVIDER CONTRACTS

40 TAC §§47.4902-47.4904

The amendment and new sections are proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The amendment and new sections implement the Human Resources Code, §§22.001-22.030 and §§32.001-32.042.

§47.4902.Primary Home Care Provider Qualifications.

(a)

To be qualified as a home and community support services (HCSS) provider to deliver primary home care services under contract with the Texas Department of Human Services (DHS), an HCSS agency must:

(1)-(2)

(No change)

(3)

have the counties in the DHS contract for primary home care services included in the identified licensed service area on file at DHS [ the Texas Department of Health ] within [ with ] personal assistance services or licensed home health services category of licensure; and

(4)

(No change.)

(b)

A provider agency may request that DHS amend the agency's contract to add counties, if the following conditions exist:

(1)

(No change.)

(2)

The counties to be added to the contract are included in the identified licensed service area on file at DHS [ the Texas Department of Health ] within [ with ] personal assistance services or licensed home health services category of licensure.

§47.4903.Provisional Contracts.

(a)

A provisional contract is limited to one year. The Texas Department of Human Services (DHS) may extend a provisional contract if:

(1)

the formal review, including any reexamination, has not been completed prior to the end of the provisional contract period, or

(2)

DHS is unable to successfully transfer all clients by the end of the provisional contract period.

(b)

Prior to applying for a DHS contract, the home and community support services agency (HCSSA) must:

(1)

hold the license used to qualify for the contract for at least one year;

(2)

have completed an on-site health survey; and

(3)

be eligible for that license to be renewed.

(c)

During the 12 months immediately preceding application for a DHS contract, the HCSSA must have provided attendant or home health services in the DHS region in which the contract application is made:

(1)

to at least ten clients, with at least two of these clients having received on-going services during a 60-day block of time; and

(2)

for a total of at least 500 hours.

(d)

DHS will not enter into a provisional contract until the HCSSA has received a pre-contract orientation from DHS.

(e)

DHS will not enter into a provisional contract if a HCSSA is:

(1)

under a monitoring agreement;

(2)

has a license revocation action pending with DHS; or

(3)

has a Level II administrative penalty pending with DHS.

(f)

Any contracts entered into after the effective date of this rule will be provisional contracts, including contracts to existing HCSSAs expanding into a new region.

(g)

A HCSSA contracting under a new vendor number as a result of a contract assignment will receive a provisional contract, but is exempt from the requirements in subsections (b), (c), and (d) of this section.

(h)

DHS may not contract with a HCSSA if, in the preceding 12 months, the HCSSA had any Level II administrative penalties imposed by departmental order.

(i)

DHS may not contract with a HCSSA if, in the preceding 24 months, the HCSSA had any community care program contract involuntarily terminated.

(j)

Notwithstanding other department rules regarding formal reviews, for provisional contracts, this subsection prevails.

(1)

DHS will formally review provisional contracts at least once during the contract's provisional status.

(2)

A HCSSA not in compliance with program-specific requirements after the formal review cannot enter into another Primary Home Care (PHC) contract with DHS for at least 24 months from the end date of the provisional contract. Twenty-four months after the end date of the prior provisional contract, the HCSSA may apply for another provisional contract.

(3)

A HCSSA choosing to withdraw from the provisional contract cannot enter into another PHC contract with DHS for at least 12 months from the end date of the provisional contract. Twelve months after the end date of the prior provisional contract, the HCSSA may apply for another provisional contract.

(4)

If DHS determines that a HCSSA is not in compliance with one or more program-specific requirements, the provider agency may request a reexamination of the determination.

(A)

The provider agency must submit the request in writing, and the appropriate DHS staff must receive it within ten calendar days of the date of the formal review exit conference.

(B)

The provider agency's written request must contain a concise statement of the specific actions or determinations it disputes and any supporting documentation the provider agency deems relevant to the dispute.

(C)

The lead DHS staff member coordinates a reexamination of the formal review determination with appropriate DHS staff. DHS staff may request additional information from the provider agency.

(D)

Within 30 days of the date DHS receives the request for reexamination or of the date DHS receives additional requested information, the lead staff member must send the provider agency DHS's written decision.

(5)

If DHS determines that a HCSSA did not meet the requirements in subsection (c) of this section prior to obtaining a DHS contract, the provisional contract will be involuntarily terminated.

§47.4904.Current Contractors.

(a)

Conflict of rules. Notwithstanding other department rules regarding termination, this section prevails.

(b)

Voluntary termination of a contract. For a period of at least 12 months after a voluntary termination of a contract, the Texas Department of Human Services (DHS) will not recontract with the home and community support services agency (HCSSA) for Primary Home Care (PHC) services in the region covered by the terminated contract. At the end of the 12-month period, the HCSSA may apply for a provisional contract.

(c)

Involuntary termination of a contract.

(1)

For a period of at least 24 months after a contract was involuntarily terminated, DHS will not enter into a PHC contract with:

(A)

the HCSSA anywhere in the state; or

(B)

any HCSSA with a person with a controlling interest, who also had a controlling interest in the HCSSA that was involuntarily terminated.

(2)

If a HCSSA contract is involuntarily terminated for failure to deliver community care services for six consecutive months, the HCSSA may not recontract with DHS to provide services in the region covered by its terminated contract for six months after the involuntary termination.

(3)

The involuntary termination of a PHC contract in one region will not automatically result in the involuntary termination of PHC contracts held by the same HCSSA in other regions. DHS will review the HCSSA's contracts in other programs or regions to determine if there is cause for further terminations.

(4)

If a HCSSA contract is involuntarily terminated, the HCSSA must demonstrate to DHS that the conditions which caused the involuntary termination have been resolved prior to entering into another contract.

(d)

Reasons for termination. In addition to the reasons specified in §49.19(b)(3) of this title (relating to Sanctions), DHS may terminate the existing contract of a HCSSA if, in the preceding 12 months, the HCSSA had any Level II administrative penalties imposed by departmental order.

(e)

Formal reviews. DHS will conduct a formal review of each HCSSA contract at least once every two years.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002824

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Chapter 48. COMMUNITY CARE FOR AGED AND DISABLED

The Texas Department of Human Services (DHS) proposes the repeal of §48.6030, concerning home and community support services provider qualifications, proposes amendments to §48.1201, concerning definitions of program terms, and §48.6108, concerning sanctions, and proposes new §48.6026, concerning home and community support services provider qualifications, §48.6028, concerning provisional contracts--home and community support services agencies, and §48.6030, concerning current contractors--home and community support services agencies, in its Community Care for Aged and Disabled chapter. DHS is simultaneously filing a related proposal in chapters 47 and 49 in this issue of the Texas Register .

The purpose of the amendments, repeal, and new sections is to revise the rules for home and community support services agencies (HCSSAs) participating in the Community Based Alternatives program. The rules address both new and current contractors. To be issued a new contract, a new provider must pass an initial survey and license renewal, provide personal attendant or home health services to at least ten clients with at least two of the clients receiving on-going services during a 60-day period, provide at least 500 hours of personal attendant or home health services, and be screened for licensure penalty history. Current contractors will be subject to more rigorous implications if contracts are terminated, screening for licensure penalty history, and compliance and fiscal monitoring of contracts at least once every two years.

Eric M. Bost, Commissioner, has determined that for the first five-year period the sections are in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the sections.

Mr. Bost also has determined that for each year of the first five years the sections are in effect the public benefit anticipated as a result of enforcing the sections will be better management of the influx of new or inexperienced contractors, less turnover in contractors, greater stability for clients, and more DHS resources devoted to monitoring contracts. There will be no effect on large, small, or micro businesses with existing Community Based Alternatives contracts, if the contractors provide high quality service to DHS clients. Current contractors who have their contracts involuntarily terminated will be prohibited from obtaining another contract for 24 months. New home and community support services agencies must have been in business for a year, successfully passed a licensure inspection, and provided at least 500 hours of service to ten clients to obtain a Medicaid contract for Community Based Alternatives. There is no anticipated economic cost to persons who are required to comply with the proposed amendments, repeal, and new sections.

Questions about the content of this proposal may be directed to Susan Syler at (512) 438-3111 in DHS's Long Term Care Policy Section. Written comments on the proposal may be submitted to Supervisor, Rules and Handbooks Unit-178, Texas Department of Human Services E-205, P.O. Box 149030, Austin, Texas, 78714-9030, within 30 days of publication in the Texas Register .

Under §2007.003(b) of the Texas Government Code, the department has determined that Chapter 2007 of the Government Code does not apply to these rules. Accordingly, the department is not required to complete a takings impact assessment regarding these rules.

Subchapter A. DEFINITIONS

40 TAC §48.1201

The amendment is proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The amendment implements the Human Resources Code, §§22.001-22.030 and §§32.001-32.042.

§48.1201.Definitions of Program Terms.

The following words and terms[ , when used in these sections, shall ] have the following meanings when used in these sections , unless the context clearly indicates otherwise.

(1)-(8)

(No change.)

(9)

Client--A person determined eligible for Community Care for the Aged and Disabled (CCAD) [ CCAD ] services.

(10)

(No change.)

(11)

Controlling interest--an owner who is a sole proprietor, a partner owning 5.0% or more of the partnership, or a corporate stockholder owning 5.0% or more of the outstanding stock of the contracted provider, or a member of the board of directors.

(12)

[ (11) ] Disabled/incapacitated person--A person who, because of physical, mental, or developmental impairment, is limited temporarily or permanently in his capacity to adequately perform one or more essential activities of daily living, which include, but are not limited to, personal and health care, moving around, communicating, and housekeeping.

(13)

[ (12) ] Earned income--Cash or liquid resources that a client receives for services he performs as an employee or as a result of self-employment . All other income is unearned income.

(14)

[ (13) ] Emancipated minor--A person under 18 who has the power and capacity of an adult. This includes a minor who has had the disabilities of minority removed by a court of law or a minor who, with or without parental consent, has been married. Marriage includes common-law marriage.

(15)

[ (14) ] Emotional or verbal abuse--Any use of verbal communication or other behavior to humiliate, intimidate, vilify, degrade, or threaten with harm.

(16)

[ (15) ] Expedited response--A face-to-face contact with an applicant by the caseworker within five calendar days of the date of the applicant's request for services.

(17)

[ (16) ] Exploitation--The illegal or improper act or process of a caregiver or others using an adult's income and resources for monetary or personal benefit, profit, or gain.

(18)

[ (17) ] Facility--A legal entity that contracts with the department to deliver to clients day services or 24-hour residential services.

(19)

[ (18) ] Fraud--A deliberate misrepresentation or intentional concealment of information in order to receive or to be reimbursed for the delivery of services to which the individual is not entitled.

(20)

[ (19) ] Functional need--An individual's requirement for assistance with activities of daily living, caused by a physical or mental limitation or disability.

(21)

[ (20) ] Immediate response--A face-to-face contact with an applicant by the caseworker within 24 hours of the applicant's request for services.

(22)

[ (21) ] Income eligible (I.E.)--An adult who, although neither a Medicaid recipient nor a food stamp head of household or spouse, nevertheless has income and resources equal to or less than the eligibility level established by the department.

(23)

[ (22) ] Institution--A nursing home, an intermediate care facility for the mentally retarded (ICF-MR), a state school, or a state hospital.

(24)

[ (23) ] Liquid resource--Cash or financial instruments that could be converted to cash within 20 workdays.

(25)

[ (24) ] Medicaid eligible--An individual eligible for federal medical assistance as an SSI or AFDC client, or eligible for medical assistance only (MAO) in a nursing home or while living in the community or through a federally approved waiver.

(26)

[ (25) ] Medicare eligible--An aged or disabled person who is a recipient of Social Security or railroad retirement benefit payments and meets eligibility criteria to have certain medical expenses paid by the federal Medicare program.

(27)

[ (26) ] Neglect--The failure to provide for one's self the goods or services which are necessary to avoid physical harm, mental anguish, or mental illness; or the failure of a caretaker to provide the goods or services. (Chapter 48, Human Resources Code)

(28)

[ (27) ] Personal leave--Any leave from a residential care facility except for hospitalization or institutionalization. A day of personal leave is any period of 24 consecutive hours.

(29)

[ (28) ] Prior approval--A regional nurse's authorization that payment may be made to a provider agency, because a client meets the medical criteria for the requested Medicaid service.

(30)

[ (29) ] Provider agency--An agency that has contracted with DHS to provide the CCAD services that DHS has authorized for eligible clients.

(31)

Provisional contract--a time-limited contract.

(32)

[ (30) ] Resource--Any cash or other liquid assets or any real or personal property owned by an individual and spouse that could be converted to cash to use for support and maintenance.

(33)

[ (31) ] Responder--A person who responds to an emergency response services (ERS) call activated by a client. Responders may include relatives, neighbors, volunteers, or staff of a sheriff's department, police department, emergency medical service, or fire department.

(34)

[ (32) ] Sexual abuse--Sexual contact or conduct which is without the voluntary, informed consent of the elderly or disabled adult.

(35)

[ (33) ] Supplemental security income (SSI)--Monthly payments made by the Social Security Administration (SSA) to an aged or disabled individual who meets the requirements for public aid. SSA determines eligibility for SSI.

(36)

[ (34) ] Support system--The network of family members, close friends, and neighbors who are usually available and willing to provide regular or occasional assistance to a person.

(37)

[ (35) ] Unearned income--Income received by a client from sources other than self-employment or employee work activities.

(38)

[ (36) ] Unmet need--A requirement for assistance with activities of daily living that cannot be met adequately on an ongoing basis by friends, relatives, volunteers, or service agencies other than DHS.

(39)

[ (37) ] Verbal referral--A referral made by the caseworker to the provider agency in person or by telephone, no later than the first workday after the caseworker's determination that the applicant meets the criteria for an expedited or immediate response to a request for service, and needs immediate service initiation.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002825

Paul Leche

General Counsel, Legal Services

Texas Department of Human Resources

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Subchapter J. 1915(c) MEDICAID HOME AND COMMUNITY-BASED WAIVER SERVICES FOR AGED AND DISABLED ADULTS WHO MEET CRITERIA FOR ALTERNATIVES TO NURSING FACILITY CARE

40 TAC §§48.6026, 40.6028, 48.6030, 48.6108

The new sections and amendment are proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The new sections and amendment implement the Human Resources Code, §§22.001-22.030 and §§32.001-32.042.

§48.6026.Home and Community Support Services Provider Qualifications.

To be qualified as a home and community support services (HCSS) provider to deliver Community Based Alternatives (CBA) services under contract with the Texas Department of Human Services (DHS), a HCSS agency must:

(1)

have a separate contract to provide CBA services in each DHS region in which services are to be delivered;

(2)

deliver CBA services through the licensed home health category of licensure;

(3)

have the counties in the DHS contract for CBA services included in the identified licensed service area on file at DHS within the licensed home health category of licensure; and

(4)

be authorized by the secretary of state to do business in the State of Texas (if an out-of-state corporation).

§48.6028.Provisional Contracts--Home and Community Support Services Agencies.

(a)

A provisional contract is limited to one year. The Texas Department of Human Services (DHS) may extend a provisional contract if:

(1)

the formal review, including any reexamination, has not been completed prior to the end of the provisional contract period, or

(2)

DHS is unable to successfully transfer all clients by the end of the provisional contract period.

(b)

Prior to applying for a DHS contract, the home and community support services agency (HCSSA) must:

(1)

hold the license used to qualify for the contract for at least one year;

(2)

have completed an on-site health survey; and

(3)

be eligible for that license to be renewed.

(c)

During the 12 months immediately preceding application for a DHS contract, the HCSSA must have provided attendant or home health services in the DHS region in which the contract application is made:

(1)

to at least ten clients, with at least two of these clients having received on-going services during a 60-day block of time; and

(2)

for a total of at least 500 hours;

(d)

DHS will not enter into a provisional contract until the HCSSA has received a pre-contract orientation from DHS.

(e)

DHS will not enter into a provisional contract if a HCSSA is:

(1)

under a monitoring agreement;

(2)

has a license revocation action pending with DHS; or

(3)

has a Level II administrative penalty pending with DHS.

(f)

Any contracts entered into after the effective date of this rule will be provisional contracts, including contracts to existing HCSSAs expanding into a new region.

(g)

A HCSSA contracting under a new vendor number as a result of a contract assignment will receive a provisional contract, but is exempt from the requirements in subsections (b), (c), and (d) of this section.

(h)

DHS may not contract with a HCSSA if, in the preceding 12 months, the HCSSA had any Level II administrative penalties imposed by departmental order.

(i)

DHS may not contract with a HCSSA if, in the preceding 24 months, the HCSSA had any community care program contract involuntarily terminated.

(j)

Notwithstanding other department rules regarding formal reviews, for provisional contracts, this subsection prevails.

(1)

DHS will formally review provisional contracts at least once during the contract's provisional status.

(2)

A HCSSA not in compliance with program-specific requirements after the formal review cannot enter into another Community Based Alternatives (CBA) contract with DHS for at least 24 months from the end date of the provisional contract. Twenty-four months after the end date of the prior provisional contract, the HCSSA may apply for another provisional contract.

(3)

A HCSSA choosing to withdraw from the provisional contract cannot enter into another CBA contract with DHS for at least 12 months from the end date of the provisional contract. Twelve months after the end date of the prior provisional contract, the HCSSA may apply for another provisional contract.

(4)

If DHS determines that a HCSSA is not in compliance with one or more program-specific requirements, the provider agency may request a re-examination of the determination.

(A)

The provider agency must submit the request in writing, and the appropriate DHS staff must receive it within ten calendar days of the date of the formal review exit conference.

(B)

The provider agency's written request must contain a concise statement of the specific actions or determinations it disputes and any supporting documentation the provider agency deems relevant to the dispute.

(C)

The lead DHS staff member coordinates a re-examination of the formal review determination with appropriate DHS staff. DHS staff may request additional information from the provider agency.

(D)

Within 30 days of the date DHS receives the request for re-examination or of the date DHS receives additional requested information, the lead staff member must send the provider agency its written decision.

(5)

If DHS determines that a HCSSA did not meet the requirements in subsection (c) of this section prior to obtaining a DHS contract, the provisional contract will be involuntarily terminated.

§48.6030.Current Contractors--Home and Community Support Services Agencies.

(a)

Conflict of rules. Notwithstanding other department rules regarding termination, this section prevails.

(b)

Voluntary termination of a contract. For a period of at least 12 months after a voluntary termination of a contract, the Texas Department of Human Services (DHS) will not recontract with the home and community support services agency (HCSSA) for Community Based Alternatives (CBA) services in the region covered by the terminated contract. At the end of the 12-month period, the HCSSA may apply for a provisional contract.

(c)

Involuntary termination of a contract.

(1)

For a period of at least 24 months after a contract was involuntarily terminated, DHS will not enter into a CBA contract with:

(A)

the HCSSA anywhere in the state; or

(B)

any HCSSA with a person with a controlling interest, who also had a controlling interest in the HCSSA which was involuntarily terminated.

(2)

If a HCSSA contract is involuntarily terminated for failure to deliver community care services for six consecutive months, the HCSSA may not recontract with DHS to provide services in the region covered by its terminated contract for six months after the involuntary termination.

(3)

The involuntary termination of a CBA contract in one region will not automatically result in the involuntary termination of CBA contracts held by the same HCSSA in other regions. DHS will review the HCSSA's contracts in other programs/regions to determine if there is cause for further terminations.

(4)

If a HCSSA contract is involuntarily terminated, the HCSSA must demonstrate to DHS that the conditions which caused the involuntary termination have been resolved prior to entering into another contract.

(d)

Reasons for termination. In addition to the reasons specified in §49.19(b)(3) of this title (relating to Sanctions), DHS may terminate the existing contract of a HCSSA if, in the preceding 12 months, the HCSSA had any Level II administrative penalties imposed by departmental order.

(e)

Formal reviews. DHS will conduct a formal review of each HCSSA contract at least once every two years.

§48.6108.Sanctions.

The Texas Department of Human Services (DHS) may sanction, up to and including contract termination, any Community Based Alternatives provider agency that:

(1)

has discontinued services to a participant for a reason other than what is allowed in §48.6104 of this title (relating to Crisis Intervention Requiring Immediate Suspension or Reduction of Services Without Advance Notice) and §48.6106 of this title (relating to Immediate Suspension with Advance Notice); [ or ]

(2)

uses the information cited in §48.6104 of this title to discontinue services to a participant when the provider agency knew or should have known that the cited information did not apply to the participant ; or [ . ]

(3)

had any Level II administrative penalties imposed in the preceding 12 months.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002827

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


40 TAC §48.6030

(Editor's note: The text of the following section proposed for repeal will not be published. The section may be examined in the offices of the Texas Department of Human Services or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The repeal is proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The repeal implements the Human Resources Code, §§22.001-22.030 and §§32.001-32.042.

§48.6030.Home and Community Support Services Provider Qualifications.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002826

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Chapter 48. COMMUNITY CARE FOR AGED AND DISABLED

Subchapter F. IN-HOME AND FAMILY SUPPORT PROGRAM

40 TAC §48.2707

The Texas Department of Human Services (DHS) proposes an amendment to §48.2707, concerning program restrictions, in its Community Care for Aged and Disabled chapter. The purpose of the amendment is to expand eligibility for the In-home and Family Support Program (IHFSP) at DHS to include individuals with mental disabilities who are denied services by the IHFSP at the Texas Department of Mental Health and Mental Retardation (TXMHMR) under that agency's rules requiring a need for TXMHMR services. The amendment will enable individuals with mental illness or mental retardation to receive assistance from the IHFSP at DHS for needs related to their physical disabilities that may be essential for them to remain in the community.

Eric M. Bost, Commissioner, has determined that for the first five-year period the section is in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the section.

Mr. Bost also has determined that for each year of the first five years the section is in effect the public benefit anticipated as a result of enforcing the section will be that some individuals denied assistance by the IHFSP at TXMHMR will receive the support needed relating to their physical disabilities to remain in the community. There will be no effect on large, small, or micro businesses, because the rule only addresses eligibility requirements to be considered in processing IHFSP applications. There is no anticipated economic cost to persons who are required to comply with the proposed section.

Questions about the content of this proposal may be directed to Debbie Berliner at (512) 438-3199 in DHS's In-home and Family Support Program. Written comments on the proposal may be submitted to Supervisor, Rules and Handbooks Unit-208, Texas Department of Human Services E-205, P.O. Box 149030, Austin, Texas, 78714-9030, within 30 days of publication in the Texas Register .

Under §2007.003(b) of the Texas Government Code, the department has determined that Chapter 2007 of the Government Code does not apply to these rules. Accordingly, the department is not required to complete a takings impact assessment regarding these rules.

The amendment is proposed under the Human Resources Code, Title 2, Chapters 22 and 35, which authorizes the department to administer public assistance programs and support services to people with disabilities.

The amendment implements the Human Resources Code, §§22.001-22.030 and §§35.001-35.012.

§48.2707.Program Restrictions.

(a)-(f)

(No change.)

(g)

Applicants must not receive services from both the DHS IH/FSP and the Texas Department of Mental Health and Mental Retardation (TXMHMR) IH/FSP. Individuals are served by DHS IH/FSP and TXMHMR IH/FSP according to the guidelines specified in paragraphs (1)-(3) of this subsection.

(1)

Individuals not eligible for DHS IH/FSP because of eligibility for TXMHMR IH/FSP services (Texas Health and Safety Code, Chapter 535, Subchapter A; 25 TAC §[ § ]401.681 et seq[ . ]) include:

(A)

individuals with mental illness as defined by the Texas Health and Safety Code, §571.003 , who meet all criteria for TXMHMR IH/FSP eligibility specified in 25 TAC §401.685 ;

(B)

individuals with mental retardation according to the Mentally Retarded Persons Act, Texas Health and Safety Code, §591.003 , who meet all criteria for TXMHMR IH/FSP eligibility specified in 25 TAC §401.685 ;

(C)-(D)

(No change.)

(2)

(No change.)

(3)

DHS serves individuals denied assistance by [ transferred from ] the TXMHMR IH/FSP who have physical disabilities and have been determined not to have a diagnosis of mental illness or mental retardation, or who have been denied assistance based on 25 TAC §401.685(4), if they meet all eligibility criteria for DHS's program. If no openings are available in DHS's program, the individuals will be placed on the waiting list based on the original date of request for services from TXMHMR.

(h)

(No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002828

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Chapter 49. CONTRACTING FOR COMMUNITY CARE SERVICES

40 TAC §49.3, §49.21

The Texas Department of Human Services (DHS) proposes amendments to §49.3, concerning general contract requirements, and §49.21, concerning recontracting, in its Contracting for Community Care Services chapter. DHS is simultaneously filing a related proposal in chapters 47 and 48 in this issue of the Texas Register .

The purpose of the amendments is to update the rules for home and community support services agencies (HCSSAs) participating in the Primary Home Care and Community Based Alternatives programs. The rules address current contractors whose contracts were involuntarily terminated.

Eric M. Bost, Commissioner, has determined that for the first five-year period the sections are in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the sections.

Mr. Bost also has determined that for each year of the first five years the sections are in effect the public benefit anticipated as a result of enforcing the sections will be better management of the influx of new or inexperienced contractors, less turnover in contractors, greater stability for clients, and more DHS resources devoted to monitoring contracts. There will be no effect on large, small, or micro businesses with existing Primary Home Care or Community Based Alternatives contracts, when contractors provide high quality service to DHS clients. Current contractors who have their contracts involuntarily terminated will be prohibited from obtaining another contract for 24 months. There is no anticipated economic cost to persons who are required to comply with the proposed amendments.

Questions about the content of this proposal may be directed to Susan Syler at (512) 438-3111 in DHS's Long Term Care Policy Section. Written comments on the proposal may be submitted to Supervisor, Rules and Handbooks Unit-178, Texas Department of Human Services E-205, P.O. Box 149030, Austin, Texas, 78714-9030, within 30 days of publication in the Texas Register .

Under §2007.003(b) of the Texas Government Code, the department has determined that Chapter 2007 of the Government Code does not apply to these rules. Accordingly, the department is not required to complete a takings impact assessment regarding these rules.

The amendments are proposed under the Human Resources Code, Title 2, Chapters 22 and 32, which authorizes the department to administer public and medical assistance programs and under Texas Government Code §531.021, which provides the Health and Human Services Commission with the authority to administer federal medical assistance funds.

The amendments implement the Human Resources Code, §§22.001-22.030 and §§32.001-32.042.

§49.3.General Contractual Requirements.

(a)

(No change.)

(b)

A provider agency must:

(1)

comply with applicable federal and state regulations, the Title XIX of the Social Security Act and/or Title XX of the Social Security Act state plans, applicable statutes, program-specific requirements [ information letters ], the plan of operation (if applicable), and DHS's procurement requirements;

(2)-(7)

(No change.)

(c)-(d)

(No change.)

§49.21.Recontracting.

If the contract was involuntarily terminated, the Texas Department of Human Services (DHS) may not recontract with a provider agency to provide services in the region covered by its [ the ] terminated contract for six months after contract termination. If the contract of a home and community support services agency providing services for Primary Home Care or Community Based Alternatives was involuntarily terminated, DHS will not recontract with the agency for at least 24 months from the effective date of the contract termination, except as provided by §47.4904(c)(2) of this title (relating to Current Contractors) and §48.6030(c)(2) of this title (relating to Current Contractors). DHS reserves the right not to recontract with the provider agency if it is not in the best interest of DHS.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 20, 2000.

TRD-200002829

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 438-3108


Part 6. TEXAS COMMISSION FOR THE DEAF AND HARD OF HEARING

Chapter 181. GENERAL RULES OF PRACTICE AND PROCEDURE

Subchapter C. PROGRAM STANDARDS AND PROCEDURES

40 TAC §181.491

The Texas Commission for the Deaf and Hard of Hearing proposes amendment to §181.491. The amendment is proposed to update the language and to more clearly define the types of courses and workshops that are eligible for credit.

David W. Myers, Executive Director, has determined that for each year of the first five years the amendment to this section is in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the amendment.

Mr. Myers has also determined that for each year of the first five years the amendment is in effect the public benefit anticipated as a result of this amendment will be a better understanding of the types of courses and workshops eligible for credit. There will be no effect on small businesses. There is no anticipated economic hardship to persons required to comply with the amendment as proposed.

Comments on this proposed amendment may be submitted to Billy Collins, Texas Commission for the Deaf and Hard of Hearing, P.O. Box 12904, Austin, Texas 78711-2904.

The amendment is proposed under the Human Resources Code, §81.006(b) (3), which provides the Texas Commission for the Deaf and Hard of Hearing with the authority to adopt rules for administration and programs.

No other statute, code or article is affected by this proposed amendment.

§181.491.Approved Courses and Workshops for the Instruction and Continuing Education of Interpreters for the Deaf.

(a)

Purpose and scope. To [ The purpose of this section is to ] establish [ a system ] and set forth a procedure for approving continuing education courses and awarding [ workshops for instruction and ] continuing education units for [ of ] interpreters for the deaf [ mandated in the Human Resources Code, §81.006(a)(5) ].

(b)

Definitions. The following words and terms, where used in this section, shall have the following meanings, unless the context clearly indicates otherwise.

(1)

Applicant--A person or organization who applies to the commission for approval of continuing education [ approved ] courses or [ and ] workshops to award [ for instruction and ] continuing education units to [ of ] interpreters for the deaf.

(2)

BEI--The Board for Evaluation of Interpreters [ board ].

(3)

Board--The BEI [ Board for Evaluation of Interpreters ].

(4)

Class hours--Contact hours of formal class instruction or the equivalent as may be defined and adopted by the commission.

(5)

Commission--The Texas Commission for the Deaf and Hard of Hearing.

(6)

Coordinator--The commission's staff person [ person in the commission ] who is designated to work with the commission and board in administering the continuing education program, and who may be addressed as follows: Coordinator, Continuing Education Program, Texas Commission for the Deaf and Hard of Hearing, P.O. Box 12904, Austin, Texas 78711.

(7)

Certificate--An interpreter certificate issued by the commission verifying that the interpreter has attained a specified level of skill [ Texas Commission for the Deaf Board for Evaluation of Interpreters ].

(8)

Certificate holder--Any holder of a certificate or any interpreter who is duly certified as an [ a certified ] interpreter by the commission [ under the authority of the Human Resources Code, §§81.007, 81.0071, and 81.0072 ].

(9)

Instructor--An individual approved by the commission to provide course instruction [ and training ] in the discipline of interpreting in an educational setting or workshop.

(10)

Interpreter--A natural person certified by the Texas Commission for the Deaf to practice interpreting in Texas.

[ (11)

Practitioner--An interpreter who is certified under the laws of this state and who is capable of interpreting for the deaf for the purpose of communication facility. ]

[ (12)

Provider--A statewide agents' association or a professional association, or a local chapter of a national or statewide agents' association or professional association; an accredited college or university; a proprietary school; or an educational publisher; or a Texas public school system; or a workshop consultant or sponsor. ]

(11)

[ (13) ] Sponsor--An individual or group of individuals that offers or intends to offer a course of study or workshop in the discipline of interpreting; provided, however, that the individual or group is not employed in the capacity of instructor by sponsoring an institution or workshop.

(12)

[ (14) ] Staff--Persons employed in the commission.

(13)

General Studies-Continuing education courses that focus on the enhancement of the person and not specifically related to the area of interpreting.

(14)

Professional Studies-Continuing education courses that focus on areas specifically related to the area of interpreting and enhancing skills of interpreting.

(c)

Continuing education units. Training for interpreters that focuses on [ . Continuing education for interpreters for the deaf consists of a series of ] planned individual learning experiences for skill building and acquiring knowledge [ beyond the initial certification evaluation program ] which may be used by [ qualifies ] a certificate holder in their application for [ for a ] renewal of interpreter certification in compliance with §183.75 of this title (relating to BEI Recertification Process).

(d)

There are two types [ Types ] of acceptable training [ learning ] experiences : professional studies or general studies . [ Continuing education undertaken by a certificate holder for interpreter certification renewal or any individual who may benefit from a continuing education program shall be acceptable if the experience falls in one or more of the following types: ]

(1)

courses, workshops, seminars, conferences, lectures, and staff development activities oriented towards the enhancement of interpreting practice, values, skills, and knowledge or enhancement of the individual ;

(2)

one-time preparation and delivery time of a lecture curriculum development or course instruction; only documented hours up to the hourly equivalent of the final instruction time will be allowable [ for lectures or preparation time for articles for publication ];

(3)

instruction or consultation in programs such as institutes, seminars, workshops, and conferences which are designed to increase professional knowledge and skills related to the practice of interpreting provided that such instruction and consultation is not a part of, or required as a part of, one's employment;

(4)

completion of academic courses in areas supporting development of skill and competence in interpreting with a passing grade of "C" or above and accompanied by an official transcript from the institution [ at an institution which meets the accreditation standards acceptable to the commission (e.g., accreditation by a recognized accrediting agency) ];

(5)

cross-professional and/or cross-disciplinary training if it is clearly related to the enhancement of interpreting practice, values, skills, and knowledge;

(6)

videotape viewing or televised courses or workshops related to development of skill and competence in interpreting ; [ . ]

(7)

self study courses that are documented and approved by the commission.

(e)

Continuing education unit. A continuing education unit (CEU) is a basic unit of measurement used to credit certificate holders for certification renewal or individuals with continuing education activities for certification requirements or professional growth. One CEU is defined as 10 contact or clock hours of attendance and participation in an approved continuing education experience . [ or ] 15 contact or clock hours are counted for each full semester hour earned or 10 hours for each quarter semester hour earned from [ an interpreting training or sign language curriculum of ] an accredited college or university.

(f)

Applicability of continuing education requirements. Continuing education requirements are referred to §183.75 of this title (relating to BEI Recertification Process).

(g)

Procedures for approval of CEU or programs. Certificate holders, organizations, and individuals may initiate requests for commission approval and hour credits of specific programs for continuing education unit credited at least 30 calendar days prior to the training [ either before or after these programs occur ].

(1)

The certificate holder is ultimately responsible for providing, or arranging for sponsors to provide, the information necessary for the commission to make a determination of the applicability of the program to the continuing education requirements.

(2)

Sponsors may initiate their own requests and may, when approval is obtained in advance, announce such approval in connection with the training event utilizing statements prescribed by the commission.

(h)

Criteria for approval of continuing education activities. Each continuing education experience submitted by an applicant will be evaluated on the basis of the following criteria:

(1)

relevance of the subject matter to increase or support the development of skill and competence in interpreting;

(2)

objectives of specific information and/or skill to be learned;

(3)

subject matter, educational methods, materials, and facilities utilized including the frequency and duration of sessions and the adequacy to implement learner objectives;

(4)

sponsorship and leadership of programs including the name of sponsoring individual(s) or association(s), program leaders if different from sponsors, and contact person if different from the preceding;

(5)

documentation from sponsor(s) including evaluative statement of performance; [ and ]

(6)

qualifications of a speaker or course/workshop presenter ; and [ . ]

(7)

submission of any and all required materials and supporting documentation required by the commission.

(i)

The commission credit. A provider or applicant shall assure that the commission will be credited in all materials, publications, and news releases relating to approved courses and workshops for instruction and continuing education of interpreters for the deaf. The provider or applicant shall add the commission's credit to the provider's or applicant's certificate of attendance or participation.

[ (j)

The retroactive approval. Courses and workshops that occurred after September 1, 1987, will be retroactively approved upon receipt of application for consideration of CEUs. The application for the retroactive approval expires August 31, 1989. ]

(j)

[ (k) ] A listing of approved courses and workshops. The commission will provide a list of approved courses and workshops for instruction and continuing education of interpreters for the deaf which will be revised and updated periodically. Any continuing education activity must be provided by an approved provider or sponsor.

(k)

[ (l) ] CE form signatures. Each approved provider or sponsor of continuing education experience will designate a specific individual whose signature will be accepted as verification of a valid continuing education experience. Unauthorized signatures will not be accepted.

(l)

[ (m) ] Record keeping. Forms, except Form CE-004, as prescribed by the commission shall be maintained in the office of the commission for records and audit. All continuing education reports and records submitted or maintained for the purpose of certification or continued course/workshop approval are subject to audit or review by the commission or board.

(1)

An approved course or workshop is one that has been submitted to the commission for approval on Form CE-001, has been reviewed and approved by staff, and has been placed on the list of approved courses and workshops. Form CE-001 is provided self-explanation as to what necessary and pertinent information shall be included.

(2)

The provider or sponsor shall furnish to each certificate holder or any interested parties participating in an approved course or workshop who successfully completes an approved course or workshop a certificate of attendance Form CE-002. Form CE-002 shall include the following information: certificate holder's full name, signature, course/workshop title, completed date, BEI card number, course/workshop number, credit hours, provider/sponsor's name, and approved provider/sponsor's signature. If a participant does not hold a BEI certificate, Form CE-002 also shall include the participant's address and social security number or Texas driver's license number.

(3)

The provider or sponsor shall make available a blank Form CE-003, Certificate Holder's Continuing Education Summary Sheet, or participants. Form CE-003 is provided and is self-explanatory as to what necessary and pertinent information shall be included. The certificate holder shall furnish to the board as part of the certificate renewal Form CE-003 to be attached to renewal application, which the board at any time may verify by requiring submission of the completion certificates.

(4)

The provider or sponsor may reproduce a certificate of attendance Form CE-004 to give to each participant who successfully completes an approved course or workshop. Form CE-004 shall include the following information: participant's name, course/workshop title and number, continuing education unit number, signature of provider/sponsor, and date. Forms are also available at the agency's website at: www.tcdhh.state.tx.us.

(5)

The provider or sponsor shall submit to the commission Sponsor Report, Form CE-005 within 10 days of conclusion of approved courses or workshops. Form CE-005 shall include pertinent data that is necessary for the commission's legislative reports.

(m)

[ (n) ] Certificate holder's responsibility for record keeping. The certificate holders who successfully complete approved courses or workshops are responsible for their own continuing education records. This includes preserving for five years copies of the certifications received upon completion of an approved course or workshop. The accuracy of a certificate holder's records is subject to verification at any time, as more particularly set forth in subsection ( l [ m ]) of this section.

(n)

[ (o) ] Discrepancies in records. If such records are audited or reviewed and are suspected of being falsified, incomplete, or in any way questionable, the certificate holder or provider/sponsor shall have 30 days in which to correct the discrepancies or submit new documentation. In the case of a provider/sponsor, if the required corrections have not been taken by the end of the 30-day period, approval may be withdrawn for any courses or workshops administered by the provider or sponsor and that provider or sponsor prevented from resubmitting or submitting any courses or workshops for approval for a period of 180 days. In a case of a certificate holder, if compliance has not been made within the 30-day period, the certificate holder will be subject to the commission's disciplinary action.

(o)

[ (p) ] Distribution of rules and attachments. A copy of these rules relating to the continuing education as promulgated by the commission shall be given to any interested person upon request made to the offices of the commission and are posted on the agency's website .

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 21, 2000.

TRD-200002879

David Myers

Executive Director

Texas Commission for the Deaf and Hard of Hearing

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 407-3250


Part 20. TEXAS WORKFORCE COMMISSION

Chapter 809. CHILD CARE AND DEVELOPMENT

Subchapter B. GENERAL MANAGEMENT REQUIREMENTS

40 TAC §809.20

The Texas Workforce Commission (Commission) proposes new §809.20 relating to Leveraging Local Resources, and the repeal of §809.20 relating to Local Donations.

Section 809.20 sets forth a local workforce development board's (Board) responsibility to leverage local resources by raising local funds and obtaining certifications from public entities that reflect expenditures that are consistent with the purposes of the Child Care and Development Fund.

The purpose of the proposed rule is to clarify the role of the Boards in raising local funds to improve the affordability, accessibility and quality of child care. The Commission encourages the Boards to aggressively solicit and manage local fund-raising to the fullest extent possible to ensure that local public and private funds are leveraged to meet the child care needs of the residents of Texas.

Purpose. The proposed rule sets forth the provisions applicable to Boards clarifying that the Boards are able to fully manage pledges of funds, transfers and certifications, not just to enable Boards to avail themselves of matching federal funds available to the workforce area if the Board raises local funds, but also to enable Boards to realize the long-term benefits to tomorrow's workforce of any additional local funds invested today in affordable, accessible, quality child care. The Commission's intent is not to over-commit federal matching funds available through the Commission, but to encourage the Boards to raise additional local funds, beyond the minimum required to access federal matching funds, to multiply the benefits of each investment in child care for working families, local employers, and others in the workforce area. By supporting Boards that forge public-private partnerships to invest in child care, the Commission intends to support the goals of state and federal child care laws.

Goals: Child care services are provided to low-income families to create and promote long-term self-sufficiency by enabling parents to work or attend education or training activities. Such services offer affordable, accessible, and quality child care that promotes the physical, social, emotional, and intellectual development and safety of children. Recognizing that parents best understand the needs of their children, these services empower parents to make informed choices regarding child care that best suit the family's needs. The Commission also advocates improvements in the availability, affordability, and quality of child care while supporting health, safety, and regulatory standards for child care providers. The goal is to coordinate workforce services, to leverage private and public funds at the local level, and to fully integrate child care for low-income families with the network of workforce training and services under the administration of the Boards.

The Child Care and Development rules contained in 40 TAC Chapter 809 apply to local funds raised by Boards to access federal matching funds and the corresponding federal matching funds that subsequently would be accessed by the Board. For example, a Board shall ensure that the local funds and the corresponding federal matching funds are spent on authorized child care activities as specified in the Board's integrated workforce and training plan, including child care services for eligible children or quality improvement activities. Similarly, a Board is charged with ensuring that the resulting federal matching funds are expended only up to the amount that corresponds to the donations, transfers and certifications that are completed within the program year. A Board shall also report and monitor the fund-raising activities and corresponding expenditures consistent with the Board's Funds Utilization and Service Level Plan and reporting described in 40 TAC §800.82 and §800.83.

Randy Townsend, Chief Financial Officer, has determined that for the first five years the rule is in effect, the following statements will apply:

there are no additional estimated costs to the state and to local governments expected as a result of enforcing or administering the rule;

there are no estimated reductions in costs to the state or to local governments expected as a result of enforcing or administering the rule;

there are no estimated losses or increases in revenue to the state or to local governments as a result of enforcing or administering the rule;

there are no foreseeable implications relating to costs or revenues to the state or to local governments as a result of enforcing or administering the rule; and

there are no anticipated costs to persons who are required to comply with the rule as proposed.

Mr. Townsend has also determined that there is no anticipated adverse impact on small businesses as a result of enforcing or administering the rule because any regulatory burden or impact on small businesses (including micro-businesses) as well as foreseeable adverse economic effects or costs, if any, would be a result of federal statute and regulations, which are the basis for the proposed rule, and second, as far as can be determined, small businesses (including micro-businesses) are not required to do anything as a result of this rule.

Jean Mitchell, Director of Workforce Development, has determined that the public benefit anticipated as a result of the rule as proposed will be to maximize the use of workforce development funds and to ensure that all available funds are used to provide services by reallocating available funds to populations in need.

Mark Hughes, Director of Labor Market Information, has determined that there is no foreseeable negative impact upon employment conditions in this state as a result of the proposed rule.

Comments on the proposed rule may be submitted to Barbara Cigainero, Workforce Development Division, Texas Workforce Commission, 101 East 15th Street, Room 130BT, Austin, Texas, 78778; Fax Number (512) 463-3424; or E-mail to barbara.cigainero@twc.state.tx.us.

Comments must be received by the Commission no later than 30 days from the date this proposal is published in the Texas Register .

(Editor's note: The text of the following section proposed for repeal will not be published. The section may be examined in the offices of the Texas Workforce Commission or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The repeal is proposed under Texas Labor Code §301.061 and §302.002, which provide the Texas Workforce Commission with the authority to adopt, amend or repeal such rules as it deems necessary for the effective administration of Commission services and activities.

The proposed repeal affects Texas Labor Code, Title 4.

§809.20.Local Donations.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 19, 2000.

TRD-200002754

J. Randel (Jerry) Hill

General Counsel

Texas Workforce Commission

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 463-8812


The new rule is proposed under Texas Labor Code §301.061 and §302.002, which provide the Texas Workforce Commission with the authority to adopt, amend, or repeal such rules as it deems necessary for the effective administration of Commission services and activities.

The proposal affects Texas Labor Code, Title 4.

§809.20.Leveraging Local Resources.

(a)

Leveraging Local Funds. The Commission encourages Boards to raise as many local public and private funds as possible in order to leverage all available resources to address child care needs in the community.

(1)

A Board may raise local funds in the form of one or more of the following in order to leverage (match) against federal funds available through the Commission:

(A)

donations of funds from a private entity;

(B)

transfers of funds from a public entity; or

(C)

certifications of expenditures by a public entity that represents expenditures eligible for federal match.

(2)

A Board's performance in raising and leveraging local funds may make the Board eligible for incentive awards.

(b)

Raising Local Funds to Access Federal Matching Funds from the Commission.

(1)

A Board shall manage the fund-raising of local resources, including the selection of pledged and completed donations, transfers, and certifications that are used by the Board to receive federal matching funds through the Commission.

(2)

A Board shall ensure that federal matching funds are maximized by raising local funds in an amount equal to or more than the federal funds.

(c)

Documenting Pledged Donations, Transfers and Certifications. A Board shall maintain written documentation of pledged donations, transfers and certifications that contain, at a minimum, the following:

(1)

the signature of the representative of the Board;

(2)

the signature of the potential contributor;

(3)

the potential contributor's commitment to fulfill the pledge of the donation, transfer or certification by paying or certifying the funds to the Commission for use in a specific workforce area on a set payment or certification schedule;

(4)

the Board's commitment to use the donated or transferred funds as requested by the contributor, as long as it is consistent with federal regulations at 45 CFR §98.53; and

(5)

sufficient information to determine that the funds will be used in a manner consistent with 45 CFR §98.53.

(d)

Submitting Pledged Donations, Transfers and Certifications for Acceptance by the Commission. A Board shall submit pledged donations, transfers, and certifications to the Commission for acceptance.

(e)

Completing Donations, Transfers and Certifications.

(1)

A Board shall ensure that donations of cash and transfers of funds are paid to the Commission and that certifications are also submitted to the Commission.

(2)

Donations and transfers are considered complete to the extent that the funds have been paid to the Commission.

(3)

Certifications are considered complete to the extent that a signed written instrument is delivered to the Commission that reflects that the public entity has expended a specific amount of funds on eligible child care services.

(f)

Reporting. A Board shall report information relating to pledged and completed donations, transfers and certifications in the monthly expenditure and service level reports as referenced in §800.83 of this title (relating to Funds Utilization and Service Level Plan and Reports).

(g)

Monitoring. A Board shall monitor fund-raising activities and the expenditure of any resulting funds to ensure that expenditures of unmatched federal funds available through the Commission do not exceed an amount that corresponds to the donations, transfers and certifications that are completed by the end of the program year.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on April 19, 2000.

TRD-200002753

J. Randel (Jerry) Hill

General Counsel

Texas Workforce Commission

Earliest possible date of adoption: June 4, 2000

For further information, please call: (512) 463-8812