TITLE 40.SOCIAL SERVICES AND ASSISTANCE

Part 1. TEXAS DEPARTMENT OF HUMAN SERVICES

Chapter 79. LEGAL SERVICES

Subchapter Q. FORMAL APPEALS

40 TAC §79.1603, §79.1605

The Texas Department of Human Services (DHS) adopts amendments to §§79.1603 and §79.1605 without changes to the proposed text published in the February 11, 2000, issue of the Texas Register (25 TexReg 1046).

Justification for the medication aide amendment is to make it easier for the aide to attend their hearing. The justification for the amendment requiring certain information when requesting an administrative hearing is to meet the requirements of the State Office of Administrative Hearings. The justification for the amendment to the arbitration rule is to correctly cite the reference to the Human Resources Code.

The amendments will function by clarifying the venue for medication aide appeals, clarifying requirements for requesting an appeal, and correcting a rule citation.

No comments were received regarding the adoption.

The amendments are adopted under the Human Resources Code, Title 2, Chapters 22, 31, and 103; and Health and Safety Code, Chapters 142, 242, 247, 252, and 253. These chapters authorize the department to administer the programs affected by the amendments. The amendments implement these laws.

The amendments implement the Human Resources Code, §§22.001-22.030 and §§31.001-31.0325.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 10, 2000.

TRD-200002505

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: February 11, 2000

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


Chapter 90. INTERMEDIATE CARE FACILITIES FOR PERSONS WITH MENTAL RETARDATION OR RELATED CONDITIONS

The Texas Department of Human Services (DHS) adopts amendments to §§90.13, 90.16, 90.17, 90.42, 90.61, 90.63, 90.64, 90.65, 90.74, 90.192, 90.211, 90.212, 90.233, 90.236, and 90.321; and adopts new 90.240 and 90.241. DHS adopts §§90.13, 90.16, 90.17, 90.61, 90.63, 90.64, 90.65, 90.74, 90.192, 90.211, 90.212, 90.233, and 90.321; and adopts new §90.240 and §90.241 without changes to the proposed text published in the January 21, 2000, issue of the Texas Register (25 TexReg 362). DHS adopts §90.42 and §90.236 with changes.

Justification for the amendments and new sections is to implement legislation from Senate Bill 196 passed in the 76th legislative session. In reviewing violations of standards cited against facilities, the department found oft-cited violations in the areas of client rights and abuse, which were not addressed in the administrative penalties. These standards are critical to the care and safety of facility residents. The department believes that it is necessary to address these violations in the administrative penalties to encourage facilities to stay in compliance with the standards. The department convened a workgroup of providers, the Private Providers Association, and advocates to consult in drafting the rules. The rules are the result of the consultation with the workgroup.

The amendments and new sections will function by implementing legislation passed in the 76th legislative session. The rules include revisions to clarify life safety code regulations, improve disaster evacuation plans, clarify facility requirements for change of ownership, define terms used in the licensing rules, expand the federal conditions of participation as criteria for assessment of administrative penalties, add rules on administrative penalties, create of a new administrative penalty schedule, and define facility responsibilities relating to a new employee misconduct registry.

The department received comments regarding the adoption of the amendments and new sections from the Private Provider Association of Texas and Advocacy, Inc.

One comment requested that the implementation of the rule change not occur until providers have received training. The department agreed with this request, postponed the effective date of the rules until May 1, 2000, and plans to conduct provider training in conjunction with the Private Providers Association in April.

One commenter stated that it was important that providers have access to the Appendix Q of the State Operation Manual. The department has agreed to make Appendix Q available by mailing a hard copy to all providers, having a copy available for electronic downloading on the Long Term Care Policy Web Site, and having Appendix Q available at the provider training. The providers will also have training available on Appendix Q at the April provider training.

One commenter expressed concern about the department's system to ensure standard and consistent application of penalties across the state. The department has put mechanisms into place to ensure consistency including training, monitoring of reports, and an analysis of the administrative penalties applied. The state will also continue to work in partnership with HCFA on the State Agency Quality Improvement Program to promote continuous quality improvement in the state's performance of survey and certification activities. The department will continue it's dialogue with stakeholders regarding strengths and challenges in regard to the survey process in this large state.

One commenter wanted assurances that the department will take into account the provisions of Senate Bill 196 that offers providers the right to correct and amelioration of violations. Amelioration and the right to correct were included in the proposed rules. The commissioner of DHS will determine when the department will allow a facility to use the option of applying the penalties to ameliorate conditions within the facility. The department will monitor the assessment of administrative penalties to ensure they are applied in accordance with the regulations.

One commenter noted that the department could not classify the assessment of a late license fee as anything but an administrative penalty. The commenter requested that the department request a statutory change in the next legislative session to change this authority. The commenter may wish to lobby for a change in the statutory language to exclude the application of late license fees as an administrative penalty and include it as a late fee.

One commenter noted that administrative penalties are not assessed against public facilities and that public facilities are not required to enter employee misconduct in the employee misconduct registry. The department acknowledges that there are different rules governing public and private providers. However, the department does not have the statutory authority to require public providers to use the employee misconduct registry. The commenter reiterated the importance of offering providers the right to correct or to apply administrative penalties towards ameliorating violations. The department is committed to allowing providers the right to correct in accordance with 40 TAC §90.240.

One commenter stated that alternative sanctions for private and public ICFs/MR should be pursued with the Texas Department of Mental Health and Mental Retardation (TDMHMR). The department concurs. The department will be reviewing the efficacy of the administrative penalties and continue discussion with an array of approaches to improving the overall quality of the ICF/MR program in Texas. The department will reconvene the group of stakeholders that developed the proposed rules to continue discussions relating to other rule revisions and quality improvement initiatives that can occur in the ICF/MR program.

The same commenter requested that the stakeholder group convene in a timely manner to discuss other issues in the ICF/MR program. The department will hold another stakeholder meeting in the spring to discuss other issues across stakeholders.

Another commenter noted that the rules developed by the stakeholder group were developed within the guidelines determined by legislation. The commenter notes the inherent problems of developing a graduated schedule of administrative penalties with a right to correct period of 45 days. The commenter felt that it was impossible to set up a true system of graduated penalties for the second and third occurrence of a violation because of the retrospective nature of a penalty. Because the right to correct extends to the second and third occurrence of the violation, the penalties, if applied, would occur after the 45 day right to correct period. In any case, after the right to correct period of 45 days, any violation (first, second, or third violation) would already reach the maximum statutory monetary limit before any penalty was applied.

The department corrected the section title "Standards for Facilities for Persons with Mental Retardation or Related Conditions" to "Standards for Facilities Serving Persons with Mental Retardation or Related Conditions" in §90.42 and §90.236.

Subchapter B. APPLICATION PROCEDURES

40 TAC §§90.13, 90.16, 90.17

The amendments are adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendments implement the Health and Safety Code, §§252.001 - 252.186.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002482

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter C. STANDARDS FOR LICENSURE

40 TAC §90.42

The amendment is adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendment implements the Health and Safety Code, §§252.001 - 252.186.

§90.42. Standards for Facilities Serving Persons with Mental Retardation or Related Conditions.

(a)

Purpose. The purpose of this section is to promote the public health, safety, and welfare by providing for the development, establishment, and enforcement of standards:

(1)

for the habilitation of persons based on an active treatment program in institutions defined and covered in this section; and

(2)

for the establishment, construction, maintenance, and operation of such institutions which view mental retardation and other developmental disabilities within the context of a developmental model in accordance with the principle of normalization.

(b)

Philosophy. Facilities regulated by the standards in this section are known as facilities for persons with mental retardation and related conditions in Texas (MR facilities). Persons in these facilities have the same civil rights, equal liberties, and due process of law as other individuals, plus the right to receive active treatment and habilitation. Facilities shall provide and promote services that enhance the development of such individuals, maximize their achievement through an interdisciplinary approach based on developmental principles, and create an environment, to the extent possible, that is normalized and normalizing.

(c)

Standards. Each facility serving persons with mental retardation or related conditions shall comply with regulations promulgated by the United States Department of Health and Human Services in Title 42, Code of Federal Regulations, Part 483, Subpart I, §§483.400 - 483.480, titled, "Conditions of Participation for Intermediate Care Facilities for the Mentally Retarded." Additionally, the Texas Department of Human Services (DHS) adopts by reference the federal regulations governing conditions of participation for the ICF/MR program as specified in 42 Code of Federal Regulations, part 483, Subpart I §483.410, §483.420, §483.430, §483.440, §483.450, §483.460, §483.470, and §483.480 as licensing standards.

(d)

Precertification training conference for new providers of service. Each new provider must attend the precertification/prelicensure training conference prior to licensing by the Texas Department of Human Services (DHS). The purpose of the training is to assure that providers of services are familiar with the licensing requirements and to facilitate the delivery of quality services to residents in facilities serving persons with mental retardation or related conditions.

(1)

A new provider is an entity which has not had at least one year of administering services in a facility serving persons with mental retardation or related conditions in Texas. All new providers must attend a precertification training conference prior to the life safety code survey.

(2)

Each new provider must designate at least one individual who will be involved with the direct management of the facility to attend the training conference prior to a health survey being scheduled.

(3)

Each new provider will be given a training schedule. DHS will schedule training sessions, and the date, time, and location of the training will be indicated on the schedule.

(e)

Additional requirements.

(1)

The facility must develop and implement policies and procedures regarding injuries, accidents, and unusual incidents which involve or affect residents. These policies and procedures must include the following provisions.

(A)

An investigation and report must be completed and maintained as a separate record which describes the circumstances of the injury, accident, or incident and its cause, the results of the investigation, and recommended actions. Serious injuries, accidents, or unusual incidents must be reported to the resident's responsible parties and to the department, as described in §90.212 of this title (relating to Incidents of Abuse and Neglect Investigated and Reported by Facilities to the Texas Department of Human Services (DHS)).

(B)

The provider or facility must conduct a criminal history check, as outlined in §90.321 of this title (relating to Investigation of Facility Employees), in compliance with the Health and Safety Code, Title 4, Chapter 250, which requires DHS to perform criminal history checks on persons employed by certain types of facilities.

(2)

In the area of cardiopulmonary resuscitation (CPR), the following apply:

(A)

At least one staff person per shift and on duty must be trained by a CPR instructor certified by an organization such as the American Heart Association or the Red Cross.

(B)

The facility must ensure that staff maintain their certification as recommended by such organizations.

(3)

In the area of behavior management, seclusion of residents may not be used. Seclusion is defined as placement of a resident in a room without staff present from which egress is prevented by a locked door.

(4)

In the area of physical restraints, the following applies.

(A)

When physical restraints (mechanical and/or manual) are used as an integral part of an individual program plan that is intended to lead to less restrictive means of managing and eliminating the behavior for which the restraint is applied, a physician must participate on the interdisciplinary team that authorizes the use of restraint and must concur with the team's decision concerning its use.

(B)

When physical restraints are used as an emergency measure to protect the resident or others from injury, a physician must authorize its use or the extension of its use.

(5)

In the area of pharmacy services, the following applies.

(A)

All pharmacy services must comply with the Texas State Board of Pharmacy requirements, the Texas Pharmacy Act, and rules adopted thereunder, the Texas Controlled Substances Act, and Health and Safety Code, Chapter 483 (relating to Dangerous Drugs).

(B)

All medications must be ordered in writing by a physician, dentist, or podiatrist. Verbal orders may be taken only by a licensed nurse, pharmacist, or another physician, and must be immediately transcribed and signed by the individual taking the order. Verbal orders must be signed by the physician, dentist, or podiatrist within seven working days.

(C)

The facility, with input from the consultant pharmacist and physician, must develop and implement policies and procedures regarding automatic stop orders for medications. These procedures must be utilized when the order for a medication does not specify the number of doses to be given or the time for discontinuance or re-order.

(6)

Specialized nutrition support (delivery of parenteral nutrients and enteral feedings by nasogastric, gastrostomy, or jejunostomy tubes, etc.) must be given in accordance with physician's orders by a registered or licensed nurse. Proper technique must be utilized when giving nutritional support.

(7)

In the area of administration of medication, the following applies.

(A)

Medications may be administered only by physicians, licensed nursing personnel, permitted medication aides, or persons who are exempt from licensure or permit requirements pursuant to the Health and Safety Code, §242.1511. These persons must function in accordance with the memorandum of understanding (MOU) between DHS and the Board of Nurse Examiners. DHS adopts the MOU by reference and copies are available for review at DHS's Long-Term Care Regulatory, 701 West 51st Street, Austin, Texas 78714-9030.

(i)

The licensed or certified individual who removes the medication dose from the container in which it was dispensed must administer the dose.

(ii)

The individual who administers the medication must record the dose after it is administered and during the shift in which it was given.

(B)

Residents who have demonstrated the competency for self-administration of medications must have access to and maintain their own medications. They must have an individual storage space that permits them to store their medications under lock and key.

(C)

Residents may participate in a self-administration of medication habilitation training program if the interdisciplinary team determines that self-administration of medications is an appropriate objective. Residents participating in a self-administration of medication habilitation training program must have training in coordination with and as part of the resident's total active treatment program. The resident's training plan must be evaluated as necessary by a licensed nurse. The supervision and implementation of a self-administration of medication habilitation program may be conducted by nonlicensed personnel and is not limited to personnel who have completed an approved training program in medication administration.

(D)

A facility may maintain a supply of controlled substances in an emergency medication kit for a resident's emergency medication needs, as outlined under §90.324 and §90.325 of this title (relating to Emergency Medication Kit and Controlled Substances).

(8)

In the area of communicable diseases, the facility must have written policies and procedures for the control of communicable diseases in employees and residents. When any reportable communicable disease becomes evident, the facility must report in accordance with Communicable Disease and Prevention Act, Health and Safety Code, Chapter 81, or as specified in 25 TAC §§97.1 - 97.13 (relating to Control of Communicable Diseases) and 25 TAC §§97.131 - 97.136 (relating to Sexually Transmitted Diseases) and in the publication titled, "Reportable Diseases in Texas," Publication 6-101a (Revised 1987). The local health authority should be contacted to assist the facility in determining the transmissibility of the disease and, in the case of employees, the ability of the employee to continue performing his duties. The facility must have written policies and procedures for infection control, which include implementation of universal precautions as recommended by the Centers for Disease Control (CDC).

(9)

In the area of water activities, the facility must assure the safety of all individuals who participate in facility-sponsored events. For the purpose of this section, a water activity is defined as an activity which occurs in or on water that is knee deep or deeper on the majority of individuals participating in the event. To assure the safety of all individuals who participate, the requirements in subparagraphs (A)-(F) apply.

(A)

The facility must develop a policy statement regarding the water sites utilized by the facility. Water sites include, but are not limited to, lakes, amusement parks, and pools.

(B)

A minimum of one staff person with demonstrated proficiency in cardiopulmonary resuscitation (CPR) must be on duty and at the site when individuals are involved in water activities.

(C)

A minimum of one person with demonstrated proficiency in water life saving skills must be on duty and at the site when activities take place in or on water that is deep enough to require swimming for life saving retrieval. This person must maintain supervision of the activity for its duration.

(D)

A sufficient number of staff or a combination of staff and volunteers must be available to meet the safety requirements of the group and/or specific individuals.

(E)

Each individual's program plan must address each person's needs for safety when participating in water activities including, but not necessarily limited to, medical conditions; physical disabilities and/or behavioral needs which could pose a threat to safety; the ability to follow directions and instructions pertaining to water safety; the ability to swim independently; and, when called for, special precautions.

(F)

If the interdisciplinary team recommends the use of a flotation device as a precaution for any individual to engage in water activities, it must be identified and precautions outlined in the individual program plan. The device must be approved by the United States Coast Guard or be a specialized therapy flotation device utilized in the individual's therapy program.

(10)

In the area of communication, a facility may not prohibit a resident or employee from communicating in the person's native language with another resident or employee for the purpose of acquiring or providing care, training, or treatment.

(11)

In the area of physical exams, a facility shall ensure that a resident is given at least one physical exam on a yearly basis by a medical doctor.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002483

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter D. GENERAL REQUIREMENTS FOR FACILITY CONSTRUCTION

40 TAC §§90.61, 90.63 - 90.65, 90.74

The amendments are adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendments implement the Health and Safety Code, §§252.001 - 252.186.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002484

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter F. INSPECTIONS, SURVEYS, AND VISITS

40 TAC §90.192

The amendment is adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendment implements the Health and Safety Code, §§252.001 - 252.186.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002485

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter G. ABUSE, NEGLECT, AND EXPLOITATION; COMPLAINT AND INCIDENT REPORTS AND INVESTIGATIONS

40 TAC §90.211, §90.212

The amendments are adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendments implement the Health and Safety Code, §§252.001 - 252.186.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002486

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter H. ENFORCEMENT

40 TAC §§90.233, 90.236, 90.240, 90.241

The amendments and new sections are adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendments and new sections implement the Health and Safety Code, §§252.001 - 252.186.

§90.236. Administrative Penalties.

(a)

The Texas Department of Human Services (DHS) may assess administrative penalties against a facility that violates the Health and Safety Code, Chapter 252, or any rule adopted under this chapter, as provided in this section.

(b)

Definitions:

(1)

For purposes of this chapter a "violation" is defined as any noncompliance with the Health and Safety Code, Chapter 252, or any rule under this chapter, as provided in this section.

(2)

For purposes of this chapter "immediate and serious threat" means a situation in which there is a high probability that serious harm or injury to residents could occur at any time or has already occurred and may occur again if individuals are not protected effectively from the harm or if the threat is not removed. Immediate and serious threat" is described in Appendix Q of the State Operations Manual, "Guidelines for Determining Immediate and Serious Threat to Patient Health and Safety."

(3)

For the purposes of this chapter, "serious harm" is any condition or situation that could result in severe, temporary or permanent injury, or death, or harm to the mental or physical condition of an individual.

(4)

For the purposes of this chapter "previous history" means any violation that resulted in the recommendation of an administrative penalty documented against the facility in the past 24-month period.

(c)

Failure to meet the requirements of §90.42(c) of this title (relating to Standards for Facilities Serving Persons with Mental Retardation or Related Conditions) is a cause to assess an administrative penalty.

(d)

When a violation cited by DHS is determined to be within the scope, severity, and description of the penalty schedules as stated in subsection (m) of this section, the violation may be cause for assessment of a penalty as described in this section and as listed in subsection (m) of this section. In determining which violations warrant penalties, DHS will consider:

(1)

the seriousness of the violation, including the nature, circumstances, extent, and gravity of the violation and the hazard of the violation to the health and safety of the clients; and

(2)

whether the affected facility had identified the violation as part of its internal quality assurance process and had made appropriate progress on correction.

(e)

No facility will be penalized because of a physician's or consultant's nonperformance beyond the facility's control or if documentation clearly indicates the violation is beyond the facility's control.

(f)

An offense is defined as a sum of the licensure violations found during an inspection. The first offense violations carry the penalty shown in the "first offense" column under subsection (m) of this section. The second offense violations carry the penalty shown in the "second offense" column. The third offense violations carry the penalty shown in the "third offense" column. An offense is counted against the facility even if the facility corrected the prior violation and an administrative penalty was not actually imposed.

(g)

The progression of offenses described in subsection (f) of this section applies to facilities regardless of license renewals; however, when a facility has not had an offense for a period of two years, the facility's next offense will be in the "first offense" column under subsection (m) of this section. A suspension of a license and subsequent reinstatement does not interrupt the progression.

(h)

The administrative penalty begins on the date DHS first established the deficiency existed. Administrative penalties will not be imposed on minor infractions. Penalties will be imposed on a per diem basis for those infractions in the administrative penalty schedule, as outlined under subsection (m) of the section. If DHS determines that a violation has occurred that will result in an administrative penalty, the penalty for a facility with fewer than 60 beds will be not less than $100 or more than $1,000 for each violation. The penalty for a facility with 60 beds or more will not be less than $100 or more than $5,000 for each violation. The total amount of the penalty assessed for a violation continuing or occurring on separate days under this subsection may not exceed $5,000 for a facility with fewer than 60 beds or $25,000 for a facility with 60 beds or more.

(i)

A per diem penalty ceases on the date a violation has been corrected, and the facility:

(1)

notifies DHS in writing that the violation has been corrected; and

(2)

provides the date of the correction; and

(3)

evidences later that the violation was corrected.

(j)

If DHS determines that a violation has occurred and that an administrative penalty will be recommended, DHS will give written notice of the recommendation to proceed with an administrative penalty to the person designated by the facility to receive notice. The notice will include:

(1)

a brief summary of the alleged violation;

(2)

a statement of the amount of the proposed penalty based on the factors listed in subsections (d) and (m) of this section; and

(3)

a statement of the person's right to a hearing on the occurrence of the violation, the amount of the violation, the amount of the penalty, or both the occurrence of the violation and the amount of the penalty.

(k)

A facility that has been recommended to be assessed an administrative penalty has a right to request an appeal as outlined in subsection (l) of this section.

(l)

Within 20 calendar days after the date on which written notice to pay an administrative penalty is received by a facility, the facility must give DHS written consent to the penalty or make a written request for a hearing. If the facility does not make a response within the 20 calendar day period, DHS will assess the penalty. Failure of the facility to file a notice to request a formal hearing within 20 calendar days constitutes a waiver of the right to a hearing. Hearings will be held in accordance with the formal hearing procedures in Chapter 79 of this title (relating to Legal Services).

(m)

Scope, severity, and assessments for violations warranting administrative penalties for licensed facilities are as follows:

Figure: 40 TAC §90.236(m)

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002487

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Subchapter L. PROVISIONS APPLICABLE TO FACILITIES GENERALLY

40 TAC §90.321

The amendment is adopted under the Health and Safety Code, Chapter 252, which authorizes the department to license intermediate care facilities for the mentally retarded.

The amendment implements the Health and Safety Code, §§252.001 - 252.186, and Chapter 250.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 7, 2000.

TRD-200002488

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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


Chapter 93. EMPLOYEE MISCONDUCT REGISTRY

40 TAC §§93.1 - 93.5

The Texas Department of Human Services (DHS) adopts new §§93.1 - 93.5 without changes to the proposed text published in the January 21, 2000, issue of the Texas Register (25 TexReg 366).

The justification for the new sections is the implementation of new Health and Safety Code, Chapter 253, which established the Employee Misconduct Registry. Prior to this past legislative session, no consistent method existed for tracking acts of misconduct of uncredentialed or unlicensed employees who provide direct care services, personal care services, active treatment, attendant care, or any other personal services to residents of DHS-licensed long-term care facilities. In addition, the number of long term care facilities in Texas is steadily increasing as is the number of uncredentialed and unlicensed employees providing direct care services to residents, showing a need for a tracking tool for findings of abuse, neglect, exploitation, and misappropriation of resident or consumer property. The informal appeals process (subsections 93.3(b) and (c) of this title), has been added to give fairness and uniformity to unlicensed and uncredentialed direct care employees by providing them the same rights and opportunities as are offered to all other employees of DHS-licensed long-term care facilities in similar situations.

The new sections will function by implementing Health and Safety Code, Chapter 253, Employee Misconduct Registry concerning the tracking of findings of resident abuse, neglect, exploitation, or misappropriation of a resident's property by an uncredentialed or unlicensed employee of a long-term care facility under the department's regulation. These rules apply to nursing facilities, intermediate care facilities for the mentally retarded that are licensed by the department, assisted living (personal care) facilities, adult foster care (Type C), and adult day care facilities.

The department received one written set of comments from the Texas Health Care Association. A summary of the comments and the department's responses follows.

Comment: "Section 93.2 (3) defines 'employee' as someone who provides personal services, is not licensed or credentialed, and is not a nurse aide. What employees fall into this category? Does this include dietary staff, laundry staff, groundkeepers, maintenance staff or office staff? If so, can they be listed as examples?"

Response: The legislative intent of Senate Bill 967, which was passed during the 76th Regular Session of the Texas Legislature to create Chapter 253, Health and Safety Code, the Employee Misconduct Registry, is for the registry to capture only acts of misconduct committed by "unlicensed or uncredentialed 'direct care' employees" of DHS licensed facilities. Section 253.001 defines "employee" as a person who "is an individual who provides personal care services, active treatment, or any other personal services to a resident or consumer of the facility." The language included in the Employee Misconduct Registry Rules (§93.2) is the exact statutory language. The staff members that you have referenced in your comment usually do not perform the specific services listed in the statute and are therefore not subject to the Employee Misconduct Registry.

Comment: "Section 93.5 'Facility Requirements' needs clarification as to which employees do/do not need to be verified through each registry. For instance, does a nurse aide need to be checked under this registry? Also this section needs to be clarified that this does not include credentialed or licensed employees."

Response: The term "employee" as referenced in §93.5 (Facility Requirements), as well as throughout the Employee Misconduct Registry rules, is defined in Section 93.2 (Definitions). This definition pertains to the term "employee" each time it is used in the rules. The definition of "employee," as provided in §93.2 (and Senate Bill 967, §253.001), states that an employee is a person who "is not licensed or credentialed by an agency of the state to perform the services the employee performs at the facility; and is not a nurse aide employed by a nursing facility." This definition indicates which employees need to be verified through the registry.

The new sections are adopted under Texas Health and Safety Code, Chapter 253, Employee Misconduct Registry.

The new sections implement the Texas Health and Safety Code, Chapter 253.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 5, 2000.

TRD-200002450

Paul Leche

General Counsel, Legal Services

Texas Department of Human Services

Effective date: May 1, 2000

Proposal publication date: January 21, 2000

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