HCBS Settings Rule Transition Planning
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This website will provide access to the latest updates on the HCBS Transition Plan for the State of Utah as well as provide a means to sign-up for list-servs, and provide feedback on the Transition Plan, and its associated tools and publications.
Feedback, general questions, a request for technical assistance, or any other inquiries can be submitted at HCBSSettings@utah.gov. In addition, the following link may be used to supply information on specific settings believed to have issue demonstrating compliance with the HCBS Settings Rule.
All documents are posted under the Documents and Handouts Tab. This includes the current and other iterations of the Transition Plan, as well as periodic reports, tool-kits, and other resources.
Signing-Up for Email Updates
In order to receive email updates regarding the Transition Plan and its associated tools and publications, please sign-up for our listserv. Instructions for signing-up for the HCBS Settings Listserv can be found under the listserv Tab
This list is designed to provide information about the Utah Medicaid HCBS Transition Plan. It is a tool allowing subscribers to receive updates about the planning process, as well as updates to the plan itself.
To join the list, please visit Medicaid Long-Term Care and Waiver Programs and enter your email on the left hand side of the page.
Please contact HCBSSettings@utah.gov if you have any problems with the Listserv.
New Provider Requirements
All new home and community-based settings must be in compliance with the Settings Rule when they start providing services.
- Attestation Form
HCBS Settings Rule training on the revised NCW and AW PCCP addendum.
- NCW and AW
Flyers and Brochures
- General Stakeholder Information:
- Settings Rule for Home and Community Based Services for Individuals, Families, and Caregivers (brochure)
- Settings Rule for Home and Community Based Services for Providers (brochure)
- HCBS Stakeholder Update May 2019 (flyer)
- Heightened Scrutiny
- Stakeholder Update July 2020
- Isolating and Institutional Factors
- Restrictions and Modifications (flyer)
- Restrictions and Modifications Examples
- Settings Rule Progress During COVID-19
- Opportunity for Employment
- Community Inclusion and Integration Flyer
- Community Inclusion and Integration Examples
- Residential Stakeholder Information:
- NCW Specific
- DSPD Waiver Specific
Provider Compliance Tools
- Additional Review.
An in-depth additional review site visit was or will be conducted for settings that the State was unable to be categorized based only on the self-assessment and validation review process. The majority of these reviews occurred during the months of August to October of 2019. This will continue to be an ongoing process if additional settings are identified as requiring further review. Setting tours, observation of daily operations, HCBS Waiver recipient interviews, staff interviews, leadership interviews, and document/record reviews took place as part of the additional review process. The following tools were utilized in the review process:
- Non-residential Additional Review Assessment Tool
- Residential Additional Review Assessment Tool
- Non-residential Additional Review for Individuals Receiving Services Interview Tool
- Residential Additional Review for Individuals Receiving Services Interview Tool
- Additional Review Leadership Interview Tool
- Additional Review Staff Interview Tool
For settings that had identified areas of non-compliance, a remediation plan is required. The following remediation plan template is not required; providers can choose to use their own format as long as the plan includes the minimum requirements.
Completion of the remediation plan is mandatory and must be completed and returned to the State within 30 days of notification. For technical assistance or further information email: HCBSSettings@utah.gov
- Provider Remediation Plan.
During the months of January and February of 2018, providers were emailed their self-assessment results and all the settings they will need to complete a remediation plan for. Remediation plan templates were generated for each setting specifying which self-assessment indicators required additional information or a corrective action plan to demonstrate compliance.
- SE Provider Letter HCBS Settings Self-Assessment Report
- Document 1 (Instructions) State Self-Assessment Report and Remediation Plan Non Residential
- Document 1 (Instructions) State Self-Assessment Report and Remediation Plan Residential
- Settings Transition and Remediation Plan Presentation 2.12.18.pptx
During the week of April 25th, 2016 providers were mailed letters outlining all of the settings that they will need to complete a self-assessment for. The State identified Residential and Non-Residential sites that were known. Providers will be expected to complete the appropriate survey for any setting they manage and to provide information about locations that they no longer have.
- Copy of the Letter Mailed to all Waiver Providers with Settings Identified for Review
- Provider Self-Assessment Survey – Residential (PDF)
- Provider Self-Assessment Survey – Residential (Excel)
- Provider Self-Assessment Survey – Non-Residential (PDF)
- Provider Self-Assessment Survey – Non-Residential (Excel)
- Self-Assessment Instructions
- Settings Transition Presentation Slides (From Stakeholder Meetings)
- Sample Self Assessment
State Transition Plan (STP) and Related Documents
- Final Approved Transition Plan and Related Documents
- Submitted Transition Plan and Public Comments
- Draft Transition Plans
- New Settings
- Settings located in, on the grounds of, or immediately adjacent to a public institution
- Public Comment
- Settings Crosswalk/Systemic Assessment
- Documents to Accompany Systemic Assessment
- Currently Approved Acquired Brain Injury Waiver Implementation Plan
- Currently Approved Aging Waiver Implementation Plan
- Currently Approved Community Supports Waiver Implementation Plan
- Currently Approved Medicaid Autism Waiver Implementation Plan
- Currently Approved Medically Complex Children’s Waiver Implementation Plan
- Currently Approved New Choices Waiver Implementation Plan
- Currently Approved Physical Disabilities Waiver Implementation Plan
- Currently Approved Technology Dependent Waiver Implementation Plan
- DSPD Contract Requirements
- Workgroup Meetings
- Documents for Workgroup Meeting on April 3, 2018 (Non-residential Integration)
- Documents for Workgroup Meeting on April 10, 2018 (Modifications and Restrictions)
- Documents for Workgroup Meeting on on April 17, 2018 (Residential Integration)
- Documents for Workgroup Meeting on May 1, 2018 (Heightened Scrutiny)
- Focus Group Meetings
- Documents for Focus Group Meeting on June 5, 2018 (Adult Day Care Settings)
- Documents for Focus Group Meeting on June 19, 2018 (NCW, Residential Settings)
- Documents for Focus Group Meeting on June 26, 2018 (DSPD, Day Program Settings)
- Documents for Focus Group Meeting on July 3, 2018 (Employment, Non Residential settings)
- Documents for Focus Group Meeting on July 10, 2018 (DSPD, Residential Settings)
- Documents for Focus Group Meeting on August 28, 2018 (Person Centered Care Plan)
- Documents for Focus Group Meeting on September 11, 2018 (Modifications and Restrictions)
- Other Stakeholder Meetings
How to Provide Comments
Once distributed, Utah will accept public comments and recommendations about the draft for a minimum 30-day period. In addition to submitting comments via the form below, public comments will be accepted through the following methods:
- Via fax: 801-323-1588
- Via mail:
Utah Department of Health
Division of Medicaid and Health Financing
Attn: HCBS Transition Planning Comments
PO BOX 143112
Salt Lake City, UT 84114-3112