1. A General Overview of the New Federal Rules for Home and Community Based Settings Office of Aging and Disability Services December 19, 2014 1

2. What is Happening? There are new rules issued by the federal government for some Medicaid services. Medicaid is a joint federal and state program that pays for medical and other related services. States must follow the federal Medicaid rules. In Maine, the Medicaid program is called MaineCare. 2

3. What are the Rules About? The new rules are about certain home and community based services. These services are sometimes called “HCBS” for short. HCBS services are intended to be services received in a community – as compared to institutional—setting. Examples of institutional settings are services in a hospital, nursing facility or intermediate care facility. 3

4. Do the New Rules Apply to All HCBS? There are lots of types of HCBS services. The new rules only apply to certain types of HCBS services. In Maine the rules apply to the MaineCare “Waiver” programs. The federal rules also apply to other types of programs but Maine does not operate any of those programs now. 4

5. What are the Medicaid Waiver Programs? Maine has several Waiver programs. These are shown on the next slide. These programs provide services to people who are also eligible for institutional services but choose to get their services in the community. 5

6. Maine’s Waiver Programs §18 Home and Community Benefits for Adults with Brain Injury §19 Home and Community Benefits for the Elderly and for Adults with Disabilities §20 Home and Community Services for Adults with Other Related Conditions §21 Home and Community Benefits for Members with Intellectual Disabilities or Autistic Disorder §22 Home and Community Benefits for the Physically Disabled (merged with Section 19 as of 12/27/2014) §29 Support Services for Adults with Intellectual Disabilities or Autistic Disorder §32 Waiver Services for Children with Intellectual Disabilities or Pervasive Developmental Disorders 6

7. Do These New Rules Only Apply to Waiver Services? The new rules apply to: 1.Any services funded by Maine’s Waiver programs; and 2.To some other services that are received by Waiver members. 7

8. Why Were These New Rules Created? Even if a person is not receiving services in an institution, some home and community based services may have some characteristics of, or may feel like, an institutional service for the person getting the service. The concern is that Institutional settings can isolate people from the greater community. 8

9. What Do the New Rules Do? The goal of the new rules is to be sure that home and community based services do not seem institutional or otherwise isolating for the people getting services. The new rules set new standards and requirements about the settings where waiver services may be provided in order to be sure this does not happen. 9

10. What Does This All Mean? It means that the State must look at the new rules and see if the services that Waiver members are getting in Maine: 1.Have institutional qualities; and 2.Meet the new standards for HCBS. This is a process that will take place over time and the steps in this process are explained later in this presentation. 10

11. How Does the State Decide if Services Seem Institutional? The new rules provide information on what should be considered by the State in deciding if a setting isolates a person from the greater community. This includes physical location of the services and factors that suggest the setting isolate the member from the larger community. 11

12. What are Some Examples? One example is a setting that is the same building as a nursing facility. Another example of a setting that might be isolating is a program and setting that only serves people with a specific disabilities and all services are received through a single provider. 12

13. What Happens if a Service Does Have Institutional Qualities? If a service seems to be institutional in nature based on the new rules, the State can give the federal government additional information about the setting and why the services meet home and community based goals. The State may also make changes so that the setting can meet the requirements of new rules. The State could discontinue the service for the Waiver member or program if it cannot meet the standards. 13

14. New HCBS Standards To be an HCBS setting, setting must not be institutional in nature and it also must meet new standards. The new rules have standards that apply to all services received by waiver members and other additional standards that apply to provider owned or controlled residential services. 14

15. Community Access All HCBS Settings 15

16. Community Access All HCBS Settings 16

17. Rights All HCBS Settings 17

18. Rights All HCBS Settings 18

19. Autonomy All HCBS Settings 19

20. Autonomy All HCBS Settings 20

21. Choice of Providers All HCBS Settings 21

22. Additional Requirements Provider-Owned or Controlled Residential Settings 22 Responsibilities and rights of tenant, Legally enforceable agreement Privacy in sleeping or living unit Control own schedule and activities and access to food at any time Choice of roommates for shared rooms Able to have visitors at any time Physically accessible Lockable doors, staff have keys only as needed Freedom to furnish and decorate Provider-owned or controlled residential settings must also comply with some additional requirements.

23. Do These Requirements Always Apply? In some cases, some of these requirements may be changed or modified if the modification can be: Supported by a specific assessed need; Justified in the person-centered service plan; and Documented in the person-centered service plan. 23

24. What Must Be Documented in the Person-Centered Plan? A few examples of what must be included in the person-centered plan if a requirement is modified are: Established time limits for periodic reviews of the modification. Informed consent of the individual. Assurances that interventions and supports will not cause harm. On-going data about how well the intervention is working. 24

25. What Are the Next Steps? This is a long process with many steps. The first big step is that Maine must file a Transition Plan with the federal government. This Transitional Plan describes the work that Maine must do to be sure that its services meet the requirements of the rule. Maine has written a draft Plan that is available to the public. We are hoping to hear your comments and questions about it. 25

26. What is in the Transition Plan A best estimate of the number of settings: – Currently in full compliance – To be brought into compliance – That cannot comply – Presumed to be institutional 26

27. What is in the Transition Plan Documentation, where we think we are already in compliance A description of the steps we will take to come into compliance When we need to, evidence to overcome the presumption that the setting is institutional 27

28. What Kinds of Changes May Be Needed? Policy changes, e.g., statutes, regulations and operational standards Practice changes, e.g., facility and program operations, training programs Settings modifications, e.g., privacy, lockable doors Relocation of individuals from any setting that does not qualify as an HCBS setting Improvements to our systems for verifying compliance 28

29. How Long Does the State Have to Make Changes? If our transition plan requires major changes, we will ask CMS for extra time to make those changes – When justified, CMS can allow up to four additional years (until March 17, 2019) to complete all steps under their transition plan – Our transition plan will describe a process for engaging stakeholders in any major change 29

30. How Long Does the State Have to Make Changes? If our transition plan requires relocating any members, we will comply with CMS requirements for fair notice and appeal 30

31. Can I Be Involved? Prior to submission, we must: – Allow a minimum of a 30-day public comment period on the Draft Transition Plan – Consider public comments and modify the Draft Transition Plan accordingly – Submit evidence of public comment and our response to comments We would like to hear from people throughout this process. 31

32. We Would Like Your Ideas and Suggestions The Transition Plan will be formally published next month. Please provide your written comments on the current draft by December 31, 2014. You can e-mail your comments to OADS@maine.govOADS@maine.gov or mail them to “HCBS TRANSITION PLAN, Office of Aging & Disability Services, 41 Anthony Avenue, State House Station #11, Augusta, ME 04333 32

33. Formal Process In January a formal hearing will be held on the final plan. Details of the hearing will be announced in the news media and list serves. This process will be just like a formal MaineCare rule making. Public comment will be accepted and responded to using this legal standard. Once complete the plan will be submitted to the Centers for Medicare & Medicaid for their approval. 33

34. Questions? 34

35. Thanks for your help ! Have a wonderful holiday! 35