Virginia Register of Regulations, Vol. 25 Iss. 13 Mar 02, 2009

REGISTER INFORMATION PAGE
Vol. 25 Iss. 13 - March 02, 2009

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The Virginia Register OF REGULATIONS is an official state publication issued every other week throughout the year. Indexes are published quarterly, and are cumulative for the year. The Virginia Register has several functions. The new and amended sections of regulations, both as proposed and as finally adopted, are required by law to be published in the Virginia Register. In addition, the Virginia Register is a source of other information about state government, including petitions for rulemaking, emergency regulations, executive orders issued by the Governor, the Virginia Tax Bulletin issued periodically by the Department of Taxation, and notices of public hearings and open meetings of state agencies.

ADOPTION, AMENDMENT, AND REPEAL OF REGULATIONS

An agency wishing to adopt, amend, or repeal regulations must first publish in the Virginia Register a notice of intended regulatory action; a basis, purpose, substance and issues statement; an economic impact analysis prepared by the Department of Planning and Budget; the agency’s response to the economic impact analysis; a summary; a notice giving the public an opportunity to comment on the proposal; and the text of the proposed regulation.

Following publication of the proposal in the Virginia Register, the promulgating agency receives public comments for a minimum of 60 days. The Governor reviews the proposed regulation to determine if it is necessary to protect the public health, safety and welfare, and if it is clearly written and easily understandable. If the Governor chooses to comment on the proposed regulation, his comments must be transmitted to the agency and the Registrar no later than 15 days following the completion of the 60-day public comment period. The Governor’s comments, if any, will be published in the Virginia Register. Not less than 15 days following the completion of the 60-day public comment period, the agency may adopt the proposed regulation.

The Joint Commission on Administrative Rules (JCAR) or the appropriate standing committee of each house of the General Assembly may meet during the promulgation or final adoption process and file an objection with the Registrar and the promulgating agency. The objection will be published in the Virginia Register. Within 21 days after receipt by the agency of a legislative objection, the agency shall file a response with the Registrar, the objecting legislative body, and the Governor.

When final action is taken, the agency again publishes the text of the regulation as adopted, highlighting all changes made to the proposed regulation and explaining any substantial changes made since publication of the proposal. A 30-day final adoption period begins upon final publication in the Virginia Register.

The Governor may review the final regulation during this time and, if he objects, forward his objection to the Registrar and the agency. In addition to or in lieu of filing a formal objection, the Governor may suspend the effective date of a portion or all of a regulation until the end of the next regular General Assembly session by issuing a directive signed by a majority of the members of the appropriate legislative body and the Governor. The Governor’s objection or suspension of the regulation, or both, will be published in the Virginia Register. If the Governor finds that changes made to the proposed regulation have substantial impact, he may require the agency to provide an additional 30-day public comment period on the changes. Notice of the additional public comment period required by the Governor will be published in the Virginia Register.

The agency shall suspend the regulatory process for 30 days when it receives requests from 25 or more individuals to solicit additional public comment, unless the agency determines that the changes have minor or inconsequential impact.

A regulation becomes effective at the conclusion of the 30-day final adoption period, or at any other later date specified by the promulgating agency, unless (i) a legislative objection has been filed, in which event the regulation, unless withdrawn, becomes effective on the date specified, which shall be after the expiration of the 21-day objection period; (ii) the Governor exercises his authority to require the agency to provide for additional public comment, in which event the regulation, unless withdrawn, becomes effective on the date specified, which shall be after the expiration of the period for which the Governor has provided for additional public comment; (iii) the Governor and the General Assembly exercise their authority to suspend the effective date of a regulation until the end of the next regular legislative session; or (iv) the agency suspends the regulatory process, in which event the regulation, unless withdrawn, becomes effective on the date specified, which shall be after the expiration of the 30-day public comment period and no earlier than 15 days from publication of the readopted action.

Proposed regulatory action may be withdrawn by the promulgating agency at any time before the regulation becomes final.

FAST-TRACK RULEMAKING PROCESS

Section 2.2-4012.1 of the Code of Virginia provides an exemption from certain provisions of the Administrative Process Act for agency regulations deemed by the Governor to be noncontroversial. To use this process, Governor's concurrence is required and advance notice must be provided to certain legislative committees. Fast-track regulations will become effective on the date noted in the regulatory action if no objections to using the process are filed in accordance with § 2.2-4012.1.

EMERGENCY REGULATIONS

Pursuant to § 2.2-4011 of the Code of Virginia, an agency, upon consultation with the Attorney General, and at the discretion of the Governor, may adopt emergency regulations that are necessitated by an emergency situation. An agency may also adopt an emergency regulation when Virginia statutory law or the appropriation act or federal law or federal regulation requires that a regulation be effective in 280 days or less from its enactment. The emergency regulation becomes operative upon its adoption and filing with the Registrar of Regulations, unless a later date is specified. Emergency regulations are limited to no more than 12 months in duration; however, may be extended for six months under certain circumstances as provided for in § 2.2-4011 D. Emergency regulations are published as soon as possible in the Register.

During the time the emergency status is in effect, the agency may proceed with the adoption of permanent regulations through the usual procedures. To begin promulgating the replacement regulation, the agency must (i) file the Notice of Intended Regulatory Action with the Registrar within 60 days of the effective date of the emergency regulation and (ii) file the proposed regulation with the Registrar within 180 days of the effective date of the emergency regulation. If the agency chooses not to adopt the regulations, the emergency status ends when the prescribed time limit expires.

STATEMENT

The foregoing constitutes a generalized statement of the procedures to be followed. For specific statutory language, it is suggested that Article 2 (§ 2.2-4006 et seq.) of Chapter 40 of Title 2.2 of the Code of Virginia be examined carefully.

CITATION TO THE VIRGINIA REGISTER

The Virginia Register is cited by volume, issue, page number, and date. 23:7 VA.R. 1023-1140 December 11, 2006, refers to Volume 23, Issue 7, pages 1023 through 1140 of the Virginia Register issued on December 11, 2006.

The Virginia Register of Regulations is published pursuant to Article 6 (§ 2.2-4031 et seq.) of Chapter 40 of Title 2.2 of the Code of Virginia.

Members of the Virginia Code Commission: R. Steven Landes, Chairman; John S. Edwards, Vice Chairman; Ryan T. McDougle; Robert Hurt; Robert L. Calhoun; Frank S. Ferguson; E.M. Miller, Jr.; Thomas M. Moncure, Jr.; James F. Almand; Jane M. Roush.

Staff of the Virginia Register: Jane D. Chaffin, Registrar of Regulations; June T. Chandler, Assistant Registrar.

PUBLICATION SCHEDULE AND DEADLINES
Vol. 25 Iss. 13 - March 02, 2009

March 2009 through December 2009

Volume: Issue	Material Submitted By Noon*	Will Be Published On
INDEX 1 Volume 25		January 2009
25:13	February 11, 2009	March 2, 2009
25:14	February 25, 2009	March 16, 2009
INDEX 2 Volume 25		April 2009
25:15	March 11, 2009	March 30, 2009
25:16	March 25, 2009	April 13, 2009
25:17	April 8, 2009	April 27, 2009
25:18	April 22, 2009	May 11, 2009
25:19	May 6, 2009	May 25, 2009
25:20	May 20, 2009	June 8, 2009
INDEX 3 Volume 25		July 2009
25:21	June 3, 2009	June 22, 2009
25:22	June 17, 2009	July 6, 2009
25:23	July 1, 2009	July 20, 2009
25:24	July 15, 2009	August 3, 2009
25:25	July 29, 2009	August 17, 2009
25:26	August 12, 2009	August 31, 2009
FINAL INDEX Volume 25		October 2009
26:1	August 26, 2009	September 14, 2009
26:2	September 9, 2009	September 28, 2009
26:3	September 23, 2009	October 12, 2009
26:4	October 7, 2009	October 26, 2009
26:5	October 21, 2009	November 9, 2009
26:6	November 4, 2009	November 23, 2009
26:7	November 17, 2009 (Tuesday)	December 7, 2009
INDEX 1 Volume 26		January 2010
26:8	December 2, 2009	December 21, 2009

*Filing deadlines are Wednesdays unless otherwise specified.

REGULATIONS
Vol. 25 Iss. 13 - March 02, 2009

TITLE 12. HEALTH

STATE BOARD OF HEALTH

Final Regulation

REGISTRAR’S NOTICE: The State Board of Health is claiming an exemption from Article 2 of the Administrative Process Act in accordance with § 2.2-4006 A 3, which excludes regulations that consist only of changes in style or form or corrections of technical errors. The State Board of Health will receive, consider and respond to petitions by any interested person at any time with respect to reconsideration or revision.

Title of Regulation: 12VAC5-230. State Medical Facilities Plan (amending 12VAC5-230-540, 12VAC5-230-550, 12VAC5-230-560).

Statutory Authority: § 32.1-102.2 of the Code of Virginia.

Effective Date: April 1, 2009.

Agency Contact: Carrie Eddy, Senior Policy Analyst, Department of Health, 9960 Mayland Drive, Suite 401, Henrico, VA 23233, telephone (804) 367-2157, or email carrie.eddy@vdh.virginia.gov.

Summary:

The amendments correct an error to the formula contained in 12VAC5-230-540, 12VAC5-230-550 and 12VAC5-230-560. The formula that became effective February 15, 2009, distorts the results of the inpatient beds needed in a planning district on a magnitude of 1,000 times. To illustrate the formula, the board used a planning district with a projected population of 160,000 and 120 inpatient beds. Using this formula, the planning district is calculated to need 126,449 beds, i.e., one bed for every 1.2 residents or 126,329 more beds than the 120 beds they currently have. However, using the corrected formula, a more realistic projection is achieved of one inpatient bed for every 1,270 residents or an additional six beds over the current 120-bed allocation. Therefore, the amendments correct the formula by striking the "x 1,000" contained in the formula.

12VAC5-230-540. Need for medical/surgical beds.

The number of medical/surgical beds projected to be needed in a health planning district shall be computed as follows:

1. Determine the use rate for the medical/surgical beds for the health planning district using the formula:

BUR = (IPD/PoP) ~~x 1,000~~

Where:

BUR = the bed use rate for the health planning district.

IPD = the sum of total inpatient days in the health planning district for the most recent five years for which inpatient day data has been reported by VHI; and

PoP = the sum of total population 18 years of age and older in the health planning district for the same five years used to determine IPD as reported by a demographic program as determined by the commissioner.

2. Determine the total number of medical/surgical beds needed for the health planning district in five years from the current year using the formula:

ProBed = ((BUR x ProPop)/365)/0.80

Where:

ProBed = The projected number of medical/surgical beds needed in the health planning district for five years from the current year.

BUR = the bed use rate for the health planning district determined in subdivision 1 of this section.

ProPop = the projected population 18 years of age and older of the health planning district five years from the current year as reported by a demographic program as determined by the commissioner.

3. Determine the number of medical/surgical beds that are needed in the health planning district for the five planning horizon years as follows:

NewBed = ProBed – CurrentBed

Where:

NewBed = the number of new medical/surgical beds that can be established in a health planning district, if the number is positive. If NewBed is a negative number, no additional medical/surgical beds should be authorized for the health planning district.

ProBed = the projected number of medical/surgical beds needed in the health planning district for five years from the current year determined in subdivision 2 of this section.

CurrentBed = the current inventory of licensed and authorized medical/surgical beds in the health planning district.

12VAC5-230-550. Need for pediatric beds.

The number of pediatric beds projected to be needed in a health planning district shall be computed as follows:

1. Determine the use rate for pediatric beds for the health planning district using the formula:

PBUR = (PIPD/PedPop) ~~x 1,000~~

Where:

PBUR = The pediatric bed use rate for the health planning district.

PIPD = The sum of total pediatric inpatient days in the health planning district for the most recent five years for which inpatient days data has been reported by VHI; and

PedPop = The sum of population under 18 years of age in the health planning district for the same five years used to determine PIPD as reported by a demographic program as determined by the commissioner.

2. Determine the total number of pediatric beds needed to the health planning district in five years from the current year using the formula:

ProPedBed = ((PBUR x ProPedPop)/365)/0.80

Where:

ProPedBed = The projected number of pediatric beds needed in the health planning district for five years from the current year.

PBUR = The pediatric bed use rate for the health planning district determined in subdivision 1 of this section.

ProPedPop = The projected population under 18 years of age of the health planning district five years from the current year as reported by a demographic program as determined by the commissioner.

3. Determine the number of pediatric beds needed within the health planning district for the fifth planning horizon year as follows:

NewPedBed – ProPedBed – CurrentPedBed

Where:

NewPedBed = the number of new pediatric beds that can be established in a health planning district, if the number is positive. If NewPedBed is a negative number, no additional pediatric beds should be authorized for the health planning district.

ProPedBed = the projected number of pediatric beds needed in the health planning district for five years from the current year determined in subdivision 2 of this section.

CurrentPedBed = the current inventory of licensed and authorized pediatric beds in the health planning district.

12VAC5-230-560. Need for intensive care beds.

The projected need for intensive care beds in a health planning district shall be computed as follows:

1. Determine the use rate for ICU beds for the health planning district using the formula:

ICUBUR = (ICUPD/Pop) ~~x 1,000~~

Where:

ICUBUR = The ICU bed use rate for the health planning district.

ICUPD = The sum of total ICU inpatient days in the health planning district for the most recent five years for which inpatient day data has been reported by VHI; and

Pop = The sum of population 18 years of age or older for adults or under 18 for pediatric patients in the health planning district for the same five years used to determine ICUPD as reported by a demographic program as determined by the commissioner.

2. Determine the total number of ICU beds needed for the health planning district, including bed availability for unscheduled admissions, five years from the current year using the formula:

ProICUBed = ((ICUBUR x ProPop)/365)/0.65

Where:

ProICUBed = The projected number of ICU beds needed in the health planning district for five years from the current year;

ICUBUR = The ICU bed use rate for the health planning district as determine in subdivision 1 of this section;

ProPop = The projected population 18 years of age or older for adults or under 18 for pediatric patients of the health planning district five years from the current year as reported by a demographic program as determined by the commissioner.

3. Determine the number of ICU beds that may be established or relocated within the health planning district for the fifth planning horizon planning year as follows:

NewICUB = ProICUBed – CurrentICUBed

Where:

NewICUBed = The number of new ICU beds that can be established in a health planning district, if the number is positive. If NewICUBed is a negative number, no additional ICU beds should be authorized for the health planning district.

ProICUBed = The projected number of ICU beds needed in the health planning district for five years from the current year as determined in subdivision 2 of this section.

CurrentICUBed = The current inventory of licensed and authorized ICU beds in the health planning district.

VA.R. Doc. No. R09-1769; Filed February 10, 2009, 11:31 a.m.

TITLE 12. HEALTH

DEPARTMENT OF MEDICAL ASSISTANCE SERVICES

Proposed Regulation

Title of Regulation: 12VAC30-120. Waivered Services (amending 12VAC30-120-70, 12VAC30-120-90, 12VAC30-120-140, 12VAC30-120-211, 12VAC30-120-213, 12VAC30-120-225, 12VAC30-120-229, 12VAC30-120-237, 12VAC30-120-247, 12VAC30-120-700, 12VAC30-120-710, 12VAC30-120-754, 12VAC30-120-758, 12VAC30-120-762, 12VAC30-120-770, 12VAC30-120-900, 12VAC30-120-910, 12VAC30-120-920, 12VAC30-120-970, 12VAC30-120-1500, 12VAC30-120-1550; adding 12VAC30-120-2000, 12VAC30-120-2010).

Statutory Authority: §§ 32.1-324 and 32.1-325 of the Code of Virginia.

Public Hearing Information: No public hearings are scheduled.

Public Comments: Public comments may be submitted until 5 p.m. on May 1, 2009.

Agency Contact: Jason Rachel, Project Manager, Department of Medical Assistance Services, 600 East Broad Street, Richmond, VA 23219, telephone (804) 225-2984, FAX (804) 786-1680, or email jason.rachel@dmas.virginia.gov.

Basis: Section 32.1-325 of the Code of Virginia grants to the Board of Medical Assistance Services the authority to administer and amend the Plan for Medical Assistance. Section 32.1-324 of the Code of Virginia authorizes the Director of DMAS to administer and amend the Plan for Medical Assistance according to the board's requirements. The Medicaid authority as established by § 1902 (a) of the Social Security Act (42 USC § 1396a) provides governing authority for payments for services. Item 302, HHH of the 2008 Appropriation Act states:

"Contingent upon approval by the Centers for Medicare and Medicaid Services as part of the Money Follows the Person demonstration grant, the Department of Medical Assistance Services shall seek federal approval for necessary changes to home and community-based 1915(c) waivers to allow individuals transitioning from institutions to receive care in the community."

DMAS previously promulgated an emergency regulation, which is currently in effect and this proposed regulatory action continues the process to make the regulations permanent.

Purpose: This regulation is required in order to establish the regulatory structure for the successful implementation of the Money Follows the Person (MFP) demonstration. This regulation must be promulgated and the regulations must be in effect in order to receive CMS approval to begin the MFP demonstration in July 2008.

The purpose of the MFP demonstration is to strengthen Virginia’s long-term services and supports using available funds to "follow the person" by supporting individuals who choose to transition from long-term care institutions into the community. The MFP demonstration is one of the Governor’s set priorities for community integration of persons who reside in institutions. This initiative also reflects a strong collaborative approach with this administration and the legislature to coordinate and continually build upon rebalancing efforts of the Commonwealth’s long-term support system (i.e., increasing the use of home- and community-based care services (HCBS) rather than institutional long-term care services). This collaborative approach has enabled the Commonwealth over the past several years to be resourceful in balancing the state’s budget without cutting Medicaid long-term support services.

Substance: These proposed regulations reflect the needed changes to the following five HCBS waivers to support individuals who choose to transition from long-term care institutions into the community: Technology Assisted (Tech), HIV/AIDS, Elderly or Disabled with Consumer Direction (EDCD), Mental Retardation (MR) and Individual and Family Developmental Disabilities Support (IFDDS) Waivers.

The changes to these five waivers include: (i) adding the services of Personal Emergency Response System (PERS), Medication Monitoring, and Transition Services to the Tech Waiver; (ii) adding the services of Transition Coordination, Environmental Modifications (for MFP participants only), Assistive Technology (for MFP participants only), and Transition Services to the EDCD Waiver; (iii) adding the services of PERS and Medication Monitoring, Environmental Modifications (for MFP participants only), Assistive Technology (for MFP participants only), Transition Services to the HIV/AIDS Waiver; and (iv) adding Transition Services to the MR and IFDDS Waivers.

Two of these services, Transition Coordination and Transition Services, are new waiver services. Language has been developed based on CMS guidelines and a review of how other states define and utilize these services. In addition, existing waiver services (PERS, Medication Monitoring, Environmental Modifications and Assistive Technology) are being expanded to other waivers in an effort to facilitate the transition from institutional living to community living. The new services mentioned above are being added as follows: Transition Services is being added to the AIDS, EDCD, IFDDS, MR and Tech Waivers to provide one-time funding (up to $5,000 per person, per lifetime) to assist with costs incurred by individuals who are transitioning into the community. Examples of expenses include rent and utility deposits and necessary furniture. One other service, Transition Coordination, is added to the EDCD Waiver to assist institutionalized transitioning into the EDCD Waiver because a case management service currently does not exist in this program. This service will be a time-limited service and in accordance with the timeframe specified by federal law, prior to the discharge date, during and after transition; the coordination of community-based services with the case manager if case management is available; linkage to services needed prior to transition such as housing, peer counseling, budget management training, and transportation; and the provision of ongoing support for up to 12 months after discharge date. All other HCBS waivers already have a case management service that can assist institutionalized individuals with transitioning into these programs.

Finally, this regulation addresses changes to units of service for provider billing purposes. DMAS is currently being directed by the federal Medicaid authority, the Centers for Medicare and Medicaid Services (CMS), to no longer use preset units of service for Medicaid Waiver reimbursement. DMAS is working with CMS to establish time-based billing for the DMAS fee schedule for waiver services, and this is reflected in the MFP regulations.

Note: In the July 1, 2008, emergency regulation, enrollees in the AIDS waiver and the EDCD waiver were given access to assistive technology and environmental modification services without regard to whether the enrollee was part of the Money Follows the Person demonstration program. This proposed regulation makes a change in these services for these two populations. The extension of these services to all EDCD and AIDS waiver participants has led to costs in excess of the cost savings generated through the MFP demonstration program. Due to the current budget crisis in the Commonwealth of Virginia, the Governor requested DMAS to provide areas of various program services that could be reduced or discontinued in order to provide needed savings in the DMAS budget.

In response to the Governor’s budget reduction directive, DMAS is continuing access to these two services only for those AIDS and EDCD waiver enrollees who are also MFP participants. The agency responded to the Governor’s directive by limiting access to the two new services.

Issues: The primary advantage of these proposed regulations is that they allow greater support and services for individuals who choose to transition from long-term care institutions into the community. These proposed changes will improve the infrastructure for community-based, long-term support services by adding new services to five of the HCBS waiver programs.

This demonstration will support Virginia’s implementation of the Olmstead decision and will complement the efforts of the recently awarded Systems Transformation Grant that aims to improve the infrastructure for community-based long-term support services.

There are no disadvantages to the public or the Commonwealth.

This proposed regulatory action will have a positive impact on families in that individuals who are currently residing in an institution will have the option of transferring to the community and have the opportunity to live in a more family-like environment in their community.

The Department of Planning and Budget's Economic Impact Analysis:

Summary of the Proposed Regulation. The proposed regulations establish a Medicaid waiver program known as "Money Follows the Person." Nationally, this program is designed to create a system of long-term services and supports that enables available funds to “follow the person” by supporting the transition of individuals from institutional long-term care setting into community-based care settings.

Result of Analysis. The benefits likely exceed the costs for all proposed changes.

Estimated Economic Impact. Pursuant to Item 302 HHH of the 2007 Appropriation Act, these regulations establish a waiver program as part of the federal Money Follows the Person demonstration grant to allow individuals transitioning from institutions to receive care in the community. The waiver program is established under section 1915(c) of the federal Social Security Act, which encourages the states to provide home and community based services as alternatives to institutionalized care. The main purpose of the waiver program is to prevent or delay placement of persons in institutions by providing care for individuals in their homes and communities consequently avoiding high long-term care costs. States wishing to implement such waiver programs are required to demonstrate that the costs would be lower under a waiver than they would be without it.

The effect of proposed changes on the services provided is two fold. First, three new services will be provided to recipients of certain waivers. Second, existing services will be expanded to more waivers. The three new services are transition services, transition coordination services, and consumer-directed supported employment services. Transition services will pay for such costs as rent and utility deposits and furniture expenses (up to $5,000 per person per lifetime) associated with individuals transitioning into the community from institutions. Transition coordination services will cover expenses associated with coordinator expenses up to three months before and up to 12 months after leaving the institutional setting.

The three new services and expanded existing services will be added to six waivers as follows: 1) personal emergency response system (PERS) services, medication monitoring, and transitional services will be added to the technology assisted (TECH) waiver; 2) transition coordination services, environmental modification services, assistive technology services, and transition services will be added to the elderly or disabled with consumer direction (EDCD) waiver; 3) PERS services, medication monitoring services, environmental modification services, and assistive technology services, and transitional services will be added to the HIV/AIDS waiver; 4) consumer directed supported employment services will be added to the MR day support (DS) waiver; 5) consumer directed-supported employment and transitional services to the mental retardation (MR) waiver; 6) consumer directed-supported employment and transitional services to the individual and family developmental disabilities support (IFDDS) waiver.

The Department of Medical Assistance Services (DMAS) anticipates that approximately 1,041 recipients will participate in this new waiver program. The estimated fiscal cost for medical and administrative expenses is approximately $1 million in Fiscal Year (FY) 2008 and $7.2 million in FY 2009. As opposed to standard 50 percent federal match, this program will receive 75 percent federal match for services provided to individuals for a period of one year after the individual leaves the institution. Thus, the total estimated cost to the Commonwealth is about $418,821 in FY 2008 and $3.1 million in FY 2009 while the federal share is estimated to be $602,617 in FY 2008 and $4.1 million in FY 2009.

Of the total estimated expenses, approximately $968,213 is the state share of ongoing administrative expenses in FY 2009 and approximately $229,873 is the state share of one time administrative expenses that are expected in FY 2008. The administrative costs are made up of contractual services, system services and personnel costs.

As mentioned, the main goal of the new services is to increase the supports available to individuals currently living in institutional based care settings so that they can transition into community based care settings. Thus, the proposed changes are likely to have economic effects on the recipients, the state, and the health care system.

The net impact on the recipients is expected to be positive as the proposed program is voluntary. The voluntary nature of the program helps ensure that the program results in net benefits as individuals would be taking advantage of this option only if it is beneficial to them.

Also, caring for individuals in a community is known to be less expensive than caring in an institution. Thus, the additional costs associated with providing three new services and making existing new services available in additional waivers will be offset by some amount. The estimated savings are $65,232 in FY 2008 and $3.2 million in FY 2009 in state funds.

The proposed program is also expected to have some distributional economic effects among the Medicaid providers. As individuals move from institutions into communities the mix of services provided will change. Institutional care providers are expected to experience a reduction in their Medicaid reimbursements. On the other hand, providers of services that are newly offered or expanded are likely to experience an increase in their revenues from Medicaid.

Finally, it should be noted that the increased expenditures from the proposed program will result in approximately $602,617 in FY 2008 and $4.1 million in FY 2009 in additional federal funds coming into the Commonwealth which could have an expansionary economic effect on the overall economic activity, all things being equal.

Businesses and Entities Affected. Approximately 21,000 home and community based service waiver recipients will be eligible to participate in the proposed program. Of these, approximately 1,041 recipients are expected to participate. The estimated number of providers who provides services covered under the proposed regulations is approximately 2,500.

Localities Particularly Affected. The proposed regulations apply throughout the Commonwealth.

Projected Impact on Employment. The proposed changes are expected to increase the demand for labor by providers in order to provide new and expanded services to recipients. Some of this expected increase in demand may be offset by the reduced demand for labor due to possibly declining need for intuitional care services. Also, the administration of the program adds to the staffing needs of the Department of Medical Assistance Services creating a positive effect on demand for labor.

Effects on the Use and Value of Private Property. The proposed regulations are expected to increase the asset value of community based service providers as their revenues and profits are expected to be positively affected while there may be an offsetting effect on the asset value of institutional care provider businesses.

Small Businesses: Costs and Other Effects. Approximately 400 of the 2,500 community based care providers are estimated to be small businesses. However, the proposed regulations are not likely to create any significant costs for the affected small businesses.

Small Businesses: Alternative Method that Minimizes Adverse Impact. The proposed regulations are not expected to have any adverse impact on small businesses.

Real Estate Development Costs. The proposed regulations are not expected to have any effect on real estate development costs.

Legal Mandate. The Department of Planning and Budget (DPB) has analyzed the economic impact of this proposed regulation in accordance with § 2.2-4007.04 of the Administrative Process Act and Executive Order Number 36 (06). Section 2.2-4007.04 requires that such economic impact analyses include, but need not be limited to, the projected number of businesses or other entities to whom the regulation would apply, the identity of any localities and types of businesses or other entities particularly affected, the projected number of persons and employment positions to be affected, the projected costs to affected businesses or entities to implement or comply with the regulation, and the impact on the use and value of private property. Further, if the proposed regulation has adverse effect on small businesses, § 2.2-4007.04 requires that such economic impact analyses include (i) an identification and estimate of the number of small businesses subject to the regulation; (ii) the projected reporting, recordkeeping, and other administrative costs required for small businesses to comply with the regulation, including the type of professional skills necessary for preparing required reports and other documents; (iii) a statement of the probable effect of the regulation on affected small businesses; and (iv) a description of any less intrusive or less costly alternative methods of achieving the purpose of the regulation. The analysis presented above represents DPB’s best estimate of these economic impacts.

Agency's Response to the Department of Planning and Budget's Economic Impact Analysis: The agency concurs with the economic impact analysis prepared by the Department of Planning and Budget regarding the regulations concerning Money Follows the Person.

Summary:

The proposed regulations establish a Medicaid waiver program known as "Money Follows the Person." Nationally, this program is designed to create a system of long-term services and supports that enables available funds to "follow the person" by supporting the transition of individuals from institutional long-term care settings into community-based care settings.

Part II
Home and Community-Based Services for Technology Assisted Individuals

12VAC30-120-70. Definitions.

The following words and terms, when used in this part, shall have the following meanings unless the context clearly indicates otherwise:

"Activities of daily living (ADL)" means personal care tasks, i.e., bathing, dressing, toileting, transferring, bowel/bladder control, and eating/feeding. A person's degree of independence in performing these activities is a part of determining appropriate level of care and services.

"Adult" means an individual who either is 21 years of age or is past 21 years of age.

"Child" means an individual who has not yet reached his 21st birthday.

"Congregate living arrangement" means one in which two or more recipients live in the same household and may share receipt of health care services from the same provider or providers.

"Congregate private duty nursing" means nursing provided to two or more recipients in a group setting.

"DMAS" means the Department of Medical Assistance Services.

"Environmental modifications" means physical adaptations to a house, or place of residence, which shall be necessary to ensure the individual's health or safety, or enable functioning with greater independence when the adaptation is not being used to bring a substandard dwelling up to minimum habitation standards and is of direct medical or remedial benefit to the individual. Such modifications must exceed reasonable accommodation requirements of the Americans with Disabilities Act (42 USC § 1201 et seq.).

"Health care coordinator" means the registered nurse who is responsible for ensuring that the assessment, care planning, monitoring, and review activities as required by DMAS are accomplished. This individual may be either an employee of DMAS or a DMAS contractor.

"Health care coordination" means a comprehensive needs assessment, determination of cost effectiveness, and the coordination of the service efforts of multiple providers in order to avoid duplication of services and to ensure the individual's access to and receipt of needed services.

"Instrumental activities of daily living (IADL)" means social tasks, i.e., meal preparation, shopping, housekeeping, laundry, money management. A person's degree of independence in performing these activities is a part of determining appropriate level of care and services. The provision of IADLs is limited to the individual receiving services and not to family members or other persons in the household. Meal preparation is planning, preparing, cooking and serving food. Shopping is getting to and from the store, obtaining/paying for groceries and carrying them home. Housekeeping is dusting, washing dishes, making beds, vacuuming, cleaning floors, and cleaning kitchen/bathroom. Laundry is washing/drying clothes. Money management is paying bills, writing checks, handling cash transactions, and making change.

"Medical equipment and supplies" means those articles prescribed by the attending physician, generally recognized by the medical community as serving a diagnostic or therapeutic purpose and as being a medically necessary element of the home care plan. Items covered are medically necessary equipment and supplies needed to assist the individual in the home environment, without regard to whether those items are covered by the Plan.

"Objective Scoring Criteria" means the evaluative tool to be used to determine the appropriateness for an individual's admission to these services.

"Personal assistance" means care provided by an aide or respiratory therapist trained in the provision of assistance with ADLs or IADLs.

"Personal emergency response systems" or "PERS" means an electronic device and monitoring service that enable certain individuals at high risk of institutionalization to secure help in an emergency. PERS services are limited to those individuals who live alone or are alone for significant parts of the day and who have no regular caregiver for extended periods of time, and who would otherwise require extensive routine supervision. 12VAC30-120-970 provides the service description, criteria, service units and limitations, and provider requirements for this service.

"Plan of care" means the written plan of services and supplies certified by the attending physician needed by the individual to ensure optimal health and safety for an extended period of time.

"Primary caregiver" means ~~either a family member or other person who takes primary responsibility for providing assistance to the recipient or recipients for care they are unable to provide for himself or themselves~~ the primary person who consistently assumes the role of providing direct care and support of the individual to live successfully in the community without compensation for such care.

"Private duty nursing" means individual and continuous nursing care provided by a registered nurse or a licensed practical nurse under the supervision of a registered nurse.

"Providers" means those individuals or facilities registered, licensed, or certified, or both, as appropriate, and enrolled by DMAS to render services to Medicaid recipients eligible for services.

"Respite care services" means temporary skilled nursing services designed to relieve the family of the care of the technology assisted individual for a short period or periods of time (a maximum of 15 days per year or 360 hours per 12-month period). In a congregate living arrangement, this same limit shall apply per household. Respite care shall be provided in the home of the individual's family or caretaker.

"Routine respiratory therapy" means services that can be provided on a regularly scheduled basis. Therapy interventions may include: (i) monitoring of oxygen in blood; (ii) evaluation of pulmonary functioning; and (iii) maintenance of respiratory equipment.

"State Plan for Medical Assistance" or "the Plan" means the document containing the covered groups, covered services and their limitations, and provider reimbursement methodologies as provided for under Title XIX of the Social Security Act.

"Technology assisted" means any individual defined as chronically ill or severely impaired who needs both a medical device to compensate for the loss of a vital body function and substantial and ongoing skilled nursing care to avert death or further disability and whose illness or disability would, in the absence of services approved under this waiver, require admission to or prolonged stay in a hospital, nursing facility, or other medical long-term care facility.

"Transition services" means set-up expenses for individuals who are transitioning from an institution or licensed or certified provider-operated living arrangement to a living arrangement in a private residence where the person is directly responsible for his own living expenses. 12VAC30-120-2010 provides the service description, criteria, service units and limitations, and provider requirements for this service.

12VAC30-120-90. Covered services and provider requirements.

A. Private duty nursing service shall be covered for individuals enrolled in the technology assisted waiver services. This service shall be provided through either a home health agency licensed or certified by the Virginia Department of Health for Medicaid participation and with which DMAS has a contract for private duty nursing or a day care center licensed by the Virginia Department of Social Services which employs registered nurses and is enrolled by DMAS to provide congregate private duty nursing. At a minimum, the private duty nurse shall either be a licensed practical nurse or a registered nurse with a current and valid license issued by the Virginia State Board of Nursing.

1. For individuals under 21 whether living separately or congregately, during the first 30 days after the individual's admission to the waiver service, private duty nursing is covered for 24 hours per day if needed and appropriate to assist the family in adjustment to the care associated with technology assistance. After 30 days, private duty nursing shall be reimbursed for a maximum of 16 hours per 24-hour period per household. The department may grant individual exceptions, not to exceed 30 total days per annum, to these maximum limits based on documented emergency needs of the individual and the case, which continue to meet requirements for cost effectiveness of community services. Such consideration of documented emergency needs shall not include applicable additional emergency costs.

2. For individuals over the age of 21 years whether living separately or congregately, private duty nursing shall be reimbursed for a maximum of 16 hours within a 24-hour period per household provided that the cost-effectiveness standard is not exceeded for the individual's care.

3. In no instance, shall DMAS approve an ongoing plan of care or ongoing multiple plans of care per household which result in approval of more than 16 hours of private duty nursing in a 24-hour period per household.

4. Individuals who no longer meet the patient qualifications for either children or adults cited in 12VAC30-120-80 may be eligible for private duty nursing for the number of hours per 24-hour period previously approved in the plan of care not to exceed two weeks from the date the attending physician certifies the cessation of daily technology assistance.

5. The hours of private duty nursing approved for coverage shall be limited by either medical necessity or cost effectiveness or both.

6. Congregate private duty nursing shall be limited to a maximum ratio of one private duty nurse to two waiver recipients. When three or more waiver recipients share a home, ratios will be determined by the combined needs of the residents.

B. Provided that the cost-effectiveness standard shall not be exceeded, respite care service shall be covered for a maximum of 360 hours within a ~~12-month period~~ calendar year per household for individuals who are qualified for technology assisted waiver services and who have a primary caregiver, other than the provider, who requires relief from the burden of caregiving. This service shall be provided by skilled nursing staff (registered nurse or licensed practical nurse licensed to practice in the Commonwealth) under the direct supervision of a home health agency licensed or certified by the Virginia Department of Health for Medicaid participation and with which DMAS has a contract to provide private duty nursing.

C. Provided that the cost-effectiveness standard shall not be exceeded, durable medical equipment and supplies shall be provided for individuals qualified for technology services. All durable medical equipment and supplies, including nutritional supplements, which are covered under the State Plan and those medical equipment and supplies, including such items which may be defined as assistive technology and environmental modifications which are not covered under the State Plan but are medically necessary and cost effective for the individual's maintenance in the community, shall be covered. This service shall be provided by persons qualified to render it. Durable medical equipment and supplies shall be necessary to maintain the individual in the home environment.

1. Medical equipment and supplies shall be prescribed by the attending physician and included in the plan of care, and must be generally recognized as serving a diagnostic or therapeutic purpose and being medically necessary for the home care of the individual.

2. Vendors of durable medical equipment and supplies related to the technology upon which the individual is dependent shall have a contract with DMAS to provide services.

3. In addition to providing the ventilator or other respiratory-deviced support and associated equipment and supplies, the vendor providing the ventilator shall ensure the following:

a. 24 hour on-call for emergency services;

b. Technicians to make regularly scheduled maintenance visits at least every 30 days and more often if called;

c. Replacement or repair of equipment and supplies as required; and

d. Respiratory therapist registered or certified with the National Board for Respiratory Care (NBRC) on call 24 hours per day and stationed within two hours of the individual's home to facilitate immediate response. The respiratory therapist shall be available for routine respiratory therapy as well as emergency care. In the event that the Department of Health Professions implements through state law a regulation requiring registration, certification or licensure for respiratory therapists to practice in the Commonwealth, DMAS shall require all respiratory therapists providing services to this technology assisted population to be duly registered, licensed or certified.

D. Provided that the cost-effectiveness standard shall not be exceeded, personal assistance services shall be covered for individuals over the age of 21 who require some assistance with activities of daily living and instrumental activities of daily living but do not require and are able to do without skilled interventions during portions of their day or are able to self perform a portion of their ADLs or IADLs or direct their skilled care needs during the period when personal assistance would be provided. Personal assistance services shall be rendered by a provider who has a DMAS provider agreement to provide personal care, home health care, and private duty nursing. At a minimum, the staff providing personal assistance must have been certified through coursework as either personal care aides, home health aides, homemakers, personal care attendants, or registered or certified respiratory therapists.

E. Assistive technology services shall be covered for individuals enrolled in the technology assisted waiver. 12VAC30-120-762 provides the service description, criteria, service units and limitations, and provider requirements for this service.

F. Environmental modifications services shall be covered for individuals enrolled in the technology assisted waiver. 12VAC30-120-758 provides the service description, criteria, service units and limitations, and provider requirements for this service.

G. Transition services shall be covered for individuals enrolled in the technology assisted waiver. 12VAC30-120-2010 provides the service description, criteria, service units and limitations, and provider requirements for this service.

Part III
Home- and Community-Based Services for Individuals with Acquired Immunodeficiency Syndrome (AIDS) and AIDS-Related Complex

12VAC30-120-140. Definitions.

"Acquired Immune Deficiency Syndrome" or "AIDS" means the most severe manifestation of infection with the Human Immunodeficiency Virus (HIV). The Centers for Disease Control and Prevention (CDC) lists numerous opportunistic infections and cancers that, in the presence of HIV infection, constitute an AIDS diagnosis.

"Activities of daily living" or "ADL" means personal care tasks, e.g., bathing, dressing, toileting, transferring, and eating/feeding. An individual's degree of independence in performing these activities is part of determining appropriate level of care and service needs.

"Agency-directed services" means services for which the provider agency is responsible for hiring, training, supervising, and firing of the staff.

"Appeal" means the process used to challenge DMAS when it takes action or proposes to take action that will adversely affect, reduce, or terminate the receipt of benefits.

"Assistive technology" means specialized medical equipment and supplies including those devices, controls, or appliances specified in the plan of care but not available under the State Plan for Medical Assistance that enable individuals to increase their abilities to perform activities of daily living, or to perceive, control, or communicate with the environment in which they live, or that are necessary to the proper functioning of the specialized equipment. 12VAC30-120-762 provides the service description, criteria, service units and limitations, and provider requirements for this service. This service shall be available only to those AIDS waiver enrollees who are also enrolled in the Money Follows the Person demonstration program.

"Asymptomatic" means without symptoms. This term is usually used in the HIV/AIDS literature to describe an individual who has a positive reaction to one of several tests for HIV antibodies but who shows no clinical symptoms of the disease.

"Case management" means continuous reevaluation of need, monitoring of service delivery, revisions to the plan of care and coordination of services for individuals enrolled in the HIV/AIDS waiver.

"Case manager" means the person who provides services to individuals who are enrolled in the waiver that enable the continuous assessment, coordination, and monitoring of the needs of the individuals who are enrolled in the waiver. The case manager must possess a combination of work experience and relevant education that indicates that the case manager possesses the knowledge, skills, and abilities at entry level, as established by the Department of Medical Assistance Services in 12VAC30-120-170 to conduct case management.

"Cognitive impairment" means a severe deficit in mental capability that affects areas such as thought processes, problem solving, judgment, memory, or comprehension and that interferes with such things as reality orientation, ability to care for self, ability to recognize danger to self or others, or impulse control.

"Consumer-directed services" means services for which the individual or family/caregiver is responsible for hiring, training, supervising, and firing of the staff.

"Consumer-directed (CD) services facilitator" means the DMAS-enrolled provider who is responsible for supporting the individual and family/caregiver by ensuring the development and monitoring of the consumer-directed plan of care, providing employee management training, and completing ongoing review activities as required by DMAS for consumer-directed personal assistance and respite care services. The CD services facilitator cannot be the individual, the individual's case manager, direct service provider, spouse, or parent of the individual who is a minor child, or a family/caregiver who is responsible for employing the assistant.

"Current functional status" means the degree of dependency in performing activities of daily living.

"DMAS" means the Department of Medical Assistance Services.

"DMAS-96 form" means the Medicaid Funded Long-Term Care Service Authorization Form, which is a part of the preadmission screening packet and must be completed by a Level One screener on a Preadmission Screening Team. It designates the type of service the individual is eligible to receive.

"DMAS-122 form" means the Patient Information Form used by the provider and the local DSS to exchange information regarding the responsibility of a Medicaid-eligible individual to make payment toward the cost of services or other information that may affect the eligibility status of an individual.

"DSS" means the Department of Social Services.

"Designated preauthorization contractor" means the entity that has been contracted by DMAS to perform preauthorization of services.

"Enteral nutrition products" means enteral nutrition listed in the durable medical equipment manual that is prescribed by a physician to be necessary as the primary source of nutrition for the individual's health care plan (due to the prevalence of conditions of wasting, malnutrition, and dehydration) and not available through any other food program.

"Environmental modifications" means physical adaptations to a house, place of residence, primary vehicle or work site, when the work site modification exceeds reasonable accommodation requirements of the Americans with Disabilities Act (42 USC § 1201 et seq.), necessary to ensure the individuals' health and safety or enable functioning with greater independence when the adaptation is not being used to bring a substandard dwelling up to minimum habitation standards and is of direct medical or remedial benefit to individuals. 12VAC30-120-758 provides the service description, criteria, service units and limitations, and provider requirements for this service. This service shall be available only to those AIDS waiver enrollees who are also enrolled in the Money Follows the Person demonstration program.

"Fiscal agent" means an agency or organization that may be contracted by DMAS to handle employment, payroll, and tax responsibilities on behalf of the individual who is receiving consumer-directed personal assistance services and consumer-directed respite services.

"HIV-symptomatic" means having the diagnosis of HIV and having symptoms related to the HIV infection.

"Home and community-based care" means a variety of in-home and community-based services reimbursed by DMAS (case management, personal care, private duty nursing, respite care consumer-directed personal assistance, consumer-directed respite care, and enteral nutrition products) authorized under a Social Security Act § 1915 (c) AIDS Waiver designed to offer individuals an alternative to inpatient hospital or nursing facility placement. Individuals may be preauthorized to receive one or more of these services either solely or in combination, based on the documented need for the service or services to avoid inpatient hospital or nursing facility placement. DMAS, or the designated preauthorization contractor, shall give prior authorization for any Medicaid-reimbursed home and community-based care.

"Human Immunodeficiency Virus (HIV)" means the virus which leads to acquired immune deficiency syndrome (AIDS). The virus weakens the body's immune system and, in doing so, allows "opportunistic" infections and diseases to attack the body.

"Instrumental activities of daily living" or "IADL" means tasks such as meal preparation, shopping, housekeeping, laundry, and money management.

"Participating provider" means an individual, institution, facility, agency, partnership, corporation, or association that has a valid contract with DMAS and meets the standards and requirements set forth by DMAS and has a current, signed provider participation agreement with DMAS to provide Medicaid waiver services.

"Personal assistant" means a domestic servant for purposes of this part and exemption from Worker's Compensation.

"Personal services" or "PAS" means long-term maintenance or support services necessary to enable an individual to remain at or return home rather than enter an inpatient hospital or a nursing facility. Personal assistance services include care specific to the needs of a medically stable, physically disabled individual. Personal assistance services include, but are not limited to, assistance with ADLs, bowel/bladder programs, range of motion exercises, routine wound care that does not include sterile technique, and external catheter care. Supportive services are those that substitute for the absence, loss, diminution, or impairment of a physical function. When specified, supportive services may include assistance with IADLs that are incidental to the care furnished or that are essential to the health and welfare of the individual. Personal assistance services shall not include either practical or professional nursing services as defined in Chapters 30 and 34 of Title 54.1 of the Code of Virginia, as appropriate.

"Personal care agency" means a participating provider that renders services designed to offer an alternative to institutionalization by providing eligible individuals with personal care aides who provide personal care services.

"Personal care services" means long-term maintenance or support services necessary to enable the individual to remain at or return home rather than enter an inpatient hospital or a nursing facility. Personal care services are provided to individuals in the areas of activities of daily living, instrumental activities of daily living, access to the community, monitoring of self-administered medications or other medical needs, and the monitoring of health status and physical condition. It shall be provided in home and community settings to enable an individual to maintain the health status and functional skills necessary to live in the community or participate in community activities.

"Personal services" or "PAS" means long-term maintenance or support services necessary to enable an individual to remain at or return home rather than enter an inpatient hospital or a nursing facility. Personal assistance services include care specific to the needs of a medically stable, physically disabled individual. Personal assistance services include, but are not limited to, assistance with ADLs, bowel/bladder programs, range of motion exercises, routine wound care that does not include sterile technique, and external catheter care. Supportive services are those that substitute for the absence, loss, diminution, or impairment of a physical function. When specified, supportive services may include assistance with IADLs that are incidental to the care furnished or that are essential to the health and welfare of the individual. Personal assistance services shall not include either practical or professional nursing services as defined in § 32.1-162.7 of the Code of Virginia and 12VAC5-381-360, as appropriate.

"Plan of care" means the written plan developed by the provider related solely to the specific services required by the individual to ensure optimal health and safety for the delivery of home and community-based care.

"Preadmission Screening Authorization Form" means a part of the preadmission screening packet that must be filled out by a Level One screener on a preadmission screening team. It gives preadmission authorization to the provider and the individual for Medicaid services, and designates the type of service the individual is authorized to receive.

"Preadmission screening committee/team" or "PAS committee" or "PAS team" means the entity contracted with DMAS that is responsible for performing preadmission screening. For individuals in the community, this entity is a committee comprised of a nurse from the local health department and a social worker from the local department of social services. For individuals in an acute care facility who require preadmission screening, this entity is a team of nursing and social work staff. A physician must be a member of both the local committee and the acute care team.

"Preadmission screening" or "PAS" means the process to (i) evaluate the functional, nursing, and social needs of individuals referred for preadmission screening; (ii) analyze what specific services the individuals need; (iii) evaluate whether a service or a combination of existing community services are available to meet the individuals' needs; and (iv) develop the service plan.

"Private duty nursing" means individual and continuous nursing care provided by a registered nurse or a licensed practical nurse under the supervision of a registered nurse.

"Program" means the Virginia Medicaid program as administered by the Department of Medical Assistance Services.

"Reconsideration" means the supervisory review of information submitted to DMAS or the designated preauthorization contractor in the event of a disagreement of an initial decision that is related to a denial in the reimbursement of services already rendered by a provider.

"Respite care" means services specifically designed to provide a temporary, periodic relief to the primary caregiver of an individual who is incapacitated or dependent due to AIDS. Respite care services include assistance with personal hygiene, nutritional support and environmental maintenance authorized as either episodic, temporary relief or as a routine periodic relief of the caregiver.

Consumer-directed respite care services may only be offered to individuals who have an unpaid primary caregiver who requires temporary relief to avoid institutionalization of the individual. Respite services are designed to focus on the need of the unpaid caregiver for temporary relief and to help prevent the breakdown of the unpaid caregiver due to the physical burden and emotional stress of providing continuous support and care to the individual.

"Respite care agency" means a participating provider that renders services designed to prevent or reduce inappropriate institutional care by providing eligible individuals with respite care aides who provide respite care services.

"Service plan" means the written plan of services certified by the PAS team physician as needed by the individual to ensure optimal health and safety for the delivery of home and community-based care.

"State Plan for Medical Assistance" or "the Plan" or "the State Plan" means the document containing the covered groups, covered services and their limitations, and provider reimbursement methodologies as provided for under Title XIX of the Social Security Act.

"Uniform Assessment Instrument" or "UAI" means the standardized multidimensional questionnaire that assesses an individual's social, physical health, mental health, and functional abilities.

Part IV
Mental Retardation Waiver

Article 1
Definitions and General Requirements

12VAC30-120-211. Definitions.

"Activities of daily living" or "ADL" means personal care tasks, e.g., bathing, dressing, toileting, transferring, and eating/feeding. An individual's degree of independence in performing these activities is a part of determining appropriate level of care and service needs.

"Appeal" means the process used to challenge adverse actions regarding services, benefits and reimbursement provided by Medicaid pursuant to 12VAC30-110 and 12VAC30-20-500 through 12VAC30-20-560.

"Assistive technology" or "AT" means specialized medical equipment and supplies to include devices, controls, or appliances, specified in the consumer service plan but not available under the State Plan for Medical Assistance, which enable individuals to increase their abilities to perform activities of daily living, or to perceive, control, or communicate with the environment in which they live. This service also includes items necessary for life support, ancillary supplies and equipment necessary to the proper functioning of such items, and durable and nondurable medical equipment not available under the Medicaid State Plan.

"Behavioral health authority" or "BHA" means the local agency, established by a city or county under Chapter 1 (§ 37.2-100) of Title 37.2 of the Code of Virginia that plans, provides, and evaluates mental health, mental retardation, and substance abuse services in the locality that it serves.

"CMS" means the Centers for Medicare and Medicaid Services, which is the unit of the federal Department of Health and Human Services that administers the Medicare and Medicaid programs.

"Case management" means the assessing and planning of services; linking the individual to services and supports identified in the consumer service plan; assisting the individual directly for the purpose of locating, developing or obtaining needed services and resources; coordinating services and service planning with other agencies and providers involved with the individual; enhancing community integration; making collateral contacts to promote the implementation of the consumer service plan and community integration; monitoring to assess ongoing progress and ensuring services are delivered; and education and counseling that guides the individual and develops a supportive relationship that promotes the consumer service plan.

"Case manager" means the individual on behalf of the community services board or behavioral health authority possessing a combination of mental retardation work experience and relevant education that indicates that the individual possesses the knowledge, skills and abilities as established by the Department of Medical Assistance Services in 12VAC30-50-450.

"Community services board" or "CSB" means the local agency, established by a city or county or combination of counties or cities under Chapter 5 (§ 37.2-500 et seq.) of Title 37.2 of the Code of Virginia, that plans, provides, and evaluates mental health, mental retardation, and substance abuse services in the jurisdiction or jurisdictions it serves.

"Companion" means, for the purpose of these regulations, a person who provides companion services.

"Companion services" means nonmedical care, support, and socialization, provided to an adult (age 18 and over). The provision of companion services does not entail hands-on care. It is provided in accordance with a therapeutic goal in the consumer service plan and is not purely diversional in nature.

"Comprehensive assessment" means the gathering of relevant social, psychological, medical and level of care information by the case manager and is used as a basis for the development of the consumer service plan.

"Consumer-directed model" means services for which the individual and the individual's family/caregiver, as appropriate, is responsible for hiring, training, supervising, and firing of the staff.

"Consumer-directed (CD) services facilitator" means the DMAS-enrolled provider who is responsible for supporting the individual and the individual's family/caregiver, as appropriate, by ensuring the development and monitoring of the Consumer-Directed Services Individual Service Plan, providing employee management training, and completing ongoing review activities as required by DMAS for consumer-directed companion, personal assistance, and respite services.

"Consumer service plan" or "CSP" means documents addressing needs in all life areas of individuals who receive mental retardation waiver services, and is comprised of individual service plans as dictated by the individual's health care and support needs. The individual service plans are incorporated in the CSP by the case manager.

"Crisis stabilization" means direct intervention to persons with mental retardation who are experiencing serious psychiatric or behavioral challenges that jeopardize their current community living situation, by providing temporary intensive services and supports that avert emergency psychiatric hospitalization or institutional placement or prevent other out-of-home placement. This service shall be designed to stabilize the individual and strengthen the current living situation so the individual can be supported in the community during and beyond the crisis period.

"DMAS" means the Department of Medical Assistance Services.

"DMAS staff" means persons employed by the Department of Medical Assistance Services.

"DMHMRSAS" means the Department of Mental Health, Mental Retardation and Substance Abuse Services.

"DMHMRSAS staff" means persons employed by the Department of Mental Health, Mental Retardation and Substance Abuse Services.

"DRS" means the Department of Rehabilitative Services.

"DSS" means the Department of Social Services.

"Day support" means training, assistance, and specialized supervision in the acquisition, retention, or improvement of self-help, socialization, and adaptive skills, which typically take place outside the home in which the individual resides. Day support services shall focus on enabling the individual to attain or maintain his maximum functional level.

"Developmental risk" means the presence before, during or after an individual's birth of conditions typically identified as related to the occurrence of a developmental disability and for which no specific developmental disability is identifiable through existing diagnostic and evaluative criteria.

"Direct marketing" means either (i) conducting directly or indirectly door-to-door, telephonic or other "cold call" marketing of services at residences and provider sites; (ii) mailing directly; (iii) paying "finders' fees"; (iv) offering financial incentives, rewards, gifts or special opportunities to eligible individuals and the individual's family/caregivers, as appropriate, as inducements to use the providers' services; (v) continuous, periodic marketing activities to the same prospective individual and the individual's family/caregiver, as appropriate, for example, monthly, quarterly, or annual giveaways as inducements to use the providers' services; or (vi) engaging in marketing activities that offer potential customers rebates or discounts in conjunction with the use of the providers' services or other benefits as a means of influencing the individual's and the individual's family/caregiver's, as appropriate, use of the providers' services.

"Enroll" means that the individual has been determined by the case manager to meet the eligibility requirements for the MR Waiver and DMHMRSAS has verified the availability of a MR Waiver slot for that individual, and DSS has determined the individual's Medicaid eligibility for home and community-based services.

"Entrepreneurial model" means a small business employing eight or fewer individuals who have disabilities on a shift and usually involves interactions with the public and with coworkers without disabilities.

"Environmental modifications" means physical adaptations to a house, place of residence, primary vehicle or work site (when the work site modification exceeds reasonable accommodation requirements of the Americans with Disabilities Act) that are necessary to ensure the individual's health and safety or enable functioning with greater independence when the adaptation is not being used to bring a substandard dwelling up to minimum habitation standards and is of direct medical or remedial benefit to the individual.

"EPSDT" means the Early Periodic Screening, Diagnosis and Treatment program administered by DMAS for children under the age of 21 according to federal guidelines that prescribe preventive and treatment services for Medicaid-eligible children as defined in 12VAC30-50-130.

"Fiscal agent" means an agency or organization within DMAS or contracted by DMAS to handle employment, payroll, and tax responsibilities on behalf of individuals who are receiving consumer-directed personal assistance, respite, and companion services.

"Health Planning Region" or "HPR" means the federally designated geographical area within which health care needs assessment and planning takes place, and within which health care resource development is reviewed.

"Health, welfare, and safety standard" means that an individual's right to receive a waiver service is dependent on a finding that the individual needs the service, based on appropriate assessment criteria and a written individual service plan and that services can safely be provided in the community.

"Home- and community-based waiver services" or "waiver services" means the range of community support services approved by the Centers for Medicare and Medicaid Services (CMS) pursuant to § 1915(c) of the Social Security Act to be offered to persons with mental retardation and children younger than age six who are at developmental risk who would otherwise require the level of care provided in an Intermediate Care Facility for the Mentally Retarded (ICF/MR.)

"ICF/MR" means a facility or distinct part of a facility certified by the Virginia Department of Health, as meeting the federal certification regulations for an Intermediate Care Facility for the Mentally Retarded and persons with related conditions. These facilities must address the total needs of the residents, which include physical, intellectual, social, emotional, and habilitation, and must provide active treatment.

"Individual" means the person receiving the services or evaluations established in these regulations.

"Individual service plan" or "ISP" means the service plan related solely to the specific waiver service. Multiple ISPs help to comprise the overall consumer service plan.

"Instrumental activities of daily living" or "IADLs" means tasks such as meal preparation, shopping, housekeeping, laundry, and money management.

"ISAR" means the Individual Service Authorization Request and is the DMAS form used by providers to request prior authorization for MR waiver services.

"Mental retardation" ~~or "MR"~~ means ~~mental retardation~~ a disability as defined by the American Association on ~~Mental Retardation (AAMR)~~ Intellectual and Developmental Disabilities (AAIDD).

"Participating provider" means an entity that meets the standards and requirements set forth by DMAS and DMHMRSAS, and has a current, signed provider participation agreement with DMAS.

"Pend" means delaying the consideration of an individual's request for services until all required information is received by DMHMRSAS.

"Personal assistance services" means assistance with activities of daily living, instrumental activities of daily living, access to the community, self-administration of medication, or other medical needs, and the monitoring of health status and physical condition.

"Personal assistant" means a person who provides personal assistance services.

"Personal emergency response system (PERS)" is an electronic device that enables certain individuals at high risk of institutionalization to secure help in an emergency. PERS services are limited to those individuals who live alone or are alone for significant parts of the day and who have no regular caregiver for extended periods of time, and who would otherwise require extensive routine supervision.

"Preauthorized" means that an individual service has been approved by DMHMRSAS prior to commencement of the service by the service provider for initiation and reimbursement of services.

"Prevocational services" means services aimed at preparing an individual for paid or unpaid employment. The services do not include activities that are specifically job-task oriented but focus on concepts such as accepting supervision, attendance, task completion, problem solving and safety. Compensation, if provided, is less than 50% of the minimum wage.

"Primary caregiver" means the primary person who consistently assumes the role of providing direct care and support of the individual to live successfully in the community without compensation for providing such care.

"Qualified mental retardation professional" or "QMRP" means a professional possessing: (i) at least one year of documented experience working directly with individuals who have mental retardation or developmental disabilities; (ii) a bachelor's degree in a human services field including, but not limited to, sociology, social work, special education, rehabilitation counseling, or psychology; and (iii) the required Virginia or national license, registration, or certification in accordance with his profession, if applicable.

"Residential support services" means support provided in the individual's home by a DMHMRSAS-licensed residential provider or a DSS-approved provider of adult foster care services. This service is one in which training, assistance, and supervision is routinely provided to enable individuals to maintain or improve their health, to develop skills in activities of daily living and safety in the use of community resources, to adapt their behavior to community and home-like environments, to develop relationships, and participate as citizens in the community.

"Respite services" means services provided to individuals who are unable to care for themselves, furnished on a short-term basis because of the absence or need for relief of those unpaid persons normally providing the care.

"Services facilitator" means the DMAS-enrolled provider who is responsible for supporting the individual and the individual's family/caregiver, as appropriate, by ensuring the development and monitoring of the Consumer-Directed Services Individual Service Plan, providing employee management training, and completing ongoing review activities as required by DMAS for services with an option of a consumer-directed model. These services include companion, personal assistance, and respite services.

"Skilled nursing services" means services that are ordered by a physician and required to prevent institutionalization, that are not otherwise available under the State Plan for Medical Assistance and that are provided by a licensed registered professional nurse, or by a licensed practical nurse under the supervision of a licensed registered professional nurse, in each case who is licensed to practice in the Commonwealth.

"Slot" means an opening or vacancy of waiver services for an individual.

"State Plan for Medical Assistance" or "Plan" means the Commonwealth's legal document approved by CMS identifying the covered groups, covered services and their limitations, and provider reimbursement methodologies as provided for under Title XIX of the Social Security Act.

"Supported employment" means work in settings in which persons without disabilities are typically employed. It includes training in specific skills related to paid employment and the provision of ongoing or intermittent assistance and specialized supervision to enable an individual with mental retardation to maintain paid employment.

"Support plan" means the report of recommendations resulting from a therapeutic consultation.

"Therapeutic consultation" means activities to assist the individual and the individual's family/caregiver, as appropriate, staff of residential support, day support, and any other providers in implementing an individual service plan.

12VAC30-120-213. General coverage and requirements for MR waiver services.

A. Waiver service populations. Home- and community-based waiver services shall be available through a § 1915(c) of the Social Security Act waiver for the following individuals who have been determined to require the level of care provided in an ICF/MR.

1. Individuals with mental retardation; or

2. Individuals younger than the age of six who are at developmental risk. At the age of six years, these individuals must have a diagnosis of mental retardation to continue to receive home and community-based waiver services specifically under this program. Mental Retardation (MR) Waiver recipients who attain the age of six years of age, who are determined to not have a diagnosis of mental retardation, and who meet all IFDDS Waiver eligibility criteria, shall be eligible for transfer to the IFDDS Waiver effective up to their seventh birthday. Psychological evaluations (or standardized developmental assessment for children under six years of age) confirming diagnoses must be completed less than one year prior to transferring to the IFDDS Waiver. These recipients transferring from the MR Waiver will automatically be assigned a slot in the IFDDS Waiver, subject to the approval of the slot by CMS. The case manager will submit the current Level of Functioning Survey, CSP and psychological evaluation (or standardized developmental assessment for children under six years of age) to DMAS for review. Upon determination by DMAS that the individual is appropriate for transfer to the IFDDS Waiver, the case manager will provide the family with a list of IFDDS Waiver case managers. The case manager will work with the selected IFDDS Waiver case manager to determine an appropriate transfer date and submit a DMAS-122 to the local DSS. The MR Waiver slot will be held by the CSB until the child has successfully transitioned to the IFDDS Waiver. Once the child has successfully transitioned, the CSB will reallocate the slot.

B. Covered services.

1. Covered services shall include: residential support services, day support, supported employment, personal assistance (both consumer-directed and agency-directed), respite services (both consumer-directed and agency-directed), assistive technology, environmental modifications, skilled nursing services, therapeutic consultation, crisis stabilization, prevocational services, personal emergency response systems (PERS), ~~and~~ companion services (both consumer-directed and agency-directed.), and transition services.

2. These services shall be appropriate and necessary to maintain the individual in the community. Federal waiver requirements provide that the average per capita fiscal year expenditures under the waiver must not exceed the average per capita expenditures for the level of care provided in ~~Intermediate Care Facilities for the Mentally Retarded~~ an ICF/MR under the State Plan that would have been provided had the waiver not been granted.

3. Waiver services shall not be furnished to individuals who are inpatients of a hospital, nursing facility, ICF/MR, or inpatient rehabilitation facility. Individuals with mental retardation who are inpatients of these facilities may receive case management services as described in 12VAC30-50-450. The case manager may recommend waiver services that would promote exiting from the institutional placement; however, these services shall not be provided until the individual has exited the institution.

4. Under this § 1915(c) waiver, DMAS waives § 1902(a)(10)(B) of the Social Security Act related to comparability.

C. Requests for increased services. All requests for increased waiver services by MR Waiver recipients will be reviewed under the health, welfare, and safety standard. This standard assures that an individual's right to receive a waiver service is dependent on a finding that the individual needs the service, based on appropriate assessment criteria and a written ISP and that services can safely be provided in the community.

D. Appeals. Individual appeals shall be considered pursuant to 12VAC30-110-10 through 12VAC30-110-380. Provider appeals shall be considered pursuant to 12VAC30-10-1000 and 12VAC30-20-500 through 12VAC30-20-560.

E. Urgent criteria. The CSB/BHA will determine, from among the individuals included in the urgent category, who should be served first, based on the needs of the individual at the time a slot becomes available and not on any predetermined numerical or chronological order.

1. The urgent category will be assigned when the individual is in need of services because he is determined to meet one of the criteria established in subdivision 2 of this subsection and services are needed within 30 days. Assignment to the urgent category may be requested by the individual, his legally responsible relative, or primary caregiver. The urgent category may be assigned only when the individual, the individual's spouse, or the parent of an individual who is a minor child would accept the requested service if it were offered. Only after all individuals in the Commonwealth who meet the urgent criteria have been served can individuals in the nonurgent category be served. Individuals in the nonurgent category are those who meet the diagnostic and functional criteria for the waiver, including the need for services within 30 days, but who do not meet the urgent criteria. In the event that a CSB/BHA has a vacant slot and does not have an individual who meets the urgent criteria, the slot can be held by the CSB/BHA for 90 days from the date it is identified as vacant, in case someone in an urgent situation is identified. If no one meeting the urgent criteria is identified within 90 days, the slot will be made available for allocation to another CSB/BHA in the Health Planning Region (HPR). If there is no urgent need at the time that the HPR is to make a regional reallocation of a waiver slot, the HPR shall notify DMHMRSAS. DMHMRSAS shall have the authority to reallocate said slot to another HPR or CSB/BHA where there is unmet urgent need. Said authority must be exercised, if at all, within 30 days from receiving such notice.

2. Satisfaction of one or more of the following criteria shall indicate that the individual should be placed on the urgent need of waiver services list:

a. Both primary caregivers are 55 years of age or older, or if there is one primary caregiver, that primary caregiver is 55 years of age or older;

b. The individual is living with a primary caregiver, who is providing the service voluntarily and without pay, and the primary caregiver indicates that he can no longer care for the individual with mental retardation;

c. There is a clear risk of abuse, neglect, or exploitation;

d. A primary caregiver has a chronic or long-term physical or psychiatric condition or conditions which significantly limits the abilities of the primary caregiver or caregivers to care for the individual with mental retardation;

e. Individual is aging out of publicly funded residential placement or otherwise becoming homeless (exclusive of children who are graduating from high school); or

f. The individual with mental retardation lives with the primary caregiver and there is a risk to the health or safety of the individual, primary caregiver, or other individual living in the home due to either of the following conditions:

(1) The individual's behavior or behaviors present a risk to himself or others which cannot be effectively managed by the primary caregiver even with generic or specialized support arranged or provided by the CSB/BHA; or

(2) There are physical care needs (such as lifting or bathing) or medical needs that cannot be managed by the primary caregiver even with generic or specialized supports arranged or provided by the CSB/BHA.

F. Reevaluation of service need and utilization review. Case managers shall complete reviews and updates of the CSP and level of care as specified in 12VAC30-120-215 D. Providers shall meet the documentation requirements as specified in 12VAC30-120-217 B.

12VAC30-120-225. Consumer-directed model of service delivery.

A. Criteria.

1. The MR Waiver has three services, companion, personal assistance, and respite, ~~which~~ that may be provided through a consumer-directed model.

2. Individuals who choose the consumer-directed model must have the capability to hire ~~and~~, train, and fire their own personal ~~assistants~~ assistant or ~~companions~~ companion and supervise the assistant's or companion's performance. If an individual is unable to direct his own care or is under 18 years of age, a family/caregiver may serve as the employer on behalf of the individual.

3. The individual, or if the individual is unable, then family/caregiver, shall be the employer in this service, and therefore shall be responsible for hiring, training, supervising, and firing assistants and companions. Specific employer duties include checking of references of personal assistants/companions, determining that personal assistants/companions meet basic qualifications, training assistants/companions, supervising the assistant's/companion's performance, and submitting timesheets to the fiscal agent on a consistent and timely basis. The individual and the individual's family/caregiver, as appropriate, must have a back-up plan in case the assistant/companion does not show up for work as expected or terminates employment without prior notice.

4. Individuals choosing consumer-directed models of service delivery must receive support from a CD services facilitator. This is not a separate waiver service, but is required in conjunction with consumer-directed personal assistance, respite, or companion services. The CD services facilitator will be responsible for assessing the individual's particular needs for a requested CD service, assisting in the development of the ISP, providing training to the individual and the individual's family/caregiver, as appropriate, on his responsibilities as an employer, and providing ongoing support of the consumer-directed models of services. The CD services facilitator cannot be the individual, the individual's case manager, direct service provider, spouse, or parent of the individual who is a minor child, or a family/caregiver employing the assistant/companion. If an individual enrolled in consumer-directed services has a lapse in services facilitator for more than 90 consecutive days, the case manager must notify DMHMRSAS and the consumer-directed services will be discontinued.

5. DMAS shall provide for fiscal agent services for consumer-directed personal assistance services, consumer-directed companion services, and consumer-directed respite services. The fiscal agent will be reimbursed by DMAS to perform certain tasks as an agent for the individual/employer who is receiving consumer-directed services. The fiscal agent will handle the responsibilities of employment taxes for the individual. The fiscal agent will seek and obtain all necessary authorizations and approvals of the Internal Revenue Services in order to fulfill all of these duties.

B. Provider qualifications. In addition to meeting the general conditions and requirements for home- and community-based services participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, the CD services facilitator must meet the following qualifications:

1. To be enrolled as a Medicaid CD services facilitator and maintain provider status, the CD services facilitator shall have sufficient resources to perform the required activities. In addition, the CD services facilitator must have the ability to maintain and retain business and professional records sufficient to document fully and accurately the nature, scope, and details of the services provided.

2. It is preferred that the CD services facilitator possess a minimum of an undergraduate degree in a human services field or be a registered nurse currently licensed to practice in the Commonwealth. In addition, it is preferable that the CD services facilitator have two years of satisfactory experience in a human service field working with persons with mental retardation. The facilitator must possess a combination of work experience and relevant education that indicates possession of the following knowledge, skills, and abilities. Such knowledge, skills, and abilities must be documented on the provider's application form, found in supporting documentation, or be observed during a job interview. Observations during the interview must be documented. The knowledge, skills, and abilities include:

a. Knowledge of:

(1) Types of functional limitations and health problems that may occur in persons with mental retardation, or persons with other disabilities, as well as strategies to reduce limitations and health problems;

(2) Physical assistance that may be required by people with mental retardation, such as transferring, bathing techniques, bowel and bladder care, and the approximate time those activities normally take;

(3) Equipment and environmental modifications that may be required by people with mental retardation that reduce the need for human help and improve safety;

(4) Various long-term care program requirements, including nursing home and ICF/MR placement criteria, Medicaid waiver services, and other federal, state, and local resources that provide personal assistance, respite, and companion services;

(5) MR waiver requirements, as well as the administrative duties for which the services facilitator will be responsible;

(6) Conducting assessments (including environmental, psychosocial, health, and functional factors) and their uses in service planning;

(7) Interviewing techniques;

(8) The individual's right to make decisions about, direct the provisions of, and control his consumer-directed personal assistance, companion and respite services, including hiring, training, managing, approving time sheets, and firing an assistant/companion;

(9) The principles of human behavior and interpersonal relationships; and

(10) General principles of record documentation.

b. Skills in:

(1) Negotiating with individuals and the individual's family/caregivers, as appropriate, and service providers;

(2) Assessing, supporting, observing, recording, and reporting behaviors;

(3) Identifying, developing, or providing services to individuals with mental retardation; and

(4) Identifying services within the established services system to meet the individual's needs.

c. Abilities to:

(1) Report findings of the assessment or onsite visit, either in writing or an alternative format for individuals who have visual impairments;

(2) Demonstrate a positive regard for individuals and their families;

(3) Be persistent and remain objective;

(4) Work independently, performing position duties under general supervision;

(5) Communicate effectively, orally and in writing; and

(6) Develop a rapport and communicate with persons of diverse cultural backgrounds.

3. If the CD services facilitator is not a RN, the CD services facilitator must inform the primary health care provider that services are being provided and request skilled nursing or other consultation as needed.

4. Initiation of services and service monitoring.

a. For consumer-directed services, the CD services facilitator must make an initial comprehensive home visit to collaborate with the individual and the individual's family/caregiver, as appropriate, to identify the needs, assist in the development of the ISP with the individual and the individual's family/caregiver, as appropriate, and provide employee management training. The initial comprehensive home visit is done only once upon the individual's entry into the consumer-directed model of service regardless of the number or type of consumer-directed services that an individual chooses to receive. If an individual changes CD services facilitators, the new CD services facilitator must complete a reassessment visit in lieu of a comprehensive visit.

b. After the initial visit, the CD services facilitator will continue to monitor the companion, or personal assistant ISP quarterly and on an as-needed basis. The CD services facilitator will review the utilization of consumer-directed respite services, either every six months or upon the use of 300 respite services hours, whichever comes first.

c. A face-to-face meeting with the individual must be conducted at least every six months to reassess the individual's needs and to ensure appropriateness of any CD services received by the individual.

5. During visits with the individual, the CD services facilitator must observe, evaluate, and consult with the individual and the individual's family/caregiver, as appropriate, and document the adequacy and appropriateness of consumer-directed services with regard to the individual's current functioning and cognitive status, medical needs, and social needs.

6. The CD services facilitator must be available to the individual by telephone.

7. The CD services facilitator must submit a criminal record check pertaining to the assistant/companion on behalf of the individual and report findings of the criminal record check to the individual and the individual's family/caregiver, as appropriate, and the program's fiscal agent. If the individual is a minor, the assistant/companion must also be screened through the DSS Child Protective Services Central Registry. Assistants/companions will not be reimbursed for services provided to the individual effective the date that the criminal record check confirms an assistant/companion has been found to have been convicted of a crime as described in § 37.2-416 of the Code of Virginia or if the assistant/companion has a confirmed record on the DSS Child Protective Services Central Registry. The criminal record check and DSS Child Protective Services Central Registry finding must be requested by the CD services facilitator within 15 calendar days of employment. The services facilitator must maintain evidence that a criminal record check was obtained and must make such evidence available for DMAS review.

8. The CD services facilitator shall review timesheets during the face-to-face visits or more often as needed to ensure that the number of ISP-approved hours is not exceeded. If discrepancies are identified, the CD services facilitator must discuss these with the individual to resolve discrepancies and must notify the fiscal agent.

9. The CD services facilitator must maintain a list of persons who are available to provide consumer-directed personal assistance, consumer-directed companion, or consumer-directed respite services.

10. The CD services facilitator must maintain records of each individual as described in 12VAC30-120-217, 12VAC30-120-223, and 12VAC30-120-233.

11. Upon the individual's request, the CD services facilitator shall provide the individual and the individual's family/caregiver, as appropriate, with a list of persons who can provide temporary assistance until the assistant/companion returns or the individual is able to select and hire a new personal assistant/companion. If an individual is consistently unable to hire and retain the employment of an assistant/companion to provide consumer-directed personal assistance, companion, or respite services, the CD services facilitator will make arrangements with the case manager to have the services transferred to an agency-directed services provider or to discuss with the individual and the individual's family/caregiver, as appropriate, other service options.

12VAC30-120-229. Day support services.

A. Service description. Day support services shall include a variety of training, assistance, support, and specialized supervision for the acquisition, retention, or improvement of self-help, socialization, and adaptive skills. These services are typically offered in a nonresidential setting that allows peer interactions and community and social integration.

B. Criteria. For day support services, individuals must demonstrate the need for functional training, assistance, and specialized supervision offered primarily in settings other than the individual's own residence that allows an opportunity for being productive and contributing members of communities.

C. Types of day support. The amount and type of day support included in the individual's service plan is determined according to the services required for that individual. There are two types of day support: center-based, which is provided primarily at one location/building, or noncenter-based, which is provided primarily in community settings. Both types of day support may be provided at either intensive or regular levels.

D. Levels of day support. There are two levels of day support, intensive and regular. To be authorized at the intensive level, the individual must meet at least one of the following criteria: (i) requires physical assistance to meet the basic personal care needs (toileting, feeding, etc); (ii) has extensive disability-related difficulties and requires additional, ongoing support to fully participate in programming and to accomplish his service goals; or (iii) requires extensive constant supervision to reduce or eliminate behaviors that preclude full participation in the program. In this case, written behavioral objectives are required to address behaviors such as, but not limited to, withdrawal, self-injury, aggression, or self-stimulation.

E. Service units and service limitations. Day support services are billed ~~in units. Units shall be defined as:~~ according to the DMAS fee schedule.

~~1. One unit is 1 to 3.99 hours of service a day.~~

~~2. Two units are 4 to 6.99 hours of service a day.~~

~~3. Three units are 7 or more hours of service a day.~~

Day support cannot be regularly or temporarily provided in an individual's home or other residential setting (e.g., due to inclement weather or individual illness) without prior written approval from DMHMRSAS. Noncenter-based day support services must be separate and distinguishable from either residential support services or personal assistance services. There must be separate supporting documentation for each service and each must be clearly differentiated in documentation and corresponding billing. The supporting documentation must provide an estimate of the amount of day support required by the individual. Service providers are reimbursed only for the amount and level of day support services included in the individual's approved ISP based on the setting, intensity, and duration of the service to be delivered. This service shall be limited to 780 units, or its equivalent under the DMAS fee schedule, per CSP year. If this service is used in combination with prevocational and/or group supported employment services, the combined total units for these services cannot exceed 780 units, or its equivalent under the DMAS fee schedule, per CSP year.

F. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, day support providers need to meet additional requirements.

1. The provider of day support services must be licensed by DMHMRSAS as a provider of day support services.

2. In addition to licensing requirements, day support staff must also have training in the characteristics of mental retardation and appropriate interventions, training strategies, and support methods for persons with mental retardation and functional limitations. All providers of day support services must pass an objective, standardized test of skills, knowledge, and abilities approved by DMHMRSAS and administered according to DMHMRSAS' defined procedures.

3. Required documentation in the individual's record. The provider must maintain records of each individual receiving services. At a minimum, these records must contain the following:

a. A functional assessment conducted by the provider to evaluate each individual in the day support environment and community settings.

b. An ISP that contains, at a minimum, the following elements:

(1) The individual's strengths, desired outcomes, required or desired supports and training needs;

(2) The individual's goals and measurable objectives to meet the above identified outcomes;

(3) Services to be rendered and the frequency of services to accomplish the above goals and objectives;

(4) A timetable for the accomplishment of the individual's goals and objectives as appropriate;

(5) The estimated duration of the individual's needs for services; and

(6) The provider staff responsible for the overall coordination and integration of the services specified in the ISP.

c. Documentation confirming the individual's attendance and amount of time in services and specific information regarding the individual's response to various settings and supports as agreed to in the ISP objectives. An attendance log or similar document must be maintained that indicates the date, type of services rendered, and the number of hours and units, or their equivalent under the DMAS fee schedule, provided.

d. Documentation indicating whether the services were center-based or noncenter-based.

e. Documentation regarding transportation. In instances where day support staff are required to ride with the individual to and from day support, the day support staff time can be billed as day support, provided that the billing for this time does not exceed 25% of the total time spent in the day support activity for that day. Documentation must be maintained to verify that billing for day support staff coverage during transportation does not exceed 25% of the total time spent in the day support for that day.

f. If intensive day support services are requested, documentation indicating the specific supports and the reasons they are needed. For ongoing intensive day support services, there must be clear documentation of the ongoing needs and associated staff supports.

g. Documentation indicating that the ISP goals, objectives, and activities have been reviewed by the provider quarterly, annually, and more often as needed. The results of the review must be submitted to the case manager. For the annual review and in cases where the ISP is modified, the ISP must be reviewed with the individual and the individual's family/caregiver, as appropriate.

h. Copy of the most recently completed DMAS-122 form. The provider must clearly document efforts to obtain the completed DMAS-122 form from the case manager.

12VAC30-120-237. Prevocational services.

A. Service description. Prevocational services are services aimed at preparing an individual for paid or unpaid employment, but are not job-task oriented. Prevocational services are provided to individuals who are not expected to be able to join the general work force without supports or to participate in a transitional sheltered workshop within one year of beginning waiver services, (excluding supported employment programs). Activities included in this service are not primarily directed at teaching specific job skills but at underlying habilitative goals such as accepting supervision, attendance, task completion, problem solving, and safety.

B. Criteria. In order to qualify for prevocational services, the individual shall have a demonstrated need for support in skills that are aimed toward preparation of paid employment that may be offered in a variety of community settings.

C. Service units and service limitations. Billing is ~~for one unit of service~~ in accordance with the DMAS fee schedule.

~~1. Units shall be defined as:~~

~~a. One unit is 1 to 3.99 hours of service a day.~~

~~b. Two units are 4 to 6.99 hours of service a day.~~

~~c. Three units are 7 or more hours of service a day.~~

1. This service is limited to 780 units, or its equivalent under the DMAS fee schedule, per CSP year. If this service is used in combination with day support and /or group-supported employment services, the combined total units for these services cannot exceed 780 units, or its equivalent under the DMAS fee schedule, per CSP year.

2. Prevocational services can be provided in center- or noncenter-based settings. Center-based means services are provided primarily at one location/building and noncenter-based means services are provided primarily in community settings. Both center-based or noncenter-based prevocational services may be provided at either regular or intensive levels.

3. Prevocational services can be provided at either a regular or intensive level. For prevocational services to be authorized at the intensive level, the individual must meet at least one of the following criteria: (i) require physical assistance to meet the basic personal care needs (toileting, feeding, etc); (ii) have extensive disability-related difficulties and require additional, ongoing support to fully participate in programming and to accomplish service goals; or (iii) require extensive constant supervision to reduce or eliminate behaviors that preclude full participation in the program. In this case, written behavioral objectives are required to address behaviors such as, but not limited to, withdrawal, self-injury, aggression, or self-stimulation.

4. There must be documentation regarding whether prevocational services are available in vocational rehabilitation agencies through § 110 of the Rehabilitation Act of 1973 or through the Individuals with Disabilities Education Act (IDEA). If the individual is not eligible for services through the IDEA, documentation is required only for lack of DRS funding. When services are provided through these sources, the ISP shall not authorize them as a waiver expenditure.

5. Prevocational services can only be provided when the individual's compensation is less than 50% of the minimum wage.

D. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based services participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, prevocational providers must also meet the following qualifications:

1. The provider of prevocational services must be a vendor of extended employment services, long-term employment services, or supported employment services for DRS, or be licensed by DMHMRSAS as a provider of day support services.

2. Providers must ensure and document that persons providing prevocational services have training in the characteristics of mental retardation and appropriate interventions, training strategies, and support methods for persons with mental retardation and functional limitations. All providers of prevocational services must pass an objective, standardized test of skills, knowledge, and abilities approved by DMHMRSAS and administered according to DMHMRSAS' defined procedures.

3. Required documentation in the individual's record. The provider must maintain a record regarding each individual receiving prevocational services. At a minimum, the records must contain the following:

a. A functional assessment conducted by the provider to evaluate each individual in the prevocational environment and community settings.

b. An ISP, which contains, at a minimum, the following elements:

(1) The individual's strengths, desired outcomes, required or desired supports, and training needs;

(2) The individual's goals and measurable objectives to meet the above identified outcomes;

(3) Services to be rendered and the frequency of services to accomplish the above goals and objectives;

(4) A timetable for the accomplishment of the individual's goals and objectives;

(5) The estimated duration of the individual's needs for services; and

(6) The provider staff responsible for the overall coordination and integration of the services specified in the ISP.

c. Documentation indicating that the ISP goals, objectives, and activities have been reviewed by the provider quarterly, annually, and more often as needed, modified as appropriate, and that the results of these reviews have been submitted to the case manager. For the annual review and in cases where the ISP is modified, the ISP must be reviewed with the individual and the individual's family/caregiver, as appropriate.

d. Documentation confirming the individual's attendance, amount of time spent in services, and type of services rendered, and specific information regarding the individual's response to various settings and supports as agreed to in the ISP objectives. An attendance log or similar document must be maintained that indicates the date, type of services rendered, and the number of hours and units, or their equivalent under the DMAS fee schedule, provided.

e. Documentation indicating whether the services were center-based or noncenter-based.

f. Documentation regarding transportation. In instances where prevocational staff are required to ride with the individual to and from prevocational services, the prevocational staff time can be billed for prevocational services, provided that billing for this time does not exceed 25% of the total time spent in prevocational services for that day. Documentation must be maintained to verify that billing for prevocational staff coverage during transportation does not exceed 25% of the total time spent in the prevocational services for that day.

g. If intensive prevocational services are requested, documentation indicating the specific supports and the reasons they are needed. For ongoing intensive prevocational services, there must be clear documentation of the ongoing needs and associated staff supports.

h. Documentation indicating whether prevocational services are available in vocational rehabilitation agencies through § 110 of the Rehabilitation Act of 1973 or through the Individuals with Disabilities Education Act (IDEA).

i. A copy of the most recently completed DMAS-122. The provider must clearly document efforts to obtain the completed DMAS-122 form from the case manager.

12VAC30-120-247. Supported employment services.

A. Service description.

1. Supported employment services are provided in work settings where persons without disabilities are employed. It is especially designed for individuals with developmental disabilities, including individuals with mental retardation, who face severe impediments to employment due to the nature and complexity of their disabilities, irrespective of age or vocational potential.

2. Supported employment services are available to individuals for whom competitive employment at or above the minimum wage is unlikely without ongoing supports and who because of their disability need ongoing support to perform in a work setting.

3. Supported employment can be provided in one of two models. Individual supported employment shall be defined as intermittent support, usually provided one-on-one by ~~a job coach~~ an employment assistant as defined in 12VAC30-120-211 to an individual in a supported employment position. Group supported employment shall be defined as continuous support provided by staff to eight or fewer individuals with disabilities in an enclave, work crew, bench work, or entrepreneurial model. The individual's assessment and CSP must clearly reflect the individual's need for training and supports.

B. Criteria.

1. Only job development tasks that specifically include the individual are allowable job search activities under the MR waiver supported employment and only after determining this service is not available from DRS.

2. In order to qualify for these services, the individual shall have demonstrated that competitive employment at or above the minimum wage is unlikely without ongoing supports, and that because of his disability, he needs ongoing support to perform in a work setting.

3. A functional assessment must be conducted to evaluate the individual in his work environment and related community settings.

4. The ISP must document the amount of supported employment required by the individual. Service providers are reimbursed only for the amount and type of supported employment included in the individual's ISP based on the intensity and duration of the service delivered.

C. Service units and service limitations.

1. Supported employment for individual job placement is provided in one hour units. This service is limited to 40 hours per week.

2. Group models of supported employment (enclaves, work crews, bench work and entrepreneurial model of supported employment) will be billed ~~at the unit rate. For group models of supported employment, units shall be defined as:~~ according to the DMAS fee schedule.

~~a. One unit is 1 to 3.99 hours of service a day.~~

~~b. Two units are 4 to 6.99 hours of service a day.~~

~~c. Three units are 7 or more hours of service a day.~~

This service is limited to 780 units, or its equivalent under the DMAS fee schedule, per CSP year. If this service is used in combination with prevocational and day support services, the combined total units for these services cannot exceed 780 units, or its equivalent under the DMAS fee schedule, per CSP year.

3. For the individual job placement model, reimbursement of supported employment will be limited to actual documented interventions or collateral contacts by the provider, not the amount of time the individual is in the supported employment situation.

D. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, supported employment provider qualifications include:

1. ~~Supported~~ Group and agency-directed individual supported employment shall be provided only by agencies that are DRS vendors of supported employment services;

2. Required documentation in the individual's record. The provider must maintain a record regarding each individual receiving supported employment services. At a minimum, the records must contain the following:

a. A functional assessment conducted by the provider to evaluate each individual in the supported employment environment and related community settings.

b. Documentation indicating individual ineligibility for supported employment services through DRS or IDEA. If the individual is not eligible through IDEA, documentation is required only for the lack of DRS funding;

c. An ISP that contains, at a minimum, the following elements:

(1) The individual's strengths, desired outcomes, required/desired supports and training needs;

(2) The individual's goals and, for a training goal, a sequence of measurable objectives to meet the above identified outcomes;

(3) Services to be rendered and the frequency of services to accomplish the above goals and objectives;

(4) A timetable for the accomplishment of the individual's goals and objectives;

(5) The estimated duration of the individual's needs for services; and

(6) Provider staff responsible for the overall coordination and integration of the services specified in the plan.

d. The ISP goals, objectives, and activities must be reviewed by the provider quarterly, annually, and more often as needed, modified as appropriate, and the results of these reviews submitted to the case manager. For the annual review and in cases where the ISP is modified, the ISP must be reviewed with the individual and the individual's family/caregiver, as appropriate.

e. In instances where supported employment staff are required to ride with the individual to and from supported employment activities, the supported employment staff time can be billed for supported employment provided that the billing for this time does not exceed 25% of the total time spent in supported employment for that day. Documentation must be maintained to verify that billing for supported employment staff coverage during transportation does not exceed 25% of the total time spent in supported employment for that day.

f. There must be a copy of the completed DMAS-122 in the record. Providers must clearly document efforts to obtain the DMAS-122 form from the case manager.

Part VIII
Individual and Family Developmental Disabilities Support Waiver

Article 1
General Requirements

12VAC30-120-700. Definitions.

"Activities of daily living (ADL)" means personal care tasks, e.g., bathing, dressing, toileting, transferring, and eating/feeding. An individual's degree of independence in performing these activities is a part of determining appropriate level of care and services.

"Appeal" means the process used to challenge adverse actions regarding services, benefits, and reimbursement provided by Medicaid pursuant to 12VAC30-110, Eligibility and Appeals, and 12VAC30-20-500 through 12VAC30-20-560.

"Behavioral health authority" or "BHA" means the local agency, established by a city or county or a combination of counties or cities or cities and counties under Chapter 6 (§ 37.2-600 et seq.) of Title 37.2 of the Code of Virginia, that plans, provides, and evaluates mental health, mental retardation, and substance abuse services in the jurisdiction or jurisdictions it serves.

"CARF" means the Rehabilitation Accreditation Commission, formerly known as the Commission on Accreditation of Rehabilitation Facilities.

"Case management" means services as defined in 12VAC30-50-490.

"Case manager" means the provider of case management services as defined in 12VAC30-50-490.

"Centers for Medicare and Medicaid Services" or "CMS" means the unit of the federal Department of Health and Human Services that administers the Medicare and Medicaid programs.

"Community-based waiver services" or "waiver services" means a variety of home and community-based services paid for by DMAS as authorized under a § 1915(c) waiver designed to offer individuals an alternative to institutionalization. Individuals may be preauthorized to receive one or more of these services either solely or in combination, based on the documented need for the service or services to avoid ICF/MR placement.

"Community services board" or "CSB" means the local agency established by a city or county or combination of counties or cities, or cities and counties, under Chapter 5 (§ 37.2-500 et seq.) of Title 37.2 of the Code of Virginia, that plans, provides, and evaluates mental health, mental retardation, and substance abuse services in the jurisdiction or jurisdictions it serves.

"Companion" means, for the purpose of these regulations, a person who provides companion services.

"Companion services" means nonmedical care, supervision and socialization provided to an adult (age 18 and older). The provision of companion services does not entail hands-on care. It is provided in accordance with a therapeutic goal in the plan of care and is not purely diversional in nature.

"Consumer-directed employee" means, for purposes of these regulations, a person who provides consumer-directed services, personal care, companion services, and/or respite care, who is also exempt from workers' compensation.

"Consumer-directed services" means personal care, companion services, and/or respite care services where the individual or his family/caregiver, as appropriate, is responsible for hiring, training, supervising, and firing of the employee or employees.

"Consumer-directed (CD) services facilitator" means the provider enrolled with DMAS who is responsible for management training and review activities as required by DMAS for consumer-directed services.

"Crisis stabilization" means direct intervention for persons with related conditions who are experiencing serious psychiatric or behavioral challenges, or both, that jeopardize their current community living situation. This service must provide temporary intensive services and supports that avert emergency psychiatric hospitalization or institutional placement or prevent other out-of-home placement. This service shall be designed to stabilize individuals and strengthen the current living situations so that individuals may be maintained in the community during and beyond the crisis period.

"Current functional status" means an individual's degree of dependency in performing activities of daily living.

"DMAS" means the Department of Medical Assistance Services.

"DMAS staff" means DMAS employees who perform utilization review, preauthorize service type and intensity, provide technical assistance, and review of individual level of care criteria.

"DMHMRSAS" means the Department of Mental Health, Mental Retardation and Substance Abuse Services.

"DRS" means the Department of Rehabilitative Services.

"DSS" means the Department of Social Services.

"Day support" means training in intellectual, sensory, motor, and affective social development including awareness skills, sensory stimulation, use of appropriate behaviors and social skills, learning and problem solving, communication and self care, physical development, services and support activities. These services take place outside of the individual's home/residence.

"Direct marketing" means either (i) conducting directly or indirectly door-to-door, telephonic, or other "cold call" marketing of services at residences and provider sites; (ii) mailing directly; (iii) paying "finders' fees"; (iv) offering financial incentives, rewards, gifts, or special opportunities to eligible individuals or family/caregivers as inducements to use the providers' services; (v) continuous, periodic marketing activities to the same prospective individual or his family/caregiver, as appropriate, for example, monthly, quarterly, or annual giveaways as inducements to use the providers' services; or (vi) engaging in marketing activities that offer potential customers rebates or discounts in conjunction with the use of the providers' services or other benefits as a means of influencing the individual's or his family/caregiver's, as appropriate, use of the providers' services.

"Enroll" means that the individual has been determined by the IFDDS screening team to meet the eligibility requirements for the waiver, DMAS has approved the individual's plan of care and has assigned an available slot to the individual, and DSS has determined the individual's Medicaid eligibility for home and community-based services.

"Entrepreneurial model" means a small business employing eight or fewer individuals with disabilities on a shift and may involve interactions with the public and coworkers with disabilities.

"EPSDT" means the Early Periodic Screening, Diagnosis and Treatment program administered by DMAS for children under the age of 21 according to federal guidelines that prescribe specific preventive and treatment services for Medicaid-eligible children as defined in 12VAC30-50-130.

"Face-to-face visit" means the case manager or service provider must meet with the individual in person and that the individual should be engaged in the visit to the maximum extent possible.

"Family/caregiver training" means training and counseling services provided to families or caregivers of individuals receiving services in the IFDDS Waiver.

"Fiscal agent" means an entity handling employment, payroll, and tax responsibilities on behalf of individuals who are receiving consumer-directed services.

"Home" means, for purposes of the IFDDS Waiver, an apartment or single family dwelling in which no more than four individuals who require services live with the exception of siblings living in the same dwelling with family. This does not include an assisted living facility or group home.

"Home and community-based waiver services" means a variety of home and community-based services reimbursed by DMAS as authorized under a § 1915(c) waiver designed to offer individuals an alternative to institutionalization. Individuals may be preauthorized to receive one or more of these services either solely or in combination, based on the documented need for the service or services to avoid ICF/MR placement.

"ICF/MR" means a facility or distinct part of a facility certified as meeting the federal certification regulations for an Intermediate Care Facility for the Mentally Retarded and persons with related conditions. These facilities must address the residents' total needs including physical, intellectual, social, emotional, and habilitation. An ICF/MR must provide active treatment, as that term is defined in 42 CFR 483.440(a).

"IFDDS screening team" means the persons employed by the entity under contract with DMAS who are responsible for performing level of care screenings for the IFDDS Waiver.

"IFDDS Waiver" means the Individual and Family Developmental Disabilities Support Waiver.

"In-home residential support services" means support provided primarily in the individual's home, which includes training, assistance, and specialized supervision to enable the individual to maintain or improve his health; assisting in performing individual care tasks; training in activities of daily living; training and use of community resources; providing life skills training; and adapting behavior to community and home-like environments.

"Instrumental activities of daily living (IADL)" means meal preparation, shopping, housekeeping, laundry, and money management.

"Mental retardation" means a disability as defined by the American Association on ~~Mental Retardation (AAMR)~~ Intellectual and Developmental Disabilities (AAIDD).

"MR Waiver" means the mental retardation waiver.

"Participating provider" means an entity that meets the standards and requirements set forth by DMAS and has a current, signed provider participation agreement with DMAS.

"Pend" means delaying the consideration of an individual's request for authorization of services until all required information is received by DMAS.

"Person-centered planning" means a process, directed by the individual or his family/caregiver, as appropriate, intended to identify the strengths, capacities, preferences, needs and desired outcomes of the individual.

"Personal care provider" means a participating provider that renders services to prevent or reduce inappropriate institutional care by providing eligible individuals with personal care aides to provide personal care services.

"Personal care services" means long-term maintenance or support services necessary to enable individuals to remain in or return to the community rather than enter an Intermediate Care Facility for the Mentally Retarded. Personal care services include assistance with activities of daily living, instrumental activities of daily living, access to the community, medication or other medical needs, and monitoring health status and physical condition. This does not include skilled nursing services with the exception of skilled nursing tasks that may be delegated in accordance with 18VAC90-20-420 through 18VAC90-20-460.

"Personal emergency response system (PERS)" is an electronic device that enables certain individuals to secure help in an emergency. PERS services are limited to those individuals who live alone or are alone for significant parts of the day and who have no regular caregiver for extended periods of time, and who would otherwise require extensive routine supervision.

"Plan of care" means a document developed by the individual or his family/caregiver, as appropriate, and the individual's case manager addressing all needs of individuals of home and community-based waiver services, in all life areas. Supporting documentation developed by waiver service providers is to be incorporated in the plan of care by the case manager. Factors to be considered when these plans are developed must include, but are not limited to, individuals' ages, levels of functioning, and preferences.

"Preauthorized" means the preauthorization agent has approved a service for initiation and reimbursement ~~prior to the commencement~~ of the service by the service provider.

"Primary caregiver" means the ~~main~~ primary person who consistently assumes the role of providing direct care and support of the individual to live successfully in the community without compensation for such care.

"Qualified developmental disabilities professional" or "QDDP" means a professional who (i) possesses at least one year of documented experience working directly with individuals who have related conditions; (ii) is one of the following: a doctor of medicine or osteopathy, a registered nurse, a provider holding at least a bachelor's degree in a human service field including, but not limited to, sociology, social work, special education, rehabilitation engineering, counseling or psychology, or a provider who has documented equivalent qualifications; and (iii) possesses the required Virginia or national license, registration, or certification in accordance with his profession, if applicable.

"Related conditions" means those persons who have autism or who have a severe chronic disability that meets all of the following conditions identified in 42 CFR 435.1009:

1. It is attributable to:

a. Cerebral palsy or epilepsy; or

b. Any other condition, other than mental illness, found to be closely related to mental retardation because this condition results in impairment of general intellectual functioning or adaptive behavior similar to that of persons with mental retardation, and requires treatment or services similar to those required for these persons.

2. It is manifested before the person reaches age 22.

3. It is likely to continue indefinitely.

4. It results in substantial functional limitations in three or more of the following areas of major life activity:

a. Self-care.

b. Understanding and use of language.

c. Learning.

d. Mobility.

e. Self-direction.

f. Capacity for independent living.

"Respite care" means services provided for unpaid caregivers of eligible individuals who are unable to care for themselves and are provided on an episodic or routine basis because of the absence of or need for relief of those unpaid persons who routinely provide the care.

"Respite care provider" means a participating provider that renders services designed to prevent or reduce inappropriate institutional care by providing respite care services for unpaid caregivers of eligible individuals.

"Screening" means the process conducted by the IFDDS screening team to evaluate the medical, nursing, and social needs of individuals referred for screening and to determine eligibility for an ICF/MR level of care.

"Skilled nursing services" means nursing services (i) listed in the plan of care that do not meet home health criteria, (ii) required to prevent institutionalization, (iii) not otherwise available under the State Plan for Medical Assistance, (iv) provided within the scope of the state's Nursing Act (§ 54.1-3000 et seq. of the Code of Virginia) and Drug Control Act (§ 54.1-3400 et seq. of the Code of Virginia), and (v) provided by a registered professional nurse or by a licensed practical nurse under the supervision of a registered nurse who is licensed to practice in the state. Skilled nursing services are to be used to provide training, consultation, nurse delegation as appropriate and oversight of direct care staff as appropriate.

"Slot" means an opening or vacancy of waiver services for an individual.

"Specialized supervision" means staff presence necessary for ongoing or intermittent intervention to ensure an individual's health and safety.

"Supporting documentation" means the specific plan of care developed by the individual and waiver service provider related solely to the specific tasks required of that service provider. Supporting documentation helps to comprise the overall plan of care for the individual, developed by the case manager and the individual.

"Supported employment" means work in settings in which persons without disabilities are typically employed. It includes training in specific skills related to paid employment and provision of ongoing or intermittent assistance and specialized supervision to enable an individual to maintain paid employment.

"Therapeutic consultation" means consultation provided by members of psychology, social work, rehabilitation engineering, behavioral analysis, speech therapy, occupational therapy, psychiatry, psychiatric clinical nursing, therapeutic recreation, or physical therapy or behavior consultation to assist individuals, parents, family members, in-home residential support, day support and any other providers of support services in implementing a plan of care.

"Transition services" means set-up expenses for individuals who are transitioning from an institution or licensed or certified provider-operated living arrangement to a living arrangement in a private residence where the person is directly responsible for his or her own living expenses. 12VAC30-120-2010 provides the service description, criteria, service units and limitations, and provider requirements for this service.

"VDH" means the Virginia Department of Health.

12VAC30-120-710. General coverage and requirements for all home and community-based waiver services.

A. Waiver service populations. Home and community-based services shall be available through a § 1915(c) waiver. Coverage shall be provided under the waiver for individuals six years of age and older with related conditions as defined in 12VAC30-120-700, including autism, who have been determined to require the level of care provided in an ICF/MR. The individual must not have a diagnosis of mental retardation as defined by the American Association on ~~Mental Retardation (AAMR)~~ Intellectual and Developmental Disabilities (AAIDD). Mental Retardation (MR) Waiver recipients who are six years of age on or after October 1, 2002, who are determined to not have a diagnosis of mental retardation, and who meet all IFDDS Waiver eligibility criteria, shall be eligible for and shall transfer to the IFDDS Waiver effective with their sixth birthday. Psychological evaluations confirming diagnoses must be completed less than one year prior to the child's sixth birthday. These recipients transferring from the MR Waiver will automatically be assigned a slot in the IFDDS Waiver. Such slot shall be in addition to those slots available through the screening process described in 12VAC30-120-720 B and C.

B. Covered services.

1. Covered services shall include in-home residential supports, day support, prevocational services, supported employment, personal care (both agency-directed and consumer-directed), respite care (both agency-directed and consumer-directed), assistive technology, environmental modifications, skilled nursing services, therapeutic consultation, crisis stabilization, personal emergency response systems (PERS), family/caregiver training, ~~and~~ companion services (both agency-directed and consumer-directed), and transition services.

2. These services shall be appropriate and medically necessary to maintain these individuals in the community. Federal waiver requirements provide that the average per capita fiscal year expenditures under the waiver must not exceed the average per capita expenditures for the level of care provided in ICFs/MR under the State Plan that would have been made had the waiver not been granted.

3. Under this § 1915(c) waiver, DMAS waives subdivision (a)(10)(B) of § 1902 of the Social Security Act related to comparability.

C. Eligibility criteria for emergency access to the waiver.

1. Subject to available funding and a finding of eligibility under 12VAC30-120-720, individuals must meet at least one of the emergency criteria of this subdivision to be eligible for immediate access to waiver services without consideration to the length of time an individual has been waiting to access services. In the absence of waiver services, the individual would not be able to remain in his home. The criteria are as follows:

a. The primary caregiver has a serious illness, has been hospitalized, or has died;

b. The individual has been determined by the DSS to have been abused or neglected and is in need of immediate waiver services;

c. The individual demonstrates behaviors that present risk to personal or public safety;

d. The individual presents extreme physical, emotional, or financial burden at home, and the family or caregiver is unable to continue to provide care; or

e. The individual lives in an institutional setting and has a viable discharge plan in place.

2. When emergency slots become available:

a. All individuals who have been found eligible for the IFDDS Waiver but have not been enrolled shall be notified by either DMAS or the individual's case manager.

b. Individuals and their family/caregivers shall be given 30 calendar days to request emergency consideration.

c. An interdisciplinary team of DMAS professionals shall evaluate the requests for emergency consideration within 10 calendar days from the 30-calendar day deadline using the emergency criteria to determine who will be assigned an emergency slot. If DMAS receives more requests than the number of available emergency slots, then the interdisciplinary team will make a decision on slot allocation based on need as documented in the request for emergency consideration. A waiting list of emergency cases will not be kept.

12VAC30-120-754. Supported employment services.

A. Service description.

1. Supported employment services shall include training in specific skills related to paid employment and provision of ongoing or intermittent assistance or specialized training to enable an individual to maintain paid employment. Each supporting documentation must confirm whether supported employment services are available to the individual in vocational rehabilitation agencies through the Rehabilitation Act of 1973 or in special education services through 20 USC § 1401 of the Individuals with Disabilities Education Act (IDEA). Providers of these DRS and IDEA services cannot be reimbursed by Medicaid with the IFDDS Waiver funds. Waiver service providers are reimbursed only for the amount and type of habilitation services included in the individual's approved plan of care based on the intensity and duration of the service delivered. Reimbursement shall be limited to actual interventions by the provider of supported employment, not for the amount of time the recipient is in the supported employment environment.

2. Supported employment may be provided in one of two models. Individual supported employment is defined as intermittent support, usually provided one on one by a job coach for an individual in a supported employment position. Group supported employment is defined as continuous support provided by staff for eight or fewer individuals with disabilities in an enclave, work crew, or bench work/entrepreneurial model. The individual's assessment and plan of care must clearly reflect the individual's need for training and supports.

B. Criteria for receipt of services.

1. Only job development tasks that specifically include the individual are allowable job search activities under the IFDDS Waiver supported employment and only after determining this service is not available from DRS or IDEA.

2. In order to qualify for these services, the individual shall have a demonstrated need for training, specialized supervision, or assistance in paid employment and for whom competitive employment at or above the minimum wage is unlikely without this support and who, because of the disability, needs ongoing support, including supervision, training and transportation to perform in a work setting.

3. A functional assessment must be conducted to evaluate each individual in his work environment and related community settings.

4. The supporting documentation must document the amount of supported employment required by the individual. Service providers are reimbursed only for the amount and type of supported employment included in the plan of care based on the intensity and duration of the service delivered.

C. Service units and service limitations.

1. Supported employment for individual job placement is provided in one-hour units. This service is limited to 40 hours per week.

2. Group models of supported employment (enclaves, work crews, bench work, and entrepreneurial model of supported employment) will be billed ~~at the unit rate~~ according to the DMAS fee schedule.

~~a. One unit is 1 to 3.99 hours of service a day.~~

~~b. Two units are 4 to 6.99 or more hours of service a day.~~

~~c. Three units are 7 or more hours of service a day.~~

3. Supported employment services are limited to 780 units per plan of care year. If used in combination with prevocational and day support services, the combined total units for these services cannot exceed 780 units, or its equivalent under the DMAS fee schedule, per plan of care year.

4. For the individual job placement model, reimbursement ~~of supported employment~~ will be limited to actual documented interventions or collateral contacts by the provider, not the amount of time the individual is in the supported employment situation.

1. Supported employment services shall be provided by agencies that are programs certified by ~~CARF~~ the Commission on Accreditation of Rehabilitation Facilities (CARF) to provide supported employment services or are DRS vendors of supported employment services.

2. Individual ineligibility for supported employment services through DRS or IDEA must be documented in the individual's record, as applicable. If the individual is ~~eligible~~ ineligible to receive services through ~~the Individuals with Disabilities Education Act~~ IDEA, documentation is required only for lack of DRS funding. Acceptable documentation would include a copy of a letter from DRS or the local school system or a record of a ~~phone~~ telephone call (name, date, person contacted) documented in the case manager's case notes, Consumer Profile/Social assessment or on the supported employment supporting documentation. Unless the individual's circumstances change, the original verification may be forwarded into the current record or repeated on the supporting documentation or revised Social Assessment on an annual basis.

3. Supporting documentation and ongoing documentation consistent with licensing regulations, if a DMHMRSAS licensed program.

4. For non-DMHMRSAS programs certified as supported employment programs, there must be supporting documentation that contains, at a minimum, the following elements:

a. The individual's strengths, desired outcomes, required/desired supports and training needs;

b. The individual's goals and, for a training goal, a sequence of measurable objectives to meet the above identified outcomes;

c. Services to be rendered and the frequency of services to accomplish the above goals and objectives;

d. All entities that will provide the services specified in the statement of services;

e. A timetable for the accomplishment of the individual's goals and objectives;

f. The estimated duration of the individual's needs for services; and

g. Entities responsible for the overall coordination and integration of the services specified in the plan of care.

5. Documentation must confirm the individual's attendance, the amount of time the individual spent in services, and must provide specific information regarding the individual's response to various settings and supports as agreed to in the supporting documentation objectives. Assessment results should be available in at least a daily note or weekly summary.

6. The provider must review the supporting documentation with the individual, and this written review submitted to the case manager, at least semi-annually, with goals, objectives and activities modified as appropriate. For the annual review and in cases where the plan of care is modified, the plan of care must be reviewed with the individual or his family/caregiver, as appropriate.

7. In instances where supported employment staff are required to ride with the individual to and from supported employment activities, the supported employment staff time may be billed for supported employment provided that the billing for this time does not exceed 25% of the total time spent in supported employment for that day. Documentation must be maintained to verify that billing supported employment staff coverage during transportation does not exceed 25% of the total time spent in supported employment for that day.

8. There must be a copy of the completed DMAS-122 form in the record. Providers must clearly document efforts to obtain the DMAS-122 form from the case manager.

12VAC30-120-758. Environmental modifications.

A. Service description. Environmental modifications shall be defined as those physical adaptations to the individual's primary home or primary vehicle used by the individual, documented in the individual's plan of care, that are necessary to ensure the health, welfare, and safety of the individual, or that enable the individual to function with greater independence in the primary home and, without which, the individual would require institutionalization. Such adaptations may include the installation of ramps and grab-bars, widening of doorways, modification of bathroom facilities, or installation of specialized electrical and plumbing systems that are necessary to accommodate the medical equipment and supplies that are necessary for the welfare of the individual. Excluded are those adaptations or improvements to the home that are of general utility and are not of direct medical or remedial benefit to the individual, such as carpeting, roof repairs, central air conditioning, etc. Adaptations that add to the total square footage of the home shall be excluded from this benefit, except when necessary to complete an adaptation, as determined by DMAS or its designated agent. All services shall be provided in the individual's primary home in accordance with applicable state or local building codes. All modifications must be prior authorized by the prior authorization agent. Modifications may be made to a vehicle if it is the primary vehicle being used by the individual. This service does not include the purchase of vehicles.

B. Criteria. In order to qualify for these services, the individual must have a demonstrated need for equipment or modifications of a remedial or medical benefit offered in an individual's primary home, primary vehicle used by the individual, community activity setting, or day program to specifically improve the individual's personal functioning. This service shall encompass those items not otherwise covered in the State Plan for Medical Assistance or through another program. Environmental modifications shall be covered in the least expensive, most cost-effective manner. For enrollees in the Acquired Immunodeficiency Syndrome (AIDS) waiver (12VAC30-120-140 through 12VAC30-120-201) or the Elderly or Disabled with Consumer Direction (EDCD) waiver (12VAC30-120-900 through 12VAC30-120-980), environmental modification services shall be available only to those AIDS and EDCD enrollees who are also enrolled in the Money Follows the Person demonstration.

C. Service units and service limitations. Environmental modifications shall be available to individuals who are receiving case management services ~~in addition to at least one other waiver service~~. To receive environmental modifications in the EDCD waiver, the individual must be receiving at least one other waiver service. To receive environmental modifications in the IFDDS waiver, the individual must be receiving case management services and at least one other waiver service. A maximum limit of $5,000 may be reimbursed per plan of care or calendar year, as appropriate to the waiver in which the individual is enrolled. Costs for environmental modifications shall not be carried over from year to year. All environmental modifications must be prior authorized by the prior authorization agent prior to billing. Modifications shall not be used to bring a substandard dwelling up to minimum habitation standards. Also excluded are modifications that are reasonable accommodation requirements of the Americans with Disabilities Act, the Virginians with Disabilities Act, and the Rehabilitation Act.

Case managers or transition coordinators must, upon completion of each modification, meet face-to-face with the individual and his family/caregiver, as appropriate, to ensure that the modification is completed satisfactorily and is able to be used by the individual.

D. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based waiver services participating providers as specified in 12VAC30-120-160, 12VAC30-120-730 ~~and~~, 12VAC30-120-740, and 12VAC30-120-930, as appropriate, environmental modifications must be provided in accordance with all applicable state or local building codes by contractors who have a provider agreement with DMAS. Providers may not be spouses or parents of the individual. Modifications must be completed within the plan of care or the calendar year in which the modification was authorized, as appropriate to the waiver in which the individual is enrolled.

12VAC30-120-762. Assistive technology.

A. Service description. Assistive technology (AT) is available to recipients who are receiving at least one other waiver service and may be provided in a residential or nonresidential setting. ~~Assistive technology (AT)~~ AT is the specialized medical equipment and supplies, including those devices, controls, or appliances, specified in the plan of care, but not available under the State Plan for Medical Assistance, that enable individuals to increase their abilities to perform activities of daily living, or to perceive, control, or communicate with the environment in which they live. This service also includes items necessary for life support, ancillary supplies, and equipment necessary to the proper functioning of such items.

B. Criteria. In order to qualify for these services, the individual must have a demonstrated need for equipment or modification for remedial or direct medical benefit primarily in an individual's primary home, primary vehicle used by the individual, community activity setting, or day program to specifically serve to improve the individual's personal functioning. This shall encompass those items not otherwise covered under the State Plan for Medical Assistance. Assistive technology shall be covered in the least expensive, most cost-effective manner. For enrollees in the Acquired Immunodeficiency Syndrome (AIDS) waiver (12VAC30-120-140 through 12VAC30-120-201) or the Elderly or Disabled with Consumer Direction (EDCD) waiver (12VAC30-120-900 through 12VAC30-120-980), assistive technology services shall be available only to those AIDS and EDCD enrollees who are also enrolled in the Money Follows the Person demonstration.

C. Service units and service limitations. ~~Assistive technology (AT)~~ AT is available to individuals receiving at least one other waiver service and may be provided in the individual's home or community setting. A maximum limit of $5,000 may be reimbursed per plan of care year or the calendar year, as appropriate to the waiver in which the individual is enrolled or calendar year, as appropriate to the waiver being received. Costs for assistive technology cannot be carried over from year to year and must be preauthorized each plan of care year. AT will not be approved for purposes of convenience of the caregiver/provider or restraint of the individual. An independent, professional consultation must be obtained from qualified professionals who are knowledgeable of that item for each AT request prior to approval by the prior authorization agent, and may include training on such AT by the qualified professional. All ~~assistive technology~~ AT must be prior authorized by the prior authorization agent prior to billing. Also excluded are modifications that are reasonable accommodation requirements of the Americans with Disabilities Act, the Virginians with Disabilities Act, and the Rehabilitation Act.

D. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based care participating providers as specified in 12VAC30-120-160, 12VAC30-120-730 ~~and~~, 12VAC30-120-740, ~~assistive technology~~ and 12VAC30-120-930, AT shall be provided by providers having a current provider participation agreement with DMAS as durable medical equipment and supply providers. Independent, professional consultants include speech/language therapists, physical therapists, occupational therapists, physicians, behavioral therapists, certified rehabilitation specialists, or rehabilitation engineers. Providers that supply ~~assistive technology~~ AT for an individual may not perform assessment/consultation, write specifications, or inspect the ~~assistive technology~~ AT for that individual. Providers of services may not be spouses or parents of the individual. AT must be delivered within the plan of care year, or within a year from the start date of the authorization, as appropriate to the waiver, in which the individual is enrolled.

12VAC30-120-770. Consumer-directed model of service delivery.

A. Criteria.

1. The IFDDS Waiver has three services, companion, personal care, and respite services, that may be provided through a consumer-directed model.

2. Individuals who are eligible for consumer-directed services must have the capability to hire ~~and~~, train, and fire their consumer-directed employees and supervise the employee's work performance. If an individual is unable to direct his own care or is under 18 years of age, a family/caregiver may serve as the employer on behalf of the individual.

3. Responsibilities as employer. The individual, or if the individual is unable, then a family caregiver, is the employer in this service and is responsible for hiring, training, supervising, and firing employees. Specific duties include checking references of employees, determining that employees meet basic qualifications, training employees, supervising the employees' performance, and submitting timesheets to the fiscal agent on a consistent and timely basis. The individual or his family/caregiver, as appropriate, must have an emergency back-up plan in case the employee does not show up for work.

4. DMAS shall contract for the services of a fiscal agent for consumer-directed personal care, companion, and respite care services. The fiscal agent will be paid by DMAS to perform certain tasks as an agent for the individual/employer who is receiving consumer-directed services. The fiscal agent will handle responsibilities for the individual for employment taxes. The fiscal agent will seek and obtain all necessary authorizations and approvals of the Internal Revenue Services in order to fulfill all of these duties.

5. Individuals choosing consumer-directed services must receive support from a CD services facilitator. Services facilitators assist the individual or his family/caregiver, as appropriate, as they become employers for consumer-directed services. This function includes providing the individual or his family/caregiver, as appropriate, with management training, review and explanation of the Employee Management Manual, and routine visits to monitor the employment process. The CD services facilitator assists the individual/employer with employer issues as they arise. The services facilitator meeting the stated qualifications may also complete the assessments, reassessments, and related supporting documentation necessary for consumer-directed services if the individual or his family/caregiver, as appropriate, chooses for the CD services facilitator to perform these tasks rather than the case manager. Services facilitation services are provided on an as-needed basis as determined by the individual, family/caregiver, and CD services facilitator. This must be documented in the supporting documentation for consumer-directed services and the services facilitation provider bills accordingly. If an individual enrolled in consumer-directed services has a lapse in consumer-directed services for more than 60 consecutive calendar days, the case manager must notify DMAS so that consumer-directed services may be discontinued and the option given to change to agency-directed services.

B. Provider qualifications. In addition to meeting the general conditions and requirements for home and community-based care participating providers as specified in 12VAC30-120-730 and 12VAC30-120-740, services facilitators providers must meet the following qualifications:

1. To be enrolled as a Medicaid CD services facilitation provider and maintain provider status, the CD services facilitation provider must operate from a business office and have sufficient qualified staff who will function as CD services facilitators to perform the service facilitation and support activities as required. It is preferred that the employee of the CD services facilitation provider possess a minimum of an undergraduate degree in a human services field or be a registered nurse currently licensed to practice in the Commonwealth. In addition, it is preferable that the CD services facilitator has two years of satisfactory experience in the human services field working with individuals with related conditions.

2. The CD services facilitator must possess a combination of work experience and relevant education which indicates possession of the following knowledge, skills, and abilities. Such knowledge, skills and abilities must be documented on the application form, found in supporting documentation, or be observed during the job interview. Observations during the interview must be documented. The knowledge, skills, and abilities include:

a. Knowledge of:

(1) Various long-term care program requirements, including nursing home, ICF/MR, and assisted living facility placement criteria, Medicaid waiver services, and other federal, state, and local resources that provide personal care services;

(2) DMAS consumer-directed services requirements, and the administrative duties for which the individual will be responsible;

(3) Interviewing techniques;

(4) The individual's right to make decisions about, direct the provisions of, and control his consumer-directed services, including hiring, training, managing, approving time sheets, and firing an employee;

(5) The principles of human behavior and interpersonal relationships; and

(6) General principles of record documentation.

(7) For CD services facilitators who also conduct assessments and reassessments, the following is also required. Knowledge of:

(a) Types of functional limitations and health problems that are common to different disability types and the aging process as well as strategies to reduce limitations and health problems;

(b) Physical assistance typically required by people with developmental disabilities, such as transferring, bathing techniques, bowel and bladder care, and the approximate time those activities normally take;

(c) Equipment and environmental modifications commonly used and required by people with developmental disabilities that reduces the need for human help and improves safety;

(d) Conducting assessments (including environmental, psychosocial, health, and functional factors) and their uses in care planning.

b. Skills in:

(1) Negotiating with individuals or their family/caregivers, as appropriate, and service providers;

(2) Observing, recording, and reporting behaviors;

(3) Identifying, developing, or providing services to persons with developmental disabilities; and

(4) Identifying services within the established services system to meet the individual's needs.

c. Abilities to:

(1) Report findings of the assessment or onsite visit, either in writing or an alternative format for persons who have visual impairments;

(2) Demonstrate a positive regard for individuals and their families;

(3) Be persistent and remain objective;

(4) Work independently, performing position duties under general supervision;

(5) Communicate effectively, orally and in writing;

(6) Develop a rapport and communicate with different types of persons from diverse cultural backgrounds; and

(7) Interview.

3. If the CD services facilitator is not an RN, the CD services facilitator must inform the primary health care provider that services are being provided and request skilled nursing or other consultation as needed.

4. Initiation of services and service monitoring.

a. If the services facilitator has responsibility for individual assessments and reassessments, these must be conducted as specified in 12VAC30-120-766 and 12VAC30-120-776.

b. Management training.

(1) The CD services facilitation provider must make an initial visit with the individual or his family/caregiver, as appropriate, to provide management training. The initial management training is done only once upon the individual's entry into the service. If an individual served under the waiver changes CD services facilitation providers, the new CD services facilitator must bill for a regular management training in lieu of initial management training.

(2) After the initial visit, two routine visits must occur within 60 days of the initiation of care or the initial visit to monitor the employment process.

(3) For personal care services, the CD services facilitation provider will continue to monitor on an as needed basis, not to exceed a maximum of one routine visit every 30 calendar days but no less than the minimum of one routine visit every 90 calendar days per individual. After the initial visit, the CD services facilitator will periodically review the utilization of companion services at a minimum of every six months and for respite services, either every six months or upon the use of 300 respite care hours, whichever comes first.

5. The CD services facilitator must be available to the individual or his family/caregiver, as appropriate, by telephone during normal business hours, have voice mail capability, and return phone calls within 24 hours or have an approved back-up CD services facilitator.

6. The CD services fiscal contractor for DMAS must submit a criminal record check within 15 calendar days of employment pertaining to the consumer-directed employees on behalf of the individual or family/caregiver and report findings of the criminal record check to the individual or his family/caregiver, as appropriate.

7. The CD services facilitator shall verify bi-weekly timesheets signed by the individual or his family caregiver, as appropriate, and the employee to ensure that the number of plan of care approved hours are not exceeded. If discrepancies are identified, the CD services facilitator must contact the individual to resolve discrepancies and must notify the fiscal agent. If an individual is consistently being identified as having discrepancies in his timesheets, the CD services facilitator must contact the case manager to resolve the situation.

8. Consumer-directed employee registry. The CD services facilitator must maintain a consumer-directed employee registry, updated on an ongoing basis.

9. Required documentation in individuals' records. CD services facilitators responsible for individual assessment and reassessment must maintain records as described in 12VAC30-120-766 and 12VAC30-120-776. For CD services facilitators conducting management training, the following documentation is required in the individual's record:

a. All copies of the plan of care, all supporting documentation related to consumer-directed services, and all DMAS-122 forms.

b. CD services facilitator's notes recorded and dated at the time of service delivery.

c. All correspondence to the individual, others concerning the individual, and to DMAS.

d. All training provided to the consumer-directed employees on behalf of the individual or his family/caregiver, as appropriate.

e. All management training provided to the individuals or his family/caregivers, as appropriate, including the responsibility for the accuracy of the timesheets.

f. All documents signed by the individual or his family/caregiver, as appropriate, that acknowledge the responsibilities of the services.

Part IX
Elderly or Disabled with Consumer Direction Waiver

12VAC30-120-900. Definitions.

The following words and terms when used in this part shall have the following meanings unless the context clearly indicates otherwise:

"Activities of daily living" or "ADLs" means tasks such as bathing, dressing, toileting, transferring, and eating/feeding. An individual's degree of independence in performing these activities is a part of determining appropriate level of care and service needs.

"Adult day health care center" or "ADHC" means a DMAS-enrolled provider that offers a community-based day program providing a variety of health, therapeutic, and social services designed to meet the specialized needs of those elderly and disabled individuals at risk of placement in a nursing facility. The ADHC must be licensed by DSS as an ADHC.

"Adult day health care services" means services designed to prevent institutionalization by providing participants with health, maintenance, and coordination of rehabilitation services in a congregate daytime setting.

"Agency-directed services" means services provided by a personal care agency.

"Americans with Disabilities Act" or "ADA" means the United States Code pursuant to 42 USC § 12101 et seq.

"Appeal" means the process used to challenge adverse actions regarding services, benefits, and reimbursement provided by Medicaid pursuant to 12VAC30-110 and 12VAC30-20-500 through 12VAC30-20-560.

"Assistive technology" means specialized medical equipment and supplies including those devices, controls, or appliances specified in the plan of care but not available under the State Plan for Medical Assistance that enable individuals to increase their abilities to perform activities of daily living, or to perceive, control, or communicate with the environment in which they live, or that are necessary to the proper functioning of the specialized equipment. This service shall be available only to those EDCD waiver enrollees who are participants in the Money Follows the Person demonstration.

"Barrier crime" means those crimes as defined at § 32.1-162.9:1 of the Code of Virginia.

"CMS" means the Centers for Medicare and Medicaid Services, which is the unit of the U.S. Department of Health and Human Services that administers the Medicare and Medicaid programs.

"Cognitive impairment" means a severe deficit in mental capability that affects an individual's areas of functioning such as thought processes, problem solving, judgment, memory, or comprehension that interferes with such things as reality orientation, ability to care for self, ability to recognize danger to self or others, or impulse control.

"Consumer-directed services" means services for which the individual or family/caregiver is responsible for hiring, training, supervising, and firing of the personal care aide.

"Consumer-directed (CD) services facilitator" or "facilitator" means the DMAS-enrolled provider who is responsible for supporting the individual and family/caregiver by ensuring the development and monitoring of the Consumer-Directed Services Plan of Care, providing employee management training, and completing ongoing review activities as required by DMAS for consumer-directed personal care and respite services.

"Designated preauthorization contractor" means DMAS or the entity that has been contracted by DMAS to perform preauthorization of services.

"Direct marketing" means either (i) conducting either directly or indirectly door-to-door, telephonic, or other "cold call" marketing of services at residences and provider sites; (ii) using direct mailing; (iii) paying "finders fees"; (iv) offering financial incentives, rewards, gifts, or special opportunities to eligible individuals or family/caregivers as inducements to use the providers' services; (v) providing continuous, periodic marketing activities to the same prospective individual or family/caregiver, for example, monthly, quarterly, or annual giveaways as inducements to use the providers' services; or (vi) engaging in marketing activities that offer potential customers rebates or discounts in conjunction with the use of the providers' services or other benefits as a means of influencing the individual's or family/caregiver's use of the providers' services.

"DMAS" means the Department of Medical Assistance Services.

"DMAS staff" means persons employed by the Department of Medical Assistance Services.

"DRS" means the Department of Rehabilitative Services.

"DSS" means the Department of Social Services.

"Elderly or Disabled with Consumer Direction Waiver" or "EDCD waiver" means the CMS-approved waiver that covers a range of community support services offered to individuals who are elderly or disabled who would otherwise require a nursing facility level of care.

"Environmental modifications" means physical adaptations to a house, place of residence, primary vehicle or work site, when the work site modification exceeds reasonable accommodation requirements of the Americans with Disabilities Act (42 USC § 1201 et seq.), necessary to ensure the individuals' health and safety or enable functioning with greater independence when the adaptation is not being used to bring a substandard dwelling up to minimum habitation standards and is of direct medical or remedial benefit to individuals. 12VAC30-120-758 provides the service description, criteria, service units and limitations, and provider requirements for this service. This service shall be available only to those EDCD waiver enrollees who are participants in the Money Follows the Person demonstration.

"Fiscal agent" means an agency or division within DMAS or contracted by DMAS to handle employment, payroll, and tax responsibilities on behalf of individuals who are receiving consumer-directed personal care services and respite services.

"Home and community-based waiver services" or "waiver services" means the range of community support services approved by the CMS pursuant to § 1915(c) of the Social Security Act to be offered to persons who are elderly or disabled who would otherwise require the level of care provided in a nursing facility. DMAS or the designated preauthorization contractor shall only give preauthorization for medically necessary Medicaid reimbursed home and community care.

"Individual" means the person receiving the services established in these regulations.

"Instrumental activities of daily living" or "IADLs" means tasks such as meal preparation, shopping, housekeeping and laundry. An individual's degree of independence in performing these activities is a part of determining appropriate level of care and service needs.

"Medication monitoring" means an electronic device, which is only available in conjunction with Personal Emergency Response Systems, that enables certain individuals at high risk of institutionalization to be reminded to take their medications at the correct dosages and times.

"Participating provider" means an entity that meets the standards and requirements set forth by DMAS and has a current, signed provider participation agreement with DMAS.

"Personal care agency" means a participating provider that provides personal care services.

"Personal care aide" means a person who provides personal care services.

"Personal care services" means long-term maintenance or support services necessary to enable the individual to remain at or return home rather than enter a nursing facility. Personal care services are provided to individuals in the areas of activities of daily living, access to the community, monitoring of self-administered medications or other medical needs, and the monitoring of health status and physical condition. Where the individual requires assistance with activities of daily living, and where specified in the plan of care, such supportive services may include assistance with instrumental activities of daily living. Services may be provided in home and community settings to enable an individual to maintain the health status and functional skills necessary to live in the community or participate in community activities.

"Personal emergency response system (PERS)" means an electronic device and monitoring service that enable certain individuals at high risk of institutionalization to secure help in an emergency. PERS services are limited to those individuals who live alone or are alone for significant parts of the day and who have no regular caregiver for extended periods of time, and who would otherwise require extensive routine supervision.

"PERS provider" means a certified home health or a personal care agency, a durable medical equipment provider, a hospital, or a PERS manufacturer that has the ability to provide PERS equipment, direct services (i.e., installation, equipment maintenance, and services calls), and PERS monitoring. PERS providers may also provide medication monitoring.

"Plan of care" means the written plan developed by the provider related solely to the specific services required by the individual to ensure optimal health and safety while remaining in the community.

"Preadmission screening" means the process to: (i) evaluate the functional, nursing, and social supports of individuals referred for preadmission screening; (ii) assist individuals in determining what specific services the individuals need; (iii) evaluate whether a service or a combination of existing community services are available to meet the individuals' needs; and (iv) refer individuals to the appropriate provider for Medicaid-funded nursing facility or home and community-based care for those individuals who meet nursing facility level of care.

"Preadmission Screening Committee/Team" means the entity contracted with DMAS that is responsible for performing preadmission screening pursuant to § 32.1-330 of the Code of Virginia.

"Primary caregiver" means the primary person who consistently assumes the rule of providing direct care and support of the individual to live successfully in the community without compensation for providing such care.

"Respite care agency" or "respite care facility" means a participating provider that renders respite services.

"Respite services" means those short-term personal care services provided to individuals who are unable to care for themselves because of the absence of or need for the relief of those unpaid caregivers who normally provide the care.

"State Plan for Medical Assistance" or "State Plan" means the regulations identifying the covered groups, covered services and their limitations, and provider reimbursement methodologies as provided for under Title XIX of the Social Security Act.

"Transition coordinator" means the DMAS-enrolled provider who is responsible for supporting the individual and family/caregiver, as appropriate, with the activities associated with transitioning from an institution to the community. 12VAC30-120-2000 provides the service description, criteria, service units and limitations, and provider requirements for this service.

"Uniform Assessment Instrument" or "UAI" means the standardized multidimensional questionnaire that is completed by the Preadmission Screening Team that assesses an individual's physical health, mental health, and social and functional abilities to determine if the individual meets the nursing facility level of care.

12VAC30-120-910. General coverage and requirements for Elderly or Disabled with Consumer Direction Waiver services.

A. EDCD Waiver services populations. Home and community-based waiver services shall be available through a § 1915(c) of the Social Security Act waiver for the following Medicaid-eligible individuals who have been determined to be eligible for waiver services and to require the level of care provided in a nursing facility:

1. Individuals who are elderly as defined by § 1614 of the Social Security Act; or

2. Individuals who are disabled as defined by § 1614 of the Social Security Act.

B. Covered services.

1. Covered services shall include: adult day health care, personal care (both consumer-directed and agency-directed), respite services ~~(both~~ (consumer-directed, agency-directed, and facility-based), ~~and~~ PERS, assistive technology, environmental modifications, transition coordinator and transition services. Assistive technology and environmental modification services shall be available only to those EDCD waiver enrollees who are participants in the Money Follows the Person demonstration.

2. These services shall be medically appropriate and medically necessary to maintain the individual in the community and prevent institutionalization.

3. A recipient of EDCD Waiver services may receive personal care (agency- and consumer-directed), respite care (agency- and consumer-directed), adult day health care, transition services, transition coordination, assistive technology, environmental modifications, and PERS services in conjunction with hospice services, regardless of whether the hospice provider receives reimbursement from Medicare or Medicaid for the services covered under the hospice benefit. Services under this waiver will not be available to hospice recipients unless the hospice can document the provision of at least 21 hours per week of homemaker/home health aide services and that the recipient needs personal care-type services that exceed this amount. Assistive technology and environmental modification services shall be available only to those EDCD waiver enrollees who are participants in the Money Follows the Person demonstration.

4. Under this § 1915(c) waiver, DMAS waives §§ 1902(a)(10)(B) and (C) of the Social Security Act related to comparability of services.

12VAC30-120-920. Individual eligibility requirements.

A. The Commonwealth has elected to cover low-income families with children as described in § 1931 of the Social Security Act; aged, blind, or disabled individuals who are eligible under 42 CFR 435.121; optional categorically needy individuals who are aged and disabled who have incomes at 80% of the federal poverty level; the special home and community-based waiver group under 42 CFR 435.217; and the medically needy groups specified in 42 CFR 435.320, 435.322, 435.324, and 435.330.

1. Under this waiver, the coverage groups authorized under § 1902(a)(10)(A)(ii)(VI) of the Social Security Act will be considered as if they were institutionalized for the purpose of applying institutional deeming rules. All recipients under the waiver must meet the financial and nonfinancial Medicaid eligibility criteria and meet the institutional level of care criteria. The deeming rules are applied to waiver eligible individuals as if the individual were residing in an institution or would require that level of care.

2. Virginia shall reduce its payment for home and community-based services provided to an individual who is eligible for Medicaid services under 42 CFR 435.217 by that amount of the individual's total income (including amounts disregarded in determining eligibility) that remains after allowable deductions for personal maintenance needs, deductions for other dependents, and medical needs have been made, according to the guidelines in 42 CFR 435.735 and § 1915(c)(3) of the Social Security Act as amended by the Consolidated Omnibus Budget Reconciliation Act of 1986. DMAS will reduce its payment for home and community-based waiver services by the amount that remains after the following deductions:

a. For individuals to whom § 1924(d) applies (Virginia waives the requirement for comparability pursuant to § 1902(a)(10)(B)), deduct the following in the respective order:

(1) An amount for the maintenance needs of the individual that is equal to 165% of the SSI income limit for one individual. Working individuals have a greater need due to expenses of employment; therefore, an additional amount of income shall be deducted. Earned income shall be deducted within the following limits: (i) for individuals employed 20 hours or more per week, earned income shall be disregarded up to a maximum of both earned and unearned income up to 300% of SSI and (ii) for individuals employed at least eight but less than 20 hours per week, earned income shall be disregarded up to a maximum of both earned and unearned income up to 200% of SSI. However, in no case, shall the total amount of income (both earned and unearned) that is disregarded for maintenance exceed 300% of SSI. If the individual requires a guardian or conservator who charges a fee, the fee, not to exceed an amount greater than 5.0% of the individual's total monthly income, is added to the maintenance needs allowance. However, in no case shall the total amount of the maintenance needs allowance (basic allowance plus earned income allowance plus guardianship fees) for the individual exceed 300% of SSI. (The guardianship fee is not to exceed 5.0% of the individual's total monthly income.);

(2) For an individual with only a spouse at home, the community spousal income allowance determined in accordance with § 1924(d) of the Social Security Act;

(3) For an individual with a family at home, an additional amount for the maintenance needs of the family determined in accordance with § 1924(d) of the Social Security Act; and

(4) Amounts for incurred expenses for medical or remedial care that are not subject to payment by a third party, including Medicare and other health insurance premiums, deductibles, or coinsurance charges and necessary medical or remedial care recognized under the state law but not covered under the State Plan.

b. For individuals to whom § 1924(d) of the Social Security Act does not apply, deduct the following in the respective order:

(1) An amount for the maintenance needs of the individual that is equal to 165% of the SSI income limit for one individual. Working individuals have a greater need due to expenses of employment; therefore, an additional amount of income shall be deducted. Earned income shall be deducted within the following limits: (i) for individuals employed 20 hours or more, earned income shall be disregarded up to a maximum of 300% of SSI and (ii) for individuals employed at least eight but less than 20 hours, earned income shall be disregarded up to a maximum of 200% of SSI. However, in no case, shall the total amount of income (both earned and unearned) that is disregarded for maintenance exceed 300% of SSI. If the individual requires a guardian or conservator who charges a fee, the fee, not to exceed an amount greater than 5.0% of the individual's total monthly income, is added to the maintenance needs allowance. However, in no case shall the total amount of the maintenance needs allowance (basic allowance plus earned income allowance plus guardianship fees) for the individual exceed 300% of SSI. (The guardianship fee is not to exceed 5.0% of the individual's total monthly income.);

(2) For an individual with a family at home, an additional amount for the maintenance needs of the family that shall be equal to the medically needy income standard for a family of the same size; and

(3) Amounts for incurred expenses for medical or remedial care that are not subject to payment by a third party including Medicare and other health insurance premiums, deductibles, or coinsurance charges and necessary medical or remedial care recognized under state law but not covered under the State Plan.

B. Assessment and authorization of home and community-based services.

1. To ensure that Virginia's home and community-based waiver programs serve only Medicaid eligible individuals who would otherwise be placed in a nursing facility, home and community-based waiver services shall be considered only for individuals who are eligible for admission to a nursing facility. Home and community-based waiver services shall be the critical service to enable the individual to remain at home and in the community rather than being placed in a nursing facility.

2. The individual's eligibility for home and community-based services shall be determined by the Preadmission Screening Team after completion of a thorough assessment of the individual's needs and available support. If an individual meets nursing facility criteria, the Preadmission Screening Team shall provide the individual and family/caregiver with the choice of Elderly or Disabled with Consumer Direction Waiver services or nursing facility placement.

3. The Preadmission Screening Team shall explore alternative settings or services to provide the care needed by the individual. When Medicaid-funded home and community-based care services are determined to be the critical services necessary to delay or avoid nursing facility placement, the Preadmission Screening Team shall initiate referrals for services.

4. Medicaid will not pay for any home and community-based care services delivered prior to the individual establishing Medicaid eligibility and prior to the date of the preadmission screening by the Preadmission Screening Team and the physician signature on the Medicaid Funded Long-Term Care Services Authorization Form (DMAS-96).

5. Before Medicaid will assume payment responsibility of home and community-based services, preauthorization must be obtained from the designated preauthorization contractor on all services requiring preauthorization. Providers must submit all required information to the designated preauthorization contractor within 10 business days of initiating care or within 10 business days of receiving verification of Medicaid eligibility from the local DSS. If the provider submits all required information to the designated preauthorization contractor within 10 business days of initiating care, services may be authorized beginning from the date the provider initiated services but not preceding the date of the physician's signature on the Medicaid Funded Long-Term Care Services Authorization Form (DMAS-96). If the provider does not submit all required information to the designated preauthorization contractor within 10 business days of initiating care, the services may be authorized beginning with the date all required information was received by the designated preauthorization contractor, but in no event preceding the date of the Preadmission Screening Team physician's signature on the DMAS-96 form.

6. Once services for the individual have been authorized by the designated preauthorization contractor, the provider/services facilitator will submit a Patient Information Form (DMAS-122), along with a written confirmation of level of care eligibility from the designated preauthorization contractor, to the local DSS to determine financial eligibility for the waiver program and any patient pay responsibilities. After the provider/services facilitator has received written notification of Medicaid eligibility by DSS and written enrollment from the designated preauthorization contractor, the provider/services facilitator shall inform the individual or family/caregiver so that services may be initiated.

7. The provider/services facilitator with the most billable hours must request an updated DMAS-122 form from the local DSS annually and forward a copy of the updated DMAS-122 form to all service providers when obtained.

8. Home and community-based care services shall not be offered or provided to any individual who resides in a nursing facility, an intermediate care facility for the mentally retarded, a hospital, an assisted living facility licensed by DSS ~~or an Adult Foster Care provider certified by DSS,~~ that serves five or more individuals, or a group home licensed by the Department of Mental Health, Mental Retardation and Substance Abuse Services with the exception of transition coordination and transition services. Additionally, home and community-based care services shall not be provided to any individual who resides outside of the physical boundaries of the Commonwealth, with the exception of brief periods of time as approved by DMAS or the designated preauthorization contractor. Brief periods of time may include, but are not necessarily restricted to, vacation or illness.

9. Certain home and community-based services shall not be available to individuals residing in an assisted living facility licensed by DSS that serves four individuals. These services are: respite, PERS, environmental modifications and transition services. Personal care services are limited to five hours per day of ADL care.

C. Appeals. Recipient appeals shall be considered pursuant to 12VAC30-110-10 through 12VAC30-110-380. Provider appeals shall be considered pursuant to 12VAC30-10-1000 and 12VAC30-20-500 through 12VAC30-20-560.

12VAC30-120-970. Personal emergency response system (PERS).

A. Service description. PERS is a service that monitors individual safety in the home and provides access to emergency assistance for medical or environmental emergencies through the provision of a two-way voice communication system that dials a 24-hour response or monitoring center upon activation and via the individual's home telephone line. PERS may also include medication monitoring devices.

B. Standards for PERS equipment. All PERS equipment must be approved by the Federal Communications Commission and meet the Underwriters' Laboratories, Inc. (UL) safety standard Number 1635 for digital alarm communicator system units and Number 1637 for home health care signaling equipment. The UL listing mark on the equipment will be accepted as evidence of the equipment's compliance with such standard. The PERS device must be automatically reset by the response center after each activation, ensuring that subsequent signals can be transmitted without requiring manual reset by the recipient.

C. Criteria. PERS services are limited to those individuals ages 14 and older who live alone or are alone for significant parts of the day and who have no regular caregiver for extended periods of time and who would otherwise require extensive routine supervision. PERS may only be provided in conjunction with personal care (agency- or consumer-directed), respite (agency- or consumer-directed), or adult day health care. An individual may not receive PERS if he has a cognitive impairment as defined in 12VAC30-120-900.

1. PERS can be authorized when there is no one else, other than the individual, in the home who is competent and continuously available to call for help in an emergency. If the individual's caregiver has a business in the home, such as, but not limited to, a day care center, PERS will only be approved if the individual is evaluated as being dependent in the categories of "Behavior Pattern" and "Orientation" on the Uniform Assessment Instrument (UAI).

2. Medication monitoring units must be physician ordered. In order to receive medication monitoring services, an individual must also receive PERS services. The physician orders must be maintained in the individual's file.

D. Services units and services limitations.

1. A unit of service shall include administrative costs, time, labor, and supplies associated with the installation, maintenance, adjustments, and monitoring of the PERS. A unit of service equals the one-month rental of PERS, the price of which is set by DMAS. The one-time installation of the unit includes installation, account activation, and individual and caregiver instruction. The one-time installation fee shall also include the cost of the removal of the PERS equipment.

2. PERS service must be capable of being activated by a remote wireless device and be connected to the individual's telephone line. The PERS console unit must provide hands-free voice-to-voice communication with the response center. The activating device must be waterproof, automatically transmit to the response center an activator low battery alert signal prior to the battery losing power, and be able to be worn by the individual.

3. In cases where medication monitoring units must be filled by the provider, the person filling the unit must be a registered nurse, a licensed practical nurse, or a licensed pharmacist. The units can be refilled every 14 days. There must be documentation of this in the individual's record.

E. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based waiver participating providers as specified in 12VAC30-120-80, 12VAC30-120-160, and 12VAC30-120-930, PERS providers must also meet the following qualifications and requirements:

1. A PERS provider must be either a personal care agency, a durable medical equipment provider, a hospital, a licensed home health provider, or a PERS manufacturer. All such providers shall have the ability to provide PERS equipment, direct services (i.e., installation, equipment maintenance, and service calls), and PERS monitoring;

2. The PERS provider must provide an emergency response center with fully trained operators who are capable of (i) receiving signals for help from an individual's PERS equipment 24 hours a day, 365 or 366 days per year as appropriate; (ii) determining whether an emergency exists; and (iii) notifying an emergency response organization or an emergency responder that the PERS individual needs emergency help;

3. A PERS provider must comply with all applicable Virginia statutes, all applicable regulations of DMAS, and all other governmental agencies having jurisdiction over the services to be performed;

4. The PERS provider has the primary responsibility to furnish, install, maintain, test, and service the PERS equipment, as required, to keep it fully operational. The provider shall replace or repair the PERS device within 24 hours of the individual's notification of a malfunction of the console unit, activating devices, or medication monitoring unit and shall provide temporary equipment while the original equipment is being repaired;

5. The PERS provider must properly install all PERS equipment into a PERS individual's functioning telephone line within seven days of the request unless there is appropriate documentation of why this timeframe cannot be met. The PERS provider must furnish all supplies necessary to ensure that the system is installed and working properly. The PERS provider must test the PERS device monthly, or more frequently if needed, to ensure that the device is fully operational;

6. The PERS installation shall include local seize line circuitry, which guarantees that the unit will have priority over the telephone connected to the console unit should the telephone be off the hook or in use when the unit is activated;

7. A PERS provider must maintain a data record for each PERS individual at no additional cost to DMAS or the individual. The record must document all of the following:

a. Delivery date and installation date of the PERS;

b. Individual/caregiver signature verifying receipt of the PERS device;

c. Verification by a test that the PERS device is operational, monthly or more frequently as needed;

d. Updated and current individual responder and contact information, as provided by the individual or the individual's caregiver; and

e. A case log documenting the individual's utilization of the system, all contacts, and all communications with the individual, caregiver, and responders;

8. The PERS provider must have backup monitoring capacity in case the primary system cannot handle incoming emergency signals;

9. All PERS equipment must be approved by the Federal Communications Commission and meet the Underwriters' Laboratories, Inc. (UL) Safety Standard Number 1635 for digital alarm communicator system units and Safety Standard Number 1637 for home health care signaling equipment. The UL listing mark on the equipment will be accepted as evidence of the equipment's compliance with such standard. The PERS device must be automatically reset by the response center after each activation, ensuring that subsequent signals can be transmitted without requiring a manual reset by the individual;

10. A PERS provider must furnish education, data, and ongoing assistance to DMAS and the designated preauthorization contractor to familiarize staff with the services, allow for ongoing evaluation and refinement of the program, and instruct the individual, caregiver, and responders in the use of the PERS services;

11. The emergency response activator must be activated either by breath, by touch, or by some other means, and must be usable by individuals who are visually or hearing impaired or physically disabled. The emergency response communicator must be capable of operating without external power during a power failure at the individual's home for a minimum period of 24 hours and automatically transmit a low battery alert signal to the response center if the backup battery is low. The emergency response console unit must also be able to self-disconnect and redial the backup monitoring site without the individual resetting the system in the event it cannot get its signal accepted at the response center;

12. PERS providers must be capable of continuously monitoring and responding to emergencies under all conditions, including power failures and mechanical malfunctions. It is the PERS provider's responsibility to ensure that the monitoring agency and the monitoring agency's equipment meets the following requirements. The PERS provider must be capable of simultaneously responding to multiple signals for help from individuals' PERS equipment. The PERS provider's equipment must include the following:

a. A primary receiver and a backup receiver, which must be independent and interchangeable;

b. A backup information retrieval system;

c. A clock printer, which must print out the time and date of the emergency signal, the PERS individual's identification code, and the emergency code that indicates whether the signal is active, passive, or a responder test;

d. A backup power supply;

e. A separate telephone service;

f. A toll-free number to be used by the PERS equipment in order to contact the primary or backup response center; and

g. A telephone line monitor, which must give visual and audible signals when the incoming telephone line is disconnected for more than 10 seconds;

13. The PERS provider must maintain detailed technical and operation manuals that describe PERS elements, including the installation, functioning, and testing of PERS equipment; emergency response protocols; and recordkeeping and reporting procedures;

14. The PERS provider shall document and furnish within 30 days of the action taken a written report for each emergency signal that results in action being taken on behalf of the individual. This excludes test signals or activations made in error. This written report shall be furnished to the personal care provider, the respite care provider, the CD services facilitation provider, the transition coordinator, case manager, as appropriate to the waiver in which the individual is enrolled or, in cases where the individual only receives ADHC services, to the ADHC provider;

15. The PERS provider is prohibited from performing any type of direct marketing activities to Medicaid individuals; and

16. The PERS provider must obtain and keep on file a copy of the most recently completed Patient Information form (DMAS-122). Until the PERS provider obtains a copy of the DMAS-122 form, the PERS provider must clearly document efforts to obtain the completed DMAS-122 form from the personal care provider, respite care provider, the CD services facilitation provider, the transition coordinator, the case manager, or the ADHC provider, as appropriate to the waiver in which the individual is enrolled.

Part X
Day Support Waiver for Individuals with Mental Retardation

12VAC30-120-1500. Definitions.

The following words and terms when used in this part shall have the following meanings unless the context clearly indicates otherwise:

"Appeal" means the process used to challenge adverse actions regarding services, benefits, and reimbursement provided by Medicaid pursuant to 12VAC30-110 and 12VAC30-20-500 through 12VAC30-20-560.

"Behavioral health authority" or "BHA" means the local agency, established by a city or county under Chapter 6 (§ 37.2-600 et seq.) of Title 37.2 of the Code of Virginia, that plans, provides, and evaluates mental health, mental retardation, and substance abuse services in the locality that it serves.

"Case manager" means the individual who performs case management services on behalf of the community services board or behavioral health authority, and who possesses a combination of mental retardation work experience and relevant education that indicates that the individual possesses the knowledge, skills and abilities as established by the Department of Medical Assistance Services in 12VAC30-50-450.

"CMS" means the Centers for Medicare and Medicaid Services, which is the unit of the federal Department of Health and Human Services that administers the Medicare and Medicaid programs.

"Comprehensive assessment" means the gathering of relevant social, psychological, medical, and level of care information by the case manager and is used as a basis for the development of the consumer service plan.

"Consumer service plan" or "CSP" means documents addressing needs in all life areas of individuals who receive Day Support Waiver services, and is comprised of individual service plans as dictated by the individual's health care and support needs. The case manager incorporates the individual service plans in the CSP.

"Date of need" means the date of the initial eligibility determination assigned to reflect that the individual is diagnostically and functionally eligible for the waiver and is willing to begin services within 30 days. The date of need is not changed unless the person is subsequently found ineligible or withdraws their request for services.

"Day support services" means training, assistance, and specialized supervision in the acquisition, retention, or improvement of self-help, socialization, and adaptive skills, which typically take place outside the home in which the individual resides. Day support services shall focus on enabling the individual to attain or maintain his maximum functional level.

"Day Support Waiver for Individuals with Mental Retardation" or "Day Support Waiver" means the program that provides day support, prevocational services, and supported employment to individuals on the Mental Retardation Waiver waiting list who have been assigned a Day Support Waiver slot.

"DMAS" means the Department of Medical Assistance Services.

"DMAS staff" means persons employed by the Department of Medical Assistance Services.

"DMHMRSAS" means the Department of Mental Health, Mental Retardation and Substance Abuse Services.

"DMHMRSAS staff" means persons employed by the Department of Mental Health, Mental Retardation and Substance Abuse Services.

"DRS" means the Department of Rehabilitative Services.

"DSS" means the Department of Social Services.

"Enroll" means that the individual has been determined by the case manager to meet the eligibility requirements for the Day Support Waiver and DMHMRSAS has verified the availability of a Day Support Waiver slot for that individual, and DSS has determined the individual's Medicaid eligibility for home and community-based services.

"Home and community-based waiver services" or "waiver services" means the range of community support services approved by the Centers for Medicare and Medicaid Services (CMS) pursuant to § 1915(c) of the Social Security Act to be offered to persons with mental retardation who would otherwise require the level of care provided in an Intermediate Care Facility for the Mentally Retarded (ICF/MR).

"Individual" means the person receiving the services or evaluations established in these regulations.

"Individual service plan" or "ISP" means the service plan related solely to the specific waiver service. Multiple ISPs help to comprise the overall consumer service plan.

"Intermediate Care Facility for the Mentally Retarded" or "ICF/MR" means a facility or distinct part of a facility certified by the Virginia Department of Health as meeting the federal certification regulations for an intermediate care facility for the mentally retarded and persons with related conditions. These facilities must address the total needs of the residents, which include physical, intellectual, social, emotional, and habilitation, and must provide active treatment.

"Mental retardation" or "MR" means ~~mental retardation~~ a disability as defined by the American Association on ~~Mental Retardation (AAMR)~~ Intellectual and Developmental Disabilities (AAIDD).

"Participating provider" means an entity that meets the standards and requirements set forth by DMAS and DMHMRSAS, and has a current, signed provider participation agreement with DMAS.

"Preauthorized" means that an individual service has been approved by DMHMRSAS prior to commencement of the service by the service provider for initiation and reimbursement of services.

"Prevocational services" means services aimed at preparing an individual for paid or unpaid employment, but are not job-task oriented. Prevocational services are provided to individuals who are not expected to be able to join the general work force without supports or to participate in a transitional sheltered workshop within one year of beginning waiver services (excluding supported employment programs). The services do not include activities that are specifically job-task oriented but focus on concepts such as accepting supervision, attendance, task completion, problem solving and safety. Compensation, if provided, is less than 50% of the minimum wage.

"Slot" means an opening or vacancy of waiver services for an individual.

12VAC30-120-1550. Services: day support services, prevocational services and supported employment services.

A. Service descriptions.

1. Day support means training, assistance, and specialized supervision in the acquisition, retention, or improvement of self-help, socialization, and adaptive skills, which typically take place outside the home in which the individual resides. Day support services shall focus on enabling the individual to attain or maintain his maximum functional level.

2. Prevocational services means services aimed at preparing an individual for paid or unpaid employment, but are not job-task oriented. Prevocational services are provided to individuals who are not expected to be able to join the general work force without supports or to participate in a transitional sheltered workshop within one year of beginning waiver services (excluding supported employment programs). The services do not include activities that are specifically job-task oriented but focus on concepts such as accepting supervision, attendance, task completion, problem solving and safety. Compensation, if provided, is less than 50% of the minimum wage.

3. Supported employment services are provided in work settings where persons without disabilities are employed. It is especially designed for individuals with developmental disabilities, including individuals with mental retardation, who face severe impediments to employment due to the nature and complexity of their disabilities, irrespective of age or vocational potential.

a. Supported employment services are available to individuals for whom competitive employment at or above the minimum wage is unlikely without ongoing supports and who because of their disability need ongoing support to perform in a work setting.

b. Supported employment can be provided in one of two models. Individual supported employment shall be defined as intermittent support, usually provided one-on-one by a job coach to an individual in a supported employment position. Group-supported employment shall be defined as continuous support provided by staff to eight or fewer individuals with disabilities in an enclave, work crew, bench work, or entrepreneurial model. The individual's assessment and CSP must clearly reflect the individual's need for training and supports.

B. Criteria.

1. For day support services, individuals must demonstrate the need for functional training, assistance, and specialized supervision offered primarily in settings other than the individual's own residence that allow an opportunity for being productive and contributing members of communities.

2. For prevocational services, the individual must demonstrate the need for support in skills that are aimed toward preparation of paid employment that may be offered in a variety of community settings.

3. For supported employment, the individual shall have demonstrated that competitive employment at or above the minimum wage is unlikely without ongoing supports, and that because of his disability, he needs ongoing support to perform in a work setting.

a. Only job development tasks that specifically include the individual are allowable job search activities under the Day Support waiver supported employment and only after determining this service is not available from DRS.

b. A functional assessment must be conducted to evaluate the individual in his work environment and related community settings.

C. Service types. The amount and type of day support and prevocational services included in the individual's service plan is determined according to the services required for that individual. There are two types of services: center-based, which is provided primarily at one location/building, and noncenter-based, which is provided primarily in community settings. Both types of services may be provided at either intensive or regular levels. For supported employment, the ISP must document the amount of supported employment required by the individual. Service providers are reimbursed only for the amount and type of supported employment included in the individual's ISP.

D. Intensive level criteria. For day support and prevocational services to be authorized at the intensive level, the individual must meet at least one of the following criteria: (i) require physical assistance to meet the basic personal care needs (toileting, feeding, etc); (ii) have extensive disability-related difficulties and require additional, ongoing support to fully participate in programming and to accomplish his service goals; or (iii) require extensive constant supervision to reduce or eliminate behaviors that preclude full participation in the program. In this case, written behavioral objectives are required to address behaviors such as, but not limited to, withdrawal, self-injury, aggression, or self-stimulation.

E. Service units. Day support, prevocational and group models of supported employment (enclaves, work crews, bench work and entrepreneurial model of supported employment) are billed in ~~units. Units shall be defined as:~~ accordance with the DMAS fee schedule.

~~1. One unit is 1 to 3.99 hours of service a day.~~

~~2. Two units are 4 to 6.99 hours of service a day.~~

~~3. Three units are 7 or more hours of service a day.~~

~~4. Supported employment for individual job placement is provided in one-hour units.~~

F. Service limitations.

1. There must be separate supporting documentation for each service and each must be clearly differentiated in documentation and corresponding billing.

2. The supporting documentation must provide an estimate of the amount of services required by the individual. Service providers are reimbursed only for the amount and type of services included in the individual's approved ISP based on the setting, intensity, and duration of the service to be delivered.

3. Day support, prevocational and group models of supported employment services shall be limited to a total of 780 units per CSP year, or its equivalent under the DMAS fee schedule. If an individual receives a combination of day support, prevocational and/or supported employment services, the combined total shall not exceed 780 units per CSP year, or its equivalent under the DMAS fee schedule.

4. The individual job placement model of supported employment is limited to 40 hours per week.

5. For day support services:

a. Day support cannot be regularly or temporarily provided in an individual's home or other residential setting (e.g., due to inclement weather or individual illness) without prior written approval from DMHMRSAS.

b. Noncenter-based day support services must be separate and distinguishable from other services.

6. For the individual job placement model, reimbursement of supported employment will be limited to actual documented interventions or collateral contacts by the provider, not the amount of time the individual is in the supported employment situation.

G. Provider requirements. In addition to meeting the general conditions and requirements for home and community-based participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, service providers must meet the following requirements:

1. The provider of day support services must be licensed by DMHMRSAS as a provider of day support services. The provider of prevocational services must be a vendor of extended employment services, long-term employment services, or supported employment services for DRS, or be licensed by DMHMRSAS as a provider of day support services.

2. Supported employment shall be provided only by agencies that are DRS vendors of supported employment services;

3. In addition to any licensing requirements, persons providing day support or prevocational services are required to participate in training in the characteristics of mental retardation and appropriate interventions, training strategies, and support methods for persons with mental retardation and functional limitations prior to providing direct services. All providers of services must pass an objective, standardized test of skills, knowledge, and abilities approved by DMHMRSAS and administered according to DMHMRSAS' defined procedures.

4. Required documentation in the individual's record. The provider agency must maintain records of each individual receiving services. At a minimum these records must contain the following:

a. A functional assessment conducted by the provider to evaluate each individual in the service environment and community settings.

b. An ISP that contains, at a minimum, the following elements:

(1) The individual's strengths, desired outcomes, required or desired supports and training needs;

(2) The individual's goals and, a sequence of measurable objectives to meet the above identified outcomes;

(3) Services to be rendered and the frequency of services to accomplish the above goals and objectives;

(4) A timetable for the accomplishment of the individual's goals and objectives as appropriate;

(5) The estimated duration of the individual's needs for services; and

(6) The provider staff responsible for the overall coordination and integration of the services specified in the ISP.

d. c. Documentation confirming the individual's attendance and amount of time in services, type of services rendered, and specific information regarding the individual's response to various settings and supports as agreed to in the ISP objectives. An attendance log or similar document must be maintained that indicates the date, type of services rendered, and the number of hours and units provided.

e. d. Documentation indicating whether day support or prevocational services were center-based or noncenter-based.

f. e. In instances where staff are required to ride with the individual to and from the service in order to provide needed supports as specified in the ISP, the staff time can be billed as day support, prevocational or supported employment services, provided that the billing for this time does not exceed 25% of the total time spent in the day support, prevocational or supported employment activity for that day. Documentation must be maintained to verify that billing for staff coverage during transportation does not exceed 25% of the total time spent in the service for that day.

g. f. If intensive day support or prevocational services are requested, there shall be documentation indicating the specific supports and the reasons they are needed. For ongoing intensive services, there must be clear documentation of the ongoing needs and associated staff supports.

h. g. The ISP goals, objectives, and activities must be reviewed by the provider quarterly, and annually, ~~and~~ or more often as needed and the results of the review submitted to the case manager. For the annual review and in cases where the ISP is modified, the ISP must be reviewed with the individual or family/caregiver.

i. h. Copy of the most recently completed DMAS-122 form. The provider must clearly document efforts to obtain the completed DMAS-122 form from the case manager.

j. i. For prevocational or supported employment services, documentation regarding whether prevocational or supported employment services are available through § 110 of the Rehabilitation Act of 1973 or through the Individuals with Disabilities Education Act (IDEA). If the individual is not eligible for services through the IDEA, documentation is required only for lack of DRS funding. When services are provided through these sources, the ISP shall not authorize such services as a waiver expenditure.

k. j. Prevocational services can only be provided when the individual's compensation is less than 50% of the minimum wage.

12VAC30-120-2000. Transition coordinator.

A. Service description.

1. Transition coordination means the DMAS-enrolled provider who is responsible for supporting the individual and family/caregiver, as appropriate, with the activities associated with transitioning from an institution to the community pursuant to the Elderly or Disabled with Consumer Direction waiver.

2. Transition coordination services include, but are not limited to, the development of a transition plan; the provision of information about services that may be needed, in accordance with the timeframe specified by federal law, prior to the discharge date, during and after transition; the coordination of community-based services with the case manager if case management is available; linkage to services needed prior to transition such as housing, peer counseling, budget management training, and transportation; and the provision of ongoing support for up to 12 months after discharge date.

B. Criteria.

1. In order to qualify for these services, the individual shall have a demonstrated need for transition coordination of any of these services. Documented need shall indicate that the service plan cannot be implemented effectively and efficiently without such coordination from this service. Transition coordination services must be prior authorized by DMAS or its designated agent.

2. The individual's service plan shall clearly reflect the individual's needs for transition coordination provided to the individual, family/caregivers, and providers in order to implement the service plan effectively. The service plan includes, at a minimum: (i) a summary or reference to the assessment; (ii) goals and measurable objectives for addressing each identified need; (iii) the services, supports, and frequency of service to accomplish the goals and objectives; (iv) target dates for accomplishment of goals and objectives; (v) estimated duration of service; (vi) the role of other agencies if the plan is a shared responsibility; and (vii) the staff responsible for coordination and integration of services, including the staff of other agencies if the plan is a shared responsibility.

C. Service units and limitations. The unit of service shall be specified by the DMAS fee schedule. The services shall be explicitly detailed in the supporting documentation. Travel time is an in-kind expense within this service and is not billable as a separate item. Transition coordination may not be billed solely for purposes of monitoring. Transition coordination shall be available to individuals who are transitioning from institutional care to the community. Transition coordination service providers shall be reimbursed according to the amount and type of service authorized in the service plan based on a monthly fee for service.

D. Provider requirements. In addition to meeting the general conditions and requirements for home- and community-based care participating providers as specified in 12VAC30-120-217 and 12VAC30-120-219, transition coordinators shall meet the following qualifications:

1. Transition coordinators shall be employed by one of the following: a local government agency; a private, nonprofit organization qualified under 26 USC § 501(c)(3); or a fiscal management service with experience in providing this service.

2. A qualified transition coordinator shall possess, at a minimum, a bachelor's degree in human services or health care and relevant experience that indicates the individual possesses the following knowledge, skills, and abilities. These shall be documented on the transition coordinator's job application form or supporting documentation, or observable in the job or promotion interview. The transition coordinator shall be at least 21 years of age.

3. Transition coordinators shall have knowledge of aging, independent living, the impact of disabilities and transition planning; individual assessments (including psychosocial, health, and functional factors) and their uses in service planning, interviewing techniques, individuals' rights, local human and health service delivery systems, including support services and public benefits eligibility requirements, principles of human behavior and interpersonal relationships, interpersonal communication principles and techniques, general principles of file documentation, the service planning process, and the major components of a service plan.

4. Transition coordinators shall have skills in negotiating with individuals and service providers; observing, and reporting behaviors; identifying and documenting an individual's needs for resources, services and other assistance; identifying services within the established services system to meet the individual's needs; coordinating the provision of services by diverse public and private providers; analyzing and planning for the service needs of the individual; and assessing individuals using DMAS' authorized assessment forms.

5. Transition coordinators shall have the ability to demonstrate a positive regard for individuals and their families or designated guardian; be persistent and remain objective; work as a team member, maintaining effective interagency and intraagency working relationships; work independently, performing position duties under general supervision; communicate effectively, both verbally and in writing; develop a rapport; communicate with different types of persons from diverse cultural backgrounds; and interview.

12VAC30-120-2010. Transition services.

A. Service description. "Transition services" means set-up expenses for individuals who are transitioning from an institution or licensed or certified provider-operated living arrangement to a living arrangement in a private residence, which may include an adult foster home, where the person is directly responsible for his own living expenses. 12VAC30-120-2010 provides the service description, criteria, service units and limitations, and provider requirements for this service.

The individual's transition from an institution to the community shall have a transition coordinator in order to receive EDCD Waiver services or a case manager or health care coordinator if he shall be receiving services through either the HIV/AIDS, IFDDS, MR or Technology Assisted Waivers.

B. Criteria for receipt of services. In order to be provided, transition services shall be prior authorized by DMAS or its designated agent. These services include rent or utility deposits, basic furniture and appliances, health and safety assurances, and other reasonable expenses incurred as part of a transition. For the purposes of transition services, an institution means an ICF/MR, a nursing facility, or a specialized care facility/hospital as defined at 42 CFR 435.1009. Transition services do not apply to an acute care admission to a hospital.

C. Service units and limitations.

1. Services are available for one transition per individual and must be expended within nine months from the date of authorization. The total cost of these services shall not exceed $5,000, per person lifetime limit coverage of transition costs to residents of nursing facilities, specialized care facility/hospitals, or ICF/MR, who are Medicaid recipients and are able to return to the community. The $5,000 maximum allowance must be expended within nine months from the date of authorization for transition services. It shall not be available to the individual after that period of time. The DMAS designated fiscal agent shall manage the accounting of the transition service. The transition coordinator for the EDCD Waiver or the case manager or health care coordinator, as appropriate to the waiver, shall ensure that the funding spent is reasonable and does not exceed the $5,000 maximum limit.

2. Allowable costs include, but are not limited to:

a. Security deposits that are required to obtain a lease on an apartment or home;

b. Essential household furnishings required to occupy and use a community domicile, including furniture, window coverings, food preparation items, and bed/bath linens;

c. Set-up fees or deposits for utility or services access, including telephone, electricity, heating and water;

d. Services necessary for the individual's health, safety, and welfare such as pest eradication and one-time cleaning prior to occupancy;

e. Moving expenses;

f. Fees to obtain a copy of a birth certificate or an identification card or driver's license; and

g. Activities to assess need, arrange for, and procure needed resources.

3. The services are furnished only to the extent that they are reasonable and necessary as determined through the service plan development process, are clearly identified in the service plan and the person is unable to meet such expense, or when the services cannot be obtained from another source. The expenses do not include monthly rental or mortgage expenses, food, regular utility charges, or household items that are intended for purely diversional/recreational purposes. This service does not include services or items that are covered under other waiver services such as chore, homemaker, environmental modifications and adaptations, or specialized supplies and equipment.

D. Provider requirements. Providers must be enrolled as a Medicaid Provider for Transition Coordination or Case Management and work with the DMAS designated agent to receive reimbursement for the purchase of appropriate transition goods or services on behalf of the individual.

NOTICE: The forms used in administering the above regulation are listed below. Any amended or added forms are reflected in the listing and are published following the listing.

FORMS (12VAC30-120)

Virginia Uniform Assessment Instrument (UAI) (1994).

Consent to Exchange Information, DMAS-20 (rev. 4/03).

Provider Aide/LPN Record Personal/Respite Care, DMAS-90 (rev. 12/02).

LPN Skilled Respite Record, DMAS-90A (eff. 7/05).

Personal Assistant/Companion Timesheet, DMAS-91 (rev. 8/03).

Questionnaire to Assess an Applicant's Ability to Independently Manage Personal Attendant Services in the CD-PAS Waiver or DD Waiver, DMAS-95 Addendum (eff. 8/00).

Medicaid Funded Long-Term Care Service Authorization Form, DMAS-96 (rev. 10/06).

Screening Team Plan of Care for Medicaid-Funded Long Term Care, DMAS-97 (rev. 12/02).

Provider Agency Plan of Care, DMAS-97A (rev. 9/02).

Consumer Directed Services Plan of Care, DMAS-97B (rev. 1/98).

Community-Based Care Recipient Assessment Report, DMAS-99 (rev. 4/03).

Consumer-Directed Personal Attendant Services Recipient Assessment Report, DMAS-99B (rev. 8/03).

MI/MR Level I Supplement for EDCD Waiver Applicants, DMAS-101A (rev. 10/04).

Assessment of Active Treatment Needs for Individuals with MI, MR, or RC Who Request Services under the Elder or Disabled with Consumer-Direction Waivers, DMAS-101B (rev. 10/04).

AIDS Waiver Evaluation Form for Enteral Nutrition, DMAS-116 (6/03).

Patient Information Form, DMAS-122 (rev. ~~12/98)~~ 11/07).

Technology Assisted Waiver/EPSDT Nursing Services Provider Skills Checklist for Individuals Caring for Tracheostomized and/or Ventilator Assisted Children and Adults, DMAS-259.

Home Health Certification and Plan of Care, CMS-485 (rev. 2/94).

IFDDS Waiver Level of Care Eligibility Form (eff. 5/07).

Description: http://leg5.state.va.us/images/443437782808LEGRJD_files/image001.jpg

Description: http://leg5.state.va.us/images/443439145367LEGRJD_files/image001.jpg

DOCUMENTS INCORPORATED BY REFERENCE (12VAC30-120)

Mental Retardation: Definition, Classification, and Systems of Supports, 10th Edition, 2002, American Association on Mental Retardation.

Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition (DMS-IV-TR), 2000, American Psychiatric Association.

Underwriter's Laboratories Safety Standard 1635, Standard for Digital Alarm Communicator System Units, Third Edition, January 31, 1996, with revisions through August 15, 2005.

Underwriter's Laboratories Safety Standard 1637, Standard for Home Health Care Signaling Equipment, Fourth Edition, December 29, 2006.

VA.R. Doc. No. R08-1107; Filed February 3, 2009, 11:08 a.m.

TITLE 13. HOUSING

BOARD OF HOUSING AND COMMUNITY DEVELOPMENT

Final Regulation

REGISTRAR’S NOTICE: The Board of Housing and Community Development is claiming an exemption from the Administrative Process Act in accordance with § 2.2-4002 B 4 of the Code of Virginia, which exempts regulations relating to grants of state or federal funds or property.

Title of Regulation: 13VAC5-100. Virginia Energy Assistance Program Weatherization Component (amending 13VAC5-100-10, 13VAC5-100-20).

Statutory Authority: § 36-137 of the Code of Virginia.

Effective Date: February 12, 2009.

Agency Contact: Steve Calhoun, Regulatory Coordinator, Department of Housing and Community Development, 501 North Second Street, Richmond, VA 23219, telephone (804) 371-7015, FAX (804) 371-7090, or email steve.calhoun@dhcd.virginia.gov.

Summary:

These regulations set out income eligibility limits and maximum average cost per dwelling unit. The amendments remove these specific dollar limits and state that these program criteria shall conform to the requirements set out by the federal program that funds the weatherization component.

13VAC5-100-10. Definitions.

The following words and terms when used in this chapter shall have the following meanings, unless the context indicates otherwise:

"Capital-intensive furnace or cooling efficiency modifications" means those major heating and cooling modifications which require a substantial amount of funds, including replacement and major repairs, but excluding such items as tune-ups, minor repairs, and filters.

"Department" means the Department of Housing and Community Development.

~~"DOE" means the U. S. Department of Energy.~~

"Dwelling unit" means a house, including a stationary mobile home, an apartment, a condominium, a group of rooms, or a single room occupied as separate living quarters. Separate living quarters are living quarters in which the occupants do not live and eat with any other persons in the structure and that have either direct access from the outside of the building or through a common hall or complete kitchen facilities for the exclusive use of the occupants. The occupants may be a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living arrangements.

"Household" means all persons living in the dwelling unit.

~~"Poverty guidelines" means the poverty income guidelines as established and published annually by the federal Department of Health and Human Services.~~

"Weatherization improvements" means determining, completing, reporting and inspecting measures that are intended to enable or improve residential energy efficiency and improve health and safety, and include, but are not limited to: (i) nonemergency heating system repairs, modifications or installations to include the fuel supply, the combustion exhaust system and the distribution systems; (ii) nonemergency cooling efficiency modifications; (iii) air sealing to include, but not limited to, sealing bypasses, chimney, plumbing and electrical chases; replacing missing or broken glass, missing windows, missing doors; sealing unused flues and fireplaces, holes, ceilings and floors; sealing or dampering dryer vents, kitchen exhaust fans, window air conditioners, utility penetrations; and providing a ground cover in crawlspaces; (iv) attic, floor, mobile home bellyboard and sidewall insulation; (v) insulating, repairing and sealing ducts and heating pipes; (vi) insulating, repairing and replacing domestic water heaters; (vii) water flow reducers; (viii) setback thermostats; (ix) energy related health and safety and indoor air quality measures such as carbon monoxide detectors, smoke detectors and passive or mechanical ventilation; and (x) compact fluorescent bulbs.

13VAC5-100-20. Purpose; eligibility criteria; benefits.

A. The purpose of the weatherization assistance component is to improve or enhance the energy efficiency of the dwelling unit occupied by eligible households, improve the energy related health and safety problems, and attempt to lessen dependency on the energy assistance program. The weatherization assistance component does not provide emergency assistance for energy or health and safety related problems.

B. Eligibility criteria is are set out in this subsection.

1. Maximum income eligibility limits for the weatherization component shall be ~~at or below 130% of the poverty~~ the maximum allowable as defined by 45 CFR Part 96, Subpart H. Funding priorities may be established by the department within income eligibility limits. ~~In order to be eligible for weatherization assistance, a family's income must be at or below the maximum income limits.~~

2. In order to be eligible for weatherization assistance a household’s calculated income must be at or below the maximum income eligibility limit.

3. A dwelling unit may be weatherized only after written permission of the owner is received.

C. Services will be provided ~~through the department's weatherization network~~ by qualified service providers as determined by the department.

D. The maximum ~~average~~ per dwelling unit benefit will be as provided for by the DOE regulations (10 CFR 440.18). A different average may be used for units with capital-intensive furnace or cooling efficiency modifications as provided for by DOE regulations. The forms of assistance or weatherization improvements shall include, but not be limited to, heating system inspections, diagnostics, repairs, replacements, installations and modifications to include the fuel supply, the combustion exhaust and the distribution systems; cooling efficiency modifications; energy efficiency improvements to include air sealing, duct repair and insulation, attic insulation and venting, sidewall insulation, mobile home bellyboard repair and insulation, domestic water heater insulation, floor insulation, repair and replacement of broken and missing glass, windows and doors, setback thermostats and water flow reducers investment of weatherization assistance component funds for weatherization improvements shall be consistent with 45 CFR Part 96, Subpart H.

E. When revisions to this regulation are required because of changes to federal regulations, these revisions will be reviewed by the Board of Housing and Community Development.

VA.R. Doc. No. R09-1780; Filed February 5, 2009, 1:39 p.m.

Guidance Documents
Vol. 25 Iss. 13 - March 02, 2009

DEPARTMENT OF ACCOUNTS

Copies of the following documents may be viewed during regular work days from 8 a.m. until 5 p.m. in the office of the Department of Accounts, 101 N. 14th Street, 2nd Floor, Richmond, VA 23219. Copies are available online at the Department of Accounts website (www.doa.virginia.gov); hardcopy of all documents except the CAPP Manual may be obtained free of charge by contacting Michael E. Rider at P.O. Box 1971, Richmond, VA 23218-1971, by calling (804) 225-3051, or by email at michael.rider@doa.virginia.gov.

Questions regarding interpretation or implementation of these documents may be directed to James W. Fisher, Director of Finance & Administration, at (804) 225-3045 or email at jim.fisher@doa.virginia.gov.

Guidance Documents:

Agency Risk Management and Internal Control Standards (ARMICS), updated routinely. This document provides risk management and internal control standards for state agencies and institutions.

Commonwealth Accounting Policies and Procedures (CAPP) manual, continuously updated. This document is a compendium of information that provides accounting guidance for state agencies and institutions.

Financial Statement Preparation for Agencies and Institutions, updated annually. There are two documents, one for agencies and one for institutions that provide financial statement preparation guidance.

Year End Closing Procedures, prepared annually. This document provides guidance to agencies and institutions regarding proper procedures for closing the state accounting year.

AUDITOR OF PUBLIC ACCOUNTS

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. in the office of the Auditor of Public Accounts, 101 N. 14th Street, 8th Floor, Richmond VA 23219. Copies may be obtained by contacting Kim Via at P.O. Box 1295, Richmond, VA 23218, telephone (804) 225-3350 (ext. 360); or email kimberly.via@apa.virginia.gov.

Questions regarding interpretation or implementation of these documents may be directed to Kim Via, Auditor, Auditor of Public Accounts, telephone (804) 225-3350 (ext. 360), or email kimberly.via@apa.virginia.gov.

Guidance Documents:

Specification for Audits of Counties, Cities, and Towns, periodically updated. $20 for manual. This document sets standards for audits of Virginia local governments as required by § 15.2-167 of the Code of Virginia

Specification for Audits of Authorities, Boards, and Commissions. $20 for manual. This document sets standards for audits of Virginia governmental authorities, boards, and commissions as required by § 30-140 of the Code of Virginia.

Uniform Financial Reporting Manual, periodically updated. $20 for manual. This document provides reporting requirements for Virginia local governments to follow in the preparation and submission of their Comparative Report of Local Government Revenues and Expenditures transmittal forms. Section 15.2-2510 of the Code of Virginia requires this submission of data.

Virginia Sheriffs Accounting Manual. $10 for manual. This document prescribes accounting procedures for funds collected by Virginia's sheriffs.

All the documents listed above are available electronically on the Internet at http://www.apa.virginia.gov/local_government/manuals.htm.

DEPARTMENT FOR THE AGING

Copies of the following documents may be viewed during regular workdays from 9 a.m. until 5 p.m. in the office of the Department for the Aging, 1610 Forest Avenue, Suite 100, Richmond, VA 23229. Copies may be obtained free of charge by contacting Janet James at the address above, telephone (804) 662-7049, FAX (804) 662-9354, or email janet.james@vda.virginia.gov.

Questions regarding interpretation or implementation of these documents may be directed to Janet James at the address above, telephone (804) 662-7049, FAX (804) 662-9354, or email janet.james@vda.virginia.gov.

Guidance Documents:

[10302008C] Minimum Procurement Guidelines, issued June 1, 2003

[10302008D] State Plan for Aging Services: October 1, 2007-September 30, 2011, effective October 1, 2007, implementing Title III and Title VII of the Older Americans Act of 1965 (as amended), § 2.2.703 A3.

[10302008A] Guidelines for a Client Appeals Process for Services Provided Under the Older Americans Act

[10302008B] Virginia Long-Term Care Ombudsman Program Policies and Procedures Manual, revised September 30, 2003.

[10302008E] Title III and Title V Service Standards, revised October 1, 2003, interpreting 22VAC5-20-80

[10302008F] Care Coordination for Elderly Virginians Policies and Procedures Manual, January 28, 2004.

[10302008G] Senior Employment Services Coordination Plan (Title V), PY2004 issued July 1, 2004; PY2005 Modification effective July 1, 2005.

[10302008H] Cost Sharing/Fee for Service Policy, implementing Title III and Title VII of the Older Americans Act of 1965 (as amended), Section 315(a)(2), 315(a)(5), 315(c)(1), 315(c)(2), 315(a)(6) and 315(b)(4)(A).

[10302008I] National Family Caregiver Support Program Guidelines, implementing Title III-E of the Older Americans Act

DEPARTMENT OF AGRICULTURE AND CONSUMER SERVICES

Guidance documents are available at the Oliver W. Hill Building, 102 Governor Street; Richmond, VA (or on the Regulatory Town Hall). For information about guidance documents of the Department of Agriculture and Consumer Services, including their interpretation, please contact:

For guidance documents relating to dairy and foods, contact Mr. Doug Saunders, at (804) 692-0601.

For guidance documents relating to the State Milk Commission, contact Mr. Rodney Phillips at (804) 786-2013.

For guidance documents relating to agricultural stewardship, contact Mr. Roy E. Seward at (804) 786-3538.

For guidance documents relating to all other matters (including ginseng), contact Mr. Frank Fulgham at (804) 786-3523.

Costs associated with obtaining printed copies of these documents from the agency vary. Guidance documents are available electronically for no charge on the Town Hall.

Board of Agriculture and Consumer Services

Guidance Documents:

Approved Capture Drugs and Drug Administering Equipment

Avian Influenza (H5 and H7) Proclamation

Dairy Services Procedure Manual

Food Safety & Security Field Operations Manual

Food Safety and Security Manual

Guidelines for Approving Industrial Co-Products for Agricultural Use under the Virginia Fertilizer & Agricultural Liming Materials Laws

Guidelines for Enforcement of the Virginia Code Relating to Motor Fuels and Lubricating Oils - Civil Penalty Assessment Decision Matrix

Guidelines for Enforcement of the Virginia Weights and Measures Law - Civil Penalty Assesment Decision Matrix

Guidelines for the Virginia Ginseng Management Program

Labeling of Cetane on Diesel Dispensers

Methods Prescribed or Approved for Animal Euthanasia and Competency Certification Requirements

Virginia Cotton Boll Weevil Trapping Program, 2008 Guidelines

Virginia Shipping Requirements for Package Bees and Queens

[1743] Agricultural Stewardship Act Guidelines (Part 1)

[1744] Agricultural Stewardship Act Guidelines (Part 2)

[751] Virginia Cooperative Gypsy Moth Suppression Program, 2009 Guidelines

[756] Virginia Entry Requirements for Honey Bee Hives and Appliances

Pesticide Control Board

Guidance Documents:

Administrative Procedure for Processing Violations for Civil Penalty Assessment and Actions on Certificates, Licenses, and Registrations

Interpreting PPE Standards on Pesticide Labels

USDA Restricted Use Pesticide Recordkeeping and WPS Pesticide Application Information Requirements

Agents of the VA Cooperative Extension Program Proctoring Commercial Applicator Examinations

Answering Telephone Requests for Pesticide Applicator or Pesticide Business License Examination Scores

Applicator Recertification Options; Approval Procedures for Recertification Courses

Applicator Testing in Order to Recertify

Commercial Carpet Cleaners who Apply Pesticides for Flea and Tick Control

Guidelines for Enforcement of the Virginia Pesticide Control Act

Handling of Information Changes on Applications for Recertification

How to Handle a Situation when a Person Applies for a Commercial Applicator Certificate and a Pesticide Business License at the Same Time

How to Handle Requests for Reinstatement, without Reexamination, of Expired Certificates Beyond the 60-Day Grace Period

Interpretation of Whether a Person Needs a Private Certificate or a Commercial Certificate to Engage in Producing Agricultural Commodities on Private Property

Issuance of Duplicate Applicator Certificates and Business Licenses

Issuance, Use, and Handling of Letters of Authorization (LOA) to Take Commercial Pesticide Applicator Certification Examination

Pesticide Applicator Reexamination Intervals

Requests for Lists of Certified Applicators; Licensed Pesticide Businesses, and/or Registered Pesticide Products

Supervision of Registered Technicians (Including Government Employees and Not-for-Hire Individuals)

Worker Protection Standard--Self Inspection Checklist

State Milk Commission

Guidance Documents:

[2727] VA State Milk Commission Monthly Report Audit Manual

[2728] Informational Memorandum VASMC B92-1

[2729] Informational Memorandum VASMC B92-2

[2730] Informational Memorandum VASMC B93-2

[2730] Informational Memorandum VASMC B93-3

[2732] Informational Memorandum VASMC B93-4

[2733] Informational Memorandum VASMC B93-5

DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL

Copies of guidance documents may viewed during regular workdays from 8:15 a.m. until 5 p.m. in the office of the Virginia Department of Alcoholic Beverage Control, 2901 Hermitage Road, Richmond, VA 23220. Copies may be obtained free of charge from and questions regarding interpretation or implementation of these documents may be directed to W. Curtis Coleburn, Chief Operating Officer, at the same address, telephone (804) 213-4409, FAX (804) 213-4411, or email at curtis.coleburn@abc.virginia.gov. Guidance documents are available electronically for no charge on the Virginia Regulatory Town Hall, www.townhall.virginia.gov.

Guidance Documents:

Circular Letter 06-01

Circular Letter 06-02

Circular Letter 06-03

Circular Letter 06-04

Circular Letter 07-01

Circular Letter 07-02

Circular Letter 07-03

Circular Letter 07-04

Circular Letter 07-05

Circular Letter 07-08

Circular Letter 92-1

Foam Board Advertising Approval

Licensee Bulletin Vol. 56, No.2

[Issued Quarterly] Licensee Newsletter - Spring 2003

Alcoholic Beverage Control Board

Guidance Documents:

Application for ABC License

Circular Letter 01-2

Circular Letter 08-01

Farm Winery Remote – Festivals Bulletin,

Licensee Bulletin - Vol.56, No.1

Licensee Bulletin Vol. 56 , No. 4

Licensee Bulletin Vol.56, No.3

Retail Licensee Guide

Virginia's Licensing Process

Wholesale Licensee Bulletin

VIRGINIA COMMISSION FOR THE ARTS

Copies of the following document may be viewed during regular work days from 8:30 a.m. until 5 p.m. in the office of the Virginia Commission for the Arts, Lewis House, 2nd Floor, 223 Governor Street, Richmond, VA 23219. Copies may be obtained free of charge by contacting Lorraine Lacy at the same address, telephone (804) 225-3132, FAX (804) 225-4327 or email arts@arts.virginia.gov The document may be found on the Virginia Commission for the Arts homepage (http://www.arts.virginia.gov).

Questions regarding interpretation or implementation of this document may be directed to Peggy Baggett, Executive Director, at the address above or email peggy.baggett@arts.virginia.gov.

Guidance Document:

Guidelines for Funding (http://www.arts.virginia.gov/grants/2008-2010GuidelinesforFunding_fin.pdf), revised July 1, 2008 - June 30, 2010

BOARD OF AUDIOLOGY AND SPEECH-LANGUAGE PATHOLOGY

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. at the offices of the Department of Health Professions, 9960 Mayland Drive, Suite 300, Richmond, VA 23233. Copies may also be downloaded from the board’s webpage at www.dhp.virginia.gov or the Regulatory Townhall at www.townhall.virginia.gov or requested by email at AudBD@dhp.virginia.gov. Questions regarding interpretation or implementation of these documents or requests for copies may be directed to Lisa R. Hahn, Executive Director of the Board, at the address above or by telephone at (804) 367-4630. Copies are free of charge.

Guidance Documents:

30-2, By-Laws of the Board of Audiology and Speech-Language Pathology, amended October 9, 2008

30-3, Board guidance on use of confidential consent agreements, re-adopted October 9, 2008

30-4, Board guidance for process of delegation of informal fact-finding to an agency subordinate, November 4, 2004

30-5, Board guidance on meeting continuing competency requirements, revised October 9, 2008

DEPARTMENT OF AVIATION

Copies of the referenced document may be viewed during normal business days from 8 a.m. until 5 p.m. at the Virginia Department of Aviation, 5702 Gulfstream Road, Richmond, VA 23250-2422. Single copies may be obtained free of charge by contacting Cherry A. Evans at the same address, telephone (804) 236-3631, FAX (804) 236-3635 or email cherry.evans@doav.virginia.gov. The referenced guidance document can also be found on line at www.doav.virginia.gov in either text form or through links to source depositories.

Questions regarding interpretation of these documents may be directed to Cherry A. Evans, Director of Communications and Education, Virginia Department of Aviation, 5702 Gulfstream Road, Richmond, VA 23250-2422, telephone (804) 236-3631, FAX (804) 236-3635 or email cherry.evans@doav.virginia.gov.

Guidance Document:

Commonwealth of Virginia Airport Program Manual updated April 2006, 24VAC5-20. The Virginia Aviation Regulations (24VAC5-20) and the Airport Program Manual address all state requirements for topics including, but not limited to (1) public airport sponsors, (2) private airport registration, (3) pilots, (4) aircraft owners, (5) aircraft licenses and insurance, (6) aerial applicators, (7) aircraft dealers, and associated businesses, and (8) obstructions to airspace.

DEPARTMENT FOR THE BLIND AND VISION IMPAIRED

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 4:30 p.m. at the administrative headquarters building of the Virginia Department for the Blind and Vision Impaired, 397 Azalea Avenue, Richmond, VA 23227. Please note that Policy and Procedures Directives are issued occasionally for the purpose of updating program service manuals. Copies of these documents, as well as those listed below, may be obtained at a cost of $.10 per page by contacting Kathy C. Proffitt at the same address, telephone (804) 371-3145, FAX (804) 371-3157 or email kathy.proffitt@dbvi.virginia.gov.

Questions regarding the interpretation or implementation of these documents may be directed to Eva F. Ampey, Special Assistant to the Commissioner, Virginia Department for the Blind and Vision Impaired, Richmond, VA 23227, telephone (804) 371-3110, FAX (804) 371-3351 or email eva.ampey@dbvi.virginia.gov.

Guidance Documents:

Randolph-Sheppard Vending Facility Program Operators Manual, issue March 1992, 22VAC45-20

Rehabilitation Teaching and Independent Living Services Policy and Procedure Manual, revised October 2008, 22VAC45-70 and 22VAC45-80

Virginia Department for the Blind and Vision Impaired Library and Resource Application for Service, revised January 2008

Library and Resource Center Policy and Procedures Manual for Educators of the Visually Impaired, revised October 1999

Education Services Policy and Procedure Manual, revised October 2008, § 22.1-217

Virginia Rehabilitation Center for the Blind and Vision Impaired Operations Manual, revised November 2004, § 51.5-73

VRCBVI Student Handbook, revised September 2008

Vocational Rehabilitation Policies and Procedures Manual, revised August 2008, 22VAC45-50

Low Vision Policies and Procedures Manual, revised August 2007

Orientation and Mobility Policy and Procedure Manual, revised September 2005

Policy and Procedures Directives, issued periodically to update service program manuals

VIRGINIA DEPARTMENT OF BUSINESS ASSISTANCE

Copies of the following document may be viewed during regular workdays from 8 a.m. until 5 p.m. in the offices of the Virginia Department of Business Assistance, 707 E. Main Street, Suite 300, Richmond, VA 23219. Copies may be obtained free of charge by contacting Elizabeth J. Moran at the same address, telephone (804) 371-8260, FAX (804) 371-2115 or email elizabeth.moran@vdba.virginia.gov.

Questions regarding interpretation or implementation of the Virginia Department of Business Assistance Workforce Services Jobs Investment Program Guidelines may be directed to Preston Wilhelm, Director, Workforce Services, Department of Business Assistance, 707 East Main Street, Richmond, VA 23219, telephone (804) 371-8132, FAX (804) 371-8137, or email preston.wilhelm@vdba.virginia.gov.

Guidance Documents:

Virginia Department of Business Assistance Workforce Services Jobs Investment Program Guidelines, June 30, 2006. § 2.2-902 A 1 of the Code of Virginia.

STATE CERTIFIED SEED BOARD

Copies of the following documents may be viewed during regular work days from 8 a.m. until 4:30 p.m. in the office of the Certified Seed Board, 330 Smyth Hall, Blacksburg, VA 24061. Copies may be obtained free of charge by contacting Dr. Steve Hodges at the same address, telephone (540) 231-9775 or FAX (540) 231-3431.

Questions regarding interpretation or implementation of this document may be directed to David Whitt, Agricultural Program Manager, 9225 Atlee Branch Road, Mechanicsville, VA 23116, telephone (804) 746-4884 or FAX (804) 746-9447.

State Certified Seed Board Annual Report, 2000

State Certified Seed Board Annual Report, 2001

State Certified Seed Board Annual Report, 2002 - 2003

State Certified Seed Board Annual Report, 2004

State Certified Seed Board Annual Report, 2005

State Certified Seed Board Annual Report, 2006

State Certified Seed Board Annual Report, 2007

State Certified Seed Board Annual Report, 2008

CHRISTOPHER NEWPORT UNIVERSITY

Copies of the following documents may be viewed during regular workdays from 8 a.m. until 5 p.m. in the Office of Institutional Research, Analysis and Reports, 1 University Place, Newport News, Virginia, 23606. Copies may be obtained free of charge by contacting Carol Safko, Director of Reports at the same address, FAX (757) 594-7508, telephone (757) 594-7609 or email irar@cnu.edu or throught Town Hall. Internet addresses for accessing the documents are listed below.

Questions regarding interpretation or implementation of these documents may also be directed to Carol Safko, Director of Reports, at the same address

Guidance documents:

Undergraduate Course Catalog and academic policies, revised June 2008, http://undergradcatalog.cnu.edu/

Graduate Course Catalog and academic policies, revised May 2008, http://gradstudies.cnu.edu/gradcat.pdf

Student Handbook, revised August 2008, http://studentlife.cnu.edu/pdf/student_handbook.pdf

Residence Hall Handbook, revised August 2007, http://studentlife.cnu.edu/pdf/residencelife/2007Handbook1.pdf

University Handbook, revised May 2008, http://public.cnu.edu/uhandbook/uhandbook09.pdf

Adjunct Faculty Handbook, revised May 2008, http://provost.cnu.edu/documents/08_adjunctfac_hndbk.pdf

CNU Clery Report, revised May 2006, http://police.cnu.edu/pdf/06clery.pdf

VIRGINIA CODE COMMISSION

Copies of the following documents may be viewed during regular work days from 8 a.m. until 4:30 p.m. in the office of the Virginia Code Commission, General Assembly Building, 2nd Floor, 910 Capitol Street, Richmond, VA 23219. Copies may be obtained free of charge by contacting Terri Edwards at the same address, telephone (804) 786-3591, FAX (804) 692-0625 or email tedwards@dls.virginia.gov. Internet addresses for accessing the documents are found below.

Questions regarding interpretation or implementation of these documents may be directed to Jane Chaffin, Registrar of Regulations, Virginia Code Commission, General Assembly Building, 2nd Floor, 910 Capitol Street, Richmond, VA 23219, telephone (804) 786-3591, FAX (804) 692-0625 or email jchaffin@dls.virginia.gov.

Guidance Documents:

Form, Style and Procedure Manual for Publication of Virginia Regulations, Seventh Edition, (http://register.dls.virginia.gov/StyleManual.doc), revised November 2008, § 2.2-4104

VIRGINIA COMMUNITY COLLEGE SYSTEM

Copies of the following document may be viewed during regular work days from 8 a.m. until 4:30 p.m. in the office of the Virginia Community College System, James Monroe Building, 101 N. 14th Street, 15th Floor, Richmond, VA 23219. Copies may be obtained by contacting Ms. Sharon Hutcheson at the same address, telephone (804) 819-4910, FAX (804) 819-4761 or email shutcheson@vccs.edu. The document may be downloaded from the Virginia Community College System homepage (http://www.vccs.edu).

Questions regarding interpretation or implementation of this document may be directed to Dr. Glenn DuBois, Chancellor, Virginia Community College System, 101 N. 14th St., 15th Floor, Richmond, VA 23219, telephone (804) 819-4903, FAX (804) 819-4760, or email gdubois@vccs.edu.

Guidance Document:

Virginia Community College System Policy Manual, (approximately 319 pages), revised July 17, 2008, §§ 23-214 through 23-231.1, $25.

DEPARTMENT OF CONSERVATION AND RECREATION

Copies of the following documents may be viewed during regular work days from 8:30 a.m. until 4:30 p.m. in the Office of the Director of the Department of Conservation and Recreation, 203 Governor Street, Suite 302, Richmond, VA 23219. The Director's Office serves as the central repository for the Department of Conservation and Recreation, the Board of Conservation and Recreation, the Virginia Soil and Water Conservation Board, the Chesapeake Bay Local Assistance Board, the Virginia Cave Board, the Virginia Scenic River Board, the Chippokes Plantation Farm Foundation, the Virginia Land Conservation Foundation, and the Virginia Outdoors Foundation. Individual copies of listed publications may be obtained free of charge, unless a price is listed, by contacting the Regulatory Coordinator at the above address, telephone (804) 786-6124 or FAX (804) 786-6141. Most manuals and reports listed without a price attached were produced in very limited quantities and are available for copying charges. For documents with a cost associated, please refer to the document listings. Individual copies of certain documents may also be viewed at the department's divisional headquarters and in some cases at regional or district offices or at Virginia State Parks.

Questions regarding interpretation or implementation of these documents may be directed to David C. Dowling, Policy, Planning, and Budget Director, Department of Conservation and Recreation, 203 Governor Street, Suite 302, Richmond, VA 23219, telephone (804) 786-2291 or FAX (804) 786-6141. Other staff may be assigned by the Director or Mr. Dowling to answer specific questions regarding these documents.

Guidance Documents:

Division of Dam Safety and Floodplain Management

DCR - DS - 006, The Floodplain Management Plan for the Commonwealth of Virginia, 2005 Revised Plan, 12/01/2005, §§ 10.1-600 through 10.1-603

DCR - DS - 009, Virginia Citizen's Guide to Floodplain Management, 12/01/2005. §§ 10.1-600 through 10.1-603

DCR - DS - 010, Virginia Local Officials Guide to Floodplain Management, 12/01/2005, §§ 10.1-600 through 10.1-603

Division of Natural Heritage

DCR - NH - 059, Natural Heritage Information Services, 12/01/2007, §§ 10.1-209 through 10.1-217

DCR - NH - 061, Natural Heritage Technical Document No. 95-9, North Landing River Natural Area Preserve Resource Management Plan, First Edition, 02/15/1995, §§ 10.1-209 through 10.1-217, cost: $25 (spiral bound report, shipping and handling included)

DCR - NH - 062, Natural Heritage Technical Document No. 95-10, Bethel Beach Natural Area Preserve Resource Management Plan, First Edition, 02/15/1995, §§ 10.1-209 through 10.1-217, cost: $25 (spiral bound report, shipping and handling included)

DCR - NH -063, Natural Heritage Ranks - Definition of Abbreviations Used on Natural Heritage Resource Lists of the Virginia Department of Conservation and Recreation, 05/01/1996, §§ 10.1-209 through 10.1- 217

DCR - NH - 064, Natural Heritage Resources of Virginia - Rare Animal Species, Natural Heritage Technical Report 06-10, 06/01/2006, §§ 10.1-209 through 10.1-217

DCR - NH - 065, The Natural Communities of Virginia: Classification of Ecological Community Groups - Second Approximation, Natural Heritage Technical Report 04 - 01, 01/01/2004, §§ 10.1-209 through 10.1-217

DCR - NH - 066, Natural Heritage Resource Fact Sheet - Conserving Endangered Species (brochure), 07/01/1997, §§ 10.1-209 through 10.1-217

DCR - NH - 067, Native Plants for Conservation, Restoration and Landscaping - Master List (comb-bound booklet), 07/01/1997, §§ 10.1-209 through 10.1-217

DCR - NH - 068, Virginia Natural Heritage Program Twelve Year Report, 06/01/1998, §§ 10.1-209 through 10.1-217

DCR - NH - 071, Bull Run Mountains Natural Area Preserve Resource Management Plan, First Edition, 12/01/2004, §§ 10.1-209 through 10.1-217, cost: $25 (spiral bound report, shipping and handling included)

DCR - NH - 072, Chub Sandhill Natural Area Preserve Resource Management Plan, First Edition, 12/01/2004, §§ 10.1-209 through 10.1-217, cost: $25 (spiral bound report, shipping and handling included)

DCR - NH - 073, Chotank Creek Natural Area Preserve Resource Management Plan, First Edition, 12/01/2004, §§ 10.1-209 through 10.1-217, cost: $25 (spiral bound report, shipping and handling included)

DCR - NH - 074, Virginia's Precious Heritage: A Report on the Status of Virginia's Natural Communities, Plants, and Animals, and a Plan for Preserving Virginia's Natural Heritage Resources, 2003, §§ 10.1-209 through 10.1-217, cost: $5 (dvd, shipping and handling included)

DCR - NH - 075, Natural Heritage Resources of Virginia – Rare Plants, Natural Heritage Technical Report 07-13, 05/01/2007, §§ 10.1-209 through 10.1-217

Division of Planning and Recreation Resources

DCR - PRR - 001, 2007 Virginia Outdoors Plan, 2008 [a plan for meeting Virginia's outdoor recreational needs and conserving the environment (a 716 page document)], §§ 10.1-200 and 10.1-207, cost: $48 plus $7 for shipping and handling - CD Rom version available for $2.50 plus $1.50 shipping and handling

DCR - PRR - 002, Virginia Recreational Trails Fund Program, 11/01/2006 (project application for the grant program established for the purposes of providing and maintaining recreational trails and trails-related facilities), § 10.1-200

DCR - PRR - 003, Land & Water Conservation Fund Grant Application Manual 2007, 09/07/2007 (describes the Virginia Outdoors Fund Grant Program and provides appropriate application instructions and forms), § 10.1-200

DCR - PRR - 010, Bear Creek State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 09/06/2002, and adopted by Joseph H. Maroon, 12/06/2002, §§ 10.107, 10.1-200 and 10.1-200.1

DCR - PRR - 011, Belle Isle State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 012, Caledon Natural Area Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 013, Chippokes State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/02/1999, adopted by David G. Brickley, 05/16/2000. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 04/26/2006 and adopted by Joseph H. Maroon on 11/14/2006, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 014, Claytor Lake State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/12/2000, and adopted by David Brickley, 03/06/2001. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 08/04/2006 and adopted by Joseph H. Maroon on 08/12/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 015, Douthat State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/162004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 016, False Cape State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 017, First Landing State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 09/27/1999, and adopted by David G. Brickley, 11/15/1999. The Master Plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and renewed by Joseph H. Maroon on 12/17/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 018, Hungry Mother State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/12/2000, and adopted by David G. Brickley, 03/06/2001, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 019, James River State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 020, Kiptopeke State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/12/2000, and adopted by David G. Brickley, 03/11/2001, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 021, Lake Anna State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 11/30/2001, and adopted by David G. Brickley, 01/08/2002. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 11/04/2004 and adopted by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 022, Mason Neck State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 06/17/2003, and adopted by Joseph H. Maroon, 02/19/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 023, New River Trail State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 04/26/1999, and adopted by David G. Brickley, 11/15/1999. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 01/08/2004 and approved by Joseph H. Maroon on 09/09/2005, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 024, Natural Tunnel State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/02/1999, and adopted by David G. Brickley, 05/16/2000, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 025, Occoneechee State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 11/07/2002, and adopted by Joseph H. Maroon, 06/09/2003. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 01/04/2005 and adopted by Joseph H. Maroon on 03/14/2005, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 026, Pocahontas State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998. The master plan was given a 5-year review by the Board of Conservation and Recreation on 11/04/2004 and was renewed by Joseph H. Maroon on 12/16/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 027, Raymond R. "Andy" Guest Jr./Shenandoah River State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/12/2000, and adopted by David G. Brickley, 03/11/2001. The Master Plan was revised and reviewed by the Board of Conservation and Recreation on 04/29/2006 and adopted by Joseph H. Maroon on 11/14/2006, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 028, Sailor's Creek State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 09/06/2002, and adopted by Joseph H. Maroon, 12/04/2002, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 029, Sky Meadows State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 06/17/2003, and adopted by Joseph H. Maroon, 02/19/2004, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 030, Smith Mountain Lake State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 11/07/2002, and adopted by Joseph H. Maroon, 06/06/2003, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 031, Staunton River Battlefield State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 12/07/1998, and adopted by David G. Brickley, 12/29/1998, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 032, Wilderness Road State Park Master Plan (formerly Karlan State Park), Reviewed by the Board of Conservation and Recreation on 06/30/1998 and 12/07/1998, and adopted by David G. Brickley on 07/02/1998 and 12/14/1998, updated 03/21/2002, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 033, Grayson Highlands State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 01/08/2004, and adopted by Joseph H. Maroon, 09/09/2005, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 034, Leesylvania State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 01/08/2004, and adopted by Joseph H. Maroon, 09/09/2005, §§ 10.1-107, 10.1-200 and 10.1-200.1

DCR - PRR - 035, Holiday Lake State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 01/06/2005, and adopted by Joseph H. Maroon, 12/20/2005, §§ 10.1-107, 10.1-200 and 10.1-200

DCR - PRR - 036, Twin Lakes State Park Master Plan, Reviewed by the Board of Conservation and Recreation on January 6, 2005, and adopted by Joseph H. Maroon, 12/20/2005, §§ 10.1-107, 10.1-200 and 10.1-200.

DCR - PRR - 037, York River State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 06/02/2005 and adopted by Joseph H. Maroon on 01/10/2006, §§ 10.1-107, 10.1-200 and 10.1-200.

DCR - PRR - 038, Westmoreland State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 06/02/2005 and adopted by Joseph H. Maroon on 01/10/2006, §§ 10.1-107, 10.1-200 and 10.1-200

DCR- PRR- 039, Fairy Stone State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 01/08/2004 and adopted by Joseph H. Maroon, 12/20/2005, §§ 10.1-107, 10.1-200 and 10.1-200

DCR- PRR- 040, Powhatan State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 11/30/2006 and adopted by Joseph H. Maroon, 02/22/2007, §§ 10.1-107, 10.1-200 and 10.1-200

DCR- PRR- 041, High Bridge State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 11/30/2006 and adopted by Joseph H. Maroon, 02/22/2007, §§ 10.1-107, 10.1-200 and 10.1-200

DCR- PRR- 042, Seven Bends State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 08/01/2008 and adopted by Joseph H. Maroon, 11/26/2008, §§ 10.1-107, 10.1-200 and 10.1-200

DCR – PRR – 043, Widewater State Park Master Plan, Reviewed by the Board of Conservation and Recreation on 08/01/2008 and adopted by Joseph H. Maroon, 11/26/2008, §§ 10.1-107, 10.1-200 and 10.1-200

Division of Soil and Water Conservation

DCR - SW - 007, Virginia Nutrient Management Guidelines for Continuing Education Meetings, 05/01/1997, 4VAC5-15-40 A

DCR - SW - 008, Virginia Nutrient Management Certification Education and Experience Guidelines, Document currently under revision, 4VAC5-15-40 A

DCR - SW - 009, Virginia Nutrient Management Application Instruction Packet, 10/01/1997, 4VAC5-15-40 A 1

DCR - SW - 010, Virginia Nutrient Management Standards and Criteria, 10/01/2005, 4VAC5-15

DCR - SW - 014, DCR Guidance for Crop Nutrient Recommendations for Hay/Pasture Fields, 01/01/2001, 4VAC5-15-150

DCR - SW - 015, DCR Guidance for Fall Applied Manure Nitrogen Rates for Small Grains, Document currently under revision, 4VAC5-15-150

DCR - SW - 016, DCR Guidance for Manure Storage Facilities for Nutrient Management Plans Developed for a VPA Permit, 01/01/2001, 9VAC25-192

DCR – SW – 017, Grant Project Management Manual, 12/01/07

Division of State Parks

DCR - SP - 001, Virginia State Parks, Bear Creek Lake State Park Guide, revised 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 002, Virginia State Parks, Belle Isle State Park Guide, 05/01/1995, §§ 10.1-200 and 10.1-201

DCR - SP - 003, Virginia State Parks, Caledon Natural Area Guide, 06/01/1995, §§ 10.1-200 and 10.1-201

DCR - SP - 004, Virginia State Parks, Chippokes Plantation State Park, 06/01/2003, §§ 10.1-200 and 10.1-201

DCR - SP - 005, Virginia State Parks, Claytor Lake State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 006, Virginia State Parks, Douthat State Park Facilities Guide, 10/01/2003, §§ 10.1-200 and 10.1-201

DCR - SP - 007, Virginia State Parks, Douthat State Park Trails Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 008, Virginia State Parks, Fairy Stone State Park Facilities Guide, 12/01/2007, §§ 10.1-200 and 10.1-201

DCR - SP - 009, Virginia State Parks, False Cape State Park Guide, 04/01/1993, §§ 10.1-200, 10.1-201, and 10.1-205

DCR - SP - 010, Virginia State Parks, First Landing State Park and Natural Area Trail Guide, 12/01/2008, §§ 10.1-200 and 10.1-201

DCR - SP - 011, Virginia State Parks, Grayson Highlands State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 012, Virginia State Parks, Holliday Lake State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 013, Virginia State Parks, Hungry Mother State Park Guide, 05/01/1998, §§ 10.1-200 and 10.1-201

DCR - SP - 014, Virginia State Parks, James River State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 015, Virginia State Parks, Kiptopeke State Park Guide, 12/01/2006, § 10.1-200 and 10.1-201

DCR - SP - 016, Virginia State Parks, Lake Anna State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 017, Virginia State Parks, Leesylvania State Park, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 018, Virginia State Parks, Mason Neck State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 019, Virginia State Parks, Natural Tunnel State Park Guide, 07/01/1996, §§ 10.1-200 and 10.1-201

DCR - SP - 020, Virginia State Parks, New River Trail State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 021, Virginia State Parks, Occoneechee State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 022, Virginia State Parks, Pocahontas State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 024, Virginia State Parks, Raymond R. "Andy" Guest, Jr./Shenandoah River State Park, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 025, Shot Tower Historical State Park, 09/01/1998, §§ 10.1-200 and 10.1-201

DCR - SP - 026, Virginia State Parks, Sky Meadows State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 027, Virginia State Parks, Smith Mountain Lake State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201

DCR - SP - 028, Virginia State Parks, Staunton River State Park Guide, 04/01/1994, §§ 10.1-200 and 10.1-201

DCR - SP - 030, Virginia State Parks, Twin Lakes State Park Guide, 07/01/2003, §§ 10.1-200 and 10.1-201

DCR - SP - 032, Virginia State Parks, Westmoreland State Park Guide, 12/01/2006, §§ 10.1-200 and 10.1-201,

DCR - SP - 033, Wilderness Road State Park, 11/01/1999, §§ 10.1-200 and 10.1-201

DCR - SP - 034, Virginia State Parks, York River State Park Guide, 06/01/2000, §§ 10.1-200 and 10.1-201

DCR - SP - 035, Virginia State Parks, First Landing State Park and Natural Area Trail System Guide, 12/01/2008, §§ 10.1-200 and 10.1-201

DCR - SP - 036, The 2008 Virginia State Parks' Guide to Virginia State Parks, §§ 10.1-200 and 10.1-201

DCR - SP - 037, Virginia State Parks 2008 Outdoor Adventure Guide and Calendar, §§ 10.1-200 and 10.1-201

DCR - SP - 038, Virginia State Parks Fee Guide, 12/01/2008, §§ 10.1-200 and 10.1-201

DCR - SP - 039, Virginia State Parks, Bear Creek Lake State Park, Cumberland Multi-Use Trail Map and Guide, 04/01/2000, §§ 10.1-200 and 10.1-201

DCR - SP - 043, Virginia State Parks, Chippokes Farm and Forestry Museum, §§ 10.1-200 and 10.1-201

DCR - SP - 046, Virginia State Parks, Fairy Stone State Park Trail Guide, 10/01/2003, §§ 10.1-200 and 10.1-201

DCR - SP - 047, Virginia State Parks, First Landing State Park Facilities Guide, 12/01/2008, §§ 10.1-200 and 10.1-201

Chesapeake Bay Local Assistance Board

DCR - CBLAB - 001, 1989 Atty. Gen. Ann. Rep, at 32 (to Delegate John G. Dicks, III, regarding vested rights), 10/19/1989, § 10.1-2115

DCR - CBLAB - 002, 1990 Atty. Gen. Ann. Rep, at 33 (to Prince William County Attorney Sharon E. Pandak, regarding septic system requirements), 09/10/1990, 9VAC10-20-120 (7)

DCR - CBLAB - 003, 1991 Atty. Gen. Ann. Rep, at 31 (to Delegate John C. Watkins, regarding grandfathering), 06/28/1991, § 10.1-2115

DCR - CBLAB - 004, 1991 Atty. Gen. Ann. Rep, at 36 (to Delegate George F. Allen, regarding unconstitutional taking of agricultural land), 07/02/1991, 9VAC10-20-130 B4

DCR - CBLAB - 005, 2001 Attorney General Opinion (letter to Michael D. Clower, CBLAD Executive Director) regarding the authority of the Chesapeake Bay Local Assistance Board to institute legal action to enforce the Chesapeake Bay Preservation Act and associated regulations, 11/26/2001, §§ 10.1-2103.10 and 10.1-2104, and 9VAC10-20-250

DCR - CBLAB - 006, 2002 Attorney General Opinion (letter to Leslie Kiduff, Jr., County Attorney for Northumberland County) regarding Equal Protection Clause of the Constitution of the United States, 10/30/2002, 9VAC10-20-120 and 9VAC10-20-130 (5)

DCR - CBLAB - 007, Board Guidance Document: Agricultural Operations: Soil and Water Quality Conservation Assessment/Plans, 12/09/2002, 9VAC10-20-120 (9)

DCR - CBLAB - 009, Board Determination of Consistency Regarding Local Designation of Resource Protection Areas, 02/01/1992, 9VAC10-20-80

DCR - CBLAB - 011, Department Checklist Used to Evaluate the Consistency of Locally Adopted Ordinances With the Chesapeake Bay Preservation Act and CBLAB Regulations, § 10.1-2109 B

DCR - CBLAB - 012, Department Checklist Used to Evaluate the Consistency of Locally Proposed or Adopted Comprehensive Plans, 01/01/1992, § 10.1-2109 B

DCR - CBLAB - 013, Board Guidance Document: Resource Protection Area - Onsite Buffer Area Delineation, 09/16/2002, 9VAC10-20-105

DCR - CBLAB - 014, Board Guidance Document: Resource Protection Area - Buffer Area Encroachments, 09/16/2002, 9VAC10-20-130 (3)

DCR - CBLAB - 015, Board Guidance Document: Stormwater Management Requirements, 09/16/2002, 9VAC10-20-120 (8)

DCR - CBLAB - 016, Board Guidance Document: Silvicultural Operations, 09/16/2002, 9VAC10-20-120 (10)

DCR - CBLAB - 017, Board Guidance Document: Exceptions, 09/16/2002, 9VAC10-20-150 C

DCR - CBLAB - 018, Board Guidance Document: Nonconforming Structures and Uses, 09/16/2002, 9VAC10-20-150 A

DCR - CBLAB - 019, Board Guidance Document: Determinations of Water Bodies with Perennial Flow, 12/10/2007, 9VAC10-20-105

DCR - CBLAB - 020, Board Guidance Document: Resource Protection Areas: Permitted Development Activities, 09/19/2005, 9VAC10-20-130

DCR - CBLAB - 021, Board Guidance Document: Administrative Procedures for the Designation and Refinement of Chesapeake Bay Preservation Area Boundaries, 09/15/2008, 9VAC10-20-60

DCR - CBLAB - 022, Guidance Manual: Riparian Buffers Modification & Mitigation Manual, 09/15/2003, 9VAC10-20-130

DCR - CBLAB - 023, Memorandum of Understanding between the Chesapeake Bay Local Assistance Department and the Department of Forestry, 12/15/2000, 9VAC10-20-120-10

DCR - CBLAB - 024, Letter to Henrico County, 03/03/2000, regarding the location of fences in the RPA, 9VAC10-20-130

DCR - CBLAB - 025, Letter to Hanover County, 04/20/2000, regarding the location of fences in the RPA, 9VAC10-20-130

DCR - CBLAB - 069, Letter to all Tidewater Administrators, Mayors and Town and City Managers, 04/14/2004, regarding stream and wetland restoration in RPAs and vesting issues, 9VAC10-20-130.1.b and § 15.2-2307

DCR - CBLAB - 080, Board Guidance Document: Agricultural Operations, Appendices, 12/09/2002, 9VAC10-20-120 (9)

DCR - CBLAB - 085, Procedural Policies for Local Program Review, 06/16/2008, 9VAC10-20

DCR - CBLAB - 086, Resource Protection Areas: Nontidal Wetland, 12/10/2007, 9VAC10-20

Chippokes Plantation Farm Foundation

DCR - CPFF - 002, Chippokes Farm and Forestry Museum brochure, 12/01/2004, §§ 3.1-22.6 through 3.1-22.12

DCR - CPFF - 003, Chippokes Calendar of Events brochure, §§ 3.1-22.6 through 3.1-22.12

DCR - CPFF - 005, SOL Programs Brochure, Chippokes Farm and Forestry Museum, §§ 3.1-22.6 through 3.1-22.12

DCR - CPFF - 006, Volunteering at the Chippokes Farm & Forestry Museum, 12/01/2002, §§ 3.1-22.6 through 3.1-22.12

DCR - CPFF - 007, Self-Guided Museum Tour Brochure, §§ 3.1-22.6 through 3.1-22.12

DCR - CPFF - 008, Self-Guided Farm Tour Brochure, §§ 3.1-22.6 through 3.1-22.12

Virginia Land Conservation Foundation

DCR - VLCF - 002, Virginia Land Conservation Foundation's 2008 Grant Program Manual, 09/01/2008, §§ 10.1-1017 through 10.1-1026

DCR - VLCF - 003, Virginia Land Conservation Foundation's Land Preservation Tax Credits, Conservation Value Review Criteria, adopted 11/21/2006 and amended 08/07/2008, § 58.1-512

DCR - VLCF - 004, Procedural Guidelines for Land Conservation Tax Credits Conservation Value Review, 12/22/2006, § 58.1-512

DCR - VLCF - 005, Virginia's Land Preservation Tax Credit Brochure, 10/31/2007, § 58.1-512

DCR – VLCF – 006, Land Preservation Tax Credit Questions and Answers, 02/01/2008, § 58.1-512

Virginia Scenic River Board

DCR - VSRB- 002, Scenic River Designation Factsheet, 08/26/2005, §§ 10.1-400 and 10.1-402

DCR - VSRB - 003, A Guide to Citizen Involvement in the Scenic River Designation Process, 09/01/2005, §§ 10.1-400 and 10.1-402

DCR - VSRB - 004, Evaluation Criteria (evaluating and ranking of streams according to relative uniqueness or quality), § 10.1-401

DCR - VSRB - 006, Virginia's Scenic Rivers Program...its mission and process, 12/01/2006, §§ 10.1-400, 10.1-402 and 10.1-411

Virginia Soil and Water Conservation Board

DCR - VSWCB - 002, Virginia Soil & Water Conservation Board Policy on Financial Assistance for Soil & Water Conservation Districts, 05/17/2007, §§ 10.1-502 through 10.1-505

DCR - VSWCB - 003, Financial Commitments for Establishment of a New Soil and Water Conservation District (SWCD/district), or Realignment of an Existing District, 10/15/2003

DCR - VSWCB - 004, Dam Safety Fact Sheet 1: Rodent Control on Earthfilled Dams, 10/01/2008, §§ 10.1-604 through 10.1-613.5

DCR - VSWCB - 005, Fact Sheet for Dam Ownership: Vegetation and Erosion Control on Earthfill Dams, 10/01/2008, §§ 10.1-604 through 10.1-613.5

DCR - VSWCB - 011, Virginia Stormwater Management Handbook, 12/01/1999, § 10.1-603.1, cost: $78 (shipping and handling included)

DCR - VSWCB - 012, Stormwater Management Enforcement Manual, 11/01/2005, 4VAC50-60

DCR - VSWCB - 013, Virginia Erosion and Sediment Control Handbook, Third Edition, 12/01/1992, 4VAC5-30, §§ 10.1-560 through 10.1-571, cost: $53 (shipping and handling included)

DCR - VSWCB - 014, Virginia Erosion and Sediment Control Field Manual, Second Edition, 12/01/1995, 4VAC5-30, §§ 10.1-560 through 10.1-571, cost: $25 (shipping and handling included)

DCR - VSWCB - 015, Virginia Erosion and Sediment Control Handbook AutoCad Drawings, 4VAC5-30, §§ 10.1-560 through 10.1-571, cost: $30 (shipping and handling included)

DCR - VSWCB - 018, Virginia Dam Safety, Flood Prevention & Protection Assistance Fund Loan and Grant Manual, 09/01/2007, § 10.1-603.16 et seq.

DCR - VSWCB - 019, Guidance Document on Impounding Structure Ownership, 09/25/2008, § 10.1-603.16 et seq.

STATE CORPORATION COMMISSION

Office of the Clerk of the Commission

Copies of the following forms and documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. in the office of the State Corporation Commission, Clerk's Office, 1st Floor, Tyler Building, 1300 East Main Street, Richmond, VA 23219. The mailing address is P.O. Box 1197, Richmond, VA 23218-1197. Copies may be obtained free of charge by contacting the Clerk's Office by telephone at (804) 371-9733 or toll-free in Virginia at (866) 722-2551, or FAX (804) 371-9654. The forms may be downloaded from the Clerk's Office section on the State Corporation Commission's homepage (www.scc.virginia.gov/clk/index.aspx).

Questions regarding interpretation or implementation of these forms/documents may be directed to Joel H. Peck, Clerk of the Commission, State Corporation Commission, 1st Floor, Tyler Building, 1300 East Main Street, Richmond, VA 23219, telephone (804) 371-9834 or toll-free in Virginia, (866) 722-2551, or FAX (804) 371-9912. The mailing address is P.O. Box 1197, Richmond, VA 23218-1197.

Guidance Documents:

SCC 21.2, Expedited Service Request - Business Entity Filing, August 2007, § 12.1-21.2

SCC 544, Articles of Incorporation of a Virginia Professional Stock Corporation, revised July 2005, § 13.1-544

SCC 607/807, Guide for Articles of Correction for a Virginia Corporation, revised July 2008, §§ 13.1-607 and 13.1-807

SCC 615/815, Notice of Assessment of Annual Registration Fee (Corporate), revised annually, §§ 13.1-615 and 13.1-815

SCC 619, Articles of Incorporation of a Virginia Stock Corporation, revised July 2005, § 13.1-619

SCC 631/830, Application for Reservation or for Renewal of Reservation of a Corporate Name, revised March 2008, §§ 13.1-631 and 13.1-830

SCC 632/831, Application for Registration or for Renewal of Registration of Corporate Name (foreign corporations), revised July 2005, §§ 13.1-632 and 13.1-831

SCC 635/834, Statement of Change of Registered Office and/or Registered Agent of a Corporation, revised July 2005, §§ 13.1-635, 13.1-764, 13.1-834 and 13.1-926

SCC 636/835, Statement of Resignation of Registered Agent of a Corporation, revised July 2005, §§ 13.1-636, 13.1-765, 13.1-835 and 13.1-927

SCC 710, Guide for Articles of Amendment - Virginia Stock Corporation, revised April 2008, § 13.1-710

SCC 710N, Articles of Amendment - Changing the Name of a Virginia Stock Corporation By Unanimous Consent of the Shareholders, revised July 2007, § 13.1-710

SCC 711, Guide for Articles of Restatement of a Virginia Stock Corporation, revised April 2008, § 13.1-711

SCC 720, Guide for Articles of Merger of a Virginia Stock Corporation, revised April 2008, § 13.1-720

SCC 722.4, Guide for Articles of Domestication (Foreign stock corporation intending to become a Virginia stock corporation), revised April 2008, § 13.1-722.4

SCC 722.5, Guide for Articles of Incorporation Surrender (Virginia stock corporation to be domesticated under the laws of another jurisdiction), revised April 2008, § 13.1-722.5

SCC 722.12 - CORP, Guide for Articles of Entity Conversion (Virginia limited liability company converting to a Virginia stock corporation), revised April 2008, § 13.1-722.12

SCC 722.12 - LLC, Guide for Articles of Entity Conversion (Virginia stock corporation converting to a Virginia limited liability company), revised July 2007, § 13.1-722.12

SCC 743, Articles of Dissolution (Virginia stock corporation), revised July 2007, § 13.1-743

SCC 744, Articles of Revocation of Dissolution (Virginia stock corporation), revised July 2007, § 13.1-744

SCC 750, Articles of Termination of Corporate Existence (Virginia stock corporation), revised July 2007, § 13.1-750

SCC 751, Articles of Termination of Corporate Existence (By the initial directors or the incorporators of a Virginia stock corporation), revised July 2007, § 13.1-751

SCC 759/921, Application for a Certificate of Authority to Transact Business in Virginia, revised July 2005, §§ 13.1-759 and 13.1-921

SCC 760/922, Application for an Amended Certificate of Authority to Transact Business in Virginia, revised July 2007, §§ 13.1-760 and 13.1-922

SCC 767/929, Application for a Certificate of Withdrawal of a Foreign Corporation Authorized to Transact Business in Virginia, revised July 2007, §§ 13.1-767 and 13.1-929

SCC 819, Articles of Incorporation - Virginia Nonstock Corporation, revised April 2008, § 13.1-819

SCC 888, Guide for Articles of Amendment - Nonstock Corporation, revised April 2008, § 13.1-888

SCC 888N, Articles of Amendment - Changing the Name of a Virginia Nonstock Corporation by Unanimous Consent of the Members or by the Directors Without Member Action, revised July 2007, § 13.1-888

SCC 889, Guide for Articles of Restatement of a Virginia Nonstock Corporation, revised April 2008, § 13.1-889

SCC 896, Guide for Articles of Merger of a Virginia Nonstock Corporation, revised April 2008, § 13.1-896

SCC 898.4, Guide for Articles of Domestication (Foreign nonstock corporation intending to become a Virginia nonstock corporation), revised April 2008, § 13.1-898.4

SCC 898.5, Guide for Articles of Incorporation Surrender (Virginia nonstock corporation to be domesticated under the laws of another jurisdiction), revised April 2008, § 13.1-898.5

SCC 904, Articles of Dissolution (Virginia nonstock corporation), revised July 2007, § 13.1-904

SCC 905, Articles of Revocation of Dissolution (Virginia nonstock corporation), revised July 2007, § 13.1-905

SCC 912, Articles of Termination of Corporate Existence (Virginia nonstock corporation), revised July 2007, § 13.1-912

SCC 913, Articles of Termination of Corporate Existence (By the initial directors or the incorporators of a Virginia nonstock corporation), revised July 2007, § 13.1-913

SCC 1, Corporate Annual Report of Principal Office and Officers/Directors, revised annually, §§ 13.1-775 and 13.1-936

LPA-73.3, Application for Reservation or for Renewal of Reservation of a Limited Partnership Name, revised July 2006, § 50-73.3

LPA-73.5, Statement of Change of Registered Office and/or Registered Agent of a Limited Partnership, revised July 2007, § 50-73.5

LPA-73.6, Statement of Resignation of Registered Agent of a Limited Partnership, revised July 2005, § 50-73.6

LPA-73.11, Certificate of Limited Partnership, revised April 2008, § 50-73.11

LPA-73.11:3, Certificate of Limited Partnership of a Domestic or Foreign Partnership Converting to a Virginia Limited Partnership, revised April 2008, § 50-73.11:3

LPA-73.12, Certificate of Amendment of a Certificate of Limited Partnership, revised April 2008, § 50-73.12

LPA-73.13, Certificate of Cancellation of a Certificate of Limited Partnership, revised April 2008, § 50-73.13

LPA-73.54, Application for a Certificate of Registration to Transact Business in Virginia as a Foreign Limited Partnership, revised April 2008, § 50-73.54

LPA-73.57, Certificate of Correction for a Foreign Limited Partnership, revised April 2008, § 50-73.57

LPA-73.58, Certificate of Cancellation of a Certificate of Registration as a Foreign Limited Partnership, revised April 2008, § 50-73.58

LPA-73.67, Limited Partnership Annual Registration Fee Notice, revised annually, § 50-73.67

LPA-73.77, Amended and Restated Certificate of Limited Partnership, revised April 2008, § 50-73.77

LLC-1010.1, Articles of Organization for Conversion of a Domestic or Foreign Partnership or Limited Partnership to a Limited Liability Company, revised April 2008, § 13.1-1010.1

LLC-1011, Articles of Organization of a Domestic Limited Liability Company, revised July 2006, § 13.1-1011

LLC-1011.1, Guide for Articles of Correction to the Articles of Organization of a Domestic Limited Liability Company, revised April 2008, § 13.1-1011.1

LLC-1013, Application for Reservation or for Renewal of Reservation of a Limited Liability Company Name, revised July 2006, § 13.1-1013

LLC-1014, Guide for Articles of Amendment - Virginia Limited Liability Company, revised April 2008, § 13.1-1014

LLC-1014NP, Articles of Amendment - Changing the Name and/or the Principal Office Address of a Virginia Limited Liability Company - By the Members, July 2008, § 13.1-1014

LLC-1014.1, Guide for Articles of Restatement of the Articles of Organization of a Virginia Limited Liability Company, revised April 2008, § 13.1-1014.1

LLC-1016, Statement of Change of Registered Office and/or Registered Agent of a Limited Liability Company, revised July 2006, § 13.1-1016

LLC-1017, Statement of Resignation of Registered Agent of a Limited Liability Company, revised July 2005, § 13.1-1017

LLC-1050, Articles of Cancellation of a Domestic Limited Liability Company, revised April 2008, § 13.1-1050

LLC-1050.1, Articles of Reinstatement of a Domestic Limited Liability Company (Voluntarily Canceled), revised July 2006, § 13.1-1050.1

LLC-1052, Application for Registration as a Foreign Limited Liability Company, revised April 2006, § 13.1-1052

LLC-1055, Certificate of Correction for a Foreign Limited Liability Company, revised April 2008, § 13.1-1055

LLC-1056, Certificate of Cancellation of a Certificate of Registration as a Foreign Limited Liability Company, revised April 2008, § 13.1-1056

LLC-1062, Limited Liability Company Annual Fee Notice, revised annually, § 13.1-1062

LLC-1077, Guide for Articles of Domestication (Foreign limited liability company intending to become a Virginia limited liability company), revised April 2008, § 13.1-1077

LLC-1078, Guide for Articles of Organization Surrender (Virginia limited liability company to be domesticated under the laws of another jurisdiction), revised April 2008, § 13.1-1078

LLC-1103, Articles of Organization for a Domestic Professional Limited Liability Company, revised July 2006, § 13.1-1103

UPA-93, Statement of Partnership Authority, revised April 2008, § 50-73.93

UPA-94, Statement of Denial for a Partnership, revised August 2006, § 50-73.94

UPA-115, Statement of Dissociation from a Partnership, revised January 2006, § 50-73.115

UPA-121, Statement of Dissolution of a Partnership, revised January 2006, § 50-73.121

UPA-83D-CANC, Cancellation of Partnership Statement (of any statement filed), revised January 2006, § 50-73.83 D

UPA-83D-AMEND, Amendment to Partnership Statement (of any statement filed), revised January 2006, § 50-73.83 D

UPA-83D-RENEW, Renewal of a Statement of Partnership Authority, revised May 2008, § 50-73.83 D

UPA-132, Statement of Registration as a Domestic Registered Limited Liability Partnership, revised July 2003, § 50-73.132

UPA-134, Annual Continuation Report of a Domestic or Foreign Registered Limited Liability Partnership, revised April 2008, § 50-73.134

UPA-135, Certificate of Change of Registered Office and/or Registered Agent of a Registered Limited Liability Partnership, revised July 2005, § 50-73.135

UPA-135-RESIGN, Certificate of Resignation of Registered Agent of a Registered Limited Liability Partnership, revised July 2005, § 50-73.135

UPA-136, Statement of Amendment of a Statement of Registration of a Domestic or Foreign Registered Limited Liability Partnership, revised April 2008, § 50-73.136

UPA-137, Statement of Cancellation of a Statement of Registration of a Domestic Registered Limited Liability Partnership, revised April 2006, § 50-73.137

UPA-138, Statement of Registration as a Foreign Registered Limited Liability Partnership, revised July 2004, § 50-73.138

UPA-139, Statement of Cancellation of Registration as a Foreign Registered Limited Liability Partnership, revised April 2006, § 50-73.139

BTA 1212, Articles of Trust of a Domestic Business Trust, revised July 2005, § 13.1-1212

BTA 1213, Guide for Articles of Correction to the Articles of Trust of a Domestic Business Trust, revised April 2008, § 13.1-1213

BTA 1215, Application for Reservation or for Renewal of Reservation of a Business Trust Name, revised July 2006, § 13.1-1215

BTA 1216, Guide for Articles of Amendment to the Articles of Trust of a Domestic Business Trust, revised April 2008, § 13.1-1216

BTA 1217, Guide for Articles of Restatement of the Articles of Trust of a Domestic Business Trust, revised April 2008, § 13.1-1217

BTA 1221, Statement of Change of Registered Office and/or Registered Agent of a Business Trust, revised July 2005, § 13.1-1221

BTA 1222, Statement of Resignation of Registered Agent of a Business Trust, revised July 2005, § 13.1-1222

BTA 1238, Articles of Cancellation of a Domestic Business Trust, revised April 2008, § 13.1-1238

BTA 1239, Articles of Reinstatement of a Domestic Business Trust (Voluntarily Canceled), revised July 2006, § 13.1-1239

BTA 1242, Application for Registration as a Foreign Business Trust, revised July 2005, § 13.1-1242

BTA 1245, Certificate of Correction for a Foreign Business Trust, revised April 2008, § 13.1-1245

BTA 1246, Articles of Cancellation of a Certificate of Registration as a Foreign Business Trust, revised April 2008, § 13.1-1246

SOP-19.1, Service of Process, Notice, Order or Demand on the Clerk of the State Corporation Commission as Statutory Agent, revised January 2006, § 12.1-19.1

UCC1, UCC Financing Statement, revised May 22, 2002, § 8.9A-509

UCC1Ad, UCC Financing Statement Addendum, revised May 22, 2002, § 8.9A-509

UCC1AP, UCC Financing Statement Additional Party, revised May 22, 2002, § 8.9A-509

UCC3, UCC Financing Statement Amendment, revised May 22, 2002, § 8.9A-512

UCC3Ad, UCC Financing Statement Amendment Addendum, revised July 29, 1998, § 8.9A-512

UCC3AP, UCC Financing Statement Amendment Additional Party, revised May 22, 2002, § 8.9A-512

UCC5, Correction Statement, revised May 27, 2004, § 8.9A-518

UCC11, National Information Request, revised May 9, 2001, 5VAC5-30-40

Charter Fee/Entrance Fee Scheduled for Domestic and Foreign Corporations, revised March 2008, §§ 13.1-615.1, 13.1-616, 13.1-815.1 and 13.1-816

Annual Corporation Requirements, revised February 2005, §§ 13.1-775, 13.1-775.1, 13.1-936 and 13.1-936.1

Business Registration Guide, A Cooperative Effort by the State Corporation Commission, the Virginia Employment Commission and the Department of Taxation, 8th Edition, revised 2005

Notice to Virginia Corporations, revised March 2008, § 13.1-601 et seq., § 13.1-801 et seq.

Notice to Foreign Corporations, revised March 2008, § 13.1-757 et seq., § 13.1-919 et seq.

Notice to Virginia Limited Liability Companies, revised March 2008, § 13.1-1000 et seq.

Notice to Foreign Limited Liability Companies, revised March 2008, § 13.1-1051 et seq.

EINFRM, Request for Refund, revised April 2006, §§ 13.1-615, 13.1-815, 13.1-1065, 13.1-1255, 50-73.70 and 50-73.83

Division of Communications

Copies of the following documents may be viewed during regular work days from 8 a.m. until 4:30 p.m. in the office of the Division of Communications, State Corporation Commission, 9th Floor, Tyler Building, 1300 East Main Street, Richmond, VA 23219. The mailing address is P.O. Box 1197, Richmond, VA 23218. Copies may be obtained by contacting Ms. Sheryl Ward at the same address, telephone (804) 371-9536, FAX (804) 371-9069 or email (Sheryl.Ward@scc.virginia.gov). Questions regarding interpretation or implementation of these documents may also be directed to Ms. Sheryl Ward. There is no charge for copies of documents. Additional information regarding the Division of Communications may be obtained by visiting http://www.scc.virginia.gov/puc.

Guidance Documents:

Virginia Local Telephone Companies Telecommunications "Bill of Rights" adopted by Final Order in Case No. PUC-2003-00110 dated September 30, 2005.

Letter, Director of Communications, dated October 25, 1990, Advising All Companies That All Local and Toll Billing Must Be Kept for a Minimum of Three Years.

Letter, Director of Communications, dated October 21, 1997, Advising All Telecommunications Companies That: (1) No Applicant Can Be Refused Telephone Service Because of Another Person's Indebtedness, And (2) A Utility May Not Disconnect Local Service For Nonpayment of International and/or Interstate Dial-A-Porn/Pay-Per-Call Telephone Charges Billed By a Regulated or Nonregulated Long Distance Carrier Since These Are Nonregulated Services.

Letter, Director of Communications, dated November 1, 2006, Concerning and Clarifying the State Corporation Commission's new rules, effective December 1, 2006, on Disconnection of Local Exchange Telephone Service in Virginia for Nonpayment, 20VAC5-413.

Letter, Director of Communications, dated April 19, 2001, Concerning Interconnection Agreements Filed with the SCC. Gives direction on (i) names on agreements, (ii) timely filing of agreements, (iii) notice requirements, and (iv) replacing existing agreements.

Letter, Director of Communications, dated December 16, 2008, Concerning Annual Payphone Service Provider Registration for 2007 including the letter and the forms for the payphone service provider annual registration.

Letter, Director of Communications, dated December 16, 2008, Concerning Annual Operator Service Provider Registration for 2007 including the letter and the forms for the operator service provider annual registration.

Letter, Director of Communications, dated March 29, 2006, Concerning Telephone Company Sales and Use Tax Review and Verification.

Application for Registration as an Operator Service Provider, January 21, 2005, 20VAC5-407

Application for Registration as a Payphone Service Provider, January 21, 2005, 20VAC5-407

Division of Economics and Finance

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. in the office of the Division of Economics and Finance, State Corporation Commission, Tyler Building, 4th Floor, 1300 East Main Street, Richmond, VA 23219. The mailing address is P.O. Box 1197, Richmond, VA 23218. Copies may be obtained free of charge by contacting Freida Bomgardner at the same address, telephone (804) 371-9295, FAX (804) 371-9935 or email econfin@scc.virginia.gov. Some of the documents may be downloaded from the division's website at http://www.scc.virginia.gov/eaf.

Questions regarding interpretation or implementation of these documents may be directed to Howard Spinner, Director of the Division of Economics and Finance, State Corporation Commission, Tyler Building, 4th Floor, 1300 East Main Street, Richmond, VA 23219, telephone (804) 371-9295, FAX (804) 371-9449 or email econfin@scc.virginia.gov. The mailing address is P.O. Box 1197, Richmond, VA 23218.

Guidance Documents:

Interest Rate to be Paid on Customer Deposits, revised December 15, 2006, 20VAC5-10-20, updated annually

Electric Utility Integrated Resource Planning Guidelines, revised December 23, 2008, §§ 56-597, 56-598 and 56-599

Gas Utility Five-Year Forecast Information Requirements, revised September 17, 1998, § 56-248.1

Instructions for Filing Securities Applications by Investor-Owned Utilities, revised June 20, 2000, § 56-60

Instructions for Filing Securities Applications by Electric Cooperative Utilities, revised June 20, 2000, § 56-60

Instructions for Submitting Annual Financing Plans by Investor-Owned Utilities, revised June 20, 2000, § 56-56

Instructions for Submitting Annual Financing Plans by Electric Cooperative Utilities, June 20, 2000, § 56-56

Instructions and Forms for June 30th Reporting Requirements for New Entrants and Certain ILECs, revised May 1, 2008, 20VAC5-417-60

Instructions and Forms for December 31st Reporting Requirements for New Entrants and Certain ILECs, revised May 1, 2008, 20VAC5-417-60

Instructions for Interexchange Telecommunications Carriers Annual Reporting, November 5, 2001, 20VAC5-411-50

Division of Energy Regulation

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. in the office of the SCC's Division of Energy Regulation, 4th Floor, Tyler Building, 1300 East Main Street, Richmond, VA 23219. The mailing address is P.O. Box 1197, Richmond, VA 23218. Contact Sallie Holmes at the same address, telephone number (804) 371-9611, FAX (804) 371-9350 or email sallie.holmes@scc.virginia.gov.

Guidance Documents:

Questions regarding interpretation or implementation of these documents may be directed to Timothy Faherty, Manager, Consumer Services, at the above address and telephone number.

Memorandum to All Electric Utilities re: Underground electric distribution facilities, July 10, 1970, § 56-265.1 et seq.

Tree Trimming Guidelines, September 1, 1996, House Joint Resolution No. 155 - 1989 Acts of Assembly

Guidelines re: application requirements for a certificate of public convenience and necessity for water and sewerage utilities, November 1, 2006, § 56-265.1 et seq.

Guidelines of Minimum Requirements for Transmission Line Applications, May 10, 1991, §§ 56-46.1 and 56-265.1 et seq.

Letter to all electric and gas utilities re: collection of monthly bills (cold weather - termination of service) and filing of complaint procedures, November annually, § 56-247.1

Letter to electric cooperatives re: tree trimming items required to be compiled on an annual basis, February 26, 1990, House Joint Resolution No. 155 - 1989 Acts of Assembly

Letter to electric companies re: data required annually for tree trimming for utility line clearance, December 8, 1993, House Joint Resolution No. 155 - 1989 Acts of Assembly

Form NMIN, Net Metering Interconnection Notification, September 2006, 20VAC5-315

Bureau of Financial Institutions

Copies of the following documents may be viewed during regular work days from 8:15 a.m. until 5 p.m. in the office of the Bureau of Financial Institutions, Tyler Building, 8th Floor, 1300 E. Main Street, Richmond, VA 23219. The mailing address is P.O. Box 640, Richmond, VA 23218-0640. Copies may be obtained free of charge by contacting Mary Lou Kelly at the same address, telephone (804) 371-9659, FAX (804) 371-9416 or email marylou.kelly@scc.virginia.gov.

Questions regarding interpretation or implementation of these documents may be directed to E. J. Face, Jr., Commissioner of Financial Institutions, Bureau of Financial Institutions, Tyler Building, 8th Floor, 1300 E. Main Street, Richmond, VA 23219, telephone (804) 371-9659, FAX (804) 371-9416 or email bfiquestions@scc.virginia.gov. The mailing address is P.O. Box 640, Richmond, VA 23218-0640.

Guidance documents and other information are available online at the Bureau's website: http://www.scc.virginia.gov/bfi.

Guidance Documents:

Banking Act

BFI-AL-0201, Application for a Branch Office, revised and reissued July 1, 1999, §§ 6.1-39.3 and 6.1-194.26 of the Code of Virginia

BFI-AL-0202, Investments by Banks in Shares of Investment Companies, issued August 10, 1987, § 6.1-60.1 of the Code of Virginia

BFI-AL-0203, Loans Secured by Stock of Financial Institutions Holding Companies, revised and reissued January 22, 1996, §§ 6.1-60.1, 6.1-194.69 and 6.1-194.136 of the Code of Virginia

BFI-AL-0204, Investment in Community Development Corporations, issued September 8, 1988, § 6.1-60.1 of the Code of Virginia

BFI-AL-0205, Securities Rating Services, issued June 21, 1978, § 6.1-61 of the Code of Virginia

BFI-AL-0206, Loans in Violation of § 6.1-61, issued December 16, 1977, § 6.1-61 of the Code of Virginia

BFI-AL-0207, Obligations Subject to the Limits Specified, issued November 1, 1978, § 6.1-61 of the Code of Virginia

BFI-AL-0208, Exceptions to Lending Limits for State-Chartered Banks, issued December 16, 1977, §§ 6.1-61 A 2 and 6.1-61 A 7 of the Code of Virginia

BFI-AL-0209, Right of Offset by Holders of Subordinated Bank Debt, issued November 9, 1981, §§ 6.1-61 and 6.1-78 of the Code of Virginia

BFI-AL-0210, Loans Secured by Real Estate, revised and reissued August 8, 2005, §§ 6.1-63 through 6.1-66 of the Code of Virginia

BFI-AL-0212, Outside Auditor Access to Virginia Examination Reports, revised and reissued September 30, 2002, §§ 6.1-90 and 6.1-194.79 of the Code of Virginia

BFI-AL-0214, Responsibility of Directors for Legal Lending Limit Violations, issued May 7, 1991, § 6.1-61 D of the Code of Virginia

BFI-AL-0215, Bank-Owned Life Insurance, revised and reissued April 1, 2004, §§ 6.1-6, 6.1-11, 13.1-627 A 14, 13.1-627 A 15, and 38.2-302 A 3 of the Code of Virginia

Savings Institutions Act

BFI-AL-0201, Application for a Branch Office, revised and reissued July 1, 1999, §§ 6.1-39.3 and 6.1-194.26 of the Code of Virginia

BFI-AL-0203, Loans Secured by Stock of Financial Institutions Holding Companies, revised and reissued January 22, 1996, §§ 6.1-60.1, 6.1-194.69 and 6.1-194.136 of the Code of Virginia

BFI-AL-0212, Outside Auditor Access to Virginia Examination Reports, revised and reissued September 30, 2002, §§ 6.1-90 and 6.1-194.79 of the Code of Virginia

BFI-AL-0301, Investment in Capital Stock of USL Savings Institutions Insurance Group, Ltd., issued February 12, 1987, §§ 6.1-194.4 and 6.1-194.69 (15) of the Code of Virginia

BFI-AL-0303, Investment by Virginia Savings Institutions in Shares of Open-End Management Investment Companies, issued August 12, 1987, § 6.1-194.69 (14) of the Code of Virginia

Credit Union Act

BFI-AL-0401, Investments of Funds by Credit Unions, reissued May 17, 1999, § 6.1-225.57 of the Code of Virginia

Consumer Finance Act

BFI-AL-0601, Sales of Automobile Club Memberships, revised and reissued September 30, 2002, § 6.1-267 of the Code of Virginia

Money and Interest

BFI-AL-0701, Judgment Rate of Interest, revised and reissued September 30, 2002, § 6.1-330.54 of the Code of Virginia

BFI-AL-0702, Charges on Subordinate Mortgage Loans by Certain Lenders, revised and reissued January 20, 2004, § 6.1-330.71 of the Code of Virginia

BFI-AL-0703, Rebate of Unearned Installment Loan Interest by Banks - Rule of 78, reissued July 1, 1990, §§ 6.1-330.84, 6.1-330.85, 6.1-330.86 and 6.1-330.89 of the Code of Virginia

Mortgage Lender and Broker Act

BFI-AL-1601, Mortgage Brokers as Named Payee on Mortgage Loan Notes, revised and reissued July 21, 2004, § 6.1-409 of the Code of Virginia

BFI-AL-1603, Compensating, or Offering to Compensate, Unlicensed Mortgage Brokers, issued July 3, 1990, § 6.1-409 of the Code of Virginia

BFI-AL-1604, Funds Available to Licensed Mortgage Lenders for Business Operation, issued March 21, 1991, §§ 6.1-415 and 6.1-425 of the Code of Virginia

BFI-AL-1605, Compensation of Unlicensed Mortgage Brokers, revised and issued September 30, 2002, § 6.1-429 of the Code of Virginia

BFI-AL-1606, Charging "Assignment Fees" to Borrowers, revised and reissued September 30, 2002, § 6.1-330.70 of the Code of Virginia

BFI-AL-1607, Fees Charged by Mortgage Brokers, issued December 1, 1995, § 6.1-422 B 4 of the Code of Virginia

BFI-AL-1609, Minimum Mortgage Lender and Broker Surety Bond, issued May 22, 2001, § 6.1-413 of the Code of Virginia

BFI-AL-1610, Prepayment Penalties in Alternative Mortgage Transactions, issued February 18, 2004, §§ 6.1-330.83 and 6.1-330.85 of the Code of Virginia

BFI-AL-1611, Nontraditional Mortgage Products, issued March 29, 2007

Payday Loan Act

BFI-AL-1801, Prohibition on Additional Security for Payday Loans, revised and reissued August 8, 2005, § 6.1-459 of the Code of Virginia

BFI-AL-1802, Threatening Criminal Proceedings, issued October 26, 2007, § 6.1-459 of the Code of Virginia

Forms and Instructions:

Banks

Bank Directors Responsibilities, revised November 1996

CCB-1117, Bank Directors Responsibilities Certification, revised March 2008

CCB-1121, Application of a New Bank or a New Savings and Loan Association for a Certificate of Authority to Begin Business in Virginia, revised March 2008

CCB-1122, Oath of Office for Multiple Directors, revised January 2000

CCB-1122A, Oath of Office for Single Director, revised January 2000

CCB-1123, Personal Financial Report and Disclosure Statement, revised March 2008

CCB-1124, Application to Acquire a Virginia Bank Pursuant to Title 6.1, Chapter 14 of the Code of Virginia, revised March 2008

CCB-1125, Application of a Virginia Bank to Establish a Branch, revised March 2008

CCB-1126, Application to Change the Location of a Main Office or Branch Pursuant to Title 6.1 of the Code of Virginia, revised March 2008

CCB-1127, Application by a Bank to Engage in the Trust Business Pursuant to Title 6.1, Chapter 2, Article 3 of the Code of Virginia, revised March 2008

CCB-1128, Application for Approval of Merger Pursuant to Title 6.1 of the Code of Virginia, revised March 2008

CCB-1129, Application of a Subsidiary Trust Company for a Certificate of Authority to Begin Business Pursuant to Title 6.1, Chapter 2, Article 3.1 of the Code of Virginia, revised March 2008

CCB-1131, Application of an Interim Institution to Begin Business in Virginia, revised March 2008

CCB-1133, Notice to Establish an EFT Terminal, revised March 2008

CCB-1137, Application for Permission to Acquire Voting Shares of a Virginia Financial Institution Pursuant to § 6.1-383.1 of the Code of Virginia, revised March 2008

CCB-1137A, Consent to Service of Process, revised December 2004

CCB-1138, Notice of Intent to Acquire a Bank Outside Virginia Pursuant to § 6.1-406 of the Code of Virginia, revised March 2008

CCB-1139, Application to Acquire a Virginia Bank Holding Company or Virginia Bank Pursuant to Title 6.1, Chapter 15 of the Code of Virginia, revised March 2008

CCB-1140, Oath of Office of Organizing Directors of Financial Institutions, revised March 2008

CCB-1143, Limited Personal Financial Report and Disclosure Statement, revised March 2008

CCB-1144, Application of a Bank Holding Company to Acquire a Federal Savings Institution Pursuant to § 6.1-194.40 of the Code of Virginia, revised March 2008

CCB-1146, Application to Convert Pursuant to Title 6.1 of the Code of Virginia, revised March 2008

CCB-1147, Certification - Interagency Biographical and Financial Report, revised April 1998

CCB-1150, Employment and Business Affiliation Disclosure Form, revised March 2008

CCB-9905, Application to Establish a Trust Office, revised March 2008

Savings Institutions

Responsibilities of Savings Institutions' Directors, revised September 1991