CMS 372 Report - OMB Control Number: 0938-0272

Annual Number of Section 1915c Waiver Recipients and Expenditures:

(Specify each service as in the approved waiver)

Service Name	Level of Care	Expenses	Participants
-- Other If Other, specify: Behavior Consultation Services I	ICF/MR	$636,863	849
-- Other If Other, specify: Behavior Consultation Services II	ICF/MR	$753,881	705
-- Other If Other, specify: Behavior Consultation Services III	ICF/MR	$169,720	200
-- Other If Other, specify: Chore Services 15 minute	ICF/MR	$146,352	87
-- Other If Other, specify: Companion Services 15 minute	ICF/MR	$247,568	71
-- Other If Other, specify: Companion Services Daily	ICF/MR	$79,525	20
-- Other If Other, specify: Day Supports (site/non-site)Hourly	ICF/MR	$1,203,751	99
-- Other If Other, specify: Day Supports (site/non-site)Daily	ICF/MR	$20,563,318	1,870
-- Other If Other, specify: Environmental Adaptations (home)	ICF/MR	$109,722	67
-- Other If Other, specify: Environmental Adaptations (vehicle)	ICF/MR	$11,456	6
-- Other If Other, specify: Extended Living Supports	ICF/MR	$1,544,171	327
-- Other If Other, specify: Family Training and Preparation	ICF/MR	$2,000	1
-- Other If Other, specify: Family and Individual Training and Preparation	ICF/MR	$556	8
-- Other If Other, specify: Financial Management Services Low Tier	ICF/MR	$424,023	1,253
-- Other If Other, specify: Financial Management Services High Tier	ICF/MR	$198,576	177
-- Other If Other, specify: Homemaker Services	ICF/MR	$119,007	42
-- Other If Other, specify: Living Start up Costs	ICF/MR	$4,489	5
-- Other If Other, specify: Massage Therapy	ICF/MR	$124,169	95
-- Other If Other, specify: Personal Assistance 15 minute	ICF/MR	$1,032,550	286
-- Other If Other, specify: Personal Assistance Daily	ICF/MR	$201,480	53
-- Other If Other, specify: Personal Budget Assistance 15 minute	ICF/MR	$82,498	186
-- Other If Other, specify: Personal Budget Assistance Daily	ICF/MR	$347,809	1,353
-- Other If Other, specify: Personal Emergency Response System monthly	ICF/MR	$15,675	47
-- Other If Other, specify: Personal Emergency Response System installation	ICF/MR	$300	6
-- Other If Other, specify: Personal Emergency Response System purchase	ICF/MR	$293	2
-- Other If Other, specify: Professional Medication Monitoring	ICF/MR	$741,742	1,017
-- Other If Other, specify: Residential Habilitation facility based	ICF/MR	$65,386,697	1,328
-- Other If Other, specify: Residential Habilitation facility based-DCFS	ICF/MR	$7,678,502	87
-- Other If Other, specify: Residential Habilitation Professional Parent/Host Home	ICF/MR	$4,751,818	142
-- Other If Other, specify: Residential Habilitation Professional Parent DCFS	ICF/MR	$5,815,089	148
-- Other If Other, specify: Respite Care 15 minute	ICF/MR	$2,494,285	927
-- Other If Other, specify: Respite Care Daily	ICF/MR	$1,281,724	639
-- Other If Other, specify: Respite Care-Group Daily	ICF/MR	$114,146	126
-- Other If Other, specify: Respite Care-Out of home/R&B included	ICF/MR	$232,758	122
-- Other If Other, specify: Respite Care Group/R&B included	ICF/MR	$4,840	13
-- Other If Other, specify: Respite Care Intensive 15 minute	ICF/MR	$274,278	139
-- Other If Other, specify: Respite Care Intensive Daily	ICF/MR	$108,094	72
-- Other If Other, specify: Respite Care Intensive Out of home/R&B included Daily	ICF/MR	$43,362	19
-- Other If Other, specify: Respite Care Weekly	ICF/MR	$1,471,631	483
-- Other If Other, specify: Specialized Medical Equipment & Supplies monthly	ICF/MR	$460	1
-- Other If Other, specify: Specialized Medical Equipment & Supplies purchase	ICF/MR	$156,771	113
-- Other If Other, specify: Supported Employment 15 minute	ICF/MR	$3,647,320	522
-- Other If Other, specify: Supported Employment Daily	ICF/MR	$1,905,325	280
-- Other If Other, specify: Supported Living 15 Minute	ICF/MR	$11,989,649	1,386
-- Other If Other, specify: Transportation Mileage	ICF/MR	$45,988	65
-- Other If Other, specify: Transportation Daily	ICF/MR	$2,827,844	1,790
-- Other If Other, specify: Transportation Bus pass purchase	ICF/MR	$260,824	362
-- Other If Other, specify: Waiver Support Coordination	ICF/MR	$11,968,705	4,399

Assurances:

Assurances were submitted with the initial report. (If you are submitting a lag report this item must be checked.)
All provider standards and health and welfare safeguards have been met and corrective actions have been taken where appropriate
All providers of waiver services were properly trained, supervised, and certified and/or licensed, and corrective actions have been taken where appropriate.

Documentation:

Provide a brief description of the process for monitoring the safeguards and standards under the waiver:

The SMA conducted the following monitoring during FY 2010: Critical Incidents/Events The SMA tracks and investigates all critical incidents/events that occur to participants receiving services from the CSW Waiver. There were 130 critical incident investigations involving CSW Waiver participants during the time period July 1, 2009 through June 30, 2010. The majority of critical incidents/events that occurred in FY 2010 fell into four categories. These were Criminal Activity (26%), Abuse/Neglect/Exploitation (26%), Deaths (15%), and Missing Persons (13%). All cases (100%) that were categorized as abuse, neglect or exploitation were appropriately referred to law enforcement and/or APS/CPS. 127 incidents were resolved and safeguards were put in place to assure the health and safety of all participants. 3 investigations are in process. Qualified Providers Contract Providers During FY 2010, 135 providers with contracts with DSPD provided services to CSW participants. DSPD conducted contract reviews for 128 of 135 providers. 85 of 135 providers (63%) met all provider contractor criteria. Corrective Action Plans were required by DSPD for providers who did not meet provider contractor criteria. Of these providers, 15 are in full compliance. 100% of compliance issues for the remaining 35 providers will be resolved over the next quarter. Provider Sites are Safe and in Good Repair The Division of Services for People with Disabilities (DSPD) ensures all provider sites are safe and in good repair. There are 74 licensed providers and 592 certified apartments which provide Residential Supports for ABI consumers. • Licensed Providers The Department of Human Services (DHS) Office of Licensing, licenses Residential Supports providers. These include, Group Homes that serve 4 or more individuals, Professional Parent Homes for child placement and Day Supports. DSPD works closely with the Office of Licensing to ensure all providers are meet licensing criteria including provider sites are safe and in good repair. Payments are only made to providers who have a current license issued by the Office of Licensing. During FY 2010, The Office of Licensing reviewed 74 of 74 licensed providers (100%). All compliance issues were corrected and 74 of 74 licensed providers (100%) are currently in compliance with licensing criteria including providing a safe site which is in good repair. • Certified Providers DSPD certifies Supervised Apartments that serve three or fewer individuals. DSPD reviews 100% of these supervised apartments annually to ensure they meet all certification criteria including provider sites are safe and in good repair. Payments are only made to supervised apartment providers who have a current certification issued by DSPD. During FY 2010 592 of 592 supervised apartments were reviewed. All compliance issues were corrected and 592 of 592 (100%) are currently in compliance with certification criteria including providing a safe site which is in good repair. CSW Waiver Service Providers Human Rights Review The Division of Services for People with Disabilities Quality Management team completed Human Rights reviews for Contracted Providers in fiscal year 2010, reviews will continue through fiscal year 2011. The reviews consisted of an Administrative Review in three areas regarding Human Rights; Human Rights Committee Meetings, Human Rights training for employees, and Human Rights training for people being served. In addition, Human Rights Plans were submitted and reviewed for Contractual compliance. DSPD provided seven Human Rights trainings throughout the state in December of 2009; all Providers were invited. DSPD training included Provider Contractual requirements, Rule 539 requirements, best practice measures, and the review measurement tool. Human Rights reviews began in January of 2010. DSPD contracted with 89 Providers that required Human Rights Plans for the Utah Community Supports Waiver. During fiscal year 2010, 25 Providers were reviewed. 11 Providers met Contractual criteria for Human Rights policies and processes. 14 Providers had deficiencies and submitted Plans of Correction. Deficiencies included missing contractual requirements in Human Rights Plan, adequate process for reporting abuse and neglect, documentation showing informed consent from person served, inadequate training for employees, inadequate training for people served, and Providers not following the Agency Human Rights Plan. At this time, 100 percent of Providers reviewed in fiscal year 2010 are in compliance with Human Rights contractual requirements. DSPD will conduct Human Rights Reviews for the remainder of providers during fiscal year 2011. Analysis of the findings from the Human Rights reviews will be deferred until all Human Rights reviews are completed in fiscal year 2011.

Findings of Monitoring:

No deficiencies were detected during the monitoring process;
Deficiencies were detected.

Provide a summary of the significant areas where deficiencies were detected, (Note: Individual reports or assessment forms for waiver individuals and/or providers disclosing deficiencies and which document the summary are not necessary):

See box 4
Deficiencies have been, or are being corrected.

Provide an explaination of how these deficiencies have been, or are being corrected as well as an explanation of what steps have been taken to ensure the deficiencies do not recur:

See box 4

372 - Annual Report on Home and Community-Based Services Waivers