Utah Administrative Code

The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since January 1, 2020, please see the codification segue page.

NOTE TO RULEFILING AGENCIES: Use the RTF version for submitting rule changes.

R414. Health, Health Care Financing, Coverage and Reimbursement Policy.

Rule R414-519. Settings for Home and Community-Based Services.

As in effect on January 1, 2020

Table of Contents

R414-519-1. Introduction and Authority.

Settings for home and community-based services (HCBS) must include all the qualities defined in 42 CFR 441.301(c)(4)(5), based on the needs specified in an individual's person-centered service plan. For purposes of this rule, "individual" shall also refer to the individual's legal representative or guardian if the individual has one.

R414-519-2. HCBS Setting Requirements.

(1) An HCBS setting must be integrated and support community access to services that include opportunities for an individual to:

(a) seek employment and to work in competitive integrated settings;

(b) engage in aspects of community life;

(c) control personal resources; and

(d) receive community services with the same degree of access afforded to individuals who do not receive HCBS.

(2) An individual shall select the setting from among setting options that include non-disability specific settings and an option for a private unit in a residential setting.

(3) Setting options are identified and documented in the person-centered service plan based on the following:

(a) Individual need and preference; and

(b) Resources available for room and board in residential settings.

(4) An HCBS setting must ensure the following:

(a) Individual rights of privacy;

(b) Dignity and respect; and

(c) Freedom from coercion and restraint.

(5) An HCBS setting must optimize, but not regiment, individual initiative, autonomy, and independence through life choices that include daily activities, physical environment, and personal interaction.

(6) An HCBS setting must facilitate individual choice in relation to services and support.

(7) In addition to the qualities described in 42 CFR 441.301(c)(4)(i) through (v), a provider-owned or controlled residential setting must meet the following conditions:

(a) The unit or dwelling must be owned, rented, or occupied under a legally enforceable agreement by an individual who receives HCBS;

(b) An individual must possess the same responsibilities and protections from eviction that tenants have under the landlord and tenant law of the state, county, city, or other designated entity; and

(c) For settings in which landlord tenant laws do not apply, the State must ensure that a lease, residency agreement, or other form of written agreement is in place for each HCBS participant, and that the document provides protections which address eviction processes and appeals comparable to those provided under the landlord tenant law within the jurisdiction.

(8) An HCBS setting must afford privacy to each individual in a sleeping or living unit and the following provisions shall apply:

(a) Units must have lockable entrance doors and only authorized staff may possess the keys;

(b) An individual who shares a unit may have a choice of roommates in that setting;

(c) An individual may furnish and decorate his sleeping or living unit within the lease or other agreement;

(d) An individual may control his own schedule and activities, and access food at any time;

(e) An individual may have his choice of visitors at any time;

(f) An individual must be able to physically access the setting;

(g) Any modification of the additional conditions, under 42 CFR 441.301(c)(4)(vi)(A) through (D), must be supported by a specific assessed need and justified in the person-centered service plan. HCBS providers shall document that the plan meets the following requirements:

(i) The plan identifies a specific and individualized assessed need;

(ii) The plan documents the positive interventions and supports used before any modifications to the person-centered service plan;

(iii) The plan documents less intrusive, but unsuccessful methods of meeting an individual need;

(iv) The plan includes a clear description of the condition that is directly proportionate to the specific assessed need;

(v) The plan includes a regular collection and review of data to measure the ongoing effectiveness of the modification;

(vi) The plan includes established time limits for periodic reviews to determine whether the modification is still necessary or may be terminated;

(vii) The plan includes the informed consent of the individual; and

(viii) The plan includes an assurance that interventions and supports will cause no individual harm.

R414-519-3. Limitations.

(1) Home and community-based settings do not include the following:

(a) A nursing facility;

(b) An institution for mental diseases;

(c) An intermediate care facility for individuals with intellectual disabilities;

(d) A hospital; or

(e) Any other locations that have qualities of an institutional setting, as determined by the Centers for Medicare and Medicaid Services (CMS). Any setting that is located in a building that is also a publicly or privately operated facility that provides inpatient institutional treatment, or in a building on the grounds of, or immediately adjacent to, a public institution, or any other setting that has the effect of isolating individuals receiving Medicaid HCBS from the broader community of individuals not receiving Medicaid HCBS will be presumed to be a setting that has the qualities of an institution unless CMS determines through heightened scrutiny, based on information presented by the Department or other parties, that the setting does not have the qualities of an institution and that the setting does have the qualities of home and community-based settings.

(2) If, upon initial assessment, or any time thereafter, the Department determines that a setting does not comply with 42 CFR 441.301(c)(4)(5), the Department, or its designee, shall utilize an approved method to inform the individual of alternative settings that would comply with these requirements. If the individual elects to remain in, or receive services at a setting that does not meet these requirements, and the provider has not demonstrated compliance with the Department's corrective action plan for meeting such requirements, the individual shall not receive services under Utah home and community-based waiver programs.

(3) The Department shall assess compliance with 42 CFR 441.301(c)(4)(5) as part of its process for credentialing and re-credentialing providers.



Date of Enactment or Last Substantive Amendment

May 25, 2018

Authorizing, Implemented, or Interpreted Law

26-1-5; 26-18-3

Additional Information


For questions regarding the content or application of rules under Title R414, please contact the promulgating agency (Health, Health Care Financing, Coverage and Reimbursement Policy). A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.