§ 441.450 Basis, scope, and definitions. ( a ) *Basis.* This subpart implements section 1915(j) of the Act concerning the self-directed personal assistance services (PAS) option through a State Plan.
( b ) *Scope.* A self-directed PAS option is designed to allow individuals, or their representatives, if applicable, to exercise decision-making authority in identifying, accessing, managing and purchasing their PAS. This authority includes, at a minimum, all of the following: ( 1 ) The purchase of PAS and supports for PAS.
( 2 ) Recruiting workers.
( 3 ) Hiring and discharging workers.
( 4 ) Training workers and accessing training provided by or through the State if additional worker training is required or desired by the participant, or participant's representative, if applicable.
( 5 ) Specifying worker qualifications.
( 6 ) Determining worker duties.
( 7 ) Scheduling workers.
( 8 ) Supervising workers.
( 9 ) Evaluating worker performance.
( 10 ) Determining the amount paid for a service, support or item.
( 11 ) Scheduling when services are provided.
( 12 ) Identifying service workers.
( 13 ) Reviewing and approving invoices.
( c ) *Definitions.* As used in this part— *Assessment of need* means an evaluation of the needs, strengths, and preferences of participants for services. This includes one or more processes to obtain information about an individual, including health condition, personal goals and preferences, functional limitation, age, school, employment, household, and other factors that are relevant to the authorization and provision of services. Assessment information supports the development of the service plan and the subsequent service budget.
*Individualized backup plan* means a written plan that meets all of the following: ( 1 ) Is sufficiently individualized to address each participant's critical contingencies or incidents that would pose a risk of harm to the participant's health or welfare;
( 2 ) Must demonstrate an interface with the risk management provision at § 441.476 which requires States to assess and identify the potential risks to the participant (such as any critical health needs), and ensure that the risks and how they will be managed are the result of discussion and negotiation among the persons involved in the service plan development;
( 3 ) Must not include the 911 emergency system or other emergency system as the sole backup feature of the plan; and
( 4 ) Must be incorporated into the participant's service plan.
*Legally liable relatives* means persons who have a duty under the provisions of State law to care for another person. Legally liable relatives may include any of the following: ( 1 ) The parent (biological or adoptive) of a minor child or the guardian of a minor child who must provide care to the child.
( 2 ) Legally-assigned caretaker relatives.
( 3 ) A spouse.
*Self-directed personal assistance services* (PAS) means personal care and related services, or home and community-based services otherwise available under the State plan or a 1915(c) waiver program that are provided to an individual who has been determined eligible for the PAS option. Self-directed PAS also includes, at the State's option, items that increase the individual's independence or substitutes (such as a microwave oven or an accessibility ramp) for human assistance, to the extent the expenditures would otherwise be made for the human assistance.
*Self-direction* means the opportunity for participants or their representatives to exercise choice and control over the budget, planning, and purchase of self-directed PAS, including the amount, duration, scope, provider, and location of service provision.
*Service budget* means an amount of funds that is under the control and direction of a participant, or the participant's representative, if any, when the State has selected the State plan option for provision of self-directed PAS. It is developed using a person-centered and directed process and is individually tailored in accordance with the participant's needs and personal preferences as established in the service plan.
*Service plan* means the written document that specifies the services and supports (regardless of funding source) that are to be furnished to meet the needs of a participant in the self-directed PAS option and to assist the participant to direct the PAS and to live in the community. The service plan is developed based on the assessment of need using a person-centered and directed process. The service plan supports the participant's engagement in community life and respects the participant's preferences, choices, and abilities. The participant's representative, if any, families, friends, and professionals, as desired or required by the participant, will be involved in the service-planning process. Service plans must meet the requirements of § 441.301(c)(3), except that the references to section 1915(c) of the Act are instead references to section 1915(j) of the Act.
*Support system* means information, counseling, training, and assistance that support the participant (or the participant's family or representative, as appropriate) in identifying, accessing, managing, and directing their PAS and supports and in purchasing their PAS identified in the service plan and budget.
*Supports broker or consultant* means an individual who supports participants in directing their PAS and service budgets. The supports broker or consultant is an agent of the participants and takes direction from the participants, or their representatives, if applicable, about what information, counseling, training or assistance is needed or desired. The supports broker or consultant is primarily responsible for facilitating participants' development of a service budget and effective management of the participants' PAS and budgets in a manner that comports with the participants' preferences. States must develop a protocol to ensure that supports brokers or consultants: are accessible to participants; have regularly scheduled phone and in-person contacts with participants; monitor whether participants' health status has changed and whether expenditure of funds are being made in accordance with service budgets. States must also develop the training requirements and qualifications for supports brokers or consultants that include, at a minimum, the following: ( 1 ) An understanding of the philosophy of self-direction and person-centered and directed planning;
( 2 ) The ability to facilitate participants' independence and participants' preferences in managing PAS and budgets, including any risks assumed by participants;
( 3 ) The ability to develop service budgets and ensure appropriate documentation; and
( 4 ) Knowledge of the PAS and resources available in the participant's community and how to access them.
The availability of a supports broker or consultant to each participant is a requirement of the support system. [73 FR 57881, Oct. 3, 2008, as amended at 89 FR 40870, May 10, 2024]