(a) If a report required by §41.701(a) or (b) of this subchapter (relating to Reporting Allegations of Abuse, Neglect, or Exploitation of an Individual) alleges abuse, neglect, or exploitation by a service provider; or if an employer, DR, or FMSA is notified by HHSC of an allegation of abuse, neglect, or exploitation by a service provider:
  (1) the employer or DR must:
    (A) obtain immediate and ongoing medical or psychological services for the individual as necessary;
    (B) take actions to secure the safety of the individual, including if necessary, ensuring that the alleged perpetrator does not have contact with the individual until HHSC completes the investigation; and
    (C) when taking the actions described in paragraphs (A) and (B) of this subsection, avoid compromising the investigation or further traumatizing the individual;
    (D) preserve and protect evidence related to the allegation, including timesheets and other employee-related documentation;
    (E) cooperate with the HHSC investigation as requested by HHSC, including providing documentation and participating in an interview; and
    (F) ensure that service providers comply with subparagraphs (C) and (D) of this paragraph; and
  (2) the FMSA must:
    (A) preserve and protect evidence related to the allegation, including timesheets and other employee-related documentation;
    (B) cooperate with the HHSC investigation as requested by HHSC, including providing documentation and participating in an interview; and
    (C) ensure that staff persons and controlling persons comply with subparagraphs (A) and (B) of this paragraph.
(b) Within one working day after receiving the initial intake report from HHSC for an allegation of abuse, neglect, or exploitation described in subsection (a) of this section, the FMSA must send a copy of the report by fax or secure email to:
  (1) the program director of the entity employing the individual's case manager for an individual enrolled in the CLASS Program or the DBMD Program;
  (2) the rights protection officer, as required by §4.113 of this title (relating to Rights Protection Officer at a State MR Facility or MRA), of the LIDDA employing the individual's service coordinator for an individual enrolled in the HCS Program or the TxHmL Program; or
  (3) the individual's HHSC regional office for an individual enrolled in the PHC Program, the CAS Program, or the FC Program.
(c) For an individual enrolled in:
  (1) the DBMD Program or CLASS Program, a program director is required to give the initial intake report received from the individual's FMSA to the individual's case manager as described in §42.401 of this title (relating to Protection of Individual) or §45.702 of this title (relating to Protection of Individual, Initial and Annual Explanations, and Offering Access to Other Services); or
  (2) the HCS Program or TxHmL Program, a rights protection officer is required to give the initial intake report received from the individual's FMSA to the individual's service coordinator as described in §9.190 of this title (relating to LIDDA Requirements for Providing Service Coordination in the HCS Program) or §9.583 of this title (relating to TxHmL Program Principles for LIDDAs).
(d) A case manager or service coordinator who receives an initial intake report must:
  (1) within four working days after receiving the report, convene a service planning team meeting in person or by phone to review the report and discuss the actions the employer has taken or will take to protect the individual during the HHSC investigation, which may include:
    (A) if a service backup plan is required by §41.404 of this title (relating to Ensuring Development, Approval, and Review of Service Backup Plans), implementing the service backup plan to have a person other than the alleged perpetrator provide services; and
    (B) requesting a voluntary suspension of participation in the CDS option in accordance with §41.405 of this chapter (relating to Suspension of Participation in the CDS Option);
  (2) document in writing any actions that have been or will be taken as a result of the allegation; and
  (3) if appropriate, recommend termination of the CDS option in accordance with §41.407 of this chapter (relating to Termination of Participation in the CDS Option).
(e) After receiving a final investigative report from HHSC for an allegation of abuse, neglect, or exploitation described in subsection (a) of this section, the FMSA must:
  (1) within one working day after receiving the report, send a copy of the report by fax or secure email to:
    (A) the program director of the entity employing the individual's case manager for an individual enrolled in the CLASS Program or the DBMD Program;
    (B) the rights protection officer, as required by §4.113 of this title, of the LIDDA employing the individual's service coordinator for an individual enrolled in the HCS Program or the TxHmL Program; or
    (C) the individual's HHSC regional office for an individual enrolled in the PHC Program, the CAS Program, or the FC Program; and
  (2) within five working days after receiving the report:
    (A) use the report to complete HHSC Form 1719, Notification of Investigatory Findings; and
    (B) send the completed form to the alleged perpetrator.
(f) For an individual enrolled in:
  (1) the DBMD Program or CLASS Program, a program director is required to give the final investigative report received from the individual's FMSA to the individual's case manager as described in §42.401 of this title or §45.702 of this title; or
  (2) the HCS Program or TxHmL Program, a rights protection officer is required to give the final investigative report received from the individual's FMSA to the individual's service coordinator as described in §9.190 of this title or §9.583 of this title.
(g) If the final investigative report confirms the allegation, contains an inconclusive finding, or includes concerns and recommendations, the case manager or service coordinator:
  (1) must:
    (A) within four working days after receiving the report, convene a service planning team meeting in person or by phone to discuss the content of the report, including any concerns and recommendations by HHSC; and
    (B) document in writing any actions that have been or will be taken by the employer as a result of the findings in the report or the concerns and recommendations by HHSC; and
  (2) if appropriate, recommend termination of the CDS option, in accordance with §41.407 of this chapter.

Source Note: The provisions of this §41.702 adopted to be effective October 1, 2019, 44 TexReg 5074