Revision 22-1; Effective Nov. 1, 2022
Information collected during record reviews, observations, and interviews about the wards selected in the sample is used to determine the unit's overall compliance with guardianship rules and benchmarks. Benchmarks may be determined as met or unmet based upon significant findings identified during the monitoring visit; however, one incident or one case could result in an unmet determination. The compliance determination is based upon the severity of the incident and the actions taken by the contractor.
Determination is based on requirements of each benchmark, rules, statutes, policies and standards governing guardianship practice. The team looks for significant findings to determine if the benchmark is met.
A guardianship principle is the overall category for a set of benchmarks. There are eight guardianship principles each contracted guardianship provider must meet.
The guardianship principles are:
- Case Management
- Health and Safety
- Quality Assurance
- Reimbursement for Services
- Ward Status Updates
The benchmarks under each guardianship principle are evaluated to determine if the principle is met or unmet. The review team reviews each benchmark based upon evidence collected during the monitoring visit. Each guardianship principle has several benchmarks which must be met. Depending on the significance of the findings, a decision is made as to whether the guardianship principle is met or unmet. If benchmarks are met, guardianship principles are met. Failure to meet a guardianship principle results in an action. The action may be a corrective action plan or may be a recommendation for a sanction as described in Texas Administrative Code (TAC), Title 26, Part 1, Chapter 361 of the guardianship rules or the HHSC guardianship contract. Depending on the guardianship principle deemed to be unmet and outcomes which negatively impact the wards, a sanction may be recommended.
Failure to meet guardianship principles which significantly impact a ward’s safety and health may result in the recommendation for a sanction resulting in an action.