Assessment Information

The California Statewide Transition Plan (STP) outlines the steps the state will take to be in alignment with the HCBS Final Rule. These steps include an evaluation of current services through a self-assessment, a review and sample of on-site assessments to validate the results of the self-assessment, input from individuals receiving services, and the completion of transition plans for services that are not in alignment with the Final Rule.

On November 22, 2023, the Department issued a directive to support regional centers in fully implementing the federal requirements for HCBS settings. The directive establishes a monitoring timeline for completion of required on-site reviews to confirm that all HCBS settings are implementing policies in compliance with HCBS settings requirements and outlines steps to support vendored service providers requiring additional assistance with implementation of those policies.

November 22, 2023 Directive

On January 8, 2024, the Department issued a subsequent directive to define the data the Department requires from the regional centers for reporting for HCBS settings to the federal Centers for Medicare and Medicaid Services (CMS) and provides options on how to obtain and report the data to the Department in a timely manner.

January 8, 2024, Directive

Providers of some regional center services are required to complete an online self-assessment (provided below) to measure their current level of compliance with the HCBS Final Rules, offering a framework for assisting providers with the necessary steps to align their services with the federal requirements. If a provider is not in compliance with all the requirements, there is time to develop a transition plan so the provider can achieve compliance by March 2023, the date by which states have to implement the federal requirements.

The Department announced the Self-Assessment Process in a letter to regional centers on January 23, 2020. Providers had until August 31, 2020, to complete the self-assessment, as announced on the directive to regional centers regarding requirements waived due to COVID-19.

The Department announced the virtual site assessment process in a letter to regional centers on March 23, 2021. Below is additional information and training.

The Department held a training on the virtual site assessment process.  A recording of this training can be found here.

The Department announced the process of validating provider self-assessments and remediating services reporting to be out of compliance in a letter to regional centers on May 20, 2022.

The Department released additional guidance to regional centers on November 8, 2022, setting a deadline of December 5, 2022, for service providers to submit necessary documents evidencing compliance with the HCBS Final Rule and/or a plan for updating necessary documents prior to March 17, 2023.

The Department, in its directive issued on January 24, 2023, is requiring regional centers to take additional action steps, impacting those providers who have not yet submitted the required documentation regarding compliance with the HCBS Final Rule.

  • January 24, 2023 Letter to Regional Centers Regarding Action Required for Non-Compliant Provider English | Spanish PDF

Training on best practices and ways to align services with the HCBS Final Rule can be found here.  Additional training and information will be provided ongoing, and will be posted to the Department’s website here.

The Department released additional guidance to regional centers on March 10, 2023, identifying corrective actions for service providers that do not have policies demonstrating compliance with the HCBS Final Rule.NEW

  • March 10, 2023 Home and Community-Based Services Final Rule: Action Required For Non-Compliant Service Providers English | SpanishPDFNEW

As part of the federal HCBS settings regulations, the Centers for Medicare and Medicaid Services (CMS) requires states to submit settings for heightened scrutiny review. The heightened scrutiny process allows California to demonstrate that settings can overcome an institutional presumption by submitting evidentiary packages for CMS review.  Below are summaries of the settings DDS is submitting to CMS for review.  More information can be found in this letter to stakeholders.

DDS invites the public to comment on the heightened scrutiny determinations.  Public comments can be submitted via email at the email address provided below. The public comment period is open for 30 calendar days, from February 23, 2023, through March 24, 2023. Should you need to make a request for electronic or hard copy materials, your request may be submitted to DDS through the following channels:

  • Phone: 1-833-396-4337
  • Email:
  • U.S. Mail: 1215 O Street, MS 7-40, Sacramento, CA 95814

In accordance with Welfare and Institutions Code section 4519.2(b), each regional center and the Department must post HCBS Final Rule compliance information on its website, and shall update the information no less frequently than every six months. For reports through January 31, 2023, data reflects both statewide and regional center breakdowns, as collected from the validation of provider assessments and is further broken down by service type.  For reports beginning March 1, 2023, HCBS Final Rule Compliance data is presented in a streamlined, plain-language format based on statewide progress.


Last modified: April 11, 2024