Office of Inspector General Report on Nursing Home Survey Process
Wednesday, December 17th, 2008According to the Office of Inspector General Report called Trends in Nursing Home Deficiencies and Complaints:
Survey and Certification Process All nursing homes that participate in Medicare and/or Medicaid must be certified as meeting certain Federal requirements. The Centers for Medicare & Medicaid Services (CMS) contracts with States to perform nursing home surveys before nursing homes may be certified. States must conduct these standard surveys at least every 15 months, and the Statewide average interval between surveys must be 12 months or less. Surveys are unannounced and may be conducted at any hour on any day. Surveys assess medical, nursing, and rehabilitative care; dietary and nutrition services; activities and social participation; and sanitation, infection control, and the physical environment.
Surveyors collect data from different sources. They conduct a medical record review based on a case-mix stratified sample of nursing facility residents. They also review plans of care to determine their adequacy, audit residents’ assessments, and review compliance with legal requirements concerning residents’ rights. In addition, surveyors observe facility operations and interview residents, family members, and staff to determine whether facilities are providing appropriate care.
CMS provides guidance on long term care facility survey procedures and protocols through its “State Operations Manual.” The Manual describes the intent of the regulations pertaining to nursing homes as well as the process for determining whether deficiencies have occurred and how to categorize them. Updates to the Manual are issued periodically.
Deficiencies. When a nursing home fails to meet one or more of the Federal requirements, surveyors cite a deficiency. There are 190 possible deficiencies, which fall into the categories listed in the box below.
Deficiency Categories
Resident rights Physician services
Admission, transfer, and discharge rights Rehabilitative services
Resident behavior and facility practices Dental services
Quality of life Pharmacy services
Resident assessment Infection control
Quality of care Physical environment
Nursing services Administration
Dietary services Laboratory and radiology services
Sources: 42 CFR § 483, subpart B; CMS “State Operations Manual,” Appendix PP.
Surveyors also decide the scope and severity of the deficiency based on a matrix that uses the letters “A” through “L.” See Figure 1 on the next page. The scope of the deficiency measures the number of residents potentially or actually affected by the deficiency. The scope rating has three different levels: isolated, pattern, and widespread. Isolated deficiencies occur when one or a very limited number of residents or staff are affected or the situation exists only occasionally. Pattern deficiencies occur when more than a very limited number of residents or staff are affected or the situation occurs repeatedly. Finally, widespread deficiencies occur when the situation is pervasive throughout the facility or potentially affects a large portion of the nursing home’s residents.
The severity rating measures the extent of the health and safety risk to residents. The most serious level, immediate jeopardy, occurs in “a situation in which the provider’s noncompliance with one or more of the requirements of participation has caused, or is likely to cause, serious injury, harm, impairment or death to a resident.” Immediate jeopardy requires the nursing home to take immediate corrective action. The three levels of deficiencies that are not immediate jeopardy are: (1) actual harm that is not immediate jeopardy; (2) no actual harm with a potential for more than minimal harm, but not immediate jeopardy; and (3) no actual harm with a potential for minimal harm.
Letter Grading System:
Immediate jeopardy to resident health or safety J K L
Actual harm that is not immediate jeopardy G H I
No actual harm with a potential for more than minimal harm, but not immediate jeopardy D E F
No actual harm with potential for minimal harm A B C
For the entire report see: Trends in Nursing Home Deficiences and Complaints
If you or a loved one has suffered an injury or abuse in a nursing home or other care facility that serves the elderly in Minnesota please contact our firm for a free consultation and information regarding the obligations of the facility and your rights as a resident or concerned family member. To contact Attorney Kenneth L. LaBore, directly please send an email to klabore@prslegal.com, or call Ken at 612-767-7503.