Who Regulates Nursing Homes?

               "Who regulates nursing homes?"-- Amy, Little Rock, Arkansas

In most states, nursing homes are regulated by a combination of state (Department of Health) and federal authorities (U.S. Department of Health and Human Services Centers for Medicare and Medicaid Services [CMS]).  Each agency has its own regulations that control all aspects of the nursing home including: resident care, staffing, policies and procedures and medical equipment.

Because nursing homes are responsible for complying with state and federal regulations, agents from either agency conduct inspections of the facility to assure compliance with the regulations.  These inspections are called 'surveys' and are generally done unannounced at least one time per year. Surveys may be conducted more frequently at facilities with a history of prior violations or in response to a complaint regarding resident care.

After each survey a report is completed regarding the facilities compliance with applicable regulations.  If the findings do not immediately threat patient safety, nursing home administrators will have an opportunity to review the survey findings and propose a 'plan of correction'.  If however, surveyors find conditions that pose a threat to patient safety, they have the ability to impose a variety of penalties including: fines, appointed facility supervisors, suspension of new resident admissions or license suspension. 

 

State Inspectors Find Safety Violations In Indiana Nursing Home

Acting on an anonymous tip alleging improper care, investigators from the Indiana Department of Public Health conducted an inspection of the Royal Oaks Health Care and Rehabilitation Center.  The inspection revealed 13 violations of federal nursing home laws.

Although the person initiating the investigation had a relative who developed advanced bedsores (also called decubitus ulcers, pressure sores or pressure ulcers) and sepsis during their stay at Royal Oak, the investigation concluded that no residents were harmed by the violations.  "There were deficient practices and violations of federal regulations, but no one was actually harmed," said Ellen Greig, a spokeswoman with the Centers for Medicare / Medicaid Services Chicago Regional Office.

Among the findings documented in a 90-page nursing home inspection survey include:

  • Nurses failing to follow proper sanitation guidelines
  • Staff failing to follow bedsore treatment and prevention guidelines
  • Failure to properly use mechanical lifts
  • Having enough nurses to care for every resident in a way that maximizes the resident’s well-being.
  • Making sure that each resident who enters the nursing home without a catheter is not given a catheter unless it is necessary.
  • Making sure that residents who cannot care for themselves receive help with eating/drinking, grooming and hygiene.
  • Making sure the doctors visit residents regularly, as required.
  • Having drugs and other similar products available, which are needed every day and in emergencies, and give them out properly.

In response to the findings, Royal Oaks administrator Brenda Hatfield issued a statement.  "[T]his is normal survey activity and we embrace the opportunity to work with the state to examine and enhance our care delivery system through education and training of staff.  We have submitted a plan of correction for the issues the state identified and are confident the state will find us to be in substantial compliance upon their revisit."

Was the inspection worthwhile?

Federal and state regulation of nursing homes provides essential guidelines for the safety and well-being of nursing home residents.  In most cases, nursing home inspectors are the exclusive means to establish if the facility was able to provide adequate care to residents.  Even if inspectors failed to establish that residents sustained injuries due to the facilities safety violations, the report will become part of the facilities file.

Nursing home inspections also ensure safety violations get corrected to protect not just the current residents of the facility, but the safety of future resident's as well.  Most states allow residents and families of residents to make anonymous reports of safety violations to authorities.  If you suspect improper care or safety violations, here is a useful resource to find the regional agency to report  the issues to.

Royal Oaks is part of Kindred Healthcare, a national hospital and long-term care conglomerate.  Strellis & Field has successfully represented individuals and families in matters against Kindred.  We invite you to speak with our team of nursing home attorneys for a complimentary consultation.  Please fill out this form and and we will promptly contact you to discuss your matter.

Web Articles Regarding Royal Oaks

State inspection finds problems at Royal Oaks, Tribstar.com, April 3, 2009

Related Nursing Homes Abuse Blog Articles

What Are Signs Of Nursing Home Abuse?

Nursing Home Rating System Reveals Inferior Care Provided At For-Profit Facilities

Minimum Nurse Staffing Ratios

Where Will Nursing Home Residents Go When Medicare Closes Dangerous Facilities?

Nursing Home Surveyor Explains Applicability Of Federal & State Nursing Home Regulations

In the past I have posted on nursing home receiving violations from state and federal nursing home inspectors.  What are these regulations?  Who actually issues the violations? How do the regulations impact nursing homes?

This guest post from Jenn at Nursing Home Surveyor blog addresses these questions and provides useful guidance in interpreting the regulations.  Jenn's perspective on regulations is exceptionally useful as she is a state nursing home surveyor.

Hospitals and Nursing Homes, places that are supposed to be of benefit to many people, yet for many others, they are places that have brought problems and even unexpected, needless death. It’s almost a daily occurrence where one can read or hear in the news of a problem in a hospital or nursing home that led to the needless suffering and/or death of someone who put their trust and faith in a facility. It is because of the problems that occur on a daily basis in some places that all of us need to be aware of what to look for. You need to keep you eyes open whenever you or a loved one enters a hospital or nursing home. You should also be aware of where the regulations that govern a hospital or nursing home are located.

There are state regulations, and each state will have a different code, title, or set of regulations. They may vary from one state to another, but very often the state regulations will mirror the federal regulations. The federal regulations can be found in a document the Centers for Medicare and Medicaid publish. This document is the State Operations Manual. It is composed of many chapters and many ‘appendices”. It is the appendices that contain a copy of the text of regulations that govern hospitals and nursing homes, as well as the “guidelines” that help investigators of nursing homes and hospitals conduct an investigation (a survey) of a facility. I go into more detail about this at my blog, if you would like more detail.

Let me talk about the nursing home regulations for a bit. Those are found in what is called Appendix PP (Appendix double P). The set up of the Appendix has a regulation first, and then some guidance, probes, and procedures following it. In order to easily find particular parts of regulations, the nursing home regulations are split into tags, called “F-tags”.

The Federal regulations help bring consistency to care provided to residents of nursing homes. Nursing Homes must comply with the regulations, and the nursing homes are supposed to be surveyed for compliance to the Federal regulations on an average of every 9 to 15 months. Some states do well in meeting that goal, others do not do so well.

If a facility is found to not be in compliance with a regulation, they will receive a “deficiency”. They have to then write a plan of correction, which means they must explain how they are going to correct the problem and ensure it never happens again. After the facility sends in their plan of correction, the state agency reviews it and determines if it is acceptable. If it is not acceptable, the facility must re-write it. For some facilities just seeing the plan of correction in writing is good enough, but for other, a “re-visit” is planned. Much of this is dependent on the severity and scope of the problems in the facility.

If a facility continues to not be in compliance, they can be put into a “decertification track” meaning that they will lose the opportunity to receive Medicare and Medicaid monies to pay for resident care. This is serious, so facilities do try to maintain their certification. They can also lose their state license to operate if the fail to comply with regulations.

Facilities are given ample time to comply. Although the surveyors are not “consultants” to the nursing homes, the nursing homes do have many avenues to pursue to help them become compliant with regulations.

So what should you do if you or a loved one needs to enter a nursing facility? There are many sites, such as Nursing Home Surveyor, that can help you explore the good and bad so you know where the good ones are and avoid the “not so good”. It is important that you take the time to read the history of the facility you are considering, and read the most recent surveys. One of the regulations requires the nursing home to post their most recent surveys in a public place so the public and the residents of the facility have easy access to the results. This is often the main lobby.

Be safe and be informed!

JL

Jenn is a state surveyor and invites you to visit her blog at: www.nursinghomesurveyor.com for more help and information about the survey/investigation process.

Four Central Illinois Nursing Homes Cited For Negligent Care

On the heels of the recent Department of Health and Human Services report which demonstrated safety problems at virtually every nursing every nursing home across the country, recent article reports that Central Illinois is no different.  In 2008, four nursing homes in Peoria County, Illinois, were cited for negligent treatment of their residents. The Illinois Department of Public Health has cited Bel-Wood Nursing Home, Sharon Health Care Willows,  Manor Court of Peoria and Rosewood Care Center  for negligent patient care.  

Below is a summary of the incidents from the above Peoria County, Illinois nursing homes:

  • Bel-Wood Nursing Home: received citation for not reporting one resident's mysterious leg bruise.
  • Sharon Health Care Willows: was cited for not reporting several incidents , Including one staff member's aggressive intervention, and one resident's fall.
  • Rosewood Care Center: cited for failing to report one woman's fall from a toilet.  A report states was related to her death.
  • Manor Court of Peoria: was cited for failing to take a key preventative measure relating to patient safety, failing to conduct background checks on two nursing aides they hired earlier this year.

While nursing home administrators may feel like they are wrongfully targeted by state authorities, the investigations hopefully catch potentially dangerous situations before actual harm to the residents occurs.  Nursing home inspectors are the last line of defense for vulnerable nursing home residents. As IDPH Marketing Director, Melaney Arnold, says “We are very stringent and want to make sure that we are protecting the public, the resident's health and safety."

In Illinois, any complaint of nursing home abuse or neglect may be reported to the Illinois Department of Public Health (800) 252-4343.

State Of Ohio To Take Over Nursing Home Inspections Following Dangerous Conditions

Following on the well publicized nursing home violations at the Westside Health Care Center and The Terrace at Westside, the Cincinnati Health Department has been stripped of its ability to license and inspect nursing homes.

Cincinnati City Council members determined that that city health inspectors failed to protect some of the community's most frail residents. The city health department's oversight duties will be turned over to the state authorities.

In March, a surprise inspection found dangerous conditions in the nursing home including: 

Nursing Home Facility Problems

  • Fire doors tied shut
  • Mold on walls
  • Cigarette butts in walkways
  • Soiled mattresses
  • Roach infestation
  • Uncleaned vomit

 Nursing Home Staff Violations

  • Allowing residents to smoke near oxygen tanks
  • Storing medication improperly
  • No psychological training for staff caring for residents with psychological problems
  • No first aid training
  • No fire drill training
  • 20% medication error rate

The city counsel should be applauded for putting the important responsibility of nursing home inspections in the hands of more capable people.  Obviously, with the violations described above, many serious violations slipped through the cracks.  More information about this nursing home inspection can be found here.

Feds Investigate VA Nursing Home For Dangerous Care

The Justice Department is investigating the quality of care at the Minneapolis Veterans Home in Minnesota.  "Essentially they want to know if the civil rights of residents mights have been violated by not getting the care they should have," said Gil Acevedo, deputy commissioner of the Minnesota Department of Veterans affairs, that operates the facility.

What started this investigation is unknown.  However, this veterans nursing home has had many problems in the past.  Since 2005, the facility has 66 state rule violations, $42,300 in fines and was required to hire a consultant and monitor to look over it.  Of the many state rule violations, medical errors at the facility have been associated with the deaths of three residents.

The Justice Department has been investigating the VA nursing home for several months.  As a preliminary step in the investigation, the Justice Department has asked the facility to hand over two years of medical records from veterans and their spouses.  The state has refused to comply with the request stating violations of state and federal privacy laws (HIPPA).  However, the state has disclosed information regarding the number of falls, injuries and deaths at the facility since 2006.

The Special Investigations Section of the Justice Department is conducting this investigation under the Civil Rights of Institutionalized Persons Act.  The Act was intended to protect people in prisons and other institutions, but has recently been used by the Justice Department to investigate suspect VA nursing homes.  The Justice Department cited the State of Tennessee earlier this year for improper care at two veterans homes.  Read more about this investigation here.

Getting the Justice Department involved in nursing home quality is a good thing.  VA nursing home are subject to the same rules and regulations as privately operated facilities.  If the Justice Departments involvement helps raise the level of patient care even everyone involved, including state officials, should be happy.  Obviously, with the number of violations and injuries at this veterans nursing home, people are not doing their job and patient safety is not getting the attention it deserves.

Report Documents Problems With Nursing Home Oversight

AAHSA (American Associate of Homes and Services for the Aging) has released a new report titled: 'Broken and Beyond Repair: Recommendations to Reform the Survey and Certification System.'  The  report documents the problems with the inspection system for nursing homes.  The report calls for an independent panel to come up with standardized criteria for both the inspection of nursing homes and for the inspectors themselves.  As a temporary fix, the report makes 31 recommendations to improve nursing home care until an independent panel can be established.

"We have to break the cycle of fear that paralyzed us all: consumers fear nursing homes, nursing homes fear the state, states fear the federal government, the federal government fears Congress and Congress fears voters," says Larry Minnix, AAHSA president.

The real problem with the system is its enormity of regulations placed on all parties involved in the nursing home industry.   Like our tax system, regulators tend to pile additional rules and regulations on an already overwhelmed system.  No nursing home worker could possibly digest all applicable regulations and still do their job.  While rules and regulations are certainly essential to provide quality care for the elderly, before placing additional regulations on a system it is better to take a step back and look at how to cure the current problems. 

Ombudsmen In Nursing Homes

The other day I posted regarding the violations nursing home inspectors commonly miss.  In defense of the likely overworked and underpaid inspectors- -their job its difficult.  They are expected to uncover nursing home safety violations and neglect at many different facilities in a single visit.  I received several messages from subscribers to our blog voicing concern over the inherent inadequacy in the inspection system.

I came across this article which details a potential solution to this problem.  I was mighty impressed with the simplicity of this idea.  For states facing budget problems and in the midst of nursing home inspector shortage this is a great solution.  The program allows nursing home residents to develop a relationship with the ombudsmen and provides the unique opportunity to monitor facilities on a daily or weekly basis.  Well done!

Nursing Home Inspectors Miss Major Problems



Nursing Homes must meet certain Federal and State guidelines in order to receive money and keep their accreditation. Investigators periodically go to the facilities to ensure compliance. A recent New York Times article suggests that even these 'professional' nursing home investigators miss obvious safety violations.

According to the Mr. Morris, one of the studies sponsors, even some of the most obvious problems with nursing home residents went unnoticed.  "We’ve found patients with maggot infestations in wounds and dead flesh. We’ve found residents with broken bones that went unmended.”

This article raises the question: what can you do to assure your family member is in a satisfactory facility? Here are several basic things to look for when selecting a nursing home:

  • Make multiple unannounced visits at different times
  • Look at the residents, do they seem happy?
  • Ask friends about the facility
  • Does the staff know the residents by their names?
Medicare set forth a check-list for selection of a nursing home or long-term care facility.  You can view the Medicare suggested check list here.