Regulatory Services. Fiscal Year Annual Report

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1 Regulatory Services Fiscal Year 2015 Annual Report May 2016

4. Management Responsibilities Administrator Level A and Level B: 40 TAC 97.

Quality Assess/Performance Improvement Level B: 40 TAC 97.

2 4. Management Responsibilities Administrator Level A and Level B: 40 TAC (b)(1)(A) The agency administrator failed to carry out, organize and supervise ongoing work under the agency s administrative policies. (Ranked No. 4 in FY 2014) 5. Quality Assess/Performance Improvement Level B: 40 TAC (a) (1) The agency failed to have, implement and review a quality assessment and performance improvement program consistent with state requirements. (Ranked No. 6 in FY 2014) 6. Management Responsibilities Administrator Level A and Level B: 40 TAC (b)(1)(D) The agency administrator failed to supervise and ensure implementation of agency policy and procedures. (Ranked No. 5 in FY 2014) 7. Client Records Level A: 40 TAC (a)(7) The agency failed to keep client record entries current, accurate, signed, dated and free of corrections or alterations made by any means other than strikethroughs properly identifying the person making each change. (Ranked No. 8 in FY 2014) 8. Verify Employability/Use Unlicensed Personnel Level B: 40 TAC (a) (3) The agency employed an unlicensed person with face-to-face client contact before it searched the Nurse Aide Registry and Employee Misconduct Registry as required, or employed an unlicensed person who was listed in either registry as unemployable. (Ranked No. 9 in FY 2014) 9. Emergency Preparedness Planning and Implementation Level A and Level B: 40 TAC (k) The agency failed to test the response phase of emergency preparedness and response plan by conducting a planned drill consistent with state licensing rules as part of its annual review of the plan. (Ranked No. 7 in FY 2014) 10. Continuing Education in Agency Administrator Level B: 40 TAC (a) The agency s administrator or alternate administrator failed to complete 12 hours of continuing education in the required topics within each 12 months in that job as required for the position of the administrator or administrator of an agency. (Ranked No. 10 in FY 2014) Top 10 Deficiencies (Certification) Cited During Inspections for Fiscal 2015: Hospice Agencies 1. Plan of Care: 42 CFR (b), TAG 0543 The hospice failed to ensure all hospice care and services furnished to patients and their families must follow an individualized written plan of care established by the hospice interdisciplinary group in collaboration with the attending physician (if any), the patient or representative, and the primary caregiver in accordance with the patient s needs if any of them so desire. (Ranked No. 1 in FY 2014) General Information 45

3 2. Supervision of Hospice Aides: 42 CFR (h)(1)(i), TAG 0629 The hospice failed to ensure that the registered nurse make an on-site visit to the patient s home no less frequently than every 14 days to assess the quality of care and services provided by the hospice aide and to ensure that services ordered by the hospice interdisciplinary group meet the patient s needs. The hospice aide does not have to be present during this visit. (Tied for No. 2 in FY 2014) 3. Review of the Plan of Care: 42 CFR (d), TAG 0552 The hospice interdisciplinary group, in collaboration with the individual s attending physician, if any, failed to review, revise and document the individualized plan as frequently as the patient s condition requires, but no less frequently than every 15 calendar days. (Tied for No. 5 in FY 2014) 4. Level of Activity: 42 CFR (e), TAG 0647 The hospice failed to ensure that volunteers provide day-to-day administrative and/or direct patient care services in an amount that, at a minimum, equals 5 percent of the total patient care hours of all paid hospice employees and contract staff. The hospice must maintain records on the use of volunteers for patient care and administrative services, including the type of services and time worked. (Tied for No. 5 in FY 2014) 5. Content of Plan of Care: 42 CFR (c), TAG 0545 The hospice failed to develop an individualized written plan of care for each patient. The plan of care must reflect patient and family goals and interventions based on the problems identified in the initial, comprehensive and updated comprehensive assessments. The plan of care must include all services necessary for the palliation and management of the terminal illness and related conditions. (Not ranked in FY 2014) 6. Coordination of Services: 42 CFR (e)(4), TAG 0557 The hospice failed to develop and maintain a system of communication and integration, in accordance with the Hospice s own policies and procedures, to provide for and ensure the ongoing sharing of information between all disciplines providing care and services in all settings, whether the care and services are provided directly or under arrangement. (Not ranked in FY 2014) 7. Clinical Records: 42 CFR , TAG 0671 The hospice failed to ensure a clinical record containing past and current findings is maintained for each hospice patient. The clinical record must contain correct clinical information that is available to the patient s attending physician and hospice staff. The clinical record may be maintained electronically. (Not ranked in FY 2014) 8. Content of Plan of Care: 42 CFR (c)(2), TAG 0547 The hospice failed to ensure that the plan of care include all services necessary for the palliation and management of the terminal illness and related conditions, including the following a detailed statement of the scope and frequency of services necessary to meet the specific patient and family needs. (Not ranked in FY 2014) 46 DADS Regulatory Services FY2015 Annual Report

4 9. Timeframe for Completion of Assessment: 42 CFR (b), TAG 0523 The hospice failed to ensure that the interdisciplinary group, in consultation with the individual s attending physician (if any), must complete the comprehensive assessment no later than five calendar days after the election of hospice care in accordance with CFR (Tied for No. 5 in FY 2014) 10. Coordination of Services: 42 CFR (e)(2), TAG 0555 The hospice failed to develop and maintain a system of communication and integration, in accordance with the hospice s own policies and procedures, to ensure that the care and services are provided in accordance with the plan of care. (Not ranked in FY 2014) Top 10 Deficiencies (Licensure Violations) Cited During Inspections for FY 2015: Hospice Agencies 1. Self-Reported Incidents of Abuse, Neglect and Exploitation Level B: 40 TAC (c) The hospice failed to report within 24 hours knowledge of an alleged act of abuse, neglect or exploitation of a client by an agency employee, contractor or volunteer to the Texas Department of Family and Protective Services and to DADS. (Ranked No.1 in FY 2014) 2. Verify Employability/Use Unlicensed Personnel Level B: 40 TAC (a) (5)(B) The hospice failed, after the initial verification of employability, to search the nurse aide and employee misconduct registries at least every 12 months for an unlicensed employee with face-to-face client contact who was most recently hired on or after Sept 1, (Ranked No. 8 in FY 2014) 3. Hospice Plan of Care Level B: 40 TAC (c) The hospice failed to provide care and services according to the interdisciplinary team s written plan of care. (Ranked No. 2 in FY 2014) 4. Client Records Level A: 40 TAC (a)(7) The hospice failed to keep client record entries current, accurate, signed, dated and free of corrections or alterations made by any means other than strikethroughs properly identifying the person making each change. (Not ranked In FY 2014) 5. Management Responsibilities Administrator Level A and Level B: 40 TAC (b)(1)(B) The hospice administrator failed to carry out, organize and supervise ongoing work under the agency s administrative policies. (Ranked No. 6 in FY 2014) 6. Verify Employability/Use Unlicensed Personnel Level B: 40 TAC (a) (3) The hospice employed an unlicensed person with face-to-face client contact before it searched the nurse aide and employee misconduct registries as required or employed an unlicensed person who was listed in either registry as unemployable. (Not ranked in FY 2014) General Information 47

7. Review of Hospice Plan of Care Level B: 40 TAC 97.822(a) The hospice s Interdisciplinary Team failed to revise and document the plan of care within the allotted timeframe.

4 in FY 2014) 9. Verify Employability/Use Unlicensed Personnel Level B: 40 TAC 97.

5 7. Review of Hospice Plan of Care Level B: 40 TAC (a) The hospice s Interdisciplinary Team failed to revise and document the plan of care within the allotted timeframe. (Not ranked in FY 2014) 8. Management Responsibilities Administrator Level B: 40 TAC (b) (1)(A) The hospice administrator failed to manage the daily operations of the agency. (Ranked No. 4 in FY 2014) 9. Verify Employability/Use Unlicensed Personnel Level B: 40 TAC (a) (5)(A) The hospice failed, after the initial verification of employability, to search the nurse aide and employee misconduct registries by August 31, 2011, and at least every twelve months thereafter, for an unlicensed employee with face-to-face client contact who was most recently hired before September 1, (Not ranked in FY 2014) 10. Emergency Preparedness Planning and Implementation Level A and Level B: 40 TAC (k) The hospice failed to test the response phase of its emergency preparedness and response plan by conducting a planned drill consistent with state licensing rules as part of its annual review of the plan. (Ranked No. 5 in FY 2014) Top 10 Deficiencies (Certification) Cited During Inspections for FY 2015: Intermediate Care Facilities for Individuals with an Intellectual Disability or Related Conditions Program Deficiencies 1. Governing Body: 42 CFR (a)(1), TAG 0104 The governing body failed to provide administrative direction, such as policies and procedures, to the facility. (Ranked No. 2 in FY 2014) 2. Drug Administration: 42 CFR (k)(2), TAG 0369 The facility failed to ensure that there were no medication errors. (Ranked No. 1 in FY 2014) 3. Physician Services: 42 CFR (a)(3), TAG 0322 The facility failed to provide health care services. (Ranked No. 3 in FY 2014) 4. Qualified IID Professional: 42 CFR (a), TAG 0159 The facility failed to have a qualified IID professional coordinating and monitoring clients programming needs. (Ranked No. 5 in FY 2014) 5. Space and Equipment: 42 CFR (g)(2), TAG 0436 The facility failed to provide, maintain and teach clients to use corrective and adaptive equipment as determined by the interdisciplinary team. (Ranked No. 4 in FY 2014) 48 DADS Regulatory Services FY2015 Annual Report

Abuse, Neglect & Exploitation

Abuse, Neglect & Exploitation Abuse, Neglect and Exploitation Reporting and Investigation Department of Aging & Disability Services Presented by: Rosalind Nelson-Gamblin Policy, Rules, and Curriculum Development Unit DADS Regulatory