Principles of Documentation RCS Community Programs
PRINCIPLES OF DOCUMENTATION MANUAL
FOR
RESIDENTIAL CARE SERVICES
COMMUNITY PROGRAMS
December 2015
Table of Contents
Introduction...... 1
Definitions...... 3
Legal Aspects of the Statement of Deficiencies...... 5
The Principles of Documentation/Overview of Principles 1 – 7...... 7
Principle #1 Home Compliance and Noncompliance...... 11
Principle #2 Using Plain Language...... 11
Principle #3 Components of a Consultation...... 13
Regulatory Reference...... 13
Statement of Deficient Practice...... 14
Principle #4 Components of a Deficiency Citation...... 14
Regulatory Reference...... 14
Statement of Deficient Practice...... 15
Relevant Findings...... 20
Principle #5 Relevance of Onsite Correction of Findings...... 22
Principle #6 Cross References...... 22
Principle #7 Citations With More Than One Regulatory Reference...... 23
Conclusion...... 25
Appendix A: Quality Assurance Auditing Tool...... 27
Appendix B: Components of a Deficiency Citation – AFH...... 29
Components of a Deficiency Citation –ALF...... 31
December 2015 update
Principles of Documentation RCS Community Programs
Introduction
During the inspection or complaint investigation staff are required to use their knowledge, skills and abilities to gather all of the information necessary to determine if the home meets the licensing requirements. When staff believe that the information and evidence gathered supports deficient practice, they write citations that make up a Statement of Deficiencies (SOD).
The SOD is a written record of the inspection or the complaint investigation where staff document and justify the determination of noncompliance with licensing requirements. It is used as the formal method of giving the provider/licensee the information about what was wrong and why the regulation was not met. It is also an official record and legal document, and will be made available to the public upon request.
Licensing staff must write citations that are based upon valid information and evidence that shows provider non-compliance. Staff must be sure that citations are valid; the validity of citations can only be evaluated by looking at the particular type and source of evidence, the extent and consequence of deficiency, and other relevant factors.
The information in the SOD serves as the basis for the provider/licensee to be able to analyze the identified deficient practices or system failures and to decide how to correct identified noncompliance. Unless the licensors/complaint investigators make the written evidence clear, the provider/licensee will not understand what is wrong or know how to fix it.
This manual provides guidance to staff on how to structure a citation in the SOD. The guidelines include:
- A general discussion of the legal aspects of the SOD;
- The principles to be considered in the documentation; and
- Tools and examples to assist RCS staff in documenting citations on the SOD.
The guidance in this manual does not replace or supersede the law or regulations but gives staff guidance for documenting citations. This manual does not add substantive or procedural requirements that must be present to sustain a valid citation.
Each principle of documentation is discussed in the manual and examples of the components of a deficiency citation have been provided as attachments. These are only examples, for any deficiency citation there may be other language that may be as effective. .
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Definitions
Listed below are definitions that will be used throughout these materials.
Consultation in AFH: Documentation of a first time violation of statute or regulation with minimal or no harm to residents identified in an adult family home. Documentation of a consultation includes an entry made on the cover letter that includes both:
- A regulatory reference to the Washington Administrative Code (WAC) requirement and/or Revised Code of Washington (RCW); and
- Aone or two sentence statement summarizing the deficient practice.
Consultation in a ALF: Documentation of a first time violation of statute or regulationwith minimal or no harm to residents identified in a Assisted Living Facility. Consultation in a Assisted Living Facility may also occur if the facility corrects the violation and the deficient practice: 1) Is corrected to the satisfaction of the department prior to the exit; 2) Is not a violation of a statute or regulation that was cited in one of the two most recent preceding inspections or complaint investigations; and 3) Did not pose a significant risk of harm or actual harm to a resident. Documentation of a consultation includes an entry made on the cover letter that consists of both:
- A regulatory reference to the Washington Administrative Code (WAC) requirement and/or Revised Code of Washington (RCW); and
- Aone or two sentence statement summarizing the deficient practice.
Deficiency Citation: Documentation of a violation of statute or regulation, other than those defined as a consultation. Documentation of a deficiency citation includes an entry made on the Statement of Deficiencies that consists of: 1) The applicable Washington Administrative Code (WAC) and/or the applicable Revised Code of Washington (RCW), 2) the language from that reference which pinpoints the aspects(s) of the requirement with which the home failed to comply, 3) an explicit statement that the requirement was “not met” and 4) the evidence to support the decision of noncompliance.
Deficient Practice: The action(s), error(s), or lack of action on the part of the provider/licensee relative to a requirement and, to the extent possible, the resulting outcome.
Deficient Practice Statement: A statement at the beginning of the evidence that sets out why the provider/licensee was not in compliance with a regulation.
Home: A generic term used to describe anAssisted Living Facility or an Adult Family Home in the State of Washington.
Evidence: An integral part of the citation that begins with a description of the deficient practice and identifies the observation, interview and/or record review data that substantiates the failure of the provider/licensee to comply with the regulation.
Extent of Deficient Practice: The prevalence or frequency of a deficient practice.
Finding: A generic term used to describe each discrete item of information observed or discovered during the inspection about practices of the home relative to a specific requirement being cited as being not met.
Fact: An event known to have actually happened. A truth that is known by actual experience or observation.
Initial Inspection: A generic term use to describe a process conducted by RCS staff in evaluating a prospective licensee for compliance with the statutes and regulations required for an Adult Family Home license or Assisted Living Facility license.
Inspection: a generic term used to describe the process by which RCS staff evaluates licensee compliance with statutes and regulations. Types of inspections include: licensing inspection; follow-up; complaint investigation; and monitoring visits.
Scope and Severity: The effect of the noncompliance on the resident (severity) and the number of residents actually or potentially affected (scope) by the provider’s/licensee’s noncompliance. Illustrated in the deficient practice statement and supported in the findings.
Statement of Deficiencies: The official document on which deficiency citations are recorded.
Outcome: A result/consequence of the deficient practice of the provider/licensee.
Requirement: Any structure, process, or outcome that is required by law or regulation.
Universe: The total number of individuals, records, observations, objects, related to the provider’s/licensee’s practice at risk as a result of a deficient practice. Used as the denominator when determining the extent of deficient practice.
Legal Aspects of the Statement of Deficiencies
This section is a brief overview of the legal aspects of inspecting homes and the importance of licensor documentation in the decision-making and appeals process. It is not intended to provide complete and detailed information on the mechanics of the process.
RCS has designed the inspection processes of licensed homes to provide consistent direction to staff. The way that staff perform inspections and how they record observations, interviews and record review during the inspection become an important part of any legal proceedings subsequent to the inspection.
Licensors are required to record all of the facts/information that citations of provider/licensee noncompliance are based on. The licensor must be able to provide consistent and accurate records of the facts/informationat any time.
The department makes decisions about initial and ongoing licensure, and enforcement actions, based on the provider/licensee compliance or noncompliance with the applicable requirements. The department’s licensing decisions are based on the documentation of the inspection on the SOD, as well as other documentation such as cover letters, or licensor working papers.
During a hearing, the department has the responsibility to show why a home should be subject to any imposed sanction. The licensor’s evidence must show the underlying factual reason, basis or rationale for the findings of noncompliance with the regulatory requirement(s). Licensors must remember that hearings are adversarial proceedings, during the hearingwitnesses testify for both the home and for the department, and are subject to cross-examination.
The department’s primary evidence is the information contained in the SOD, and any other documentation used to make the determination of inspection results. The Administrative Law Judge (ALJ) relies on the testimony of witnesses and the documentation from the inspection in making a decision. All documentation used at the hearing becomes part of the public record.
The ALJ issues a written decision as to whether or not the home should be found in compliance with the licensing requirements. The ALJ is usually not a health professional; so it is important that the licensor present the findings in plain language. The licensor must make sure that the SOD does not contain technical jargon or abbreviations that would not be readily understood by a layperson.
If either the department or the home is dissatisfied with an ALJ decision or dismissal, it may file a request for a review. The inspection documentation again becomes an important document in the proceedings. The review is based on all evidence written and by testimony from the administrative hearing.
The SOD report remains the key elements in the record to support the department’s decision about noncompliance with applicable requirements. We use the SOD to defend the department’s decision before the public, during the appeals process or in court. The licensor must treat the documentation of each and every inspection as if it will be subject to close scrutiny. The department’s decision non-compliance must be based on objective, factual observations and information and not vague conclusions, assumptions or personal opinion. A judge will likely rely on licensor judgment if the documentation is thorough and comprehensive.
The licensor must be sure the citations relate to the statutory or regulatory requirements. In addition it is necessary for the licensor to write a clear and comprehensive SOD in order to give the provider/licensee with the information necessary to enable them to analyze the problems, define appropriate corrective action and come into compliance with the requirements.
Overview
Listed immediately below for easy reference are the principles considered in the development and completion of the documentation of deficiencies. Following this listing, each principle is explained in detail in a separate section.
PRINCIPLE #1:Compliance and Noncompliance
When a home complies with the requirements applicable to the licensing inspection conducted, the cover letter should consist of an explicit statement that the home is in compliance, “There were no deficiencies noted during the inspection”. If the provider/licensee does not comply with one or more applicable requirements, the cover letter and/or Statement of Deficiencies includes corresponding consultations and/or deficiency citations of noncompliance.
PRINCIPLE #2: Using Plain Language
The deficiency citation is written clearly, objectively and in a manner that is easily understood. The deficiency citation does not include, best practice, advice, personal opinions, comments or direction aimed at the inspected home.
PRINCIPLE #3: Components of a Consultation
A consultation consists of (A) a regulatory reference for consultation, and (B) a statement of deficient practice.
A.Regulatory Reference for A Consultation
1)Regulatory Reference for a consultation includes the following components:
2)The applicable WAC 388-78A and, if applicable, RCW and/or other WAC number and any relevant subsections;
3)The language from that regulation/law which specifies the aspect(s) of the requirement with which the provider/licensee was noncompliant.
B.Summary of Deficient Practice
1)The summary of deficient practice includes:
2)A brief (1 – 2 sentence) statement that summarizes the action or lack of action by the provider/licensee, that resulted in noncompliance with the regulation and the actual or potential outcome.
PRINCIPLE #4: Components of a Deficiency Citation
A deficiency citation for a Statement of Deficiencies consists of (A) a regulatory reference, (B) a deficient practice statement and (C) relevant findings.
A.Regulatory Reference for A Statement Of Deficiencies
1)The summary of deficient practice includes:
A brief (1 – 2 sentence) statement that summarizes the action or lack of action by the provider/licensee, that resulted in noncompliance with the regulation with the actual or potential outcome.
2)The applicable WAC and, if applicable, RCW and/or other WAC number and any relevant subsections;
3)The language from that regulation/law which specifies the aspect(s) of therequirement with which the provider/licensee was noncompliant; and
4)An explicit statement that the regulation was “not met”.
B.DEFICIENT PRACTICE STATEMENT
The statement of deficient practice is one component of the evidence. Itincludes:
1)The source(s) of the information through which the evidence was obtained.
2)The specific action(s), error(s), or lack of action (deficient practice);
3)A description of the extent of the deficient practice or the number of deficient cases relative to the total number of such cases;
4)The identifier of the individuals or situations referenced in the extent of the deficient practice; and
5)The outcome(s) relative to the deficient practice, when possible. Do not document risk of harm if cannot identify the harm.
C.RELEVANT FACTS AND FINDINGS
The facts and findings relevant to the deficient practice, answer the questions: who, what, where, when and how. They illustrate the provider’s/licensee’s noncompliance with the requirement or regulation.
PRINCIPLE#5: Relevance of Onsite Correction of Findings
If, during the inspection, a deficient practice is found, but the provider/licensee corrects the situation, a determination of “not met” must still be documented. The deficiency is still documented. In the Assisted Living Facility program only, the process for documenting deficiencies that are corrected on-site as a consultation, must follow the following criteria: 1) the deficiency is corrected to the satisfaction of the department prior to the exit; 2) the deficiency was not cited in the two most recent inspections or complaint investigations; and 3) the deficiency did not pose a significant risk of harm or actual harm to a resident.
If it is determined a deficient practice requires an immediate plan of correction to protect resident health, safety or welfare, then the provider/licensee must have a plan to correct and sign and date the attestation prior to the licensor leaving the home.
PRINCIPLE #6: Cross-References
The cross-referencing of regulations is an acceptable form of documentation on the Statement of Deficiencies only when it is applicable and the deficiency citation directly pertains to the cross-referenced citation. Cross- referencing is most effective when the linked citations have a direct cause and effect relationship to the deficient practices described in both citations. In all instances, each citation must contain sufficient evidence to demonstrate noncompliance by itself, with the linked citation providing additional information.
PRINCIPLE #7: Citations With More Than One Regulatory Reference
Although a deficient practice may be applied to more than one regulatory requirement,
each deficiency citation must reference only the most applicable WAC and/or RCW and must not contain multiple regulatory references. A deficiency citation must reflect the WAC and/or RCW that is the most relevant to the deficient practice identified. If the deficient practice can be linked to more than one regulation and each regulation can be independently supported with sufficient evidence of noncompliance and cited separately, than cross-referencing may be applied as in Principle #6.
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The Principles of Documentation
PRINCIPLE #1: Compliance and Noncompliance
When a provider/licensee complies with the requirements applicable to the licensing inspection conducted, a cover letter is completed that contains the explicit statement, “There were no deficiencies noted during the inspection”.
If a provider/licensee does not comply with one or more applicable requirements, a cover letter and/or Statement of Deficiencies includes corresponding consultations or citations of noncompliance. The laws and regulations are the legal authority for determining a home’s compliance with licensing requirements.
The Cover Letter is the document that communicates the determination of noncompliance with the licensing requirements that are applicable for consultation (see definition of Consultation for AFH and ALF on page 3). It is an official record and is available to the public on request.
The Statement of Deficiencies report is the official document that communicates the determination of noncompliance with licensing requirements that require a deficiency citation. Also, part of the SOD report is the attestation statement that the provider/licensee signs and dates and states when the cited deficiency will be corrected. It is an official record and is available to the public on request.
PRINCIPLE #2: Using Plain Language
The licensor must:
- Write each citation clearly, objectively and in a manner that is easily understood;
- Include in the citation only the evidence to support the determination of noncompliance; and
- Not include in the citation best practice, personal opinions, advice, comments, assumptions or directions aimed at the home.
The licensor must not include extraneous comments or consultative remarks in citations. The provider/licensee and the public may be confused and may not be able to clearly identifythe legitimate evidence of noncompliance. To decrease confusion, the licensor must only include evidence in the SOD that supports the determination of noncompliance.