Report 2014-111 Recommendation 13 Responses
Report 2014-111: California Department of Public Health: It Has Not Effectively Managed Investigations of Complaints Related to Long-Term Health Care Facilities (Release Date: October 2014)
Recommendation #13 To: Public Health, Department of
To make certain that its district offices comply with federal requirements regarding corrective action plans, Public Health should establish a process for its headquarters or regional management to inspect district office records periodically to confirm that they are obtaining corrective action plans according to the required time frame and verifying that facilities have performed the corrective actions described in the plans when required.
Annual Follow-Up Agency Response From November 2018
Between July 1, 2017, and June 30, 2018, California department of Public Health (CDPH) completed 7,355 surveys with violations in Long-Term Care (LTC) facilities. Of the 7,126 Statements of Deficiencies that were sent to providers, CDPH received 6,730 (94%) Plan of Corrections (POCs) back from the provider. Of these, 2,846 (42%) were back from the provider within 10 days. CDPH conducted one or more revisit surveys, to confirm that facilities properly implemented their proposed corrective actions, for 7,027 (96%) of these surveys. CDPH developed a monthly report for headquarters managers to use to confirm that district offices are obtaining corrective action plans according to the required timeframe. CDPH delivered a training in October 2018 for branch chiefs on the new monthly report.
- Completion Date: March 2018
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Public Health provided documentation showing a process for reviewing a sample of district investigations in September and November 2017. As part of of its review, Public Health assessed the acceptability of the plans of correction. Public Health also provided documentation showing its periodic monitoring of district office compliance with federal requirements regarding plans of correction.
Annual Follow-Up Agency Response From December 2017
The Statewide electronic plan of correction (ePOC) training and outreach efforts to all District Offices was successfully completed by the June 2017 deadline. Public Health completed the training for the Los Angeles County District Offices by July 2017. As of September 12, 2017, CDPH has completed over 1,700 ePOC surveys. District offices continue to add additional facilities which will provide broader data collection and timeliness management. Public Health conducts revisit surveys to confirm that facilities properly implement their plans of correction and will implement compliance testing to track the timeliness of POC submissions.
- Estimated Completion Date: March 2018
California State Auditor's Assessment of Annual Follow-Up Status: Pending
Annual Follow-Up Agency Response From September 2016
In January 2016, Public Health's Licensing and Certification Program (L&C) joined other states in participating in Centers for Medicare/Medicaid Services (CMS) web-based electronic plan of correction (ePOC) program. The ePOC program is designed to allow providers, Public Health, and the CMS to view corrective action plans issued by state regulators and respond and upload documents that facilities provide in response to corrective action items. The ePOC program documentation includes the statement of deficiencies (CMS 2567) issued by State staff and facilities documented response(s). Public Health's District Offices (DO) serving all 58 California counties are phasing into this program and all will be using this system by June 2017.
L&C Training Unit conducted a webinar to providers and Public Health staff covering ePOC process. Participating in the ePOC program will strengthen Public Health's ability to monitor and review DO's timely and more efficiently document evidence of completion.
- Estimated Completion Date: June 2017
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
1-Year Agency Response
CDPH developed criteria for reviewing plans of correction and verification of implementation. The criteria can be found on page 43-44 of the "LTC Abbreviated Survey P&P." This review was added to the Abbreviated Survey Review for LA County in April 2015 (fourth quarter 2014/15). Starting in October 2015, this review expanded to statewide.
- Completion Date: October 2015
- Response Date: November 2015
California State Auditor's Assessment of 1-Year Status: Pending
Pages 43 and 44 of the Abbreviated Survey Policies and Procedures describe district offices' responsibilities in obtaining and reviewing corrective plans from LTHC facilities. However, our recommendation was for Public Health to establish a process for headquarters or regional management to inspect district office records periodically to confirm that the district offices were obtaining corrective action plans according to the required time frame and verifying that facilities have performed the corrective actions described in the plans when required.
- Auditee did not substantiate its claim of full implementation
- Auditee did not address all aspects of the recommendation
6-Month Agency Response
CDPH continues to review complaints and ERI for appropriate prioritization level, timely onsite visit, and investigations. This review is currently conducted for LA County District offices. After April 2015, the review will expand to the other district offices ensuring all district offices are reviewed each quarter.
CDPH has developed and added criteria for reviewing plans of correction and verification the provider implemented their plans of correction to the LA County monthly reviews.
- Estimated Completion Date: 10/31/2015
- Response Date: June 2015
California State Auditor's Assessment of 6-Month Status: Pending
Public Health has not yet provided documentation of the actions noted in its response.
60-Day Agency Response
CDPH has developed criteria for reviewing complaint and ERI prioritization and quality of investigations. Beginning May 2014, CDPH has used these criteria to conduct monthly reviews of a sample of complaint and ERI investigations in LA County. CDPH prepares a quarterly report of these reviews. These reviews will continue in LA County until April 2015. By April 2015, CDPH will add criteria for reviewing plans of correction and supervisory review to the LA County monthly reviews. By October 2015, CDPH will use the criteria to monthly review a sample of the investigations in district offices statewide.
- Estimated Completion Date: 10/31/15
- Response Date: December 2014
California State Auditor's Assessment of 60-Day Status: Pending
Public Health did not provide documentation of the actions noted in its response. Additionally, it indicates the recommendation is not yet fully implemented.
Agency responses received are posted verbatim.