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P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 1 Wisconsin Department of Health Services STATE OF ASSISTED LIVING Mid-year 2017 August 15,2017

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P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 1

Wisconsin Department of Health Services

STATE OF ASSISTED LIVING Mid-year 2017 August 15,2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 2

Wisconsin Department of Health Services

Agenda 1. BAL Staffing

2. Trends and Statistics

Assisted Living (AL) Capacity

AL Complaints

AL Self-Reports

AL Survey

Abbreviated Surveys

AL Enforcement

Wisconsin Coalition for Collaborative Excellence in Assisted Living (WCCEAL)

3. Bureau of Assisted Living Strategies

4. Wrap-Up

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 3

Wisconsin Department of Health Services

Bureau of Assisted Living Staffing

Assisted Living Regional Directors

• Northeastern Regional Office (NERO)

o Kathy Lyons

• Western Regional Office (WRO)

o William Gardner

• Southern Regional Office (SRO)

o Linda Boswell

• Southeastern Regional Office (SERO)

o Michelle Crockett

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 4

Wisconsin Department of Health Services

Quality Assurance Program Specialists, Senior

• Sandra Finseth

• Cindy O’Connell

• Cheryl Bott

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 5

Wisconsin Department of Health Services

Central Office Staff

• Damon Scott, Office Operations Program Associate

• Lori Smithback, Central Licensing Associate

• Chquota Weis, Central Health Service Specialist

• Sharon Paulson, Central Health Service Specialist

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 6

Wisconsin Department of Health Services

Assisted Living Support Staff

• Southern Regional Office

o Thom Smith

o Julie Mallder

• Western Regional Office

o Moua Luedtke

o Wendy Badzinski

• Southeastern Regional Office

o Rothea Hunt

o Vacant

• Northeastern Regional Office

o Diane Van Rens

o Carrie Raasch

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 7

Wisconsin Department of Health Services

Assisted Living Surveyors

Northeastern Regional Office

o Jerome Riederer

o Heather Schweiner

o Phyllis Witter

o Jule Degrave

o Connie Van Rossum

o Trisha Piotraschke

o Cari Gast

o Vicky Whittman

o Sandra Culligan

o Nicole Hall

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 8

Wisconsin Department of Health Services

Assisted Living Surveyors

Southeastern Regional Office

o Bunny Booker

o MaryBeth Hoffman

o Sharon Gries

o Connie Knezic

o Tom Redding

o Joelle Verstegen

o Cindie Wilbur

o Kelly Clark

o Vacant

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 9

Wisconsin Department of Health Services

Bureau of Assisted Living Staffing Assisted Living Surveyors

Western Regional Office

o Cynthia Larson

o Mary Eckwright

o Ann Colbenson-Hallum

o Kris Carew

o Judy Jordan

o Kelly Haugen

o Ron Kunferman

o Angela Greger

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 10

Wisconsin Department of Health Services

Assisted Living Surveyors

Southern Regional Office

o Thomas Herrewig

o Leann Fox

o Geralyn Spitzer

o Tina Lubick

o Roda McLees

o Emily Wilson

o Stephanie Solberg

o Shannon Lane

Bureau of Assisted Living Staffing

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 11

Wisconsin Department of Health Services

Bureau of Assisted Living Regional Assignments

SERO • Kenosha, Milwaukee, Racine

NERO

• Adams, Brown, Calumet, Door, Fond du Lac, Green Lake, Kewaunee, Manitowoc, Marinette, Marquette, Menominee, Oconto, Outagamie, Ozaukee, Portage, Shawano, Sheboygan, Washington, Waushara, Waupaca, Winnebago, Wood

SRO • Columbia, Crawford, Dane, Dodge, Grant, Green, Iowa, Jefferson, Lafayette, Richland, Rock, Sauk,

Walworth, Waukesha

WRO • Ashland, Barron, Bayfield, Buffalo, Burnett, Chippewa, Clark, Douglas, Dunn, Eau Claire, Florence,

Forest, Iron, Jackson, Juneau, Langlade, La Crosse, Lincoln, Marathon, Monroe, Oneida, Pepin, Pierce, Polk, Price, Rusk, Sawyer, St. Croix, Taylor, Trempealeau, Vernon, Vilas, Washburn

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 12

Wisconsin Department of Health Services

Wisconsin Assisted Living Facilities

•Wis. Admin. Code ch. DHS 88

•Wis. Stat. ch. 50

•Wis. Admin. Code ch. DHS 89

•Wis. Stat. ch. 50

•Wis. Admin. Code ch. DHS 83

•Wis. Stat. ch. 50

•Adult Day Standards

Adult day care

Community-based

residential facility

Adult family home

Residential care

apartment complexes

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 13

Wisconsin Department of Health Services

Regulatory Trends

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 14

Wisconsin Department of Health Services

Regulatory Trends • Increase in:

o Number of Assisted Living Facilities

Licensing/Certification • Adult Family Homes largest provider type (2083)

• Change of Ownership

Facilities closing

• Never serving residents

• Financial issues

Increase in affiliated providers over single facility operators

More than 77% of facilities serve more than 3 client groups

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 15

Wisconsin Department of Health Services

Regulatory Trends • Increase in:

o Citing Trends

Medication administration

Care planning

Health monitoring

Investigating abuse and neglect

o Complaints

Complaint subject areas

• Program Services

• Physical Environment

• Resident Rights

• Staff Training and Proficiency

More complaints for affiliated provider vs single operator

Highest source of complaint is anonymous and relative/guardian/POA-HC

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 16

Wisconsin Department of Health Services

Regulatory Trends • As a result, BAL sees:

o Increased complexity of investigations o Serious outcomes to resident

Sexual assault Resident injuries Resident discharge

o Failure to sustain compliance Affiliated providers Repeat/uncorrected citations Process requirements

o Increased enforcement activity Revocations Directed Plan of Correction (DPOC) Forfeitures License Denials

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 17

Wisconsin Department of Health Services

Assisted Living Facilities

0

1000

2000

3000

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

RCAC 152 171 188 203 218 245 271 278 295 303 308 313 320 342 334AFH 765 834 965 1049 1130 1185 1273 1392 1467 1544 1621 1759 1835 2061 2083CBRF 1352 1367 1372 1382 1403 1429 1458 1470 1476 1501 1514 1522 1536 1620 1622

Num

ber o

f Com

mun

ities

Trend in Number of Facilities

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 18

Wisconsin Department of Health Services

Assisted Living Capacity

0

10000

20000

30000

40000

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

AFH 2964 3217 3727 4054 4358 4585 4916 5430 5730 5987 6285 6815 7105 7983 8042RCAC 6055 6614 8003 8980 9562 10579119881233013176135801406914338145521558315556CBRF 213922173921996224082282223490243662476525201259852675027597284143065331071

Capa

city

Trend in Assisted Living Capacity

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 19

Wisconsin Department of Health Services

Nursing Home and Intermediate Care Facilities for Individuals with Intellectual Disabilities (ICF/IID)

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

FIDs 37 35 32 22 19 16 14 14 13 13 12 10 7 7 7NHs 407 404 404 403 402 399 399 399 400 397 399 395 396 390 392

050

100150200250300350400450

Num

ber o

f Fac

ilitie

s

Year

Trend in Number of Facilities

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 20

Wisconsin Department of Health Services

Nursing Home and ICF/IID

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17FIDs 2,391 2,115 1,734 1,354 1,190 1,102 989 939 908 768 720 577 540 539 539NHs 40,661 39,959 39,276 38,700 38,106 37,494 36,557 36,022 35,661 34,992 34,639 33,886 33,893 32,666 32,232

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

40,000

45,000

Resi

dent

Cap

acity

Year

Trend in Capacity for Residents

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 21

Wisconsin Department of Health Services

Assisted Living vs. LTC Facilities

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

AL 2269 2372 2525 2634 2751 2859 3001 3238 3348 3348 3577 3727 3881 4166 4171LTC 444 439 436 425 421 415 413 413 413 410 411 405 403 397 399

0

500

1000

1500

2000

2500

3000

3500

4000

4500

Num

ber

of F

acil

itie

s

Trend in Number of Facilities

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 22

Wisconsin Department of Health Services

Assisted Living vs. LTC Capacity

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

LTC 43052 42074 41010 40054 39296 38596 37546 36961 36569 35760 35359 34463 34433 33205 32771AL 30411 31570 33726 35442 36742 38654 41270 42525 44107 45552 51158 52719 54383 59224 59068

0

10000

20000

30000

40000

50000

60000

70000

Cap

acit

y

Trend in Capacity for Residents

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 23

Wisconsin Department of Health Services

Residential Care Apartment Complex (RCAC)

0

100

200

300

400

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

Registered 67 77 84 88 93 100 97 94 99 99 98 93 96 100 98Certified 86 94 104 115 125 147 174 184 196 204 210 220 224 242 236Total 153 171 188 203 218 247 271 278 295 303 308 313 320 342 334

Num

ber o

f RCA

C

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 24

Wisconsin Department of Health Services

Adult Day Care (ADC) Centers

020406080

100120140160

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

ADC 101 105 106 97 102 114 115 121 128 134 134 133 140 143 132

Num

ber o

f AD

C

Year

Trend in Number of Centers

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 25

Wisconsin Department of Health Services

Adult Day Care Centers

0

1,000

2,000

3,000

4,000

5,000

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

ADC 2,526 2,578 2,582 2,617 2,770 3,101 3,097 3,407 3,471 3,874 4,054 3,969 4,234 4,735 4,399

Capa

city

Year

Trend in the Capacity for Participants

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 26

Wisconsin Department of Health Services

Ownership by Count: All AL Facilities

CHURCH, 60

CORPORATION - BUSINESS, 1191

CORPORATION - NONPROFIT, 635

GOVERNMENT - COUNTY, 37

GOVERNMENT - STATE, 2 GOVERNMENT - OTHER,

9

LIMITED LIABILITY COMPANY, 1788

PARTNERSHIP, 78

PROPRIETORSHIP, 341

TRIBAL, 4 OTHER, 31

CHURCH

CORPORATION - BUSINESS

CORPORATION -NONPROFITGOVERNMENT - COUNTY

GOVERNMENT - STATE

GOVERNMENT - OTHER

LIMITED LIABILITYCOMPANYPARTNERSHIP

PROPRIETORSHIP

TRIBAL

OTHER

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 27

Wisconsin Department of Health Services

Ownership-AFH

CHURCH, 13

CORPORATION - BUSINESS, 603

CORPORATION - NONPROFIT,

219

GOVERNMENT - COUNTY, 8

GOVERNMENT - STATE, 1

LIMITED LIABILITY COMPANY, 867

OTHER, 21

PARTNERSHIP, 64 PROPRIETORSHIP, 286

CHURCH

CORPORATION -BUSINESSCORPORATION -NONPROFITGOVERNMENT -COUNTYGOVERNMENT - STATE

LIMITED LIABILITYCOMPANYOTHER

PARTNERSHIP

PROPRIETORSHIP

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 28

Wisconsin Department of Health Services

Ownership-CBRF CHURCH, 14

CORPORATION - BUSINESS, 506

CORPORATION - NON PROFIT, 295

GOVERNMENT - COUNTY, 17 GOVERNMENT - OTHER, 6

GOIVERNMENT - STATE, 1

LIMITED LIABILITY COMPANY, 727

OTHER, 4

PARTNERSHIP, 10

PROPRIETORSHIP, 38

TRIBAL, 4

CHURCH

CORPORATION -BUSINESSCORPORATION - NONPROFITGOVERNMENT -COUNTYGOVERNMENT - OTHER

GOIVERNMENT - STATE

LIMITED LIABILITYCOMPANYOTHER

PARTNERSHIP

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 29

Wisconsin Department of Health Services

Ownership-ADC

CHURCH, 21

CORPORATION - BUSINESS, 30

CORPORATION - NONPROFIT, 36

GOVERNMENT - COUNTY, 7

GOVERNMENT - OTHER, 1

LIMITED LIABILITY COMPANY, 16

OTHER, 4

PARTNERSHIP, 1

PROPRIETORSHIP, 16

CHURCH

CORPORATION -BUSINESSCORPORATION -NONPROFITGOVERNMENT -COUNTYGOVERNMENT - OTHER

LIMITED LIABILITYCOMPANYOTHER

PARTNERSHIP

PROPRIETORSHIP

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 30

Wisconsin Department of Health Services

Ownership-RCAC

CHURCH, 12

CORPORATION - BUSINESS, 52

CORPORATION - NON PROFIT, 84

GOVERNMENT - COUNTY, 5 GOVERNMENT - OTHER, 2

LIMITED LIABILITY COMPANY, 178

OTHER, 2

PARTNERSHIP, 3 PROPRIETORSHIP, 1

CHURCH

CORPORATION -BUSINESSCORPORATION - NONPROFITGOVERNMENT -COUNTYGOVERNMENT - OTHER

LIMITED LIABILITYCOMPANYOTHER

PARTNERSHIP

PROPRIETORSHIP

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 31

Wisconsin Department of Health Services

CBRF Training Registry Services

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 32

Wisconsin Department of Health Services

CBRF Employee Registry Mid-year 2017

StandardPrecautions

MedicationAdministration Fire safety First Aid Total Number

since April 2010

Number of Students Trained Employees 6,884 5,101 6,419 6,094 24,498Number of Classes Held 2,635 1,278 1,311 1,320 6,544

0

5,000

10,000

15,000

20,000

25,000

30,000

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 33

Wisconsin Department of Health Services

Assisted Living Complaints Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 34

Wisconsin Department of Health Services

Assisted Living Complaints Received

0

200

400

600

800

1,000

1,200

1,400

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

# complaints 792 667 677 718 681 774 836 789 801 916 900 981 1,117 1,207 702

Num

ber o

f Com

plai

nts

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 35

Wisconsin Department of Health Services

Complaints Received Mid-year 2017

1%

28%

63%

8%

Complaints ADC AFH CBRF RCAC

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 36

Wisconsin Department of Health Services

Source of Complaint Mid-year 2017

34%

13%

31%

3%

4% 3%

5% 6% 1%

AnonymousPublic OfficialRelative or GuardianCurrent EmployeeFormer EmployeeMedicalCitizenResidentAdvocate

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 37

Wisconsin Department of Health Services

Complaints vs. Growth

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

# complaints 792 667 677 718 681 774 836 789 801 916 900 981 1117 1207 702# AL Facilities 2370 2477 2631 2731 2853 2973 3117 3261 3366 3482 3577 3727 3881 4166 4171

0500

10001500200025003000350040004500

2003- 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 38

Wisconsin Department of Health Services

Percentage of Facilities with Complaints Submitted

11.3%

89.7%

% of Facilities withComplaints Submitted% of Facilities with NoComplaints

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 39

Wisconsin Department of Health Services

Assisted Living Self-Reports Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 40

Wisconsin Department of Health Services

Self-Reports Received

0

500

1,000

1,500

2,000

2,500

3,000

3,500

4,000

4,500

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

1,166 1,452

1,856 1,872

2,751

3,446 3,271

3,534 3,343

3,645 4,058

4,473

2,383

Tota

l Num

ber

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 41

Wisconsin Department of Health Services

Self-Reports Received Mid-year 2017 (2,383)

10%

90%

Self-Reports Open Investigation File

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 42

Wisconsin Department of Health Services

Number of Self-Reports by Subject Area

54%

7% 9%

8%

9% 6%

2% 2% 1% 1% 0% 1%

Mid-year 2017 Falls Resident Behavior PoliceElopement Hospital (Not Fall) OtherMisappropriation Abuse NeglectFire Communicable Disease Disaster or Evacuation

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 43

Wisconsin Department of Health Services

No SOD 96%

SOD 4%

Self Reports Investigated – Mid-year 2017 (478)

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 44

Wisconsin Department of Health Services

Abbreviated Surveys Mid-year 2017

• No deficiency survey - 64%

• Statement of deficiency - 36%

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 45

Wisconsin Department of Health Services

Facilities Qualifying for Abbreviated Surveys Mid-year 2017

• Adult day care 65% • Adult family home 49% • Community-based residential facility 44% • Residential care apartment complex 64%

• Statewide 49%

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 46

Wisconsin Department of Health Services

Facilities Qualifying for an Abbreviated Survey

0%

10%

20%

30%

40%

50%

60%

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

% Abbr. Surveys 37.2%37.9%38.2%40.5%39.3%42.4%45.7%46.7%46.8%50.8%53.5%49.1%47.7% 46.10 49.0%

% o

f Tot

al F

acili

ties

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 47

Wisconsin Department of Health Services

Statewide Survey Results

0%10%20%30%40%50%60%70%

No Citations SOD Only Surveys withEnforcement

2007 62% 15% 23%2008 63% 15% 22%2009 61% 16% 23%2010 63% 12% 25%2011 63% 15% 22%2012 65% 14% 21%2013 65% 14% 21%2014 excludes initial & CHOW 55% 11% 33%2015 60% 10% 27%2016 63% 11% 26%Jun-17 54% 17% 29%

% o

f T

otal

Sur

veys

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 48

Wisconsin Department of Health Services

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016June2017

Total Citations 2,421 2,625 2,569 2,759 2,369 2,417 2,623 2,471 2,420 2,091 2,423 2,437 2,719 1,322Average per Survey with Citation 3.3 3.3 3.7 3.3 3 2.9 3.4 3.6 3.3 3.2 2.5 3 3.3 3.2

0

0.5

1

1.5

2

2.5

3

3.5

4

0

500

1,000

1,500

2,000

2,500

3,000

Ave

rage

Cit

atio

ns p

er S

urve

y w

ith

Cit

atio

ns

Year

Tot

al C

itat

ions

Assisted Living Citations Issued

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 49

Wisconsin Department of Health Services

CBRF Top Ten Citations Mid-year 2017

05

101520253035

Number of Citations83.47(2)(d) FIRE DRILLS 3283.32(3)(h) RIGHTS OF RESIDENTS: TO RECEIVE

MEDICATION 31

83.47(2)(e) OTHER EVACUATION DRILLS 2683.35(3)(d) SERVICE PLANS UPDATED ANNUALLY OR

ON CHANGES 25

83.25 CONTINUING EDUCATION 2583.38(1)(b) SUPERVISION 1583.45(3) TOXIC SUBSTANCES 1483.20(2)(b) TRAINING IN FIRE SAFETY 1483.35(5)(b) ANNUAL EVALUATION OF EVACUATION

LIMITS 13

83.12(2)(a) CAREGIVER: INVESTIGATING ABUSE ANDNEGLECT 13

83.32(3)(i) RIGHTS OF RESIDENTS: PROMPT ANDADEQUATE TREATMENT 13

Citation

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 50

Wisconsin Department of Health Services

Top Ten Cites With Forfeiture CBRF Mid-year 2017

$18,655.00

$17,425.00

$10,950.00

$10,650.00

$6,575.00

$5,650.00

$5,500.00

$4,700.00

$4,675.00

$4,400.00

$4,000.00

RIGHTS OF RESIDENTS: TO RECEIVE MEDICATION

RIGHTS OF RESIDENTS: PROMPT AND ADEQUATETREATMENT

SERVICE PLANS UPDATED ANNUALLY OR ONCHANGES

SUPERVISION

HEALTH MONITORING

COMPREHENSIVE INDIVIDUALIZED SERVICE PLAN

LISTED AREAS FOR ASSESSMENTS

CAREGIVER: INVESTIGATING ABUSE ANDNEGLECT

NOTIFICATION: INCIDENT, INJURY, CHANGES

IMPLEMENT, FOLLOW THE INDIVIDUAL SERVICEPLAN

NOT PERMIT A CONDITION OF SUBSTANTIAL RISK

$0 $20,000

Cit

atio

n

Total Forfeiture Amount

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 51

Wisconsin Department of Health Services

AFH Top Ten Citations Mid-year 2017

0

5

10

15

20

25

30

Number of Citations88.05(3)(a) HOME ENVIRONMENT 2788.05(4)(b)2 SMOKE DETECTORS-TESTING AND

MAINTENANCE 24

88.10(3)(l) SAFE PHYSICAL ENVIRONMENT 1950.065(2)(b)intro ENTITY BACKGROUND CHECK

REQUIREMENTS 16

88.04(5)(a) TRAINING-15 HOURS WITHIN 6MONTHS 16

88.04(5)(b) TRAINING-8 HOURS ANNUALLY 1688.04(2)(a) RESPONSIBILITIES 1588.07(3)(d) MEDICATION- WRITTEN ORDER 1588.05(4)(d)2.b FIRE EVACUATION ANNUAL

EVALUATION 14

88.06(2)(a) ADMISSION-HEALTH EXAM 14

Citation

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 52

Wisconsin Department of Health Services

RCAC Top Ten Citations Mid-year 2017

00.20.40.60.8

11.21.41.61.8

2

Number of Citations13.05(3)(a) ENTITY ALLEGATION

REPORTING REQUIREMENTS 2

89.34(16) TENANT RIGHTS 2

89.34(18) TENANT RIGHTS 2

89.26(4) ANNUAL REVIEW 1

50.065(6)(am) FOUR YEAR CAREGIVERBACKGROUND REQUIREMENT 1

50.065(2)(bm) OUT OF STATEBACKGROUND CHECKS 1

89.23(2)(a)2.c SERVICES 1

89.23(3)(f) SERVICES 1

89.23(4)(d)1 SERVICES 1

89.34(12) TENANT RIGHTS 1

Citation

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 53

Wisconsin Department of Health Services

ADC Top Ten Citations Mid-year 2017

0

1

Number of CitationsADMINISTRATION OF MEDICATION 1

MEDICATION-DOCUMENTED IN INK 1

MEDICATION-WRITTEN ORDER 1

PERSONNEL-HEALTH EXAMINATION 1

PERSONNEL-STAFFING REPORTS 1

PLAN-QUARTERLY DOCUMENTING 1

PROGRAM SERVICES 1

RESPECT AND DIGNITY 1

SANITATION-PREMISES CLEAN 1

TRAINING-ORIENTATION. 1

Citation

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 54

Wisconsin Department of Health Services

Assisted Living Enforcement Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 55

Wisconsin Department of Health Services

0

100

200

300

400

500

600

2003 2004 2005 2006 2007 2008 2009 20094

YearEntit

y

2010 2011 2012 2013 2014 20144

YearEntit

y

2014SmallClass

C

2015 2016 Jun-17

Enforcements 471 442 409 475 546 474 444 42 522 475 421 439 410 240 46 484 496 266

Enfo

rcem

ent S

urve

ys

Year

AL Surveys With Enforcement

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 56

Wisconsin Department of Health Services

0

20

40

60

80

100

120

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

44

57 49

105

89 82 78 82

61

79

58 52

22

No

New

Adm

issi

on O

rder

s

Year

Assisted Living No New Admission Orders

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 57

Wisconsin Department of Health Services

Forfeiture Assessments

$0

$100,000

$200,000

$300,000

$400,000

$500,000

$600,000

$700,000

$800,000

$900,000

$1,000,000

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Jun-17

$439,406

$547,300

$433,055

$614,952

$422,530

$608,989

$889,925

$816,600

$979,313 $1,036,165

$886,555 $932,791

$203,870.00 Forf

eitu

re A

sses

smen

ts

Year

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 58

Wisconsin Department of Health Services

Type of Sanctions per survey

Mid-year 2017

Comply POC 33%

Comply Req. 21%

Forfeiture 28%

Provide Training 1%

Revoke 2%

No Admission 6%

Other 8%

Accruing Forfeiture

0%

Deny 1%

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 59

Wisconsin Department of Health Services

Percentage of Facilities Receiving Enforcements Mid-year 2017

10.0%

90.0%

% FacilitiesReceivingEnforcement% Facilities WithNo Enforcements

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 60

Wisconsin Department of Health Services

Assisted Living Surveys with Citations and Percentage of Appeals

Mid-year 2017

99%

1%

Surveys With CitationsAppeals

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 61

Wisconsin Department of Health Services

Bureau of Assisted Living Initiatives

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 62

Wisconsin Department of Health Services

Key Code (Core Areas)

• Consumer Rights • Provision of Services / Quality of Care • Nutrition and Food Service • Physical Environment & Safety • Staff Training • Medication Management

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 63

Wisconsin Department of Health Services

BAL Initiatives • Completion of LEAN Application Project

• Applications

• Checklists

• Attestation documents

• Revision letters/2x

• Posted by end of August 2017

• Phase II E-Licensing/E-payment system

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 64

Wisconsin Department of Health Services

BAL Initiatives

• Transition in Care coordination guide • Home & Community Based Services

(HCBS) validation reviews • Ask BAL webpage • Strategies to enhance resident care

publication(s) • BAL self report publication • Increase provider participation in the usage

of BAL e-renewal system

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 65

Wisconsin Department of Health Services

BAL Initiatives

• Conduct regional forums • Study the use of technology in assisted

living facilities • Examine updates to annual/ biennial

reports • Promote internal quality improvement

strategies within assisted living facilities • Wisconsin Coalition for Collaborative

Excellence in Assisted Living

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 66

Wisconsin Department of Health Services

Wisconsin Coalition for Collaborative Excellence in Assisted

Living (WCCEAL)

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 67

Wisconsin Department of Health Services

Wisconsin Coalition for Collaborative Excellence in

Assisted Living

• Provider association sponsored

• Department approved

• Comprehensive quality assurance (QA) and quality improvement (QI)

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 68

Wisconsin Department of Health Services

Internal Quality Assurance

• Essential to maintain quality!

• Structure, process, and outcome measures used to evaluate quality

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 69

Wisconsin Department of Health Services

WCCEAL Regulatory Data Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 70

Wisconsin Department of Health Services

CBRFs AFHs RCACs WCCEAL Assisted Living

Communites 239 40 120

0

50

100

150

200

250

300N

umbe

r of F

acili

ties

WCCEAL Regulated Facilities Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 71

Wisconsin Department of Health Services

WCCEAL Regulated Facilities Surveys Conducted

Total Surveys Surveys WithCitations

Total CitationsIssued

Surveys With NoCitations

Jun-17 102 32 87 70

0

20

40

60

80

100

120

Num

ber o

f Sur

veys

Mid-year 2017

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 72

Wisconsin Department of Health Services

WCCEAL Members Complaints Mid-year 2017

Total Facilities 399Total Complaints 91Facilities With Complaints 54

050

100150200250300350400450

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 73

Wisconsin Department of Health Services

WCCEAL Regulated Facilities Qualifying for Abbreviated Surveys

Mid-year 2017

Total Number of Facilities 399Qualifying Facilities 236RCAC 90CBRF 113AFH 33

050

100150200250300350400450

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 74

Wisconsin Department of Health Services

WCCEAL Regulated Facilities Abbreviated Survey Results

Mid-year 2017

Total Abbreviated Surveys 42Surveys With No Citations 34Surveys With Citations Only 8Enforcement Action 0

05

1015202530354045

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 75

Wisconsin Department of Health Services

Percentage of Facilities with Complaints Mid-year 2017

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

13.5% 11.0%

% o

f Fac

ilitie

s W

ith C

ompl

aint

s

WCCEAL Non-WCCEAL

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 76

Wisconsin Department of Health Services

Average Citations per Survey with Citations Mid-year 2017

2

2.2

2.4

2.6

2.8

3

3.2

2.7

3

Num

ber o

f Cita

tions

WCCEAL Non-WCCEAL

P-01726 (08/2017) Promoting Regulatory Compliance Division of Quality Assurance 77

Wisconsin Department of Health Services

Thank You

Alfred C. Johnson, Director Bureau of Assisted Living

Phone: 608-266-8598 Email: [email protected]

Wisconsin Division of Quality Assurance

The Division of Quality Assurance (DQA) is responsible for assuring the safety, welfare and health of persons using health and community care

provider services in Wisconsin.

DQA - Working to Protect - Promote - Provide Quality in Wisconsin's Health Care Facilities