F.
Termination of Certification (Decertification) of an ICF/MR. An ICF/MR may
voluntarily or involuntarily lose its participating status in the Medical
Assistance Program.
NOTE: Federal regulations pertaining to this Subsection
are
42 CFR
442.12 -
442.117.
1. Reasons for a Decertification of an ICF/MR
a. The ICF/MR may voluntarily withdraw from
the program for reasons of its own. The owner and administrator will submit a
written notice of withdrawal to the DHH's HSS at least 60 days in
advance.
b. A new owner may decide
against participation in the program. A written 60-day notice of withdrawal
will be submitted to DHH's HSS.
c.
DHH may decertify an ICF/MR for failure to comply with Title XIX standards,
thus canceling the facility's provider agreement.
d. DHH may decertify an ICF/MR if
deficiencies pose immediate jeopardy to the client's health, safety, rights, or
welfare.
e. The ICF/MR may allow
its provider agreement to expire. A written 60-day advance notice of withdrawal
will be submitted to the DHH's HSS.
f. DHH may cancel the provider agreement if
and when it is determined that the ICF/MR is in material breach of the
contract.
2.
Recertification of an Involuntarily Decertified ICF/MR. After involuntary
decertification, an ICF/MR cannot participate as a Medical Assistance provider
unless the following conditions are met:
a.
the reasons for the decertification or nonrenewal of the contract no longer
exist;
b. reasonable assurance
exists that the factors causing the decertification will not recur;
c. the ICF/MR demonstrates compliance with
the required standards for a 60-day period prior to reinstatement in a
participating status; and
d. a
professional medical review reports that clients are receiving proper care and
services.
3. Denial of
Payments for New Admissions
a. New
Admissions. New admissions refer to the admission of a person who has never
been a Title XIX client in the ICF/MR or, if previously admitted, had been
discharged or had voluntarily left the ICF/MR. This term does not include the
following:
i. individuals who were in the
ICF/MR before the effective date of denial of payment for new admissions, even
if they become eligible for Title XIX after that date.
ii. individuals who, after a temporary
absence from the ICF/MR, are readmitted to beds reserved for them in accordance
with the admission process.
b. Basis for Denial of Payment. DHH may deny
payment for new admissions to an ICF/MR that no longer meets applicable
requirements as specified in these standards.
i. ICF/MR's deficiencies do not pose
immediate jeopardy (serious threat). If DHH finds that the ICF/MR's
deficiencies do not pose immediate jeopardy to clients' health, safety, rights,
or welfare, DHH may either terminate the ICF/MRs provider agreement or deny
payment for new admissions.
ii.
ICF/MR's deficiencies do pose immediate jeopardy (serious threat). If DHH finds
that the ICF/MRs deficiencies do pose immediate jeopardy to clients' health,
safety, rights, or welfare, and thereby terminates the ICF/MR's provider
agreement, DHH may additionally seek to impose the denial of payment for new
admissions.
c. DHH
Procedures. Before denying payments for new admissions, DHH will be responsible
for the following:
i. providing the ICF/MR a
time frame of up to 60days to correct the cited deficiencies and comply with
the standards for ICF/MRs;
ii.
giving the ICF/MR notice of the intent to deny payment for new admissions and
an opportunity to request an Informal Reconsideration if the facility has not
achieved compliance at the end of the 60-day period;
iii. providing an informal hearing if
requested by the ICF/MR that included the following:
(a). giving the ICF/MR the opportunity to
present before a State Medicaid official not involved in the initial
determination, evidence or documentation, in writing or in person, to refute
the decision that the ICF/MR is out of compliance with the applicable standards
for participation; and
(b).
submitting a written decision setting forth the factual and legal basis
pertinent to a resolution of the dispute.
iv. providing the facility and the public at
least 15days advance notice of the effective date of the sanction and reasons
for the denial of payments for new admissions should the informal hearing
decision be adverse to the ICF/MR.
d. Duration of Denial of Payments and
Subsequent Termination
i. Period of Denial.
The denial of payments for new admissions will continue for 11 months after the
month it was imposed unless, before the end of that period, DHH determines:
(a). the ICF/MR has corrected the
deficiencies or is making a good faith effort to achieve compliance with the
standards for ICF/MR participation; or
(b). the deficiencies are such that it is now
necessary to terminate the ICF/MR's provider agreement.
ii. Subsequent Termination. DHH must
terminate an ICF/MR's provider agreement under the following conditions:
(a). upon finding that the ICF/MR has been
unable to achieve compliance with the standards for participation during the
period that payments for new admissions had been denied;
(b). effective the day following the last day
of the denial of payments;
(c). in
accordance with the procedures for appeal of termination set forth in §10355,
Appeals.
4. Examples of Situations Determined to Pose
Immediate Jeopardy (Serious Threat). Listed below are some examples of
situations determined to pose immediate jeopardy (serious threat) to the
health, safety, rights, and welfare of clients in ICF/MR. These examples are
not intended to be all inclusive. Other situations adversely affecting clients
could constitute sufficient basis for the imposition of sanctions.
a. Poisonous Substances. An ICF/MR fails to
provide proper storage of poisonous substances, and this failure results in
death of or serious injury to a client or directly threatens the health,
safety, or welfare of a client.
b.
Falls. An ICF/MR fails to maintain required direct care staffing and/or a safe
environment as set forth in the regulations, and this failure directly causes a
client to fall resulting in death or serious injury or directly threatens the
health, safety, or welfare of a client.
EXAMPLES : Equipment not properly maintained or personnel
not responding to a client's request for assistance.
c. Assaults
i. By Other Clients. An ICF/MR fails to
maintain required direct care staffing and fails to take measures when it is
known that a client is combative and assaultive with other clients, and this
failure causes an assault upon another client, resulting in death or serious
injury or directly threatens the health, safety, and welfare of another
client.
ii. By Staff. An ICF/MR
fails to take corrective action (termination, legal action) against an employee
who has a history of client abuse and assaults a client causing death or the
situation directly threatens the health, safety, and welfare of a
client.
d. Physical
Restraints Results in Permanent Injury. ICF/MR personnel improperly apply
physical restraints contrary to published regulations or fail to check and
release restraints as directed by regulations or physician's written
instructions, and such failure results in permanent injury to a client's
extremity or death or directly threatens the health, safety and welfare of a
client.
e. Control of Infections.
An ICF/MR fails to follow or meet infection control standards as ordered in
writing by the physician, and this failure results in infections leading to the
death of or serious injury to a client or directly threatens the health,
safety, and welfare of a client.
f.
Medical Care
i. An ICF/MR fails to secure
proper medical assistance for a client, and this failure results in the death
of or serious injury to the client.
ii. A client's condition declined and no
physician was informed, and this failure directly threatens the health, safety,
or welfare of the client. This would also include the following:
(a). failure to follow up on unusual
occurrences of negative findings;
(b). failure to obtain information regarding
appropriate care before and after a client's hospitalization;
(c). failure to timely hospitalize a client
during a serious illness.
iii. ICF/MR personnel have not followed
written physician's orders, and this failure directly threatens the health,
safety, or welfare of a client. This includes failure to fill prescriptions
timely.
g. Natural
Disaster/Fire. An ICF/MR fails to train its staff members in disaster/fire
procedures as required by state rules and regulations for licensing of ICF/MRs
or an ICF/MR fails to meet staffing requirements, and such failures result in
the death of or serious injury to a client during natural disaster, fire or
directly threatens the health, safety, or welfare of a client.
h. Decubitus Ulcers (Bed Sores). An ICF/MR
fails to follow decubitus ulcer care measures in accordance with a physician's
written orders, and such failure results in the death of, serious injury to, or
discomfort of the client or directly threatens the health, safety, and welfare
of a client.
i. Elopement. An
ICF/MR fails to provide necessary supervision of its clients or take measures
to prevent a client with a history of elopement problems from wandering away
and such failure results in the death of or serious harm to the client or
directly threatens the health, safety, and welfare of the client. Examples of
preventive measures include, but are not limited to:
i. documentation that the elopement problem
has been discussed with the client's family and the Interdisciplinary Team;
and,
ii. that personnel have been
trained to make additional efforts to monitor these clients.
j. Medications
i. An ICF/MR knowingly withholds a client's
medications and such actions results in the death of or serious harm to the
client or directly threatens the health, safety, and welfare of the client.
NOTE: The client does have the right to refuse
medications. Such refusal must be documented in the client's record and brought
to the attention of the physician and ID team.
ii. medication omitted without
justification;
iii. excessive
medication errors;
iv. improper
storage of narcotics or other prescribed drugs, mishandling of drugs or other
pharmaceutical problems.
k. Environment/Temperature. An ICF/MR fails
to reasonably maintain its heating and air-conditioning system as required by
regulations, and this failure results in the death of, serious harm to, or
discomfort of a client or creates the possibility of death or serious injury.
Isolated incidents of breakdown or power failure will not be considered
immediate jeopardy.
l. Improper
Treatments
i. ICF/MR personnel knowingly
perform treatment contrary to a physician's order, and such treatment results
in the death of or serious injury to the client or directly threatens the
health, safety, and welfare of the client.
ii. An ICF/MR fails to feed clients who are
unable to feed themselves as set forth in physician's instructions.
NOTE: Meals should be served at the required
temperature.
iii. An ICF/MR
fails to obtain a physician's order for use of chemical or physical restraints;
the improper application of a physical restraint; or failure of facility
personnel to check and release the restraints periodically as specified in
state regulations.
m.
Life Safety. An ICF/MR knowingly fails to maintain the required Life Safety
Code System such as the following:
i.
properly functioning sprinklers, fire alarms, smoke sensors, fire doors,
electrical wiring;
ii. practice of
fire or emergency evacuation plans; or
iii. stairways, hallways and exits free from
obstruction; and noncompliance with these requirements results in the death of
or serious injury to a client or directly threatens the health, safety, and
welfare of a client.
n.
Staffing. An ICF/MR consistently fails to maintain minimum staffing that
directly threatens the health, safety, or welfare of a client. Isolated
incidents where the facility does not maintain staffing due to personnel
calling in sick or other emergencies are excluded.
o. Dietary Services. An ICF/MR fails to
follow the minimum dietary needs or special dietary needs as ordered by a
physician, and failure to meet these dietary needs threatens the health, safety
or welfare of a client. The special diets must be prepared in accordance with
physician's orders or a diet manual approved by the American Dietary
Association.
p. Sanitation. An
ICF/MR fails to maintain state and federal sanitation regulations, and those
violations directly affect and threaten the health, safety, or welfare of a
client.
EXAMPLES : Strong odors linked to a lack of cleanliness;
Dirty buildup on floors and walls; Dirty utensils, glasses and flatware; Insect
or rodent infestation
q.
Equipment and Supplies. An ICF/MR fails to provide equipment and supplies
authorized in writing by a physician as necessary for a client's care, and this
failure directly threatens the health, safety, welfare or comfort of a
client.
r. Client Rights
i. An ICF/MR violates its clients' rights and
such violations result in the clients' distress to such an extent that their
psychosocial functions are impaired or such violations directly threaten their
psychosocial functioning. This includes psychological abuse.
ii. The ICF/MR permits the use of corporal
punishment.
iii. The ICF/MR allows
the following responses to clients by staff members and employment supervisors:
(a). physical exercise or repeated physical
motions;
(b). excessive denial of
usual services;
(c). any type of
physical hitting or other painful physical contacts except as required by
medical, dental, or first aid procedures necessary to preserve the individual's
life or health;
(d). requiring the
individual to take on an extremely uncomfortable position;
(e). verbal abuse, ridicule, or
humiliation;
(f). requiring the
individual to remain silent for a long period of time;
(g). denial of shelter, warmth, clothing or
bedding; or
(h). assignment of
harsh physical work.
iv.
The ICF/MR fails to afford the client with the opportunity to attend religious
services.
v. The ICF/MR denies the
client the right to bring his or her personal belongings to the program, to
have access, and to acquire belongings in accordance with the service
plan.
vi. The ICF/MR denies a
client a meal without a doctor's order.
vii. The ICF/MR does not afford the client
with suitable supervised opportunities for interaction with members of the
opposite sex, except where a qualified professional responsible for the
formulation of a particular individual's treatment/habilitation plan writes an
order to the contrary and explains the reasons.
NOTE: The secretary of DHH has the final authority to
determine what constitutes "immediate jeopardy" or serious
threat.