CMS Issues S&C Letter on Survey

The Centers for Medicare and Medicaid Services (CMS) has issued S&C 17-26 proposing changes to survey team composition and revised definitions of "complaint surveys" and "abbreviated standard survey."

CMS has proposed four changes relevant to survey team composition within the regulation under 42 CFR sections 488.30, 488.301, 488.314, and 488.308, to clarify the regulatory requirements for the composition of complaint survey teams and to align regulatory provisions for complaint investigations with the statutory requirements. CMS encourages comments, questions, or thoughts on this proposed rule and the RFI (CMS-1679-P) and will accept comments until June 26, 2017. The proposed rule and the RFI can be downloaded from the Federal Register here on May 10, 2017.

Complaint Survey: The regulation under §488.30 defines “complaint survey” as “those surveys conducted on the basis of a substantiated allegation of noncompliance, as defined in §488.1.” The proposed change is to add a provision that the requirements of sections 1819(g)(4) and 1919(g)(4) of the Social Security Act (the Act) and §488.332 apply to complaint surveys.

Abbreviated Standard Survey: The regulation under §488.301 defines “abbreviated standard survey” as “a survey other than a standard survey that gathers information primarily through resident-centered techniques on facility compliance with the requirements for participation. An abbreviated standard survey may be premised on complaints received; a change of ownership, management, or director of nursing; or other indicators of specific concern.” The proposed change is to add a provision that abbreviated standard surveys conducted to investigate a complaint or to conduct on-site monitoring to verify compliance with participation requirements are subject to the requirements of §488.332. Other premises for abbreviated standard surveys would follow the requirements of §488.314.

Complaint Survey Requirements: The regulation under §488.308(e) addresses complaint investigations, but as currently written, it combines special surveys, which are authorized under sections 1819(g)(2)(A)(iii)(II) and 1919(g)(2)(A)(iii)(II) of the Act, with the requirements associated with the investigation of complaints, which are governed by sections 1819(g)(4) and 1919(g)(4) of the Act. The proposed change is to relocate the requirements included in §488.308(e)(2) and (e)(3) from under the heading “Special Surveys” to a new subsection titled “Investigations of Complaints.”

Survey Team Composition: The regulation under §488.314(a)(1) requires that surveys be conducted by an interdisciplinary team of professionals, which must include a registered nurse. The proposed revision of this language will specify that these team composition requirements apply only to surveys under sections 1819(g)(2) and 1919(g)(2) of the Act, not to complaint surveys.

Comments may be submitted electronically through the e-Regulation website until June 26, 2017.

Contact: Elliott Frost, efrost@leadingageny.org, 518-867-8832