State Comptroller Issues Report on DOH Waiver Practices

NYS Comptroller, Thomas DiNapoli, has issued a report entitled, Facility Structure, Safety, and Health Code Waivers.  The purpose of the report was to determine if the Department of Health’s waiver practices are effectively addressing safety and risks related to physical plant standards at health care facilities. This audit covered the period April 1, 2012 to November 12, 2014.

The audit found the following:

• The Department's waiver practices do not effectively ensure that safety and structural risks related to physical plant standards at health care facilities are appropriately addressed.
• The Department’s internal controls, including monitoring and internal communications efforts, were lacking and led to a backlog of at least 179 unprocessed waiver requests at the time of our audit. Some of the requests dated back to 2003.
• The Department lacked formal written policies and procedures governing the waiver process, and did not maintain sufficient collective documentation supporting waiver applications, approvals, and monitoring efforts.
• Although the Department’s Nursing Homes Division appeared to properly monitor waivers granted to such facilities, the Hospitals Division had no detailed awareness of the waivers that were granted to the hospitals and clinics it oversees.

While the report acknowledged that the nursing home process was effective in comparison to other programs, LeadingAge NY would like to hear from members as to whether that has been their experience.

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