Revised Reporting Requirements for Facility Reported Incidents

As noted in the CMS memo QSO-22-19-NH Revised Long-Term Care Surveyor Guidance: Revisions to Surveyor Guidance for Phases 2 & 3, Arbitration Agreement Requirements, Investigating Complaints & Facility Reported Incidents, and the Psychosocial Outcome Severity Guide, CMS revised the guidance in Chapter 5 and related exhibits of the State Operations Manual (SOM) to strengthen the oversight of nursing home complaints and Facility Reported Incidents (FRIs). Beginning October 24, 2022, nursing homes will be required to submit the following information:

FRI – Initial Report

When reporting FRIs to the state agency, nursing homes must provide as much information as possible, to the best of its knowledge at the time of submission of the report, so the state agency can initiate action necessary to oversee the protection of nursing home residents. Initial reports must be reported immediately but not later than two hours if the allegation is abuse or the incident resulted in serious bodily injury, or not later than 24 hours if the allegation is not abuse or the incident did not result in serious bodily injury. “Serious bodily injury” means an injury involving extreme physical pain; involving substantial risk of death; involving protracted loss or impairment of the function of a bodily member, organ, or mental faculty; requiring medical intervention such as surgery, hospitalization, or physical rehabilitation; or an injury resulting from criminal sexual abuse.

Information to include in the initial report:

  • Facility name, address, and contact information of the reporter (including email address and after hours phone number if not in the facility);
  • Type of allegation (physical abuse, sexual abuse, mental/verbal abuse, deprivation of goods and services by staff, neglect, misappropriation of resident property or exploitation, injury of unknown source, suspected crime);
  • Date and time when staff became aware of the incident, name of staff person to whom the information was reported, and name of person who made the allegation;
  • Date and time administrator was notified of the incident and by whom;
  • Alleged victim(s) name, date of birth, and current location;
  • Alleged perpetrator(s) name, position, contact information;
  • When and where the incident occurred and names of any witnesses;
  • Brief description of the incident;
  • Describe any type of injury (bruise, scratch, laceration, puncture wound, fracture, bleeding, redness on the skin, etc.);
  • Describe any changes in resident behavior indicating a change in the resident’s normal baseline (crying, expressions or displays of fear, cowering, anger, withdrawal, difficulty sleeping, etc.);
  • Describe all steps taken to immediately ensure protection of resident(s), such steps could include:
  • Immediate assessment of the alleged victim and provision of medical treatment as necessary;
  • Evaluation of whether the alleged victim feels safe and if he/she does not feel safe, taking immediate steps to protect the resident, such as a room relocation and/or increased supervision;
  • Immediate notification to the alleged perpetrator’s (if a resident) and/or the alleged victim’s physician and the resident representative when there is injury, a significant change in condition or status, and/or a need to alter treatment significantly;
  • If the alleged perpetrator is facility staff, removal of the alleged perpetrator’s access to the alleged victim and other residents and assurance that ongoing safety and protection is provided for the alleged victim and other residents;
  • If the alleged perpetrator is a resident or visitor, removal of the alleged perpetrator’s access to the alleged victim and, as appropriate, other residents and assurance that ongoing safety and protection is provided for the alleged victim and other residents;
  • Other measures the facility is taking to prevent further potential abuse, neglect, exploitation, and misappropriation of resident property.
  • Notification to law enforcement (if applicable), including date/time, agency name, report number, and name/title of person who reported to law enforcement;
  • Other agencies notified (Ombudsman, Adult Protective Services), including date/time and agency name.

Follow-up Investigation Report

Within five business days of the incident, the facility must provide in its report sufficient information to describe the results of the investigation, and indicate any corrective actions taken if the allegation was verified. It is important that the facility provide as much information as possible, to the best of its knowledge at the time of submission of the report. The facility should include any updates to information provided in the initial report and the following additional information, which should include, but are not limited to, the following:

  • Additional/updated information (any additional outcomes to the resident(s) such as physical or mental harm, whether it was reported to the resident’s representative);
  • Steps taken to investigate the allegation including a summary of interview(s) with the resident/responsible party, witnesses, alleged perpetrator, other residents in contact with the AP, staff responsible for oversight and supervision of residents and the AP;
  • If available, include summary of hospital/medical progress notes, discharge summaries, law enforcement reports, and death reports;
  • Provide a brief conclusion of the investigation and indicate if the findings were verified, not verified, or inconclusive and how this was determined;
  • Provide in detail all corrective actions taken;
  • Describe any action(s) taken as a result of the investigation or allegation;
  • Describe the plan for oversight of implementation of corrective action, if the allegation is verified;
  • As a result of a verified finding of abuse, such as physical, sexual or mental abuse, identify counseling or other interventions planned and implemented to assist the resident;
  • If systemic actions (e.g., changes to facility staffing patterns, changes in facility policies, training) were identified that require correction, identify the steps that have been taken to address the systems;
  • If the allegation was reported to law enforcement or another state agency, where applicable and if available, what is the status or provide conclusions of their investigation.
  • Name of the facility individual primarily responsible for conducting the investigation;
  • Name of person submitting report, date and time of submission, and contact number/email address.

Please note: We are in the process of developing forms for initial reporting and for follow-up reporting that all Missouri LTC homes (including state-licensed only) will be able to utilize for FRIs. We will release these forms at a later date and will also schedule a webinar to discuss this information. Please review the memo in its entirety and reach out to your regional office with any questions.