Failure to Maintain Effective Compliance Program and Non-Retaliatory Reporting Culture
Penalty
Summary
The deficiency involves the facility’s failure to develop, implement, and maintain an effective compliance and ethics program that promotes quality of care and prevents and detects violations. Facility policies such as the Code of Conduct and the Non-retaliation and Non-retribution policy state that all affected individuals must act ethically, report concerns in good faith, and are protected from retaliation when reporting suspected violations, fraud, waste, abuse, or unethical behavior. The Non-retaliation policy describes prohibited retaliatory actions and lists various reporting channels, including an anonymous hotline, and the abuse prevention policy states that all employees shall receive information on how and to whom they report concerns without fear of retribution. Despite these written policies, staff interviews revealed that employees did not believe they could report compliance concerns without retaliation and did not trust the facility’s reporting mechanisms. One staff member stated that reporting violations to the DON was a “long shot” and that a unit manager conveyed that their title was more important than the staff reporting to them. Another staff member reported fear of losing vacation, overtime, or future work if they reported issues, and described being contacted by the DON after a prior State Surveyor interview to ask what was discussed. Additional staff reported that anonymous reporting was “a joke,” that someone would always find out who reported, and that they did not feel confident reporting beyond their immediate manager. Another staff member reported fear of retaliation from coworkers, including threats of tire slashing and physical harm, and hearing a threat in the breakroom about having a grown son beat someone up. Surveyor observations of facility administration during the survey further demonstrated an environment inconsistent with an effective compliance and ethics program. The DON told surveyors that their presence stressed staff and that they would “hate for the facility staff to get punchy” with them. During a meeting with the administrator, assistant administrator, and DON, all three spoke in elevated voices, leaned forward, clenched their fists on the table, and repeatedly challenged the survey process, the basis for the Immediate Jeopardy determination, and the questions asked of staff. They demanded to know who decided on the Immediate Jeopardy and what data were provided to supervisors. Later, when surveyors attempted to leave the building, the administrator followed them, stated they could not leave after issuing an Immediate Jeopardy, and questioned how they could depart, despite the surveyors explaining the next steps. These actions and staff reports showed that the facility did not create and promote a credible, safe program contact and anonymous reporting method free from fear of retribution, as required by its own policies and regulatory standards.
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