New Assisted Living Survey Process
PDF Version of BQA 03-017 (PDF,
Date: January 3, 2004 -- DDES-BQA 03-017
To: Adult Day Care ADC -
Adult Family Homes
AFH - 05, Community Based Residential Facilities CBRF
Residential Care Apartment Complexes RCAC -
FROM: Kevin Coughlin, Chief, Assisted Living Section, Bureau of Quality Assurance
VIA: Susan Schroeder, Director, Bureau of Quality Assurance
In January 2003, following formation of the Assisted Living Section in
the Bureau of Quality Assurance, one of our primary objectives was to
develop and implement a new assisted living survey process. To achieve this
goal, the Assisted Living Section established a workgroup that focused on
incorporating innovative practices into the survey process applicable across
the four provider groups (Community Based Residential Facilities (CBRFs);
Adult Family Homes (AFHs); Resident Care Apartment Complexes (RCACs); and
Adult Day Care (ADC)). The workgroup tasked with developing the new survey
process took into consideration comments and concerns voiced over the last
several years by a variety of stakeholders, including program bureaus,
county human service agencies, advocacy groups, care management
organizations, assisted living section staff, providers, and provider
associations. In addition, the workgroup examined and evaluated innovative
strategies from other states.
The new survey process emphasizes collaboration of the regulatory agency
with other state, county and family care agencies to improve the overall
quality of care and quality of life for residents living in regulated
assisted living facilities. Recommendations from these stakeholders were
considered in modifying the survey process.
Significant changes in the new assisted living survey process include the
- Provides for an abbreviated survey for facilities with a good
- Provides for technical assistance to facilities.
- Promotes the use of accepted standards of practice.
- Allows for regulatory flexibility.
- Provides a survey guide to the providers so they know what to expect
- Provides a post-survey questionnaire to give the provider an
opportunity to provide feedback to the regulatory agency.
- Promotes consumer independence and choice.
- Supports consumer awareness, responsibility and satisfaction.
- Focuses the survey on "key codes" from core areas that have
the highest potential to affect outcome related to quality of life and
quality of care.
- Fosters stakeholder collaboration toward a common goal of improved
quality of life and quality of care for consumers.
- Focuses the sample selection on some of the most vulnerable consumers.
- Provides courtesy copies of the survey results to ombudsman, county
agencies, family care, OSF and program bureaus
- Includes a new survey outcome called a "Notice of Finding"
for isolated incidents of non-compliance that:
- result in no more than minimal harm, or
- have potential for no more than minimal harm, or
- do not indicate a systemic breakdown in care delivery.
The Assisted Living Section will implement this new procedure on January
1, 2004. Assisted living survey staff will explain the new survey
process to providers at the entrance conference. The "Survey Guide for
Assisted Living Facilities" is also available on the Bureau’s website
(PDF, 50 KB).
We encourage you to review the Survey Guide for detailed information on the
new survey process. A copy of the Survey Guide will also be provided to you
as part of the survey process.
If you have any questions related to this exciting, new survey process,
please contact the Regional Field Operations Supervisor in your
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