AGING AND DISABILITY SERVICES ADMINISTRATION
October 22, 2001
AASA NH #2001-022
SUBJECT:? Informal Dispute Resolution (IDR) Process
Dear Nursing Home Administrator:
On July 20, 1992 and March 20, 1996, nursing home administrators received letters describing Washington?s informal dispute resolution (IDR) process.? This process was originally developed with input from providers through provider associations and from advocacy groups, along with legal input from the Department of Social and Health Services (DSHS) Attorney General?s Office and counsels for providers.? On November 15, 2000, Residential Care Services (RCS) met with stakeholders representing nursing homes, boarding homes, and adult family homes to discuss the IDR process.? In response to provider suggestions from that meeting, RCS implemented additional IDR options that can be requested by providers.
On April 3, 2001 RCS sent out a letter (AASA: NH #2001-009) to inform administrators of the new IDR options.? As a follow-up to that letter, enclosed is the updated IDR process in RCS.
The provider must request the IDR within ten (10) calendar days of the receipt of the statement of deficiencies.? Effective April 16, 2001, providers can request that an alternate Field Manager, who is unfamiliar with the statement of deficiencies, handle the IDR.? The provider may also request that, in lieu of a face-to-face IDR, the IDR be conducted by telephone or be based solely on a record/documentation review.? The Field Manager will have discretion to decide which type of IDR can be accommodated.? The provider must request an alternate Field Manager or an alternate review in its initial IDR request letter.
This letter explains the current Washington State IDR process, including the new choices described above.? The purpose of the IDR process has not changed.? The purpose is to:
- Facilitate accurate survey assessment of nursing home provider performance through constructive, clear, and ongoing communication during the survey process;
- Provide a vehicle to resolve disputes related to survey deficiencies informally;
- Assure that elements required by 42 CFR 488.331 are included in Washington?s informal dispute resolution process.
and
The federal and state survey processes still provide for the opportunity for discussion of concerns and potentially significant issues while the surveyors are on-site.? The survey process mandates at least one status meeting before survey exit.? Providers are encouraged to provide information to assist surveyors in making compliance decisions while the surveyors are on-site.? This communication is truly the first step in an informal dispute resolution process.? After exit, providers are encouraged to send clarifying documents to the survey team while the surveyors are preparing the survey reports.? Once the providers have received the statement of deficiencies and the state survey report, the state and federal informal dispute resolution process is available to them.
The IDR process does not replace or stop the formal process for enforcement actions.? It is designed to promote the resolution of disagreements during the survey process and immediately following receipt of the survey reports so that the need for formal and protracted disputes might be avoided or reduced.
If you have questions after you have read the enclosed Informal Dispute Resolution Process, please call the Field Manager for your facility.
Sincerely,
Patricia K. Lashway, Director
Residential Care Services
cc: Joyce Pashley Stockwell, Assistant Director
RCS Regional Administrators
RCS Field Managers
RCS Enforcement Officers
