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275 92 2 75,658 27,759 22,281 * 100 Source: OIG analysis of allegations of abuse or neglect reported by nursing facilities, 2014. * Numbers do not total precisely because of rounding. Table 4: Nature of Allegations of Abuse or Neglect That Nursing Facilities Reported in 2012 Nature of Allegation Number of Allegations in Sample (n=2,502) Projected Number of Allegations (N=149,313) Percentage of Allegations Employee to resident Perpetrator unknown Resident to resident Resident self-neglect (e.g., resident self-inflicted injury) Family or other visitor to resident Nature not specified Resident to employee Outside medical professional to resident Total 2,502 149,314* 100 Source: OIG analysis of allegations of abuse or neglect reported by nursing facilities, 2014. * Numbers do not total precisely because of rounding. Nursing Facilities’ Compliance With Requirements for Reporting Allegations of Abuse or Neglect (OEI-07-13-00010) 8 When we reviewed facilities on the basis of size, we found that 87 percent of large nursing facilities had allegations of abuse or neglect in 2012, and 84 percent of small nursing facilities had allegations of abuse or neglect.29, 30 Seventy-six percent of nursing facilities maintained policies that address Federal regulations for reporting both allegations of abuse or neglect and subsequent investigation results Nursing facilities must have policies that prohibit abuse or neglect, which must include policies for reporting allegations of abuse or neglect and the subsequent investigation results to the appropriate individuals within the required timeframes. In 2012, 76 percent of nursing facilities (11,744 facilities) maintained policies that address Federal regulations for reporting both allegations of abuse or neglect and subsequent investigation results. Ninety-five percent of nursing facilities had policies that reflected Federal regulations for reporting allegations of abuse or neglect. Seventy-six percent of nursing facilities had policies that reflected Federal regulations for reporting subsequent investigation results of allegations of abuse or neglect. See Table 5 for the number and percentage of nursing facilities that had policies that address Federal regulations for reporting allegations of abuse or neglect. 31 29 Per our methodology in Appendix A, we define large nursing facilities as facilities that have a total certified size greater than or equal to 113 beds. We define small facilities as facilities that have a total certified size less than 113 beds. 30 We did not identify a statistically significant difference (p=0.48) between these two types of nursing homes. See Table C-1 in Appendix C. 31 The remaining 24 percent of nursing facilities maintained written policies that prohibit abuse or neglect; however, these policies did not address the Federal requirements related to reporting allegations of abuse or neglect and/or the investigation results. Further, we did not identify a statistically significant difference (p=0.52) between nursing facilities that maintained policies and those facilities that did not maintain policies with regard to reporting allegations of abuse or neglect in part one of this study. See Table C-2 in Appendix C. Nursing Facilities’ Compliance With Requirements for Reporting Allegations of Abuse or Neglect (OEI-07-13-00010) 9 Nursing Facilities’ Compliance With Requirements for Reporting Allegations of Abuse or Neglect (OEI-07-13-00010) 10 Table 5: Nursing Facilities That Maintained Policies That Addressed Federal Regulations for Reporting Allegations of Abuse or Neglect Federal Regulations Number of Nursing Facilities in sample (n=245) Projected Number of Nursing Facilities (N=15,550) Percentage of Nursing Facilities That Maintained Policies That Addressed Federal Regulations Allegations of abuse or neglect must be immediately reported to the nursing facility administrator or designee and the State survey agency 232 14,738 94.8 Investigation results must be reported to the nursing facility administrator or designee and the State survey agency within 5 working days of the incident 185 11,871 76.3 Total number of nursing facilities that had policies that addressed both Federal regulations 183 11,744 75.5* Source: OIG analysis of nursing facilities’ reporting policies, 2014. *The actual percentage of nursing facilities that addressed both Federal regulations is 75.52 percent. The actual number, 75.52, rounds to 75.5. As a whole number, this percentage rounds to 76 percent. When we reviewed facilities on the basis of size, we found that 70 percent of large nursing facilities maintained policies that addressed both reporting allegations of abuse or neglect and reporting the investigation results. Seventy-nine percent of small nursing facilities maintained such policies.32 Sixty-one percent of nursing facilities had documentation supporting the facilities’ compliance with both Federal regulations under Section 1150B of the SSA Under Section 1150B of the SSA, nursing facilities must annually notify covered individuals (i.e., owners, operators, employees, managers, agents, or contractors of nursing facilities) of their obligation to report to the appropriate entities any reasonable suspicion of a crime. Further, nursing facilities must also clearly post a notice specifying employees’ rights to file a complaint under Section 1150B. In 2012, 61 percent of nursing facilities (9,487
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