State of Oregonsos.oregon.gov/audits/Documents/2017-23.pdfState of Oregon Department of Human...
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SecretaryofStateDennisRichardsonAuditsDivision,DirectorKipMemmott
Report2017–23
StateofOregon
DepartmentofHumanServicesAgingandPeoplewithDisabilities
Consumer‐EmployedProviderProgramNeedsImmediateActiontoEnsureIn‐HomeCareConsumersReceiveRequiredCareandServicesOctober2017
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SecretaryofStateAuditHighlightsOctober2017
DHS – Aging and People with Disabilities: Consumer-Employed Provider Program Needs Immediate Action to Ensure In-Home Care Consumers Receive Required Care and Services
Purpose
The purpose of this audit was to assess the policies and processes used by APD to ensure the needs of consumers in the CEP program are met.
SecretaryofState,DennisRichardsonOregonAuditsDivision,KipMemmott,Director
Key Findings
The effectiveness of the Consumer‐Employed Provider program is dependent on the consumer, the case manager, and the homecare worker. If each is capable, competent, and supported in their role, the current model can be successful. Our audit found:
1. Some consumers are not receiving the support necessary to ensure required employer duties are being performed, which adds to case managers’ and homecare workers’ responsibilities.
2. Case managers are not consistently contacting consumers, or monitoring services consumers receive due to excessive workloads.
3. Agency requirements do not ensure that homecare workers are prepared to provide the care and assistance consumers need.
4. Due to current data collection and utilization practices, it is difficult for APD to determine if consumers are safe and receiving the care and services they need.
5. Current deficiencies in the program may put consumers’ health and well‐being at risk and keep the program from operating as intended.
To reach our findings, we conducted interviews and case file reviews, collected and analyzed CEP consumer data, and researched federal and state standards.
Recommendations
The report includes recommendations to improve Consumer‐Employed Provider program implementation and support. Recommendations include consistently following existing monitoring policies, addressing case managers’ excessive workload and responsibilities, and providing more support to consumers and homecare workers.
The Department generally agreed with our findings and recommendations. Its response can be found at the end of the report.
Background
Oregon is a leader in providing in‐home long‐ term care options for older adults and people with disabilities. The most used in‐home care program is the Consumer‐Employed Provider program, which positions consumers as employers of their homecare worker.
Report Highlights
The Secretary of State’s Audits Division found that the Aging and People with Disabilities (APD) program should take immediate action to address gaps in program design and oversight in order to improve the safety and well‐being of participants in the Consumer‐Employed Provider (CEP) program.
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About the Secretary of State Audits Division
The Oregon Constitution provides that the Secretary of State shall be, by virtue of his office, Auditor of Public Accounts. The Audits Division performs this duty. The division reports to the elected Secretary of State and is independent of other agencies within the Executive, Legislative, and Judicial branches of Oregon government. The division has constitutional authority to audit all state officers, agencies, boards, and commissions and oversees audits and financial reporting for local governments.
Audit Team
William Garber, CGFM, MPA, Deputy Director
Sheronne Blasi, MPA, Audit Manager
Olivia M. Recheked, Principal Auditor
Danielle Moreau, MPA, Staff Auditor
Abigail Carroll, Staff Auditor
This report is intended to promote the best possible management of public resources. Copies may be obtained from:
website: sos.oregon.gov/audits
phone: 503‐986‐2255
mail: Oregon Audits Division 255 Capitol Street NE, Suite 500 Salem, Oregon 97310
We sincerely appreciate the courtesies and cooperation extended by officials and employees of the Department of Human Services, Aging and People with Disabilities program during the course of this audit.
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Report Number 2017‐23 October 2017 DHS‐APD Page 1
Secretary of State Audit Report
Consumer-Employed Provider Program Needs Immediate Action to Ensure In-Home Care Consumers Receive Required Care and Services
Introduction
TheolderadultpopulationintheUnitedStatesisincreasingatasteadyrate.Thenumberofpeopleoverage65isprojectedtoreachmorethan72millionpeopleby2030,upfrom40.2millionin2010.Incomparison,13.9percentofOregon’spopulationwas65yearsorolderin2010.By2030,thepercentageisexpectedtoincreasetonearly20percent,orabout900,000.States,includingOregon,willneedtobepreparedtosupportthegrowingolderadultpopulation.
Medicaid is used to help fund long‐term services and supports in Oregon
Manyolderadultsandpeoplewithdisabilitiesneedhelpwithbasicdailyactivitiestothrive.Payingfortheseservicesoverprolongedperiodsoftimecanbechallengingformanyfamilies,whetherit’sadaughterfundinglong‐termcareforanagingparentsufferingfromdementiaoramotherprovidingcareforheradultchildwithaphysicalconditioncausedbyatraumaticspinalinjury.Thecostofcareaddsupquickly.
Someolderadultsfindthattheyhaveoutlivedtheirsavingstopayforhealthcare.TheOregonDepartmentofHumanServices(DHS)usesfederalMedicaidandstatefundstopayforlong‐termsupportservices(LTSS)formanyindividualswhohavenootheroptions.
Medicaidisafederalprogramfundedjointlywithstates,whoadministertheprogram.ThefederalgovernmentallowsstatestobeflexibleinwhatMedicaidfundedhealthcareservicestheyoffer.SincetheinceptionofMedicaidin1965,OregonhasusedMedicaiddollarstofundcareforindividualslivinginnursingfacilities(e.g.,nursinghomes).Recognizingtheimportanceofofferingothercommunity‐basedoptions,in1981OregonwasthefirststatetoapplyforanduseMedicaidtofundLTSSfor
APD provides services for people needing long-term care
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Report Number 2017‐23 October 2017 DHS‐APD Page 2
individualswhowouldotherwisequalifyfornursingleveltreatmentbutwanttoreceivecareintheirhomesorothercommunity‐basedsettings.1
In2013,Oregonexpandeditscommitmenttoprovidinghomeandcommunity‐basedcareoptionsbytakingadvantageofthefederalPatientProtectionandAffordableCareAct,CommunityFirstChoiceoption.Oregon’splanprioritizesanindividual’schoiceanddignitybypositioningtheconsumerasthedriverinLTSSserviceplanning.Consumers’preferencesareparamount.Thisisreferredtoasperson‐centeredplanning.
ThenewplanincreasedtheamountoffederalMedicaiddollarsforOregon’sLTSSprograms.FederalMedicaidfundingforin‐homeservicesforthe2015‐2017bienniumwas$750,547,055incomparisonto$323,271,398instateGeneralandOtherfunds.
APD assists older Oregonians and people with disabilities
DHSadministersservicestoolderadultsandadultswithphysicaldisabilitiesthroughitsAgingandPeoplewithDisabilities(APD)programandseveralpublic‐privatepartnerships.TheAgingandDisabilityResourceConnectionofOregon,apublic‐privatepartnership,providesinformationandassistanceforindividualsnavigatingoptionsforcare.IfanindividualisdeemedlikelytobeeligibleforMedicaidfundedservices,theyarereferredforaneligibilityassessment(bothfinancialandserviceneeds)andcasemanagement.Oncereferred,localAreaAgenciesonAging(AAA)2officesorAPDlocalofficesprovidedirectcasemanagementservicesdependingonwheretheconsumerlives(seeFigure1onnextpage).
1 Community-based settings include assisted living facilities, residential care facilities, memory care facilities, and adult foster homes. 2 Area Agencies on Aging are either community focused non-profit or government entities that the state contracts with to provide services to people above the age of 65 and adults with disabilities in specific locations throughout the state.
APD Mission:
The Department of Human Services Aging and People with Disabilities (APD) program assists a diverse population of older adults and people with disabilities to achieve well‐being through opportunities for community living, employment, family support and long‐term services and supports that promote independence, choice and dignity.
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Report Number 2017‐23 October 2017 DHS‐APD Page 3
Figure 1: DHS Aging and People with Disabilities District Map
Source: DHS Aging and People with Disabilities
APDmanagement,alongwithprogramandpolicystafflocatedintheSalemcentraloffice,setpolicyandprovideprogramoversight.TheirrolewithAAAofficesisotherwiselimited.Whilestillreceivingstateoversight,theseofficesareallocatedcasemanagerFullTimeEquivalent(FTE)positionsandmaketheirowndecisionsonhowtodivideworkloadandmanagetheCEPprogramonaday‐to‐daybasis.
SeveralotherancillaryunitswithinDHSprovidesupporttoAPDprograms.AqualitycontrolunitinsideAPDensuresthatcasemanagersarefollowingstateandfederalguidelines.TheOfficeofAdultAbusePreventionandInvestigationprovidespolicysupport,andspecializedtrainingandguidanceforAPDandAAAstaffwhoinvestigatereportsofabuseandneglectofolderadultsandpeoplewithphysicaldisabilitiesinOregon.
APDhasseverallegislatively‐approvedkeyperformancemeasures(KPM)thatrelatetotheCEPprogram,including:
KPM10,whichmeasuresthepercentageofseniors(65+)needingpublicly‐fundedlong‐termcareservices;
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KPM11,whichmeasuresthepercentageofOregoniansaccessingpublicly‐fundedlong‐termcareserviceswhoarelivingoutsideofnursingfacilities;and
KPM16,whichmeasuresthepercentofabusereportsassignedforfieldcontactthatmeetpolicytimelines.
APDoffersarangeofprogramsandfacilitiesforindividuals’long‐termcareneeds.Oftheavailableprograms,in‐homecareoptionsarethemostutilized.Theyallowconsumerstoremaininthecomfortoftheirhomeswhilereceivingservicestomeettheirbasicneeds.AsofJune2016,53%ofconsumerswhoareeligibleforlong‐termcarechosein‐homecareservices.
Optionsforin‐homecareservicesvaryaccordingtoconsumers’levelofindependence(seeFigure2below).Thefollowingchartshowsallin‐homeprogramsofferedbyAPD.Ofthe18,118in‐homecareprogramparticipants,13,230areenrolledintheCEPprogram.3
Figure 2: APD In‐home care programs descriptions
In‐homecareprogramtype Programdescription
OregonProjectIndependence State‐fundedprogramofferingin‐homeservicestoindividuals60yearsandolderwhohavebeendiagnosedwithAlzheimer’sandrelateddementia.Recentlyexpandedtoincludeyoungeradultswithphysicaldisabilities.Consumerspayaslidingscalefeeforservices.ConsumerresponsibilitiesaresimilartothoseintheMedicaidConsumer‐EmployedProviderprogram.
MedicaidConsumer‐Employed Provider(CEP)
Medicaidandstate‐fundedprogram.Consumersortheirrepresentativeareresponsibleforselecting,hiring,training,anddismissingtheirhomecareworker.Casemanagersprovideongoingsupportandmonitoring.
In‐homecareagency Consumersreceiveservicesfromahomecareworkerprovidedbyalicensedin‐homecareagency.Casemanagersprovideongoingsupportandmonitoring.
3 Figures were taken from APD’s consumer count for the month of June 2016. For the purposes of this audit we include the consumers receiving in-home hourly paid care and consumers in the spousal pay program.
Consumer-Employed Provider Program Prioritizes Choice
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MedicaidIndependentChoices Consumersreceiveacashbenefitbasedontheirlevelofneedtopayahomecareworkeroftheirchoosing.Casemanagersprovidesupportandmonitoring.
Medicaidpersonalcareservices Consumershavethebenefitofchoosingtheirownhomecareworker.Consumersarelimitedto20hourspermonthofcare.Casemanagersprovidesupportandmonitoring.
Otherprograms Medicaidalsofundshome‐deliveredmealsaswellashalf‐orfulldayvisitsinafacilityforconsumerswithfunctionalorcognitiveimpairments.Additionally,consumersareofferedaccesstoemergencyresponsesystemsthatprovideanotherlevelofsecurity.
APD Consumer‐Employed Provider program requirements
ToqualifyfortheAPDCEPprogram,anindividualmustmeetthefollowingrequirements:
Be65yearsorolder,oranadultwithphysicaldisabilities4; BeeligibleforMedicaid; NeedaspecificlevelofassistancewithActivitiesofDailyLiving(ADLs)5
andInstrumentalActivitiesofDailyLiving(IADL)6; Havenoadequatealternativecareserviceresources;and
Havetheabilitytomanagetheircareandresponsibilitiesasaconsumer‐employerorhavearepresentativethatcanmanagetheirresponsibilities.
TheCEPprogrameligibilityrequirementsalsostatethattheconsumerorarepresentative7mustbeanactiveparticipantintheconsumer’scare.
4 Individuals who qualify for Modified Adjusted Gross Income (MAGI) through the Oregon Health Authority may also qualify for the APD CEP program. To qualify, they must have an assessed need for long-term support services, as determined by APD’s assessment tool. 5 Oregon Administrative Rule (OAR) 411-015-0005, describes Activities of Daily Living as eating, dressing, grooming, bathing, personal hygiene, mobility (ambulation and transfer), elimination (toileting, bowel, and bowel management), cognition, and behavior. 6 OAR 411-015-0007, "Instrumental Activities of Daily Living" also referred to as "Self-Management Tasks" consists of housekeeping including laundry, shopping, transportation, medication management and meal preparation. 7 Representatives are individuals chosen by a consumer, or a court, to act on their behalf to assist with accessing and making decisions regarding long-term care services.
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Theconsumerortheirrepresentativemustbewillingandabletoscreen,hire,train,supervise,anddismisstheircareprovider.
Toevaluateanindividual’slevelofneed,casemanagersuseanin‐personassessmenttoolcalledtheConsumerAssessmentandPlanningSystem.Casemanagersarerequiredtoassessindividualswhentheyfirstapplyforcareservices,everyyeartheyparticipateintheprogram,andwhenaconsumer’sconditionchanges.Duringtheassessment,acasemanagersurveystheindividual’sphysical,cognitive,andsocialabilities.Thetoolassignsanumbervalue(ServicePriorityLevelorSPL)totheindividual’slevelofneed.Asthelevelofneedincreases,thenumberdecreases.Currently,APDservesindividualswithanSPLbetween1and13intheCEPprogram.ExamplesofCEPconsumersareoutlinedinFigures3and4.
Figure 3: CEP Consumer with SPL 1
Consumer isa73yearoldfemalewholiveswithheradultchildren.Sheisbedridden,andhasbipolardisorderanddepression.Consumerneedsfullassistanceinareasofcognition,awareness,memoryandjudgement,andmobility,amongotherthings.
Figure 4: CEP Consumer with SPL 13
Consumerhastremorsandweaknessinhislegsduetonervedamage.However,heisabletouseaquadcanetowalkinsideandoutsidehishome.Thetremorsfluctuateinintensitybasedonhisactivitylevelandfatigue.Herequireshandsonassistancewhilewalkingtoandfromthebathroomatleastweeklywhenthetremorsaresevere.Theconsumerisdoingwellcognitively,However,heisunabletoperformIADLtasks(i.e.,housekeeping,mealpreparation,orshopping)becauseofthetremors.
Case managers are charged with authorizing services consumers receive
Casemanagershelpensurethataconsumer’sservicesareprovidedinacoordinatedmanner.Thisresponsibilitycomeswithalonglistofduties.
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Figure 5: APD case manager primary duties and responsibilities
APD Case Managers’ Duties & Responsibilities:
Determine initial and on‐going financial, medical, and Supplemental Nutrition Assistance Program (SNAP) eligibility
Compute benefits and complete documentation necessary to issue benefits
Assess consumer service needs through interviews and observation, and develop service plans
Determine appropriate home and community‐based setting or facility placement, and appropriate payment level
Monitor all home and community‐based and facility placements on a regular basis
Update report narrative summarizing consumer contact, findings of home visit, and conclusions
Coordinate care with consumer, consumer’s family or representatives, care providers, and community partners
Complete all necessary paperwork to document case management activities and service eligibility
Arrange for appropriate durable medical supplies, prescription coverage, and community health support, and advocate for consumer when necessary
Adjust service plans according to changing consumer needs
Perform assigned desk duty to answer consumer questions, conduct consumer intake and screening, and make referrals when necessary
Report suspected instances of fraud, neglect or abuse and participate in investigations as needed
Attend all training and meetings
Oneofthecriticaldutiesofacasemanageristomonitoraconsumer’sserviceplantoensurethattheirneedsaremet.Serviceplansincludeserviceandsupportneeds,goalsanddesiredoutcomes,riskfactorsandmeasurestomitigaterisks,andhelpconsumersdevelopbackupplanstoensureconsumersnevergowithoutneededcare.Consumerssignoffontheserviceplantoshowtheyareinagreement.
APD’sconsumermonitoringpolicyincludesdirectandindirectcontacts,andrisk‐basedmonitoring.Thedirectcontactpolicystatesthatconsumers,orauthorizedrepresentative,mustreceivedirectcontactwithacasemanagerthroughemails,telephoneorface‐to‐facemeetingsonceaquarter.Duringthemonthsthatadirectcontactdoesnotoccur,casemanagersmustmakeanindirectcasecontact,suchascommunicatingwithahomecareworker,medicaldoctor,orothertypeofserviceprovider.Thedirectandindirectcontactsareintendedforcasemanagersto:
assessconsumerneedsandadjustserviceplanstomeettheseneeds; identify,eliminateorreduce,andmonitorconsumerrisks; respondandintervenewhenconsumersareincrisis; monitorserviceplanimplementation;
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helpcaregiversandfamilymembersunderstandallavailableMedicaidhomeandcommunity‐basedserviceoptions; facilitateaccesstocommunityservicesandsupports;and reportsuspectedinstancesofabuse,fraudorneglect.
Inadditiontodirectandindirectmonitoring,ariskassessmentisanessentialtoolforcasemanagerstoidentifyandmitigateriskstotheconsumer’ssafety.AccordingtoAPDpolicy,thefrequencyofcasemanagercontactsshouldincreasealongwiththenumberandlevelofrisksidentified.Consumerswhoareassessedwithhighrisksmustbecontactedeverymonth.
Homecare workers assist consumers with their daily needs
Whileconsumersdirecttheircareandtellhomecareworkershowtheywanttheircaredelivered,homecareworkersareentrustedwithprovidingcareforCEPconsumers.Theirduties,whicharetiedtoconsumers’needs,includeeverydayactivitiessuchashelpwithtoileting,mobility,andhousekeeping.Nursingtasksaregenerallyprovidedbycertifiednurses,butanursecantrain,delegateandmonitorahomecareworkerwhoprovidesthoseservices.Anursecanalsorevokeanydelegationfornursingtasksiftheythinkahomecareworkercannotsafelyperformthedelegatednursingtasks.
Tobeahomecareworker,anindividualmustbe18yearsorolder,completeabackgroundcheck,attendanorientation,andenrollasaMedicaidprovider.Oftenconsumerschoosesomeonetheyknow,likeafamilymemberorfriend,toprovidecare.Inothercases,theconsumercanchoosetofindahomecareworkerelsewhere.
TheOregonHomeCareCommissionwasestablishedin2000toensurethehighqualityofhomecareservicesforolderadultsandpeoplewithdisabilities.Oneresponsibilityistocoordinatearegistryofavailablehomecareworkersandprovideongoingtrainingopportunities.TheCommissionalsoworkswithDHSandtheunionthatrepresentshomecareworkers8tonegotiatetrainingrequirements,minimumqualifications,andwages.
Thebaseratepayforahomecareworkeriscurrently$14.50anhour.TheEnhancedHomecareWorkerProgramgivesaworkeranopportunitytoearn$15.50anhouriftheycompleteaReadinessAssessment,passseveralcoursesandserveconsumerswithmoreextensiveneeds.Additionally,theOregonHomeCareCommissionoffersacurriculum,resultinginaProfessionalDevelopmentCertificationandanadditionalpayraise.
8 The Service Employees International Union (SEIU) represents homecare workers, as well as DHS case managers.
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Objective
TheobjectiveofthisauditwastodeterminehowtheDepartmentofHumanServices‐AgingandPeoplewithDisabilities(APD)programensuresthattheirConsumer‐EmployedProvider(CEP)programconsumersreceivethecareandservicestheyneed.
Scope
ThisauditfocusedonAPDprogrampoliciesandprocessesusedforin‐homecareconsumersreceivingservicesthroughtheMedicaidfundedConsumer‐EmployedProviderprogram.
Methodology
Weusedmultiplemethodologiestoachievetheauditobjective.Theseincluded,butwerenotlimitedto,interviews,dataanalysis,reviewofAPDcasedocumentation,andresearchofsimilarprogramsinotherstates.
Weinterviewed73individualswhohaveknowledgeorinterestintheauditobjective,including:
APDandAreaAgencyonAgingCaseManagers,DistrictManagers,ProgramManagers,PolicyAnalysts,ComplianceandQualityAssurancestaff;and
StakeholderssuchastheOregonHomeCareCommission,OregonLong‐TermCareOmbudsman,AARP,StepstoSuccess(STEPS)9,SEIU,andDisabilityRightsOregon10.
Werandomlyselectedandreviewed142consumercasefilesfromeachofthe48DHSandAAAofficesthatservedconsumersin2016.ThesamplesizewasnotintendedtorepresenttheentireCEPpopulation.
WeinterviewedstafffromstateagenciesinTexas,Vermont,Montana,andColoradoregardingcasemanagerduties,consumerandcasemanagercontact,managementofhomecareworkers,programmodels,andchallengeswithprogramadministration.
WereviewedAdultProtectiveServicedatathatincludedin‐homecareprogramparticipants.
9 Steps to Success (STEPS) is a voluntary training opportunity for in-home care program recipients to teach them how to properly employ their homecare worker. 10 Disability Rights Oregon is a nonprofit organization that advocates on behalf of people with disabilities.
Objective, Scope, and Methodology
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Weresearchedfederalandstaterulesandregulationspertainingtotheadministrationofin‐homeservicesforolderadultsandpeoplewithdisabilities.
Wereviewedleadingpracticesinperformancemanagementandin‐homecareprogramimplementation.
Weconductedthisperformanceauditinaccordancewithgenerallyacceptedgovernmentauditingstandards.Thosestandardsrequirethatweplanandperformtheaudittoobtainsufficient,appropriateevidencetoprovideareasonablebasisforourfindingsandconclusionsbasedonourauditobjective.Webelievethattheevidenceobtainedandreportedprovidesareasonablebasistoachieveourauditobjective.
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DHS Aging and People with Disabilities: Program Enhancements Needed to Consumer-Employed Provider Program to Ensure In-home Care Consumers Receive Required Care and Services
DHSshouldtakeimmediateactiontostrengthentheConsumer‐EmployedProvider(CEP)programtoensurethevulnerableconsumersitservesreceiveadequatecareandservices.Thereareseveralfactorscontributingtoinadequateoversightofthisprogram.Specifically,certainprogramelementsareproblematicandneedtobeenhanced.
AgingandPeoplewithDisabilities(APD)isnotadequatelymonitoringconsumercare,andstaffinglevelsarenotsufficienttodoso.APDdoesnoteffectivelyuseprogramdatatoensureconsumerhealthandwell‐being.Additionally,minimaltrainingisrequiredforin‐homecareproviders.Leadingpracticesprovideguidanceforhowtoenhancethisimportantprogram.Wemakeseveralrecommendationsinthisregard.
TheCEPprogramhasrisks,asitrequiresthatconsumerswhoneedassistancetomeettheirbasicneedsdirecttheirowncare,includingmanagingahomecareworker.Possibleriskstothehealthandwell‐beingofconsumersaremagnifiedbyprogramdesignchallengesanddeficientprogrammonitoring.
The consumer‐as‐employer component strains critical aspects of the program
TheCEPprogramwasintentionallydesignedtoallowtheconsumertobeabletocompleteemployerdutiessuchashiring,training,anddismissingtheirhomecareworkeraspartoftheprogrameligibilitycriteria.
WefoundthatsomeCEPconsumersareunabletoperformemployerdutiesduetophysicalandcognitiveconditions,orareunwillingduetothenatureoftheiremployer‐providerrelationship.Additionally,APDdoesnotalwaystakeactionwhenconsumersarenotableorwillingtoperformrequiredemployerduties,puttingthematgreaterrisk.
Forexample,oneCEPconsumerinherthirtieshasuncontrolleddiabetesandisunabletoretaininformationduetobrainlesionscausedbyMultipleSclerosis.Becausethisconsumerdoesnothavesupportfromfriendsorfamily,itischallengingforhertobesolelyresponsiblefordirectingherowncare.Consumerswithseriousconditionssuchasthismayhavedifficultycompletingnecessaryemployerfunctions.Theymaystruggletocorrectlysubmithomecareworkerpaymentvouchers,addresspoorhomecareworkerperformance,ordirecthomecareworkerstocompletetasks.
Current Program Design and Deficient Monitoring Put CEP Consumers at Greater Risk
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Inothersituations,consumerssimplyfeeluncomfortableperformingemployerduties.Often,homecareworkersarefamilymembersorfriendsandconsumersfeelreticenttoaddresspoorworkperformancelikebeinglateornotshowingupatall.
Otherconsumersmaynotspeakupwhenahomecareworkeractsinappropriately.Sincecasemanagersrelyheavilyonconsumerstotellthemiftheircareandservicesarebeingprovided,casemanagersareoftenunawareuntilsomethingserioushappens.
APD is not adequately monitoring consumers in the CEP program
Givensomeconsumersmaybevulnerableandpotentialrisks,itisimperativethatAPDmonitorservicestoensuretheyareprovidedasintended.However,ourauditfoundconsumersarenotreceivingmonitoringcontactsasrequiredbystate11orfederalrulesandprogrampolicy,puttingthematgreaterriskthattheirbasicneedsarenotbeingmet,andmakingthemmoresusceptibletofraud,abuse,andneglect.
TherearetwoessentialmonitoringrequirementsoftheCEPprogram:directandindirectmonitoring,andrisk‐basedmonitoring.InourCEPconsumerfilereviewsfortheyear2016,wefoundroughlyathirdofconsumers(49of142)didnotreceivealloftheirrequiredcasemanagerdirectorindirectmonitoringcontacts.Theresultsofourfilereviewsalignwithcommentsfromcasemanagersregardingtheimpactstomonitoringfromhighcaseloadsandtheneedtoassistconsumerswithemployerrelatedtasks,suchasmanagingtheirhomecareworker.
Forexample,twoconsumersdidnotreceiveanycasemanagerphonecalls,emails,orin‐personvisitsfor11months.Onelivesaloneandhascomplicationsfromkidneyfailure,memoryissues,Parkinson’sdisease,anddiabetes.Thisconsumerisdependentoninsulinandrequiresdialysisthreetimesaweek.Theotherhasahistoryofstrokeandheartattackandsuffersfromchronicobstructivepulmonarydiseaseandemphysemacausingon‐goingshortnessofbreath.Duetoproblemswithmemorythisconsumercannotsuccessfullymanagetheirmedication.
Inaddition,whiledirectcontactsarenotrequiredtobeinperson,havingface‐to‐facecontacthelpstobuildtrustandrapport,andallowscasemanagerstoassesstheconsumer’shometogetadditionalinformationonthelevelofcareprovidedandanyunmetserviceneeds.Wefoundroughlytwo‐thirdsofconsumers(89of142)inoursampledidnotreceiveanyin‐personvisitsin2016fromtheircasemanagers,otherthantheyearlyneedsassessment.
Risk‐basedmonitoringisanothercriticalCEPprogramelementthathelpsensurethesafetyandwell‐beingofconsumers.Thismonitoring
11 Oregon Administrative Rule 411-028-0020
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requirementidentifiesthosemostatrisk,andestablishesaplantomitigatethoserisks.Consumersarescreenedbasedontheirriskassociatedwith13categories,includingnaturaldisasters,cognitivefunctioning,challengingserviceneeds,failureofnecessarymedicalequipment,andsituationsinwhichahomecareworkerdoesnotreporttowork.Ifaconsumerhashigherrisk,thecasemanagermustincreasethenumberofdirectmonitoringcontactseachyear.
Casemanagersmustdocumentinaconsumer’scasefileresultsofariskassessment,includingriskfactors,atthetimeaserviceplaniscreated.However,wesawexampleswhereacasemanagerwasabletocreateaserviceplanwithoutconductingariskassessment.
Casemanagersmustalsoindicateinthecasefileifaconsumer’sdirectcontactisassociatedwithriskmanagement.However,thispolicyisnotconsistentlyapplied.Inourfilereviews,insufficientdocumentationkeptusfromdeterminingwhetherhighriskconsumersreceivedadditionaldirectcontactsasrequired.Also,currentdatareportsdonotallowAPDcentralmanagementtoeasilyidentifyhigh‐riskconsumersanddetermineiftheyaremonitoredasrequired.APDcentralmanagementconfirmedthatthecurrentdatasystemdoesnoteasilyprovideinformationforthemtoensurethatcasemanagersareincompliancewiththerisk‐basedmonitoringpolicy.
Evenifcasemanagersareabletomeetwithconsumers,theymaybeunabletospendenoughtimewiththem.Whencasemanagerscontactconsumers,interactionsareshortandmaynotbemeaningful.Onecasemanagerexplainedthatdirectcommunicationcanberatherbrief,between1to30minutesforin‐homevisitsand30secondsto10minutesfortelephonecalls.
Shortvisitsandlimitedconsumercontactmeanthatmanycasemanagersmaynothavesufficienttimetoensuretheirconsumers’needsaremet.Numerouscasemanagerstoldusthatconductingin‐personvisitswithconsumershelpstoensurethattheirserviceplanisworking,thattheirneedsaremet,andthatconsumersarenotfallingvictimtoabuse,fraudorneglect.
APDmanagementistaskedwithensuringthateachofthethreepartsoftheCEPsystem–theconsumer,thecasemanager,andthehomecareworker‐‐areworkingtogetherasintended.Ifeachpartyiscapable,competent,andsupportedwithintheirdesignatedrole,theconsumer‐as‐employermodelcanbesuccessful.Toaccomplishthis,managementmustadequatelyoverseetheprogram.
Several Factors Contribute to Inadequate Program Oversight
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SeveralfactorscontributetoinadequateoversightoftheCEPprogram.Certainprogramelementsareproblematicandneedtobeenhanced.Additionally,APDlackscomprehensiveprogramdataandmanagementhasnotadequatelyaddressedexcessivecaseloadsandensuredadequatecasemanagerstaffinglevels.
Consumer limitations not always identified, and additional assistance not provided
ConsumerindependenceandchoiceisparamounttotheCEPprogram,includingself‐determination.APDhasapolicytoassessanddocumentprogrameligibilityrequirements,andcanprovideadditionalassistancewhenconsumersarenolongerwillingorabletoperformaspectsoftheemployerduties.Additionalassistanceisavailablebyreferringtheconsumertoavoluntaryemployer‐trainingprogram,offeringtheconsumertheoptiontoshifttothein‐homecareagencymodel,oraskingtheconsumertopursueassistancefromanauthorizedrepresentative.Thislastoptionmaynotbepossibleforsomeconsumerswhohavelittleornosupportfromfriendsorfamily.
However,casemanagersmaynotknowhowtosupportconsumerswhoareunableorunwillingtocompleteemployerduties.Thereislittletrainingavailabletocasemanagersonhowtoidentifyandaddressaconsumerwhoneedsadditionalassistance.Whenlimitationsarenotidentifiedandprocedurestoprovidesupportarenotclear,referralsforassistancearenotmade.
Additionalemployertasksoftentimesfalltothecasemanagers;takingthemawayfromregularlyassigneddutiessuchascoordinatingcarewithcommunitypartners.Inaddition,thisproblemcanbecompoundedwhencasemanagersarenotabletoperformmonitoringrequirements,includingface‐to‐facecontactswithconsumers.Thisleavesconsumersmorevulnerabletoinadequatecare,abuse,neglectandfraud.
CEP consumers may not receive adequate support
CEPconsumersreceiveaConsumerEmployerGuidetohelpthemmanagetheirresponsibilities.Butsomeconsumersmayneedadditionalsupporttohire,train,andmanagetheirhomecareworker.Toaddressthisconcern,casemanagersofferStepstoSuccess(STEPS)asasolution.
Thisprogramprovidesone‐on‐onecoachingtoassistconsumersintakingontheroleofanemployer.Consumersarereferredtotheprogramwhentheyarefirsteligibleforservices,andmaybereferredateachneedsassessment,orwhencasemanagersfeelitisbeneficial.Inourfilereviews,wesawevidenceofconsumerswhoneededadditionalsupportandwereofferedSTEPS,butdeclined.Intheseinstances,theprogramcannotrequireconsumerstoparticipateinthetrainingbecauseitisprohibitedbyfederalrules.Additionally,STEPSmaynotbeeffectiveforconsumerswithdecliningcognitiveabilities.
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OutsideofAPD,CEPconsumersandtheirfamilieshaveveryfewoptionsforsupporttoaddressprogramconcerns.UnderthefederalOlderAmericansAct,thestate’sLong‐TermCareOmbudsmanmustinvestigatecomplaintsandadvocateonthebehalfofindividualsreceivingcarefromlicensedcarefacilities.However,Oregonlawdoesnotincludein‐homecareconsumerswithinthepurviewoftheLong‐TermCareOmbudsman.Currently,thereisnoentityservingCEPconsumersinthiscapacity.ToincludetheseconsumerswithintheOmbudsman’sscope,theLegislaturewouldneedtomodifystatelawandprovideenoughfinancialresourcestoadequatelysupportthousandsofpotentiallynewconsumersandfundeffortstorecruitvolunteers.
Homecare Worker supports are minimal
CurrentAPDsupportsystemsdonotensurethathomecareworkersarepreparedtoprovideneededcareandservices,andAPDhasnottakensufficientactiontoaddressthisprogramflaw.Outsideofaninitialorientation,OregonAdministrativeRulesdonotrequireahomecareworkertoreceiveanyformaltraining.Consumersareresponsibleforensuringthehomecareworkerhastheskills,knowledge,andabilitiestomeettheiruniquecareneedsandpersonalpreferences.
Informationprovidedintheinitialorientationdoesnotaddresshomecareworkercompetencytocompleterequiredjobduties.OrientationislimitedtoinformationonCEPprogramrolesandresponsibilities,aswellasbasicjobrequirements.Thereisnorequiredassessmenttodeterminetheskillsandabilitiesofahomecareworker.Also,therearenorefreshercoursescoveringtheinformationprovidedintheinitialorientation.
Consumersareresponsiblefortrainingtheirhomecareworkers.Forsometaskssuchaslighthousekeepingandmealpreparation,thismaybelesschallenging.However,homecareworkersmayberequiredtodostrenuousandcomplicatedtasks,likeliftconsumersfromachairorassistthemwitharangeofconditions,fromtraumaticbraininjuriestodementiatomentalhealthissues.Ifnotdoneproperly,sometaskscanbeharmfultobothconsumersandhomecareworkers.Onecasemanagerwespokewithknewoftwohomecareworkerswhowereinjuredwhenliftingconsumers,oneendeduprequiringsurgeryandisreceivingworkers'compensation.
TheOregonHomeCareCommissionofferssometrainingforhomecareworkers,butitisvoluntary.Trainingsubjectsincludecommunication,providingcaresuchasbathing,appropriateboundaries,workingwithconsumerswithchallengingbehaviorsandconditions,aswellasotherskillscourses.
Iftheconsumerisunabletoprovidethehomecareworkersufficientinformationaboutcompletingworkdutiesorthehomecareworkerishavingdifficultieswiththerelationship,theyoftenreachouttocasemanagers.Casemanagersdotheirbesttoempowertheconsumerand
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homecareworkertoresolveissues,butitdoesnotalwayswork.Inthesecases,consumersmaybereferredtoSTEPsortoothersupports.
Key APD data practices do not adequately address consumer safety and well‐being
Duetocurrentdatacollectionandutilizationpractices,itisdifficulttodeterminewhetherCEPconsumersaresafeandreceivingthecareandservicestheyneed,orevenifthecurrentprogrammodelisbest.
Existingdatafocusoncasemanagers’performancebutdonotcaptureconsumers’satisfactionwiththeircare,iftheirneedsaremet,orchangesintheirhealthandwell‐being.
Forexample,thequalityassurancereviewsconductedbi‐annuallybyAPDlookattheaccuracyandappropriatenessofcasemanagerdeterminationsforprogrameligibility,serviceplans,andservicepayments.CEPdatareportsonconsumermonitoringandneedsassessments,areanalyzedfromtheperspectiveofcasemanagers’performance.Thereisnoaspectofthequalityassuranceprocessorconsumermonitoringorassessmentreportsthatlooksatconsumers’well‐being.
Additionally,indiscussionswithAPDmanagement,welearnedthatconsumermonitoringreportsdocumentwhethereachcasemanagerhasconductedtheirrequiredconsumermonitoringcontacts.Whilethisishelpful,thereportsdonotindicatewhethereachindividualconsumerisreceivingtheindirectanddirectmonitoringcontactstheyshould.
AnotherlimitationisthatAPDdoesnotreportCEPconsumerdataseparatelyfromotherpopulations.MonitoringdataforCEPconsumersiscombinedwithdataforconsumerslivinginothercommunity‐basedcaresettings.Also,abuseandneglectdataforCEPconsumersisco‐mingledwithdataonvictimswhoarenotreceivingAPDservices.Inbothofthesesituations,dataisnoteasilyextracted.Becausedataisco‐mingled,itisdifficulttoevaluateindividualprogramperformanceandstatusofCEPconsumers.
Althoughtheagencydoestrackdataforcompliancemeasures,includingdataforfederalassurances,APDcandomoredataanalysis,includingestablishingtrendsacrossprograms.Forexample,withadditionalefforts,dataregardinghospitalizationscouldbereviewedtohelpdetermineifCEPconsumersaresafeintheirhomes,comparedtoothercommunity‐basedsettings.
APDhastakenstepstoaddresssomedatachallenges.Afterapreliminarybusinessassessmentin2014,theLegislatureallocatedfundingin2015toadoptacentral,comprehensivesystemtodocumentallabuseandneglectinvestigations.Afterinterviewingandvisitingotherstatesandlocalmunicipalities,andobtaininginputfromstaff,APDselectedaninformationtechnologysystemthatbestfitsOregon’sneeds.Aftermonthsofsystem
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testing,APDplanstoincrementallyimplementtheCentralizedAbuseManagementsystembeginningJanuary2018.Itisintendedtoimprovedataanalysisandasaresult,APDshouldhavetheabilitytobetterunderstandthestatusandsafetyofCEPconsumers.
Additionally,APDreportedtheywillsurveyconsumersinallcaresettingsin2017.CEPconsumerswerenotincludedintherecentcustomersurveyoflong‐termcareservicerecipients.
APD has not effectively addressed excessive case manager workloads
APDmanagementhasnoteffectivelyaddressedexcessivecasemanagerworkload.Casemanagersreportedlydonothavethetimenecessarytoconsistentlymonitorconsumers’carebecauseofexcessiveworkloadandadditionalresponsibilities.
Casemanagers’dutiesareexcessiveandshiftfocusfromconsumersupportandmonitoring.Forexample,somecasemanagersarerequiredtodofinancialandeligibilityredeterminationformedicalinsurancecoverageandSupplementalNutritionAssistanceProgram(SNAP),whicharetime‐consumingandhavestrictdeadlines.Incontrast,casemanagerswhodosimilarworkintheagency’sIntellectualandDevelopmentDisabilityprogramsdonothavetodofinancialandmedicalinsuranceeligibilitywork.
Issuesrelatedtohomecareworkersalsodominatecasemanagers’time.Consumerscontactcasemanagersaboutissuesrelatedtohomecareworkermanagement,whichforcescasemanagerstofunctionasanintermediary,ataskthatexceedstheirroleandavailabletime.
Consumersarenottheonlyoneswhocontactcasemanagersregardingemployer/employeeissues.Homecareworkersalsofrequentlycontactcasemanagerswithchallengesandcomplaintsregardingtheiremployment,takingupconsiderablecasemanagertime.Somecommonissuesarepersonalityconflictswithemployers,difficultyrecordingtheirtime,andsubsequentpaymentforhoursworked.
ORACCESSistheprimarydatasystemcasemanagersusetodocumentconsumerdemographicinformation,healthconditions,eligibilityassessmentinformation,andon‐goingcasemonitoringnarration.Thissystemiscumbersomeandoutdated.Casemanagersfrequentlyadjustconsumerserviceplanstoaccountfornewhomecareworkersandtochangehomecareworkerhours.TodothisinORACCESSrequiresmultiplestepsandistimeintensive.
ConsumerneedsvarywidelywithintheCEPpopulation,whichrequirescasemanagerstouseavarietyofskillstoeffectivelyhelptheirconsumers.Althoughthisprogramisintendedforpersonswithphysicalorcognitivelimitations,casemanagersareseeinganincreaseinconsumerswithmultiplehealthissues,includingmentalhealthconditions.Casemanagersoftenprovideadditionalsupportandcounselingtoconsumerstohelpthem
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participateincaseplanning.Whentimeisconstrained,itmakeshelpingconsumerswithexceptionalneedsmoredifficult.
APDmanagementhasattemptedtotakestepstoalleviateexcessiveworkloadandadditionalresponsibilitiescasemanagersareexperiencing.Thisincludestransitioningtoaworkloadmodelthatlooksatthetimecasemanagersneedforspecifictasks.
Casemanagerstoldustheyoftenfeeloverwhelmedwiththeamountofworktheymusthandle.Increasingly,theirtimeisdivided,whichmeansconsumersmaysuffer.
Fulltimecasemanagersweinterviewedhadbetween52and135cases.AccordingtoAPD,thereisnosetcaseloadtargetforcasemanagers.Caseloadsizevariesdependingonhowmanyconsumerseachcasemanagerhasineachcaresettingandwhetherthefieldofficesarefullystaffed.Wefound,however,thatotherstatessetcaseloadtargetsorbenchmarks.Thismayassistinaligningresourcesandbetterarticulatingstaffingshortfalls.
Additionally,accordingtoAPDmanagement,budgetconstraintsandhiringfreezeshaveimpactedDHS’sabilitytoconsistentlyfillvacanciestothelevelfundedbytheLegislature.Whileanaverageof258fulltimeequivalent(FTE)casemanagerpositionswerefundedfrom2011to2016,onlyanaverageof235wereactuallystaffed.SeeFigure6.
Figure 6: APD Case Managers FTE on board versus FTE funded12
12 The data used for this graph is limited to APD. AAA case manager FTE is not comparable.
100
150
200
250
300
2011 2012 2013 2014 2015 2016
FTE ON BOARD FUNDED FTE LEVEL
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CriticalprogramdesignchallengesanddeficientprogrammonitoringcreateuncertaintythatCEPconsumersarereceivingthecareandservicestheyneed.WithouttheabilitytodeterminethatthethreecriticalcomponentsoftheCEPsystem‐theconsumer,casemanagerandhomecareworker‐areworkingasintended,consumersmaynotreceiveneededcareandmaybemoresusceptibletofraud,abuse,orneglect.
Consumers may experience increased risk to health and well‐being
ItishardforAPDtoknowifconsumersarereceivingthecareandservicestheyneedwhendataisinsufficienttomonitorconsumercare,consumerscanbereticenttocontactcasemanagersaboutconcerns,andcasemanagersaretoobusytocontacttheirconsumersabouttheirhealthandwell‐being.
Thesecircumstancescreateaheightenedriskthat:
consumersarenotachievingtheirintendedoutcomesasoutlinedintheirserviceplans,
high‐riskconsumersmaynothavetheirneedsidentifiedandmet,and consumersmaybesubjecttofraud,abuse,neglect,andsafetyrisksthat
couldgoundetectedbyAPD.
Weheardanumberofreportsregardinghowtheseissueshavenegativelyimpactedconsumers.Forexample,acasemanagerwespoketoknewofaninstanceinwhichthepreviouscasemanagersuspectedsomethinginappropriatewasgoingoninaconsumer’shomebutwasunabletovisittheconsumerformonths.Oncethenewcasemanagerconductedahomevisit,theconsumeracknowledgedthatherhomecareworkerhadnotreportedtoworkforseveralmonths.Duringthosemonths,theconsumercontinuouslytoldthecasemanagerthatherserviceneedswerebeingmetwheninfactshewasnotreceivinganyoftheneededservices.
Inanothersituation,aninsulindependent,bed‐boundconsumernearlydied.Arelativewashispaidhomecareworker.Onaroutinein‐homevisitforanannualneedsassessment,acasemanagerbecameconcernedaboutthehomecareworker’sabilitytomeettheconsumer’sneedsduetothepoorconditionoftheresidence,thehomecareworker’sownhealthchallenges,andhisongoingstruggletocorrectlydeterminetheconsumer’sinsulindosage.Becausetherequiredriskassessmentwasnotdone,thisconsumerwasnotformallyearmarkedforadditionalmonitoringcontacttomitigatetheserisks.
Program Design and Deficient Monitoring Pose Risks to Consumers’ Health and Well-being and Diminish Program
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Whenanewcasemanagerwasassignedhewasinformedoftheconcernsandtoldthatmonthlyin‐personvisitsmaybeneededtoensuretheconsumer’ssafety.But,highworkloadimpactedthewayhemanagedthecaseandhedidnotattemptin‐personcontactwiththeconsumer.
Approximatelysixmonthslater,thepolicerespondedtothehomewhentheconsumergavehimselfapotentiallyfataldoseofinsulin.Theconsumerwasresuscitated,admittedtoanintensivecareunit,andsurvived.Whenquestioned,thehomecareworkerreportedhedidnotprovideservicesforwhichhewaspaidandsubsequentlylosthisabilitytobeemployedasahomecareworker.
Lack of program oversight undermines program intent
Whentheconsumerisnolongerableorwillingtofunctionasanemployer,itcausesstrainwithintheCEPprogram.Insomecases,casemanagersandhomecareworkersfillinthegap,takingonmanyoftheemployerduties.
Consumerswhoareunabletomanagetheircaremayrelyontheirhomecareworkerstomanageitforthem.Thiscouldbebeneficialtotheconsumer,especiallyifthehomecareworkeriscompetentandwilling.However,homecareworkerscouldtakeadvantageofthesituation.Forexample,ahomecareworkercouldhavetheconsumerapprovepaymentforhoursthehomecareworkerdidnotwork.Inotherinstances,casemanagerstakeonemployerduties.Butthisisoutsideofassignedtasksandaddstotheirworkload.
Inthesesituations,theconsumerisnolongerthedriverindirectingtheircare,abasictenetoftheCEPprogram.Bynotaddressingtheseissues,APDisnotabletoprovidethesupportthatisneededtofulfilltheintentoftheprogram.
APDcanaddressprogramdesignchallengesandimproveoversightbyensuringitfollowsexistingrulesandpolicies.Inaddition,otherprogramsinsideandoutsideofAPDprovidealternativesforhandlingchallenginghomecareworkeremploymentfunctionsandcasemanagementduties.Last,toalignwithleadingpracticesinperformancemanagement,APDshouldcollectandanalyzedatatobettermanagetheprogram.
Program eligibility and monitoring policies help ensure consumer well‐being
Programeligibilityrequirementsshouldbefollowedtoidentifyconsumerswhoarebestsuitedfortheprogram.Proceduresshouldbeinplacethatalignwithprogramrequirements.Theseproceduresareacriticalcomponentofprogramoversight.
CEP Policies and Alternative Program Models Provide Options for Improved Program Implementation
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Indirectanddirectmonitoringpoliciesprovideabaselineforcasemanagerstomonitorconsumers’care.Andrequired,risk‐basedmonitoringaddressesthesafetyofconsumerswhoaremorevulnerable.Workingtogether,thesepoliciescouldallowcasemanagerstomonitorCEPconsumersmoreeffectively.Wheneitherpolicyisnotfollowedconsumersarenotsufficientlymonitored.
Similar programs handle homecare workers and case manager duties differently
Oregonisaleaderinprovidingservicestosupportolderadultsandadultswithdisabilitiestosafelyremainintheirhomes.However,challengestheCEPprogramfacesmaybenefitfromfreshperspectives.SimilarprogramswithinAPDandacrossthecountryhavewaysofhandlingaspectsofin‐homeservicesthatprovidemoresupportforprogramparticipants,homecareworkers,andcasemanagers.Specifically,APDcouldlookatbetterwaystohandleemployerdutiesrelatedtohomecareworkersandtheworkofcasemanagers.
Wecontactedstateswithsimilarin‐homecareservicesandfoundthatnonehadOregon’shighlevelofcasemanagerinvolvementindutiesrelatedtohomecareworkeremployment.Asoutlinedpreviously,casemanagersspendasignificantamountoftimeaddressinghomecareworkerhumanresourceandpayrollissues.Otherstatesavoidthisbyusinghomecareagenciesoroutsidepayrollservicestomanagethesefunctions.
InColorado,initialemploymenteligibilitydeterminationsandpayrollforhomecareworkersaredonethroughoneofthreeprivatepayrollserviceorganizations.InVermont,allhomecareworkersarescreenedforemploymentandpaidthroughasinglecontractedagency.EvenprogramswithinAPD,suchastheIntellectualandDevelopmentalDisabilitiesprogram,useoutsideservicestohandlepaymentofworkers.
Oregonisalsouniqueintheextentofcasemanagerdutiescomparedtootherstates.OregoncasemanagerdutiesincludedeterminingifaconsumerisfinanciallyeligiblefortheCEPprogram.Casemanagersreportthattheworkloadassociatedwithmakingtheseincome‐baseddeterminationslessensthetimetheyhavetomakemeaningfulcontactwithconsumers.Incontrast,noneofthestateswecontactedrequirecasemanagerstohandlefinancialeligibilitydeterminations.Instead,thisdutyishandledbyotherstateorcountyemployeesor,asinTexas,byacentralizedworkunit.
Casemanagersinsomestateswecontactedalsohavedifferentrolesinassessingthelevelofservicesconsumersneed.InOregon,casemanagersareresponsibleforconductingconsumerneedsassessments.Inotherstates,assessmentsarecompletedbysomeoneotherthanacasemanager,suchasathirdparty,forexample,acontractedagency.
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Data should be used to improve program performance
Leadingperformancemanagementpracticesemphasizetheimportanceofusingdataforongoingprogramimprovement.CollectingandutilizingmeaningfuldatawillallowAPDtotrackandanalyzetheoveralleffectivenessoftheprogram,learnfromchallenges,andfocuseffortsonareasinneedofimprovement.FollowingleadingdatapracticeswillalsohelpAPDmeetCEPprogramexpectations.
Withoutdataontheextentoffraud,abuseandneglectofCEPconsumers,ortheeffectivenessofrisk‐basedmonitoring,APDismissingopportunitiestomaximizelimitedresources,ensuretheintegrityoftheprogram,andimprovethesafetyandwell‐beingofthisvulnerablepopulation.
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Recommendations
ConsumerindependenceandchoiceisparamountintheCEPprogram.Eachprogramelement,workingasintended,willbetterensurethesuccessofeachconsumer.Measuresshouldbeinplacetomitigateriskstoconsumers’well‐beingandsupportthemasanemployerwhenappropriate.Homecareworkersshoulddemonstratetheskillsnecessarytocareforconsumersandshouldbesupportedintheirrole.Casemanagers’dutiesshouldallowtimetosufficientlyaddresseachconsumer’sneeds.
APD should take the following actions to address inherent program risks and improve program implementation:
1. Traincasemanagerstorecognizewhenconsumersneedadditionalassistanceincompletingemployerresponsibilities.
2. Developandimplementproceduresfortakingactionwhenconsumersarenolongerableorwillingtoperformnecessaryemployerduties.
3. MonitorconsumercaretoensuredirectandindirectcontactsareoccurringaccordingtotheCenterforMedicareandMedicaidServicesrequirementsandOregonAdministrativeRules.
4. UtilizeAPD’scurrentriskassessmenttooltoidentifyconsumersmostatriskforfraud,neglect,andabuse.
5. Trackcompliancewithrisk‐basedmonitoringinaccordancewithcurrentAPDpolicies.
6. Incoordinationwith theOregonHomeCareCommissionandSEIU,establishminimumhomecareworkertrainingrequirementsanddeveloprefreshercoursesfortopicscoveredinorientation.
7. IncoordinationwiththeOregonHomeCareCommissionandSEIU,implementanewmodelformanagingtheHomecareWorkerprogramthatlessenstheworkloadofAPDstaffworkingintheCEPprogram.
8. Establishaskillsassessmentforhomecareworkerstoassurethattheyhavetheskills,knowledge,andabilitiestoprovideconsumercare.
9. Takestepstoensurethatcasemanagershavethetimetoperformallnecessaryperson‐centeredplanningactivities,includingreassigningfinancialeligibilitydeterminationsformedicalprogramsandSNAPtootherstaff.
10. WorkwiththeLegislaturetoensurecasemanagersarestaffedatthelevelfunded.
11. TrackandusedatatoimprovetheCEPprogramandinformdecisionmaking,including:
CEPabuseandneglectdataseparatelyfromothersettings, CEPconsumerdirectandindirectmonitoringfrequencyseparatelyfromallothercare
settings,and CEPconsumerswhoareconsideredhighriskandwhetherornottheyaregettingthe
requiredrisk‐basedmonitoring
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