The Wisconsin Division of Quality Assurance (“DQA” or the “agency”) recently issued Wisconsin – 26-001, which addresses surveyor access to provider records during assisted living surveys. The guidance applies to Adult Family Homes (“AFHs”), Community-Based Residential Facilities (“CBRFs”) and Residential Care Apartment Complexes (“RCACs”). DQA’s memo confirms that providers utilizing electronic record systems must provide surveyors with read-only login credentials, rather than limiting access to printed records or provider-generated electronic reports.

The memo reflects DQA’s position that surveyors must have timely and unrestricted access to records regardless of whether those records are maintained in paper or electronic form. According to DQA, expanded electronic access will streamline the survey process and reduce the time necessary to complete surveys.

Prohibition on Interference

DQA cites multiple statutory and regulatory provisions supporting surveyor access to records. The agency notes that Wisconsin providers must allow the Department of Health Services (“Department”) access to premises and records as a condition of licensure and references Wis. Stat. § 50.07(1), which prohibits interference with a Department representative’s official duties. The memo also identifies specific access authorities applicable to AFHs, CBRFs and RCACs, as well as general patient record access statutes.

Surveyor Access Requirements

The most significant operational change involves providers maintaining electronic health records or other electronic resident record systems.

When records are requested during the entrance conference:

  • Paper records must be produced within two hours following the conclusion of the entrance conference.
  • Electronic record users must provide surveyors with read-only login credentials within the same two-hour timeframe.
  • Providers must also supply instructions necessary for surveyors to navigate the electronic system and locate key documents such as assessments, service plans and medication administration records.

The memo further states that surveyors will generally seek direct access to electronic records and will make reasonable efforts to avoid requesting printed copies, although paper copies may still be requested in certain situations.

DQA’s Recommended Steps

Recognizing that many providers may not currently have a surveyor-access process in place, DQA recommends that providers develop procedures before a survey begins. The agency specifically recommends:

  • Preconfigured surveyor-specific login credentials ready for activation;
  • Internal processes to ensure credentials can be provided without technical delays; and
  • Designated personnel familiar with the electronic record system who can assist surveyors as needed.

Provider Considerations

Under DQA’s new guidance, surveyors may be reviewing records directly within the provider’s electronic platform.

As a result, providers should evaluate whether their electronic record systems can support read-only surveyor access without compromising resident privacy, system integrity or access to information that falls outside the scope of the survey.

Providers should also consider testing surveyor-access procedures in advance of an actual survey to ensure staff can quickly activate credentials and guide surveyors through the system. While DQA notes that surveyors will only access records within the scope of the survey and only while onsite, providers should ensure their systems are configured appropriately before a survey occurs.

Practical Takeaways

  • Wisconsin assisted living providers should not wait until a survey begins to address electronic record access. DQA now expects providers using electronic record systems to furnish surveyors with read-only credentials within two hours of the entrance conference.
  • Providers should review their electronic health record capabilities, develop surveyor-access procedures and train staff on the process in advance. Facilities that are not prepared may encounter avoidable delays and increased survey scrutiny.

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