Department of Health and Human Services

OFFICE OF

INSPECTOR GENERAL

 

GAPS CONTINUE TO EXIST IN 

NURSING HOME EMERGENCY 

PREPAREDNESS AND 

RESPONSE DURING 

DISASTERS: 2007–2010

Daniel R. Levinson 

Inspector General

April 2012

OEI-06-09-00270
 

EXECUTIVE SUMMARY: GAPS CONTINUE TO EXIST IN NURSING HOME 

EMERGENCY PREPAREDNESS AND RESPONSE DURING DISASTERS: 

2007–2010, OEI-06-09-00270 

WHY WE DID THIS STUDY 

Federal regulations require that Medicare- and Medicaid-certified nursing homes have 

written emergency plans and provide employees with emergency preparedness training. 

In a 2006 report about nursing homes that experienced hurricanes, we found that 

emergency plans lacked many provisions recommended by experts. In response, the 

Centers for Medicare & Medicaid Services (CMS) issued guidance checklists for 

emergency planning of health care facilities, long-term care (LTC) ombudsman 

programs, and State survey agencies (SA). We conducted this study to assess emergency 

preparedness and response of nursing homes that experienced more recent disasters.

HOW WE DID THIS STUDY

For this study, we analyzed national survey data to determine compliance with Federal 

regulations. We also conducted site visits to 24 selected nursing homes that experienced 

floods, hurricanes, and wildfires in 2007–2010. We interviewed nursing home 

administrators and staff, local emergency managers, and representatives from State LTC 

ombudsman programs and SAs. We also compared the emergency plans of each selected 

nursing home to the CMS checklist for health care facilities. 

WHAT WE FOUND

Most nursing homes nationwide met Federal requirements for written emergency plans 

and preparedness training. However, we identified many of the same gaps in nursing 

home preparedness and response that we found in our 2006 report. Emergency plans 

lacked relevant information—including only about half of the tasks on the CMS 

checklist. Nursing homes faced challenges with unreliable transportation contracts, lack 

of collaboration with local emergency management, and residents who developed health 

problems. LTC ombudsmen were often unable to support nursing home residents during 

disasters; most had no contact with residents until after the disasters. SAs reported 

making some efforts to assist nursing homes during disasters, mostly related to nursing 

home compliance issues and ad hoc needs. 

WHAT WE RECOMMEND

We made three recommendations to CMS and one recommendation to the Administration 

on Aging (AoA). CMS agreed with our recommendations to revise Federal regulations to 

include specific requirements for emergency plans and training, update the State 

Operations Manual to provide detailed guidance for SAs on nursing home compliance 

with emergency plans and training, and promote use of the checklists. AoA agreed with 

our recommendation to develop model policies and procedures for LTC ombudsmen to 

protect residents during and after disasters. Finally, in a memorandum report, we outline 

guidance that CMS can consider when revising the checklist for health care facilities.
TABLE OF CONTENTS

Objectives ....................................................................................................1 

Background ..................................................................................................1 

Methodology ................................................................................................6 

Findings......................................................................................................10 

In 2009–2010, 92 percent of nursing homes met Federal 

regulations for emergency plans and 72 percent for emergency 

training, slightly less than the percentages 5 years earlier .............10 

On average, selected nursing homes’ emergency plans included 

about half of the CMS-recommended checklist tasks, and none 

included all of them ....................................................................... 11

Administrators from 17 of the 24 selected nursing homes 

reported substantial challenges in responding to disasters ............16 

LTC ombudsmen were often unable to support nursing home 

residents during disasters ...............................................................19 

State survey agencies completed tasks related to nursing home 

compliance and addressed ad hoc facility needs............................20 

Recommendations ......................................................................................22 

Agency Comments and Office of Inspector General Response .....24 

Appendixes ................................................................................................25 

A: Sample Selection ......................................................................25 

B: Nursing Home Deficiencies in Emergency Planning and 

Training ....................................................................................28 

C: Centers for Medicare & Medicaid Services-Recommended 

Checklist Tasks ........................................................................30 

D: Agency Comments ...................................................................34 

Acknowledgments......................................................................................40 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 1

OBJECTIVES 

1. To determine the nationwide extent of nursing home compliance with 

Federal regulations for emergency preparedness.

2. To determine the extent to which selected nursing homes’ emergency 

plans included tasks recommended by the Centers for Medicare 

& Medicaid Services (CMS) emergency preparedness checklist for 

health care facilities.

3. To describe the challenges experienced by selected nursing homes 

during disasters in 2007–2010. 

4. To examine the role of selected long-term care (LTC) ombudsman 

programs and State survey agencies (SA) during disasters in 

2007–2010 and their use of the CMS emergency preparedness 

checklists developed for each entity.

BACKGROUND

Nursing home residents and their families rely on facility administrators to 

plan and execute appropriate procedures during disasters. However, the 

numerous hurricanes during 2004 and 2005 prompted concern about 

nursing home emergency planning, disaster response, and coordination 

between nursing homes and State and local entities. In a 2006 Office of 

Inspector General (OIG) report, we found that, nationally, 94 percent of 

nursing homes met Federal regulations for emergency plans and 

80 percent met Federal regulations for emergency training in 2004–2005.1

 After OIG issued the 2006 report, CMS issued guidance regarding the 

emergency planning of health care facilities, including nursing homes. 

This study expands upon the 2006 report to examine the use of CMS’s 

guidance by a sample of nursing homes that experienced floods, 

hurricanes, and wildfires during 2007–2010. 

 

However, in a sample of 20 nursing homes, we found that plans often 

lacked information suggested by experts; nursing home administrators and 

staff sometimes did not follow emergency plans during the hurricanes; and 

lack of collaboration between State and local emergency entities and 

nursing homes impeded emergency preparedness and management.

Federal regulations for nursing home emergency preparedness require that 

Medicare- and Medicaid-certified nursing homes have “detailed written 

plans and procedures to meet all potential emergencies and disasters such 

1 OIG, Nursing Home Emergency Preparedness and Response During Recent Hurricanes, OEI-06-06-00020, 

August 2006.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 2

as fire, severe weather, and missing residents.” Additionally, Federal 

regulations state that facilities must “train all employees in emergency 

procedures when they begin to work in the facility, periodically review the 

procedures with existing staff, and carry out unannounced staff drills using 

those procedures.”2 According to Federal regulations, certified nursing 

homes must comply with the Life Safety Code (LSC), which requires that 

nursing homes have “written copies of a plan for the protection of all 

persons in the event of fire, for their evacuation to areas of refuge, and for 

their evacuation from the building;” and that fire drills be “conducted 

quarterly on each shift.”3 In December 2010, CMS issued an advanced 

notice of proposed rulemaking to establish national emergency 

preparedness requirements for Medicare and Medicaid providers and 

suppliers.4

Verification of Nursing Home Compliance With Federal

Regulations

 As of March 2012, CMS had not published the proposed rule 

for comment. 

The Omnibus Budget Reconciliation Act of 1987 established a survey and 

certification process for CMS and States to verify that Medicare- and 

Medicaid-certified nursing homes comply with Federal requirements.5 

CMS is responsible for enforcing these requirements. It enters into 

agreements with SAs to survey each nursing home at least once every 

15 months to certify compliance with Federal requirements, including 

those for emergency preparedness.6 CMS provides guidance to surveyors 

through the State Operations Manual (SOM), which specifies how 

surveyors determine compliance. When surveyors identify noncompliance 

with Federal requirements, CMS requires nursing homes to submit plans 

of correction and to correct the problems. If nursing homes do not correct 

the problems, CMS may take enforcement actions, including termination 

of the nursing homes’ participation in Medicare and Medicaid.7

2 42 CFR § 483.75(m).

3 42 CFR § 483.70(a)(i) states that the facility must meet the applicable provisions of the 2000 edition of the 

Life Safety Code of the National Fire Protection Association (NFPA), which is incorporated in the regulation by 

reference. See NFPA 101 Life Safety Code, 2000 edition, §§ 18.7.1.1–2 and 19.7.1.1–2. Accessed at 

http://www.nfpa.org on May 18, 2011.

4 Department of Health and Human Services (HHS), Unified Regulatory Agenda (Dec. 20, 2010). Emergency 

Preparedness Requirements for Medicare Participating Providers and Suppliers (CMS-3178-P). Accessed at 

http://www.regulations.gov on April 5, 2011.

5 Omnibus Budget Reconciliation Act of 1987, P.L. 100-203, §§ 4202 and 4212, Social Security Act, §§ 

1819(g) and 1919(g), 42 U.S.C. §§ 1395i–3 and 1396r.

6 42 CFR §§ 488.308(a) and 488.330(a)(1)(i).

7 42 CFR §§ 488.402(d), 488.408, and 488.456.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 3

Standard survey. The standard survey includes two assessments of 

emergency preparedness: emergency planning and emergency training.8 

To determine whether nursing homes meet Federal regulations for 

emergency planning, surveyors are instructed to review emergency plans.9 

Federal regulations state that nursing home emergency plans must include 

procedures to meet all potential emergencies, such as fires, severe weather, 

and missing residents.10 The regulations do not specify required content 

for emergency plans; the SOM indicates only that emergency plans must 

include plans relevant to natural or manmade disasters and include 

procedures for finding a missing resident.11 If surveyors find that 

emergency plans are deficient, they can cite nursing homes with a 

deficiency of Tag F517.12 To determine whether a nursing home meets 

Federal regulations for training in emergency procedures, surveyors are 

instructed to question the nurse in charge and two nursing home staff 

members (e.g., nurse aide, housekeeper, maintenance person) about their 

facility’s emergency plan.13 If the nurse in charge or other staff members 

are unable to answer the questions correctly, the surveyors can cite the 

nursing home with a deficiency of Tag F518.14

LSC survey. SAs are also responsible for LSC surveys, which should be 

documented no later than 60 days after conclusion of the standard 

surveys.15 Surveyors must complete additional specialized training to 

conduct the LSC survey, and special consultants, such as fire protection 

engineers or fire alarm technicians, may participate on the survey team.16

In some cases, SAs may enter into subagreements or contracts with State 

fire authorities to assess LSC compliance.17

The LSC requires facilities to comply with a set of fire protection 

provisions designed to provide safety from fire, smoke, and panic.

 

18 The 

LSC survey includes two assessments for fire protection: whether the 

facility has a written plan for the protection and evacuation of all patients 

in an emergency and whether the facility conducts fire drills. If surveyors 

8 CMS, SOM, Pub. No. 100-07, App. PP, Guidance to Surveyors for Long-Term Care Facilities, Tags F517 and 

F518.

9 Ibid.

10 42 CFR § 483.75(m).

11 CMS, SOM, App. PP, Tag F323.

12 CMS, SOM, ch. 2, § 2728A.

13 CMS, SOM, App. PP, Tags 517 and F518.

14 CMS, SOM, ch. 2, § 2728A.

15 CMS, SOM, ch. 2, § 2472C.

16 CMS, SOM, App. I, Survey Procedures and Interpretive Guidelines for Life Safety Code Surveys, p. 1.

17 CMS, SOM, ch. 2, § 2472B.

18 CMS, SOM, ch. 2, § 2470A.
OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 4

find that emergency fire plans are deficient, they can cite the nursing 

homes with a deficiency of Tag K48. Surveyors should also evaluate 

whether nursing homes hold fire drills at unexpected times under varying 

conditions and whether nursing home staff members are familiar with 

emergency procedures. If fire drill records or staff responses during 

interviews are insufficient, surveyors can cite the nursing homes with a 

deficiency of Tag K50.19

State LTC Ombudsman Programs

Federal law requires that each State establish a State LTC ombudsman 

program, funded through the Administration on Aging (AoA), to advocate 

for residents in long-term care facilities, such as nursing homes.20 The 

State LTC ombudsman is responsible for identifying, investigating, and 

resolving complaints made by or on behalf of nursing home residents 

relating to action, inaction, or decisions that may adversely affect the 

health, safety, welfare, or rights of LTC residents.21 The State LTC 

ombudsman also monitors the development and implementation of 

Federal, State, and local laws, regulations, and other governmental 

policies and actions that pertain to the health safety, welfare, and rights of 

LTC residents.22

Federal law does not explicitly state how LTC ombudsman programs 

should participate in nursing home emergency planning, nor does it 

require that ombudsman programs take specific action during disasters. 

To provide a resource for LTC ombudsmen, AoA partially funded a report 

published in 2000 that describes possible LTC ombudsmen actions during 

nursing home closings and natural disasters. The report is a collection of 

experiences and perspectives of LTC ombudsmen during disasters, 

describing tasks such as helping to arrange transportation and to find 

facilities with available beds.23 

19 CMS, SOM, App. I, Survey Procedures and Interpretive Guidelines for Life Safety Code Surveys, Task 5. 

NFPA, NFPA 101 Life Safety Code, 2000 edition, §§ 18.7.1.1–2 and 19.7.1.1–2. Accessed at 

http://www.nfpa.org on May 18, 2011. Form CMS-2786R (06/2007), “Fire Safety Survey Report 2000 

Code–Health Care.”

20 42 U.S.C. § 3058g(a)(1). AoA, Investments in Change: Enhancing the Health and Independence of Older 

Adults, 2008 Annual Report, p. 19. 

21 42 U.S.C. § 3058g(a)(3)(A).

22 42 U.S.C. § 3058g(a)(3)(G).

23 S. Murtiashaw, The Role of Long-Term Care Ombudsman in Nursing Home Closures and Natural Disaster, 

2000, National Long-Term Care Ombudsman Resource Center, pp. 42–43. Accessed at 

http://www.ltcombudsman.org on April 23, 2010.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 5

CMS Emergency Preparedness Checklists 

In 2007, CMS published three emergency preparedness checklists as 

“recommended tools” for health care facilities, SAs, and State LTC 

ombudsman programs: 

• Health care facilities checklist. This checklist includes 70 tasks, which 

CMS grouped into 23 task categories. Health care facilities, including 

nursing homes, could implement these tasks to ensure that they have a 

comprehensive emergency plan to respond to any disaster.24 The 

checklist provides guidance for developing emergency plans; ensuring 

adequate supplies of food and water; identifying evacuation routes; 

and transporting patients, critical supplies, and equipment. It also 

recommends that facilities collaborate with local emergency 

management agencies, suppliers, and providers identified as part of a 

community emergency plan to care for evacuees. 

• State LTC ombudsman program checklist. This checklist is a resource 

for State LTC ombudsmen and includes such tasks as ensuring that all 

regional and local ombudsmen are familiar with emergency planning 

pertinent to LTC facilities.25

• State SA checklist. This checklist encourages collaboration between 

SAs and emergency management agencies and provides guidance on 

the essential functions of SAs during disasters.26

Disasters in 2007–2010 

From 2007 to 2010, several disasters substantially affected at least 

210 nursing homes in 7 States, forcing residents to evacuate or shelter in 

place in response to floods, hurricanes, and wildfires.27

Floods. In March 2009, flooding of the Red River forced the evacuation 

of six nursing homes in North Dakota. Across the river in Minnesota, one 

nursing home was evacuated and the residents of another sheltered in 

place.28 In May 2010, widespread flooding along the Mississippi and 

Cumberland Rivers in Tennessee forced the evacuation of at least two 

nursing homes. Another nursing home evacuated some of its residents, 

and the residents of four others sheltered in place.

24 CMS, Survey & Certification: Emergency Preparedness Checklist Recommended Tool for Effective Health 

Care Facility Planning. Accessed at http://www.cms.gov on February 5, 2010.

25 CMS, Survey & Certification: Emergency Planning Checklist Recommended Tool For Persons in LongTerm Care Facilities & Their Family Members, Friends, Personal Caregivers, Guardians & Long-Term Care 

Ombudsman (see Part II). Accessed at http://www.com.gov on February 5, 2010.

26 CMS, Survey & Certification: Emergency Preparedness Checklist Recommended Tool for Effective State 

Agency Planning. Accessed at http://www.cms.gov on February 5, 2010.

27 This number is limited to nursing homes affected by the disasters in our study.

28 This area experienced flooding again in March 2010, although no nursing homes were evacuated.
OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 6

Hurricanes. Within a span of 12 days in September 2008, Category 2 

Hurricanes Gustav and Ike made landfall in Cocodrie, Louisiana, and 

Galveston Island, Texas. Hurricane Gustav forced the evacuation of 

92 nursing homes in the coastal parishes of Louisiana.29 Hurricane Ike, 

the third-costliest hurricane ever to hit the United States, devastated 

Galveston Island and led to a mass evacuation of the Texas gulf coast, 

including 84 nursing homes.30 In September 2010, Category 2 Hurricane 

Earl threatened the Outer Banks of North Carolina, forcing the evacuation 

of three nursing homes; the residents of three others sheltered in place.

Wildfires

METHODOLOGY

. In October 2007, wildfires threatened heavily populated areas 

near San Diego, California, forcing the evacuation of five nursing homes; 

the residents of three others sheltered in place. In May 2009, wildfires 

near Santa Barbara, California, forced the evacuation of one nursing 

home, and the residents of four others sheltered in place.

Scope 

For this evaluation, we analyzed national CMS survey data to determine 

nursing home compliance with Federal regulations for emergency 

preparedness planning and training in 2009–2010. We compared 

emergency plans for 24 selected nursing homes to the CMS emergency 

preparedness checklists and to Federal regulations for emergency 

preparedness planning. We also interviewed nursing home staff; 

community authorities; State, regional, and local LTC ombudsmen; and 

SA staff to collect information about their experiences during disasters that 

occurred during 2007–2010. 

Sample

We purposively selected 24 Medicare- and Medicaid-certified nursing 

homes whose residents sheltered in place or were evacuated in response to 

floods, hurricanes, or wildfires during 2007–2010. (See Appendix A for 

details about sample selection, including communities and selected 

nursing home characteristics.) The 24 nursing homes are within 

16 communities in 13 counties across 7 States. They received services 

from 11 local and regional LTC ombudsman programs (see Table 1).

29 According to the Saffir-Simpson Hurricane Wind Scale, a Category 2 hurricane has sustained winds of 

96–110 miles per hour. Winds of this intensity are extremely dangerous and cause extensive damage. 

Accessed at http://www.nhc.noaa.gov on August 30, 2011.

30 Federal Emergency Management Agency, Hurricane Ike Impact Report, December 8, 2008.
OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 7

Table 1: Entities Represented in Selected Sample

Entity Number

Local and Regional Entities

 Nursing homes 24

 Communities 16

 Counties 13

 Local and regional LTC ombudsman program offices 11

State Entities

 State LTC ombudsman programs 7

 SAs 7

Source: OIG analysis of 24 selected nursing homes affected by disasters during 2007–2010.

Data Sources and Data Collection 

CMS survey data. We used CMS Online Survey, Certification, and 

Reporting (OSCAR) data to determine national nursing home compliance 

rates with Federal regulations regarding emergency planning and training 

in 2009 and 2010.31 We obtained the data in March 2011.

Documentation. We obtained current (2010) emergency plans and 

supporting documents from each of the 24 selected nursing homes.32 We 

also collected community emergency plans to determine the extent to 

which nursing homes coordinated their plans with the community plans. 

Additionally, we collected materials that regional and local LTC 

ombudsmen used to guide their response to nursing home emergencies. 

We also collected emergency plans and supporting documents from State 

LTC ombudsman programs.

Onsite interviews

We also conducted structured onsite interviews with local emergency 

management officials and LTC ombudsman program staff and volunteers 

in each of the 16 communities where the selected nursing homes are 

located. (See Table A-3 in Appendix A for the number of interview 

. We conducted structured onsite interviews with nursing 

home administrators, directors of nursing, and other staff involved in the 

disaster response for the 24 selected nursing homes. We asked 

respondents about their emergency plans and staff training. We also asked 

about their decisions to evacuate or shelter in place and their experiences 

before, during, and after the disaster.

31 National statistics include nursing homes from all 50 States, the District of Columbia, Guam, Puerto Rico, 

and the Virgin Islands.

32 Supporting documents included, but were not limited to, transportation agreements, training for 

transportation vendors and volunteers, records of staff training, exercises and drills, after-action reports, and the 

most recent internal review of the emergency plan.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 8

respondents affiliated with each type of entity.) We asked respondents 

about their community emergency planning and response, evacuation 

orders, local requirements for nursing homes, assistance provided to 

nursing homes, implementation of plans during the specified disaster, and 

reflections about selected nursing homes’ disaster responses. We 

conducted all onsite interviews between July and October 2010. 

Telephone interviews. We conducted structured telephone interviews with 

officials from SAs and State LTC ombudsman programs for each of the 

seven States where the selected nursing homes are located. We asked 

respondents about their roles and responsibilities for emergency planning, 

actions taken during the specified disaster, the nature of evacuation orders, 

State nursing home requirements, and assistance provided to nursing 

homes for development and execution of plans. We also asked SAs about 

training provided to surveyors to prepare them for reviews of nursing 

home emergency plans and training documents. Additionally, we asked 

whether they used the CMS checklists as tools for emergency planning. 

We conducted all telephone interviews between July and November 2010. 

Data Analysis

Quantitative analysis. To determine emergency preparedness compliance 

rates in 2009–2010, we used standard and LSC survey data to calculate the 

number of deficiencies issued for Tags F517, F518, K48, and K50. We 

then compared the 2009–2010 compliance rates with rates found in 

2004–2005. Whenever possible, we also quantified interview and

documentation data. 

Qualitative analysis. To determine the extent to which selected nursing 

homes’ emergency plans contained tasks recommended by the CMS 

emergency preparedness checklists, we compared the plans with the 

70 tasks listed in the CMS checklist for health care facilities. For each 

CMS checklist task, we determined whether the nursing home emergency 

plan contained provisions that matched, partially matched, or did not 

match that CMS task. Finally, we reviewed the emergency plans to 

determine whether they included procedures for fire, severe storms, and 

missing residents, as stated in Federal regulations.33 For example, if a 

plan did not include procedures for responding to fires, we categorized it 

as a nonmatch for emergency planning for fires. 

To examine the challenges experienced by selected nursing homes during 

disasters in 2007–2010, we analyzed transcripts from our interviews with 

nursing home administrators, staff, local emergency entities, LTC 

ombudsmen, and SA officials. Finally, to examine the roles of selected 

33 42 CFR § 483.75(m).
OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 9

LTC ombudsman programs and SAs during disasters, we analyzed 

transcripts from our interviews with State, local, and regional ombudsmen 

and SA officials. In analyzing the interview data, we developed themes 

and selected examples to illustrate the respondents’ experiences.

Limitations

This study has two limitations. First, the purposive sample of 24 selected 

nursing homes is not representative of all nursing homes, nursing home 

emergency plans, or nursing home experiences during disasters. Second, 

during interviews we relied on respondents’ recollections of disasters. 

Although this limitation applies to all interviews conducted for the study, 

for 10 of the 24 selected nursing homes, interviews took place 2–3 years 

after the disasters.

Standards

This study was conducted in accordance with the Quality Standards for 

Inspection and Evaluation issued by the Council of the Inspectors General 

on Integrity and Efficiency.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 10

FINDINGS

In 2009–2010, 92 percent of nursing homes met 

Federal regulations for emergency plans and 

72 percent for emergency training, slightly less than

the percentages 5 years earlier 

Of the 16,001 nursing homes surveyed nationwide during 2009 and 2010, 

most met Federal regulations. This is a slight decrease from the 

compliance rates for 2004 and 2005 reported 5 years earlier, when we 

found that 94 percent of nursing homes met Federal regulations for 

planning and 80 percent met regulations for training.34 Although most 

nursing homes met Federal regulations for planning, 28 percent were 

found deficient for inadequately training staff to respond to disasters (see 

Table 2). Additionally, LSC surveyors cited 20 percent more nursing 

homes for deficiencies in emergency training than surveyors conducting 

standard surveys. Insufficient planning may be more prevalent than these 

results indicate, however. According to SA officials we interviewed, 

surveyors primarily focus on resident care issues during standard surveys, 

and therefore may not review emergency plans and training records as 

closely as LSC surveyors might. Officials from five of the seven States in 

our review reported that they did not train surveyors specifically on 

assessment of nursing home emergency plans. (See Appendix B for a list 

of nursing home emergency preparedness planning and training 

deficiencies nationally and by State.)

Table 2: Nursing Homes Cited for Deficiencies in Emergency Planning and 

Training: National (2009–2010)

Deficiencies Facilities

(n=16,001) Percentage

Planning Deficiencies

 Standard survey (F517) 403 3 

 Life Safety Code (K48) 861 5 

 Total* 1,214 8 

Training Deficiencies

 Standard survey (F518) 860 5 

 Life Safety Code (K50) 3,936 25

 Total* 4,466 28

Source: OIG analysis of OSCAR data for 2009–2010.

*The totals for planning and training deficiencies are not the sums of the standard survey and LSC 

deficiencies because some facilities had one of each type of deficiency, resulting in some overlap in the 

categories.

34 OIG, Nursing Home Emergency Preparedness and Response During Recent Hurricanes, 

OEI-06-06-00020, August 2006.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 11

Among the 24 selected nursing homes, surveyors cited only 3 for planning 

or training deficiencies during their most recent surveys. For example, 

surveyors cited one nursing home for a planning deficiency resulting from 

insufficient stockpiles of food and a training deficiency for failing to train 

staff to extinguish a kitchen fire. The remaining two homes were found 

deficient for insufficient documentation of emergency training. As noted, 

Federal regulations state that nursing home emergency plans must include 

procedures to meet all potential emergencies, such as fires, severe weather, 

and missing residents.35 We found that emergency plans for 12 of the 

24 selected nursing homes lacked procedures for finding missing residents 

and that 1 of these plans also lacked procedures for responding to fires. 

During their most recent standard and LSC surveys, none of these 

12 nursing homes were found deficient for emergency planning.36

Training for surveyors in five of seven States did not include 

instructions for evaluating emergency plans

In these five States, SA officials reported that their training for surveyors 

who conduct standard surveys did not include instructions on how to 

evaluate an emergency plan, details for assessing compliance, or training 

specific to planning for disasters in their States. Officials from the 

remaining two States reported that their surveyor training included 

instructions for assessing nursing home emergency plan compliance with 

Federal regulations. These instructions included methods for checking 

generators and water supplies and for identifying items typically missing 

from a plan, such as procedures for sheltering in place and planning 

evacuation routes. 

On average, selected nursing homes’ emergency 

plans included about half of the CMS-recommended 

checklist tasks, and none included all of them

Most nursing home administrators did not use the recommended CMS 

emergency preparedness checklist for health care facilities in developing 

their emergency plans; and the plans lacked many checklist tasks. 

Administrators from only 13 of the 24 nursing homes were aware of the 

checklist and only 7 of the 13 reported using it in developing their plans. 

Administrators who did not use the checklist explained that they used 

guidance from other sources, such as their corporate offices or local 

emergency managers. The number of CMS checklist tasks included in the 

24 selected nursing homes’ plans ranged from 19 to 57 out of 70 tasks (see 

35 42 CFR § 483.75(m)(1).

36 Emergency plans submitted to OIG by nursing homes may not have been the same plans reviewed by 

surveyors during the most recent nursing home certification survey.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 12

Table 3). See Appendix C for a full list of CMS checklist tasks included in 

selected nursing homes’ emergency plans. 

Table 3: CMS-Recommended Tasks in Selected Nursing 

Homes’ Emergency Plans

Number of CMS-Recommended Tasks 

(n=70)

Nursing Home Plans 

With Tasks* (n=24)

60–70 0 

50–59 3 

40–49 5 

30–39 9 

20–29 6 

10–19 1 

10–9 0 

 Total 24

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*We credited nursing home emergency plans with containing recommended tasks 

when they matched or partially matched the tasks.

Emergency plans from selected nursing homes lacked 

checklist tasks within six areas of concern

In reviewing selected nursing homes’ emergency plans, we identified six 

areas of particular concern. These areas represent tasks that nursing 

homes often did not include in their plans but could affect residents during 

disasters: staffing; resident care; resident identification, information, and 

tracking; sheltering in place; evacuation; and communication and 

collaboration. 

Table 4: CMS-Recommended Staffing Tasks in Selected 

Nursing Homes’ Emergency Plans

Task

Nursing 

Home Plans 

Without Task 

(n=24)*

Staffing backup plan 22

Evacuate staff’s family with the facility 19

Staffing requirements 19

Shelter staff’s family at the facility 14

Ensure that staff accompany residents during evacuation 12

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task

categories.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 13

Staffing tasks. Ten of the twenty-four selected nursing homes’ plans did 

not include any recommended tasks for ensuring sufficient staffing levels 

to provide continuous care for residents during disasters, potentially 

leading to delays in meeting medical and other physical needs. 

Additionally, 22 of 24 plans did not include backup plans for staff unable 

to report to work during the disaster and 19 of 24 plans lacked information 

regarding staffing requirements (see Table 4).

Resident-care tasks. Eleven of the twenty-four selected nursing homes’ 

plans did not include any recommended resident-care tasks. For example, 

23 of 24 plans did not describe how to handle resident illness or death 

during an evacuation or how to provide disaster counseling to residents. 

As another example, 15 of 24 plans did not contain information regarding 

specific characteristics and needs of residents (see Table 5).

Table 5: CMS-Recommended Resident-Care Tasks in 

Selected Nursing Homes’ Emergency Plans

Task

Nursing Home 

Plans Without 

Task (n=24)*

Procedures for resident illness or death en route to 

evacuation site 23

Mental health and grief counselors at evacuation site 23

Resident care during evacuation 17

Specific characteristics and needs of residents 15

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task 

categories.

The lack of detailed information about resident-specific needs (e.g., 

nasogastric or enteral feeding tubes, ventilator, and oxygen) and 

characteristics (e.g., Alzheimer’s and dementia) could pose a threat to the 

well-being of residents by failing to signal the need for special 

transportation and necessary medical care and equipment.

Resident identification, information, and tracking tasks. Five of the 

twenty-four selected nursing homes’ plans did not include any tasks 

related to identifying residents, transferring their information, or tracking 

them. For example, 7 of the 24 plans did not specify any methods for 

identifying residents (e.g., wristband or nametag), and 11 plans did not 

specify what personal information must accompany residents during an 

evacuation (see Table 6).
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 14

Table 6: CMS-Recommended Identification, Information, 

and Tracking Tasks in Selected Nursing Homes’ 

Emergency Plans

Task

Nursing Home 

Plans Without 

Task (n=24)*

Method used to identify residents during evacuation 7 

Transfer the following information with each resident:

Name and contact information for next of kin/power of 

attorney

19

Date of birth, diagnosis 17

Current drug/prescription and diet regimens 15

Name 11

Method to account for individuals during and after 

evacuation

10

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task 

categories.

The lack of information about residents’ prescriptions (e.g., for treatment 

of diabetes) could pose a threat to residents’ health if essential medications 

are not administered on time to those with chronic conditions. 

Sheltering-in-place tasks. Twelve of the twenty-four selected nursing 

homes’ plans did not include any of the recommended tasks for sheltering 

in place. For example, none of the 24 plans specified the amount of water 

needed to ensure sufficient supply for a minimum of 7 days (see Table 7). 

Table 7: CMS-Recommended Sheltering-in-Place Tasks in 

Selected Nursing Homes’ Emergency Plans

Task

Nursing Home 

Plans Without 

Task (n=24)*

To care for residents for a minimum 7 days:

Adequate supply of potable water 24

Extra medical supplies and equipment 22

Generator fuel supply 19

Extra pharmacy stocks of common medications 19

Amounts and types of food in supply 17

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task 

categories.

Evacuation tasks. Eleven of the twenty-four selected nursing homes’ 

plans did not include any recommended tasks regarding evacuation 

procedures. For example, 22 of 24 plans did not describe how the nursing 

home would transport and protect medical records and medications during 

an evacuation (see Table 8). 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 15

Table 8: CMS-Recommended Evacuation Tasks in Selected Nursing

Homes’ Emergency Plans

Nursing Home

Task Plans Without

Task (n=24)*

Transportation and logistical support of:

Adequate food supply 24

Water (including amount) 24

Critical supplies and equipment 19

Transportation and protection of medications under registered nurse 22

Transportation and protection of:

Medical records 22

Wheelchairs and assistive devices 19

Evacuation routes:

Evacuation routes only 15

Evacuation routes and alternative routes 23

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task categories.

Communication and collaboration tasks. Twenty-two of the twenty-four 

selected nursing homes’ plans lacked tasks for communicating with local 

LTC ombudsmen, residents, and proper authorities during and after a 

disaster (see Table 9).

Table 9: CMS-Recommended Communication and Collaboration 

Tasks in Selected Nursing Homes’ Emergency Plans

Task

Nursing Home 

Plans Without 

Task (n=24)*

Communication

Communicate with and/or notify:

Local LTC ombudsman program 22

Residents 15

Staff 8 

Proper authorities 4 

Resident families 4 

Facility communication infrastructure in the event of telephone failure 7 

Collaboration 

Collaborate with emergency managers to develop plan 16

Collaborate with emergency 

evacuate or shelter in place

managers to determine whether to 17

Source: OIG analysis of 24 selected nursing homes’ emergency plans in 2010.

*Numbers may not sum to totals shown in Appendix C because of combined task categories.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 16

Administrators from 17 of the 24 selected nursing 

homes reported substantial challenges in responding 

to disasters

Administrators and staff from 17 of the 24 selected nursing homes 

reported facing substantial challenges in responding to disasters, whether 

they evacuated or sheltered residents in place. Of these 17 nursing homes, 

11 were evacuated and 6 sheltered residents in place. Challenges included 

difficulty following emergency plans as written, logistical problems 

related to transportation and communication, and negative effects of 

evacuation on resident health (see Table 10). Further, most nursing homes 

that experienced challenges reported that they had not collaborated with 

local emergency management agencies to prepare for disasters.

Table 10: Nursing Home Challenges in Responding to Disasters

Challenge

Nursing Homes 

Reporting Challenge

(n=17)*

Emergency Plan

Emergency plan as written:

Lacked detailed procedural information 9 

Was not specific to disaster experienced 5 

Was missing information or contained inaccurate information 3 

Staff did not consult plan 2 

Total 12

Logistics

Unreliable transportation contracts and agreements 5 

Hospital not available to shelter high-acuity residents 5 

Nursing home resident dispersion 5 

Nursing home residents moved more than once 4 

Inadequate tracking systems for residents and supplies 4 

Closed roads limited access to nursing home 4 

Technological problems with communication devices 3 

Total 13

Physical and Emotional Effects on Residents

Some residents experienced:

Negative effects of evacuation on physical health 9 

Stress, anxiety, fear, or emotional trauma 9 

Total 12

Source: OIG analysis of interviews with 24 selected nursing homes’ administrators and staff in 2010. 

*Nursing homes reporting challenges do not sum to the totals because some reported more than one challenge.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 17

Of the 17 nursing homes that reported challenges, 7 met with local 

emergency managers before the disaster to review the situation, establish 

benchmarks for evacuation, and formulate a response plan. However, 

most of the 17 nursing homes did not have local emergency managers 

review their emergency plans, and none participated in communitywide 

emergency preparedness exercises and drills before the disaster.

Nursing home staff struggled to execute emergency plans

According to administrators from 12 of the 17 nursing homes that reported 

challenges, their emergency plans did not contain accurate or detailed 

information on how to execute their plans and respond to disasters. For 

example, one administrator of a nursing home that was flooded reported 

that its emergency plan did not include procedures for responding to 

floods, although the nursing home was in a flood plain. Another 

administrator of a nursing home that was evacuated acknowledged that 

most planning focused on sheltering in place rather than evacuating. This 

administrator did not have prior agreements with host facilities and found 

that identifying them at the last minute was a formidable task. 

Administrators of two nursing homes reported that they did not consult 

their written emergency plans to prepare for evacuation. They reported 

piecing together transport by calling upon other nursing homes and local 

emergency entities to evacuate their residents.

Nursing homes reported logistical problems related to 

transportation and communication

Administrators from 13 of the 17 nursing homes reported a range of 

logistical problems related to evacuation and sheltering in place. The most 

common problems, each reported by five nursing homes, were that 

transportation contracts were not honored, hospitals declined to shelter 

high-acuity residents unless their medical conditions warranted admission 

under normal circumstances, and difficulty was experienced in tracking 

residents dispersed to host facilities. Regarding widespread dispersion, 

residents of 1 home were sent to 20 host facilities, making it difficult for 

staff familiar with the residents to monitor their status and provide care. 

Four nursing homes that were evacuated reported difficulty tracking 

residents and supplies, in some cases temporarily “losing” residents and 

having difficulty matching displaced residents to personal equipment, such 

as wheelchairs. Some logistical difficulties were the result of community 

disaster conditions; for example, administrators from four nursing homes 

(as well as LTC ombudsmen) reported that closed roads limited staff 

access and equipment delivery, and administrators from three nursing 

homes reported technical problems using cell phones and walkie-talkies.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 18

Nursing homes reported that some residents developed health

problems, creating challenges in providing care

Administrators from 12 of the 17 nursing homes reported that some 

residents experienced deteriorating health conditions, skin issues, falls that 

resulted in injury, or death. Administrators from seven of these nursing 

homes reported that some residents’ medical conditions deteriorated 

during evacuation, necessitating hospitalization either en route to or 

immediately after their arrival at host facilities. Administrators from four 

of these nursing homes also reported that an unspecified number of 

residents experienced skin issues, such as bedsores or tears, and 

administrators from two homes reported having a resident who fell, 

resulting in injury at a host facility. Finally, administrators from 9 of the

17 nursing homes indicated that some residents experienced emotional 

trauma, such as confusion and anxiety, resulting in at least 1 instance of 

required sedation. 

Most nursing homes that reported challenges did not have 

local emergency managers review their plans, and none 

participated in communitywide emergency exercises and drills

Of the 17 nursing homes that reported challenges in following their 

emergency plans, 12 were in communities in which local emergency 

management entities did not review and approve their plans. During 

interviews, emergency managers in these communities expressed 

willingness to review plans but noted that they did not have the authority 

to monitor or verify compliance with the plans. Moreover, the emergency 

entity reviewing the plan may not be the agency that responds to the 

nursing home during a disaster. For example, in one county that required 

emergency management review of nursing home plans, the county 

emergency manager reviewed and approved a plan, but the emergency 

manager of the fire department that responded to the nursing home’s 

request for assistance did not know of the home’s plan. 

Few nursing homes that reported challenges collaborated with local 

emergency managers before the disaster; only 4 of the 17 nursing homes 

reported meeting with them to prepare for specific disasters, 2 participated 

in regular communitywide preparedness meetings, and none participated 

in communitywide exercises and drills.37

37 Since the 2007 wildfires, nursing homes in San Diego County have participated in bed census drills as 

members of their county’s nursing home disaster preparedness and response task force. Skilled Nursing Facility 

Disaster Preparedness Task Force, The San Diego Model–A Skilled Nursing Disaster Preparedness and 

Response Plan, 2009. Accessed at http://www.cahfdownload.com/cahf/dpp/SDModel-Final-08-27-09.pdf on 

June 4, 2010.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 19

Six of the 17 nursing homes that experienced challenges were in 

communities in which local emergency managers stated that they perceive 

nursing homes as businesses and therefore responsible for management of 

their own disaster response. Emergency managers in these communities 

indicated they would assist nursing homes as a last resort, but that they 

had competing priorities for scarce resources. According to one 

emergency manager, a bus used to evacuate residents from a nursing home 

was originally to be used for indigent and homebound populations. 

LTC ombudsmen were often unable to support

nursing home residents during disasters

Local LTC ombudsmen reported that although they have no additional 

emergency-related tasks required by Federal regulation, they continue 

during emergencies to work to ensure resident welfare. State LTC 

ombudsman programs in four of the seven States had emergency plans to 

ensure continuity of service. Still, local LTC ombudsmen in all seven 

states were often unable to contact or visit residents of nursing homes 

affected by disasters, potentially affecting resident safety and welfare.

Although some LTC ombudsmen visited residents of the 

24 selected nursing homes during the disasters, most had no 

contact with them until the disasters ended or residents 

returned to nursing homes

Administrators from only 3 of the 24 selected nursing homes reported that 

their local LTC ombudsmen visited residents, either while residents were 

in host facilities or immediately upon their return to their nursing homes. 

Ombudsmen from 7 of the 11 local LTC programs reported that areawide 

evacuations, closed roads, and evacuations to distant host facilities

affected access to residents. Ombudsmen from 10 of the 11 local LTC 

programs indicated that the disasters likely increased resident 

vulnerabilities. Ombudsmen said that after reentering facilities, residents 

often talked about difficulties such as emotional trauma and loss of 

privacy. 

Four of the seven State LTC ombudsman programs had 

emergency plans to ensure continuity of service to nursing

home residents, but none reported using the CMS emergency 

preparedness checklist

Four of the seven State LTC ombudsman programs had written emergency 

plans to ensure program continuity during disasters. Officials from three 

of these programs reported they were aware of the CMS emergency 

preparedness checklist for State LTC ombudsman programs, but none 

reported using it to develop plans. Five of the seven State LTC 

ombudsmen reported that they provided disaster-related information to 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 20

regional and local LTC ombudsman programs, including one State LTC 

ombudsman who worked at the State operations command center during 

the disaster. Three State LTC ombudsmen indicated that they would like 

further clarification of their responsibilities before, during, and after 

disasters.

State survey agencies completed tasks related to 

nursing home compliance and addressed ad hoc 

facility needs

SA officials stated that the primary role of the SA was to enforce 

compliance with Federal and State regulations. However, agency officials 

often accepted additional responsibilities as needs arose, including 

tracking nursing home residents, helping to find placement for evacuated 

residents, and facilitating communication between nursing homes and 

community emergency entities.

SAs focused primarily on issues related to facility compliance 

with State and Federal regulations

Officials from the seven SAs indicated that their most important obligation 

related to emergency planning and disaster response was to continue their 

primary task of surveying nursing homes for compliance. They also 

expressed a responsibility to serve as a conduit between CMS and nursing 

homes, providing information to CMS officials and assisting facilities in 

understanding CMS payment and compliance provisions. Four of the 

seven SAs completed additional tasks as a result of the disasters that were 

related to facility compliance. For example, CMS allowed one SA to 

approve temporary waivers for host facilities to exceed their bed capacity 

to accept evacuated residents. 

SAs accepted additional responsibilities as facility needs 

arose, including tracking and assisting with placement of 

residents 

All seven SAs made efforts to assist nursing homes during disasters. For 

example, officials from four SAs tracked evacuated residents. In most 

cases, this tracking consisted of manually creating and updating 

spreadsheets. Officials in one of these States found that before the 

disaster, county emergency managers did not know of all nursing facilities 

in their area. As a solution, the SA created a facility report listing numbers 

of residents and beds as well as evacuation status. The SA routinely 

updated and distributed the report to emergency entities. SAs in three of 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 21

these four States also helped find suitable host facilities.38 Further, 

officials from all SAs reported that they received and answered questions 

from nursing homes. Common questions included how to discharge 

residents to host facilities and how to obtain State and Federal 

reimbursement for evacuation costs. 

Surveyors in three States identified a need for better planning and 

coordination for returning residents to facilities after disasters. In two of 

these States, the SAs monitored returns by communicating individually 

with facility administrators and relaying the aggregate information to 

community emergency entities. In the third State, local emergency 

managers notified the SA that they did not have time to check the 

suitability of nursing homes for reentry. Instead, SA surveyors visited the 

facilities to determine whether they met standards for returning residents. 

In other cases, SAs positioned themselves as a last resort should nursing 

homes require assistance because of unexpected circumstances, such as 

transportation contracts that were not honored. State surveyors also 

staffed community shelters as part of their duties as State employees.

All seven SAs had emergency plans, but none reported using 

the CMS emergency preparedness checklist for SAs

Officials from the seven SAs explained that as State agencies, their 

emergency plans were integrated into emergency preparedness plans for 

State health departments or for State emergency management agencies. 

Although officials from five of the seven States reported that they were 

aware of the CMS emergency preparedness checklist for SAs, none used it 

as a planning tool. One SA official indicated that his agency did not use 

the checklist because other State entities are responsible for emergency 

planning and preparedness. An SA official from another State said that 

CMS guidance regarding disaster management should focus on clarifying 

and communicating CMS policies, rather than on emergency planning 

issues. This official indicated that payment issues (e.g., the implications to 

the home facility of evacuating residents to a host facility) and instructions 

about what kind of information is required by CMS during disasters may 

not be clear and that it is “too difficult in the middle of a crisis to figure 

out the rules.” 

38 After the disasters, two SAs indicated that they were in the process of purchasing tracking software, and one 

SA now has a system that requires nursing homes to update their resident status twice a day during 

State-declared disasters.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 22

RECOMMENDATIONS

Five years after the release of the 2006 OIG report highlighting problems 

with nursing home emergency planning and procedures, we identified 

many of the same gaps in nursing home preparedness and response, 

specifically with emergency plans lacking relevant information, unreliable 

transportation contracts, negative effects on residents, and lack of 

collaboration with local emergency management entities.39 Including 

tasks from the CMS emergency preparedness checklist for health care 

facilities is not required, and we found that most plans from selected 

nursing homes lacked many of the tasks recommended in the checklist. 

Though the tasks in the checklist exceed Federal regulatory requirements 

for nursing home emergency plans, their omission could compromise 

resident health and safety and jeopardize effective nursing home response 

to disasters. To improve nursing home emergency preparedness and 

response to disasters, we recommend that: 

CMS revise Federal regulations by identifying and including in 

its regulations requirements for specific elements of 

emergency plans and training

Federal regulations require that Medicare- and Medicaid-certified nursing 

homes have detailed written emergency plans and procedures.40 CMS 

should take into account the six areas of concern identified in this report to 

CMS update the SOM to provide detailed guidance for 

surveyors assessing compliance with Federal regulations for 

nursing home emergency planning and training 

specify elements that should be required for inclusion in nursing home 

plans. These required elements should apply to all Medicare- and 

Medicaid-certified nursing homes. Additionally, to enhance the safety and 

welfare of nursing home residents during disasters, CMS should specify 

minimum Federal standards for the frequency and extent of disaster 

response training, exercises, and drills for nursing home staff. 

The SOM, which provides CMS’s guidance to SAs that assess nursing 

home compliance with Federal regulations, requires that surveyors 

conducting standard surveys “review” nursing home emergency plans, but 

provides no procedural guidance for how surveyors are to assess plans.41 

CMS should develop detailed and clear guidance for use during surveys to 

ensure more effective assessment of nursing home emergency plans. CMS 

39 OIG, Nursing Home Emergency Preparedness and Response During Recent Hurricanes, OEI-06-06-00020, 

August 2006.

40 42 CFR § 483.75(m).

41 CMS, SOM, App. PP, Tag 517.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 23

should also provide additional training for surveyors on emergency 

preparedness and plan assessment and standardize when surveyors should 

issue deficiency citations related to emergency planning.

CMS promote use of the emergency preparedness checklists 

for nursing homes, State LTC ombudsman programs, and SAs 

CMS designed the emergency preparedness checklists as tools for 

effective emergency planning, yet nursing homes, State LTC ombudsman 

programs, and SAs rarely reported using the checklists as guidance. In 

some cases, officials from these entities were not even aware of the CMS 

checklists. CMS does not require nursing homes to use the checklists and 

the tasks in the checklist exceed Federal regulatory requirements for 

emergency plans. Additionally, nursing home administrators indicated 

that they receive emergency planning guidance from other sources. Still, 

we found that nursing home emergency plans were largely lacking tasks 

recommended in the CMS checklist for health care facilities, which 

provides a comprehensive index of emergency planning tasks. 

Greater use of the checklists could assist nursing homes, State LTC 

ombudsmen programs, and SAs in improving emergency planning and 

disaster management. CMS should further promote use of the emergency 

preparedness checklists, such as by making additional outreach efforts and 

partnering with AoA, the Office of the Assistant Secretary for 

Preparedness and Response (ASPR), and other emergency preparedness 

entities. Finally, in a supplemental memorandum report, we outline 

guidance that CMS can consider when revising the checklist for health 

care facilities.42

AoA develop model policies and procedures to protect 

resident health, safety, welfare, and rights during and after 

disasters

AoA should collaborate with CMS, ASPR, SAs, and State LTC 

ombudsman programs to identify effective models for State and local LTC 

ombudsman programs during disasters and assist States in their 

development of policies and procedures to protect residents’ health, safety, 

welfare, and rights during and after disasters. For example, guidance 

could include potential actions by State and local LTC ombudsmen during 

and after a disaster and identify common problems experienced by 

residents to assist ombudsmen with recognizing and addressing these 

problems. Additionally, AoA should provide a framework for LTC 

ombudsmen’s contact with residents after a disaster. The framework could 

include developing protocols for ombudsmen assigned to a host facility to 

42 OIG, Supplemental Information Regarding the Centers for Medicare & Medicaid Services’ Emergency 

Preparedness Checklist for Health Care Facilities, OEI-06-09-00271, April 2012.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 24

visit displaced residents there. AoA could also encourage State, local, and 

regional LTC ombudsman programs to develop plans that, to the extent 

possible, ensure that ombudsmen are available to residents whether the 

nursing facility shelters residents in place or is evacuated. 

AGENCY COMMENTS AND OFFICE INSPECTOR GENERAL 

RESPONSE 

We received comments on the draft report from CMS and AoA. 

CMS concurred with each recommendation. 

In response to our recommendation that CMS revise Federal regulations 

by identifying and requiring specific elements of emergency plans and 

training, CMS stated that that it will include specific guidance concerning 

emergency plans and training when it proposes long-term care regulation 

revisions. 

In response to our recommendation that CMS provide detailed guidance 

for surveyors assessing compliance with Federal regulations for 

emergency planning and training, CMS stated that it will update the SOM 

and provide additional training to States and surveyors. CMS also stated 

that it will issue a policy memorandum for SAs to alert health care 

providers of problems. 

In response to our recommendation that CMS promote use of the 

emergency preparedness checklists, CMS stated that it will work with 

nursing homes, State LTC ombudsman programs, and SAs to reiterate the 

availability of the emergency preparedness materials and encourage their 

use. CMS also stated that it would review and update the checklists, as 

appropriate. 

AoA concurred with our recommendation to develop model policies and 

procedures to protect residents during disasters. AoA stated that it is 

collaborating with CMS to update the LTC ombudsmen emergency 

planning checklist and will develop and implement dissemination and 

training strategies. Additionally, AoA stated that it is collaborating with 

ASPR to promote State LTC ombudsman program awareness and use of 

model policies.

For the full text of CMS and AoA comments, see Appendix D. We made 

minor changes to the draft report based on technical comments. 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 25

APPENDIX A

Sample Selection

Communities. We identified disaster-affected communities nationwide by 

reviewing information from the Federal Emergency Management Agency 

and State survey agencies (SA). We focused on disasters that affected 

multiple nursing homes during 2007–2010, selecting three types of 

disasters for this study: floods, hurricanes, and wildfires. 

We selected at least two counties in five of the seven States. For the 

remaining two States (Minnesota and North Dakota), we selected one 

county in each State. We selected communities for site visits based on 

whether the disaster affected nursing homes within the counties. 

Table A-1 lists information about the communities and disasters associated 

with the selected nursing homes. 

Table A-1: Community and Disaster Information for Selected Nursing Homes

State County Population* Disaster Year

Selected Nursing Homes 

(n=24)

Shelter in 

Place Evacuation

CA

County 1 3,053,793 Wildfire 2007 1 2 

County 2 407,057 Wildfire 2009 2 1 

LA

County 1 109,291 Hurricane 2008 0 1 

County 2 52,217 Hurricane 2008 1 1 

MN County 1 56,763 Flood 2009 1 1 

NC

County 1 64,423 Hurricane 2010 2 1 

County 2 34,296 Hurricane 2010 0 1 

ND County 1 143,339 Flood 2009 0 2 

TN

County 1 920,232 Flood 2010 0 1 

County 2 26,471 Flood 2010 1 0 

County 3 22,057 Flood 2010 0 1 

TX

County 1 4,070,989 Hurricane 2008 1 1 

County 1 286,814 Hurricane 2008 1 1 

Total 10 14

Source: Office of Inspector General (OIG) analysis of nursing homes in selected counties, 2010.

* Source: 2009 Population Estimates from the U.S. Census Bureau. Accessed at http://www.census.org on December 20, 

2010. 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 26

Nursing Homes. We purposively selected 24 Medicare- and Medicaidcertified nursing homes based on their diversity in several factors: disaster 

response (shelter in place or evacuation), size (number of beds), ownership 

(for-profit or nonprofit), and the Centers for Medicare & Medicaid 

Services (CMS) 5-Star Quality of Care rating. To ensure that we 

interviewed key personnel present during the disaster, we included only 

nursing homes that still employed the administrator and director of nursing 

on duty at the time of the disaster. Table A-2 lists characteristics of all 

selected nursing homes.

Table A-2: Selected Nursing Home Characteristics

Facility ID Disaster 

Response Size Ownership Chain CMS Rating

California 1 Shelter in place 63 Nonprofit Yes 4 

California 2 Shelter in place 80 Nonprofit Yes 5 

California 3 Evacuate 156 Nonprofit Yes 2 

California 4 Evacuate 149 For-profit No 2 

California 5 Evacuate 90 Nonprofit Yes 4 

California 6 Shelter in place 59 Nonprofit Yes 4 

Louisiana 1 Shelter in place 128 For-profit No 4 

Louisiana 2 Evacuate 124 Nonprofit Yes 2 

Louisiana 3 Evacuate 198 For-profit No 1 

Minnesota 1 Evacuate 195 Nonprofit No 3 

Minnesota 2 Shelter in place 87 For-profit Yes 3 

North Carolina 1 Shelter in place 92 For-profit Yes 1 

North Carolina 2 Shelter in place 122 For-profit No 1 

North Carolina 3 Evacuate 104 For-profit No 3 

North Carolina 4 Evacuate 126 For-profit Yes 2 

North Dakota 1 Evacuate 192 Nonprofit No 3 

North Dakota 2 Evacuate 109 For-profit Yes 1 

Tennessee 1 Shelter in place 144 For-profit No * 

Tennessee 2 Evacuate 119 For-profit Yes 3 

Tennessee 3 Evacuate 155 For-profit No 2 

Texas 1 Shelter in place 100 For-profit No 1 

Texas 2 Evacuate 109 For-profit Yes 1 

Texas 3 Shelter in place 62 For-profit Yes 4 

Texas 4 Evacuate 105 Nonprofit No 5 

Source: We obtained information about facility size, ownership, chain status, and location from the CMS 

Nursing Home Compare Web site. Accessed at http://Medicare.gov, March–June 2010.

*CMS rating for this new facility was not available at the time that we selected the nursing homes.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 27

Interview Respondents. As part of data collection, we interviewed nursing 

home staff from all 24 selected nursing homes; their associated local 

emergency entities; local, regional, and State long-term care (LTC) 

ombudsmen; and SAs. Table A-3 lists the number of interview 

respondents affiliated with each type of entity.

Table A-3: Number of Interview Respondents Affiliated With Each Type of Entity

Respondent Affiliation

State

CA LA MN NC ND TN TX Total

Local or Regional Entity

Nursing home 23 10 6 27 7 28 11 112

Area agency on aging 0 1 0 1 0 0 0 2 

City emergency management 0 0 0 0 1 0 5 6 

County emergency management 2 2 1 1 1 2 4 13

County public health department 3 0 3 5 4 1 0 16

Fire department 0 9 2 3 0 13 0 27

Local/regional LTC ombudsman 

program

6 4 3 6 1 3 3 26

Police department 0 1 0 1 0 0 0 2 

Other* 1 0 1 3 1 4 0 10

State Entity

State LTC ombudsman program 1 1 1 3 1 1 1 9 

State department of health 4 2 2 1 1 1 0 11

State survey agency 2 2 3 1 3 2 5 18

State emergency management agency 0 0 0 1 0 0 0 1 

Other* 0 1 0 0 0 0 0 1 

 Total 42 33 22 53 20 55 29 254

Source: OIG analysis of interviews with respondents in the communities and States where selected nursing homes are located, 

2010.

* Other includes contractors, county commissioners, attorneys, and hospital representatives.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 28

APPENDIX B

Nursing Home Deficiencies in Emergency Planning and Training

Table B-1: Nursing Homes Cited by State Survey Agencies for Deficiencies in Emergency 

Planning and Training by Type of Deficiency: National and State, 2009–2010

National or State

Total Number of 

Nursing Homes 

Surveyed

Total Emergency

Planning Deficiencies

(Tags F517 and K48)

Total Emergency

Training Deficiencies

(Tags F518 and K50)

 n Percentage n Percentage

National 16,001 1,214 7.6 4,466 27.9

State 

Alabama 231 23 10.0 57 24.7

Alaska 15 2 13.3 4 26.7

Arizona 139 7 5.0 39 28.1

Arkansas 248 2 0.8 25 10.1

California 1,251 293 23.4 586 46.8

Colorado 215 39 18.1 87 40.5

Connecticut 239 6 2.5 45 18.8

Delaware 48 0 0.0 16 33.3

District of Columbia 19 5 26.3 3 15.8

Florida 681 34 5.0 81 11.9

Georgia 360 7 1.9 27 7.5

Guam 1 1 100.0 0 0.0

Hawaii 48 1 2.1 8 16.7

Idaho 80 1 1.3 24 30.0

Illinois 800 125 15.6 385 48.1

Indiana 516 38 7.4 193 37.4

Iowa 456 12 2.6 224 49.1

Kansas 348 2 0.6 163 46.8

Kentucky 287 12 4.2 28 9.8

Louisiana 287 12 4.2 23 8.0

Maine 109 3 2.8 17 15.6

Maryland 232 11 4.7 19 8.2

Massachusetts 433 11 2.5 102 23.6

Michigan 431 86 20.0 164 38.1

Minnesota 387 2 0.5 136 35.1

Mississippi 206 1 0.5 22 10.7

Missouri 525 29 5.5 241 45.9

Montana 87 3 3.4 30 34.5

continued on next page
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 29

Table B-1: Nursing Homes Cited by State Survey Agencies for Deficiencies in 

Emergency Planning and Training by Type of Deficiency: National and State, 2009–2010 

(Continued)

National or State

Total Number of 

Nursing Homes 

Surveyed

Total Emergency

Planning Deficiencies 

(Tags F517 and K48)

Total Emergency

Training Deficiencies 

(Tags F518 and K50)

 n Percentage n Percentage

National 16,001 1,214 7.6 4,466 27.9

State 

Nebraska 232 8 3.4 79 34.1

Nevada 51 2 3.9 19 37.3

New Hampshire 80 3 3.8 28 35.0

New Jersey 362 8 2.2 48 13.3

New Mexico 74 1 1.4 26 35.1

New York 640 20 3.1 125 19.5

North Carolina 429 2 0.5 54 12.6

North Dakota 87 0 0.0 5 5.7

Ohio 972 122 12.6 411 42.3

Oklahoma 336 2 0.6 67 19.9

Oregon 138 82 59.4 60 43.5

Pennsylvania 718 19 2.6 110 15.3

Puerto Rico 7 0 0.0 6 85.7

Rhode Island 86 0 0.0 6 7.0

South Carolina 186 3 1.6 9 4.8

South Dakota 110 0 0.0 32 29.1

Tennessee 330 7 2.1 79 23.9

Texas 1,252 73 5.8 282 22.5

Utah 101 0 0.0 30 29.7

Vermont 40 0 0.0 3 7.5

Virgin Islands 1 0 0.0 1 100.0

Virginia 291 9 3.1 24 8.2

Washington 235 20 8.5 74 31.5

West Virginia 127 0 0.0 10 7.9

Wisconsin 398 63 15.8 107 26.9

Wyoming 39 2 5.1 22 56.4

Source: Office of Inspector General analysis of the Centers for Medicare & Medicaid Services Online Survey, Certification, and 

Reporting data for 2009–2010.
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 30

APPENDIX C 

Centers for Medicare & Medicaid Services-Recommended Checklist Tasks

Table C-1: Centers for Medicare & Medicaid Services-Recommended Checklist Tasks Included in 24 

Selected Nursing Homes’ Emergency Plans

Tasks (n=70) 

Nursing Home Plans 

With Tasks (n=24)*

M PM NM

1. Develop Emergency Plan: Gather all available information when developing the emergency plan. 

This information includes, but is not limited to:

1a. Copies of any state and local emergency planning regulations or requirements. 4 1 19

1b. Facility personnel names and contact information. 11 12 1 

1c. Contact information of local and state emergency managers. 1 17 6 

1d. A facility organization chart. 15 0 9 

1e. Building construction and Life Safety systems information. 6 16 2 

1f. Specific information about the characteristics and needs of individuals for whom care is provided. 9 0 15

2. All-Hazards Continuity of Operations (COOP) Plan: Develop a continuity of operations business plan 

using an all-hazards approach (e.g., hurricanes, floods, tornadoes, fire, bioterrorism, pandemic, etc.) 

that could potentially affect the facility directly and indirectly within the particular area of location. 

Indirect hazards could affect the community but the not the facility and as a result interrupt necessary 

utilities, supplies or staffing. Determine all essential functions and critical personnel. 

1 23 0 

3. Collaborate with Local Emergency Management Agency: Collaborate with local emergency 

management agencies to ensure the development of an effective emergency plan. 8 0 16

4. Analyze Each Hazard: Analyze the specific vulnerabilities of the facility and determine the 

following actions for each identified hazard.

4a. Specific actions to be taken for the hazard. 22 0 2 

4b. Identified key staff responsible for executing plan. 24 0 0 

4c. Staffing requirements and defined staff responsibilities. 4 20 0 

4d. Identification and maintenance of sufficient supplies and equipment to sustain operations and 

deliver care and services for 3-10 days, based on each facility’s assessment of its hazard 

vulnerabilities. 

2 17 5 

4e. Communication procedures to receive emergency warning/alerts, and for communication with 

staff, families, individuals receiving care, before, during and after the emergency. 4 19 1 

4f. Designate critical staff, providing for other staff and volunteer coverage and meeting staff needs, 

including transportation and sheltering critical staff members’ family. 1 13 10

5. Collaborate with Suppliers/Providers: Collaborate with suppliers and/or providers who have been 

identified as part of a community emergency plan or agreement with the health care facility to receive 

and care for individuals. A surge capability assessment should be included in the development of the 

emergency plan. Similarly, evidence of a surge capacity assessment should be included if the supplier 

or provider, as part of its emergency planning, anticipates the need to make housing and sustenance 

provisions for the staff or the family of staff.

0 15 9 

6. Decision Criteria for Executing Plan: Include factors to consider when deciding to evacuate or shelter 

in place. Determine who at the facility level will be in authority to make the decision to execute the plan 

to evacuate or shelter in place (even if no outside evacuation order is given) and what will be the chain 

of command. 

3 20 1 

7. Communication Infrastructure Contingency: Establish contingencies for the facility communication 

infrastructure in the event of telephone failures (e.g., walkie-talkies, ham radios, text messaging 

systems, etc.)

17 0 7 

*We coded plans as a match (M) if they included all parts of a task, a partial match (PM) if they included at least one part of a task (e.g., listing the 

person responsible for carrying out a task, but not describing how the task would be performed), and a nonmatch (NM) if they lacked all parts of a task. 

The highest number in each category is in bold font.

continued on next page
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 31

Table C-1: Centers for Medicare & Medicaid Services-Recommended Checklist Tasks Included in 24 

Selected Nursing Homes’ Emergency Plans (Continued)

Tasks (n=70)

Nursing Home Plans 

With Tasks (n=24)

M PM NM

8. Develop Shelter in Place Plan: Due to the risks in transporting vulnerable patients and residents,

evacuation should only be undertaken if sheltering-in-place results in greater risk. Develop an effective 

plan for sheltering-in-place, by ensuring provisions for the following are specified:

8a. Procedures to assess whether the facility is strong enough to withstand strong winds, floods, 

etc. 0 4 2 

8b. Measures to secure the building against damage (plywood for windows, sandbags and plastic 

for flooding), safest areas of the facility are identified. 

2 0 4 

8c. Procedures for collaborating with local emergency management agency, fire, police and EMS 

agencies regarding the decision to shelter-in-place. 7 0 1

8d. Sufficient resources are in supply for sheltering-in-place for at least 7 days, including:

8d1. Ensuring emergency power, including back-up generators and accounts for maintaining a 

supply of fuel. 0 15 9 

8d2. An adequate supply of potable water (recommended amounts vary by population and 

location). 0 11 13

8d3. A description of the amounts and types of food in supply. 7 7 10

8d4. Maintaining extra pharmacy stocks of common medications. 5 0 19

8d5. Maintaining extra medical supplies and equipment (e.g., oxygen, linens, vital equipment). 2 4 18

8e. Identifying and assigning staff who are responsible for each task. 19 4 1 

8f. Description of hosting procedures, with details ensuring 24-hour operations for minimum of 7 

days. 0 6 18

8g. Contract established with multiple vendors for supplies and transportation. 13 5 6 

8h. Develop a plan for addressing emergency financial needs and providing security. 2 8 14

9. Develop Evacuation Plan: Develop an effective plan for evacuation, by ensuring provisions for 

the following are specified:

9a. Identification of person responsible for implementing the facility evacuation plan (even if no 

outside evacuation order is given). 22 0 2 

9b. Multiple pre-determined evacuation locations (contract or agreement) with a “like” facility have 

been established, with suitable space, utilities, security and sanitary facilities for individuals 

receiving care, staff and others using the location. A back-up may be necessary if the first one is 

unable to accept evacuees.

15 4 5 

9c. At least one pre-determined evacuation location is 50 miles away. 12 0 12

9d. Evacuation routes and alternative routes have been identified, and the proper authorities have 

been notified. Maps are available and specified travel time has been established. 0 21 3 

9e. Adequate food supply and logistical support for transporting food is described. 0 9 15

9f. The amount of water to be transported and logistical support is described. 0 6 18

9g. The logistics to transport medications is described, including ensuring their protection under the 

control of a registered nurse. 2 17 5 

9h. Procedures for protecting and transporting resident/patient medical records. 2 19 3 

9i. The list of items to accompany residents/patients is described. 8 0 16

9j. Identify how persons receiving care, their families, staff and others will be notified of the 

evacuation and communication methods that will be used during and after the evacuation. 4 18 2 

continued on next page
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 32

Table C-1: Centers for Medicare & Medicaid Services-Recommended Checklist Tasks Included in 24 

Selected Nursing Homes’ Emergency Plans (Continued)

Tasks (n=70)

Nursing Home Plans 

With Tasks (n=24)

M PM NM

9. Develop Evacuation Plan (Continued): Develop an effective plan for evacuation, by ensuring provisions 

for the following are specified:

9k. Identify staff responsibilities and how individuals will be cared for during evacuation, and the 

back-up plan if there isn’t sufficient staff. 1 17 6 

9l. Procedures are described to ensure residents/patients dependent on wheelchairs and/or 

assistive devices are transported so their equipment will be protected and their personal needs 

met during transit (e.g., incontinent supplies for long periods, transfer boards and other assistive 

devices).

3 5 16

9m. A description of how other critical supplies and equipment will be transported is included. 5 9 10

9n. Determine a method to account for all individuals during and after the evacuation. 14 3 7 

9o. Procedures are described to ensure that staff accompany evacuating residents. 12 1 11

9p. Procedures are described if a patient/resident becomes ill or dies in route. 1 2 21

9q. Mental health and grief counselors are available at reception points to talk with and counsel 

evacuees. 1 2 21

9r. It is described whether staff family can shelter at the facility and evacuate. 5 5 14

10. Transportation & Other Vendors: Establish transportation arrangements that are adequate for the type 

of individuals being served. Obtain assurances from transportation vendors and other 

suppliers/contractors identified in the facility emergency plan that they have the ability to fulfill their 

commitments in case of disaster affecting an entire area (e.g., their staff, vehicles and other vital 

equipment are not “overbooked,” and vehicles/equipment are kept in good operating condition and with 

ample fuel.). Ensure the right type of transportation has been obtained (e.g., ambulances, buses, 

helicopters, etc). 

17 1 6 

11. Train Transportation Vendors/Volunteers: Ensure that the vendors or volunteers who will help 

transport residents and those who receive them at shelters and other facilities are trained on the needs of 

the chronic, cognitively impaired and frail population and are knowledgeable on the methods to help 

minimize transfer trauma.

0 0 24

12. Facility Reentry Plan: Describe who will authorize reentry to the facility after an evacuation, the 

procedures for inspecting the facility, and how it will be determined when it is safe to return to the facility 

after an evacuation. The plan should also describe the appropriate considerations for return travel back 

to the facility.

8 2 14

13. Residents & Family Members: Determine how residents and their families/guardians will be informed of 

the evacuation, helped to pack, have their possessions protected and be kept informed during and 

following the emergency, including information on where they will be/go, for how long and how they can 

contact each other.

1 18 5 

14. Resident Identification: 

14a. Determine how residents will be identified in an evacuation; and ensure the following 

identifying information will be transferred with each resident*

14a1. Name. 13 4 7 

14a2. Social Security Number. 4 4 16

14a3. Photograph. 6 3 15

14a4. Medicaid or other health insurer number. 5 4 15

14a5. Date of birth, diagnosis. 7 4 13

14a6. Current drug/prescription and diet regimens. 9 14 11

14a7. Name and contact information for next of kin/responsible person/Power of Attorney. 5 4 15

*OIG analysis found that 17 of the 24 selected nursing homes’ emergency plans contained the first element of this task, “Determine how residents will

be identified in an evacuation.”

continued on next page
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 33

Table C-1: Centers for Medicare & Medicaid Services-Recommended Checklist Tasks Included in 24 

Selected Nursing Homes’ Emergency Plans (Continued)

Tasks (n=70)

Nursing Home Plans 

With Tasks (n=24)

M PM NM

14. Resident Identification (Continued): 

14b. Determine how this information will be secured (e.g., laminated documents, water proof 

pouch around resident’s neck, water proof wrist tag etc) and how medical records and 

medications will be transported so they can be matched with the resident to whom they 

belong.

2 3 19

15. Trained Facility Staff Members: Ensure that each facility staff member on each shift is trained to be 

knowledgeable and follow all details of the plan. Training also needs to address psychological and 

emotional aspects on caregivers, families, residents, and the community at large. Hold periodic reviews 

and appropriate drills and other demonstrations with sufficient frequency to ensure new members are 

fully trained.

0 17 7 

16. Informed Residents & Patients: Ensure residents, patients and family members are aware of 

and knowledgeable about the facility plan, including:

16a. Families know how and when they will be notified about evacuation plans, how they can be 

helpful in an emergency (example, should they come to the facility to assist?) and 

how/where they can plan to meet their loved ones.

2 1 21

16b. Out-of-town family members are given a number they can call for information. Residents 

who are able to participate in their own evacuation are aware of their roles and 

responsibilities in the event of a disaster.

1 0 23

17. Needed Provisions: [Processes for determining] if provisions need to be delivered to the facility 

residents – power, flashlights, food, water, ice, oxygen, medications – and if urgent action is needed to 

obtain the necessary resources and assistance.

1 5 18

18. Location of Evacuated Residents: [Processes for determining] the location of evacuated residents, 

document and report this information to the clearing house established by the state or partnering 

agency.

2 4 18

19. Helping Residents in the Relocation: [Training for staff] Suggested principles of care for the 

relocated residents include: Encourage the resident to talk about expectations, anger, and/or 

disappointment; Work to develop a level of trust; Present an optimistic, favorable attitude about the 

relocation; Anticipate that anxiety will occur; Do not argue with the resident; Do not give orders; Do not 

take resident’s behavior personally; Use praise liberally; Include the resident in assessing problems; 

Encourage staff to introduce themselves to residents; Encourage family participation.

0 2 22

20. Review Emergency Plan: Complete an internal review of the emergency plan on an annual basis to 

ensure the plan reflects the most accurate and up-to-date information. Updates may be warranted 

under the following conditions: regulatory change; new hazards are identified or existing hazards 

change; after tests, drills, or exercises when problems have been identified; after actual 

disasters/emergency responses; infrastructure changes; funding or budget-level changes.

11 0 13

21. Communication with the Long-Term Care Ombudsman Program: Prior to any disaster, discuss the 

facility’s emergency plan with a representative of the ombudsman program serving the area where the 

facility is located and provide a copy of the plan to the ombudsman program. When responding to an 

emergency, notify the local ombudsman program of how, when and where residents will be sheltered so 

the program can assign representatives to visit them and provide assistance to them and their families.

1 1 22

22. Conduct Exercises & Drills: Conduct exercises that are designed to test individual essential 

elements, interrelated elements, or the entire plan:

22a. Exercises or drills must be conducted at least semi-annually. 7 0 17

22b. Corrective actions should be taken on any deficiency identified. 8 0 16

23. Loss of Resident’s Personal Effects: Establish a process for the emergency management agency 

representative (FEMA or other agency) to visit the facility to which residents have been evacuated, so 

residents can report loss of personal effects.

0 0 24

Source: Office of Inspector General analysis of 24 selected nursing homes’ emergency plans’ inclusion of CMS-recommended emergency 

preparedness planning tasks in 2010, using CMS, “Survey & Certification: Emergency Preparedness Checklist Recommended Tool for Effective 

Health Care Facility Planning.” Accessed at http://www.cms.gov on February 5, 2010.
APPENDIX D 

Agency Comments: Centers for Medicare & Medicaid Services 

J"a. ..K:t:t .( (-l Cen.... lor r..4edIcM. & Meo.:ald SeMen DEPARTMENT OF HEALTH. HUMAN SERVICES 0t!Ice 01 S""~ _ 

_ ~A"''' 

200 It\depend"""l> ""_lIVe SW 

WashlnglM. DC 2020' 

DATE: JAN 0 5 201l 

TO: 	 Daniel R. Levinson 


Inspector Oeneral 


FROM: - M~ TlNenner 


ActinA Adm~istralor 

SUBJECT: 	 Office of Inspector Gcnerd.l (010) Draft Report: "Oaps Continue To Exist In 

Nursing Horne Emergency Preparedness and Response During Disasters: 2007

2010 (OEI-06-09·00270)" 

Thank you for the: opportunity to review and comment on the subject 010 dralt report. OIG's 

study focused on determining compliance with Federal regulations and compan.'d emergency 

plans tOT selected nursing homes against the Centers for Medicare &. Medicaid Services (eMS) 

checklist for health care facilities. Inforrnaiion was also collected about the roles ofStale longterm care (LTC) ombudsman programs and State Agencies (SAs) in assisting musing homes 

during these disasters. During this study, OIU's findings were: 

• 	 In 2009-2010, 92 percent of nursing homes met Federal regulations for emergency pllL'ls 

and n percent for emergency tmining, slightly less than 5 years earlier. 

• 	 On average, selecll.'t:j nursing bomes' emergency plans included about half of the CMSrecommended checklist tasks, and none included all. 

• 	 Administrators from 17 of the 24 selected n.ursing homes reported subsiantial challenges 

in responding to disasters. 

• 	 LTC ombudsmen ""'ere often unable to foous on nursing horne residents during, disasters. 

• 	 State Agencies completed tasks related to nursing home compliance and addressed ad hoc 

facility needs. 

In its report. 0[0 made four recommendations to the Secretary of Heatth and HUman Services 

Md the Administrator of CMS. In making these recommendations. OIG took into consideration 

there are no requirements for use ofeMS Emergency Preparedness chf.!Cklists as well as the 

continued need to respond to disasters to protect resident health. safety. welfare. and rights 

during Md after disasters. Our response to these ....'Cornmendations is slated below. 

OIG Recommendation 

e MS revise Federal regulations by identifying and including in its regulations requirements for 

specific elcment~ of emergency plans and training. 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 34 

­
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 35

Centers for Medicare & Medicaid Services (continued)
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 36

Centers for Medicare & Medicaid Services (continued)
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 37

Agency Comments: Administration on Aging 
 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 38

Administration on Aging (continued)
Pa~ 3 

AoA Response 

Om-06-09-00270 

In its support orStlites' emergency prcpllfcdl1C$' activities, AoA provides. runo.ng other things: 

• 	 An enlC1llcocy preplltedness webpage on the AoA websile: 


lm :llwww . v, AoARoot/Pg;parednessli . and 


• 	 Emergeocy preparedness planning resources for state plan 00 aging development as part 

of the AnA-supported T Ase Planning Zone ofthe Jl.atiunal Association of States United 

for Aging and Disabilities (NASUAlJ) ~ 

httnJtwy.. ",lli!$Uild,9n:/tllSc/cmmC!wy llIJoomIom ('S5IlU1CC'§,htm I. 

The Administration on Aging would Itgain like ro thank the OlG -jor their work in conducting thb 

review. If we Clltl be of further wisumce. please let me know. 

yG~ 

Administration on Aging (continued) 

OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 39 
OEI-06-09-00270 Gaps Continue To Exist in Nursing Home Preparedness 40

ACKNOWLEDGMENTS

This report was prepared under the direction of Kevin K. Golladay, 

Regional Inspector General for Evaluation and Inspections in the Dallas 

regional office; A. Blaine Collins, Deputy Regional Inspector General;

and Ruth Ann Dorrill, Deputy Regional Inspector General. 

Deborah Cosimo served as the project leader, and Petra Johansson was the 

lead analyst. Other principal Office of Evaluation and Inspections staff 

from the Dallas regional office who contributed to the report include Leah 

Bostick, Nathan Dong, Ben Gaddis, Anthony Guerrero-Soto, and Chet 

Yean; central office staff who contributed include Jennifer Jones, Kevin 

Farber, and Sandy Khoury.
Office of Inspector General

http://oig.hhs.gov

The mission of the Office of Inspector General (OIG), as mandated by Public Law 95-452, as amended, is 

to protect the integrity of the Department of Health and Human Services (HHS) programs, as well as the

health and welfare of beneficiaries served by those programs. This statutory mission is carried out through 

a nationwide network of audits, investigations, and inspections conducted by the following operating 

components:

Office of Audit Services

The Office of Audit Services (OAS) provides auditing services for HHS, either by conducting audits with 

its own audit resources or by overseeing audit work done by others. Audits examine the performance of 

HHS programs and/or its grantees and contractors in carrying out their respective responsibilities and are 

intended to provide independent assessments of HHS programs and operations. These assessments help 

reduce waste, abuse, and mismanagement and promote economy and efficiency throughout HHS.

Office of Evaluation and Inspections

The Office of Evaluation and Inspections (OEI) conducts national evaluations to provide HHS, Congress, 

and the public with timely, useful, and reliable information on significant issues. These evaluations focus 

on preventing fraud, waste, or abuse and promoting economy, efficiency, and effectiveness of 

departmental programs. To promote impact, OEI reports also present practical recommendations for 

improving program operations. 

Office of Investigations

The Office of Investigations (OI) conducts criminal, civil, and administrative investigations of fraud and 

misconduct related to HHS programs, operations, and beneficiaries. With investigators working in all 

50 States and the District of Columbia, OI utilizes its resources by actively coordinating with the 

Department of Justice and other Federal, State, and local law enforcement authorities. The investigative 

efforts of OI often lead to criminal convictions, administrative sanctions, and/or civil monetary penalties.

Office of Counsel to the Inspector General

The Office of Counsel to the Inspector General (OCIG) provides general legal services to OIG, rendering 

advice and opinions on HHS programs and operations and providing all legal support for OIG’s internal 

operations. OCIG represents OIG in all civil and administrative fraud and abuse cases involving HHS 

programs, including False Claims Act, program exclusion, and civil monetary penalty cases. In 

connection with these cases, OCIG also negotiates and monitors corporate integrity agreements. OCIG 

renders advisory opinions, issues compliance program guidance, publishes fraud alerts, and provides other 

guidance to the health care industry concerning the anti-kickback statute and other OIG enforcement 

authorities.