Interviewing Key Personnel

2714 - Interviewing Key Personnel (Rev. 1, 05-21-04) At the institution, the surveyors will usually meet with the administrator (or director) or supervisors of various departments or services to outline the survey plan. (In many instances one person assumes these roles.) The surveyors obtain information from them and other staff. During the introductory meeting with the administrator, the surveyor alerts him/her that if the facility is planning to record the exit conference, a copy of the tape must be made available to the team at the conclusion of the conference. This can be accomplished by using two recorders. A surveyor is not to accept a promise that a copy will be mailed at a later date. The surveyor interviews the Administrator (or Director) first since he/she is the key person in the institution. There are elements related to each condition that the surveyor might need to discuss with the administrator. He/she will be able to direct the surveyor to other staff persons to interview relative to specific standards and other requirements. However, contacts are not limited solely to the key person. Even if the administrator feels that he/she can answer most of the questions, the facts must be verified through review of source documents and interviews. The SA investigation must be complete enough to document whether the standards are met and the provider is in compliance with the related condition(s) or in substantial compliance with the requirement for SNFs/NFs. While interviews with the Administrator or DON must necessarily be in depth, the survey must not disrupt the facility by protracted interviews of all the staff. A surveyor should use a few well-phrased questions to elicit the desired information. For example, to determine if a staff member is aware of disaster procedures and his/her role in such events, simply ask, “If you smelled smoke, what would you do?” The surveyor should direct questions to the appropriate personnel. For example, if administration of medications is restricted to certain staff, the surveyor questions the personnel charged with this responsibility.