Failure to Report and Address Inappropriate Restraint Use
Summary
The facility failed to implement its abuse policy and procedure when nursing staff did not identify and immediately report the use of a physical restraint on a resident. The resident, who had Alzheimer's disease, dementia, and multiple sclerosis, was found with socks placed on her hands, secured by rubber bands wrapped around each wrist, effectively forming tourniquets. This restraint was not medically necessary, and there was no assessment for its need. The incident was observed by multiple staff members over several days, but none reported it to the Administrator or Director of Nursing Services as required by the facility's policy. The resident's condition deteriorated due to the restraint, with her right hand becoming edematous and bright red, and several blisters forming on the top and palm of the hand. The rubber bands had to be cut to remove the socks, and a wound nurse practitioner evaluated the resident, noting a large fluid-filled blister on the palm of her right hand. Despite the visible signs of injury and the facility's policy against restraints, staff members, including nurse aides and nurses, failed to question or report the use of the socks and rubber bands, assuming it was a standard intervention to prevent the resident from playing with her feces. Interviews with staff revealed a lack of communication and understanding of the facility's abuse and restraint policies. Several staff members admitted to seeing the socks and rubber bands on the resident's hands but did not report it, either because they assumed it was an approved intervention or because they were following the lead of more experienced staff. This failure to report and address the inappropriate use of restraints resulted in significant harm to the resident, highlighting a breakdown in the facility's procedures for preventing abuse and neglect.
Removal Plan
- Resident #1 was observed with a sock on both hands and rubber bindings had been placed around each wrist to hold the socks in place. This intervention caused swelling, redness, and a blister on resident #1's right hand and redness and swelling on the left hand. The facility failed to comply with the abuse policy when staff members were aware of the socks and/or rubber bindings and failed to report this form of restraint to facility administration. Because of the failure to report, the facility did not protect a resident with severe cognitive impairment from abuse through unnecessary restraints.
- Staff members who admitted to knowledge of the socks and/or rubber bindings being on resident #1's hands and failing to report, were suspended pending investigation by the Director of Nursing (DON). Staff interviews attest that staff members began seeing the socks and/or rubber binding.
- 1:1 education was provided verbally by DON to staff who reported knowledge of socks and/or rubber binding on resident #1's hands regarding abuse policy, restraint policy and the requirement to report suspected or actual abuse to the administrator or DON.
- Immediately following identification of concerns, DON initiated investigation. Investigation is ongoing by Administrator, DON, and Assistant Director of Nursing (ADON) and Unit Managers.
- All perpetrators who were aware of the use of socks and/or bindings on resident #1's hands, failed to report, and failed to remove the coverings and/or bindings are being terminated.
- In an ad hoc Quality Assurance Process Improvement (QAPI) meeting, the abuse and reporting policy was reviewed by the administrator to ensure no changes were needed. In attendance at this meeting were the DON, ADON, and Unit Managers. It was determined that no changes were needed.
- The DON completed interviews with all residents having a Brief Interview for Mental Status (BIMS) of 10 or greater to ensure that they had not experienced any abuse that had not been reported. There were no new findings. Hard copies of these interviews reside in the facility.
- The DON completed skin assessment with all residents having a BIMS of 9 or less to ensure there was no visual indication of abuse that had not been reported. There were no new findings. Hard copies of these interviews reside in the facility.
- DON and Administrator completed interviews with all staff working over the last 5 days. These staff members were interviewed to determine if they were aware of any other incidents of using interventions that restrict movement or abuse that had not been reported. There were no new findings. Hard copies of these interviews reside in the facility.
- The Administrator reviewed all grievances and facility reported incidents for the last 30 days to ensure that there were no examples of a failure to report incidents as required by facility abuse and reporting policy. There were no new findings.
- The DON/Designee conducted all staff education in person and/or by telephone on the facility abuse and restraint-free policy to include a zero-tolerance for any type of resident abuse or failure to report an incident or suspected incident of abuse. Education also included that all residents have the right to be free from harm, including unnecessary or excessive physical restraint, including applying socks and bindings to hands to hinder manifestations of behaviors or for resident safety. Education focused not only on the requirement to report any unusual devices that could restrict movement, but to have open communication with the Administrator, DON, ADON, and Unit Managers about the resident population, asking questions or inquiring about any treatment or intervention that is new, uncommon, or suspected as possible abuse or a restraint. Newly hired or contracted staff will be educated prior to accepting an assignment and caring for residents. No staff will provide resident care without completing education. DON and ADON will be responsible for tracking education for all staff including new hires and contract staff. The administrator notified DON and ADON of these responsibilities.
- DON or designee educated all staff in person and/or by telephone to proper notification and appropriate intervention for unsafe or other unusual behaviors. Newly hired or contracted staff will be educated prior to accepting an assignment and caring for residents. No staff will provide resident care without completing education. DON and ADON will be responsible for tracking education for all staff including new hires and contract staff. The administrator notified DON and ADON of these responsibilities.
- During an ad hoc QAPI meeting, a root cause analysis was completed, and the root cause was identified as the need for additional staff education on the requirement to report unusual behavior or concerns about any intervention that restricts movement when visualized, as well as the requirement to report any incident or suspected incident of abuse immediately to the Administrator or DON. The decision was made to complete the following audits to maintain compliance with the plan of correction: DON/designee will interview 5 staff members weekly (on alternating shifts) for 8 weeks to identify any concerns for use of restraints, improper behavior management techniques, or abuse to ensure that reporting has occurred if present.
- DON/designee will review the 24-hour report (that includes Sbars) 5 x weekly for 8 weeks to identify any concerns for use of restraints, improper behavior management techniques, or abuse to ensure that reporting has occurred if present.
- DON/designee will make a walking round 5 x weekly for 8 weeks to identify any concerns for use of restraints, improper behavior management techniques, or abuse to ensure that reporting has occurred if present.
- The facility administrator will review findings of audits to identify patterns or trends and will present audits to QAPI for 2 months, adjusting the plan as needed to maintain compliance.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A resident with moderately impaired cognition and limited English proficiency sustained bilateral wrist discoloration and swelling during ADL care provided by a CNA while resisting care. Staff documentation and witness statements described the resident bumping or hitting her wrists on a wheelchair during transfer, but the CNA later stated he did not know how the injury occurred. The resident’s family reported that the resident said a large male staff member grabbed and held her hands while trying to force a nightgown change, and also reported a second, similar wrist injury incident to facility staff and APS. Despite a written abuse policy requiring immediate investigation, interviews of the alleged victim, alleged perpetrator, and witnesses, and protective measures, the facility did not report the incident as abuse or injury of unknown origin, did not interview the resident or other residents, and limited its inquiry to two staff members, resulting in a cited Immediate Jeopardy deficiency for failure to prevent and investigate potential abuse.
The facility failed to follow its abuse, neglect, and exploitation policy by not ensuring that a CNA completed required annual abuse-prevention and related trainings. Although the CNA reported being current on all yearly training, a review of her transcript showed that assigned courses on cultural competence, abuse/neglect/exploitation, and abuse/neglect/exploitation with HIPAA content were overdue past their required completion date. The administrator confirmed that these were mandatory annual trainings. Review of the written policy showed that existing staff must receive annual education on preventing, identifying, recognizing, and reporting abuse, neglect, exploitation, and misappropriation of resident property, as well as on resident behaviors that may increase risk, but this requirement was not met for this CNA.
The facility failed to follow its abuse reporting policy when an allegation that a resident had been roughly handled by a third-shift CNA was not immediately reported to the Administrator/Abuse Coordinator. One resident told his roommate he had been treated roughly and mishandled with a urinal; the upset roommate then reported this to a CNA, who in turn informed an LPN. The CNA and LPN acknowledged awareness of a complaint involving third-shift staff but did not directly notify the Administrator, and Social Services was only told that the resident had a complaint, without mention of abuse. Social Services made unsuccessful attempts to speak with the resident and did not learn the concern involved abuse until the resident’s son later stated it was "elder abuse." The Administrator reported first learning of the allegation hours after staff initially became aware, and the resident stated no one from the facility had come to talk with him about what occurred.
The facility failed to follow its abuse prevention policy when a cognitively intact, independent resident alleged that a CNA struck her with a garbage bag after a dispute over dishes left in a shared bathroom, an event that was witnessed by another cognitively intact, independent resident with psychiatric diagnoses. The Administrator did not initially consider the event to meet the definition of abuse, did not promptly report it to the state agency, did not initiate a timely internal investigation, and allowed the CNA to continue working, despite a written policy requiring prompt reporting, investigation, and protection of residents during abuse investigations.
The facility failed to follow its abuse and electronic monitoring policies by not properly identifying, documenting, or investigating multiple allegations of abuse, neglect, and misappropriation involving a resident with dementia and chronic respiratory failure. Over several weeks, the resident’s daughter reported that an LPN intimidated the resident, administered Tramadol doses too close together, failed to provide ordered medications, ignored incontinence care requests, and publicly disparaged the resident, while a CNA and another aide allegedly yelled at the resident, disrespected her belongings, and spoke to her in a demeaning manner. The daughter also reported missing personal items, including socks, a camera, and an SD card that she said contained video of staff screaming at the resident. Despite these detailed complaints, facility leadership denied knowledge of the allegations, the concern log contained no entries for the resident, and the only self-reported incident was a vague mistreatment report that lacked specific interviews with the daughter, relied on a generic questionnaire for the resident, and did not include any documented attempt to obtain or review camera footage.
Facility staff did not complete required Criminal Background Checks (CBCs) for three CNAs before they began working with residents, despite policies requiring background and criminal conviction checks for all direct-access employees. Review of personnel files showed no documentation that CBCs were requested or obtained for these CNAs. The administrator reported relying on verification through the Family Care Safety Registry (FCSR) and, when not registered, on requests to an external association for background checks, and acknowledged not requesting CBCs from the state highway patrol since assuming responsibility for this process.
Failure to Implement Abuse Policy and Investigate Resident Wrist Injuries
Penalty
Summary
The deficiency involves the facility’s failure to implement its abuse policy and to ensure a resident’s safety following an injury sustained during ADL care by a CNA, and the failure to investigate to rule out abuse. The resident, identified as R94, was admitted with diagnoses including altered mental status and had a BIMS score of 11/15, indicating moderately impaired cognition. Her preferred language was Korean. Her care plan, initiated months before the incident, addressed discoloration but was not updated after she sustained injuries to her wrist on 03/20/25. The facility did not report the incident to the state survey agency, and the CEO confirmed there was no investigation for the 03/20/25 incident, only a grievance form. On 03/20/25, an incident report documented that CNA2 informed RN1 that the resident developed discoloration and swelling of both wrists during ADL care when changing clothes, while the resident was resisting care. The report stated that the resident bumped her wrists against the wheelchair during transfer, and that CNA2 was removed from the assignment and educated to stop providing care if a resident resists. Employee witness statements from RN1 and CNA2 described the resident resisting care and bumping or hitting her wrists on the wheelchair, with RN1 noting that the resident was unable to communicate coherent English when questioned. CNA3’s statement only indicated that she was asked to assist, found the resident agitated, and that the nurse assessed and notified others. A nurse’s note by RN1 documented bilateral wrist discoloration and swelling after an “accident” during clothes changing while the resident was resisting, and that ice was applied. In a later interview, CNA2 stated he attempted to transfer the resident from the wheelchair to bed after toileting, that she resisted by lifting her arms, and that he did not know how the injury occurred. He confirmed the injury was not present before he attempted the transfer and that he remained assigned to the resident for the rest of the shift. The resident’s family member reported that the resident, who did not speak English, told her that during the 03/20/25 incident she refused to be changed into a nightgown and staff grabbed her hand and tried to force her, describing the staff as a big Black man. The family member also reported a second, similar wrist injury incident with a big Black male staff member and stated she reported these to facility staff and APS. The Social Service Director acknowledged that she did not interview the resident or other residents or complete a trauma assessment regarding the 03/20/25 allegation, despite stating that such steps were part of the usual abuse investigation process. The Administrator, who was the DON at the time, stated that the incident was not reported as abuse or injury of unknown origin because CNA2 self-reported that the injury occurred during care and denied abuse, and that only CNA2 and RN1 were interviewed. This was inconsistent with the facility’s written abuse policy, which required immediate investigation, interviews of all involved persons including the alleged victim and witnesses, and measures to protect residents from harm during and after the investigation. The facility’s abuse, neglect, and exploitation policy required an immediate investigation when there was suspicion or reports of abuse, including identifying and interviewing the alleged victim, alleged perpetrator, witnesses, and others with knowledge, and ensuring residents were protected from physical and psychosocial harm during and after the investigation. Examples in the policy included responding immediately to protect the alleged victim, examining the alleged victim for signs of injury, and making room or staffing changes if necessary to protect residents from the alleged perpetrator. Despite this, the Social Service Director did not conduct resident or collateral interviews or trauma assessments, and the Administrator confirmed that the facility limited its inquiry to CNA2 and RN1 and did not treat the event as an injury of unknown origin or an abuse allegation. The failure to follow these procedures and to ensure the resident’s protection and a thorough investigation led to the cited deficiency under 42 CFR §483.12 Freedom from Abuse, Neglect, and Exploitation, with Immediate Jeopardy identified at a scope and severity level J.
Failure to Ensure Completion of Required Annual Abuse-Prevention Training
Penalty
Summary
The deficiency involves the facility’s failure to implement its abuse, neglect, and exploitation policy by not ensuring that one CNA received required annual abuse-related training. During an interview, CNA #3 stated that she was current on all required yearly training. However, a review of her annual training transcript showed that multiple assigned trainings, including "Cultural Competence Inservice," "Abuse, Neglect, and Exploitation," and "Abuse, Neglect, and Exploitation HIPAA for Long-Term Care Employees," were overdue. These trainings had been assigned on February 2, 2026, with a completion due date of February 28, 2026, but remained incomplete as of the survey date. The administrator confirmed that the records reviewed were the yearly training records and stated that employees were required to complete these courses annually and by the due date. A review of the facility’s written policy titled "Abuse, Neglect, and Exploitation" showed that new employees must be educated on abuse, neglect, exploitation, and misappropriation of resident property during orientation, and existing staff must receive annual education through planned in-services and as needed. The policy specified that training topics must include prohibiting and preventing all forms of abuse, neglect, exploitation, and misappropriation; identifying and recognizing signs and indicators of these issues; and understanding reporting processes and resident behavioral symptoms that may increase risk. In a meeting with the DON, administrator, and regional director of clinical services, the DON stated she was a new hire and that the training should have been completed, and no additional information was provided.
Failure to Immediately Report and Investigate Alleged Abuse
Penalty
Summary
The deficiency involves the facility’s failure to follow its Abuse Prohibition and Reporting policy by not immediately reporting an allegation of abuse involving one resident (R1) to the Abuse Coordinator/Administrator. The facility’s written policy requires any employee or agent who becomes aware of alleged abuse or neglect to immediately report the matter to the Administrator or designee, and specifies that staff must report whenever they hear the word "abuse" or suspect abuse. R1’s face sheet shows he was admitted with diagnoses including acute respiratory failure with hypoxia, peripheral vascular disease, generalized anxiety disorder, and benign prostatic hyperplasia. Despite this policy, multiple staff members became aware that R1 allegedly experienced rough handling by a third-shift CNA but did not promptly notify the Administrator as required. On the morning of 4/15/26, R2 reported to a CNA (V8) that he believed his roommate, R1, had been abused by a third-shift CNA, describing that there were two CNAs, one nice and one not, and that the rough CNA had been very rough with R1 and did something involving a urinal. V8 acknowledged that R2 appeared upset and that she understood this as a concern about possible abuse of R1 by third shift. V8 then reported the concern to an LPN (V6) and accompanied her to the residents’ room. V6 spoke briefly with R1, who stated he had a complaint about a third-shift CNA, and V6 told him she would get Social Services so he would not have to repeat himself. V8 stated she did not know who the Abuse Coordinator was and did not report the allegation to the Administrator. V6 stated she contacted Social Services (V5) only to report that R1 had a complaint, without specifying that it involved alleged abuse. Social Services (V5) reported being told only that R1 had a complaint and made two unsuccessful attempts to speak with him before R1’s son (V15) was brought to her office later that afternoon. V5 stated that the first time she became aware that the issue involved abuse was when V15 came in and stated, "This is Elder Abuse." V6 similarly stated she did not realize it was an abuse allegation until V15 used the term "elder abuse" when she took him to Social Services. The Administrator (V1), who is the Abuse Coordinator, reported that she did not become aware of the allegation until between 3:00 and 4:00 p.m. that day, despite the policy requiring immediate reporting to her when abuse is suspected. R1 stated that no one from the facility had come to talk to him about what occurred, although they had spoken with his son and his roommate. R1’s son also reported that he was not notified by the facility of the abuse allegation and instead learned of it from R1 and R2, and that when police later interviewed R1 and R2, R2 told the police he had reported the incident to the Administrator the morning it occurred. These interviews and record reviews demonstrate that the facility did not implement its abuse reporting procedures as written for this allegation involving R1.
Failure to Implement Abuse Reporting and Investigation Policy After Alleged Staff-to-Resident Abuse
Penalty
Summary
The facility failed to implement its abuse prevention program policy related to prohibiting and preventing abuse, investigating allegations, protecting residents during investigations, and reporting abuse. One cognitively intact resident (R4), who has diagnoses including depression, COPD, and GERD and is independent in daily activities, reported that after returning from dinner she was told by her roommate that a CNA (V26) had taken dishes she left on the shared bathroom sink. When R4 confronted the CNA, she stated the CNA hit her with a garbage bag. R4 reported that she called the police, who came to the facility, and that the next day the Administrator (V1) spoke with her but did not take action regarding the allegation. Another cognitively intact resident (R9), with diagnoses including bipolar disorder, schizophrenia, major depressive disorder, and anxiety disorder and who is also independent in activities of daily living, stated she witnessed the CNA hitting R4 with a garbage bag. Despite these allegations and the facility’s written Abuse Prevention Program policy, the Administrator/Abuse Coordinator (V1) acknowledged that he did not report the incident to the state agency at the time because he did not believe it met the facility’s definition of abuse. The incident was not reported to the Illinois Department of Public Health until months later, and no internal investigation was initiated at the time of the allegation. V1 further acknowledged that the CNA continued to work after the allegation. The DON (V2) and ADON (V3) later stated that the facility had overlooked the incident and that the abuse allegation should have been addressed in a timely manner. The facility’s policy, revised 01/2019, states that the facility will not tolerate incidents of abuse and that the policy defines how investigations of abuse allegations will be conducted and outlines the process of reporting, investigating, and reaching conclusions on allegations, which was not followed in this case.
Failure to Investigate and Respond to Repeated Abuse, Neglect, and Misappropriation Allegations
Penalty
Summary
The deficiency involves the facility’s failure to follow its own policies for promptly identifying, reporting, and investigating allegations of abuse, neglect, and misappropriation involving a resident. The resident, who had dementia, anxiety disorder, chronic respiratory failure, and was assessed as having mild or no cognitive impairment, had no documented abuse or misappropriation allegations in her progress notes for 2026 despite multiple concerns raised externally. The Ohio Department of Health (ODH) website showed only one self-reported incident (SRI) related to this resident within the prior six months, dated 03/09/26, for alleged neglect and mistreatment by an LPN and a CNA, even though numerous additional allegations had been communicated by the resident’s daughter. Record review of emails from the resident’s daughter to facility staff and ODH showed repeated allegations over several weeks, including that an LPN administered Tramadol doses too close together, displayed animosity, intimidated the resident, failed to provide ordered medications, falsely documented refusals, and ignored calls for incontinence care after turning off the call light. Additional emails alleged that a CNA disrespected the resident’s belongings and spoke to her in a demeaning manner, that an unidentified aide yelled at the resident, and that personal items such as cabin socks were stolen. The daughter also reported a missing camera and SD card to the ombudsman, and later alleged that the SD card containing footage of staff screaming at the resident had been stolen. Despite these detailed complaints, the Administrator, DON, ADON, and Regional Nurse all denied knowledge of the abuse, neglect, and misappropriation allegations contained in the emails. The facility’s handling of the one documented SRI did not follow its abuse policy requirements for a focused investigation. The SRI described staff speaking to the resident in a loud, abrasive manner and referenced mistreatment concerns but lacked specifics, did not include an interview or attempted interview with the daughter, and documented only a generic questionnaire-style interview with the resident in which pre-written answers were circled indicating she felt safe and had no concerns. There was no documented attempt to obtain footage from the monitoring camera that had been in the resident’s room until it was removed by the facility. A call log later produced by the facility showed several calls to and from the daughter but contained no record of the content or results of those calls. The resident concern log for the past year contained no entries regarding this resident, and the Administrator stated that the resident did not know what he was talking about during the SRI interview and that the daughter did not respond to his attempts to reach her, further underscoring the lack of documented, policy-compliant investigation and response to the reported allegations.
Failure to Complete Required Criminal Background Checks for Direct-Care Staff
Penalty
Summary
Facility staff failed to complete required Criminal Background Checks (CBCs) for three CNAs prior to their employment, contrary to Missouri DHSS requirements and the facility’s own policies. Record review showed that the Abuse, Neglect and Exploitation policy required screening potential employees for a history of abuse, neglect, exploitation, or misappropriation of resident property, with documentation maintained as proof of screening. The Background Screening Investigations policy further required that background and criminal conviction checks, including fingerprinting as required by state law, be initiated within two days of an employment offer and completed prior to employment for all applicants with direct access to residents. Review of personnel files revealed that CNA A, CNA B, and CNA C, each hired on different dates, had no documentation that a CBC was requested or received. During an interview, the administrator stated he/she was responsible for requesting CBCs on all potential staff prior to hire and explained that he/she typically verified whether applicants were registered with the Family Care Safety Registry (FCSR). If applicants were registered with the FCSR, the administrator did not request a CBC, and if they were not, he/she sent a request to the Missouri Association of Nursing Home Administrators (MANHA) for a background check. The administrator also stated that he/she had not requested a CBC from the Missouri State Highway Patrol (MSHP) since assuming responsibility for employee CBCs in April 2025.
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