Failure to Ensure Driver Competency for Resident Transport Vehicle
Summary
The deficiency involves the facility’s failure to ensure that staff members who drive the facility’s transport vehicle were assessed and documented as competent to do so. During interviews, one facility staff member stated he had transported residents in the facility vehicle when asked by leadership, and employee file review showed another staff member also used the transport vehicle to transport residents. The DON confirmed that the facility provides transportation for residents to and from appointments and for activity outings. The DSD reported that facility staff, including two identified staff and activities staff, use the facility van for these purposes but stated there was no process in place to verify that these staff were competent and safe to operate the transport vehicle. The AD, who had worked at the facility for 15 years, stated that transporting residents on outings is part of her job and described the facility van as accommodating nine residents, including wheelchair-bound residents, with a hydraulic lift and wheelchair securement straps. She reported she had not been required to demonstrate competency or safety in driving the van. A concurrent observation with the DON confirmed the presence of a hydraulic lift and capacity for nine residents, including those who must remain in wheelchairs. The DON acknowledged that the facility had not completed competencies for staff who drive the transport vehicle. This practice was inconsistent with the facility’s written Competency Evaluation policy, which requires that all staff who provide care, treatment, or services be competent to perform their duties, with competency defined as the demonstrated knowledge and skill necessary to perform a task or job safely, successfully, and efficiently.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A resident with paraplegia and a baclofen pump experienced multiple missed and delayed pre‑op and surgical appointments due to unreliable transportation coordination. The facility failed to schedule a ride and complete required blood work for one pre‑op visit, did not hold the resident’s Eliquis in time for another attempt, and a transportation company arrived with an inappropriate vehicle instead of a wheelchair van on a subsequent occasion. Progress notes and an APNP note documented that the pre‑procedure physical and baclofen pump replacement surgery were delayed multiple times because of transportation issues. Transportation staff, the RN, DON, and NHA acknowledged missed appointments and transportation problems, and the surveyor was not provided with staff education for the updated transportation process when requested.
A resident with mild cognitive impairment and malignant neoplasm of the mouth missed multiple outside oncology and infusion appointments because staff did not arrange transportation in accordance with the facility’s appointments and transportation policy. Records showed that the resident was transported only to a cardiology visit while scheduled oncology and infusion appointments on the same day, as well as a separate oncology appointment, were not attended. An oncology clinic NP reported that the resident missed several appointments with various providers and that the resident attributed these missed visits to lack of transportation, poor communication, and failure to document appointments for staff follow-up, while the DON acknowledged that staff are responsible for setting up such appointments.
A resident with a right humerus fracture, lumbar fractures, and other comorbidities had a physician-ordered orthopedic follow-up appointment requiring accompaniment by medically trained staff. On the morning of the appointment, the resident was observed dressed, with arm in a sling and appointment papers in hand, waiting in the doorway and later still in the room, reporting that no one came to take him to the visit and that the appointment was missed. Review of records and appointment paperwork confirmed the scheduled follow-up and staff accompaniment requirement, and an RN acknowledged the resident was not transported due to miscommunication with the physician’s office.
A resident with Parkinson’s disease, muscle weakness, and intact cognition had physician-ordered podiatry appointments but repeatedly missed them because transportation was not properly arranged. Although the resident had Ohio managed Medicaid coverage that allowed multiple round-trip visits and required transport scheduling in advance, the insurer reported no transports were ever set up. The resident stated he missed two appointments due to the facility’s failure to arrange transportation, outside office staff reported multiple no-shows without cancellation or rescheduling, and an NP was not informed of any missed visits. An RN unit manager indicated transport confirmations were sent by text to the resident’s phone, while the resident reported his phone had been broken for two years, and the RN confirmed the resident was not transported to at least one scheduled appointment due to transportation issues.
A resident with colon cancer metastatic to the liver, who was receiving ongoing chemotherapy, missed a scheduled oncology treatment because transportation was not arranged. The resident’s oncology records listed multiple upcoming chemotherapy dates, and the care plan noted active chemotherapy and risk related to cancer treatment. The resident reported that the facility did not provide transport for the appointment, and an oncology clinic RN navigator confirmed there was no transport scheduled. The UC, responsible for arranging transports, stated she was unaware of the appointment and that she relies on nurses to provide appointment information, which did not occur in this case.
A resident with paraplegia and a history of bowel issues missed a scheduled surgical consultation because the facility failed to provide transportation, despite being aware of the appointment in advance. The regular van driver called in sick, and no backup driver was available in time. Attempts to arrange alternative transportation were unsuccessful, resulting in the cancellation of the appointment.
Failure to Ensure Reliable Transportation for Baclofen Pump Services
Penalty
Summary
The deficiency involves the facility’s failure to provide reliable transportation for a resident requiring outside laboratory and surgical services for a baclofen pump change. The resident, who had paraplegia, a T1 spinal cord injury, anxiety, and depression, was cognitively intact with a BIMS score of 15/15. According to the resident’s interview, there were multiple missed or unsuccessful attempts to complete the necessary pre‑operative and surgical appointments, and the resident only reached the appointment on the fourth attempt. The resident reported that the first appointment was missed because the facility did not schedule a ride for the pre‑op visit and did not complete the required blood work, the second attempt failed because the facility did not hold the resident’s Eliquis in time, and the third attempt failed when the transportation company arrived with a car instead of a wheelchair van. Progress notes documented that a pre‑procedure physical appointment was missed due to transportation issues, and an APNP note stated that the baclofen pump replacement surgery had been delayed multiple times due to transportation problems. Staff interviews further confirmed issues with transportation coordination and reliability. Transportation staff reported using several different transportation companies and were unaware of the specific transportation failures for this resident, and could not explain what happened with at least one missed appointment, noting that another former transportation staff member might have kept notes elsewhere. A RN acknowledged there had been a few missed appointments recently and confirmed that at least one of this resident’s appointments was missed when the ride did not show up, despite the resident being ready. The DON confirmed there were issues with a transportation company, and the NHA stated that transportation scheduling and approval processes were in place, including a binder and electronic dashboard for appointments, but staff education for the updated transportation process was not provided to the surveyor when requested.
Failure to Arrange Transportation for Oncology and Infusion Appointments
Penalty
Summary
The deficiency involves the facility’s failure to follow its appointments and transportation policy by not arranging transportation for a resident’s outside oncology and infusion appointments. The resident is an adult male with mild cognitive impairment and an admitting diagnosis that includes malignant neoplasm of the mouth, as documented on the MDS. On one observation, he was noted in bed with swollen lips and was unable to communicate effectively. The facility’s policy, reviewed on 4/16/2025, states that when a resident has an appointment outside the facility, staff will make transportation arrangements unless the responsible party chooses to make them. The DON acknowledged not remembering why the resident missed appointments and stated that the resident has the right to go for an appointment and that staff are supposed to set it up. Record review showed that the resident had multiple scheduled outside appointments, including cardiology, oncology, and infusion visits. Physician orders documented that on 2/4/26 he was scheduled for a cardiology appointment at 9:05 AM, an oncology appointment at 12:00 PM, and an infusion appointment at 2:00 PM. The transportation schedule and nursing progress notes from 2/1/26 through 2/6/26 showed that he was sent only to the cardiology appointment and not to the oncology or infusion appointments. A review of the January transportation schedule and nursing progress notes from 1/25/26 through 1/30/26 further documented that he was not sent to an oncology appointment scheduled for 1/27/26 at 11:40 AM. The oncology clinic nurse practitioner reported that the resident missed around five appointments with various care providers, and that the resident stated he missed appointments due to lack of transportation, communication, and not writing the appointments in the records for staff to follow up after setting transportation. The nurse practitioner stated the resident is at high risk for relapse if he misses his oncology appointments.
Failure to Transport Resident to Scheduled Orthopedic Appointment
Penalty
Summary
The deficiency involves the facility’s failure to ensure a resident was transported to an outside orthopedic appointment as scheduled. The resident was admitted with multiple significant diagnoses, including a nondisplaced right humerus fracture, lumbar fractures at L1 and L2, morbid obesity, anxiety disorder, alcohol use, and a traumatic subdural hematoma from prior falls. The baseline care plan indicated the resident was alert and aware, non-weight bearing on the affected extremity, and was to receive physical and occupational therapy with the goal of discharge home, with social services coordinating services to achieve discharge goals. Physician orders documented an orthopedic follow-up appointment scheduled for 8:50 A.M. on 01/27/26, with instructions that staff accompaniment was required and that the accompanying staff needed to be medically trained. On the morning of the scheduled appointment, surveyor observation found the resident standing in the doorway with his right arm in a sling, wearing shoes and holding appointment papers, looking up and down the hallway shortly before the appointment time. In an interview, the resident stated he had been admitted about a week earlier, was supposed to have a follow-up with his orthopedic doctor that day, that his arm and sling were bothering him, and that no one had come to get him for the appointment. A later observation the same morning showed the resident still in his room with his arm in a sling, shoes on, and the appointment paperwork on the bedside table; he reported that no one ever came to get him and that he missed the appointment. Review of the appointment paperwork confirmed the scheduled orthopedic follow-up and the requirement for medically trained staff accompaniment. An RN interview verified the resident had not been transported to the appointment and attributed the missed appointment to miscommunication with the doctor’s office.
Failure to Arrange Transportation for Outside Podiatry Appointments
Penalty
Summary
The deficiency involves the facility’s failure to ensure transportation was adequately arranged for an insured resident’s outside podiatry appointments. The resident was admitted with Parkinson’s disease, muscle weakness, and a cognitive communication deficit, but the admission MDS showed intact cognition. Physician orders documented podiatry appointments on 12/04/25 at 11:15 A.M. and 01/08/26 at 2:15 P.M., and the resident was covered by an Ohio managed Medicaid plan that, per facility transportation guidelines, required transportation to be scheduled at least two days in advance and allowed up to 30 round trips per year. Despite these provisions, the insurance transportation representative reported that no transportation had been set up for any past or future appointments for this resident. The resident reported missing two appointments because the facility did not set up transportation in a timely manner. Outside office staff stated the resident was a no-show to multiple appointments due to transportation issues and that facility staff did not call to cancel or reschedule. The NP reported she was not notified of any missed appointments and confirmed transportation was a problem. The RN unit manager stated that confirmation for transport had been sent to the resident’s phone, but the resident reported his phone had been broken for two years and he could not receive texts. The RN unit manager confirmed the resident was not transported to the 01/08/26 appointment due to transportation issues. Facility transportation guidelines also indicated that routine or unrelated appointments should be canceled or rescheduled during a skilled stay, and that certain Medicare transports without secondary insurance would be billed to the resident at booking, but there was no evidence these guidelines were effectively implemented to ensure the resident’s ordered podiatry appointments were supported with appropriate transportation.
Failure to Arrange Transportation for Chemotherapy Appointment
Penalty
Summary
The facility failed to provide transportation for a scheduled oncology chemotherapy appointment for one resident, resulting in a missed treatment. The resident’s face sheet showed admission with malignant neoplasm of the colon, secondary malignant neoplasm of the liver and intrahepatic bile duct, and an encounter for antineoplastic chemotherapy. An oncology visit record dated 12/09/25 documented upcoming chemotherapy treatment dates, including an appointment on 12/30/25. The resident’s care plan dated 05/08/25 identified him as being at risk for adverse reactions related to colorectal cancer with metastasis to the liver and noted that he was currently receiving chemotherapy. During an interview, the resident reported that he missed his 12/30/25 chemotherapy treatment because the facility did not provide transportation, and stated that the facility receives copies of all his appointments and that he had been attending weekly chemotherapy since admission. An oncology clinic RN navigator confirmed that the resident missed the 12/30/25 appointment and stated that there was no transport scheduled when she called the facility. The Unit Clerk, who is responsible for scheduling transport for residents’ appointments, reported she was not aware of the 12/30/25 oncology appointment and confirmed the resident missed the appointment due to the inability to provide transport. She further explained that she schedules transport based on information received from the nurses, and in this instance, that process did not occur.
Failure to Provide Transportation for Medical Appointment
Penalty
Summary
The facility failed to provide transportation for a resident to a scheduled medical appointment, despite being aware of the appointment two weeks in advance. The resident, who had paraplegia and required dependent assistance with all activities of daily living, was scheduled for a consultation with a colon surgeon regarding a colostomy due to a swollen colon. Documentation showed that the appointment was known to staff, and reminders were given by a family friend on the day of the appointment. However, the facility did not arrange for transportation, citing the absence of the regular van driver, who called in sick that morning, and the unavailability of a backup driver in time for the appointment. Interviews with staff and family members confirmed that the facility had only one designated driver at the time, and the backup driver was not available early enough to transport the resident. The maintenance staff member, who also served as the van driver, notified the facility early in the morning that he would not be able to work. Attempts to secure alternative transportation, including contacting local emergency medical and transportation services, were unsuccessful. As a result, the appointment was canceled to avoid a fee for a missed appointment, and the resident did not receive the scheduled medical evaluation. The facility's policies indicated that they were responsible for assisting residents in arranging transportation to medical appointments. Despite this, the lack of a backup driver and the failure to secure alternative transportation led to the resident missing an important medical consultation. The incident was corroborated by interviews with the resident, family members, and facility staff, all of whom acknowledged the missed appointment and the facility's inability to provide transportation as required.
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