Mismanagement of Resident Trust Funds
Summary
The facility failed to manage, safeguard, and accurately account for the residents' trust funds and personal checking accounts for 50 residents. This deficiency was identified through interviews and record reviews, revealing that the Business Office Manager (BOM), identified as V3, was involved in the misappropriation of resident property. A housekeeper, V6, reported concerns about V3's handling of the resident trust fund, leading to an investigation. V3 was unable to provide receipts or answer specific questions related to checks written from the resident accounts and the resident trust account. Additionally, a resident, R2, reported that items ordered through V3 were never received, although they were later ordered by the facility. The investigation revealed that V3 had been writing checks from the resident trust account and the pooled resident trust account without proper documentation or receipts. The facility was unable to account for $2,728.59 from the resident trust petty cash box and $5,515.19 from the pooled resident trust account. V3 was also found to have written checks to cash from a resident's account, R1, who owed a significant amount for room and board. The checks were cashed, and the remaining cash was allegedly given to V3, but there was no documentation of how the cash was used. V3 denied any wrongdoing but was unable to provide evidence to support her claims. The facility's policies and procedures for managing resident funds were not followed, as evidenced by the lack of dual signatures on transactions, missing receipts, and unbalanced accounts. The facility's failure to safeguard resident funds and maintain accurate records led to the misappropriation of funds and a significant financial discrepancy. The investigation was turned over to the local police department, and V3 was terminated from her position.
Penalty
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Residents were unable to access their personal funds outside of regular business office hours, as confirmed by staff and resident interviews. Personal funds were not available after 4:00 P.M. on weekdays, nor on weekends or holidays, and there was no alternative method for residents to obtain money when the business office was closed.
A resident's right to manage their own financial affairs was not honored, resulting in a violation of federal regulations regarding resident autonomy.
A resident with depression and quadriplegia did not receive a required $50 social security allowance for one month after a delay in the deposit of their check. The facility's system failed to recognize the need for a retroactive payment, resulting in the resident not receiving the allowance for that period, as confirmed by business office staff and record review.
The facility did not ensure residents could access their personal funds after business hours or on weekends. Only one staff member was responsible for distributing funds, and no process was in place for other staff to provide access outside of regular hours. Multiple staff and residents confirmed that this led to frustration and delays in accessing personal money, with some residents waiting days or being unable to obtain funds when needed.
A resident was unable to access personal funds outside of standard business hours and on weekends, as confirmed by staff interviews and facility policy review. The facility's process limited fund access to weekdays, and the policy lacked guidance for after-hours or weekend withdrawals, resulting in delayed access for the resident.
The facility did not obtain properly witnessed written authorization forms before managing the personal funds of two residents, as required by policy. Although representatives signed the consent forms, the witness signature sections were left blank, resulting in incomplete authorization documentation.
Failure to Provide Resident Access to Personal Funds After Business Hours
Penalty
Summary
The facility failed to make residents' personal funds available outside of regular business office hours, affecting three residents reviewed for access to their funds. Residents reported being unable to obtain money from their personal accounts after 4:00 P.M. on weekdays, as well as on weekends and holidays, due to the business office being closed. Staff interviews confirmed that personal funds are not kept in the medication cart or otherwise accessible when the business office is closed. One resident was unaware of how much money was available or how to access it, only knowing that someone would assist with purchases when needed. Observations confirmed that posted banking hours were limited to Monday through Friday, 8:00 A.M. to 4:00 P.M., and that the business office was inconsistently open during the survey period.
Failure to Honor Resident's Right to Manage Financial Affairs
Penalty
Summary
A deficiency was identified regarding the facility's failure to honor a resident's right to manage his or her own financial affairs. The report notes that the resident's autonomy in handling personal finances was not respected, which is a violation of resident rights as outlined in federal regulations. No additional details about the specific actions or inactions, the resident's medical history, or their condition at the time of the deficiency are provided in the report.
Failure to Provide Resident Social Security Allowance Due to Missed Retroactive Payment
Penalty
Summary
The facility failed to ensure that a resident had access to his social security allowance as required. The resident, who was cognitively intact and had diagnoses including depression and quadriplegia, had his social security check for February recalled by Social Security and not deposited until April. As a result, the system did not recognize that the resident should have received his $50.00 allowance retroactively for February. The resident did not receive this allowance, even though subsequent months' allowances were properly allotted and withdrawn by the resident as documented by signed receipts. Interview with the Regional Business Office Manager confirmed that the oversight occurred because the system did not account for the late deposit of the February check, and the resident was not given his $50.00 allowance for that month. This deficiency was identified during a review of the resident's personal fund statements and was verified through interviews and record review.
Failure to Provide Resident Access to Personal Funds After Hours
Penalty
Summary
The facility failed to ensure that residents had access to their personal funds after business hours and on weekends. Four residents with personal funds accounts managed by the facility were affected. Observations and interviews revealed that only one staff member, HR #153, was responsible for dispensing resident funds, and she did not leave the money box accessible to other staff after her shift ended at 5:00 P.M. on weekdays or on weekends. Multiple staff members, including RNs, LPNs, and CNAs, confirmed they did not have access to the funds box outside of business hours, and residents were required to withdraw money before HR #153 left for the day. Residents reported being unable to access their funds after hours and on weekends, with some stating they had to wait days to receive money or that the facility had run out of money in the personal funds box. Staff interviews corroborated that residents voiced frustration and concerns about not having timely access to their funds. Review of the facility's policy indicated a requirement to comply with federal and state regulations regarding resident funds, but the observed practices did not align with this policy.
Failure to Provide Resident Access to Personal Funds Outside Business Hours
Penalty
Summary
The facility failed to ensure that residents had access to their personal funds outside of normal business hours and on weekends. Interviews with staff revealed that residents could only access their personal funds Monday through Friday, from 8:00 A.M. to 5:00 P.M., and were unable to obtain money on weekends. The Business Office Manager and receptionists confirmed these restricted hours, and the facility policy did not specify procedures for accessing funds after hours or on weekends. A resident with intact cognition reported previous difficulties in obtaining money, stating it typically took at least three days to receive requested funds and that they did not attempt to access funds outside business hours because they knew it was not possible. The Administrator stated an expectation that residents should have access to their funds seven days a week, but this was not reflected in practice or policy. This deficiency was identified during a complaint investigation and affected at least one resident reviewed for personal funds.
Failure to Obtain Proper Written Authorization for Management of Resident Funds
Penalty
Summary
The facility failed to obtain appropriate written authorization to manage the personal funds of two residents. For both residents, the authorization forms allowing the facility to manage their funds were signed by their representatives, but the required witness signatures were missing. The forms included designated spaces for two witnesses, but these were left blank. This was confirmed during an interview with the Administrator, who acknowledged that the proper written authorization had not been obtained for these residents. The residents involved had significant medical histories, including diagnoses such as cerebral infarction, hypotension, anxiety disorder, cerebral vascular accident, transient ischemic attack, and dementia. Despite the facility's policy requiring written designation when accepting responsibility for a resident's financial affairs, the lack of witnessed signatures on the authorization forms constituted a failure to follow this policy.
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