Failure to Update Abuse Prevention Policies and Employee Screening
Summary
The facility failed to implement and update its policies and procedures to prevent abuse, neglect, and exploitation of residents, as well as the misappropriation of resident property. During a complaint investigation and extended standard survey, it was found that the facility's abuse reporting policy, last revised in December 2015, was outdated and did not align with current regulations. Specifically, the policy did not include a timeline for notifying the New York State Department of Health about alleged violations, which is required to be reported immediately or within 24 hours depending on the severity of the incident. This deficiency affected 10 out of 12 residents reviewed. Additionally, the facility did not conduct the required New York State Nurse Aide Registry Verification for an agency Licensed Practical Nurse (LPN) before their employment. The LPN worked multiple shifts at the facility without this verification, which is a necessary step to ensure that employees are screened for any history of abuse. The lack of verification was confirmed during interviews with the Administrator and the Infection Control/In-Service Coordinator, who acknowledged the oversight and the absence of documentation for the verification process. The Director of Nursing and the Administrator admitted to being unaware of the updated regulations for reporting allegations of abuse and neglect. They relied on the Risk Management Team for investigations and expected to receive updates through official communications, which they missed. The facility's failure to update its policies and procedures in accordance with state guidelines resulted in substandard quality of care, with the potential for more than minimal harm to all residents.
Plan Of Correction
Plan of Correction: Approved February 26, 2025 F-607 – Develop/Implement Abuse/Neglect Policies I. Per the Directed Plan of Correction the following actions were accomplished for the residents identified in the sample: - Resident #17: - Reports will be submitted to the Department of Health for the 12/10/24 and 12/11/24 incidents. - An assessment by a Registered nurse was completed on each altercation. No injuries were identified. - Resident #17’s care plan was reviewed and updated to include potential for Physically/Verbally Aggressive behaviors and potential for victimization due to wandering and rummaging. - A Social Services assessment completed to ensure there were no negative psychosocial impacts due to the altercations and subsequent room changes. - Resident #30: - An assessment by a Registered nurse was completed. No additional injuries were identified due to the deficient practice. - A Social Services assessment completed to ensure there were no negative psychosocial impacts. - Certified Nursing Assistant #5 will be re-educated on their role to review the care plan prior to providing care. - Resident #42: - An assessment by a Registered nurse was completed. No additional injuries were identified. - A Social Services assessment completed to ensure there were no negative psychosocial impacts. - Certified Nursing Assistant #4 is no longer employed by the facility. - Resident #47: - An assessment by a Registered nurse was completed. No injuries were identified. - A Social Services assessment completed to ensure there were no negative psychosocial impacts. - An investigation was conducted and allegation unfounded for sexual abuse. - Certified Nursing Assistant #9 was re-educated and was re-assigned from providing care to resident #47. - Resident #68: - Assessments by a Registered Nursing and Physician were completed. No injuries were identified. - A Social Services assessment will be completed to ensure there were no negative psychosocial impacts. - Additional signage will be placed on the resident’s door to deter others from wandering into the resident’s room. - Resident #71: - Assessments by a Registered Nursing and Physician were completed. No additional injuries were identified. - The resident’s care plan will be updated to include risk of unsafe wandering, risk for victimization due to wandering and behaviors directed at others along with appropriate interventions to address. - A Social Services assessment will be completed to ensure there are no additional ongoing negative psychosocial impacts related to the incident. - Resident #72: - Assessments by a Registered Nursing were completed. No injuries were identified. - A Social Services assessment will be completed to ensure there were no additional negative psychosocial impacts related to the incident. - Resident #75: - Reports will be submitted to the Department of Health for the 12/10/24 and 12/11/24 incidents. - An assessment by a registered nurse was completed following each altercation. No injuries were identified. - The resident was moved to a different unit on 12/11/24. - Resident #75’s care plan will be reviewed and updated to include risk of Physically/Verbally Aggressive behaviors and potential for victimization due to possessiveness. - A Social Services assessment will be completed to ensure there were no negative psychosocial impacts related to the resident to resident altercations and the subsequent room change. - Resident #95: - Assessments by a Registered Nursing and Physician were completed. No additional injuries were identified. - A Social Services assessment completed to ensure there were no negative psychosocial impacts. - Resident #161: - The resident was discharged from the facility on 7/26/24. - A review of the resident’s medical record indicates no additional injuries or negative psychosocial impacts. - Certified Nursing Assistant #12 was re-educated on their role to review the care plan prior to providing care. - Certified Nursing Assistant #4’s employment was terminated. - A New York State Nurse Aide Registry Verification report was obtained for the Employee Licensed Practical Nurse #4. No findings were noted. - The Administrator, Director of Nursing, and Assistant Director of Nursing were educated on the State Operations Manual timeframe reporting requirements for abuse reporting by the consultant. - The Administrator, Director of Nursing, Assistant Director of Nursing, and the Infection Control/In-Service Coordinator were educated on the requirement for pre-employment screening for all regular and agency staff via the New York Nurse Aide Registry by the consultant. II. Per the Directed Plan of Correction, the following corrective actions will be implemented to identify other residents who may be affected by the same practice: - All residents have the potential to be affected. - All resident progress notes and incident reports for the past 60 days will be reviewed by the Director of Nursing/designee to identify any incidents of actual or potential abuse, neglect, or mistreatment. The care plan of any identified resident will be reviewed and updated accordingly for risk of Physically/Verbally Aggressive behaviors, risk of victimization, risk of wandering, possessiveness, and ensure interventions are initiated in an effort to prevent abuse. - Any identified incident will be reviewed to ensure each has been thoroughly investigated, reported timely to the Department of Health, staff alleged to have committed abuse immediately removed from contact with residents, care plans updated, and measures have been initiated to prevent recurrence. - All regular and agency staff personnel records will be reviewed to ensure the Nurse Aide Registry screening has been completed. III. Per the Directed Plan of Correction the following system changes will be implemented to ensure continuing compliance with regulations: - The policy titled “Abuse/Neglect - Prevention and Reporting Process” has been reviewed and revised by the consultant with administration and nursing leadership to align with current regulations including reporting timelines. - The facility hiring policy will be reviewed by the consultant with administration and nursing leadership and a checklist provided to ensure all pre-employment procedures including Nurse Aide Registry Checks are completed prior to starting work. - As per the Directed Plan of Correction, the Consultant has developed and implemented an In-service Program to address: - Abuse Identification, Prevention and Reporting: All facility staff (including risk managers and investigators) will be educated by the consultant on Abuse Identification, Prevention and Reporting including identifying risk, removing staff immediately to prevent further abuse, and implementation of interventions to prevent recurrence. - State and Federal Regulations on Incident and Abuse Reporting: The Administrator and Director of Nursing and facility leadership (including risk managers and investigators) will be educated by the consultant on federal guidelines on Abuse and Incident reporting and their requirement to ensure all incidents are investigated thoroughly, reported timely to the Department of Health, interventions implemented to prevent recurrence, and immediate removal of any staff alleged to be involved. - Nurse Aide Registry: All facility leadership staff will be educated by the consultant on the updated hiring policy/process and checklist specifically to ensure the nurse aide registry is reviewed prior to hiring both regular and agency staff. - Regulatory Changes: All leadership staff will be educated by the consultant on their requirement to keep up to date and maintain compliance with all federal and state regulatory changes and to ensure facility policies/procedures align with those changes and staff are educated accordingly. - All training components will be added to initial orientation and annual education for facility and agency staff. IV. The facility’s compliance will be monitored utilizing the following quality assurance system: As per the Directed Plan of Correction, a Quality Assessment & Assurance Committee meeting was held on (MONTH) 24, 2025, to examine this deficiency. - An audit tool will be developed, and all incidents and progress notes will be reviewed daily by the Director of Nursing/designee for 1 month then weekly for 2 months to identify incidents involving abuse, neglect, or mistreatment and ensure they were reported to the Department of Health within required time frames, investigations completed timely, interventions implemented to prevent recurrence including staff involved are removed from providing care as appropriate and care plans updated accordingly. - An audit tool will be developed, and all new hires will be audited weekly for 4 weeks then monthly for 3 months to ensure pre-employment screening, including the nurse aide registry has been completed before hire. - Any issues of non-compliance will be addressed at the time of the audit and referred to the Administrator for further education and disciplinary action as indicated. - Audit results will be reported to the Quality Assessment & Assurance Committee monthly for three months. The consultant will participate in the Quality Assessment & Assurance Committee for three months. Frequency of ongoing audits will be determined by the Committee based on audit results. - The consultant will participate in the Quality Assessment & Assurance Committee Meeting monthly for 3 months. Responsibility: Director of Nursing
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
Missing FBI Background Check for Agency Nurse Aide: The facility failed to complete an updated FBI background check for an agency NA before allowing the aide to work on the nursing unit. The aide had lived outside PA within the past two years, but the personnel file only contained an older FBI check and no updated check before the aide worked two shifts. The facility policy required background checks for all employees in accordance with State law.
Failure to follow abuse policy after a resident-on-resident assault. A resident with dementia and physically aggressive behaviors scratched another resident’s face, causing superficial marks to the chin and cheek. The injured resident had significant cognitive impairment and later reported that the other resident ran fingernails across her face. Staff confirmed the incident was abuse, but the clinical record contained inconsistent documentation and the behavior note did not include details of the assault.
Failure to properly investigate and report allegations of verbal abuse and involuntary seclusion. Multiple grievances described an RN yelling at residents, blocking a resident from his room, and scolding residents for self-transferring, while an LPN made rude and inappropriate comments to a resident and his representative. The facility’s investigations were limited, with little evidence of broader interviews, incomplete documentation, delayed escalation, and no immediate suspension of the involved RN or timely reporting to the SA as required by policy.
Failure to Complete Timely Criminal Background Checks: The facility failed to properly screen employees by not completing timely criminal background checks before employment for three of five personnel files reviewed, including an RN, a COTA, and a NA. Facility policy required screening during the hiring process for a history of abuse, neglect, or mistreating residents, including criminal background checks. HR confirmed that one employee's checks were completed too far in advance to rule out criminal activity in a timely manner and another employee's background check was not completed before the start of employment.
Incomplete Abuse Investigation and Reporting: A cognitively intact resident reported that a nurse aide grabbed her and yanked off her gown, leaving bruising on her arms. The DON and nursing staff documented the allegation and substantiated abuse, but the investigation was limited to one hall and did not include a resident statement, a statement from the accused aide, or broader interviews and skin checks. The facility notified DHSR and law enforcement, but APS/DSS notification was not documented.
A resident with dementia and severe cognitive impairment developed bruising, hematoma, and multiple bilateral rib fractures with hospital concerns for neglect and/or abuse. The facility did not immediately investigate or report the injury of unknown origin, and staff could not explain how the injuries occurred. The resident’s condition worsened over several days before transfer to the ER and hospital admission.
Missing FBI Background Check for Agency Nurse Aide
Penalty
Summary
The facility failed to conduct an FBI background check on an agency nurse aide before allowing the aide to work on the nursing unit. The facility’s personnel abuse policy stated that it would not employ or otherwise engage individuals found guilty of abuse, neglect, or mistreatment of residents and that it would undertake background checks of all employees in accordance with State law. Review of the agency nurse aide’s personnel record showed the aide was hired and completed orientation at the facility on 7/15/26, and then worked two shifts on 7/26/26 and 8/1/26. The personnel record also showed that the agency nurse aide had lived outside Pennsylvania within the past two years, but the file contained only an FBI background check dated 6/1/23 and did not include an updated FBI background check before the aide started at the facility. During interview, the Director of Human Resources confirmed that the aide had lived outside Pennsylvania within the past two years. The deficiency was discussed with the NHA, DON, and Regional Director of Clinical Services, who were informed that the facility had failed to conduct the required FBI background check prior to the aide working on the nursing unit.
Failure to Follow Abuse Policy After Resident-on-Resident Assault
Penalty
Summary
The facility failed to follow its abuse policy for one resident involved in an incident with another resident who had dementia, anxiety, impaired safety awareness, verbal behavior, and physically aggressive behaviors. The perpetrating resident was documented as having a BIMS score of 07 and a care plan that included interventions to protect the rights and safety of others, such as intervening as necessary, speaking calmly, diverting attention, and removing the resident from the situation when needed. On July 26, 2026, a CNA reported that the resident clawed a roommate in the face while the nurse was on break. The injured resident was assessed and found to have superficial scratches under the right side of the chin and red marks on the cheek, with no active bleeding. The perpetrating resident was also observed kicking another resident’s wheelchair in an apparent attempt to get that resident to move out of the way. A behavior note entered shortly afterward documented increased escalated behaviors and redirection, but it did not include details of the incident described in the struck-out progress note, and no additional details about the incident were found in the clinical record. The injured resident had significant cognitive impairment with a BIMS score of 08 and subsequent documentation showed ongoing monitoring for scratches to the chin and neck area, including skin assessments and change-of-condition notes. During interview, the injured resident stated another resident ran fingernails across her face and that she cried because she did not know why the other resident was being mean to her. Staff interviews confirmed the perpetrator was the other resident and described the event as abuse, while the DON stated the struck-out note and inconsistent documentation were unfortunate and did not meet expectations or policy.
Failure to Properly Investigate and Report Allegations of Verbal Abuse
Penalty
Summary
The facility failed to follow its abuse and neglect policy when multiple grievances described verbal abuse and threats of involuntary seclusion involving two nurses and six residents. The grievances included reports that an LPN spoke rudely and made inappropriate comments to a resident and his representative, and that an RN yelled at residents, scolded them for self-transferring, blocked a resident from entering his room, and told residents they were going into a “time-out.” The report also described concerns that residents were upset by the RN’s tone, volume, and behavior, including statements that she was bossy, assertive, and made residents feel inadequate. The facility’s responses were limited to interviews with the residents directly named in the grievances and the involved nurses, with little evidence of broader fact gathering. In one grievance, the investigation noted the LPN admitted her word choice was not the best, but there was no documentation of interviews with other residents, representatives, or staff to determine whether similar conduct had occurred or whether the resident experienced any psychosocial or physical effects. In another grievance, the RN denied yelling, but the record did not show that the facility explored the reported comments to another resident, interviewed additional witnesses, or documented whether the resident who complained felt safe or had any psychosocial impact. The report also identified that the facility did not handle the allegations as abuse-related concerns under its policy. The policy required allegations of employee-to-resident abuse to be reported immediately, no later than 2 hours after the allegation, and required the employee to be removed from direct care and placed on suspension pending investigation. Instead, the grievances were not promptly escalated, the administrator’s sign-off was delayed on some reports, and the investigations were incomplete or left with blank resolution and follow-up sections. The report further noted that the facility did not immediately suspend the RN during the recurring complaints, did not timely report the allegations to the SA, and did not complete thorough investigations that included broader interviews and documented follow-up.
Failure to Complete Timely Criminal Background Checks
Penalty
Summary
Develop and implement policies and procedures to prevent abuse, neglect, and theft was cited after the facility failed to properly screen employees by not completing timely criminal background checks before employment for three of five personnel files reviewed. The personnel files reviewed were for RN Employee E4, COTA Employee E7, and NA Employee E8, and the facility policy stated that all potential employees would be screened during the hiring process for a history of abuse, neglect, or mistreating residents, including criminal background checks. Review of RN Employee E4's file showed a date of hire of 4/20/26 and two criminal background checks, one requested on 11/25/25 and another requested on 7/29/26. Review of COTA Employee E7's file showed a date of hire of 5/1/26 and a criminal background check requested on 6/25/26, after the start of employment. Review of NA Employee E8's file showed a date of hire of 5/12/26 and a criminal background check requested on 10/14/26. During interview, Human Resources Employee E9 confirmed that Employee E4's background checks were completed too far in advance to rule out criminal activity in a timely manner prior to employment and that Employee E7's background check was not completed prior to the start of employment.
Incomplete Abuse Investigation and Reporting
Penalty
Summary
The facility failed to implement its abuse policy for investigation and reporting after an allegation of staff-to-resident abuse involving a cognitively intact resident admitted with anxiety disorder and insomnia. The resident reported that a nurse aide grabbed her and yanked her gown off, causing bruising to her arms. Bruising in various stages of healing was documented on both arms and the right hand, and the facility substantiated the allegation of abuse. The investigation was limited and did not include a written or signed statement from the resident or a written statement from the accused nurse aide. The nurse aide denied the allegation during a later telephone interview and stated he was never asked to complete a statement or interviewed by the facility, his agency, or law enforcement. The investigation also did not include documented interviews from other cognitively intact residents the nurse aide had worked with or skin assessments for all moderately and severely cognitively impaired residents in the facility; instead, the DON instructed staff to limit interviews and assessments to one hall. Reporting was also incomplete. The facility submitted the initial report to DHSR and notified law enforcement, but there was no documentation of notification to APS/DSS on the initial report. During interview, the DON stated she did not realize APS was supposed to be notified within 24 hours and acknowledged that a more thorough investigation could have been completed. The Administrator stated she would expect the DON to follow reporting regulations and complete a thorough investigation before substantiating the allegation.
Failure to Investigate and Report Injury of Unknown Origin
Penalty
Summary
The facility failed to implement its abuse prohibition policy related to an injury of unknown origin for a resident with dementia, transient cerebral ischemic attack, severe cognitive impairment, and dependence on staff for activities of daily living. The resident’s record showed new diagnoses of multiple bilateral rib fractures and a right thorax contusion after bruising and hematoma were identified on the chest and upper body. The resident also had impaired upper and lower extremities and required two-staff assistance for ADLs and transfers. The resident’s skin changes were first documented as bruising under the right breast, right nipple, and middle of the chest, followed by spread of bruising to the right upper extremity, shoulder, and breast, along with pain and edema. A chest x-ray showed no acute findings, but the resident later required transfer to the hospital for further evaluation because of worsening bruising, hematoma, redness, edema to the right hand, and increased pain. Hospital paperwork documented multiple bilateral nondisplaced rib fractures and a large intramuscular hematoma, with concerns of neglect and/or abuse, and noted that bruising had started earlier than the facility documented. The facility did not initiate its investigation until after the resident was admitted to the hospital and did not report the incident immediately. The facility’s own timeline showed several days between the first observed skin change and the initiation of the self-reported incident. Staff interviews confirmed that no explanation for the injuries was identified, that the facility believed a bear-hug type repositioning may have occurred even though that technique was not taught or used, and that the facility reported the injury of unknown origin after the resident’s hospital admission. The administrator confirmed there was no immediate reporting and that the investigation began only after the hospital admission.
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