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:
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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