Failure to Obtain and Document Consent and Education Prior to Influenza Vaccination
Summary
The facility failed to follow its policy requiring education and signed consent prior to administering influenza and pneumonia vaccinations. The written policy titled “Pneumonia/Influenza Vaccinations” directed staff to contact the resident and family to explain the importance of vaccinations and to obtain signed consent from the resident and/or family. For one resident, admitted with chronic kidney disease stage 5, end stage renal disease, pneumonia, schizophrenia, and bipolar disorder, the record identified a health care proxy as the responsible party and a care plan focus of refusing vaccines due to allergy to some components, with an intervention to assess for consent or refusal upon admission and periodically with the resident and responsible party. The resident’s MDS showed a BIMS score of 3, indicating severely impaired cognition. Despite these requirements and the resident’s cognitive status and care plan, the physician’s order for a high-dose influenza vaccine was implemented and the vaccine was administered on a documented date and time without any documented evidence of prior education, consent, or refusal from the resident or health care proxy. The eMAR confirmed the vaccine was given, while the medical record lacked a signed consent form or documentation of education about risks and benefits before administration. A subsequent influenza vaccination request and consent form, signed by the responsible party several days after the vaccine was given, documented a refusal of the influenza vaccine on an ongoing basis. Staff interviews confirmed that an LPN administered the vaccine based on a list of residents purported to have consented, without personally verifying a signed consent, and the infection control nurse and ADON acknowledged that consent/refusal and education should have been obtained and documented before the vaccine was administered, but this did not occur for this resident.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
Failure to Offer Recommended Pneumococcal Vaccination: A resident with moderately impaired cognition and diagnoses including kidney disease, dementia, and diabetes had documentation showing prior PCV13 and PPSV23 immunizations, but the medical record did not show shared clinical decision-making or that PCV20/21 had been offered or given. The IP confirmed the resident should have been offered an additional pneumococcal vaccine and did not see that this occurred before survey start; the facility policy stated vaccines would be offered per current CDC guidance.
Influenza vaccine consent and declination documentation was incomplete for two residents. One resident received the flu vaccine without documented education, and another resident declined the vaccine without documented education or a signed declination form. Administrative staff reported there were no current signed consents or declinations, and the facility policy required use of the Patient/Resident Declination/Authorization Form.
Failure to Offer Eligible Pneumococcal Vaccine: A resident with diabetes and Parkinson’s disease had documentation of prior PCV13 and PPSV23 immunizations, making the resident eligible for PCV20 or PCV21 after the required interval. However, the EHR lacked evidence that the resident or representative was offered, educated on, or provided the vaccine, and the DON and ADON confirmed the facility had not offered a PCV vaccine.
Failure to Offer Recommended Pneumococcal Vaccination Updates: The DON, pharmacy, and nursing staff did not ensure two residents were offered pneumococcal vaccine updates based on CDC PneumoRecs guidance. One resident with dementia, CKD, CHF, and COPD had prior PPSV23 and was not offered the recommended PCV update during short-term rehab before moving to LTC status; another resident with hepatic encephalopathy and NASH had prior PPSV23 and PCV13 but was also not offered the recommended PCV20/PCV21 update. Both residents stated they would have accepted vaccines if offered.
A resident with Alzheimer's disease and severe dementia with psychotic disturbance consented to receive the pneumococcal vaccine, but the medical record contained no documentation that it was administered. The DON confirmed the resident did not receive his immunizations.
Failure to Offer Updated Pneumococcal Vaccination: The facility failed to ensure two residents were offered and/or provided updated pneumococcal vaccination per CDC guidance. One resident over age 65 with DM2, kidney failure, and DVT had records showing prior PCV13 and PPSV23 but no evidence of PCV20 or PCV21, and the chart stated the vaccine was not indicated and the resident was up to date. Another resident, younger than 65 with CAD, thyroid disease, and malnutrition, also had PPSV23 documented with no evidence of PCV20 or PCV21, while the consent form likewise stated the vaccine was not indicated and the resident was up to date.
Failure to Offer Recommended Pneumococcal Vaccination
Penalty
Summary
The facility failed to ensure that recommended pneumococcal vaccinations were offered and/or that shared clinical decision-making regarding pneumococcal vaccinations occurred for 1 of 5 residents reviewed for immunizations, R11. A CDC Pneumococcal Vaccine Timing for Adults chart dated 3/2025 indicated that adults 50 years and older who had received PCV13 at any age and PPSV23 at greater than 65 years may choose to receive PCV20 or PCV21. R11's quarterly MDS indicated R11 was [AGE] years old, had moderately impaired cognition, and was diagnosed with kidney disease, dementia, and diabetes. R11's Resident Vaccinations record dated 10/30/25 showed R11 received PPSV23 on 4/15/20, when R11 was greater than [AGE] years old, and PCV13 on 4/11/19. The record also showed R11 refused pneumovax dose 1 on 1/10/13. Review of R11's medical record did not show that shared clinical decision-making occurred or that PCV20/21 had been offered or administered. During an interview on 7/9/26 at 8:26 a.m., the infection preventionist confirmed she reviewed R11's record and stated that R11 should have been offered an additional pneumococcal vaccination, and that she did not see this had occurred before the survey start. The facility's Vaccine for Residents policy dated 4/22/25 stated vaccinations would be offered according to current CDC guidance.
Influenza Vaccine Consent and Declination Documentation
Penalty
Summary
The facility failed to offer and provide, or obtain an informed declination for, influenza vaccination for two residents. Resident 5's EMR documented that no education was provided when she received the influenza vaccine, although consent was documented as confirmed. Resident 8's EMR documented that no education was provided when he declined the influenza vaccine, and the facility was unable to provide a signed Patient/Resident Declination/Authorization Form for the flu vaccine. During interview, Administrative Staff A provided a handwritten list of residents, a copy of the influenza vaccine sticker showing the lot number, expiration date, and administration site, and reported that there were no current signed consents or declinations for the residents' influenza vaccines. Administrative Staff A also reviewed the EMR and stated that the nurse should have documented yes for education when administering the vaccine or when the resident refused. The facility policy stated that consent or declination for the influenza vaccine would be obtained and documented using the Patient/Resident Declination/Authorization Form, and that information regarding influenza and the influenza vaccine would be discussed with the resident and/or responsible party.
Failure to Offer Eligible Pneumococcal Vaccine
Penalty
Summary
The facility failed to ensure that 1 of 5 residents reviewed for immunizations, R12, was offered, educated on, and provided the pneumococcal vaccination series as recommended by the CDC. R12’s quarterly MDS showed admission to the facility with diagnoses including diabetes and Parkinson’s disease. The EHR documented that R12 received PCV13 on 9/25/19 and PPSV23 on 10/22/20. The CDC Adult Immunization Schedule dated 10/7/25 indicated that persons of R12’s age who previously received both PCV13 and PPSV23 should receive one dose of PCV20 or PCV21 at least 5 years after the last pneumococcal vaccine dose, making R12 eligible after 10/22/2025. However, the EHR lacked evidence that R12 or the resident representative had been offered, educated on, or provided PCV20 or PCV21. During interview, the DON and ADON confirmed that R12 was eligible for PCV20 or PCV21 and that the facility had not offered a PCV vaccine to R12.
Failure to Offer Recommended Pneumococcal Vaccination Updates
Penalty
Summary
The facility failed to offer recommended pneumococcal immunization updates for 2 of 5 residents reviewed for immunizations. One resident had diagnoses including dementia, chronic kidney disease, congestive heart failure, and chronic obstructive pulmonary disease, and his vaccine history showed receipt of PPSV23 in 2011. PneumoRecs VaxAdvisor recommended one dose of PCV15, PCV20, or PCV21 at least one year after the last PPSV23 dose, but the resident’s physician orders did not include vaccinations and the facility did not offer the update while he was in short-term rehabilitation; the DON stated the resident later moved to LTC status and missed the vaccine clinic held in April, with the next clinic planned for the end of July. The resident’s family member stated she could not recall the facility discussing additional vaccinations, but would have agreed if one had been recommended. The second resident had diagnoses of hepatic encephalopathy and nonalcoholic steatohepatitis, with moderately impaired cognition and substantial assistance or dependence for ADLs. Her vaccine history showed PPSV23 in 2017 and PCV13 in 2020, and PneumoRecs VaxAdvisor recommended one dose of PCV20 or PCV21 at least 5 years after the last pneumococcal vaccine dose. Her physician orders did not include vaccines, and she stated no vaccines had been offered or received since admission, though she would have accepted them if recommended. The DON stated vaccines would be recommended at the end of the resident’s short-term stay, and staff interviews showed immunization review was handled by the DON and pharmacy during vaccine clinics rather than by nursing staff assessing eligibility on admission.
Failure to Provide Ordered Pneumococcal Immunization
Penalty
Summary
The facility failed to ensure that each resident either received the pneumococcal immunization or had documentation of a medical contraindication or refusal. Resident 10, who was admitted with diagnoses including Alzheimer's disease and severe dementia with psychotic disturbance, had an Immunization Consent dated 3/4/26 indicating consent for the pneumococcal vaccine to be administered on 3/10/26. However, review of the medical record from 6/22/26 through 6/29/26 found no documentation that the pneumococcal vaccine was actually given. During an interview on 6/29/26 at 2:54 PM, the DON stated that Resident 10 did not receive his immunizations.
Failure to Offer Updated Pneumococcal Vaccination
Penalty
Summary
The facility failed to ensure 2 of 5 residents, R12 and R27, were offered and/or provided updated pneumococcal vaccination in accordance with CDC guidance. Review of the current CDC pneumococcal vaccine recommendations showed that adults age 65 and older who previously received PCV13 and PPSV23 at age 65 or older may receive PCV20 or PCV21, or no additional pneumococcal vaccines based on shared clinical decision making, and adults age 65 and older who received PCV13 at any age and PPSV23 before age 65 should receive a single dose of PCV20 or PCV21 at least 5 years after the last pneumococcal vaccine dose. R12's admission MDS indicated R12 was over age 65 and not up to date on pneumococcal vaccination, and the record stated R12 was not offered the pneumococcal vaccination. R12 had diagnoses including DM2, kidney failure, and DVT. Although R12's Resident Vaccine Administration Consent Form stated vaccines would be given per PCP order and CDC guidelines, it also stated a pneumococcal vaccine was not indicated and R12 was up to date. The MICC report showed R12 received PCV13 on 2/9/16 and PPSV23 on 3/17/15, with no evidence of PCV20 or PCV21 administration. R27's admission MDS indicated R27 was older than 50 and younger than 65 and was up to date on pneumococcal vaccination. R27 had diagnoses including coronary artery disease, thyroid disease, and malnutrition. R27's Resident Vaccine Administration Consent Form stated vaccines would be given per PCP order and CDC guidelines, but also stated a pneumococcal vaccine was not indicated and R27 was up to date. The MICC report showed R27 received PPSV23 on 7/30/18, with no evidence of PCV20 or PCV21 administration. During interview, the DON, who was also the IP, stated all residents were assessed on admission for vaccine status using the MIIC report and a pneumococcal vaccination application and would be offered any recommended vaccines, and stated all residents and/or resident representatives should be offered, educated on, and provided all recommended vaccinations. The facility policy required residents to be assessed within 5 days of admission for immunization status and eligibility for pneumococcal vaccine, and within 30 days to be offered the vaccine when indicated.
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