Failure to Maintain an Effective Compliance and Ethics Program
Summary
The facility failed to maintain and implement an effective and operational Compliance and Ethics Program. During record review and interviews, the facility’s policy described a compliance structure that included a Compliance Officer, a Compliance Committee, the Administrator as the onsite Compliance Liaison, regular staff education, audits, and a binder of compliance documentation in the Administrator’s office and breakroom. However, when the Administrator was interviewed, she reported that she did not have the binder in her office or the breakroom, did not conduct audits, and did not provide any education. Three residents, R3, R6, and R88, were reviewed in relation to binding arbitration and admission documents. Each of these residents had legal guardians and were deemed incompetent to make informed decisions for themselves. Their arbitration agreements were electronically signed with the residents’ names, and additional admission documents also contained electronic signatures in the residents’ names, including a Consent to Medical Care and Treatment form for R3 and financial and medical consents and documents for R6. The Admissions Director stated that when the signature section was clicked in the EMR, it automatically electronically signed the forms with the residents’ names, and confirmed that R3, R6, and R88 did not actually sign the forms themselves. The Administrator was unaware that residents with legal guardians who could not make their own decisions had their names electronically signed by staff on legally binding agreements and stated staff should never sign a resident’s name on any agreement or contract. The Corporate Compliance and Security Officer reported she was revising and updating compliance policies and that the Administrator would have additional information about facility-specific education, audits, and compliance documentation, but no additional documents were provided before the end of the survey.
Penalty
Resources
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The facility failed to enforce its compliance and ethics program when an Administrator allowed a Dietary Manager to work with vulnerable residents before a background check was completed. Although policy required criminal screening before hire and before unsupervised resident contact, the staff member was working while the BGI remained pending. The HRD stated this was not the normal process, and the DON and DCO said staff should not work with vulnerable residents until screening was complete.
A dietary aide reported witnessing a staff member verbally and physically mistreat a resident in a wheelchair and then experienced ongoing harassment and retaliatory behavior from nursing and kitchen staff, including threatening comments, refusal to sign meal-tray forms, and aggressive, profane interactions. The aide, described by a coworker as quiet and respectful, ultimately resigned by phone, citing fear for personal safety and difficulty identifying harassing staff because they were not wearing name badges. Leadership, including the Administrator, DON, Risk Manager, Unit Manager, and HR Director, acknowledged awareness of harassment concerns but did not conduct an investigation into the reported retaliation, despite a written policy requiring protection of individuals who report suspected abuse.
The facility failed to maintain an effective compliance and ethics program and a non-retaliatory reporting culture. Written policies, including a Code of Conduct, a Non-retaliation and Non-retribution policy with an anonymous hotline, and an abuse prevention policy, stated that staff could report concerns without fear of retribution. However, multiple staff reported they did not trust the reporting process, feared loss of vacation, overtime, or work if they reported concerns, and believed anonymous reporting was ineffective. Staff also described fears of retaliation and threats of harm from coworkers. During surveyor interactions, the administrator, assistant administrator, and DON challenged the survey process in raised voices, leaned forward with clenched fists, questioned the Immediate Jeopardy decision, and the administrator attempted to prevent surveyors from leaving, reflecting an environment inconsistent with safe, non-retaliatory reporting.
Staff provided inconsistent and misleading statements about a resident's death, with conflicting documentation and witness accounts regarding care and the initiation of CPR. High-level personnel failed to ensure truthful reporting, and staff reported being pressured to provide false statements. Allegations of neglect and ethical violations were not reported to authorities, and the facility did not foster effective communication or protect staff from retaliation, resulting in an inadequate investigation of the resident's death.
A CNA with a recent conviction for domestic violence, a disqualifying offense under state law, continued to provide direct care to all residents after the conviction. Facility leadership was aware of the conviction but allowed the CNA to work, citing personal character standards, despite not meeting the required time elapsed since probation discharge. This action was not in compliance with state regulations or facility policy.
The facility did not ensure the DON followed ethical and professional standards, as the DON backdated evaluations with incorrect documentation and lacked evidence of required education or competency training. Compliance program materials were not accessible to all staff, and key compliance documentation was missing from the DON's file.
Failure to Enforce Background Check and Compliance Procedures
Penalty
Summary
The facility failed to implement, maintain, and enforce an effective compliance and ethics program with monitoring and auditing systems related to abuse screening and hiring practices. The report states that the facility’s policies required criminal background checks for all employees before hire and prohibited staff from working with vulnerable residents until screening was completed, but these procedures were not followed for a Dietary Manager who was hired while the background inquiry was still pending. Record review showed the Dietary Manager’s background inquiry was submitted before hire but had not been completed. During interviews, the Dietary Manager stated the Administrator knew the background check was still in process and approved them to work anyway. The Administrator confirmed the staff member was working in the facility without a current completed background check and stated they trusted the staff member and did not think supervision was necessary while the check was pending. The Human Resources Director stated the normal process was to complete the background check before a new staff member worked unsupervised with vulnerable residents, and that this was not the normal process in this case. The Human Resources Director also stated the Administrator made the decision to let the staff member work without the completed background check. The DON and Director of Clinical Operations stated new staff should not work with vulnerable residents until the background check was completed and were not aware the Administrator had approved the staff member to work unsupervised while the background inquiry remained pending.
Failure to Protect Abuse Reporter From Retaliation and Harassment
Penalty
Summary
The deficiency involves the facility’s failure to implement its abuse-prevention and anti-retaliation policies to protect an employee who reported alleged abuse of a resident. A dietary aide (Staff Q) reported witnessing a staff member pull Resident #4 by the wheelchair arm and tell the resident, “get your ugly *** out here,” and he immediately reported this to a Unit Manager, who then notified the Risk Manager. After making this report, Staff Q stated that staff spoke loudly about him in a threatening manner, made retaliatory remarks, refused to sign meal-tray forms, and used aggressive tones and profanity toward him. He reported ongoing harassment from both kitchen and nursing staff, but had difficulty identifying those involved because staff were not wearing name badges. Staff Q ultimately resigned by phone, stating he feared for his safety and reiterating that he could not positively identify all involved staff due to the lack of visible name badges. Multiple interviews with facility leadership and staff showed that no investigation into the reported harassment and retaliation was conducted, despite the facility’s written policy stating that the administrator ensures the person reporting suspected violations is protected from retaliation or reprisal. The Dietary Manager reported that when Staff Q told her he was resigning due to harassment after reporting abuse, she did not investigate the harassment herself but notified the Administrator and Risk Manager. The 3rd Floor Unit Manager acknowledged hearing that Staff Q resigned due to harassment but stated staff-to-staff harassment was outside her scope and should be handled by HR. The Risk Manager stated she attempted to contact Staff Q twice, was unable to reach him, and then unsubstantiated the abuse allegation without further investigation. The Administrator confirmed awareness that Staff Q reported being harassed but acknowledged that no investigation into the harassment occurred. A former dietary staff member (Staff R) also reported experiencing harassment from nursing and kitchen staff during his employment and stated he had reported it to HR, who told him to speak with his supervisor, who was allegedly involved in the harassment. The HR Director recalled a harassment report from Staff R, acknowledged uncertainty about the timeline, and admitted staff were “bad about wearing badges,” despite repeatedly instructing them to wear them.
Failure to Maintain Effective Compliance Program and Non-Retaliatory Reporting Culture
Penalty
Summary
The deficiency involves the facility’s failure to develop, implement, and maintain an effective compliance and ethics program that promotes quality of care and prevents and detects violations. Facility policies such as the Code of Conduct and the Non-retaliation and Non-retribution policy state that all affected individuals must act ethically, report concerns in good faith, and are protected from retaliation when reporting suspected violations, fraud, waste, abuse, or unethical behavior. The Non-retaliation policy describes prohibited retaliatory actions and lists various reporting channels, including an anonymous hotline, and the abuse prevention policy states that all employees shall receive information on how and to whom they report concerns without fear of retribution. Despite these written policies, staff interviews revealed that employees did not believe they could report compliance concerns without retaliation and did not trust the facility’s reporting mechanisms. One staff member stated that reporting violations to the DON was a “long shot” and that a unit manager conveyed that their title was more important than the staff reporting to them. Another staff member reported fear of losing vacation, overtime, or future work if they reported issues, and described being contacted by the DON after a prior State Surveyor interview to ask what was discussed. Additional staff reported that anonymous reporting was “a joke,” that someone would always find out who reported, and that they did not feel confident reporting beyond their immediate manager. Another staff member reported fear of retaliation from coworkers, including threats of tire slashing and physical harm, and hearing a threat in the breakroom about having a grown son beat someone up. Surveyor observations of facility administration during the survey further demonstrated an environment inconsistent with an effective compliance and ethics program. The DON told surveyors that their presence stressed staff and that they would “hate for the facility staff to get punchy” with them. During a meeting with the administrator, assistant administrator, and DON, all three spoke in elevated voices, leaned forward, clenched their fists on the table, and repeatedly challenged the survey process, the basis for the Immediate Jeopardy determination, and the questions asked of staff. They demanded to know who decided on the Immediate Jeopardy and what data were provided to supervisors. Later, when surveyors attempted to leave the building, the administrator followed them, stated they could not leave after issuing an Immediate Jeopardy, and questioned how they could depart, despite the surveyors explaining the next steps. These actions and staff reports showed that the facility did not create and promote a credible, safe program contact and anonymous reporting method free from fear of retribution, as required by its own policies and regulatory standards.
Failure to Ensure Ethical Practices and Accurate Reporting in Resident Death
Penalty
Summary
The facility failed to ensure staff adhered to ethical practices and professional standards, resulting in inconsistent and misleading statements regarding the circumstances of a resident's death. Staff provided conflicting accounts about the last time the resident was observed, the care provided, and the initiation of CPR. Documentation in the resident's medical record did not align with staff witness statements, and there were discrepancies in the reported times and actions taken during the code event. For example, one LPN documented that the resident was alert and oriented at a time when she later stated she had not assessed the resident, and a CNA's documentation conflicted with her statements about providing care. Further, high-level personnel oversight was lacking, as evidenced by the failure of the DON and Administrator to ensure accurate and truthful reporting. Staff reported being instructed to provide false witness statements under threat of job loss, and there was evidence that the crash cart was placed in the resident's room prior to EMS arrival to give the impression that CPR was in progress. The DON and Administrator denied knowledge of the resident being deceased prior to CPR and failed to report allegations of neglect and ethical violations when they were brought to their attention by staff. The facility also failed to develop effective lines of communication to encourage immediate reporting of violations without fear of retaliation. When a staff member reported allegations of neglect and unethical behavior, these concerns were not reported to the appropriate authorities. The compliance officer confirmed that ethical behavior was expected, but the facility's actions did not support an environment where staff could report violations without fear. These failures contributed to an inadequate investigation into the resident's death and undermined the facility's compliance and ethics program.
Failure to Remove CNA Convicted of Disqualifying Offense
Penalty
Summary
The facility failed to ensure that a Certified Nurse Aide (CNA) who had been convicted of a disqualifying offense, specifically first-degree misdemeanor domestic violence, did not continue to provide direct care to residents. Personnel records, background check logs, and court documents confirmed that the CNA was arrested and later convicted of domestic violence. Despite this conviction, which is listed as a disqualifying offense under Ohio Administrative Code, the CNA continued to work in the facility and provide direct care to residents. The review of staff schedules showed that the CNA worked multiple shifts after the conviction date, while still on probation for the offense. Interviews with the Human Resources Director and the interim Administrator revealed that both were aware of the conviction but allowed the CNA to continue employment, citing the use of personal character standards. However, the CNA did not meet the specific requirement that at least five years must have elapsed since being fully discharged from probation for an offense of violence, as outlined in the relevant state regulations. Facility policy and the staff handbook clearly state that conviction of a relevant criminal offense may result in termination, and that staff are responsible for reporting such convictions. The facility's own documentation and interviews confirmed that the CNA's continued employment was not in compliance with state law or facility policy, as the CNA had access to all residents during this period despite the disqualifying conviction.
Failure to Ensure Compliance and Ethics Program Adherence by DON
Penalty
Summary
The facility failed to ensure that the Director of Nursing (DON) adhered to ethical expectations and professional standards, as evidenced by backdating evaluations with incorrect documentation. There was no evidence that the DON had received education or competency training for the role, nor was there documentation of the DON's signed job description or acknowledgement of Compliance and Ethics Program orientation education. The Human Resource Assistant, who also served as the Compliance Officer, stated that compliance program information was provided during employee orientation, but did not participate in clinical or resident care meetings and only became involved in employee-related situations such as investigations or terminations. Additionally, compliance program posters, which should have been readily visible for employees, were only present on the Assisted Living Facility side of the building and not on the Skilled Nursing side. The Nursing Home Administrator confirmed that the required compliance documentation for the former DON was missing from the employee file. The facility's own standards outlined the need for sufficient resources, ongoing communication, and annual training to promote quality care, but these requirements were not met as described in the findings.
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