Failure to Educate Residents on Risks and Benefits of Flu and Pneumonia Vaccines
Summary
Surveyors identified a deficiency related to the facility’s failure to educate residents on the risks and benefits of pneumococcal and influenza immunizations as required by facility policy and SOM Appendix PP. The facility’s written policy, last reviewed on 12/22/25, stated that prior to administration of influenza or pneumococcal vaccines, the resident or legal representative would be provided the current CDC Vaccine Information Statement, supplemented with visual or oral explanations, and that a signed consent form and documentation of education and acceptance/refusal would be maintained in the medical record. Record review and staff interview showed that this process was not followed for several residents. For one resident with muscle wasting and osteonecrosis who was readmitted to the facility, the medical record did not contain documentation that he was offered the opportunity to accept or decline the pneumococcal vaccine based on education about risks and benefits, and the Clinical RN confirmed there were no records of such education. For another resident with cancer and coronary artery disease, the record likewise lacked documentation of education or an opportunity to accept or decline the pneumococcal vaccine, which the Clinical RN also confirmed. A third resident with osteoarthritis, protein-calorie malnutrition, and dementia, and/or her representative, had no documented evidence in the record that she was offered the opportunity to accept or decline influenza and pneumococcal vaccines based on staff education regarding risks and benefits, and the Clinical RN again stated there were no records of this education. This lack of documented education and consent occurred for 3 of 5 residents reviewed for current immunizations.
Penalty
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Influenza vaccine documentation was incomplete for three residents reviewed. One cognitively intact resident refused the vaccine, but the record showed no education, no documented risks/benefits discussion, and no supporting progress note. A resident with severe dementia received the vaccine without documentation of family or LAR contact, physician best-interest review, or evidence that verbal consent was appropriate. Another cognitively intact resident also had no documented education or dated verbal consent at the time the vaccine was given.
Two residents with severe cognitive impairment and multiple chronic conditions did not receive pneumococcal vaccinations in accordance with CDC guidelines. One resident had no record of receiving any pneumococcal vaccine, while another was not offered an additional dose as recommended. An LPN confirmed the lack of proper vaccination documentation, despite facility policy requiring immunizations for all residents unless contraindicated or refused.
Several residents with complex medical conditions were not offered, screened, educated, or documented for pneumococcal vaccination, as required. Immunization records lacked evidence of vaccination, consent, or education, and interviews with the DON and a regional nurse consultant confirmed that the facility prioritized influenza and COVID-19 vaccines instead of pneumococcal vaccines.
Several residents with chronic conditions such as dementia, schizophrenia, heart failure, and COPD did not have documentation of being offered, screened, educated, or administered influenza and pneumococcal vaccines as required by facility policy and CDC guidance. Staff interviews confirmed the absence of vaccination records, consents, refusals, or education in the medical records for these residents.
The facility did not ensure that education on the risks and benefits of flu and pneumonia vaccines was provided or documented, and failed to obtain written consent for these immunizations. Several residents with complex medical conditions were affected, with consent forms either missing, incomplete, or only indicating verbal consent or declination without specifying who made the decision or providing a signature. Staff confirmed that forms were not properly completed, following instructions from the previous DON.
Three residents with complex medical conditions received influenza vaccinations without documented consent or evidence of receiving required vaccine education. Review of records and staff interviews confirmed that the facility did not follow its policy to provide CDC vaccine information statements and obtain signed consent forms prior to administering the vaccine.
Influenza Vaccine Consent and Documentation Deficiencies
Penalty
Summary
The facility failed to ensure influenza vaccinations were completed properly for three residents reviewed for vaccines. For one resident with acute and chronic respiratory failure, obstructive sleep apnea, morbid obesity with alveolar hypoventilation, and intact cognition, the record showed the resident refused the influenza vaccine, but the immunization record marked education as not provided. The signed consent form contained only the word declined, with no resident signature, no documentation that risks and benefits were explained, and no progress notes showing education or the resident’s informed decision to decline the vaccine. For a second resident with severe dementia, hemiplegia and hemiparesis following cerebral infarction, respiratory failure, heart failure, emphysema, dysphagia, depression, mood disorder, convulsions, obesity, and a BIMS score of 2, the record showed the influenza vaccine was administered with verbal consent documented and education marked as not provided. There was no documentation that the resident understood the risks and benefits, no physician review or determination that the vaccine was in the resident’s best interest, no documentation of attempts to contact family or a legally authorized representative, and no progress note supporting how consent was obtained or why verbal consent was appropriate for a resident with severe cognitive impairment. For a third resident with multiple sclerosis, polyneuropathy, anxiety disorder, and intact cognition, the influenza vaccine was documented as administered with consent confirmed, but education was again marked as not provided. The consent form stated verbal consent was obtained, but no date was documented next to that statement, and the medical record contained no progress notes showing when verbal consent was obtained or that risks and benefits were explained before the vaccine was given. An additional vaccine consent form signed later included influenza, COVID-19, and pneumococcal vaccines, but it was dated after the influenza vaccine had already been administered.
Failure to Administer Pneumococcal Vaccines per CDC Recommendations
Penalty
Summary
The facility failed to administer pneumococcal vaccines according to CDC recommendations for two out of five residents reviewed for immunizations. One resident, admitted with multiple diagnoses including Alzheimer's disease, dementia, and chronic obstructive pulmonary disease, had no record of receiving any pneumococcal vaccinations, and the nursing admission assessment did not document vaccination history. This was confirmed by an LPN who verified the absence of pneumococcal vaccination records in the resident's medical file. Another resident, also with multiple chronic conditions such as COPD, vascular dementia, and diabetes, had documentation of receiving a single dose of pneumococcal vaccine prior to admission but was not offered an additional dose as recommended by current CDC guidelines. The facility's policy required obtaining informed consent and providing immunizations, including pneumococcal vaccines, to all residents unless contraindicated or refused, but this was not followed in these cases.
Failure to Offer and Document Pneumococcal Vaccinations
Penalty
Summary
The facility failed to ensure that residents were offered, screened, educated, and received pneumococcal vaccinations as required. Record reviews for five residents revealed no documentation of pneumococcal vaccination, consent or declination, or education provided regarding the vaccine. These residents had various medical conditions, including fractures, hemiplegia, vascular dementia, diabetes, quadriplegia, and infections, and were admitted to the facility at different times. The absence of documentation affected all five residents reviewed for vaccinations, with the potential to impact all residents in the facility except those specifically identified as not eligible for the vaccine. Interviews with the DON and Regional Nurse Consultant confirmed that pneumococcal vaccines were not offered to residents, as the focus had been on influenza and COVID-19 vaccinations during the fall. The DON acknowledged awareness of the requirement to offer pneumococcal vaccines and indicated it would be prioritized in the future. Review of CDC guidance confirmed the recommendation for pneumococcal vaccination for adults 50 years or older and those at increased risk, emphasizing the need to follow the recommended immunization schedule.
Failure to Document and Administer Required Influenza and Pneumococcal Vaccinations
Penalty
Summary
The facility failed to ensure that residents were offered, screened, educated, and received influenza and pneumococcal vaccinations as required by both facility policy and CDC guidance. This deficiency was identified through record reviews, policy reviews, and staff interviews, affecting five residents who were reviewed for vaccinations, with the potential to impact all 59 residents in the facility. For each of the five residents, there was no documentation in the medical records regarding the administration of influenza or pneumococcal vaccines, nor any record of consent, declination, or education provided about these vaccines. Specifically, the medical records for residents with various diagnoses, including dementia, schizophrenia, muscle weakness, congestive heart failure, asthma, morbid obesity, diabetes, respiratory failure, and COPD, lacked any evidence of vaccination status or related documentation. Interviews with the President of Operations and the Regional Registered Nurse confirmed that they were unable to locate any vaccination records, refusals, or educational materials for these residents in the electronic medical records. This absence of documentation was consistent across all five residents reviewed. Facility policies required that for residents who received vaccines, the date, lot number, expiration date, person administering, and site of vaccination be documented in the medical record, and that refusals also be documented. Additionally, policies stated that residents should be assessed for vaccine eligibility upon or prior to admission and offered the vaccine series within thirty days unless contraindicated. The CDC guidance reviewed also emphasized the importance of following recommended immunization schedules for at-risk populations, but there was no evidence that these requirements were met for the residents in question.
Failure to Provide and Document Immunization Education and Consent
Penalty
Summary
The facility failed to ensure that education on the risks and benefits of influenza and pneumococcal immunizations was provided to residents or their representatives, and failed to obtain written consent for these vaccinations. In multiple cases, consent forms were either missing, incomplete, or only indicated verbal consent or declination without specifying who made the decision or providing a signature. For example, some forms did not indicate whether the resident or a representative provided consent or declination, and there was no documentation that education was given regarding the vaccines. Several residents with complex medical histories, including conditions such as hypertension, dementia, hemiplegia, Alzheimer's disease, Parkinson's disease, end stage renal disease, and dependence on renal dialysis, were affected by these documentation failures. In some instances, residents received vaccinations despite the medical record indicating a verbal declination, and in other cases, there was no consent form present at all for administered vaccines. The facility's own policies required that education be provided and documented, and that consent or declination be recorded in the medical record, but these steps were not consistently followed. Staff interviews confirmed that the immunization consent forms lacked signatures and did not specify who provided consent or declination. An LPN stated that the previous DON had instructed staff to simply write "verbal" or "verbally" on the forms, which was considered sufficient at the time. This practice resulted in incomplete documentation and a lack of evidence that residents or their representatives were properly informed or had provided written consent for immunizations.
Failure to Obtain Consent and Provide Education Prior to Influenza Vaccination
Penalty
Summary
The facility failed to obtain consent and provide education prior to administering the influenza vaccine to three residents. For each of these residents, medical record review showed that the influenza vaccination was given, but there was no documentation of a signed consent form or evidence that vaccine information or education was provided before administration. Interviews with the MDS Coordinator confirmed that the required consent forms and educational documentation were missing for all three residents. The affected residents had complex medical histories, including diagnoses such as dementia, chronic kidney disease, cirrhosis, Alzheimer's disease, malnutrition, chronic obstructive pulmonary disease, and other serious conditions. Despite the facility's policy requiring that the CDC's vaccine information statement be provided and consent obtained prior to vaccination, these steps were not documented or completed for the residents in question.
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