Failure to Report Abuse Allegations in a Timely Manner
Summary
The facility failed to report allegations of abuse involving two residents to the appropriate authorities within the required timeframe. One resident alleged that a CNA made inappropriate sexual advances, but the social worker did not report this to the administrator or the Health and Human Services Commission (HHSC). The Director of Nursing (DON) was also aware of the allegation but did not report it, as the resident had a history of making false allegations. The CNA in question continued to work at the facility until he was terminated for unrelated reasons. Another resident reported that a CNA caused a leg injury during care, but the allegation was not reported to HHSC. The resident stated that the injury was not intentional, and the CNA was not suspended or investigated at the time. The DON and the administrator were aware of the incident but did not report it, as they believed there was no intentional harm. The resident later received a diagnosis of a chronic femur fracture. Interviews with staff revealed a lack of consistent reporting and documentation of abuse allegations. The social worker admitted to not documenting or reporting the sexual abuse allegation due to the resident's history of making false claims. The DON and administrator acknowledged the importance of reporting but failed to act promptly. This lack of action placed residents at risk of further abuse and highlighted deficiencies in the facility's abuse reporting procedures.
Removal Plan
- Resident #1 was discharged from the facility.
- An Allegation of Abuse was reported to HHSC for Resident #1.
- The LBSW Social Worker was suspended pending investigation outcome related to the allegation of sexual abuse for Resident #1.
- The Director of Nursing was suspended pending investigation outcome related to the allegation of sexual abuse for Resident #1.
- Resident #2 was interviewed regarding abuse and neglect with no reports and/or allegations of being abused and/or neglected.
- Resident #2 was reassessed head to toe by the License Nurse related to abuse and neglect with no concerns noted.
- An allegation of abuse was reported to HHSC for Resident #2.
- The Director of Nursing was suspended pending investigation outcome related to the allegation of abuse for Resident #2.
- The Administrator was suspended pending investigation outcome related to the allegation of abuse for Resident #2.
- The C.N.A. Resident #2 reported provided care at the time of the incident was suspended pending investigation outcome related to the allegation of abuse for Resident #2.
- The Administrator and/or designee completed 100% of interviews of interviewable residents to assess for potential abuse, neglect, mistreatment, and misappropriation. Findings: No additional concerns were identified.
- Head-to-toe assessments were completed by the Licensed Nurse on residents with a BIMS below 12 to identify any signs of injuries of unknown source and/or evidence of abuse, neglect and mistreatment with no concerns identified.
- The Administrator and/or designee completed staff interviews with all staff to identify concerns related to abuse, neglect, mistreatment, and misappropriation with no concerns noted.
- The DON/designee reviewed the resident progress notes to ensure concerns related to abuse, neglect, mistreatment and/or misappropriation were identified, reported to HHSC and an investigation initiated with appropriate staff suspension. Findings: No additional concerns were identified.
- The DON/Designee reviewed incident/accidents to ensure that investigations, timely reporting to HHSC as indicated with appropriate staff suspension, and resident assessments to include head to toe assessments were completed. Findings: No additional concerns were identified.
- The Administrator and/or Designee reviewed resident grievances to ensure that grievances were investigated and reported timely to HHSC as indicated with appropriate staff suspension(s). Findings: No additional concerns were identified.
- The Regional President of Operations and Regional Clinical Specialist reeducated the Administrator (Abuse Coordinator) and Director of Nursing on Abuse and Neglect and Abuse Policy to include criteria for reporting, timely reporting, and reporting timeframes; as well as timely initiation of the investigation into the allegation. Reeducation included immediate identification and suspension of all personnel suspected to be involved in the allegation.
- The Administrator/DON and/or designee began reeducation to 100% of facility staff on the following: On Abuse and Neglect and Abuse Policy to include criteria for reporting, timely reporting, and reporting timeframes; as well as resident protection with examples provided. Employees were reeducated on the facility investigation process which includes immediate identification and suspension of all personnel suspected to be involved in the allegation. Facility staff were reeducated the Abuse Coordinator and the Abuse Coordinator's role, as well as the Abuse Coordinator's contact information and where this information is located. Staff were reeducated on notifying the Director of Nursing, their immediate supervisor and/or regional staff if they are unable to reach the abuse coordinator.
- Any facility staff on FMLA, Leave of Absence, non-scheduled workday or PTO will be reeducated by the Administrator and/or designee prior to the start of their next scheduled shift.
- The facility maintains an onsite Weekend Manager and Nursing Supervisor that conduct rounds and may initiate and address resident incidents and will escalate to the appropriate administrative staff when required.
- The Administrator who is the Abuse Prevention Coordinator will be immediately notified for any concerns with Abuse, Neglect and Misappropriation.
- To monitor, the Administrator and/or designee and Director of Nursing/designee will review the 24-hour report, resident incidents, and grievances in facility Stand-up Morning Meeting, attended Monday-Friday. 24 Hour Report and resident incidents will be reviewed for potential abuse situations and need for reporting as per HHSC guidelines. Review will also include ensuring investigation, resident assessments to include a head-to-toe assessments were completed and provided.
- The Administrator will monitor to ensure new resident incidents are reviewed daily Monday-Friday to ensure concerns are addressed timely and if necessary, reported per HHSC guidelines, investigation was completed, resident assessments were completed and provided.
- Administrator/designee will conduct quarterly and as needed on Abuse, Neglect, & Exploitation education to ensure facility staff remains knowledgeable on the identification and reporting of abuse/neglect/exploitation.
- The facility has the Ambassador Rounds Program in place where administrative staff is assigned to residents. Staff will round and visit to ensure resident wellness and safety. Findings/concerns will be reported to the Administrator/Abuse Coordinator immediately.
- An AdHoc QAPI was conducted, attended by the Administrator, DON, Medical Director, and Regional Clinical Specialist to discuss the Immediate Jeopardy concerning F 609 - Immediate reporting of allegations of abuse, neglect, and exploitation and misappropriation of resident property and develop the above Action Plan.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A cognitively intact resident with a history of vertebral compression fracture, repeated falls, and bipolar disorder alleged that an RN hurt his back while assisting him to sit up during a medication pass, becoming combative and stating he was injured. Witnesses confirmed the interaction and noted the resident’s agitation and dislike of the nurse. The DON acknowledged the resident’s ongoing issues with certain nursing staff, and the Ombudsman reported notifying the Administrator that the resident had alleged physical abuse by staff. Despite this, the Administrator did not submit a required self-reported incident to the State agency, contrary to facility policy mandating timely reporting of all abuse allegations.
The facility failed to report an allegation of verbal abuse to the state agency as required by its abuse policy. A resident with multiple chronic conditions and intact cognition had elected video monitoring in the room. Video review showed an LPN shouting at the resident and using foul language, and a family member later submitted a written concern about the LPN’s behavior. The conduct was documented as disrespectful, abusive, and unprofessional, and the IDON confirmed it met criteria for a self-reportable incident. The HR director identified the affected resident, but the Administrator acknowledged that the incident was never reported to the state agency, contrary to the facility’s requirement to report abuse allegations within specified timeframes.
The facility failed to self-report multiple resident-to-resident physical altercations as allegations of abuse to the State Agency, despite having internal documentation and an abuse policy requiring such reporting. In several separate events, cognitively impaired residents with known histories of aggressive behaviors hit or punched other cognitively impaired residents in the abdomen, head, face, or chest. Nursing staff and CNAs documented the incidents, assessed the involved residents, and noted that no visible injuries were present, although one resident reported pain. The Administrator, DON, and other clinical leadership acknowledged that internal investigations were completed but stated that no Self-Reported Incidents were submitted because they believed there was no injury and that the residents lacked intent to harm or cause mental anguish, contrary to the facility’s written abuse policy and abuse flow sheet, which defined physical abuse to include hitting and required timely reporting of alleged violations involving abuse.
A resident with severe cognitive impairment and multiple comorbidities, who depended on staff for most care, was found by a family member to have a light purple bruise on the right cheek while being assisted with lunch. The RN on duty had not previously noticed the discoloration and notified the DON, who suggested it might have resulted from contact with a bedrail during incontinence care, though staff interviews did not confirm any such contact. The incident report lacked a clear description of the event, no skin assessment or medical record entry was completed for that day, the bruise was not logged on the incident/accident log, and no self-reported incident was submitted to the State Survey Agency, despite facility policy requiring timely reporting of suspected abuse or injuries of unknown origin.
A resident with severe cognitive impairment and multiple comorbidities alleged that a male CNA attempted to force sexual contact during personal care, identifying him by name and description. A social worker designee and the HR director interviewed the resident, confirmed the description matched a CNA on duty, and notified the Administrator by phone, but the incident was not documented in the medical record and was not promptly reported to the state as a sexual abuse allegation per facility policy. The internal investigation for that day lacked detailed witness statements from key staff and concluded no abuse occurred, relying in part on the resident’s son’s belief that no investigation was needed. When an SRI was later submitted, it was entered as physical abuse rather than sexual abuse, and a subsequent police report reflected conflicting information about when the facility became aware of the allegation.
A cognitively intact resident with multiple psychiatric and medical diagnoses reported to a provider that an LPN became angry, yelled, and used profanity toward them. This allegation of verbal abuse was documented in the medical record but was not entered into the facility’s SRI system, and the Administrator was not informed, so no timely reporting or investigation occurred as required by the facility’s abuse policy and federal timeframes.
Failure to Report Resident’s Allegation of Staff Abuse to State Agency
Penalty
Summary
Failure to timely report a resident’s allegation of staff-to-resident abuse to the State agency occurred after a cognitively intact resident with a history of wedge compression fracture of the T7-T8 vertebra, repeated falls, and bipolar disorder alleged that a nurse hurt his back while assisting him to sit up in bed. On the morning in question, a CPT RN entered the resident’s room to administer medications and, according to witness statements, the resident asked for help to sit up. The nurse assisted by holding the resident’s wrists/hands while he moved to a sitting position. Witness statements documented that the resident became combative, abusive, and agitated during the interaction, and that he did not like the nurse or new staff. The nurse later reported that the resident stated she had hurt him, which she denied. The DON reported that the resident had problems with Nigerian nursing staff and specifically with the CPT RN involved. The Administrator stated that the resident did not report abuse, but rather that the nurse pulled his hands to help him up and he felt it hurt his back, and confirmed that no Self-Reported Incident (SRI) was filed with the State agency. An Ombudsman reported calling the Administrator and relaying that the resident had alleged physical abuse by nursing staff, yet an SRI was still not submitted. This inaction occurred despite the facility’s abuse, neglect, and misappropriation policy requiring that alleged violations involving abuse be reported to the State Survey Agency and other authorities within specified time frames.
Failure to Report Verbal Abuse Allegation to State Agency
Penalty
Summary
The facility failed to report an allegation of verbal abuse to the state agency as required by its abuse, neglect and exploitation policy. Resident #65, who had diagnoses including atrial fibrillation, obesity, tremor, need for assistance with personal care, and Parkinsonism, was admitted on 07/23/25 and discharged on 03/02/26, with a quarterly MDS dated 01/28/26 indicating intact cognition. The resident’s care plan, initiated 07/29/25 and revised 08/12/25, documented that the resident elected to have video monitoring in his room. Review of the resident’s progress notes from 12/01/25 through 12/22/25 showed no documentation of verbal abuse by staff. Review of LPN #221’s personnel file on 03/26/26 revealed a Corrective Action Report (CAR) signed 01/01/26 for incidents on 12/01/25 and 12/22/25, citing violations of rules of conduct and behavior. The CAR documented that on 12/01/25, LPN #221 was observed on video shouting at the resident and using foul or cursing language, and that on 12/22/25 a family member submitted a written concern regarding the LPN’s behavior toward them. The CAR described this behavior as disrespectful, abusive, and unprofessional. The Interim DON confirmed that the described behavior met criteria for a self-reportable incident. The Human Resources Director confirmed that Resident #65 was the resident involved. The Administrator later confirmed that the incident was not reported to the state agency, despite the facility’s policy requiring immediate reporting, but no later than two hours after an allegation of abuse is made. This deficiency was identified incidentally during a complaint survey completed on 03/26/26.
Failure to Self-Report Resident-to-Resident Physical Altercations as Alleged Abuse
Penalty
Summary
The deficiency involves the facility’s failure to timely self-report multiple resident-to-resident physical altercations to the State Agency (SA) as allegations of abuse, in accordance with federal requirements and the facility’s own Abuse, Neglect and Exploitation policy. For one incident, a resident with Alzheimer’s disease, dementia with mood disturbance, bipolar disorder, anxiety, depression, and obesity, who had a documented history of verbal and physical aggression, pushed and struck another cognitively impaired resident in the abdomen after the second resident slammed a dining room chair into a table and attempted to push the first resident’s wheelchair. The second resident then struck the first resident on the back of the head. Nursing notes and internal incident reports documented the altercation, assessments, and that no injuries were observed. The Administrator and DON acknowledged that an internal investigation was conducted but confirmed that no Self-Reported Incident (SRI) was filed because there was no injury and they believed the residents lacked the ability to intend harm or cause mental anguish, despite the facility’s abuse flow sheet indicating that the reasonable person concept should be applied to such physical altercations. In a separate incident involving the same aggressive resident, staff responded to another resident’s room after hearing a verbal outburst. They found the cognitively impaired resident who had a history of aggressive behaviors sitting on the other resident’s bed, while the room’s occupant, who had Alzheimer’s disease with late onset, psychosis, vascular dementia, and other psychiatric and behavioral diagnoses, was in a wheelchair eating dinner. The room’s occupant reported that the aggressive resident had come into his room, gotten onto his bed, and punched him in the face. Nursing documentation and an internal risk report confirmed that the residents were separated and that no injuries were observed. The Administrator and DON again stated that an internal investigation was completed but that no SRI was submitted to the SA because there was no injury and they believed the residents involved did not have the ability to intend harm or cause mental anguish, even though the facility’s policy and abuse flow sheet defined physical abuse to include hitting and required reporting of alleged violations within specified timeframes. Another incident involved a resident with dementia and extensive behavioral symptoms, including exit seeking, physical aggression toward staff, verbal aggression, wandering into other residents’ rooms, and other disruptive behaviors, striking a severely cognitively impaired resident with multiple medical conditions, including vascular dementia, chronic obstructive pulmonary disease, heart disease, and chronic kidney disease. According to the Incident Audit Report and a Physical Aggression Form, a CNA witnessed the aggressive resident hit the other resident in the left side of the chest with her hand in a common area and immediately redirected the aggressor. The nurse assessed the struck resident, documented no redness or bruising, and recorded vital signs within normal limits, though the resident stated that it hurt and did not know why she had been hit. The physician and family were notified, and monitoring for pain or bruising was ordered. The DON stated that no SRI was completed because she did not believe the resident sustained an injury requiring reporting, despite the facility’s Abuse, Neglect and Exploitation policy defining physical abuse as including hitting and requiring immediate reporting of alleged violations involving abuse to the SA within the required timeframe. Across these events, record review, interviews, and policy review showed that the facility consistently treated these resident-to-resident physical altercations as internal incidents without reporting them as allegations of abuse to the SA. The facility’s abuse policy and undated abuse flow sheet specified that physical abuse includes hitting, slapping, punching, biting, and kicking, and that alleged violations involving abuse must be reported immediately, but not later than two hours after the allegation is made, when the events involve abuse or result in serious bodily injury. The abuse flow sheet also clarified that having a mental disorder or cognitive impairment does not automatically preclude a resident from engaging in deliberate or non-accidental actions and directed staff to use the reasonable person concept to determine psychosocial impact. Despite this, the Administrator, DON, and RN/VPOC acknowledged that SRIs were not filed for these incidents because they focused on the absence of observed injury and their belief that the residents lacked intent, rather than on the willful nature of the physical acts and the reasonable potential for injury or mental anguish as required by their own policy.
Failure to Report and Document Injury of Unknown Origin
Penalty
Summary
The deficiency involves the facility’s failure to report an allegation of an injury of unknown origin to the State Survey Agency as required by policy and regulation. A resident with Alzheimer’s disease, severe cognitive impairment (BIMS score of 00), protein calorie malnutrition, major depressive disorder, and chronic kidney disease was dependent on staff for most activities of daily living and required monitoring for skin concerns during care. On the date in question, the resident’s family member observed a light purple bruise or discoloration on the resident’s right cheek while staff were assisting with lunch and reported it to an RN, who had not previously noticed the area and then notified the DON. The DON assessed the area and suggested it could have been caused by the resident’s cheek resting on a side rail during incontinence care, but staff interviews revealed no evidence that the resident’s face had come into contact with the bed rail. Despite the family’s report and the DON’s stated intent to investigate, the incident was not fully documented or reported as required. The facility’s incident report did not specify the nature of the incident, and there was no skin assessment documented in the medical record on the date the bruise was identified. The bruise was not entered on the February incident/accident log, and review of the state’s Enhanced Information Dissemination Collection system showed no self-reported incident related to the resident’s facial discoloration for the relevant period. The DON confirmed that no self-reported incident was submitted regarding this injury of unknown origin, contrary to the facility’s abuse policy, which requires notification of the Ohio Department of Health within 24 hours and completion of an investigation within five days.
Failure to Timely Report and Properly Classify Allegation of Sexual Abuse
Penalty
Summary
The deficiency involves the facility’s failure to timely report an allegation of staff-to-resident sexual abuse to the state agency as required by policy. A resident with severe cognitive impairment, dementia, depression, and multiple medical conditions, who required extensive assistance of two staff for mobility and transfers, alleged that a male CNA attempted to put his genitalia in her mouth. The resident identified the alleged perpetrator by name and physical description, which matched a male CNA on duty. The social worker designee and the human resources director interviewed the resident the same morning, confirmed the description, and contacted the Administrator by phone while in the resident’s room, placing the Administrator on speaker so she could hear the interview and reported events. Despite the Administrator being made aware of the allegation on the same morning it occurred, the facility did not document the incident in the resident’s medical record and did not report the allegation of sexual abuse to the state agency at that time. The internal investigation file for that date contained only brief, non-witness statements from staff attesting generally to the CNA’s behavior, with no detailed statements from the social worker designee, the human resources director, the LPN caring for the resident, or the CNA accused. The investigation summary concluded that the resident was confused and combative during personal care and that no abuse occurred, and the facility relied in part on the resident’s son’s opinion that an investigation was not needed and that the resident might have a urinary tract infection. Subsequently, when an SRI was entered into the state’s reporting system, it was categorized as physical abuse rather than sexual abuse, and there was no SRI entered for the original date of the allegation. A police report later documented that the Administrator reported the incident as sexual in nature and stated that the facility was not made aware of the allegation until the resident’s son reported concerns, which conflicted with staff interviews confirming the Administrator’s awareness on the date of the incident. The facility’s own abuse policy required that any allegation or suspicion of all types of abuse be reported to the state agency prior to investigation, but the allegation of staff-to-resident sexual abuse was not reported as such when initially known, and the investigation was incomplete and poorly documented.
Failure to Timely Report Allegation of Verbal Abuse
Penalty
Summary
The deficiency involves the facility’s failure to timely report an allegation of verbal abuse and initiate an investigation in accordance with its abuse reporting policy and federal requirements. Resident #23, admitted on 02/02/26 with diagnoses including bipolar disorder (current episode manic without psychotic features, moderate), anxiety disorder, hypothyroidism, mixed hyperlipidemia, major depressive disorder (single episode, severe, without psychotic features), and hypertension, was documented as cognitively intact on the admission MDS. The MDS also showed the resident required supervision for toileting, bathing, dressing, and transfers, setup assistance for oral and personal hygiene, and was independent with eating and bed mobility. On 02/16/26, a provider visit note signed by Former Nurse Practitioner #175 documented that Resident #23 reported an incident in which a staff member, identified as LPN #94, became angry, yelled, and used profanity toward the resident. Review of the facility’s electronic Self-Reported Incidents (SRI) system from 02/16/26 to 03/11/26 showed no alleged incidents involving this resident had been entered. During an interview on 03/11/26, the Administrator stated she had not been informed of any abuse allegation involving LPN #94 and Resident #23 and indicated she would have reported and investigated the allegation if she had been made aware. Review of the facility’s Abuse, Neglect, Exploitation and Misappropriation Prevention Program policy, revised 04/2021, showed the facility was required to investigate and report any allegations within federally required timeframes; this did not occur for the allegation involving Resident #23.
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