Failure to Timely Report Suspected Restraint Use as Possible Abuse
Summary
The deficiency involves the facility’s failure to timely report an allegation of possible abuse involving the use of restraints on a resident to the State Survey Agency, as required by facility policy and regulation. The resident involved had multiple diagnoses, including Down syndrome, cerebral palsy, type 2 diabetes mellitus, congestive heart failure, chronic atrial fibrillation, epilepsy, chronic kidney disease stage 3, anxiety, restlessness and agitation, lumbar compression fractures, abdominal distension, obstructive uropathy, and urogenital implants. The resident’s MDS showed severely impaired memory and decision-making but no impairment in upper or lower extremity function, and indicated that no restraints or chairs that prevent rising were in use. The care plan documented limited mobility, use of a wheelchair, and need for staff supervision for short ambulation. On the early morning in question, two dietary staff members arriving for day shift observed the resident seated or reclined in a Broda (medical) chair near the nurses’ station. One dietary staff member reported that the resident asked for tea and appeared to have immobile arms, and believed the resident’s wrists were secured with Velcro, though she was uncertain due to dim lighting. She also observed the resident in disposable underwear with a sheet over his waist. The other dietary staff member observed the resident reclined, covered with a white blanket, appearing unable to move his arms or legs, with only his head moving forward, and heard the resident say, “I am done, I am done.” This staff member stated she reported her observations to nursing staff, who told her the resident had been awake all night and would remain in the chair for a while. Neither dietary staff member reported their observations to administration at that time. Later that morning, an Infection Control LPN observed the resident reclined in a Broda chair with feet elevated and recognized that the reclined Broda chair could be considered a restraint, instructing another LPN to transfer the resident to his regular wheelchair. She stated she did not see restraints or distress. The two dietary staff did not bring their concerns to their supervisor until two days later during a morning meeting, at which time they were asked for written statements and the concern was then reported to administration. The Administrator was not notified until that point, and the Facility-Reported Incident was submitted to the State Agency only after this delayed internal reporting. Facility policies required all allegations of abuse, neglect, or exploitation, including potential restraint use, to be reported immediately to the Administrator and appropriate agencies, and staff interviews confirmed that all staff, including non-nursing staff, were expected to immediately report suspected abuse or restraint use, even if uncertain. The delay from the initial observations to notification of administration and reporting to the State Agency constituted the failure to timely report the suspected abuse.
Penalty
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A resident exited the building through a bedroom window, walked off the property, and was observed and redirected by staff with assistance from law enforcement, who encountered the resident down the road and helped escort the resident back. The facility’s internal documentation lacked staff or witness statements and characterized the event as the resident remaining on facility grounds without injury. Despite the resident’s account, a police report, and a maintenance staff report confirming that the resident left the premises and that law enforcement responded, the DON did not report the incident to required state and federal agencies, even though the DON acknowledged that any incident involving law enforcement response must be reported.
Failure to timely report alleged verbal abuse: A volunteer reported that an activities staff member yelled at a resident during bingo, told the resident to stop interrupting, and also yelled at the volunteer when she intervened. The resident later described the staff member as rude and said the comment made him/her angry. Survey review found no evidence the allegation was reported, and the RCD confirmed the facility had no evidence of reporting despite policy requiring immediate reporting of abuse allegations.
The facility failed to ensure that alleged abuse and serious injuries were reported to the State Survey Agency as required, instead either reporting only to a state patient safety system or not reporting at all. One resident with severe cognitive impairment sustained bilateral femur fractures after a fall, another cognitively impaired resident with Parkinson’s disease was later found to have a femur fracture after being discovered on the floor, and a third cognitively impaired resident required ORIF surgery for fractures following a fall; none of these incidents were reported through the State Survey Agency’s incident reporting website, per the ADM. In addition, an allegation that a resident with dementia and sensory impairments may have been molested was documented in the abuse binder but not in the medical record, and the ADM did not report the allegation to agencies or law enforcement after deeming it not credible, despite interviewing the resident and family. These actions and omissions resulted in multiple unreported events that met criteria for immediate reporting of alleged abuse and injuries of unknown source.
A resident with altered mental status developed bilateral wrist discoloration and swelling during ADL care when a CNA reported the resident was resisting and bumped both wrists against a wheelchair during transfer. An RN completed an incident report and nursing note documenting the injury, assessment, and physician notification with an order for x-ray. Facility leadership later acknowledged that this event, which met their policy criteria for an allegation requiring reporting within two hours if involving abuse or serious bodily injury, was not reported to the state survey agency, contrary to the facility’s written abuse, neglect, and exploitation policy.
The facility failed to timely complete and document the results of an abuse investigation after a resident with TBI, anxiety, and mild neurocognitive disorder became increasingly agitated, allegedly attacked staff, and was subsequently taken to the floor by a nurse, resulting in severe left hip pain with leg shortening and external rotation and transfer to the ED. Although an event report was submitted to the State Agency, the investigation report produced later lacked the required PB-22 and did not include the outcome of the investigation, and the DON confirmed the investigation remained incomplete beyond the required timeframe.
A resident with chronic respiratory failure post-tracheostomy, anoxic brain injury, and chronic heart failure, and who was totally dependent for ADLs, was found by nursing staff to have unexplained redness and later a mild contusion on the forehead. Nursing notified the NP and the family and documented that VS were within normal limits and the resident showed no signs of pain or distress, but the cause of the bruise was unknown. Social services did not follow up with APS and the LTC Ombudsman until two days after the injury, and CDPH was not notified until four days after the incident, despite facility policy and state law requiring notification of the state licensing agency within 24 hours and immediate phone notification to the LTC Ombudsman when potential abuse indicators such as bruises or discoloration are identified.
Failure to Report Elopement Incident Involving Law Enforcement
Penalty
Summary
The deficiency involves the facility’s failure to report an elopement incident to required state and federal agencies as mandated by 42 CFR 483.12(c). On the referenced date, Resident #5 exited the building through his bedroom window around 12:15 PM and walked across the facility property toward the perimeter fence. A CNA observed the resident outside and called for assistance, after which staff redirected and escorted the resident back into the building and placed him on one-to-one supervision. The facility’s internal incident documentation noted the window exit and subsequent maintenance inspection of the window seals but did not include any staff or witness statements. The DON later stated that the resident never left facility grounds and was returned without injury, and therefore the incident was not considered reportable. However, interviews and external records showed that the resident did leave the facility premises and that law enforcement was involved. Resident #5 recalled being outside the facility, being brought back by staff and a “police man,” and being told by the officer not to leave again. A police report from the local police department confirmed an encounter with the resident outside the facility and that an officer assisted staff in escorting him back. Maintenance staff (Staff G) also reported that the resident climbed out the window, left the facility property, and was stopped “down the road,” then redirected back with law enforcement assistance. In interviews, the DON initially denied that law enforcement had been notified or involved, then later acknowledged that law enforcement had responded but asserted they did not come into the facility. The DON also confirmed awareness that any incident in which law enforcement investigates or responds is required to be reported, yet the elopement and law enforcement involvement were not reported to the State Survey Agency or other required officials within the required time frames.
Failure to Timely Report Alleged Verbal Abuse
Penalty
Summary
The facility failed to ensure an allegation of verbal abuse was reported timely for resident #55. A volunteer submitted a grievance stating that during bingo on 2/14/26, activities staff member #1 yelled at resident #55 after the resident called out bingo and told the resident to stop interrupting while she was talking. The volunteer reported that the staff member continued yelling for a couple of minutes, and when the volunteer intervened and told the staff member to stop yelling at the resident, the staff member yelled at the volunteer as well. The grievance also stated that two residents, including resident #55 and resident #66, reported that the activities staff member yells at them all the time and speaks to them the same way every time they play bingo. Resident #55 later stated that the issue involved the activities staff member being rude during bingo and saying, in a smart-ass way, "weren't you paying attention?" The resident said the comment made him/her angry and that [he/she] called the staff member names. The volunteer confirmed hearing the staff member speak loudly and rudely to the resident and then yell at the volunteer before storming off. Review of the state survey agency incident database showed no evidence the allegation was reported, and the regional clinical director confirmed the facility had no evidence the verbal abuse allegation was reported. The facility policy required alleged abuse to be reported to the Administrator, state agency, adult protective services, and other required agencies within specified timeframes, immediately but no later than 2 hours when the allegation involved abuse or serious bodily injury.
Failure to Report Alleged Abuse and Serious Injuries to State Survey Agency
Penalty
Summary
The deficiency involves the facility’s failure to ensure that all alleged violations of abuse, including injuries of unknown source and incidents involving major injuries, were reported immediately to the State Survey Agency and other officials as required by state law. For four sampled residents, the Administrator acknowledged that incidents were reported only to the state’s patient safety website and not to the State Survey Agency’s incident reporting website. This omission meant that the State Survey Agency did not receive timely notice of serious events, including an allegation of sexual abuse and multiple incidents resulting in significant fractures and surgery. For one resident with severely impaired cognition and diagnoses including hemiplegia and hemiparesis, nursing notes documented that the resident was found on the floor after attempting to get out of bed, was sent to the ER, and returned with immobilizing braces on both legs due to bilateral femur fractures. The resident’s bones were not strong enough for surgery, and he was placed on comfort care. Despite the seriousness of the injuries and the requirement to treat such events as potential abuse or neglect until ruled out, the Administrator stated that this incident was reported only to the state’s patient safety website and not to the State Survey Agency’s incident reporting system. Another resident with Parkinson’s disease and severely impaired cognition was found on the floor after a wheelchair alarm sounded, initially with no visible injury and able to bear weight. A few days later, staff documented complaints of left leg pain, tenderness, and wincing with movement, leading to an order for x‑rays and transfer for imaging. X‑ray results revealed a femur fracture, and surgery was not pursued. The Administrator reported this incident to the state’s patient safety website but not to the State Survey Agency’s incident reporting website. A third resident with severe cognitive impairment experienced a fall with complaints of pain in the left knee, left elbow, and fingers, and later underwent ORIF surgery for fractures of the right fourth and fifth metacarpals; this incident also was not reported to the State Survey Agency’s incident reporting system, according to the Administrator. For another resident with dementia, adjustment disorder with anxiety, hearing and visual loss, and age‑related debility, a document in the facility’s abuse binder described a possible molestation allegation originating from a phone call by the resident’s nephew. The nephew reported that his mother, the resident’s sister and then‑POA, was emotionally unstable and had stated she felt the resident had reported being molested. The Administrator documented that the nephew did not believe the allegation was credible, that the sister had dementia and emotional issues, and that the Administrator considered the report “not a viable allegation.” The Administrator noted that he interviewed the resident, who denied being touched, and that the sister could not provide more details beyond stating that a man had groped the resident’s breast. The Administrator concluded the allegation was not credible and did not report it to any agencies or law enforcement. The incident was not documented in the resident’s medical record, and the Administrator confirmed in interview that he did not report this sexual abuse allegation to the State Survey Agency’s incident reporting website. Across these four residents, the common deficiency was the facility’s failure to treat serious injuries and a sexual abuse allegation as reportable events to the State Survey Agency, as required. Instead, the Administrator limited reporting to the state’s patient safety website or chose not to report at all when he personally judged an allegation as not credible. This pattern of inaction regarding mandated reporting requirements formed the basis of the cited deficiency.
Failure to Timely Report Allegation of Potential Abuse-Related Injury
Penalty
Summary
The facility failed to timely report an allegation of potential abuse related to an injury sustained by Resident 94 during ADL care. Resident 94, who had a diagnosis including altered mental status, was admitted on an unspecified date and later developed discoloration and swelling of both wrists during clothing changes and transfer by a CNA. An incident report dated 03/20/25 at 9:45 PM, written by an RN, documented that the CNA reported the resident developed bilateral wrist discoloration during ADL care while the resident was resisting, and that the resident bumped both wrists against the wheelchair during transfer. The RN’s documentation noted assessment of the resident’s wrists, presence of discoloration and swelling, and that the physician was notified and ordered an x-ray to rule out fracture, with ice applied to the affected areas. Interviews with facility leadership confirmed that this incident was not reported to the state survey agency (SSA). The CEO stated that the incident from 03/20/25 was not reported to the SSA. The Administrator, who was the DON at the time of the incident, stated that the facility’s practice was to report all allegations of abuse or injury of unknown origin within two hours, but acknowledged that this allegation was not reported because they determined it was not an injury of unknown origin or abuse. Review of the facility’s Abuse, Neglect and Exploitation policy, revised 11/2021, showed a requirement to report all alleged violations to the Administrator, state agency, adult protective services, and other required agencies within specified timeframes, including immediately but not later than two hours after the allegation is made if the events involve abuse or result in serious bodily injury.
Failure to Timely Complete Abuse Investigation After Staff–Resident Altercation With Serious Injury
Penalty
Summary
The deficiency involves the facility’s failure to timely complete and report an investigative report for an allegation of physical abuse resulting in serious bodily injury. Facility policy on Reporting Unusual Occurrences requires that suspected, alleged, or actual abuse, neglect, misappropriation of resident property, fractures, incidents requiring transfer for medical evaluation, and staff-to-resident altercations be reported to appropriate agencies, with a written report forwarded within five working days. Federal regulation at 42 CFR §483.12(c)(4) similarly requires that, at the conclusion of the investigation and no later than five working days of the incident, the facility must report the results of the investigation. The facility’s Abuse policy states that each resident has the right to be free from abuse, including infliction of injury with resulting physical harm, pain, or mental anguish. Clinical record review showed that the resident had diagnoses including traumatic brain injury, anxiety, and mild neurocognitive disorder with behavioral disturbance. A nursing progress note documented that supervisors were urgently called to a unit for a resident attacking staff; upon arrival, the resident was found lying on his right side, screaming, and complaining of left hip pain. The resident stated that a staff member had “tackled” him and that he had intended to “knock his ass out.” Witness accounts indicated the resident had increasing agitation and attempted to punch the nurse and nurse aides; the nurse reported that when the resident swung at him, he grabbed the resident’s arm/shoulder and took him down to the floor. The resident had 10/10 left hip pain with left leg shortening and external rotation, and the physician ordered transfer to a local emergency room. An event report was submitted to the State Agency the following morning, but the facility’s investigation report produced a week later did not include a PB-22 or the outcome of the investigation. In an interview, the DON confirmed the investigation was not complete and acknowledged the facility failed to timely complete the investigative report for this allegation of physical abuse with serious bodily injury.
Failure to Timely Report Injury of Unknown Origin to Required Agencies
Penalty
Summary
The deficiency involves the facility’s failure to timely report an injury of unknown origin for one resident to CDPH, APS, and the LTC Ombudsman within 24 hours, as required by state law and the facility’s abuse policy. The resident had been readmitted in March 2026 with chronic respiratory failure post-tracheostomy, anoxic brain injury, and chronic heart failure. An MDS assessment from January 2026 documented that the resident had severely impaired cognitive skills for daily decision-making and was dependent on staff for all activities of daily living and transfers. On 3/22/2026 at 5:49 p.m., the resident’s primary nurse notified the charge nurse that redness was noted on the resident’s forehead. The resident’s wife and daughter were at the bedside and were informed of the redness. The NP was notified to assess the resident, vital signs were within normal limits, and the resident appeared comfortable with no signs or symptoms of pain or distress. Later that evening at 8:30 p.m., nursing documentation indicated that the resident’s wife was notified that the NP had assessed the forehead discoloration as a mild contusion, with a plan to monitor and administer pain medication as needed. The cause of the bruise was unknown, meeting the definition of an injury of unknown origin. On 3/24/2026 at 10:49 a.m., a social services note documented that the SW consulted with Risk Management and the Social Services Manager regarding the need to report the bruise of unknown cause on the resident’s forehead. The SW attempted to contact the LTC Ombudsman that day, leaving a voicemail, and completed and faxed the SOC341 form to APS on the same date, which was two days after the incident. The facility’s incident report, dated 3/26/2026, showed the incident occurred on 3/22/2026 at 1:10 p.m. and that CDPH was notified on 3/26/2026, four days after the incident. During interviews, the DRQ and SW confirmed these timelines and acknowledged that reporting occurred more than 24 hours after the incident, contrary to state law and the facility’s abuse policy, which requires notification of the state licensing agency within 24 hours and immediate phone notification to the LTC Ombudsman when indicators such as bruises or discoloration are present.
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