Failure to Timely Report and Investigate Resident-to-Resident Physical Abuse
Summary
The deficiency involves the facility’s failure to timely report and investigate an allegation of resident-to-resident physical abuse to the Administrator and the State Survey Agency as required by policy and regulation. A cognitively impaired resident with left-sided hemiparesis, a history of stroke, anemia, and aspirin therapy, who required extensive assistance with ADLs and used a wheelchair, reported that his roommate came through the closed privacy curtain and punched him in the left shoulder while he was lying in bed dozing. The resident stated he did not know why he was hit and later reported being scared after the incident, fearing his roommate would find him again. He reported the incident to nursing staff but could not recall which nurse, and he stated that no one followed up with him or asked him for a statement, and he was not aware of any investigation. Multiple staff accounts and documentation showed that the incident was initially treated as a verbal altercation and not reported as physical abuse. A late entry progress note authored by the DON, who was not in the building at the time of the event, documented that the roommate was upset about TV volume and that no harm came to the resident. The Administrator reported that the DON informed her there had only been a verbal altercation and that the residents would be separated due to ongoing bickering about the TV, and based on this information the Administrator did not report the incident to the State Agency. The ADON, who was also not in the building at the time, confirmed there was no documentation of family or physician notification regarding the resident being hit, and acknowledged that the roommate was the aggressor. A CNA reported hearing a nurse yell for help and being told that the roommate was punching the resident; when the CNA asked the resident if he was okay, the resident said he could not talk about it because he did not want the roommate to "get" him again, and the CNA described the resident as scared and terrified. The CNA stated they were not asked to make a statement on the day of the incident or in the days following. Further interviews and grievance documentation later confirmed that the roommate admitted to physically striking the resident. The social services designee, who was not present when the incident occurred, learned of the altercation days later from CNAs and interviewed both residents. The injured resident described being hit in the shoulder and mentioned having a knot on his shoulder, which the designee did not verify. The roommate stated that he had heard the other resident use an expletive and that he went over and slapped him with an open hand on the head, later reiterating that he hit him in either the head or shoulder. The social services designee reported this information to corporate staff and completed grievance forms, which were eventually sent to the Administrator. Despite a text from the DON to the corporate VPO indicating there might be a self-reported incident and then stating "never mind" later that same day, there was no documented investigation by the DON. Subsequent observation revealed yellow-green bruising on the resident’s left bicep and a quarter-sized bruise on the left shoulder in various stages of healing, which the resident attributed to the altercation, and this was verified by a CNA. The facility’s abuse policy required timely reporting of all allegations of abuse to the Administrator and the state agency, protection of residents, notification of the physician and representative, and completion of an investigation within five working days, but these steps were not carried out as required for this incident. The second resident involved, the roommate, had a history of anxiety, heart failure, pulmonary embolism, and documented inappropriate behaviors including verbal and physical aggression toward staff and delusions. His care plan included goals for no injury to self or others and interventions such as documenting behaviors and redirecting him. His MDS showed moderate cognitive impairment and independence or supervision for mobility and transfers. A late entry progress note by the DON documented that he was yelling and verbally aggressive about TV volume and told his roommate to turn the volume down, but did not document the physical contact he later admitted. The combination of delayed recognition and documentation of the physical nature of the altercation, lack of timely reporting to the Administrator and State Survey Agency, absence of required notifications, and lack of a documented investigation within the facility’s specified timeframe led to the cited deficiency. The facility’s written abuse policy required that all incidents and allegations of abuse, neglect, exploitation, mistreatment, misappropriation, and injuries of unknown source be reported to the Administrator and to the state health department within specified timeframes, including within two hours for allegations of abuse or serious bodily injury and no later than 24 hours for other allegations. The policy also required immediate protective measures, psychosocial support via social services, documentation of assessments, notifications, and treatments in the nurse’s notes, and completion of an investigation within five working days. In this case, the allegation of resident-to-resident physical abuse was not promptly recognized, reported, or investigated in accordance with these requirements, resulting in noncompliance under the cited complaint numbers.
Penalty
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Below are regulatory guidelines relevant to this citation:
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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