Failure to Timely Convey Resident Trust Funds After Death
Summary
The facility failed to reimburse resident funds within 30 days after death for 1 of 1 sampled residents reviewed for personal fund accounts. The facility policy titled, Conveyance of Resident Funds Upon Death, stated that upon the death of a resident with personal funds deposited with the facility, the funds and a final accounting must be conveyed within 30 days to the individual or probate jurisdiction administering the resident’s estate. Resident #101 was admitted with diagnoses including Chronic Obstructive Pulmonary Disease, Depression, and Adult Failure to Thrive, and later died. Review of the resident trust fund account showed a returned check for the account balance of $1,285.81, and 33 days had passed beyond the allotted 30-day timeframe before the balance was refunded to the resident’s estate. During interview, the Business Office Manager stated the 30-day timeframe was overlooked, and the Administrator stated the funds should have been sent within 30 days and completed in that time.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
Surveyors found that the facility did not notify multiple Medicaid residents or their representatives when resident trust fund balances approached the SSI resource limit, as required. Review of medical records and quarterly fund statements showed that several residents with conditions such as CHF, Alzheimer’s disease, diabetes, epilepsy, ESRD, anxiety disorder, and prior CVA, ranging from cognitively intact to severely impaired and all needing ADL assistance, had account balances between roughly $1,600 and $7,400 over several quarters. Despite these balances reaching the point at which notification is mandated, there was no documentation that any notifications were provided, and the Administrator confirmed that such notifications had not been made.
A facility failed to complete final accounting and conveyance of personal funds within 30 days after the deaths of three residents. Business record review showed remaining balances were later issued by check, and the Administrator verified the accounts were not finalized within the required timeframe.
A resident's funds were not dispersed to their representative within the required timeframe following the resident's death. Staff involved were unaware of the policy timeframe, and the facility did not provide evidence that the funds were refunded within thirty days as required by policy.
A resident with severe cognitive impairment and multiple medical conditions was discharged, but the facility did not transfer the resident's personal funds to the estate within the required 30-day period. The account remained open for nearly three months after discharge, contrary to facility policy.
A resident's personal funds were not refunded to their spouse within the required 30-day period following the resident's death. Despite multiple contacts and assistance from the Ombudsman, the refund check was delayed for several months, and facility staff confirmed the delay without providing a reason. The resident had multiple serious medical conditions at the time of death.
The facility did not notify two residents, one with cognitive impairment and one cognitively intact, when their personal fund balances were within $200 of the SSI resource limit for multiple months. Documentation and interviews confirmed that required notifications to the residents or their representatives were not made.
Failure to Notify Medicaid Residents of Trust Fund Balances Near SSI Limit
Penalty
Summary
The deficiency involves the facility’s failure to notify Medicaid residents or their representatives when resident trust fund balances approached the Supplemental Security Income (SSI) resource limit. Surveyors reviewed medical records, resident fund account statements, and conducted staff interviews, and determined that six of seven sampled residents with Medicaid payor sources did not receive required notifications when their account balances reached $200 less than the SSI resource limit. There was no documentation of such notifications in the records for these residents, despite quarterly fund statements showing balances at or above the threshold. One affected resident had congestive heart failure, Alzheimer’s disease, and aphasia, was severely cognitively impaired, and required staff assistance with ADLs; this resident’s account balance during one quarter ranged from $2270.97 to $1888.16 without any documented notification. Another resident with type 2 diabetes mellitus, PTSD, and osteoarthritis, who was cognitively intact but required ADL assistance, had a quarterly account balance that increased from $1750.26 to $7395.49, again with no documentation of notification when the balance reached the required threshold. A third resident with type 2 diabetes mellitus, pulmonary hypertension, and generalized anxiety disorder, who was moderately cognitively impaired and needed ADL assistance, had a quarterly balance that decreased from $2193.82 to $1618.38, with no evidence of notification at the appropriate point. Additional residents with epilepsy, end stage renal disease, aphasia following cerebral infarction, anxiety disorder, cerebral infarction, type 2 diabetes mellitus, Alzheimer’s disease, and congestive heart failure were also affected. These residents ranged from cognitively intact to severely cognitively impaired and all required assistance with ADLs. Their quarterly resident fund statements showed balances between approximately $1600 and nearly $5000 over multiple quarters, yet there was no documentation that they or their representatives were notified when their balances reached $200 less than the SSI resource limit. In an interview, the Administrator confirmed that the facility had not provided the required notifications for these residents when their resident fund accounts reached the specified threshold.
Failure to Complete Final Accounting and Conveyance of Resident Funds After Death
Penalty
Summary
The facility failed to ensure final accounting and conveyance of resident funds were completed within 30 days after death for three residents reviewed for trust account conveyance. Resident #126 expired at the facility, and the remaining personal funds balance of $1,179.30 was later dispensed by check to the state's Medicaid recovery bureau. Resident #127 also expired at the facility, and the remaining personal funds balance of $102.42 was later dispensed by check to the state's Medicaid recovery bureau. Resident #128 expired at the facility, and the remaining personal funds balance of $2,120.09 was later dispensed by check. The Administrator verified in interview that final accounting and conveyance of the personal funds for Residents #126, #127, and #128 were not completed within 30 days following their deaths.
Failure to Timely Disperse Resident Funds After Death
Penalty
Summary
The facility failed to ensure that a deceased resident's funds were dispersed to the resident's representative within the required timeframe. Review of the closed medical record showed the resident had been admitted and subsequently passed away. Interviews with the Business Office Manager and Corporate Accounts Receivable revealed that although a check was eventually issued for the resident's funds, both staff members were unaware of the specific timeframe for dispersing funds after a resident's death. The facility's policy requires that all funds be refunded to a resident's representative within thirty days of discharge, but there was no evidence that this was done in a timely manner for this resident. The deficiency was identified during a complaint investigation and affected one resident out of those reviewed for dispersed funds.
Delay in Disbursement of Resident Funds After Discharge
Penalty
Summary
The facility failed to disburse a resident's personal funds to the resident's estate within the required 30-day period following discharge, as mandated by facility policy. A review of records showed that a resident with diagnoses including congestive heart failure, hypertension, and dementia, who was severely cognitively impaired, was discharged from the facility. The resident's responsible party had previously authorized the management of personal funds. Despite this, the resident's account, which had a balance of $35.12, was not closed and the funds were not conveyed to the estate until nearly three months after discharge. This delay was confirmed by the facility administrator during an interview and was not in accordance with the facility's written policy on managing personal funds.
Failure to Timely Refund Resident Personal Funds After Death
Penalty
Summary
The facility failed to convey a resident's personal funds and provide a final accounting to the resident's representative within 30 days of the resident's death, as required by facility policy. Record review showed that the resident, who had diagnoses including Alzheimer's Disease, dementia, severe protein-calorie malnutrition, congestive heart failure, and type 2 diabetes mellitus with diabetic neuropathy, expired in the facility. The resident's spouse reported not receiving the refund check for the resident's personal funds until several months after the resident's death, despite contacting the Ombudsman for assistance. Interviews with the Business Office Manager and the Administrator confirmed that the refund check was not issued within the required 30-day timeframe, and no explanation was provided for the delay. The Ombudsman also confirmed being contacted by the resident's spouse and subsequently speaking with the Administrator, who stated they were working on the issue. Documentation showed that the refund check for $759.00 was eventually issued to the resident's spouse, but not in a timely manner as stipulated by facility policy.
Failure to Notify Residents of Personal Fund Balances Near SSI Resource Limit
Penalty
Summary
The facility failed to notify residents who received Medicaid benefits when their personal fund balances reached within $200 of the Social Security Income (SSI) resource limit, as required. For one resident with significant cognitive impairment and multiple complex medical diagnoses, records showed that their account balance was within $200 of the SSI resource limit for five consecutive months. There was no documented evidence that the resident or their representative was notified of this status during that period. The resident's care plan noted communication problems and cognitive deficits, further emphasizing the importance of proper notification. A second resident, who was cognitively intact and had a history of multiple chronic conditions, also had personal funds within $200 of the SSI resource limit for three months. Again, there was no documentation that the resident or their representative was notified. The Business Office Manager confirmed in an interview that notifications were not sent to either resident or their representatives during the relevant months.
Trusted data from CMS and state health departments
Every citation, penalty and Plan of Correction is sourced from public CMS records (latest release June 24, 2026) and official state health department websites — never guesswork.
Trusted by long-term care providers and associations.
