Failure to Investigate and Protect Residents After Allegations of Abuse, Neglect, and Misappropriation
Summary
The deficiency involves the facility’s failure to thoroughly investigate and respond to alleged abuse, neglect, exploitation, and mistreatment for three residents, as required by its own policies and Provider Letter PL 2024-14. For one resident (CR #1), who was an elderly female with hypertension, relapsing fever, type 2 diabetes, vascular dementia, impaired mobility, incontinence, impaired decision-making, and on oxygen therapy, the DON found her on the floor on a fall mat in her bedroom between 4 p.m. and 5 p.m. on 3/20/2026. Despite the resident’s care plan identifying her as at risk for falls and the fall being unwitnessed, the DON did not complete a head-to-toe assessment, post-fall assessment, progress note, SBAR, incident report, neurological checks, or obtain vital signs. The DON also did not notify the primary physician, hospice nurse, responsible party, or administrator and did not initiate an investigation, stating she did not consider the event a fall and believed the resident had crawled out of bed. Record review showed that CR #1 was dependent on staff for all ADLs, used a wheelchair, and had a BIMS score of 00, indicating severe cognitive impairment. A nurse (RN A) reported that the resident was at her baseline when assessed on the morning of 3/20/2026, prior to the event, but by 3/23/2026 the resident was no longer at baseline and had a rapid decline in neurological and respiratory status. The administrator later acknowledged that the facility failed to notify the physician, family, ADON, and hospice company because the DON did not consider the event a fall, and confirmed that no investigation was conducted in connection with this unwitnessed fall, even though the resident subsequently died. For a second resident, an elderly female with dementia with anxiety, history of falls, age-related cognitive decline, ADHD, and left-sided hemiplegia/hemiparesis after CVA, the facility failed to investigate an allegation of misappropriation of property. The resident, who had a BIMS score of 8 (moderately impaired cognition) and used a wheelchair with moderate assistance for ADLs, reported on 3/24/2026 that her debit card was missing and suggested her former roommate might have taken it. The ADON documented that the resident and her friend reported the missing debit card and that she notified the administrator and DON for further follow-up. The ADON stated she spoke with the former roommate, who denied having the card, and that she reported the matter as a grievance to the administrator and DON but did not know the resolution. The administrator, who was also the Abuse Coordinator, stated the debit card was never found, that she told the resident to cancel the card and obtain another, and that she did not report or investigate the allegation because she did not think to investigate it, despite the facility’s policy defining misappropriation and requiring investigation of such allegations. For a third resident, an elderly female with cognitive communication deficit, bipolar disorder, and other cognitive symptoms, the facility failed to investigate an allegation of sexual abuse. Progress notes documented that in the early morning hours of 2/8/2026, staff heard screaming and found the resident and her roommate in the hall, both visibly upset. The resident stated that her roommate continued to open the bathroom door while she was toileting and alleged she was being sexually assaulted by the roommate. The LVN documented that the resident denied being touched and refused a head-to-toe skin assessment, and that the residents were separated and placed in different rooms. The resident called the police and reported sexual assault; the police officer spoke with her, was informed by staff that the roommate had severe dementia, and ultimately did not complete a police report. Subsequent interviews showed that Resident #3 described repeated incidents of her roommate following her into the bathroom, watching her while she used the toilet, and once pushing aside a wheelchair she had used to barricade the door, stating she felt violated and that the police told her the behavior was voyeurism. The social worker reported that the roommate, who had dementia and had previously had a private room, would open the bathroom door and stand looking at the resident while she was exposed, and that the resident said she felt like she was “raped by her eyes,” although the social worker was unaware of the reported reaching out to touch or barricading. The ADON stated she was informed that the resident’s roommate was watching her urinate and that the police came and left after assessing the situation, and that the nurses separated the residents. The administrator, who became employed after the incident, stated she did not know why the allegation of sexual assault was not investigated. Despite facility policy requiring immediate investigation of suspected abuse, neglect, exploitation, or misappropriation, including identification and interviewing of all involved persons and thorough documentation, there was no evidence of a formal investigation or comprehensive protective measures for any of these three residents’ allegations. The facility’s written Abuse, Neglect and Exploitation policy, revised 8/5/2025, required the development and implementation of procedures that prohibit and prevent abuse, neglect, exploitation, and misappropriation of resident property, and mandated immediate investigation of any suspicion or reports of such incidents. The policy specified that investigations must identify responsible staff, preserve evidence, interview alleged victims, alleged perpetrators, and witnesses, determine whether abuse, neglect, exploitation, or mistreatment occurred, and document the investigation completely. It also required protection of residents from physical and psychosocial harm during and after investigations, including immediate response to protect alleged victims, examinations for injury, increased supervision, room changes, emotional support, care plan revisions, and analysis of occurrences to prevent recurrence. In the cases of CR #1’s unwitnessed fall and subsequent decline, Resident #2’s missing debit card, and Resident #3’s allegation of sexual assault/voyeurism by a roommate with dementia, the facility did not follow these investigative and protective requirements as outlined in its own policy and referenced state guidance.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A facility failed to identify and thoroughly investigate multiple grievances alleging verbal abuse, rude and unprofessional comments, and threats of involuntary seclusion by an RN and an LPN toward several residents. The record shows repeated complaints that staff yelled at residents, blocked a resident from entering his room, and used a “time-out” approach, but the facility often interviewed only the directly involved parties, left grievance sections blank, did not document timely reporting to the administrator and SA, and did not remove the staff from direct care pending investigation.
Incomplete investigation of alleged resident property misappropriation: A resident with intact cognition and diagnoses including bipolar disorder, anxiety, and intellectual disability reported that the cord to a personal refrigerator had been cut. Staff notes reflected conflicting statements about who may have damaged it, but the NHA and DON could not explain how it happened or who was responsible until surveyor inquiry. The facility could not produce documentation of a full investigation, including statements from the resident and Maintenance Director, witness interviews, staff assignment review, a written summary, or investigative findings.
Failure to investigate resident-on-resident abuse and unexplained perineal injury: A cognitively intact resident reported being frightened after another resident repeatedly entered her room, grabbed belongings, and snarled at her, but leadership did not complete a formal abuse investigation. The facility also did not investigate a cognitively intact resident’s unexplained labial/perineal tear after an ER visit, despite the injury being documented as a laceration of the perineum and staff acknowledging the concern was discussed but not reported or investigated.
Failure to investigate alleged mistreatment during grooming: A resident with dementia, depression, and severe cognitive impairment was dependent on staff for grooming and hygiene. After a mat of hair was removed, the resident’s scalp was noted to be red and irritated, and staff later reported the resident was in pain after the hair was brushed out. The facility handled the issue as a grievance, but there was no documentation of a thorough abuse/mistreatment investigation, and the administrator later stated it should have been investigated as an abuse allegation.
Failure to Investigate Allegation of Resident Property Misappropriation: A resident with severe major depressive disorder with psychotic symptoms and a cognitive communication deficit had money taken from a bank account, which was reported by the EC to the DON. The DON notified the ADM and police investigated, but the facility did not conduct its own abuse investigation, and the ADM confirmed no written investigation summary was completed or submitted to CDPH.
Failure to Investigate Reported Falls: A resident with intact cognition had two reported fall incidents, including an unwitnessed fall and a fall reported after returning from home, but neither incident was entered on the incident log. Staff and the DON stated that self-reported falls should be assessed and investigated to determine reporting needs, root cause, and whether abuse or neglect occurred, but the facility did not investigate the later fall and could not rule out abuse or neglect.
Failure to Investigate Abuse and Verbal Abuse Grievances
Penalty
Summary
The facility failed to identify allegations of verbal abuse and threats of involuntary seclusion that were reported through grievances involving multiple residents and two nurses. The report describes grievances and interviews involving an RN and an LPN, including concerns that the LPN made rude and unprofessional comments to a resident and the resident’s representative, and that the RN yelled at residents, used a harsh tone, blocked a resident from entering his room, and told residents they were going into a “time-out.” The grievances also described residents becoming upset, feeling inadequate, refusing meals, and reporting that staff were scolding them for self-transferring or attempting to enter their rooms. The facility did not complete timely and thorough investigations of these concerns. In several instances, only the directly involved resident or representative was interviewed, with no documentation of broader interviews with other residents, witnesses, or staff who may have had knowledge of the events. The report notes missing or blank sections on grievance forms, including resolution and follow-up, and no documented assessment of whether residents felt safe or experienced psychosocial effects after the incidents. One grievance involving the LPN was signed off by the DON, but the administrator did not sign off until months later. Another grievance involving the RN was not reported to the administrator and State agency immediately as an allegation of verbal abuse, and the report states there was no documented re-education about what constitutes verbal abuse or timely reporting requirements. The facility also failed to immediately remove the RN and LPN from direct care pending investigation, despite its policy stating that allegations of employee-to-resident abuse required immediate reporting and suspension pending investigation. The report identifies a pattern of recurring complaints about the RN across multiple residents, including reports from staff that the RN was bossy, yelled at residents, blocked a resident from his room, and upset residents who were attempting to self-transfer. The administrator and regional clinical service director acknowledged that the grievance forms lacked thorough investigation and follow-up, and that additional interviews should have been completed, but the report documents that these deficiencies had already occurred across multiple grievances involving six residents.
Incomplete investigation of alleged resident property misappropriation
Penalty
Summary
The facility failed to conduct a thorough internal investigation after receiving an allegation of possible misappropriation of resident property involving a resident who was cognitively intact with a BIMS score of 15 and had diagnoses including bipolar disorder, anxiety, and intellectual disability. The facility’s Abuse Policy required allegations of abuse, neglect, exploitation, misappropriation of resident property, mistreatment, and injuries of unknown source to be promptly reported and thoroughly investigated by the administrator and/or designee, with investigations including all reports and allegations of abuse. A nurse’s progress note documented that the resident reported someone had entered the room and cut the electrical cord to the resident’s personal refrigerator, which had been cut in two places. The resident stated someone should be held responsible and said the resident intended to contact law enforcement and a family member. Another note documented the resident later alleged a housekeeper cut the cord, while staff documented housekeeping did not work during the time identified by the resident. During surveyor interview, the resident stated someone had cut the cord but did not know who damaged it or how it occurred, and the refrigerator remained in the room with the cord cut and not operational. The Nursing Home Administrator and DON confirmed they did not know how the cord was cut, who cut it, why it was cut, or where the severed portion was until surveyor inquiry prompted additional discussion. The Maintenance Director stated he had responded to the issue, restored electrical service, spoke with the resident, and later found the severed portion of the cord concealed in the resident’s room. The facility could not provide documentation showing it obtained a statement from the resident or Maintenance Director, identified and interviewed all relevant witnesses, reviewed staff assignments or other investigative information, completed a written investigative summary, or documented investigative findings or a conclusion regarding the allegation.
Failure to investigate resident-on-resident abuse and unexplained perineal injury
Penalty
Summary
The facility failed to conduct a formal investigation into an allegation of resident-on-resident mental abuse involving a cognitively intact resident who reported being frightened by another resident entering her room repeatedly. The resident stated the other resident had come into her room multiple times, grabbed belongings, snarled at her, and left her scared. Progress notes also documented that she placed a walker in front of her door on two nights to barricade the other resident from entering and stated, "I'm scared to death of him." The resident involved in the behavior had moderate cognitive impairment, vascular dementia with agitation, and Alzheimer's disease, and was documented as pacing, wandering daily, and significantly disrupting the care or living environment of other residents. Staff interviews showed the concern was reported to nursing leadership, but no management member came in that weekend to start an investigation. An LPN stated the DON was notified of the resident-on-resident altercation and that the facility process was for administration to be notified and management to perform investigations when allegations of physical, sexual, or mental abuse were reported. The DON stated she was aware of the situation but was unsure whether any investigation had been completed. The administrator stated a VA had not been filed because the facility did not feel the concern reached the level of potential abuse, and the issue was only discussed in the IDT. The IDT notes for that week were requested but not provided. The facility also failed to investigate a possible sexual abuse or injury of unknown origin when a cognitively intact resident with multiple medical conditions, including ulcerative colitis, cirrhosis of the liver, depression, hypothyroidism, hypertension, edema, osteoarthritis, and a history of malignant neoplasm of the uterus, was found to have an unexplained perineal laceration. The resident was frequently incontinent and required substantial to maximum assistance with ADLs and peri care. The ER record identified a very minor labial tear/abrasion with minimal blood present and listed laceration of the perineum, while the facility note documented that the resident denied being abused when asked. Staff stated they were only told to be more gentle with cares, and several staff reported they had not received specific education about peri care for the resident after the ER visit. The DON and administrator stated they did not report or investigate the injury because they believed it was not reportable, despite acknowledging that abuse, neglect, and injuries of unknown origin should be reported and investigated.
Failure to Investigate Alleged Mistreatment During Hair Grooming
Penalty
Summary
The facility failed to ensure an alleged mistreatment during grooming and hygiene was thoroughly investigated for Resident #35. The resident had diagnoses of dementia and depression, and a quarterly assessment dated 10/31/25 showed a BIMS score of 3, indicating severe cognitive impairment. The assessment also showed the resident was dependent on staff for grooming and hygiene. A Concern/Grievance Report dated 11/19/25 documented that a mat of hair was removed from the back of the resident’s head and a reddened area was noted afterward, and a nurse’s progress note from the same day stated the resident’s scalp was red and irritated and that the resident did not want to get up. A review of the facility’s abuse and mistreatment investigations from 07/01/25 through 07/02/26 showed no documentation that the allegation of mistreatment related to brushing out the resident’s matted hair was investigated. During interviews, an LPN stated the allegation of mistreatment involved Resident #35 being mistreated while their matted hair was brushed and said the allegation was investigated, while the administrator stated the issue had been completed as a grievance and was caused by the matting of the hair and removing it. A CNA stated the resident often refused care, had a mat in their hair, and was hollering in pain the next morning after someone brushed it out. The administrator later stated the matter should have been investigated like an abuse allegation.
Failure to Investigate Allegation of Resident Property Misappropriation
Penalty
Summary
The facility failed to investigate an allegation of misappropriation of resident property involving one resident who was admitted with severe major depressive disorder with psychotic symptoms and a cognitive communication deficit. The resident’s Emergency Contact notified the DON that money had been taken from the resident’s bank account, and the DON reported the event to the Administrator, who called the police. The DON stated that police came to the facility to investigate the allegation, but the facility did not conduct its own investigation of the abuse allegation. During interview, the Administrator confirmed he was the facility’s Abuse Coordinator and stated the investigation was conducted by police. He also confirmed that an investigation summary was not written and was not submitted to CDPH. The facility’s policy required the Administrator or designated representative to initiate an investigation immediately, interview individuals with relevant information, and provide a written report of the results of all abuse investigations to CDPH within five working days; however, no facility investigation summary was provided.
Failure to Investigate Reported Falls
Penalty
Summary
The facility failed to conduct a thorough investigation for one resident who had two reported fall incidents. Review of the facility’s policy showed that all reports of resident abuse, including injuries of unknown origin, neglect, exploitation, or theft/misappropriation of resident property, are to be reported and thoroughly investigated by facility management, with findings documented and reported. The Nursing Home Guidelines also stated that all incidents require thorough investigation and reporting as necessary, and that investigations are intended to determine whether abuse or neglect occurred and how to prevent further occurrences. Resident 1 was admitted to the facility and had intact cognition on the admission MDS. A review of records showed an investigation report for an unwitnessed fall reported by the resident and collateral contact, and a progress note showing the resident left the facility with the collateral contact and later returned with a report that the resident had fallen at home. However, the June and July 2026 incident logs contained no entries for either fall incident. Staff stated that self-reported falls should be investigated, assessed, and documented, and the DON stated the purpose of an incident investigation was to determine reporting requirements, identify root cause, maintain resident safety, and rule out abuse or neglect. The DON also stated the facility was unaware of the fall reported on 07/17/2026 and that it should have been investigated, and acknowledged that abuse or neglect could not be ruled out because the incident was not investigated.
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