Failure to Maintain Complete and Timely Grievance Documentation for Resident and Family Complaints
Summary
The deficiency involves the facility’s failure to implement a complete and consistent grievance process, including timely documentation of grievances, follow-up steps, and resolutions for a resident and the resident’s family member. The facility’s grievance policy states that residents or their representatives may register complaints or grievances without fear of reprisal, and that grievances include complaints about care, abuse or neglect, and other issues that are not resolved at the time of the complaint by staff present. The policy further requires that unresolved complaints be escalated to supervisors, the Patient Advocate, and the Administrator as needed, and that the Patient Advocate maintain a log of complaints and grievances, with written notice to the complainant at the completion of the investigation, including steps taken, results, and date of completion. The resident involved had been admitted with a diagnosis including a fracture of the neck of the left femur and had intact cognitive skills, requiring partial to moderate assistance with toileting, showering, bathing, and personal hygiene. A nurse’s progress note documented that the resident’s family member complained to a CNA that the resident had not received breathing treatments that day and objected to the resident wearing a brief instead of a pullup. The nurse noted that management and social services were not available in the building at that time, and when the nurse later asked the family member if there were any issues needing resolution, the family member stated that everything was fine. Subsequently, the Social Services Director (SSD) documented receiving an email from the family member expressing concerns about the resident’s care, including breathing treatments and use of briefs, as well as missing personal items such as lotion, Kleenex, a turquoise ring, and a watch. The SSD shared the email with the Administrator and DON and noted that a staff member reported the family member had thrown wipes at them, and that the plan was to remove that staff member from providing care to the resident and to offer moving the resident to another hall. The facility’s complaint/concerns log recorded a complaint from the resident’s family member about missing rings, lotion, and a watch, and noted that replacement items were provided, but did not document any discussion with, or signature of, the resident or the family member who filed the grievance. A later progress note by the SSD, created weeks after the event date, described responding to another email from the family member about missing items and documented that the facility replaced multiple rings, lotion, and a watch, and informed the resident and family, but again did not reflect complete grievance documentation as required by policy. Another progress note by the DON described contacting the family member regarding concerns from the prior night, with the family member referring the DON to staff and a formal grievance before hanging up; however, this grievance was not entered on the facility’s grievance log. Interviews with the CNA, SSD, DON, and Administrator confirmed that the SSD was responsible for grievances, that staff were expected to report complaints to her, and that grievance forms and logs existed, but also revealed that the SSD did not document resolutions on the grievance log, did not have a form with a written resolution to return to complainants, and did not know the outcome of an investigation into a reported $10 payment from the resident to an aide. The DON acknowledged that resolutions of grievances were not documented, and the Administrator stated he expected documentation of who was spoken to, whether the grievance was resolved, and the response to the complainant, but these elements were missing, demonstrating the facility’s failure to maintain a complete grievance process for the resident’s grievances. Additional information from interviews further supports the incomplete grievance process. The SSD stated that if residents spoke with staff about complaints, staff should email or inform her, and that she reported grievances to the Administrator and DON and attempted to respond within 24 hours. She also reported receiving an email from the resident’s family member about an aide receiving $10 from the resident and said she informed the Administrator, but she did not document the resolution on the grievance log and did not know the results of that investigation. The DON described that grievances should be taken to social services, that grievance forms were available in a binder, and that staff discussed grievances in morning meetings with department heads, but she admitted she did not document grievance resolutions even though she believed they probably should be documented. The Administrator indicated that SSD should document who she talked with, whether the grievance was resolved, and the date, and that staff should document the response to the person who filed the grievance, yet he was not aware of the reported $10 payment. These documented omissions and inconsistencies in logging grievances, documenting follow-up steps, and recording resolutions for the resident’s and family member’s complaints constitute the identified deficiency in the facility’s grievance process. Overall, the events show that multiple complaints and concerns from the resident’s family member regarding care issues, missing personal items, and a possible financial concern were not consistently or fully documented as grievances in accordance with the facility’s own policy. The grievance log lacked entries for at least one formal grievance referenced by the family member, and existing entries did not include documentation of discussions with the complainant or confirmation of resolution. Staff interviews confirmed that there was no standardized form with a documented resolution returned to the complainant and that outcomes of certain investigations were unknown or not recorded. These actions and inactions demonstrate that the facility did not have a complete grievance process in place for this resident, as required by its policy and regulatory expectations.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A facility failed to make grievance/complaint information available to 9 of 9 residents reviewed. Residents stated they did not know they could file anonymously, where to get a grievance form, who to give it to, what happened after filing, or that they had a right to a written decision. Observations showed the prominent postings did not include grievance instructions, and the ADM stated the grievance procedure and anonymous filing process were not being discussed in Resident Council.
Failure to Document and Investigate Resident Grievances: The facility did not consistently follow its grievance process for two residents. One resident reported missing clothing from laundry on more than one occasion and said staff told him they would notify the SW and management, but he received no further information. Another resident reported a missing wheelchair charger and said she was told the facility would not pay for it. The grievance logbook did not contain either concern, and the DOSS stated she had not written a grievance for the issue.
A cognitively intact, quadriplegic resident who was dependent on staff for ADLs reported that a CNA became upset when the call light was used and directed profanity toward the resident during care. The resident informed the AD the next day, stated the treatment and language were disrespectful, and requested to speak with the SSD. The AD texted the SSD about the complaint, but the SSD did not meet with the resident that day due to other duties and did not speak with the resident until two days later. This sequence of events shows the facility did not follow its grievance policy requiring the Administrator and staff to make prompt efforts to resolve grievances submitted orally or in writing.
Failure to inform residents how to file anonymous grievances and maintain required grievance records. Four residents stated they were unclear how to file an official grievance or where to find a grievance form to assure anonymity, and all said they could only talk to the DON, who told them concerns were handled internally. The DON stated grievances could be brought to her, the SW, or any staff member, but she had no copies of grievances, investigations/resolutions, or a grievance log, despite the facility policy requiring records to be kept for at least 3 years.
A family member filed a written grievance about a staff member’s attitude toward a resident and the family member, but the facility did not complete the grievance documentation or ensure timely communication of the specific resolution. The grievance form lacked documented resolution and administrator review, the ADM was initially unaware of the grievance, and the SW delayed completing the form while awaiting permanent interventions from nursing leadership. Although staff reported discussing a general resolution with the resident and family, the family member later stated they had not been informed of the actual grievance resolution, and the grievance form was not fully completed until well beyond the facility’s stated 10–14 day timeframe for resolving grievances.
A resident with multiple serious conditions and total dependence on staff for transfers and toileting repeatedly reported that two CNAs providing his care smelled strongly of marijuana and that he did not want them caring for him, while other residents and staff also reported ongoing strong marijuana odors on these CNAs and concerns about possible impairment. A unit manager and other staff acknowledged smelling marijuana on the CNAs, and the administrator was informed, but the facility’s grievance documentation lacked completed follow-up with the resident, and leadership confirmed that, beyond general staff education, no further action was taken to ensure the CNAs were not working while smelling of marijuana or possibly impaired, resulting in a failure to promptly and adequately resolve the grievance.
Grievance Procedure Information Not Made Available to Residents
Penalty
Summary
The facility failed to make information on how to file a grievance or complaint available to residents for 9 of 9 confidential residents reviewed for grievances. During interviews, all 9 residents stated they did not know they could file a grievance anonymously, that the grievance procedure had never been discussed in Resident Council, and that they had not seen a posting of the grievance procedure in prominent locations. The residents also stated they did not know where to obtain a grievance form, who to submit it to, what happened after a grievance was filed, or that they had the right to receive a written decision once the grievance was resolved. Observation of prominent postings showed the facility did not include instructions regarding the grievance procedure with the postings. The ADM stated she was the grievance officer and that grievance forms were available on a shelf by the piano, but she did not know there were no forms available there. She stated the Activities Director completed grievance forms during monthly Resident Council meetings when concerns were voiced, and staff also completed forms for some face-to-face complaints. The ADM stated grievances were assigned to the appropriate department, addressed with the complainant, resolved, and documented on the grievance form, which was then reviewed and kept in a notebook for 3 plus years. The ADM also stated she was responsible for staff training on the grievance process and agreed the availability of grievance forms, the grievance procedure, and the process for submitting an anonymous grievance should be explained at admission and continually discussed in monthly Resident Council meetings.
Failure to Document and Investigate Resident Grievances
Penalty
Summary
The facility failed to consistently implement its grievance procedures and failed to document, investigate, track, and follow up on resident grievances for two residents. One resident reported that clothing items had gone missing from the laundry on more than one occasion and stated the items were marked with his name. He said he reported the missing clothing to two staff members, who told him they would notify the social worker and management, but he did not receive any further information. A CNA stated that missing clothing concerns would be reported to the Charge Nurse or Social Worker, but she was not aware of how to obtain or assist a resident with a grievance form. A second resident stated during a Resident Council Meeting that the charger for her wheelchair was missing and that a staff member took it. She said she informed the facility and was told they would not pay for it. The Director of Social Services stated a search was done and a new charger would be ordered, but she had not written a grievance about the issue. The Administrator stated the Director of Social Services was responsible for grievance management, and the Director of Social Services stated she was not aware of a grievance from the first resident. Review of the grievance logbook for 2025 and 2026 confirmed that neither resident’s concern was documented. The facility policy required oral or written grievances to be investigated by Social Services, with findings reported to the Administrator within five working days and the resident informed within ten working days.
Failure to Promptly Address Resident Grievance About Disrespectful CNA Behavior
Penalty
Summary
The deficiency involves the facility’s failure to follow its grievance/complaint filing policy requiring the Administrator and staff to make prompt efforts to resolve resident grievances. A resident with quadriplegia and other neurologic and musculoskeletal conditions, who was cognitively intact and dependent on staff for ADLs, reported that a CNA became upset when the resident pressed the call light and used profanity (“f***”) while providing ADL care. The resident stated this occurred in the evening and that he felt the CNA’s language and behavior were disrespectful. The next day, the resident reported this incident to the Activities Director (AD), stating he did not like how the CNA treated him and that the language used around him was disrespectful, and he requested to speak with the Social Services Director (SSD). The AD acknowledged that the resident reported the CNA’s use of the F word during care and that such behavior was not acceptable. The AD texted the SSD the same day, informing her that the resident wanted to speak with her regarding a complaint involving a nurse, and the SSD responded that she was in a meeting. The AD did not know whether the SSD spoke with the resident or whether the Administrator was informed. The SSD later stated she did not see the resident that day because she was very busy with new admissions and meetings and did not have the opportunity to speak with the resident until two days later. The DON stated that resident complaints should be addressed immediately and grievances resolved in a timely manner. The facility’s written grievance policy stated that the Administrator and staff will make prompt efforts to resolve grievances submitted orally or in writing, but in this case the resident’s grievance about staff behavior and language was not promptly addressed.
Failure to Inform Residents of Anonymous Grievance Process and Maintain Grievance Records
Penalty
Summary
The facility failed to ensure residents were aware of how to file grievances anonymously for 4 of 4 residents reviewed for grievances, including R33, R34, R24, and R14. During interviews on 4/30/26, all four residents stated they were unclear how to file an official grievance or where to find a grievance form to assure anonymity. They also stated they could talk to the DON, and the DON had instructed residents that all grievances or concerns were to be handled internally. During interview on 04/30/2026, the DON stated a grievance was any report of a concern a resident felt necessary to discuss about care or the facility, and that residents could bring concerns to her, the SW, or any staff member. She stated residents could fill out the form or staff could assist them if a resident brought forward a verbal grievance, and that she verbally followed up with a one-to-one meeting in the resident's room. However, she also stated she did not have copies of grievances, grievance investigations/resolutions, or a grievance log tracking resident grievances, despite the facility policy requiring a grievance log and records to be kept for at least 3 years. The policy also stated residents may file a grievance orally to an employee, the employee is to complete the grievance report form, and the grievance official will maintain a record of formal complaints.
Failure to Timely Complete and Communicate Grievance Resolution
Penalty
Summary
The deficiency involves the facility’s failure to follow its grievance policy and to resolve and communicate the resolution of a grievance submitted on behalf of a resident. The facility’s written policy required Social Services and department managers to investigate written grievances, submit a written report of findings to the administrator, and ensure the resident or complainant was informed of the investigation findings and corrective actions in a timely manner, with documentation on the grievance form. A family member filed a written grievance concerning a staff member’s attitude toward the resident and the family member. The initial grievance form obtained from the social worker showed the grievance was received, but the sections for resolution and administrator review were incomplete, and the administrator reported being unaware of the grievance until it was brought to attention by surveyors. Interviews revealed that the social worker left the grievance form incomplete because they were waiting for permanent interventions from nursing leadership and did not document the final, grievance-specific resolution until much later. The social services supervisor stated the grievance was being processed, and the assistant DON reported speaking with the staff member involved, who denied the allegation, and removing that staff member from the resident’s care. Although facility staff reported that grievance resolution had been provided to the resident and family through a one-to-one discussion, the resident’s family member later stated they had not been notified of the grievance resolution. The administrator indicated that a reasonable timeframe for grievance resolution, including completion and review of the form, was 10–14 days, but the grievance form was not fully completed until nearly two months after the grievance was filed, and the permanent, grievance-specific resolution was not communicated to the family at the time the grievance was initially addressed.
Failure to Promptly Resolve Grievances About Staff Smelling of Marijuana and Incomplete Grievance Follow-Up
Penalty
Summary
The deficiency involves the facility’s failure to promptly address and resolve a resident grievance regarding staff smelling of marijuana while providing care, and to properly document and follow up on that grievance. One resident with intact cognition and significant physical dependence on staff for activities of daily living reported that two CNAs providing his care smelled strongly of marijuana. This resident, who had multiple serious medical diagnoses including panlobular emphysema, COPD, dependence on a respirator, heart failure, type 2 diabetes, muscle wasting, insomnia, and anxiety, stated that the odor was so strong it upset him and caused him to feel he could not trust these CNAs to safely use a mechanical lift for his transfers. He reported his concerns to multiple facility staff, including the DON, ADON, scheduler, and social services designee, and indicated that this was not the first time he had raised the issue. Facility documentation showed that a unit manager completed a witness statement after the resident reported that two CNAs smelled like marijuana. The unit manager documented that she could smell a faint odor of marijuana on the CNAs, although she did not believe they appeared impaired, and she told them it was not appropriate to come to work smelling like marijuana. A resident concern/complaint form and a resident/family grievance form were completed, indicating that the administrator spoke with the evening supervisor and that the CNAs were told they were not to smell like marijuana. However, the grievance form’s follow-up section, which should document the name and date of the individual contacted, comments, and the staff member completing follow-up with the resident or family, was left blank. The DON later verified that the grievance documentation was incomplete. Multiple residents and staff corroborated ongoing concerns about staff smelling of marijuana. Another cognitively intact resident reported that one CNA always smelled of marijuana, that the odor was very strong, and that the CNA moved very slowly while providing care, causing concern that she might be impaired. This resident stated that both CNAs smelled of marijuana on more than one occasion and that the odor was noticeable even when they were behind the nurse’s station. A third resident reported that residents at council meetings had stated they smelled marijuana in the building and on staff, and that residents had informed administration of these concerns as an ongoing problem. Several CNAs and an LPN reported smelling marijuana odor on the same CNAs while they were working, with one CNA stating she believed they were working impaired based on incomplete work from the prior shift, and another CNA reporting she had seen them vaping a substance with a strong marijuana odor during breaks and had reported this to the night unit manager. The scheduler and social services designee confirmed that the primary resident had texted them about the CNAs smelling of marijuana and that they had notified the administrator and nursing leadership. The DON acknowledged that the facility was a drug-free workplace and that smelling of marijuana constituted reasonable suspicion for testing, and further acknowledged that, aside from general staff education, no additional corrective action was taken to ensure the CNAs were not working while smelling of marijuana or possibly impaired, and that grievance follow-up with the resident was not completed or documented.
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