Failure to Provide Required Notices and Clinical Information During Hospital Transfers
Summary
The deficiency involves the facility’s failure to develop and implement an effective system for communication and provision of medical records when residents were transferred to the hospital, both for residents expected to return and those not expected to return. Facility policies required that residents transferred for emergency treatment receive a notice of transfer as soon as practicable, that the state agency transfer/discharge notice be completed, and that the facility’s bed-hold policy be provided. Another policy required that specific clinical information be conveyed to the receiving provider, including practitioner and representative contact information, advance directives, care plan, current status and baseline function, diagnoses, allergies, medications, diagnostic tests, and a discharge summary. A facility checklist directed staff to notify the physician, administrator, DON, and resident representative, complete a hospital transfer form, provide the state transfer/discharge notice and bed-hold policy, send a defined packet of clinical documents with the resident, and document all required elements in the medical record. For one resident, the admission MDS showed significant hearing and vision impairment, cognitive impairment, acute kidney failure, history of kidney transplant, pressure ulcers, and other complex diagnoses, with total dependence on staff for personal care and mobility. The comprehensive care plan documented an advance directive with a designated representative, an infected foot wound requiring a mid-line IV antibiotic, and detailed care for the infected pressure ulcer and IV site. The MAR and TAR contained extensive information on medications, including IV antibiotics, isolation requirements, and specific wound care instructions. On the date of transfer, a progress note recorded that the physician evaluated the resident, determined a hospital transfer was necessary, and that the resident was sent by ambulance with no bed hold desired; no additional information was documented. A hospitalist later reported that the ED received no paperwork with the resident, that multiple attempts to obtain a medication list and status report from the facility were unsuccessful, and that the facility did not inform the hospital about the mid-line IV indication or the severe infected foot wound. The hospital pharmacist ultimately had to contact the facility’s pharmacy to obtain the medication and IV information. The LPN assigned to this resident on the day of transfer stated they called the resident representative and arranged transportation, and that they sent only a face sheet and lab results with the resident. The LPN acknowledged they did not call the ED, did not send a hospital transfer sheet, did not complete or provide the state transfer/discharge notice or the bed-hold notice to the resident or representative, and did not use the discharge checklist. The LPN further stated they completed the hospital transfer form after the resident left and did not send it with the resident, and that the MAR, care plan, diagnostic results, advance directives, and change-of-condition form should have been sent but were not. For a second resident, the admission MDS documented cognitive loss, back surgery, bone infection, kidney failure requiring dialysis, and multiple pressure ulcers, with total dependence on staff for personal care and mobility. The comprehensive care plan showed the resident required a specialty mattress, was at high risk for falls, had specific behaviors with defined interventions, required medication monitoring, had an infection, was on IV antibiotics, and required specific isolation precautions. The MAR and TAR contained detailed instructions for routine and IV medications, isolation requirements, and wound care for multiple pressure ulcers. A progress note documented that the resident was sent to the hospital via ambulance for a change in condition, with multiple diagnostic tests and results, vital signs, and contact with the on-call physician who directed transfer to the ED. The LPN reported that, for this transfer, they again did not use the discharge checklist, sent only the face sheet and lab results, did not send a hospital transfer form because it was completed after the resident left, and did not provide the state transfer/discharge notice or bed-hold form to the resident or representative. The resident care manager stated that nurses were expected to follow the discharge checklist, complete the state transfer/discharge notice and bed-hold form when a resident was sent to the hospital, and call the ED to provide a report. The administrator stated that staff did not follow facility policy and that the failure in practice was identified in their system for discharging residents to the hospital. The administrator also stated that nursing staff were expected to complete the hospital transfer form, call the hospital with resident status information, complete all documentation, and send all required documents to the hospital, including the state transfer/discharge notice and bed-hold form to be provided to residents or their representatives and entered into the medical record. These expectations were not met for the two residents reviewed for hospitalization, resulting in noncompliance with WAC 388-97-0120, -0080, and -0140.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
Failure to Notify Ombudsman of Hospitalizations, Discharges, and Transfers: Social services did not send the required monthly notices to the LTC Ombudsman regarding resident hospitalizations, discharges, and transfers. The ombudsman reported receiving no notices for 2025 or 2026, and the administrator confirmed the notices had not been sent for over a year. The facility policy reviewed did not address the process for ombudsman notification.
The facility failed to provide written bed-hold policy notice to two residents or their representatives during hospital transfers. One resident had HTN, kidney disease, and hypokalemia, and another had hyperlipidemia, CHF, and a right femur fracture; records showed hospital transfers, but no documentation that the required bed-hold information was given at the time of transfer.
Two residents who experienced emergent hospital transfers for issues including abnormal critical labs, uncontrollable pain, and SOB with low O2 saturation were not provided with required written bed-hold policies and transfer notices. One resident had severely impaired cognition, and another was cognitively intact and later died at the hospital. Progress notes documented the transfers and that contacts or family were notified, but there was no documentation that written notices addressing bed-hold, appeal rights, or ombudsman information were given, despite facility policies requiring such written information at admission and again at or shortly after transfer. The Administrator confirmed that bed-hold notices were not sent for these residents.
Failure to Notify State LTC Ombudsman of Resident Discharge: The facility failed to send the required discharge notice to the State LTC Ombudsman for a resident who was discharged. The Ombudsman stated she never received the notification, the SW had no evidence of a report and was unaware of the monthly notification requirement, and the Administrator stated she did not know the rule. The resident had ischemic cardiomyopathy and a blank BIMS score.
A resident with respiratory failure, HTN, and anxiety became SOB and diaphoretic, received a breathing tx, and was sent by EMS to the hospital. The facility could not locate the required SNF/NF to Hospital Transfer form or other transfer records showing what information was communicated to the receiving provider.
The facility failed to provide written transfer/discharge notices for three residents who were sent to the hospital, and for one resident it also failed to provide written bed-hold policy information. In one case, an LPN said she did not notify the guardian because she was the only nurse on the unit and did not have time, and there was no evidence that the Ombudsman was notified of the transfers.
Failure to Notify Ombudsman of Hospitalizations, Discharges, and Transfers
Penalty
Summary
The facility failed to notify the Office of the State Long-Term Care Ombudsman of resident hospitalizations, discharges, and transfers for calendar years 2025 and 2026. During interview, the ombudsman stated she had not received any hospitalization, discharge, or transfer notices for 2025 and none for 2026. Social services staff stated they were responsible for sending these notifications monthly and confirmed they were behind in submitting them. The administrator stated social services was responsible for the monthly notices, confirmed the notices had not been sent for over a year, and stated the ombudsman is a resource for residents if they feel they have been wrongly hospitalized, discharged, or transferred. A facility policy titled Discharge Planning dated 12/25 was reviewed and did not address the process for sending ombudsman notifications.
Failure to Notify Residents of Bed-Hold Policy During Hospital Transfers
Penalty
Summary
The facility failed to notify the resident or the resident’s representative of its bed-hold policy for two hospital transfers. Facility policy stated that at the time of transfer for hospitalization or therapeutic leave, the facility would provide written notice explaining the duration of the bed-hold policy and information about the resident’s return to the next available bed, and that in an emergency transfer the notice would be provided within 24 hours. For Resident R24, who had diagnoses including high blood pressure, kidney disease, and hypokalemia, the record showed a hospital transfer on 3/31/26 and return on 4/5/26, but there was no documented evidence that written bed-hold information was provided at the time of transfer. For Closed Resident Record CR87, the record showed diagnoses including hyperlipidemia, congestive heart failure, and a right femur fracture. On 2/6/26, staff received venous doppler results indicating a nonocclusive thrombus in the right common femoral vein, relayed the results to the CRNP, and obtained orders to increase Eliquis temporarily and repeat an ultrasound. After the resident’s daughter called and staff reported the situation to the CRNP, the resident was sent to the hospital around 5:50 p.m. The emergency room transfer form and the clinical record did not include documented evidence that CR87 or the representative were provided written information about the facility’s bed-hold policy at the time of transfer.
Failure to Provide Required Bed-Hold and Transfer Notices for Hospital Transfers
Penalty
Summary
The deficiency involves the facility’s failure to provide required written bed-hold policies and transfer notices to two residents and/or their resident representatives when the residents were emergently transferred to the hospital. One resident had severely impaired cognition with a BIMS score of 3/15 and was transferred to the hospital due to abnormal critical lab results, then later returned to the facility. Documentation showed that the facility called the contact on file and a POA returned the call, but there was no documentation that a written transfer notice or bed-hold information was provided. The facility’s own policy required that written transfer/discharge notices include the reason for transfer, effective date, receiving location, a statement of the right to appeal, and contact information for the state LTC ombudsman and protection and advocacy agencies, as well as sending a copy to the ombudsman. A second resident, who had intact cognition with a BIMS score of 15/15, was transferred to the hospital on one occasion for uncontrollable pain and returned to the facility, and on another occasion for SOB, tremors in both arms, and oxygen saturation below 88%, after which the resident expired at the hospital. Progress notes documented the transfers and that the family was notified, but there was no documentation that written transfer notices or bed-hold policies were provided at either transfer. The facility’s bed-hold policy required that all residents or their representatives, regardless of payor source, receive written information about facility and state bed-hold policies twice: in advance of transfer (e.g., in the admission packet) and again at the time of transfer, or within 24 hours for emergency transfers. During an interview, the Administrator confirmed that bed-hold notices had not been sent for these two residents.
Failure to Notify State LTC Ombudsman of Resident Discharge
Penalty
Summary
The facility failed to send a copy of Resident #8’s discharge notice to the representative of the Office of the State Long-Term Care Ombudsman before the resident was discharged. Resident #8’s nursing home discharge MDS assessment dated 04/13/2026 identified him as a [AGE]-year-old male admitted to the facility on [DATE], with an active diagnosis of ischemic cardiomyopathy and a blank BIMS score. During interview, the Ombudsman stated she had never received a discharge notification from the facility and said the facility was required to submit discharge notification every time it did an involuntary discharge, transfer, or presented discharge paperwork to a resident related to discharge. The Social Worker stated she had no evidence of a report to the state Ombudsman for Resident #8’s discharge and was not aware she was supposed to send discharge notification monthly. The Administrator stated she was unaware of the rule to notify the state Ombudsman of any resident discharges. Record review of the facility’s Transfer and discharge policy stated that a copy of the notice shall be provided to the representative of the Office of the State Long-Term Care Ombudsman and that the Social Services Director, or designee, shall provide notice of transfer via monthly list.
Missing Hospital Transfer Documentation
Penalty
Summary
The facility failed to ensure hospital transfer documentation was completed for one resident who was transferred to the hospital after complaining of not being able to breathe and appearing diaphoretic. The resident had diagnoses of respiratory failure, high blood pressure, and anxiety disorder, and was able to make needs known. A breathing treatment was provided, and the provider agreed to send the resident out for further evaluation, after which emergency transportation took the resident to the hospital. Record review found no documentation showing what information was provided or communicated to the receiving facility for the transfer. Staff stated that transfer documentation should have included a SNF/NF to Hospital Transfer form, the resident's face sheet, and the medication and treatment administration records, but they were unable to locate documentation showing these items were completed or sent for the resident's hospital transfer.
Failure to Provide Transfer/Discharge and Bed-Hold Notices
Penalty
Summary
The facility failed to provide a written notice of transfer/discharge before facility-initiated hospital transfers for 3 of 6 sampled residents (#6, #69, and #77). Medical record review showed resident #6 was transferred to the hospital and there was no evidence that a written transfer/discharge notice was issued to the resident or resident representative. There was also no evidence that a representative of the Office of the State Long-Term Care Ombudsman was notified of the transfer. The Regional Clinical Director confirmed there was no evidence the notice had been provided. Resident #69 was transferred to the hospital and the record showed no evidence that the facility issued a written transfer/discharge notice to the resident or the resident's guardian. An LPN stated she did not notify the guardian because she was the only nurse on the unit and did not have time, and she reported to the next shift that the guardian had not been notified. The guardian confirmed she had not been notified of the transfer. Resident #77 was transferred to the hospital and the record showed no evidence that the facility issued a written transfer/discharge notice or written information on the bed-hold policy to the resident or resident representative, and there was no evidence that the Ombudsman was notified of the transfer. The Regional Clinical Director confirmed there was no evidence the bed-hold and transfer/discharge notices were provided.
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