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Department of
SOCIAL SERVICES

Community Care Licensing


COMPLAINT INVESTIGATION REPORT

Facility Number: 198601809
Report Date: 04/29/2022
Date Signed: 04/29/2022 11:16:15 AM

Unsubstantiated


STATE OF CALIFORNIA - HEALTH AND HUMAN SERVICES AGENCY

COMPLAINT INVESTIGATION REPORT
CALIFORNIA DEPARTMENT OF SOCIAL SERVICES
COMMUNITY CARE LICENSING DIVISION
CCLD Regional Office, 21731 VENTURA BLVD. #250
WOODLAND HILLS, CA 91364
This is an official report of an unannounced visit/investigation of a complaint received in our office on
05/25/2021 and conducted by Evaluator Ashley Smith
COMPLAINT CONTROL NUMBER: 29-AS-20210525151620
FACILITY NAME:ELWYN NC - BABCOCKFACILITY NUMBER:
198601809
ADMINISTRATOR:JOSEPH TIGHEFACILITY TYPE:
734
ADDRESS:5149 BABCOCK AVETELEPHONE:
(818) 287-5416
CITY:VALLEY VILLAGESTATE: CAZIP CODE:
91607
CAPACITY:5CENSUS: 4DATE:
04/29/2022
UNANNOUNCEDTIME BEGAN:
11:00 AM
MET WITH:Alexis CalicdanTIME COMPLETED:
11:20 AM
ALLEGATION(S):
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Resident sustained a fracture while in care
INVESTIGATION FINDINGS:
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Licensing Program Analyst (LPA) Ashley Smith arrived unannounced to deliver the finding for the above allegation. The LPA met with staff and explained the reason for the visit.

On 5/25/2021, the Department received a complaint alleging that due to physical abuse, Resident #1 (R1) sustained a fracture while in care. It was noted that the fracture could allegedly be due to ‘pulling or twisting’. The LPA conducted the initial complaint visit on 5/27/2021 from 9:40 a.m. – 10:45 a.m., in which the LPA spoke with staff and obtained pertinent documents. The Department subpoenaed medical records and received them on 7/9/2021. On 3/15/2022, the LPA conducted a subsequent visit and during the visit, the LPA conducted a file review at 9:15 a.m. and conducted interviews with current and former staff members from 8:58 a.m. - 12:45 p.m. On 3/15/2022, the LPA interviewed R1’s family member at 11:11 a.m., interviewed an occupational therapist at 1:55 p.m.; and, interviewed a consulting nurse with the Department of Developmental Services (DDS) at 3:00 p.m.
Unsubstantiated
Estimated Days of Completion:
SUPERVISORS NAME: Jeralyn Ann Pfannenstiel
LICENSING EVALUATOR NAME: Ashley Smith
LICENSING EVALUATOR SIGNATURE:

DATE: 04/29/2022
I acknowledge receipt of this form and understand my licensing appeal rights as explained and received.
FACILITY REPRESENTATIVE SIGNATURE:

DATE: 04/29/2022
This report must be available at Child Care and Group Home facilities for public review for 3 years.
LIC9099 (FAS) - (06/04)
Page: 1 of 3
Control Number 29-AS-20210525151620
STATE OF CALIFORNIA - HEALTH AND HUMAN SERVICES AGENCY

COMPLAINT INVESTIGATION REPORT (Cont)
CALIFORNIA DEPARTMENT OF SOCIAL SERVICES
COMMUNITY CARE LICENSING DIVISION
CCLD Regional Office, 21731 VENTURA BLVD. #250
WOODLAND HILLS, CA 91364
FACILITY NAME: ELWYN NC - BABCOCK
FACILITY NUMBER: 198601809
VISIT DATE: 04/29/2022
NARRATIVE
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Regarding the allegation, it was alleged that R1 sustained a fracture due to neglect or physical abuse, as it was believed that the left arm fracture was due to ‘pulling or twisting’. R1 was admitted to this facility on 11/18/2014 with multiple diagnoses which, according to R1’s Individual Program Plan (IPP) included, but were not limited to: Profound Intellectual Disability, Epilepsy, Cerebral Palsy, Osteoporosis, GERD, Hemiplegia (paralysis of the left side) and had a history of seizures. Whereas R1 was non-verbal, R1 communicated through a combination of eye contact, facial expressions, vocalizations, and gestures/touch. R1’s IPP mentioned that R1 had functional use of the right arm/hand only and had not walked in over 18 years. R1 was deemed at high risk for falls and fractures as a result of numerous medical conditions including Osteoporosis; accordingly, the facility created a Health Care Plan (dated 4/11/2019) that addressed this immediate risk. Appropriate interventions included gentle handling when turning and repositioning R1, using a mechanical lift when transferring R1, requiring a two person assist at all times, repositioning every two hours, monitoring for signs and symptoms of fractures, and addressing R1’s discomfort when noted.

Interviews and record review of nursing notes revealed that on 5/19/2021 during the PM shift, staff noticed swelling on R1’s left hand and applied a cold compress to reduce swelling. Nursing staff continued to monitor R1’s condition and documented that on 5/20/2021, R1’s left elbow appeared swollen and red. Interviews and record review claimed that R1 appeared uncomfortable as R1 would pull their arm closer to their chest when the elbow was touched. R1’s primary care physician was notified of R1’s condition and on 5/21/2021, R1’s physician ordered a chest x-ray, left arm x-ray, left arm ultrasound, blood work, and a urinalysis. An x-ray technician arrived at approximately 6:00 p.m. on 5/22/2021 and took an x-ray of the left arm and chest. The results arrived at approximately 8:00 p.m. on 5/22/2021 and the results were sent to R1’s physician. R1’s physician instructed staff to send R1 to the emergency room for further treatment, as the left arm x-ray showed a fracture. R1 was sent to the emergency room on 5/22/2021 at 9:26 p.m. R1 was admitted with the initial diagnosis of sepsis, fracture of the left humerus, urinary tract infection, bowel obstruction and chronic seizure disorder. While in the hospital, additional tests were performed and R1 was found with multiple hepatic metastases (cancerous tumors in the liver) and R1 was diagnosed with stage 4 colon cancer. R1 was discharged back to the facility on 5/27/2021 on hospice care. On 6/6/2021, R1 passed away at the facility.

Staff claimed that R1 had a known behavior where R1 frequently held their left arm close to their chest, and denied claims that R1 was improperly handled or transferred. Staff supported claims that two staff assisted with transfers and repositioning at all times.

SUPERVISORS NAME: Jeralyn Ann Pfannenstiel
LICENSING EVALUATOR NAME: Ashley Smith
LICENSING EVALUATOR SIGNATURE:

DATE: 04/29/2022
I acknowledge receipt of this form and understand my licensing appeal rights as explained and received.
FACILITY REPRESENTATIVE SIGNATURE:

DATE: 04/29/2022
LIC9099 (FAS) - (06/04)
Page: 2 of 3
Control Number 29-AS-20210525151620
STATE OF CALIFORNIA - HEALTH AND HUMAN SERVICES AGENCY

COMPLAINT INVESTIGATION REPORT (Cont)
CALIFORNIA DEPARTMENT OF SOCIAL SERVICES
COMMUNITY CARE LICENSING DIVISION
CCLD Regional Office, 21731 VENTURA BLVD. #250
WOODLAND HILLS, CA 91364
FACILITY NAME: ELWYN NC - BABCOCK
FACILITY NUMBER: 198601809
VISIT DATE: 04/29/2022
NARRATIVE
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A review of hospital notes revealed that hospital staff contacted R1’s responsible party on 5/23/2021, in which they confirmed that R1’s left arm was weak and that it had not been used often. They further supported claims that R1 guarded their left arm by holding it to their chest. Whereas staff stated that R1 had a history of seizures, documentation revealed that the last seizure R1 experienced on record as on 5/8/2021. The seizure lasted for approximately 30 seconds and R1 did not show signs of distress following the seizure. The LPA was unable to identify any incidents that would indicate that staff improperly handled R1, nor were there prior incidents where R1 expressed pain or discomfort outside of the initial sign of discomfort on 5/19/2021. An interview with a consulting nurse revealed that staff acted accordingly that at the sign of discomfort, swelling, and/or redness, staff ensured that R1’s swollen area was iced, and that staff responded appropriately by informing R1’s primary care physician of R1’s condition.

Records confirmed that R1 had a diagnosis of osteoporosis. According to Mayo Clinic, osteoporosis 'causes bones to become weak and brittle – so brittle that a fall or even mild stresses such as bending, or coughing can cause a fracture’. Staff reiterated that whereas R1 pulled their arm close to their body, staff negated claims that they improperly transferred R1 or mishandled R1 while being repositioned. During the hospital stay, hospital records indicated that the imaging of the left arm revealed ‘diffuse osteopenia’, which is an indication of brittle bones and a loss of bone density. Upon being discharged from the hospital, R1’s final diagnosis was Age-related osteoporosis with current pathological fracture, left humerus, initial encounter for fracture. According to National Library of Medicine, a pathological fracture is “…a bone fracture which occurs without adequate trauma and is caused by a preexistent pathological bone lesion. Causes include resorption of bone mass (osteoporosis), reduction of bone quality (osteomalacia, osteonecrosis), insufficient bone production (osteogenesis imperfecta, fibrous dysplasia) or local bone destruction due to tumorous growths.”

In summary, staff denied claims that R1 suffered an injury due to an improper transfer or being improperly repositioned. Interviews with collateral agency representatives revealed that individuals with osteoporosis may have episodes of spontaneously fracturing themselves due to brittle bones. Prior to hospitalization, staff were aware that due to R1’s condition, R1 was at a high risk of sustaining fractures while in care. As such, interviews revealed that staff followed specific directives when providing care to R1. Based on the information provided, there is insufficient evidence to support the claim that due to neglect or physical abuse, R1 sustained a fracture while in care. This allegation is deemed Unsubstantiated at this time.



No deficiencies cited at this time. Exit interview conducted. A copy of the report was issued.
SUPERVISORS NAME: Jeralyn Ann Pfannenstiel
LICENSING EVALUATOR NAME: Ashley Smith
LICENSING EVALUATOR SIGNATURE:

DATE: 04/29/2022
I acknowledge receipt of this form and understand my licensing appeal rights as explained and received.
FACILITY REPRESENTATIVE SIGNATURE:

DATE: 04/29/2022
LIC9099 (FAS) - (06/04)
Page: 3 of 3