Somerset Nursing & Rehabilitation Facility v. United States Deparment of Health & Human Services

502 F. App'x 513
CourtCourt of Appeals for the Sixth Circuit
DecidedOctober 18, 2012
Docket11-3161
StatusUnpublished

This text of 502 F. App'x 513 (Somerset Nursing & Rehabilitation Facility v. United States Deparment of Health & Human Services) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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Somerset Nursing & Rehabilitation Facility v. United States Deparment of Health & Human Services, 502 F. App'x 513 (6th Cir. 2012).

Opinions

HELENE N. WHITE, Circuit Judge.

Petitioner Somerset Nursing and Rehabilitation Facility (“Somerset”) petitions this court for review of the decisions of the Departmental Appeals Board (“DAB”) and Administrative Law Judge (“ALJ”) upholding the Secretary of the United States Department of Health and Human Services’ (“Secretary”) imposition of a monetary penalty for Somerset’s failure to comply with 42 C.F.R. § 483.13(b) and (c). We affirm in part and reverse in part.

I.

Somerset is a skilled-nursing home facility in Kentucky that participates in the Medicare program. On February 6, 2008, Somerset admitted Resident # 9, a 5'11", 199 pound, 85-year-old male resident who was generally alert but also had been diagnosed with dementia, chronic renal failure, congestive heart failure, chronic obstructive pulmonary disease, diabetes mellitus, and depression. Resident # 9 usually moved about Somerset in a wheelchair; however, he was able to walk occasionally. Resident # 9 was placed in Somerset partially because his family was concerned that he made sexual advances towards his wife, who no longer recognized him due to her dementia. After Resident # 9’s admission to Somerset, he began making unsolicited sexual advances toward some of the female residents. Somerset’s records show the following:

April 10, 2008: Brushed up against a cognitively-impaired female in the hallway

May 10, 2008: Found in room of severely cognitively impaired female resident “feeling of her.” (Although this description was included in Somerset’s behavior logs, Somerset’s internal investigation notes state that staff “observed [Resident # 9] reaching towards [resident’s] shirt but did not observe direct contact.”)
May 18, 2008: Touched cognitively impaired female resident at several places on her body. (Although this description was included in Somerset’s behavior logs, Somerset’s internal investigation notes state “staff observed [Resident # 9] reaching towards [resident’s] arms, chest and abdomen areas ... No one [515]*515substantiated contact occurred between Residents.”)
May 22, 2008: Made inappropriate sexual advances toward female resident and did not stop when asked.
May 28, 2008: Made sexual advances toward female resident and tried to get into the female resident’s room.
May 29, 2008: Found in room of resident whom he had made sexual advances toward the previous day and resident complained that he tried to touch her inappropriately.
May 30, 2008: Made sexual advances toward female resident.
June 18, 2008: Made sexually suggestive remarks towards female resident.
July 8, 2008: Kissed and fondled breast of cognitively impaired female resident. (Although this description was included in Somerset’s behavior logs, Somerset’s internal investigation notes state “[s]taff observed [Resident # 9] pursing his lips in a kissing fashion towards [resident]. Both residents were in wheelchairs and proximity was not close enough for [Resident # 9] to make contact with his lips. As staff approached to intervene, [Resident #9] was observed reaching towards her chest area.”)
August 21, 2008: Forcefully pinched right breast of female resident.
August 22, 2008: Found in female resident’s room sitting by her bed.
August 22, 2008: Found holding onto the shirt of a female resident that was partially undone.
August 23, 2008: Found reaching for a female resident’s breast.
August 23, 2008: Found in doorway of female resident’s room.
October 16, 2008: Witnessed grabbing breast of Resident # 10 who has dementia.
December 10, 2008: Invited a female resident into his room.

Resident # 9 had a history of making uninvited sexual advances towards women and had been asked to leave several nursing homes prior to his admission to Somerset. The staff first spoke with Resident # 9 after the April 10, 2008 incident and discussed the need to respect the other residents’ “personal space.” Although the staff interviewed the female resident involved, she was unable to express any concern about her interaction with Resident # 9 due to her cognitive impairment.

After the incident on May 10, 2008, Somerset had a “teachable moment,” resulting in staff members being instructed to monitor Resident # 9. The Director of Nursing also interviewed the female resident involved. The resident was unable to describe what had transpired because of her cognitive impairment; however, the Director of Nursing did not note any adverse effects from this incident. On May 16, 2008, a psychiatric physician’s assistant consulted with Resident # 9 regarding his behavior.

After the incident on May 18, 2008, Somerset advised Resident #9 to stay away from all female residents and informed its staff to observe Resident # 9 “at all times.” However, this instruction did not result in constant monitoring of Resident # 9. Further intervention methods included encouraging Resident # 9’s family members to visit and again instructing staff members to monitor him after the May 22, 2008 incident, as well as having another psychiatric consultation, involving Resident # 9 in diversionary tactics such as gardening, and threatening discharge, after the May 29, 2008 incident. After the incident on July 8, 2008, Somerset advised fourteen staff members that Resident # 9 would be on fifteen-minute checks. Somerset also warned Resident # 9 and his family that he would be discharged if his behavior continued.

[516]*516After Resident #9 forcefully pinched the breast of a female resident on August 21, 2008, he began weekly meetings with social services to discuss his behavior. Somerset’s staff members were again instructed to monitor Resident # 9 and keep him away from the female residents. On September 12, 2008, Somerset held a faculty-wide in-service on abuse, although there is no record that Resident # 9’s behavior was discussed at this time.

Somerset decided it had exhausted all possible intervention methods after the October 16, 2008 incident and initiated discharge proceedings. Somerset’s staff members were also further instructed to monitor Resident # 9 and prevent him from approaching female residents. Resident # 9’s family appealed the discharge and Somerset was forced to keep Resident # 9 at its facility pending the appeal. Between January 7, 2009 and January 9, 2009, Somerset implemented additional intervention in the form of one-on-one monitoring of Resident # 9. On January 9, 2009, Resident # 9 was finally discharged from Somerset.

In the interim, the Kentucky Cabinet of Health and Family Services conducted two recertification surveys at Somerset, one from January 5-9, 2009, and another on January 26, 2009. According to the surveys, Somerset was not in substantial compliance with eleven regulatory requirements, eight of which posed immediate jeopardy. Two of Somerset’s deficiencies that posed immediate jeopardy pertained to Somerset’s handling of Resident # 9’s behavior towards the other residents. Specifically, Somerset was found in violation of 42 C.F.R.

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