Failure to Prevent Unnecessary Psychotropic Medication Use and Chemical Restraint
Summary
Two residents were not protected from unnecessary psychotropic medication use, resulting in chemical restraint. One resident was administered Seroquel daily for psychosis, despite lacking a diagnosis of schizophrenia, depression, or bipolar disorder, which are the only acceptable indications for this medication in elderly patients. The resident's records, including the face sheet, care plan, and Minimum Data Set, did not support the use of Seroquel, and a Preadmission Screening and Resident Review confirmed the absence of a serious mental illness. The medication was continued after hospital readmission without proper verification, and the facility's own policies required antipsychotic medications to be used only when necessary for specific, documented conditions. A pharmacy recommendation to discontinue Seroquel due to lack of appropriate diagnosis was not followed up in a timely manner. The recommendation was not signed or dated by the attending physician, and there was no documentation of agreement or alternative action. Additionally, a psychiatrist consultation, as noted in the physician's progress notes, was not initiated after the resident's readmission, and the resident was not included on the list for psychiatric evaluation. Facility staff interviews confirmed that the necessary follow-up actions were not taken, and the resident continued to receive Seroquel unnecessarily. Another resident was prescribed Remeron for depression manifested by poor appetite, but there were no orders for monitoring the specific behavior (poor appetite) or for monitoring potential side effects of the medication. Nursing staff acknowledged missing the required monitoring orders, and the DON confirmed that such monitoring is necessary to determine the effectiveness of the medication and to identify any adverse effects. Facility policies required that psychotropic medications be supported by documented rationale, administered at correct doses and duration, and with adequate monitoring, which was not done in this case.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
Surveyors found that the facility failed to identify and monitor target behaviors for two cognitively intact residents receiving antipsychotic medications. One resident with psychotic and mood-related diagnoses was given Abilify at bedtime for psychotic disorder with hallucinations, and another resident with Wernicke’s encephalopathy, alcohol abuse, psychotic disorder with hallucinations, and dementia was given Zyprexa at bedtime. In both cases, medical record reviews showed no documented target behaviors or behavior monitoring related to the antipsychotic use, and the ADON and DON each confirmed that staff had not established or tracked target behaviors for these medications.
A resident with dementia and intact cognition was given a one-time dose of Haldol by an LPN after an attempt to hit staff during a dressing change, despite no documented behaviors or justification in the medical record. Facility policy required antipsychotic use only for specific conditions and after other interventions, but there was no evidence of imminent danger or proper documentation to support the administration.
Two residents were administered psychotropic medications without appropriate diagnoses or proper justification for not attempting gradual dose reductions. One resident received an antipsychotic for anxiety without a documented psychiatric diagnosis, while another continued on multiple psychotropic drugs despite pharmacy recommendations for dose reduction, with provider denials lacking clear clinical contraindication.
A resident with dementia and Parkinson's disease was given Seroquel without a documented or appropriate diagnosis to support its use. The medication was ordered and administered for anxiety and hallucinations, despite the absence of documented behaviors or psychiatric disorders and without adherence to FDA-approved indications. Facility staff, including the NP and DON, confirmed the lack of proper documentation and awareness of policy requirements.
A resident with severe cognitive impairment and multiple diagnoses received PRN Ativan gel for agitation and anxiety without a required 14-day stop date. The medication was administered repeatedly over several months, contrary to facility policy and regulations, as confirmed by interviews with clinical leadership.
The facility did not ensure that prn orders for psychotropic medications, including anti-psychotics and anti-anxiety drugs, were limited to 14 days and only extended with proper face-to-face evaluations and clinical rationales. Two residents received prn medications for extended periods without required end dates or documentation of non-pharmacological interventions prior to administration, contrary to facility policy and federal regulations.
Failure to Monitor Target Behaviors for Residents on Antipsychotic Medications
Penalty
Summary
The deficiency involves the facility’s failure to identify and monitor target behaviors for residents receiving antipsychotic medications, as required for appropriate use and monitoring of psychotropic drugs. For one resident admitted with diagnoses including acute kidney failure, psychotic disorder, anxiety disorder, and bipolar disorder, the physician ordered Abilify 10 mg by mouth at bedtime for psychotic disorder with hallucinations. The resident’s MDS assessment indicated the resident was cognitively intact and received antipsychotic medication. However, review of the medical record showed no documentation of target behaviors or behavior monitoring related to the administration of Abilify. In an interview, the Assistant Director of Nursing confirmed that staff had not identified or monitored target behaviors associated with this antipsychotic use. A second resident, admitted with diagnoses including Wernicke’s encephalopathy, alcohol abuse, psychotic disorder with hallucinations, and dementia, had a physician’s order for Zyprexa 7.5 mg by mouth at bedtime related to Wernicke’s encephalopathy. The MDS assessment for this resident also showed that the resident was cognitively intact and received antipsychotic medication. Review of this resident’s medical record likewise revealed no documentation of target behaviors or monitoring of behaviors related to the administration of Zyprexa. In an interview, the Director of Nursing confirmed that facility staff had not identified or monitored target behaviors for this resident’s antipsychotic medication.
Plan Of Correction
DON completed a head-to-toe physical assessment/observation on Resident #6 on 03/26/2026. It was determined that there were no negative effects related to the lack of behavioral monitoring identified during Annual Survey. LNHA notified Resident #6's primary care provider on 03/26/2026, of findings noted during Annual Survey and that no negative effects were identified during head-to-toe assessment/observation. Primary care provider acknowledged the missing behavioral documentation and that there were no negative effects related to the lack of behavioral monitoring. No new orders received from primary care provider. DON completed a head-to-toe physical assessment/observation on Resident #20 on 03/26/2026. It was determined that there were no negative effects related to the lack of behavioral monitoring identified during Annual Survey. LNHA notified Resident #20's primary care provider on 03/26/2026 of findings noted during Annual Survey and that no negative effects were identified during head-to-toe assessment/observation. Primary care provider acknowledged the missing targeted behavioral documentation and that there were no negative effects related to the lack of behavioral monitoring. No new orders received from primary care provider. On or before 04/30/2026, DON/Designee will review other residents' diagnosis list. Any resident with a mental health diagnosis, will have a medication review completed to ensure that targeted behavioral observations are added to treatment administration record (TAR) so that nurses will review/document any specific experienced behaviors on their shift accordingly. On or before 04/30/2026, DON/Designee will educate licensed nursing personnel of the following: 483.10(e)(1),483.12(a)(2),483.45(c)(3)(d)(e) Right to be Free from Chemical Restraints §483.10(e) Respect and Dignity. The resident has a right to be treated with respect and dignity, including: §483.10(e)(1) The right to be free from any . . . chemical restraints imposed for purposes of discipline or convenience, and not required to treat the resident's medical symptoms, consistent with §483.12(a)(2). §483.12 The resident has the right to be free from abuse, neglect, misappropriation of resident property, and exploitation as defined in this subpart. This includes but is limited to freedom from corporal punishment, involuntary seclusion and any physical or chemical restraint not required to treat the resident's medical symptoms. §483.12(a) The facility must- §483.12(a)(2) Ensure that the resident is free from . . . chemical restraints imposed for purposes of discipline or convenience and that are not required to treat the resident's medical symptoms. §483.45(c)(3) A psychotropic drug is any drug that affects brain activities associated with mental processes and behavior. These drugs include, but are not limited to, drugs in the following categories: (i) Anti-psychotic; (ii) Anti-depressant; (iii) Anti-anxiety; and (iv) Hypnotic. §483.45(d) Unnecessary drugs-General. Each resident's drug regimen must be free from unnecessary drugs. An unnecessary drug is any drug when used- (1) In excessive dose (including duplicate drug therapy); or (2) For excessive duration; or (3) Without adequate monitoring; or (4) Without adequate indications for its use; or (5) In the presence of adverse consequences which indicate the dose should be reduced or discontinued; or (6) Any combinations of the reasons stated in paragraphs (d)(1) through (d)(5) of this section. §483.45(e) Psychotropic Drugs. Based on a comprehensive assessment of a resident, the facility must ensure that-- §483.45(e)(1) Residents who have not used psychotropic drugs are not given these drugs unless the medication is necessary to treat a specific condition as diagnosed and documented in the clinical record; §483.45(e)(2) Residents who use psychotropic drugs receive gradual dose reductions, and behavioral interventions, unless clinically contraindicated, in an effort to discontinue these drugs; §483.45(e)(3) Residents do not receive psychotropic drugs pursuant to a PRN order unless that medication is necessary to treat a diagnosed specific condition that is documented in the clinical record; and §483.45(e)(4) PRN orders for psychotropic drugs are limited to 14 days. Except as provided in §483.45(e)(5), if the attending physician or prescribing practitioner believes that it is appropriate for the PRN order to be extended beyond 14 days, he or she should document their rationale in the resident's medical record and indicate the duration for the PRN order. §483.45(e)(5) PRN orders for anti-psychotic drugs are limited to 14 days and cannot be renewed unless the attending physician or prescribing practitioner evaluates the resident for the appropriateness of that medication. Additionally, licensed nursing personnel will be educated on policy review / adjustment as well as expectations for monitoring targeted behavior as noted in the following paragraph: On or before 04/30/2026, LNHA/Designee will review facility's policy & procedure regarding targeted behavioral monitoring. During this review, IDT will ensure that all residents with mental health, intellectual diagnoses or who are taking antipsychotic medications have specific targeted behavioral monitoring tasks placed/implemented, so that licensed nursing personnel are documenting behaviors or lack of behaviors that occur during their shift. This will include every shift documentation by licensed nursing personnel. DON/Designee will complete an audit of 5 residents' medical records weekly x4; then as determined by QAA. This audit will include the patient's identifier (facility's patient identifier), any behaviors were indicated and documented (will also reflect if no behaviors occurred), interventions to any behaviors that were documented. New procedure will include behavioral monitoring for those who suffer from mental health/intellectual disabilities and also those who do not.
Failure to Prevent Unnecessary Use of Antipsychotic Medication
Penalty
Summary
A deficiency occurred when a resident with diagnoses including cerebral infarction, glaucoma, anxiety disorder, and vascular dementia was administered an antipsychotic medication (Haldol) without proper documentation or justification. The resident, who had intact cognition and required assistance with transfers, had no routine psychoactive medication orders. After returning from the hospital, the resident exhibited agitation and combative behavior, leading to a one-time order for Haldol and Ativan if needed for agitation and aggression. However, the medications were not administered at that time, and the resident later rested calmly. Over 24 hours later, an LPN administered Haldol to the resident after the resident attempted to hit the nurse during a dressing change. There was no documentation in the progress notes to indicate the reason for administering the medication at that time, and behavior tracking did not show any documented behaviors warranting its use. Facility policy required that antipsychotic medications only be used for specific conditions and after other causes of behavioral symptoms had been addressed. The Acting DON confirmed there was no evidence of imminent danger to self or others to justify the use of Haldol, and the only incident noted was the resident pulling a fire alarm earlier, with no further documentation.
Failure to Ensure Appropriate Use and Dose Reduction of Psychotropic Medications
Penalty
Summary
The facility failed to ensure that residents receiving psychotropic medications had appropriate diagnoses and that proper justification was provided for not attempting gradual dose reductions. For one resident, olanzapine, an antipsychotic medication, was ordered for anxiety upon admission without a documented psychiatric diagnosis. The DON and ADON confirmed that the medication was continued from the hospital without an appropriate diagnosis, and there was no documentation to justify its use. Facility policy required that the prescribing practitioner and interdisciplinary team determine if continuing such medication was justified when no clear indication was present, but this was not followed. For another resident, multiple psychotropic medications were prescribed, including hydroxyzine, trazodone, and buspirone. Pharmacy recommendations to gradually reduce the dose of hydroxyzine were made on two occasions, but the provider denied these requests, citing reasons such as scheduled surgery and shoulder pain. There was no evidence that further attempts at gradual dose reduction were made, nor was there documentation of clinical contraindication as required by facility policy. The facility's failure to ensure appropriate diagnoses and to attempt or justify not attempting gradual dose reductions for psychotropic medications resulted in noncompliance with their own policies.
Antipsychotic Medication Administered Without Appropriate Diagnosis
Penalty
Summary
A deficiency was identified when a resident was administered Seroquel (quetiapine), an antipsychotic medication, without an appropriate or documented diagnosis to support its use. The resident had diagnoses of Parkinson's disease, dementia without behavioral or mood disturbances, altered mental status, and depression. The care plan noted altered behaviors and hallucinations, but the Minimum Data Set assessment indicated severe cognitive impairment with no behaviors or psychiatric/mood disorders. Despite this, Seroquel was prescribed and administered over several months, with dosage adjustments made for reported anxiety and behaviors, but without any formal diagnosis documented in the medical record. Interviews with facility staff revealed that the Nurse Practitioner ordered Seroquel based on a hospice recommendation, acknowledging it was used off-label and not in accordance with FDA-approved indications. The DON was unaware that the medication order lacked an appropriate diagnosis and did not recognize that the documented reasons for use were not FDA-approved indications. Facility policy required psychotropic medications to be prescribed only with appropriate diagnosis or supporting documentation, which was not followed in this case.
Failure to Discontinue PRN Psychotropic Medication After 14 Days
Penalty
Summary
A deficiency occurred when the facility failed to ensure that a psychotropic medication, specifically Ativan (Lorazepam) gel, prescribed for a resident with Alzheimer's disease and other significant diagnoses, had a required 14-day stop date. The medication was ordered as an as-needed (PRN) controlled substance for agitation and anxiety, but the order did not include a 14-day limitation as mandated by facility policy and regulations. Despite the absence of a stop date, the medication continued to be administered to the resident on multiple occasions over several months. Record review showed that the medication was given repeatedly after the period it should have been discontinued, with administration dates spanning several months beyond the initial order. Interviews with both the Regional Clinical Support and the Director of Nursing confirmed that the facility did not follow its own policy or regulatory requirements regarding the 14-day stop for PRN psychotropic medications. The facility's policy clearly stated that such orders should not be renewed beyond 14 days without a healthcare practitioner's evaluation, which did not occur in this case.
Failure to Limit PRN Psychotropic Medication Orders and Document Non-Pharmacological Interventions
Penalty
Summary
The facility failed to comply with federal regulations regarding the use of psychotropic medications, specifically by allowing as-needed (prn) orders for anti-psychotic and anti-anxiety medications to extend beyond the required 14-day limit without appropriate face-to-face evaluations and clinical rationales. In one case, a resident with schizo-affective disorder, bipolar disorder, anxiety, depression, and insomnia had a prn order for Zyprexa (an anti-psychotic) to be administered intramuscularly for agitation, with the order set for 180 days. Despite pharmacy recommendations referencing the 14-day regulatory limit and the need for prescriber evaluation, the psychiatrist continued to order the medication for extended periods. The medication was administered 12 times over five months, and in 10 of those instances, there was no documentation that non-pharmacological interventions (NPIs) were attempted prior to administration. Another resident, admitted with diagnoses including a sacrum fracture, stomach cancer, neuropathy, anemia, hypertension, and anxiety, and who was on hospice care, had prn orders for Xanax and lorazepam for anxiety. These orders did not include end dates, failing to specify the duration of use as required by regulation. The DON confirmed that these prn orders lacked the necessary time limitations. The facility's policy stated that prn orders for anti-psychotic medications should be limited to 14 days and not renewed without an in-person evaluation by the prescriber. However, the facility did not adhere to this policy in the cases reviewed, resulting in extended prn orders and a lack of documented attempts at NPIs prior to administering anti-psychotic medications.
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