Failure to Assess, Care Plan, and Justify Antipsychotic Use for a Dementia Resident
Summary
The deficiency involves the facility’s failure to complete a comprehensive assessment and establish a care plan before initiating and escalating psychotropic and antipsychotic medications for a resident with dementia. The resident was admitted with diagnoses including dementia, anxiety, and cerebral infarction, and the hospital discharge summary showed no antipsychotic, antianxiety, or antidepressant medications at discharge. The admission physician note documented the resident as alert, oriented to self, pleasant, conversant, and following commands, with no documentation of a need for or orders for antipsychotic medications. The quarterly MDS indicated severe cognitive impairment, behavioral symptoms directed and not directed toward others one to three days a week, and that the resident received antipsychotic medication, but the facility did not provide a comprehensive care plan for the resident. On the evening of admission, nursing staff documented that the resident attempted to ambulate without assistance, did not accept redirection, and was brought to the nurses’ desk for closer monitoring. After the resident refused and spit out melatonin ordered by the NP, staff obtained an order for and administered a 2.5 mg IM haloperidol injection for a diagnosis of dementia, without documentation of a clinical rationale consistent with psychosis or serious harm. Over the following days, staff obtained multiple new and escalating psychotropic and antipsychotic orders, including PRN and then scheduled risperidone, lorazepam four times daily and then PRN, Zoloft, additional IM haloperidol orders (both lactate and decanoate), and later Seroquel, often for behaviors such as crawling on the floor, anxiety, yelling out, restlessness, roaming, and standing up from the wheelchair. The POS frequently listed diagnoses such as dementia without behavioral, psychotic, mood disturbance, and anxiety, or mild dementia with psychotic disturbance, while the record lacked corresponding comprehensive assessments or clear clinical justification for these medication regimens. Throughout this period, the facility failed to consistently monitor, document, and address the resident’s behaviors using nonpharmacological interventions. MAR entries often listed general reasons such as anxiety, yelling, roaming, restlessness, or aggression for PRN antipsychotic and antianxiety administration, but nursing progress notes on multiple dates did not describe the specific behaviors at the time of administration or any nonpharmacological approaches attempted. There was also missing documentation regarding receipt and discontinuation of lorazepam and new antipsychotic orders, and no separate behavior monitoring records or antipsychotic assessments were provided for the month. Interviews with an RN, the DON, the NP, the physician, and the Administrator confirmed that standing up from a wheelchair or similar behaviors were not appropriate indications for antipsychotic use, that risperidone dosing had been increased excessively, that IM haloperidol at the dose given was not appropriate, and that nonpharmacological interventions should have been tried first. The facility’s own policies required residents to be free from chemical restraints and required comprehensive, interdisciplinary care planning based on thorough assessment, but these processes were not followed for this resident. The facility also failed to develop and implement a care plan specifically addressing the use of antipsychotic medications for this resident. Despite repeated behavioral episodes documented in nursing notes—such as attempts to walk unassisted, sliding from the wheelchair, increased confusion, throwing items, yelling, cursing, spitting out medications, grabbing other residents, and multiple falls—there was no evidence of a comprehensive, individualized care plan that incorporated measurable goals, time frames, and nonpharmacological strategies to manage the resident’s dementia-related behaviors. The record did not show an interdisciplinary approach or revisions to a care plan in response to changes in the resident’s condition and medication regimen. Instead, the response to behaviors was largely pharmacologic, with frequent additions and changes to antipsychotic and antianxiety medications without the required assessment, documentation, and care planning to support their use.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A resident with dementia, depression, diabetes, and CHF was receiving hospice care and had an open-ended PRN order for Haldol for agitation/restlessness. The record showed no documented face-to-face provider evaluation or justification for continued use after the consultant pharmacist twice recommended discontinuation under the 14-day PRN antipsychotic limit. Staff also noted the medication made the resident sleepy, and the MAR showed it was administered during the review period.
Failure to ensure appropriate use of an antipsychotic medication for a resident with dementia and depression. The resident was prescribed Risperidone for dementia with behaviors, but the record had no target-behavior monitoring order and no documentation of admission review for the psychotropic. An LPN, the Social Services Director, and the DON stated the diagnosis was not appropriate for Risperidone and that the resident should have had related behaviors monitored.
Failure to assess and document antipsychotic side effects for a resident receiving quetiapine for Parkinson’s disease and behavioral disturbance with agitation. The resident had moderately impaired cognition, needed staff help with ADLs, and was observed with a flat affect and mild finger tremor. Although an AIMS order was in place, the record showed incomplete sign-offs and no documented assessment results, and staff stated AIMS was used to monitor for side effects and should be documented in the medical record.
Psychotropic Medication Monitoring Failures: The facility did not document side effect monitoring for residents receiving antidepressant and antipsychotic medications, and orthostatic BP monitoring ordered for several residents was incomplete or showed identical readings across positions. Residents with severe cognitive impairment and multiple diagnoses, including dementia, schizophrenia, and cardiovascular conditions, were receiving psychotropic medications, but the EHR lacked evidence of ongoing monitoring for adverse effects. Staff interviews confirmed monthly orthostatic BP checks should include lying, sitting, and standing readings and that side effect monitoring was not yet in place.
PRN lorazepam orders for two residents with anxiety lacked required stop dates. One resident had intact cognition and documented antianxiety medication use, while the other had documented psychotropic use and impaired cognition; both had care plans to monitor for side effects, and an RN confirmed the orders did not include the stop date required by facility policy for PRN psychotropic meds.
A resident with dementia, UTI, diabetes, and acute pyelonephritis was prescribed and given Seroquel for agitation even though the record did not document behaviors or agitation. The EHR and MDS showed no indication for antipsychotic use, and staff stated the order did not meet expectations.
Failure to Review and Justify Continued PRN Antipsychotic Use
Penalty
Summary
The facility failed to review and justify the continued use of a PRN psychotropic medication for a resident who had moderate cognitive deficit, required moderate assistance with most ADLs, and was under hospice care for end-stage heart failure. The resident’s record showed diagnoses including CHF, dementia, diabetes, and depression, and the quarterly MDS noted no hallucinations, delusions, or behaviors during the observation period. The active physician orders included haloperidol 1 mg every four hours PRN for agitation and restlessness with an open-ended end date. The resident’s care plan identified psychotropic medication use for depression and anxiety, with approaches that included administering medications as ordered and documenting three interventions before giving the PRN medication. The consultant pharmacist twice recommended discontinuing the PRN Haldol because federal guidelines limited PRN antipsychotic orders to 14 days unless the attending physician evaluated the resident for appropriateness of renewal. One recommendation was signed by the physician with a comment that the resident was a hospice patient, but the record did not show a face-to-face provider visit or other documented justification for continued use, and the second recommendation had no physician response documented. The PRN MAR showed Haldol was administered on two occasions during the review period, and the medication order remained open-ended. During observation, the resident was noted hollering that she needed to use the bathroom, then was assisted to a recliner and fell asleep; staff stated she had been up until 3:00 a.m. An LPN stated the Haldol made the resident sleepy and was usually not given during the day so she could eat, while the DON stated PRN psychotropic medications should have a 14-day review and the facility’s policy also limited PRN psychotropic orders to 14 days unless the attending provider evaluated the resident.
Failure to Monitor and Justify Antipsychotic Use
Penalty
Summary
The facility failed to ensure the use of an antipsychotic medication was appropriate for one sampled resident, Resident 50, by not providing adequate monitoring or an appropriate indication for its use. Resident 50 was admitted with diagnoses of dementia with behaviors and depression, and the record also showed PASRR findings of depression, anxiety, and later severe depression. The provider ordered Risperidone daily at bedtime for dementia with behaviors starting 03/31/2026, but the electronic health record contained no order to monitor target behaviors related to the antipsychotic medication. The record also showed no documentation that Resident 50 was reviewed on admission for the use of an antipsychotic medication. During interviews, an LPN stated the diagnosis of dementia with behaviors was not an appropriate diagnosis for an antipsychotic medication and that target behaviors should have been monitored but were not. The Social Services Director stated the resident should have been reviewed in the monthly psychotropic meeting on admission, that dementia with behaviors was not an appropriate diagnosis for Risperidone, and that related behaviors should have been monitored. The DON stated the resident should have been reviewed in the monthly psychotropic meeting, had target behaviors monitored, and had an appropriate diagnosis for the antipsychotic.
Failure to Assess and Document Antipsychotic Side Effects
Penalty
Summary
The facility failed to assess for potential side effects of an antipsychotic medication for one resident who was reviewed for unnecessary medications. The resident’s quarterly MDS identified moderately impaired cognition, rejection of care one to three days, and dependence on staff for dressing, bed mobility, and toileting. The care plan stated the antipsychotic medication was being used for Parkinson’s disease and directed nursing staff to monitor for adverse effects and document findings. The physician order included quetiapine fumarate 25 mg by mouth daily for Parkinson’s disease and behavioral disturbance with agitation, along with 50 mg by mouth daily for the same indications. The resident also had a nursing order to complete an AIMS assessment every three months, but the record showed inconsistent completion and documentation. The TAR indicated the AIMS assessment was signed off as completed on three consecutive days in April, yet no assessment results were documented in the resident’s record. In May, the AIMS sign-off was blank and no assessment results were documented. In early June, no AIMS assessment had been signed off or documented. During observation, the resident was seated in a wheelchair with a flat affect and a mild tremor in the fingers. Staff interviews confirmed that AIMS assessments were intended to monitor side effects and were to be documented in the medical record.
Psychotropic Medication Monitoring and Orthostatic BP Documentation Failures
Penalty
Summary
The facility failed to ensure residents receiving psychotropic medications were adequately monitored for side effects and orthostatic blood pressures as ordered. Review of records for 4 of 6 residents identified for psychotropic medication monitoring showed no evidence that side effect monitoring had been implemented for residents receiving antidepressant, antipsychotic, or other psychotropic medications. R7 had moderate cognitive impairment and diagnoses including DVT, hypertension, BPH, renal insufficiency, diabetes mellitus, and CVA. R7 received escitalopram 20 mg daily for depression, but the EHR did not show evidence of side effect monitoring related to the medication. R10 had severe cognitive impairment and diagnoses including non-traumatic brain dysfunction, atrial fibrillation, hypertension, and non-Alzheimer's dementia. R10 received brexpiprazole 1.5 mg twice daily for agitation related to dementia and haloperidol 2 mg daily for delusions related to unspecified dementia, but the EHR did not show evidence of side effect monitoring for these antipsychotics. R41 had severe cognitive impairment and diagnoses including non-traumatic brain dysfunction, hypertension, PVD, hyperlipidemia, arthritis, Alzheimer's disease, stroke, and non-Alzheimer's dementia. R41 received risperidone 0.25 mg three times daily for hallucinations, and the EHR did not show evidence of side effect monitoring. R91 had severe cognitive impairment and schizophrenia and received olanzapine and risperidone for paranoid schizophrenia, but the EHR did not show evidence of side effect monitoring. The record also showed failures to obtain and document orthostatic blood pressures as ordered for R10, R41, and R91. For R10, monthly orthostatic blood pressure documentation contained identical readings across lying, sitting, and standing positions on multiple dates. For R41, some monthly orthostatic blood pressure checks were documented as refused, with no evidence the monitoring was attempted again later, and other entries showed identical readings in all positions. For R91, one monthly entry lacked standing blood pressure and pulse documentation, and another showed identical readings in all positions. Staff interviews confirmed orthostatic blood pressures should be completed monthly in lying, sitting, and standing positions, that identical readings in all positions were not expected, and that side effect monitoring for psychotropic medications was not yet in place.
PRN Lorazepam Orders Lacked Required Stop Dates
Penalty
Summary
The facility failed to obtain a stop date for PRN lorazepam orders for two residents. One resident had a diagnosis of anxiety, intact cognition with a BIMS score of 14, and documentation in the EMR showing use of antianxiety medication during the assessment period. Her psychotropic drug use CAA and care plan both reflected anxiety and monitoring for side effects of antianxiety medication, but the physician order for lorazepam 0.5 mg by mouth every four hours PRN for anxiety, ordered 04/08/2026, did not include a stop date. Administrative Nurse D confirmed on 06/03/2026 that the PRN lorazepam order lacked the required stop date. The second resident also had a diagnosis of anxiety and psychotropic medication use documented in the EMR and CAA. Her MDS assessments showed varying cognitive impairment, including a BIMS score of 6 on one assessment and 11 on another, and her care plan instructed staff to monitor for side effects of antianxiety medication. The EMR order for lorazepam 0.5 mg by mouth every four hours PRN for anxiety, ordered 10/19/2025, also lacked a stop date. Administrative Nurse D confirmed on 06/03/2026 that this PRN lorazepam order did not have the required stop date, consistent with the facility policy limiting PRN psychotropic medications to no more than 14 days unless extended with documented rationale and a specific duration.
Unnecessary Antipsychotic Use Without Documented Indication
Penalty
Summary
The facility failed to ensure one resident was free from unnecessary psychotropic medication use when Resident 65 was prescribed and administered Seroquel for agitation without documented behaviors or agitation in the record. Resident 65 was admitted with diagnoses including UTI, diabetes, dementia, and acute pyelonephritis, and was not able to communicate needs. Observation showed the resident sitting in a wheelchair by the nurse’s station with head down and eyes closed on multiple occasions. Review of the EHR showed progress notes from 04/30/2026 through 05/15/2026 did not document behaviors or agitation, and the admission MDS dated 03/26/2026 did not show behaviors or indications for antipsychotic use. During interview, the LPN/Resident Care Manager stated the facility’s process was to first rule out infection, environmental factors, and pain, then refer to mental health, and stated the Seroquel order did not meet expectations. The DON also stated the resident should have indications for antipsychotic use and that this did not meet expectation.
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