Failure to Provide Trauma Evaluations and Effective Behavioral Health Interventions
Summary
The deficiency involves the facility’s failure to provide necessary behavioral health care and services, including trauma evaluations, following resident-to-resident physical abuse incidents. One resident with psychosis, schizophrenia, and major depressive disorder was found on the floor with a bleeding nose, a skin tear, and forehead redness after being pushed and kicked by another resident. A psychiatry progress note documented that the psychiatric NP saw the resident per staff request, but the record lacked documentation that the altercation or physical abuse incident was discussed or that the resident’s newly identified wandering behavior, which led to the altercation, was addressed. Another resident with COPD, heart failure, and schizoaffective disorder was punched by a roommate, resulting in discoloration around the eye, a nose bridge abrasion, and a forehead skin tear. Although the care plan for emotional distress included a psychiatry evaluation and the NP was informed of the incident, there was no documented evidence that a psychiatric trauma evaluation was completed. The facility also failed to implement meaningful behavioral health interventions for residents with psychiatric histories, aggressive behaviors, and refusal of psychotropic medications. One resident with schizophrenia and paranoid personality disorder, intact cognition, and a history of violent behavior and homicidal ideation, including chasing a person with a knife and threatening police, was involved in multiple physical altercations. This resident punched another resident in the smoking area and later admitted to pushing and kicking a different resident who entered the room. The care plan identified behavioral problems such as irritability, anger, violent behavior, homicidal ideations, mood swings, and a tendency to push and kick other residents, with interventions including attempts to identify underlying causes. However, the medical record showed the resident routinely refused medications, and there was no documentation of effective, meaningful interventions addressing this ongoing refusal and associated behaviors. Another resident with neuroleptic-induced Parkinsonism, schizoaffective bipolar type, and psychosis, recently transferred from a psychiatric hospital after an exacerbation of schizophrenia symptoms and noncompliance with psychotropic medications, was also involved in a physical altercation. Progress notes documented that this resident punched a roommate, was screaming violently, hostile, physically aggressive, and non-redirectable toward residents and staff. A social services note indicated that when staff attempted to discuss the altercation, the resident became agitated, screamed, yelled, and used inappropriate language, preventing further information gathering. A refusal of treatment form showed the resident had declined medications after being informed that refusal could affect mood stabilization and worsen behaviors. Despite the facility’s acknowledgment of a high-behavior population and multiple resident altercations, the report describes a pattern of inadequate psychiatric support and lack of thorough evaluations and timely, effective behavioral interventions for these residents.
Penalty
Resources
Below are regulatory guidelines relevant to this citation:
A resident with major depressive disorder, anxiety, and multiple psychotropic medications had documented moderately severe depression on PHQ-9 and MDS assessments, along with care plans that listed psychiatrist consults and social services visits only "as indicated." Although the resident had signed consent for psychological services and family sent a text to the social worker reporting that the resident was very depressed, talking about making very bad decisions, and requesting therapy, no referral was made and there is no evidence the resident was ever seen by behavioral health providers. In the weeks before the event, the resident reported increased anxiety and received PRN Hydroxyzine on multiple days without clear documentation of the indication, and no behaviors were charted. The situation culminated when the resident ingested antifreeze in an apparent suicide attempt, telling staff he did not want to be alive anymore, demonstrating the facility’s failure to provide necessary behavioral health care and services.
A resident with a history of bipolar disorder, alcohol abuse, and other psychoactive substance abuse was admitted after hospitalization for osteomyelitis and toe amputations, with a PICC line and a signed consent for a Substance Use Disorder/Stepping Stones program that specified safety measures, restricted LOAs, and counseling. The care plan required participation in Stepping Stones activities and adherence to its protocol, but the facility had no functioning program, no counselor, no weekly check-ins, and no documented Stepping Stones services. Staff acknowledged that only a consent form existed, while the resident repeatedly left the facility unsupervised, including signing himself out using the LOA book without clear staff control and later leaving after an appointment and being found at a store with alcohol. The resident stated he knew he was not allowed to leave and confirmed he had not received any substance abuse program services, demonstrating the facility’s failure to provide the behavioral health care and safety interventions it had identified and agreed to deliver.
A resident with Alzheimer's disease, personality disorder, major depressive disorder, and a known history of suicide attempts, including use of a garbage bag over the head, was admitted from a psychiatric hospital and assessed as cognitively intact but needing hands-on ADL assistance. Despite this history, the care plan contained only general behavioral strategies such as medication administration, redirection, supportive approaches, environmental calming, and behavior monitoring, without specific, measurable interventions like enhanced supervision or environmental safety precautions. A CNA later found the resident with a plastic bag over the head and face while preparing for dinner; the bag was removed and nursing was notified. On assessment, the resident voiced active suicidal ideation and a plan to attempt self-harm if left unsupervised, while the DON acknowledged the care plan lacked measurable interventions to address the resident’s suicidal ideation and behaviors, contrary to facility policy requiring comprehensive, person-centered care plans.
A resident with schizophrenia and depression did not have timely follow-up with psych recommendations after hospital discharge. The discharge instructions called for psychiatry follow-up within one week and medication changes including tapering Oxcarbazepine and starting Lamotrigine, while the resident’s orders also included Doxepin, Invega Sustenna, Lamotrigine, and Olanzapine. The DON stated the psych NP saw the resident in-house, but the progress note was obtained later and its recommendations for Genesight testing and prior psych records were not completed.
Multiple residents with substance use disorders engaged in ongoing illicit drug and alcohol use within the facility, including use of methamphetamine, cocaine, marijuana, and alcohol. Despite repeated positive drug screens, observed drug paraphernalia, and admissions of use, the facility did not implement specific interventions or update care plans to address illicit substance use. Staff and administrators confirmed that drug access was a common problem and that the facility lacked effective policies and actions to address substance abuse.
A resident with complex behavioral health and pain management needs did not receive scheduled medications in a timely manner after requesting them during the night. The assigned RN, citing concerns about the resident's agitated behavior, did not administer the medications or seek assistance from other available nurses, resulting in a delay of care and unmanaged pain. Facility policies and individualized care plans were not followed, as confirmed by staff interviews and documentation review.
Failure to Provide Behavioral Health Services for Depressed Resident Leading to Suicide Attempt
Penalty
Summary
The deficiency involves the facility’s failure to ensure that necessary behavioral health services were provided to a resident with significant mental health diagnoses and documented depressive symptoms. The resident was admitted with multiple medical and psychiatric diagnoses, including major depressive disorder, generalized anxiety disorder, and alcohol abuse, and had signed a supplemental admission agreement granting permission to receive psychological services. Physician orders included multiple psychotropic medications for depression, anxiety, and agitation, as well as an order for staff to record behavior monitoring each shift using a defined numerical behavior scale. A PHQ-9 assessment in early January showed a score of 15, indicating moderately severe depression with recommended treatment actions including pharmacotherapy with psychotherapy, and the quarterly MDS documented a total mood severity score of 15 with little interest in activities and poor appetite over most of the lookback period. Despite these findings and the resident’s psychiatric diagnoses, the care plan only listed psychiatrist consults and social services visits as "as indicated" and there is no evidence in the record that psychological or psychiatric services were actually provided during the resident’s stay. The DON confirmed that the resident had signed permission to receive psychological services and that the resident did not receive such services while in the facility. The social worker acknowledged receiving a text message from the resident’s son reporting increased depression and requesting some kind of therapy, stating the resident was very depressed and talking about making very bad decisions, and asking if someone could talk him through continuing therapy. The social worker did not make a referral for psychological services and could not provide evidence that the resident was ever seen or evaluated by behavioral health providers. In the weeks preceding the incident, the resident reported increased anxiety related to financial worries, leading to a 14-day PRN order for Hydroxyzine, which was administered on eight days during that period. Nursing documentation did not specify whether the Hydroxyzine was given for anxiety or itching, and no behaviors were documented on the MAR or in corresponding progress notes. On the day of the incident, the resident’s son called the facility after receiving a goodbye call from the resident. Staff found the resident alert with a bright yellow substance on his gown and bedding, an open bottle of antifreeze on the bedside table in an open Amazon box, and the resident admitted to putting antifreeze in a coffee cup and drinking it, stating he could not get a gun and that he did not want to be alive anymore. The resident and his son both reported prior expressions of wanting to harm himself and worsening depression in the weeks leading up to the suicide attempt. The facility’s own behavioral health services policy stated that residents exhibiting signs of emotional or psychosocial distress would receive services and support to address their needs, but the resident did not receive behavioral health services despite documented depression, anxiety, and family-reported concerns.
Failure to Implement Substance Use Disorder Program and Safety Measures for Resident on Stepping Stones Consent
Penalty
Summary
The deficiency involves the facility’s failure to provide necessary behavioral health care and services for a resident with a known substance use disorder, in accordance with the resident’s assessment, hospital history, and the facility’s own Substance Use Disorder/Stepping Stones program consent and care plan. Prior to admission, the resident signed a Substance Use Disorder Program consent that outlined specific safety measures and monitoring, including supervised visits, restricted visitation hours, random room and package searches, random drug screens, and no LOA without collaboration among the counselor, IDT, and physician. Hospital discharge paperwork documented that the resident had tested positive for amphetamines and cannabinoids and was discharged with a PICC line for IV antibiotics after toe amputations. The resident’s admission MDS showed intact cognition (BIMS 15), and the care plan identified a substance abuse disorder with interventions requiring participation in Stepping Stones activities and adherence to the Stepping Stones protocol. Despite these documented needs and the signed consent, the facility did not actually provide the Stepping Stones program or its associated behavioral health services. There was no documented evidence that the resident received Stepping Stones activities, homework, counseling sessions, or follow-up with a counselor. Multiple staff, including the Admission Director, Regional Director of Clinical Services, and Social Service Director, acknowledged that the facility did not have a functioning substance abuse program, had no counselor, and that no one was doing weekly check-ins on residents who were supposedly in the program. The Regional Director of Clinical Services confirmed there were no policies, procedures, or admission information for the Stepping Stones program other than the consent form, and the physician reported he was only made aware that the facility did not have a substance abuse program after the resident’s admission. The lack of implemented behavioral health interventions and safety measures contributed to repeated unsupervised departures from the facility by the resident, who had a history of substance use and was admitted under a program that was not actually in place. On one occasion, the resident signed himself out for an LOA, obtained access to the LOA book without clear staff oversight, and left in a friend’s car to retrieve his power wheelchair, traveling through the community and stopping at various locations before returning later that night. Staff interviews revealed confusion about whether the resident had privileges to leave, uncertainty about his destination, and acknowledgment that he was supposed to have limited LOA access under the Stepping Stones program. On another occasion, after a medical appointment, the resident left the facility without notifying staff, was later found at a grocery store with alcohol, and was observed back at the facility smelling of alcohol and upset. The resident himself confirmed he had been admitted on a substance abuse program, knew he was not allowed to leave, and had not received any services related to the program, demonstrating the facility’s failure to deliver the behavioral health care and safety interventions it had identified and consented to provide.
Plan Of Correction
Resident #2 no longer resides at the facility. On 4/23/2026 Director of nursing /designee reviewed program policy and contract to discover any like residents, no qualifying residents for the program as of 4/23/2026. On 4/17/2026 new counselor/therapist started to be available to provide services. As of 4/23/2026 there are currently no residents on the program. To ensure the deficit practice does not recur the Administrator/designee will assess new referrals/admission to the facility if they meet criteria to participate in the substance use disorder program. Regional Director of Operations will educate facility program director and facility administrator on substance use disorder program. This will be completed by 4/27/2026. On 4/23/2026 Administrator/designee will educate all staff on program guidelines and contract. Audits will be completed weekly by the Administrator/designee with any residents on the program to ensure program is being compliant if not compliant, physician notified. Administrator/designee will add any new candidates to the audit upon admission x 4 weeks.
Failure to Implement Individualized Behavioral Health Interventions for Suicidal Resident
Penalty
Summary
The facility failed to ensure individualized behavioral health interventions were implemented to meet a resident's mental health needs and prevent suicidal ideation with a suicide attempt. The resident was admitted with Alzheimer's disease, personality disorder, and major depressive disorder, and had been transferred from an assisted living facility to a psychiatric hospital following a prior suicide attempt involving placing a garbage bag over his head. On admission, the resident was cognitively intact and required hands-on assistance for activities of daily living. Despite this history, the care plan in place prior to the incident only included general behavioral approaches such as medication administration as ordered, redirection, non-judgmental support, environmental calming strategies, and monitoring and documentation of behaviors. On one occasion, the resident's assigned CNA observed the resident with a plastic bag placed over his head and face while staff were preparing to escort him to dinner. The CNA immediately removed the bag and notified nursing. Upon assessment, the resident expressed active suicidal ideation, stating that he did not want to be there, could not go on like that, and that he would attempt self-harm again if left unsupervised, also stating he should have done it later in the night. The guardian later reported a history of similar behaviors at previous facilities. The DON confirmed that the care plan did not include measurable interventions to address the resident's suicidal ideations and behaviors prior to this event, and the facility’s comprehensive care plan policy required measurable objectives and timeframes to meet residents’ mental and psychosocial needs identified in the assessment.
Delayed Follow-Up With Psychiatric Recommendations
Penalty
Summary
The facility failed to follow up with psychiatric recommendations in a timely manner for one resident reviewed for mood and behavior. The resident was admitted with diagnoses including schizophrenia, depression, and muscle weakness. Hospital discharge instructions dated 01/02/26 directed follow-up with psychiatry in one week and documented that Oxcarbazepine was being down titrated to 30 mg and Lamotrigine 25 mg twice daily was started with slow up titration in the outpatient setting. The resident’s physician orders included Doxepin 75 mg at bedtime, Invega Sustenna 156 mg/mL IM every three weeks, Lamotrigine 25 mg twice daily, and Olanzapine 100 mg twice daily. The DON stated the psychiatric NP visited the resident in house on 01/30/26, but progress notes typically take about a month to obtain. The DON later provided the psychiatric progress note dated 01/30/26, which recommended obtaining Genesight testing if the resident and family were agreeable and obtaining records from the previous outpatient psychiatric provider to confirm diagnosis and prior medication trials. The DON verified these recommendations were not completed.
Failure to Provide Safe Environment and Effective Substance Abuse Program
Penalty
Summary
The facility failed to provide a safe environment free from drugs and alcohol and did not have an effective substance abuse program, as evidenced by multiple residents engaging in ongoing illicit drug and alcohol use while residing in the facility. Several residents with histories of substance use disorders, including opioid dependence, cocaine abuse, and alcohol abuse, were repeatedly found to be using illicit substances such as methamphetamine, cocaine, marijuana, and alcohol. Despite positive drug screens, observed drug paraphernalia, and admissions of ongoing use, the facility did not implement specific interventions to prevent or reduce illicit drug use, nor did it update care plans to address these issues. Staff interviews confirmed that drug access was a common problem and that the facility was not taking adequate action to address it. In one case, a resident with a history of opioid dependence and major depressive disorder tested positive for multiple illicit substances on several occasions, including methamphetamine, cocaine, and marijuana, without corresponding prescriptions. The resident's care plan lacked interventions specific to illicit drug use, and staff reported finding drug paraphernalia in the resident's room. The facility's behavioral health specialists stated that their recommendations for interventions were not implemented, and the administrator confirmed there was no policy addressing confirmed illicit substance use among residents. The facility's only response to suspected drug use was to notify the physician, as per their outdated policy. Other residents were also involved in incidents of drug use and related behaviors. Two residents sharing a room were found with an unknown visitor in possession of drugs, and one was observed performing sexual acts in exchange for substances. The facility failed to follow its own abuse and exploitation policies in response to this incident. Another resident with a history of alcohol and cocaine abuse was repeatedly found intoxicated, involved in altercations, and observed using marijuana in the facility, with no documented follow-up or interventions by staff. Interviews with staff and administrators confirmed a lack of cohesive care and policy regarding substance abuse, and that the facility had not taken effective steps to address the ongoing drug problem.
Failure to Provide Timely Behavioral Health and Pain Management Interventions
Penalty
Summary
A deficiency occurred when the facility failed to implement a person-centered care plan to support the behavioral health care needs of a resident with multiple psychiatric and physical diagnoses, including borderline personality disorder, PTSD, generalized anxiety disorder, severe morbid obesity, and chronic pain conditions. The resident had documented care plans addressing pain management, behavioral symptoms, aggressive behaviors, and psychiatric/mood issues, with specific interventions such as timely medication administration, emotional support, and strategies to minimize behavioral triggers. Despite these plans, the resident did not receive scheduled medications at the prescribed time after requesting them during the night, resulting in a delay of care. On the night in question, the resident requested her scheduled medications at 4:00 A.M., but the assigned RN was on break. Upon returning, the RN did not attempt to administer the medications or seek assistance from other available nurses, despite the presence of additional licensed staff on duty. The RN reported feeling unsafe due to the resident's agitated and hostile behavior, which included yelling and making derogatory remarks. Instead of following up with the physician or nurse practitioner regarding the late medication request, the RN only contacted facility management via text and did not receive a timely response. The resident ultimately did not receive her medications until several hours later, after experiencing significant pain. Interviews and documentation confirmed that other nurses could have administered the medications, and that the RN's failure to do so was not in accordance with facility policy or standard nursing practice. The facility's medication administration policy required medications to be given as ordered, and the behavioral assessment policy emphasized individualized interventions to address residents' needs. The incident was substantiated by medical record review, staff interviews, and disciplinary action taken against the RN for failing to provide necessary care.
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