Failure to Notify Physician and Improperly Holding Ordered Medications After Resident Status Change
Summary
The deficiency involves the facility’s failure to timely notify the physician of a significant change in condition and failure to notify the physician when ordered medications, including insulin, were independently held. A resident with diagnoses including hypervolemia, orthostatic hypotension, hypertension, dehydration, acute kidney failure, type II diabetes, anxiety, and depression was admitted on 12/11/25 and had physician orders for Humulin insulin twice daily and blood glucose checks before meals and at bedtime, with instructions to notify the physician for blood glucose levels over 400 or under 70. On the morning of 12/18/25, the resident’s blood glucose was 240 at 7:30 A.M., but the ordered Humulin at 8:00 A.M. was not administered. Nurse documentation indicated the resident was lethargic, breathing heavily, and slow to respond, and that the physician was called and the nurse was waiting for a response, but there was no documentation of any physician order to hold medications, including insulin. Later that morning, the resident became unresponsive, with a blood pressure of 70/30, blood glucose of 182, and respirations of 30 per minute, and EMS was called after another attempt to contact the physician without a return call. The Medical Director stated he was not informed that medications were held and did not recall giving any order to hold the resident’s medications, including insulin, and clarified he would only hold fast-acting insulin, not long-acting insulin. A CMA reported being instructed by an LPN to hold insulin if the resident did not eat breakfast, and stated the resident was not awake that morning. The LPN confirmed instructing the CMA to hold insulin if the resident did not eat, based on nursing judgment, and reported sending a message to the physician without receiving a response. The DON stated the nurse called the physician and waited for a call back, and that the CMA held morning medications, including insulin, per nursing judgment. Facility policies required explanatory notes when regularly scheduled medications are withheld and prescriber notification when vital medications are withheld, and required immediate consultation with the physician and notification of the resident representative for significant changes or deterioration in health, which did not occur as required in this case.
Penalty
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A resident with severe cognitive impairment and multiple comorbidities, including HTN, was admitted on multiple ordered antihypertensive medications. Several scheduled doses of these medications were not administered, despite the drugs being available in the facility, and the resident’s BP readings were elevated, including a markedly high value later that day. There was no documentation that the physician or resident representative were notified of the missed doses or the elevated BP, contrary to facility policies requiring notification for changes in condition and withheld medications.
Two residents experienced changes in condition for which staff did not notify the attending physicians as required by orders, care plans, and facility policy. One resident with COPD and continuous O2 use had nighttime breathing difficulties and was later sent to the hospital at family request, but staff did not document vital signs, assessments, or any physician notification regarding the respiratory change or the transfer. Another resident with CHF, diabetes, and chronic kidney disease had multiple documented daily weight gains exceeding the physician-ordered threshold for notification, yet there was no record that the physician was informed of these weight changes.
Surveyors found that staff failed to notify physicians and family representatives of significant changes in condition for two residents. One resident with hypertension and a PRN order for clonidine had multiple episodes of markedly elevated SBP documented over several months, without corresponding documentation that the MD or cardiologist was notified, despite care plan directives to report significant vital sign abnormalities. The resident reported feeling his blood pressure was often too high and stated his cardiologist said abnormal readings were not being reported. Another resident with severe cognitive impairment and multiple comorbidities experienced a documented significant weight loss, but the record contained no evidence that the physician was informed, contrary to facility policy requiring MD notification of significant weight changes. Leadership staff (DON and ADON) confirmed the lack of notification documentation in both cases.
Surveyors found that the facility failed to notify the Medical Director or attending provider when two residents left Against Medical Advice, despite a policy requiring prompt provider notification for AMA discharges. One cognitively intact resident with multiple chronic conditions signed an unauthorized discharge release after staff discussed the risks and attempted to persuade the resident to stay, but the provider was never informed. In another case, a resident with significant medical diagnoses was signed out AMA by a guardian, with no documentation of provider notification. These omissions were confirmed through record review and staff and Medical Director interviews.
The facility failed to provide advance, written, and signed notification of room changes for three residents who were moved to different rooms. Each resident had significant medical conditions and required extensive ADL assistance; two had intact cognition and one had moderate cognitive impairment. Staff documented verbal discussions and agreement about the moves for two residents, and reported verbal notification for the third, but the intra-facility room change forms for all three were left unsigned by the residents or their representatives, and no written notices were issued as required by facility policy. During interviews, leadership acknowledged that only verbal notice was given and that no written documentation of the room-change notifications existed.
A cognitively intact resident with multiple chronic conditions, who was not ordered any benzodiazepines or opioids, became progressively lethargic and then unresponsive after an agency LPN prepared and administered bedtime medications for him and his roommate at the same time. The roommate later reported he believed their medications had been switched, noting his usual gabapentin and oxycodone were missing and that he did not experience his typical pain relief, while his roommate quickly became "out of it" and difficult to arouse. Staff initially attributed the affected resident’s lethargy to fatigue from a room change, did not promptly notify the physician when the change in condition was first observed, and allowed his condition to worsen over several hours before calling EMS, who found him hypotensive, bradycardic, unresponsive with pinpoint pupils, and later documented a urine drug screen positive for benzodiazepines and oxycodone—drugs ordered for the roommate but not for the affected resident. Despite these findings and consistent reports from the roommate and family, facility leadership did not substantiate a medication error or clearly correlate the resident’s change in condition to a suspected medication mix-up.
Failure to Notify Physician and Representative of Missed Antihypertensives and Elevated BP
Penalty
Summary
The deficiency involves the facility’s failure to notify the physician and resident representative of a change in condition and missed medications for a resident with multiple comorbidities. The resident was admitted from the hospital with diagnoses including type 2 diabetes mellitus with hyperglycemia, chronic kidney disease, hypertension, and hypokalemia, and had severe cognitive impairment and dependence on staff for activities of daily living. Hospital discharge orders included multiple antihypertensive medications (lisinopril, amlodipine, atenolol, hydralazine, and hydrochlorothiazide), which were continued in the facility’s physician orders. On the evening of admission, the resident did not receive the evening doses of atenolol and hydralazine, and the following morning did not receive hydrochlorothiazide, lisinopril, or the morning doses of amlodipine, hydralazine, and atenolol. There was no documentation that the physician or family were notified that these medications were not administered. Vital sign records showed elevated blood pressures, including readings in the 160s/80s and a later reading of 193/99, with no documentation of a morning blood pressure on the day after admission. There was no documentation that the physician was notified of the elevated blood pressure of 193/99 after the resident had not received ordered antihypertensive medications. A late-entry nursing note documented that the resident’s blood pressure was elevated, that medications had just arrived from the pharmacy, and that a family member at the bedside was concerned; however, facility records showed that the ordered antihypertensive medications were already available on hand. The DON confirmed that medications were not administered as ordered, that available medications should have been used, and that the nurse should have clarified pre-transfer medications and notified the physician and family of the missed doses and elevated blood pressure. Facility policies required notification of the physician and resident representative for changes in condition and physician notification when medications are withheld.
Failure to Notify Physicians of Resident Changes in Condition
Penalty
Summary
The deficiency involves the facility’s failure to notify physicians of residents’ changes in condition in a timely manner, as required by physician orders, care plans, and facility policy. For one resident with centrilobular emphysema, COPD, and essential hypertension who used continuous oxygen at three liters via nasal cannula, the care plan directed staff to monitor for and report signs of respiratory distress to the physician. On one occasion, the resident experienced trouble breathing during the night and initially refused transfer to the hospital. The DON recalled this event and stated that the resident’s daughter later convinced the resident to go to the hospital that morning. However, the medical record contained no documentation of vital signs, assessments, or any notification to the physician regarding the change in respiratory status or the subsequent hospitalization, and the DON confirmed the assigned LPN did not document the change in condition or physician notification. For a second resident admitted with diagnoses including disruption of an external surgical wound, infection following a procedure, combined systolic and diastolic CHF, type 2 diabetes with polyneuropathy, and chronic kidney disease, the care plan required monitoring and reporting to the physician of significant weight changes and changes in lung sounds, edema, shortness of breath, vital signs, and weight. A physician order directed staff to notify the physician of a weight gain of two or more pounds in one day or five pounds in one week. Weight records showed the resident gained 4.0 lbs from one day to the next on one occasion and 3.4 lbs from one day to the next on another occasion. There was no documentation in the medical record that the physician was notified of these weight gains, and the regional clinical nurse confirmed that the physician was not notified on those dates, contrary to the physician’s order and facility policy requiring notification of changes affecting the resident.
Failure to Notify Physicians and Families of Significant Changes in Condition
Penalty
Summary
The deficiency involves the facility’s failure to notify physicians and family representatives of residents’ changes in condition as required by policy. For one resident with diagnoses including pelvic fracture, chronic pain, PTSD, depression, epilepsy, and hypertension, the care plan directed staff to monitor vital signs and notify the medical doctor of significant abnormalities. Physician orders included clonidine 0.1 mg by mouth every 8 hours as needed for systolic blood pressure greater than 170. Vital sign records showed multiple elevated systolic blood pressures, including 171, 174, 206, and 219 over several months. Progress notes from early December through mid-March contained no documentation that the physician was notified of the elevated blood pressures on specific dates when readings were 206 and 219. The resident reported concern that his blood pressure was often too high and stated that his cardiologist had informed him that no one from the facility was reporting abnormal blood pressure readings. The DON confirmed there was no documentation of notification to the primary physician or cardiologist regarding these high blood pressures. The deficiency also includes failure to notify the physician of a significant weight loss for another resident with diagnoses including diabetes mellitus, Down’s Syndrome, Hirschsprung’s disease, and morbid obesity, who had severe cognitive impairment and was dependent on staff for activities of daily living. A weight loss note documented that this resident’s weight decreased from 241 pounds to 183.7 pounds over several months, constituting a significant weight loss. The medical record did not contain documentation that the physician was notified of this significant weight loss. The ADON confirmed the absence of documentation supporting physician notification. Facility policy on impaired nutrition and unplanned weight loss required staff to report any significant weight gains or losses or abrupt or persistent changes from baseline appetite or food intake to the physician. This deficiency was investigated under a specific complaint number.
Failure to Notify Provider of Residents Leaving Against Medical Advice
Penalty
Summary
The deficiency involves the facility’s failure to notify the Medical Director or attending provider when residents left the facility Against Medical Advice (AMA), contrary to facility policy. For one resident admitted with diagnoses including chronic viral hepatitis C, polyneuropathy, dementia, manic episode without psychotic symptoms, bipolar disorder, depression, and venous insufficiency, the record showed the resident was discharged AMA. The most recent MDS indicated moderately impaired cognition with varying levels of assistance needed for ADLs, and a reassessment on the day of discharge documented a BIMS score of 13, indicating the resident was cognitively intact. An "Unauthorized Discharge Release of Responsibility" form dated the day of discharge showed the resident signed out AMA and that staff discussed the risks of leaving and attempted to get the resident to stay. However, interviews with the Regional Clinical Director and the Medical Director confirmed that the Medical Director/provider was not notified of this AMA discharge. A second resident, admitted with cerebrovascular disease, COPD, major depressive disorder, and essential hypertension, was also discharged AMA. The most recent MDS showed the resident was independent with eating but dependent on staff for toileting and bathing and required partial assistance with personal hygiene. A progress note documented that this resident was signed out AMA by the resident’s Guardian. Review of the medical record revealed no documentation that the Medical Director/provider was notified when this resident left AMA, and the Regional Clinical Director confirmed that no such notification occurred. Facility policy titled "Discharging a Resident Without a Physician's Approval" required that the attending physician or provider be promptly notified when a resident or representative requests discharge AMA, but this notification did not occur for these two residents.
Failure to Provide Required Written Notice for Resident Room Changes
Penalty
Summary
The deficiency involves the facility’s failure to provide advance, written notification of room changes, signed by the resident or their representative, for three residents who experienced intra-facility room moves. Facility policy required that, prior to making a room or roommate change, residents and their representatives receive advance written notice in a language and manner they understand, including the reasons for the move. For one resident admitted with COPD, chronic respiratory failure, and obesity, with intact cognition and extensive ADL assistance needs, a progress note documented that staff discussed a room move with the resident and her daughter and that they agreed; however, the intra-facility room change form dated the following day was not signed by the resident or her representative. A second resident, admitted with hypertensive chronic kidney disease, GERD, and obesity, had moderate cognitive impairment and required extensive ADL assistance. A progress note documented that this resident was informed of a room move, agreed to it, and was observed telling others about the move, but the corresponding intra-facility room change form was not signed by the resident or a representative. A third resident, admitted with limb girdle muscular dystrophy, neuromuscular bladder, and osteoarthritis, had intact cognition and extensive ADL assistance needs. For this resident, there were no progress notes documenting a discussion of the room change, and the intra-facility room change form was also unsigned by the resident or representative. During interviews, the social worker and administrator confirmed that room changes occurred for all three residents, that no written notice of the transfer was given, and that they believed 24-hour verbal notice was appropriate, which did not meet the facility’s written-notice requirement.
Failure to Recognize and Report Change in Condition Related to Suspected Medication Error
Penalty
Summary
The deficiency involves the facility’s failure to timely identify and report a significant change in condition for a cognitively intact resident, and to properly correlate that change to a suspected medication error. The resident had multiple diagnoses including dementia with Lewy Bodies, mood and anxiety disorders, CHF, hypertension, cirrhosis, and insomnia, but his MDS showed he was cognitively intact, had no communication issues, and was not ordered any benzodiazepines or opioids. His active orders included antidepressants, antipsychotic adjunct therapy, dementia medication, cardiac and GI medications, sleep aids, and bowel regimen, with PRN orders limited to acetaminophen, artificial tears, Mucinex, and Zofran. He did not have any orders for Xanax, oxycodone, or other narcotic pain medications. On the evening in question, an agency LPN prepared bedtime medications for the resident and his roommate at the same time, popping both residents’ pills into separate labeled cups at the medication cart. She crushed the cognitively intact resident’s pills in pudding and later gave the roommate’s pills whole, acknowledging that the room was dark when she administered the roommate’s medications. The roommate later reported that he believed he had received his roommate’s medications and that his own usual large gabapentin pill and the bitter-tasting oxycodone were missing from what he was given. He stated he did not experience his usual pain relief within 10–15 minutes and complained to staff that he had not received his correct medications. He also reported telling staff that his roommate had been given his medications and that this was why the roommate became unresponsive, and he stated that no one from the facility assessed him or investigated his report of a medication mix-up. After the agency LPN administered the bedtime medications, the resident complained of being tired following a room change and was assisted to bed. Around 8:53 p.m., the resident’s wife arrived and reported that he had not awakened during her visit. The LPN found him lethargic but able to follow commands, with vital signs within normal limits, and attributed his condition to fatigue from the move. Throughout the night, the LPN and another LPN noted that “something seemed off,” but they continued to attribute his lethargy to the room change and sleepiness. The resident’s condition progressively worsened; by approximately 1:15 a.m. he was more lethargic, then unresponsive to verbal and painful stimuli, with hypotension and borderline oxygen saturation. Only at that point was the on-call physician notified and EMS summoned. EMS and hospital records documented hypotension, bradycardia, unresponsiveness, pinpoint pupils, administration of Narcan and Atropine, and a urine drug screen positive for benzodiazepines and oxycodone—medications not ordered for the resident but ordered for his roommate. Despite these findings and the roommate’s contemporaneous statements, the DON reported she did not substantiate a medication error and did not clearly link the resident’s change in condition to a medication mix-up, reflecting a failure to promptly recognize, correlate, and report the suspected medication error and associated change in condition to the physician. Hospital documentation further described the resident as presenting with acute encephalopathy, acute hypoxic respiratory failure, shock, and unresponsiveness with pinpoint pupils and low blood pressure and heart rate. The ED and ICU notes referenced multiple doses of Narcan, a positive urine drug screen for benzodiazepines and oxycodone, and family and roommate concerns that the resident had received his roommate’s medications, including opioids and gabapentin. Subsequent hospital records from a tertiary facility noted that the encephalopathy was likely multifactorial on a background of Lewy Body dementia, with possible contributions from polypharmacy and anoxic brain injury in the setting of prolonged downtime and suspected receipt of the roommate’s opioids and gabapentin, though this could not be definitively confirmed. Within the facility, however, the change in condition was initially attributed to fatigue from a room move, the resident was allowed to remain in a progressively worsening state for several hours before EMS was called, and the facility did not substantiate or clearly document a medication error despite objective toxicology findings and consistent reports from the roommate and family. The facility’s internal investigation collected staff statements, MARs for both residents, controlled drug records, and hospital records. The agency LPN acknowledged that she prepared both residents’ medications at the same time and that it was possible she could have popped pills into the wrong cup or grabbed the wrong cup when crushing medications, though she denied intentionally giving the wrong medications. Another LPN recalled the roommate saying that the agency nurse had given the lethargic resident his pills, and that EMS administered Narcan due to pinpoint pupils. The DON confirmed that the resident’s urine drug screen was positive for benzodiazepines and oxycodone, and that the roommate was ordered Xanax and oxycodone at bedtime, but she stated she could not be certain the resident did not receive these drugs from another source and therefore did not substantiate a medication error. This sequence of events demonstrates that the resident’s significant change in condition was not promptly recognized as potentially medication-related, was not timely reported to the physician when first observed, and was not adequately correlated with the suspected medication error despite contemporaneous reports and objective toxicology findings.
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