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Dementia, Delirium, andDepression
287
common in the elderly, so it is important to consider a longer duration of treatment.
The PROSPECT trial demonstrated that geriatric patients benet from longer
treatment. However, it is also important to assure compliance and follow-up with
the patient to assess tolerance to the antidepressant. Other studies have found that
geriatric patients had a lower mortality rate after more than 4years of treatment for
depression with antidepressants and psychotherapy as compared to those receiving
usual care [47]. Maintenance therapy should be considered for patients with one
or more episodes of depression and for those deemed at high risk for recurrence.
For a rst episode of depression between 6 and 12months of antidepressant therapy should be given before reassessment that evaluates continued benet and
potential for relapse. Patients with three or more lifetime episodes of depression
should be considered for lifelong antidepressant therapy [46]. Special consideration should be made regarding stratication for suicidal risk. Suicide rates are
almost twice as high in the elderly as compared to the general population, and
alarmingly most older adults who commit suicide have seen a clinician within the
previous month.
Psychotherapy
Unfortunately, there are still signicant knowledge gaps regarding various therapeutic modalities for depression and their efcacy. Recent research has demonstrated promise in the use of psychotherapy in the elderly. The major available
outpatient psychotherapies are as follows: cognitive behavioral therapy, problem
solving therapy, life review therapy, interpersonal therapy, and psychodynamic psychotherapy. However, psychotherapy is not commonly used as a treatment for late
depression; the major limiting factors being therapist availability, resident access,
and health insurance coverage. As we enter the current decade new modalities for
therapeutic delivery are being implemented, the most common being telehealth.
This intervention is playing a big role in overcoming barriers. However, telehealth
has its limitations, because the treatment is limited by the level of executive functioning of the patient and patients may perceive their therapeutic relationship with
the practitioner as weaker than traditional delivery methods.
COVID-19
COVID-19 has presented a signicant burden on assessment and treatment of mental health in the elderly. Many of the countermeasures implemented as a protective
measure against the pandemic have paradoxically worsened mental health indices in
institutionalized individuals. The resultant isolation and loneliness experienced by
such vulnerable populations had a severe antagonistic effect on well-being in nursing facilities. Studies have shown increased anxiety and depression in residents of
Post-Acute and Long-Term Care settings. Telemedicine may serve to alleviate this
social burden, but its effect has yet to be validated.

288
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P. A. Fenstemacher et al.
Summary
Dementia, delirium, and depression comprise a diagnostic challenge for the clinician as one, two, or all three conditions may occur in the same individual at the same
time or separately over time. An understanding of each of these three conditions will
assist the practitioner in providing appropriate clinical evaluation, intervention, and
treatment. Evaluation and treatment should be tailored to the goals of care of each
resident, guided by the resident’s prognosis, level of functioning, comorbidities, and
life expectancy. It is essential that monitoring of response to diagnostic and therapeutic interventions be continued, and to consider consultation with specialists or
hospitalization if needed. The patient and family should be involved in decisionmaking in order to accommodate choice, preferences, and goals of care that evolve
or change over time.
Pearls for the Practitioner
Dementia
• Dementia is a chronic, irreversible, progressive condition often with insidi-
ous onset.
• There is a high prevalence of dementia as a primary diagnosis in the PA/LTC
setting.
• Residents with dementia can exhibit challenging or disruptive behavior, as a
natural part of their disease process or unmet needs.
• Remember the potentially reversible causes of dementia and the frequent occur-
rence of a mixed dementia.
Delirium
• Delirium is a potentially life-threatening condition.
• Hyperactive delirium is more easily recognizable than hypoactive delirium.
• Interventions to prevent delirium have been shown to be effective.
• Be aware that many medications and acute medical conditions can precipitate
delirium in frail older adults.
Depression
• The prevalence of a depressive disorder or depressive symptoms in the long-term
care population has been estimated to be as high as 70%.
• Depression is not an inevitable consequence of aging.
• Depression frequently occurs in the setting of the other medical conditions.
• Several commonly used medications can cause symptoms of depression, even
antidepressants.
Websites
• Alzheimer’s Association, www.alz.org.
• American Geriatrics Society, www.americangeriatrics.org.
• American Medical Directors Association for their Clinical Practice Guidelines,
www.amda.com.

Dementia, Delirium, andDepression
289
• Hospitalized Elder Life Program for information on delirium, www.elderlife.med.
yale.edu.
• Folstein Mini Mental Status Exam (MMSE), the ofcial form has been copy-
righted and must be purchased from www.minimental.com.
• St. Louis University Mental Status Exam (SLUMS) is available at: http://med-
school.slu.edu/agingsuccessfully/pdfsurveys/slumsexam_05.pdf.
• St. Louis University Geriatrics www.aging/SLU.edu.
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24. Forsberg MM.Delirium update for post-acute care and long-term care settings: a narrative
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25. Ozbolt LB, Paniagua MA, Kaiser RM.Atypical antipsychotics for the treatment of delirious
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291

Ethical andLegal Issues inPost-Acute
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andLong-Term Care
DavidA.Smith andRandallD.Huss
Introduction
Ethical dilemmas and legal issues commonly occur in post-acute and long-term
care. Health care ethics provides a framework for the application of values (patient,
caregiver, and societal) to the process of clinical/medical decision-making. This
process requires the weighing of values, facts, and prognostication in order to produce a just and supportable decision. However, clinicians/practitioners often
encounter competing values, e.g., the right of self-determination of an individual
versus the interests of society as a whole, and thus must make decisions based on
the facts, as well as the likelihood and consequences of various potential outcomes.
D. A. Smith (*)
Geriatric Consultants of Central Texas, Brownwood, TX, USA
R. D. Huss
Department of Family Medicine and Geriatrics, Mercy Clinic, Rolla, MO, USA
© The Author(s), under exclusive license to Springer Nature
Switzerland AG 2023
P. Winn et al. (eds.), Post-Acute and Long-Term Care Medicine, Current Clinical
Practice, https://doi.org/10.1007/978-3-031-28628-5_15
293

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D. A. Smith and R. D. Huss
The law is a society’s compilation of rules that are intended to be uniformly
applied (equal protection under the law), mandatory (ignorance of the law is no
excuse), and modiable only through the legislative process (the rule of law).
Fortunately, the tenets of health care ethics continue to be considered in the establishment of laws that interface with the practice of medicine. Challenging situations
often arise for practitioners when applying the principles of health care ethics within
the constraints of existing State and Federal law. All state and federal surveys of
long-term care facilities follow regulations that are dictated by law. Clinicians are
admonished to know the laws of the jurisdiction in which they practice and to seek
legal counsel for clarication when needed. The contents of this chapter are educational only and not formal legal advice.
Principles ofHealth Care Ethics
The ve principles of health care ethics include autonomy, benecence, justice,
non-malecence, and delity. These principles do not stand alone or in a hierarchy,
but must be considered in the context of each other. Frequently these ethical principles compete. However, a decision based upon one of the ethical principles usually predominates.
Autonomy is the principle attesting to an individual’s right to sovereignty over
oneself. It encompasses the right to self-determination and privacy. The law recognizes the right to privacy in statutes that codify the privacy of medical records such
as the Health Insurance Portability and Accountability Act (HIPAA), informed consent, and the individual’s right to decline life-sustaining treatment. Mental incapacity may alter the implementation of the principle of autonomy.
Benecence is the ethical principle that holds a practitioner responsible to do
good to others. Good Samaritan laws are designed to protect individuals when they
act by this principle. Similarly, laws that require health care professionals to report
suspected elder abuse is an example of this principle. Laws related to guardianship
and other forms of surrogate decision-making for those either adjudicated incompe-
tent in a court of law or clinically determined not to have mental capacity derive
from the principle of benecence. Benecence also holds that any procedure or
intervention proposed for a patient by a health care professional must be capable of
providing a benet to the patient, and that by its application, does not provide
greater burden than benet. Ethically, there is no obligation for a health care professional to provide or even offer an intervention incapable of providing a benet or
whose burden is greater than any benet to a patient (futile care). This stands as an
ethical check (to do good to others) versus unbridled autonomy. An example where
this may apply in PA/LTC are decisions in patients with advanced dementia who fail
oral feeding, and the provision of tube feeding is raised and/or suggested by staff or
family in an attempt to provide adequate nutrition and hydration.

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295
Non-malecence, a corollary to benecence, holds that it is the responsibility of
the practitioner to do no harm, to not provide interventions whose burdens or potential harm would outweigh benet. Avoiding unnecessary surgery and optimizing
patient safety are examples. Laws regarding medical malpractice are based on this
principle and claims for punitive damages stem from what plaintiffs perceive as a
breach of this principle.
Justice is the ethical principle espousing the responsibility of medical professionals to treat patients equitably (fairly) and to consider not only one’s patient, but
also the good of society. An example of this principle is when a physician assists
with terminating the driving privileges of an unsafe driver. This principle also entails
the equitable allocation of society’s limited healthcare dollars and resources (dis-
tributive justice).
Finally, delity, a corollary to the principle of justice, involves the medical prac-
titioner’s responsibility to keep the terms of the “doctor/patient contract.”
Truthfulness and substantial compliance with informed consent are components of
delity as is non-abandonment. Practitioners should not summarily cease to act for
the benet of one’s patient even when that patient has not lived up to their side of
the doctor/patient contract (e.g., noncompliance) or exerted their autonomy and
chosen a course of medical action with which the physician disagrees. In such circumstances the physician should attempt to provide the best possible outcome in
the context of the patient’s treatment choices. Alternatively, practitioners may exit
the doctor/patient contract by providing emergency care as needed, while affording
the patient sufcient time to become established with another health care
professional.
Historically, physicians often made decisions for patients based on the principle of benecence without an appreciation of patient autonomy, a practice
known as paternalism. Society’s response was a consumer movement, which
included the Patient’s Bill of Rights. While needed, it may have inadvertently
resulted in patient autonomy to supersede other ethical principles. We must recognize that the principles of autonomy, benecence, non-malecence and justice
all be considered to guide ethical decision-making. For example, autonomy and
the right to privacy could be subordinate to the principles of benecence and
justice in the case of an individual with a contagious illness posing a public
health threat who refuses to follow guidelines to prevent the transmission of the
disease to others. Conversely, benecence and justice (the State’s interest in protecting life) would be subordinate to autonomy when a capacitated adult
Jehovah’s Witness declines a lifesaving blood transfusion. However, if a patient
were a child below the age of consent, the State’s interest in protecting life would
prevail.
The vast majority of applications of these ethical principles are not played out in
the legal arena, but rather in everyday patient/practitioner medical decision-making.
The practice of medicine within the long-term care continuum commonly involves
issues related to diminished mental capacity and mental illness, treatments with

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D. A. Smith and R. D. Huss
narrow risk/benet ratios, end-of-life care, elder abuse and exploitation, and utilization of limited and expensive medical resources. Practice in post-acute and longterm care challenges every practitioner to abide by these principles and to
competently apply them with skill and condence. Input from the interdisciplinary
team and from the patient/family is essential to applying these principles and to
choosing an appropriate course of action. As such, every practitioner must be able
to effectively communicate and to apply and balance these principles to the specics
of the patient’s clinical scenario and to them succinctly record his/her reasoning in
the medical record.
Resident Rights
When an individual enters any facility or program within the long-term care continuum they do not lose their fundamental constitutional rights. Providers have an
obligation to inform residents of their rights and to encourage and assist them in
exercising these rights. It is illegal for a facility, program, or any employee to
infringe upon a person’s human rights by threatening, coercing, intimidating, or
retaliating against a resident who is exercising their rights. A facility or program
should educate residents on how to use the complaint process if they feel their
human rights are being violated. Specic responsibilities of PALTC institutions are
further described in the Abuse, Neglect, and Exploitation section of this chapter. A
synopsis of Resident rights are listed in state and federal regulations, which are
summarized in Table1. For full text see [1].
A resident’s rights may only be restricted when it is necessary to protect the resident or another individual (resident, staff or family) from potential harm, or to protect the rights of another resident, e.g., infringement on another’s privacy. Facility
rules must be fully disclosed before admission, such as scheduled smoking breaks
or a nonsmoking policy. These can only be enforced if the resident or their surrogate
have agreed to these rules as a condition of admission. Furthermore, problem behaviors may be addressed by practitioners through behavior modication programming, behavioral contracting with the resident, or as a condition of continued
residence in the facility if done as part of a therapeutic plan of care and in keeping
with nursing facility regulations. A resident with mental incapacity still retains all
of the rights outlined in Table1. However, if a resident lacks capacity, their rights
would be advocated by their legally designated surrogate decision-maker. For
instance, a mentally incapacitated resident with diabetes mellitus who wants to
spend their money on candy and soda may be care planned to receive budgeted
amounts of spending money from their facility account and to be encouraged to
choose more healthy snacks, given that the resident’s surrogate decision-maker is in
agreement. Facilities and practitioners should be aware that litigation alleging
infringement on a resident’s human rights may not be covered under malpractice
insurance.

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Synopsis of CMS’ statement of resident rights
Table 1
297
Your rights and protections as a nursing home resident
What are my rights in a nursing home?
As a nursing home resident, you have certain rights and protections under federal and state law
that help ensure you get the care and services you need. You have the right to be informed, make
your own decisions, and have your personal information private
The nursing home must tell you about these rights and explain them in writing in a language you
understand. They must also explain in writing how you should act and what you’re responsible
for while you’re in the nursing home. This must be done before or at the time you’re admitted,
as well as during your stay. You must acknowledge in writing that you got this information
At a minimum, federal law species that nursing homes must protect and promote the following
rights of each resident. You have the right to:
Be treated with respect
Make your own schedule
Participate in activities
Be free from discrimination based on race, color, national origin, disability, age, or religion
Be free from abuse and neglect
Be free from restraints, physical or chemical
Make complaints without fear of punishment: the nursing home must address the issue
promptly
Get proper medical care: To be fully informed of your total health status, involved in choice of
doctor, participate in decisions that affect your care, take part in developing your care plan, have
access to your medical records, to express any complaints you have about your care or
treatment, to create advanced directives in accordance with state law, and to refuse participation
in experimental treatment
Have your representative notied: If you are involved in an accident, your physical, mental or
psychosocial status worsens, you have a life-threatening condition, you have medical
complications, your treatment needs to change signicantly, or the nursing home decides to
transfer or discharge you
Get information on services and fees: To be told in writing about all nursing home services
and fees before admission and if these change. Before admission, the nursing home must tell
you orally and in writing and display written information on how to apply for and use Medicare/
Medicaid benets
Manage your money: Or choose someone you trust, have access to your money and nancial
records
Get proper privacy, property, and living arrangements: To keep and use your personal
belongings, have private visits, make or get private phone calls, have privacy in sending or
receiving mail or emails, be protected from theft, share a room with your spouse if both agree,
be notied before changes in roommate or room (taking your preferences into account), and to
review the nursing home’s health and re safety inspections
Spend time with visitors: At any time not interfering with care or privacy of others, and to see
any person for help with health, social, legal, or other services
Get social services: For counseling, solving problems with other residents, help in contacting
legal or nancial professionals, and discharge planning
Leave the nursing home: For visits or leave of absence (consistent with health insurance rules)
or to move out
(continued)
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