OPT ACCREDITATION Standards and Checklist. For Accreditation of RA/OPT

Transcription

1 OPT ACCREDITATION Standards and Checklist For Accreditation of RA/OPT

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3 AMERICAN ASSOCIATION FOR ACCREDITATION OF AMBULATORY SURGERY FACILITIES, INC. Rehabilitation Agency / Outpatient Physical Therapy Standards and Checklists Manual Version 2.1 Approved by CMS August 25, 2014 AAAASF Publication American Association for Accreditation of Ambulatory Surgery Facilities, Inc. 1

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5 TABLE OF CONTENTS Rehabilitation Agency Accreditation The Accreditation Program Basis and Scope Definitions Personnel Qualifications Compliance with Federal, State, and Local Laws Administrative Management Plan of Care and Physician Involvement Physical and Occupational Therapy Services Speech Pathology Services Rehabilitation Program Condition of Participation Clinical Records Physical Environment Infection Control Disaster Preparedness Program Evaluation 63 3

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7 AAAASF/RA CLINIC IDENTIFICATION FORM Washington Street P.O. Box 9500 Gurnee, IL No Information Changes Information Changes Noted Below Clinic Identification Number Name of Clinic Name of Clinic Administrator (must hold at a minimum a Bachelor s degree) Address Suite City State Zip Phone Fax Website Name of Clinic Owner, Controlling Stockholder and/or Beneficial Ownership (List additional names on separate sheet) Clinic Licensure Date Not Previously Accredited by Other Accrediting Organization Previously Accredited by Other Accrediting Organization Name(s) of Other Organization: Initial Inspection Date Class Last Re- Inspection Date Class X Clinic Administrator s Signature Date 5

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9 AAAASF/RA CURRENT STAFF IDENTIFICATION FORM Washington Street P.O. Box 9500 Gurnee, IL Please list all practitioners in the Clinic Name of Practitioner (Please Indicate Credentials PT, SLP, OT, OTR) State Medical License # Name of Practitioner (Please Indicate Credentials PT, SLP, OT, OTR) State Medical License # Name of Practitioner (Please Indicate Credentials PT, SLP, OT, OTR) State Medical License # Name of Practitioner (Please Indicate Credentials PT, SLP, OT, OTR) State Medical License # Name of Practitioner (Please Indicate Credentials PT, SLP, OT, OTR) State Medical License # 7

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11 Clinic Administrator s Attestation Form As administrator of the (name of Clinic), located at, I attest that this Clinic meets all applicable local, state, and federal zoning and construction codes and regulations, including Certificate of Need requirements, and laboratory regulations if mandated. I further acknowledge that wherever governmental regulations or codes differ from AAAASF/RA Standards, the stricter rule is applicable. Clinic Administrator s signature Date Print name of Clinic Administrator Return this signed and completed form to: AAAASF/RA P.O. Box 9500 (mailing address) Gurnee, IL Toll-free: Phone: Fax:

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13 The Accreditation Program The Rehabilitation Agency (RA)/An Outpatient Physical Therapy (OPT) Program was developed by the American Association for Accreditation of Ambulatory Surgery Facilities, Inc. (AAAASF). The program is available for participation nationwide. The AAAASF RA/OPT Medicare Accreditation Program certifies that an accredited organization meets nationally recognized standards and is conducted by qualified subject matter experts experienced in the field, who determine the standards under the direction of the Board of Directors of AAAASF. The AAAASF RA/OPT Medicare Accreditation Program strives for the highest standards of excellence for its organizations by regularly revising and updating its requirements for patient safety and quality of care. AAAASF requires 100% compliance of AAAASF RA/OPT Medicare approved standards. This program includes the following types of facilities referred to generically and collectively as organizations : Clinic. A facility that is established primarily to furnish outpatient physician services and that meets the following tests of physician involvement o The medical services are furnished by a group of three or more physicians practicing medicine together o A physician is present during all hours of operation of the clinic to furnish medical services, as distinguished from purely administrative services Public Health Agency. An official agency established by a State or local government, the primary function of which is to maintain the health of the population served by performing environmental health services, preventative medical services, and in certain cases, therapeutic services Rehabilitation Agency. An agency that provides an integrated multidisciplinary rehabilitation program designed to upgrade the physical functioning of handicapped disabled individuals by brining specialized rehabilitation staff together to perform as a team; and provides at least the following services: physical therapy or speech-language pathology services Basic Mandates Changes in clinic ownership must be reported to the AAAASF Office within thirty (30) days All qualified personnel practicing in an accredited organization must meet one of the following criteria: 1. Physical Therapist 2. Physical Therapist Assistants 3. Occupational Therapist 4. COTA Certified Occupational Therapist Assistance 5. SLP Speech Language Pathologist Please note: The same Conditions of Participation for Physical Therapy apply to Occupational Therapy as well. 11

14 Inspection An agency is inspected every three years. All RA/OPT Medicare Accreditation Program inspectors are trained by AAAASF. Inspectors have a working familiarity with rehabilitation agency. The agency inspector will review any deficiencies with the agency director and forward the Standards and Checklist answer sheet to the AAAASF Office. To be accredited by AAAASF, an agency must meet every standard. Self-Evaluation An agency is evaluated by the agency director each year between inspections and the Standards and Checklist answer sheet is sent to the AAAASF Office. An agency s RA/OPT accreditation remains valid if it continues to meet every standard. Denial or Loss of Accreditation The AAAASF may deny or revoke accreditation of an agency if the agency fails to satisfy every standard. In addition, if any medical professional providing services at the agency; (A) has had their privileges restricted or limited related to lack of clinical competence, ethical issues (B) has been found to be in violation of the Code of Ethics of any professional society or association of which they are a member. (C) has had their right to practice limited, suspended, terminated or otherwise affected by any state, province, or country, or if they have been disciplined by any licensing authority. (D) non-reporting of any of the above to the AAAASF. Hearing Any agency whose accreditation has been revoked or denied by the AAAASF has the right to a Hearing at which it may present such information as it deems advisable to show that it has satisfied the requirements for accreditation. The Hearing process is described in the AAAASF Bylaws available from the AAAASF Office. 12

15 Emergency Suspension or Emergency Probation The AAAASF may place an agency on Emergency Suspension or Emergency Probation status upon receiving information that a state board has taken action, or begun formal proceedings which may result in it taking action against a license of a practitioner at the agency, or the Board of Directors determining that the agency may no longer meet AAAASF standards for accreditation. An agency that has been placed on Emergency Suspension or Emergency Probation status will remain in such status pending an expedited investigation and possible Hearing conducted in accordance with AAAASF procedures available from the AAAASF Office. Important Notice - Maximal patient safety has always been our guiding concern. We are proud that our Standards may be considered the strongest of any agency that accredits rehabilitation agencies and that many consider them to be the Gold Standard. We recognize, however, that they need to be part of a living document, and we continually re-evaluate and revise these Standards in the light of medical advances and changing legislative guidelines. The AAAASF RA/Outpatient Physical Therapy Medicare Accreditation Program requires 100% compliance with each Standard to become and remain accredited. There are no exceptions. However, when a Standard refers to appropriate or proper or adequate, reasonable flexibility and room for individual consideration by the inspector is permitted as long as patient and staff safety remain uncompromised. 13

16 Policy for Extension Site Surveys AAAASF surveys all primary locations and extension sites. Each extension location must meet all applicable standards independently. AAAASF surveyors complete a separate survey manual, including all checklists and worksheets for each site. All sites comprise a single unit for deeming purposes. Therefore a deficiency citation at any site reflects as a deficiency for that standard at the primary location for reporting and deeming purposes. Noncompliance with standards at any single location jeopardizes the certification all associated locations. If a facility that is already deemed, applies to add an extension site and the extension site fails to comply with standards AAAASF denies the addition of that site. One report that contains the primary and extension site survey results will be generated by AAAASF OPT/RA for report to the RO for deeming recommendation. Extension location. A location or site from which a rehabilitation agency provides services within a portion of total geographic area served by the primary site. The extension location is part of the rehabilitation agency. The extension location should be located sufficiently close to share administration, supervision, and services in a manner that renders it unnecessary for the extension location to independently meet the conditions of participation as a rehabilitation agency. 14

17 OPT Policy for Survey Clinical Record Review Effective upon passage by the AAAASF Executive Committee for implementation by April 1, Definition Case: The term Case in this policy is used interchangeably with the term Record, and is defined as a unique patient treated in the clinic regardless of the number of visits or services received. Policy Clinical record review is conducted at each site as part of the Medicare survey process. The surveyor will ensure that a random sample of clinical records is reviewed. All clinics must have begun treating patients and be currently treating patients in order to enroll in the program. The clinic is required to produce a log or other record of closed cases for the previous six month period. The surveyor will select a sample of clinical records to review. A sample of both open and closed cases should be reviewed and should include a sample from each therapist and discipline (SLP, OT, PT) as offered at the site. The sample selected should represent a cross section of the cases performed at the site and include both Medicare beneficiaries and non-medicare patients. The record review requirement is established for each site independently and is based on the site s monthly case volume as follows: An average monthly case volume of 50 or more Requires a minimum of 20 record reviews An average monthly case volume of less than 50 Requires a minimum of 10 record reviews. *Clinics that have begun treating patients but have accumulated 10 or fewer cases total Requires a minimum of 5 record reviews Please note: The number of records reviewed should be determined by case volume not patient visits. The total number of records within the six month case period must be noted on the review form to establish the monthly average. If deficient practices are noted during the records review, the surveyor may request additional records to substantiate the findings documented from the initial sample. 15

18 Policy for Survey Personnel Record Review The clinic must produce a complete list of all employees. The lead surveyor must ensure that a random sample of personnel records is reviewed. The minimum number of records selected for review is 50% of the total number of personnel records. If deficient practices are noted during the records review, the survey team should request additional record samples to substantiate the findings documented from the initial sample. Throughout the review process, if an egregious number of deficient practices are noted, the survey team must document whether the deficiencies constitute a condition level area of noncompliance. 16

19 Surveyor Instructions: Citation Include the facts and findings relevant to the deficient practice must answer the questions: who, what, where, when, and how. Illustrate the entity s noncompliance with the requirement. The deficiency citation must clearly and legibly explain how the entity fails to comply with the regulatory requirements, not how it fails to comply with any guidelines for the interpretation of those requirements. Wherever possible, supply a numerator and denominator to demonstrate how systemic a deficiency is, for example 4/6 Medical records failed to include an informed consent. Refer to the CMS Principles of Documentation for further instruction. The citation must include a determination of whether the deficiency constitutes Standard or Condition Level Noncompliance. Condition level noncompliance is substantial noncompliance that requires additional surveys to ensure compliance before can be recommended or approved. Official Forms Surveyors may not submit custom surveyor materials as the surveyor report to the AAAASF office. The requirement for surveyor report submission is specific to the official AAAASF surveyor materials, which must be completed in full according to AAAASF surveyor guidelines and policies. Any custom materials are only considered to be in support of or as supplements to the official materials. All forms must be completed in ink. When scoring, please use a clear check mark ( Record Review ) to indicate your scoring decision. The survey process requires the completion of two record review components, personnel record review and clinical record review. The AAAASF staff has gathered the appropriate information, such as the monthly case load and number of employees, from the facility to establish the facility specific requirements for both record review components. Please review, at a minimum, the number of record reviews indicated on the review form provided in this manual. You may ask for additional records to facilitate a determination of whether a deficient practice is a rare occurrence or a systemic problem. Please make additional copies of forms as needed and document your findings. When completing review worksheets simply fill in the circle corresponding to the appropriate answer to document your findings. Please refrain from using symbols and other notes. For any file component that is noncompliant for one or more files, the corresponding standard must be cited as deficient and a deficiency form must be completed. When conducting the Personnel Record Review please also verify that the number of facility employees matches the number listed on the Personnel Record Review Form. 17 Approved: June 9, 2014 Implemented: June 9, 2014

20 Error Corrections The AAAASF Surveyor Manual is an official record as such all surveyor notations must be made in ink, corrections and revisions must also be made consistent with AAAASF procedures. Any errors or revisions to narrative or scoring must be corrected using a single horizontal strikethrough with the initials of the surveyor and date of the revision. Do not use liquid paper, scribble out, or X over errors or revisions. JD 1/1/2014 Example: Compliant Deficient Extension Site Surveys (OPT Only) When conducting a survey for an Extension Location, please fully complete the surveyor manual and all appropriate worksheets. If a standard pertains to a function or service not provided at the particular site being surveyed, mark the standard as Compliant in the Surveyor Manual for that location. For example if the site does not employ an occupational therapist, all standards relating to the qualifications and duties of an occupational therapist must be marked Compliant. 18 Approved: June 9, 2014 Implemented: June 9, 2014

21 100 Basis and Scope Basis and Scope Compliant Deficient This subpart implements section 1861(p)(4) of the Act, which Compliant Deficient (a) Defines outpatient physical therapy and speech pathology services; Compliant Deficient (b) Imposes requirements with respect to adequate program, facilities, policies, staffing, and clinical records; and Compliant Deficient (c) Authorizes the Secretary to establish by regulation other health and safety requirements. 19

22 200 Definitions Definitions Condition Compliant Deficient Clinic- A facility that is established primarily to furnish outpatient physician services and that meets the following tests of physician involvement: a Standard Compliant Deficient (1) The medical services are furnished by a group of three or more physicians practicing medicine together a.1 Standard Compliant Deficient (2) A physician is present during all hours of operation of the clinic to furnish medical services, as distinguished from purely administrative services a.2 Standard 20

23 200 Definitions Rehabilitation Agency Version Compliant Deficient Extension location- A location or site from which a rehabilitation agency provides services within a portion of the total geographic area served by the primary site. The extension location is part of the rehabilitation agency. The extension location should be located sufficiently close to share administration, supervision, and services in a manner that renders it unnecessary for the extension location to independently meet the conditions of participation as a rehabilitation agency b Standard Compliant Deficient Organization- A clinic, rehabilitation agency, or public health agency c Standard Compliant Deficient Public health agency- An official agency established by a State or local government, the primary function of which is to maintain the health of the population served by performing environmental health services, preventive medical services, and in certain cases, therapeutic services d Standard Compliant Deficient Rehabilitation agency- An agency that: e Standard 21

24 200 Definitions Compliant Deficient (1) Provides an integrated interdisciplinary rehabilitation program designed to upgrade the physical functioning of handicapped disabled individuals by bringing specialized rehabilitation staff together to perform as a team; and e.1 Standard Compliant Deficient (2) Provides at least physical therapy or speech-language pathology services e.2 Standard Compliant Deficient Supervision- Authoritative procedural guidance that is for the accomplishment of a function or activity and that: f Standard Compliant Deficient (1) Includes initial direction and periodic observation of the actual performance of the function or activity; and f.1 Standard 22

25 200 Definitions Rehabilitation Agency Version Compliant Deficient (2) Is furnished by a qualified person f.2 Standard Compliant Deficient (i) Whose sphere of competence encompasses the particular function or activity; and f.2.(i) Standard Compliant Deficient (ii) Who (unless otherwise provided in this subpart) is on the premises if the person performing the function or activity does not meet the assistant-level practitioner qualifications specified in f.2.(ii) Standard 23

26 300 Personnel Qualifications Personnel Qualifications Compliant Deficient Condition Compliant Deficient (a) General qualification requirements. Except as specified in paragraphs (b) and (c) of this section, all personnel who are involved in the furnishing of outpatient physical therapy, occupational therapy, and speech-language pathology services directly by or under arrangements with an organization must be legally authorized (licensed or, if applicable, certified or registered) to practice by the State in which they perform the functions or actions, and must act only within the scope of their State license or State certification or registration a Standard Compliant Deficient (b) Exception for Federally defined qualifications. The following Federally defined qualifications must be met: b Standard Compliant Deficient (1) For a physician, the qualifications and conditions as defined in section 1861(r) of the Act and the requirements in 42 CFR b.1 Standard 24

27 300 Personnel Qualifications Compliant Deficient (2) For a speech-language pathologist, the qualifications specified in section 1861(11)(1) of the Act and the requirements in 42 CFR b.2 Standard Compliant Deficient (c) Exceptions when no State Licensing laws or State certification or registration requirements exist. If no State licensing laws or State certification or registration requirements exist for the profession, the following requirements must be met c Standard Compliant Deficient (1) An administrator is a person who has a bachelor's degree and: c.1 Standard Compliant Deficient (i) Has experience or specialized training in the administration of health institutions or agencies; or c.1.(i) Standard 25

28 300 Personnel Qualifications Compliant Deficient (ii) Is qualified and has experience in one of the professional health disciplines c.1.(ii) Standard Compliant Deficient (10) A physician assistant is a person who: c.10 Standard Compliant Deficient (i) Has graduated from a physician assistant educational program that is accredited by the Commission on Accreditation of Allied Health Education Programs; or c.10.(i) Standard Compliant Deficient (ii) Has passed the national certification examination that is administered by the National Commission on Certification of Physician Assistants; and c.10.(ii) Standard 26

29 300 Personnel Qualifications Compliant Deficient (iii) Is licensed by the State to practice as a physician assistant c.10.(iii) Standard Compliant Deficient (2) An occupational therapist must meet the requirements in part 484 of this chapter c.2 Standard Compliant Deficient (3) An occupational therapy assistant must meet the requirements in part 484 of this chapter c.3 Standard Compliant Deficient (4) A physical therapist must meet the requirements in part 484 of this chapter c.4 Standard 27

30 300 Personnel Qualifications Compliant Deficient (5) A physical therapist assistant must meet the requirements in part 484 of this chapter c.5 Standard Compliant Deficient A social worker must meet the requirements in 484 of this chapter. From CMS 484 Home Health Services; Subpart A; General Provisions; Personnel Qualifications: Social worker. A person who has a master's degree from a school of social work accredited by the Council on Social Work Education, and has 1 year of social work experience in a health care setting c.6 Standard Compliant Deficient A vocational specialist is a person who has a baccalaureate degree and - (i) Two years experience in vocational counseling in a rehabilitation setting such as a sheltered workshop, State employment agency, etc.; or c.7 Standard c.7.(i) Standard Compliant Deficient At least 18 semester hours in vocational rehabilitation, educational or vocational guidance, psychology, social work, special education or personnel administration, and 1 year of experience in vocational counseling in a rehabilitation setting; or c.7.(ii) Standard 28

31 300 Personnel Qualifications Compliant Deficient A master's degree in vocational counseling c.7.(iii) Standard Compliant Deficient (8) A nurse practitioner is a person who must: c.8 Standard Compliant Deficient (i) Be a registered professional nurse who is authorized by the State in which the services are furnished to practice as a nurse practitioner in accordance with State law; and c.8.(i) Standard Compliant Deficient (ii) Be certified as a nurse practitioner by a recognized national certifying body that has established standards for nurse practitioners; or c.8.(ii) Standard 29

32 300 Personnel Qualifications Compliant Deficient (iii) Be a registered professional nurse who is authorized by the State in which the services are furnished to practice as a nurse practitioner in accordance with State law and have been granted a Medicare billing number as a nurse practitioner by December 31, 2000; or c.8.(iii) Standard Compliant Deficient (iv) Be a nurse practitioner who on or after January 1, 2001, applies for a Medicare billing number for the first time and meets the standards for nurse practitioners in 42 CFR (c)(8)(i) [Standard ] and 42 CFR (c)(8)(ii) [Standard ]; or c.8.(iv) Standard Compliant Deficient (v) Be a nurse practitioner who on or after January 1, 2003, applies for a Medicare billing number for the first time and possesses a master's degree in nursing and meets the standards for nurse practitioners in 42 CFR (b)(1)(i) and 42 CFR (b)(1)(ii) c.8.(v) Standard Compliant Deficient (9) A clinical nurse specialist is a person who must: c.9 Standard 30

33 300 Personnel Qualifications Compliant Deficient (i) Be a registered nurse who is currently licensed to practice in the State where he or she practices and be authorized to perform the services of a clinical nurse specialist in accordance with State law; c.9.(i) Standard Compliant Deficient (ii) Have a master's degree in a defined clinical area of nursing from an accredited educational institution; and, c.9.(ii) Standard Compliant Deficient (iii) Be certified as a clinical nurse specialist by the American Nurses Credentialing Center c.9.(iii) Standard 31

34 400 Compliance with Federal, State, and Local Laws Compliance with Federal, State, and Local Laws Compliant Deficient The organization and its staff are in compliance with all applicable Federal, State, and local laws and regulations Condition Compliant Deficient (a) Standard: Licensure of organization. In any State in which State or applicable local law provides for the licensing of organizations, a clinic, rehabilitation agency, or public health agency is licensed in accordance with applicable laws a Standard Compliant Deficient (b) Standard: Licensure or registration of personnel. Staff of the organization are licensed or registered in accordance with applicable laws b Standard 32

35 500 Administrative Management Administrative Management Compliant Deficient The clinic or rehabilitation agency has an effective governing body that is legally responsible for the conduct of the clinic or rehabilitation agency. The governing body designates an administrator, and establishes administrative policies Condition Compliant Deficient (a) Standard: Governing body. There is a governing body (or designated person(s) so functioning) which assumes full legal responsibility for the overall conduct of the clinic or rehabilitation agency and for compliance with applicable laws and regulations. The name of the owner(s) of the clinic or rehabilitation agency is fully disclosed to the State agency. In the case of corporations, the names of the corporate officers are made known a Standard Compliant Deficient (b) Standard: Administrator. The governing body b Standard 33

36 500 Administrative Management Compliant Deficient (1) Appoints a qualified full-time administrator; b.1 Standard Compliant Deficient (2) Delegates to the administrator the internal operation of the clinic or rehabilitation agency in accordance with written policies; b.2 Standard Compliant Deficient (3) Defines clearly the administrator's responsibilities for procurement and direction of personnel; and b.3 Standard Compliant Deficient (4) Designates a competent individual to act during temporary absence of the administrator b.4 Standard 34

37 500 Administrative Management Compliant Deficient (c) Standard: Personnel policies. Personnel practices are supported by appropriate written personnel policies that are kept current. Personnel records include the qualifications of all professional and assistant level personnel, as well as evidence of State licensure if applicable c Standard Compliant Deficient (d) Standard: Patient care policies. Patient care practices and procedures are supported by written policies established by a group of professional personnel including one or more physicians associated with the clinic or rehabilitation agency, one or more qualified physical therapists (if physical therapy services are provided), and one or more qualified speech pathologists (if speech pathology services are provided). The policies govern the outpatient physical therapy and/or speech pathology services and related services that are provided. These policies are evaluated at least annually by the group of professional personnel, and revised as necessary based upon this evaluation d Standard 35

38 600 Plan of Care and Physician Involvement Plan of Care and Physician Involvement Compliant Deficient For each patient in need of outpatient physical therapy or speech pathology services, there is a written plan of care established and periodically reviewed by a physician, or by a physical therapist or speech pathologist respectively Condition Compliant Deficient (a) Standard: Medical history and prior treatment. The following are obtained by the organization before or at the time of initiation of treatment: a Standard Compliant Deficient (1) The patient's significant past history a.1 Standard 36

39 600 Plan of Care and Physician Involvement Compliant Deficient (2) Current medical findings, if any a.2 Standard Compliant Deficient (3) Diagnosis(es), if established a.3 Standard Compliant Deficient (4) Physician's orders, if any a.4 Standard Compliant Deficient (5) Rehabilitation goals, if determined a.5 Standard 37

40 600 Plan of Care and Physician Involvement Compliant Deficient (6) Contraindications, if any a.6 Standard Compliant Deficient (7) The extent to which the patient is aware of the diagnosis(es) and prognosis a.7 Standard Compliant Deficient (8) If appropriate, the summary of treatment furnished and results achieved during previous periods of rehabilitation services or institutionalization a.8 Standard Compliant Deficient (b) Standard: Plan of care b Standard 38

41 600 Plan of Care and Physician Involvement Compliant Deficient (1) For each patient there is a written plan of care established by the physician or by the physical therapist or speech-language pathologist who furnishes the services b.1 Standard Compliant Deficient (2) The plan of care for physical therapy or speech pathology services indicates anticipated goals and specifies for those services the b.2 Standard Compliant Deficient (i) Type; b.2.(i) Standard Compliant Deficient (ii) Amount; b.2.(ii) Standard 39

42 600 Plan of Care and Physician Involvement Compliant Deficient (iii) Frequency; and b.2.(iii) Standard Compliant Deficient (iv) Duration b.2.(iv) Standard Compliant Deficient (3) The plan of care and results of treatment are reviewed by the physician or by the individual who established the plan at least as often as the patient's condition requires, and the indicated action is taken b.3 Standard Compliant Deficient (4) Changes in the plan of care are noted in the clinical record. If the patient has an attending physician, the therapist or speech-language pathologist who furnishes the services promptly notifies him or her of any change in the patient's condition or in the plan of care b.4 Standard 40

43 600 Plan of Care and Physician Involvement Compliant Deficient (c) Standard: Emergency care. The rehabilitation agency must establish procedures to be followed by personnel in an emergency, which cover immediate care of the patient, persons to be notified, and reports to be prepared c Standard 41

44 700 Physical and Occupational Therapy Services Physical Therapy Services Compliant Deficient If the organization offers physical therapy services, it provides an adequate program of physical therapy and has an adequate number of qualified personnel and the equipment necessary to carry out its program and to fulfill its objectives Condition Compliant Deficient (a) Standard: Adequate program a Standard Compliant Deficient (1) The organization is considered to have an adequate outpatient physical therapy program if it can: a.1 Standard 42

45 700 Physical and Occupational Therapy Services Compliant Deficient (i) Provide services using therapeutic exercise and the modalities of heat, cold, water, and electricity; a.1.(i) Standard Compliant Deficient (ii) Conduct patient evaluations; and a.1.(ii) Standard Compliant Deficient (iii) Administer tests and measurements of strength, balance, endurance, range of motion, and activities of daily living a.1.(iii) Standard Compliant Deficient (2) A qualified physical therapist is present or readily available to offer supervision when a physical therapist assistant furnishes services a.2 Standard 43

46 700 Physical and Occupational Therapy Services Compliant Deficient (i) If a qualified physical therapist is not on the premises during all hours of operation, patients are scheduled so as to ensure that the therapist is present when special skills are needed, for example, for evaluation and reevaluation a.2.(i) Standard Compliant Deficient (ii) When a physical therapist assistant furnishes services off the organization's premises, those services are supervised by a qualified physical therapist who makes an onsite supervisory visit at least once every 30 days a.2.(ii) Standard Compliant Deficient (b) Standard: Facilities and equipment. The organization has the equipment and facilities required to provide the range of services necessary in the treatment of the types of disabilities it accepts for service b Standard Compliant Deficient (c) Standard: Personnel qualified to provide physical therapy services. Physical therapy services are provided by, or under the supervision of, a qualified physical therapist. The number of qualified physical therapists and qualified physical therapist assistants is adequate for the volume and diversity of physical therapy services offered. A qualified physical therapist is on the premises or readily available during the operating hours of the organization c Standard 44

47 700 Physical and Occupational Therapy Services Compliant Deficient (d) Standard: Supportive personnel. If personnel are available to assist qualified physical therapists by performing services incident to physical therapy that do not require professional knowledge and skill, these personnel are instructed in appropriate patient care services by qualified physical therapists who retain responsibility for the treatment prescribed by the attending physician d Standard 45

48 700 Physical and Occupational Therapy Services Occupational Services Compliant Deficient If the organization offers occupational therapy services, it provides an adequate program of occupational therapy and has an adequate number of qualified personnel and the equipment necessary to carry out its program and to fulfill its objectives Compliant Deficient (a) Standard: Adequate program Compliant Deficient (1) The organization is considered to have an adequate occupational therapy program if it can: Compliant Deficient (i) Provide services using therapeutic exercise and the modalities of heat, cold, water, and electricity; Compliant Deficient (ii) Conduct patient evaluations; and Compliant Deficient (iii) Administer tests and measurements of strength, balance, endurance, range of motion, and activities of daily living. 46

49 700 Physical and Occupational Therapy Services Compliant Deficient (2) A qualified occupational therapist is present or readily available to offer supervision when an occupational therapist assistant furnishes services Compliant Deficient (i) If a qualified occupational therapist is not on the premises during all hours of operation, patients are scheduled so as to ensure that the therapist is present when special skills are needed, for example, for evaluation and reevaluation Compliant Deficient (ii) When a occupational therapist assistant furnishes services off the organization's premises, those services are supervised by a qualified occupational therapist who makes an onsite supervisory visit at least once every 30 days Compliant Deficient (b) Standard: Facilities and equipment. The organization has the equipment and facilities required to provide the range of services necessary in the treatment of the types of disabilities it accepts for service Compliant Deficient (c) Standard: Personnel qualified to provide occupational therapy services. Occupational therapy services are provided by, or under the supervision of, a qualified occupational therapist. The number of qualified occupational therapists and qualified occupational therapist assistants is adequate for the volume and diversity of occupational therapy services offered. A qualified occupational therapist is on the premises or readily available during the operating hours of the organization Compliant Deficient (d) Standard: Supportive personnel. If personnel are available to assist qualified occupational therapists by performing services incident to occupational therapy that do not require professional knowledge and skill, these personnel are instructed in appropriate patient care services by qualified occupational therapists who retain responsibility for the treatment prescribed by the attending physician. 47

50 800 Speech Pathology Services Speech Pathology Services Compliant Deficient If speech pathology services are offered, the organization provides an adequate program of speech pathology and has an adequate number of qualified personnel and the equipment necessary to carry out its program and to fulfill its objectives Condition Compliant Deficient (a) Standard: Adequate program. The organization is considered to have an adequate outpatient speech pathology program if it can provide the diagnostic and treatment services to effectively treat speech disorders a Standard Compliant Deficient (b) Standard: Facilities and equipment. The organization has the equipment and facilities required to provide the range of services necessary in the treatment of the types of speech disorders it accepts for service b Standard 48

51 800 Speech Pathology Services Compliant Deficient (c) Standard: Personnel qualified to provide speech pathology services. Speech pathology services are given or supervised by a qualified speech pathologist and the number of qualified speech pathologists is adequate for the volume and diversity of speech pathology services offered. At least one qualified speech pathologist is present at all times when speech pathology services are furnished c Standard 49

52 900 Rehabilitation Program Rehabilitation Program Compliant Deficient This condition and standards apply only to a rehabilitation agency's own patients, not to patients of hospitals, skilled nursing facilities (SNFs), or Medicaid nursing facilities (NFs) to which the agency furnishes services. The hospital, SNF, or NF is responsible for ensuring that qualified staff furnish services for which they arrange or contract for their patients. The rehabilitation agency provides physical therapy and speech-language pathology services to all of its patients who need them Condition Compliant Deficient (a) Standard: Qualification of staff. The agency's therapy services are furnished by qualified individuals as direct services and/or services provided under contract a Standard Compliant Deficient (b) Standard: Arrangements for services. If services are provided under contract, the contract must specify the term of the contract, the manner of termination or renewal and provide that the agency retains responsibility for the control and supervision of the services b Standard 50

53 1000 Condition of Participation Condition of Participation Compliant Deficient Arrangements for physical therapy and speech pathology services to be performed by other than salaried organization personnel Condition Compliant Deficient (a) Conditions. If an organization provides outpatient physical therapy or speech pathology services under an arrangement with others, the services are to be furnished in accordance with the terms of a written contract, which provides that the organization retains of professional and administrative responsibility for, and control and supervision of, the services a Standard Compliant Deficient (b) Standard: Contract provisions. The contract b Standard Compliant Deficient (1) Specifies the term of the contract and the manner of termination or renewal; b.1 Standard 51

54 1000 Condition of Participation Compliant Deficient (2) Requires that personnel who furnish the services meet the requirements that are set forth in this subpart for salaried personnel; and b.2 Standard Compliant Deficient (3) Provides that the contracting outside resource may not bill the patient or Medicare for the services. This limitation is based on section 1861(w)(1) of the Act, which provides that b.3 Standard Compliant Deficient (i) Only the provider may bill the beneficiary for covered services furnished under arrangements; and b.3.(i) Standard Compliant Deficient (ii) Receipt of Medicare payment by the provider, on behalf of an entitled individual, discharges the liability of the individual or any other person to pay for those services b.3.(ii) Standard 52

55 1100 Clinical Records Clinical Records Compliant Deficient The organization maintains clinical records on all patients in accordance with accepted professional standards, and practices. The clinical records are completely and accurately documented, readily accessible, and systematically organized to facilitate retrieving and compiling information Condition Compliant Deficient (a) Standard: Protection of clinical record information. The organization recognizes the confidentiality of clinical record information and provides safeguards against loss, destruction, or unauthorized use. Written procedures govern the use and removal of records and the conditions for release of information. The patient's written consent is required for release of information not authorized by law a Standard Compliant Deficient (b) Standard: Content. The clinical record contains sufficient information to identify the patient clearly, to justify the diagnosis(es) and treatment, and to document the results accurately. All clinical records contain the following general categories of data: b Standard 53

56 1100 Clinical Records Compliant Deficient (1) Documented evidence of the assessment of the needs of the patient, of an appropriate plan of care, and of the care and services furnished b.1 Standard Compliant Deficient (2) Identification data and consent forms b.2 Standard Compliant Deficient (3) Medical history b.3 Standard Compliant Deficient (4) Report of physical examinations, if any b.4 Standard 54

57 1100 Clinical Records Compliant Deficient (5) Observations and progress notes b.5 Standard Compliant Deficient (6) Reports of treatments and clinical findings b.6 Standard Compliant Deficient (7) Discharge summary including final diagnosis(es) and prognosis b.7 Standard Compliant Deficient (c) Standard: Completion of records and centralization of reports. Current clinical records and those of discharged patients are completed promptly. All clinical information pertaining to a patient is centralized in the patient's clinical record. Each physician signs the entries that he or she makes in the clinical record c Standard 55

58 1100 Clinical Records Compliant Deficient (d) Standard: Retention and preservation. Clinical records are retained for at least: d Standard Compliant Deficient (1) The period determined by the respective State statute, or the statute of limitations in the State; or d.1 Standard Compliant Deficient (2) In the absence of a State statute d.2 Standard Compliant Deficient (i) Five years after the date of discharge; or d.2.(i) Standard 56

59 1100 Clinical Records Compliant Deficient (ii) In the case of a minor, 3 years after the patient becomes of age under State law or 5 years after the date of discharge, whichever is longer d.2.(ii) Standard Compliant Deficient (e) Standard: Indexes. Clinical records are indexed at least according to name of patient to facilitate acquisition of statistical medical information and retrieval of records for research or administrative action e Standard Compliant Deficient (f) Standard: Location and facilities. The organization maintains adequate facilities and equipment, conveniently located, to provide efficient processing of clinical records (reviewing, indexing, filing, and prompt retrieval) f Standard 57

60 1200 Physical Environment Physical Environment Compliant Deficient The building housing the organization is constructed, equipped, and maintained to protect the health and safety of patients, personnel, and the public and provides a functional, sanitary, and comfortable environment Condition Compliant Deficient (a) Standard: Safety of patients. The organization satisfies the following requirements: a Standard Compliant Deficient (1) It complies with all applicable State and local building, fire, and safety codes a.1 Standard Compliant Deficient (2) Permanently attached automatic fire-extinguishing systems of adequate capacity are installed in all areas of the premises considered to have special fire hazards. Fire extinguishers are conveniently located on each floor of the premises. Fire regulations are prominently posted a.2 Standard 58

61 1200 Physical Environment Compliant Deficient (3) Doorways, passageways and stairwells negotiated by patients are: a.3 Standard Compliant Deficient (i) Of adequate width to allow for easy movement of all patients (including those on stretchers or in wheelchairs), (ii) free from obstruction at all times, and (iii) in the case of stairwells, equipped with firmly attached handrails on at least one side a.3.(ii) Standard a.3.(i) Standard a.3.(iii) Standard Compliant Deficient (4) Lights are placed at exits and in corridors used by patients and are supported by an emergency power source a.4 Standard Compliant Deficient (5) A fire alarm system with local alarm capability and, where applicable, an emergency power source, is functional a.5 Standard 59

62 1200 Physical Environment Compliant Deficient (6) At least two persons are on duty on the premises of the organization whenever a patient is being treated a.6 Standard Compliant Deficient (7) No occupancies or activities undesirable or injurious to the health and safety of patients are located in the building a.7 Standard Compliant Deficient (b) Standard: Maintenance of equipment, building, and grounds. The organization establishes a written preventive-maintenance program to ensure that b Standard Compliant Deficient (1) The equipment is operative, and is properly calibrated; and b.1 Standard 60