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Rural Health Clinic Compliance 2013 Charles A. James, Jr. President and CEO North American Healthcare Management Services 888.968.0076.

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Presentation on theme: "Rural Health Clinic Compliance 2013 Charles A. James, Jr. President and CEO North American Healthcare Management Services 888.968.0076."— Presentation transcript:

1 Rural Health Clinic Compliance 2013 Charles A. James, Jr. President and CEO North American Healthcare Management Services 888.968.0076

2 Presentation Topics Components of RHC Regulations and Inspections Annual Requirements RHC regulatory resources 888.968.0076

3 Presentation Objectives Determine Annual Requirements of the RHC program Determine annual physical facility requirements Determine compliance/staff education requirements Review what to do for re-inspection 888.968.0076

4 Is it the State or the Feds? Short Answer – Both The State Department of Health typically perform inspections. They are an agent of CMS for the purpose of an RHC survey. CMS interprets and enforces the federal RHC regulations. CMS approves or denies the states recommendations. 888.968.0076

5 AAAASF and Office Team These are outside accreditation agencies approved by CMS to perform RHC survey and re-survey. Think: The Joint Commission for RHCs. There is an additional expense. 888.968.0076

6 The Rules - 42 CFR 491 This is the Code of Federal Regulations (CFR) which stipulates rural health clinics conditions for certification. Guidance/Legislation/CFCsAndCoPs/RHC_FQHC.html 888.968.0076

7 Rural Health Clinic Requirements Compliance with Federal, State, and Local laws Location of Clinic Physical Plant and Environment Organizational Structure Staffing and Staff Responsibilities Provision of Services Policy and Procedure Manual Medical Records Annual Evaluation (vs. Quality Assurance) 888.968.0076

8 State Operations Manual The SOM is the surveyors guide to an RHC inspection. It contains detailed explanation of requirements for each compliance component. This document can be found at: 888.968.0076

9 HRSA Sample Policy Manual HRSA Sample Policy Manual Part of HRSA – Starting an RHC/ A how-to manual Excellent resource for sample language Contains samples of each section of policy manual Health Resource and Services Administration A link to the manual: 888.968.0076

10 RHC Inspections Rural Health Clinic Regulations and Survey Report (CMS – 30) State Operations Manual – Appendix G Inspector Interpretation 888.968.0076

11 Compliance with Federal, State, Local Laws The clinic must be in compliance with federal RHC regulations and Medicare law. (J3) The clinic and staff are licensed pursuant to applicable State and local law. (J3 and J4) The clinic building meets applicable building and fire codes. (J5) 888.968.0076

12 Location of Clinic (J6 thru J18) Must be in HPSA or MUA For new certification – HPSA has to have been updated within the last four years Must be rural – Use this search tool: 888.968.0076

13 Physical Plant and Environment The clinic is constructed, arranged, and maintained to ensure access to and safety of patients, and provides adequate space for the provision of direct services. (J20) 888.968.0076

14 Physical Plant: Patient Care Equipment and Drugs The clinic has a preventive maintenance program to ensure that: All essential mechanical, electrical and patient care equipment is maintained in safe operating condition; Drugs and biologicals are appropriately stored; The premises are clean and orderly. 888.968.0076

15 Bio-medical Equipment Inspection Ensure that the clinic has policies and documentation for equipment maintenance and inspection. (J22) An annual bio-medical equipment inspection by is the gold standard. 888.968.0076

16 Drugs and Biologicals Drugs and biologicals are appropriately stored (J23) 888.968.0076

17 Drug and Biological Storage To Do LOCK all drug storage locations! Make sure all expired drugs are removed. Document/schedule this activity monthly. Documentation of review/removal activity should be available for review. Multi-use vials marked w/ date of opening and disposed 30 days after opening. 888.968.0076

18 Clean and Tidy The premises are clean and tidy. (J24) 888.968.0076

19 Facility Appearance The term a clean and orderly environment is explicit in the regulation. A neat, well-kept appearance makes a dramatic difference in the success of any type of inspection. 888.968.0076

20 Physical Plant: Emergency Preparedness Emergency procedures. The clinic assures the safety of patients in case of nonmedical emergencies by: Training staff in handling emergencies Placing exit signs in appropriate locations Taking other appropriate measures that are consistent with the particular conditions of the area in which the clinic is located. (J25-J28) 888.968.0076

21 Emergency Preparedness – (J25) Arrange an Annual Fire Inspection Document Fire/Natural Disaster In-services (J26) Post facility layout diagrams and exit routes (J27) Assess emergencies other than just fire – i.e. earthquake, tornado, etc.(J28) CPR certification for clinical (and administrative?) should be completed 888.968.0076

22 Organizational Structure Define the organizational structure of the clinic. Develop an organizational chart that reflects the clinic. If the clinic is owned/managed by a hospital – that should be part of the chart. 888.968.0076

23 RHC Staffing Requirements (J29) The clinic is under the direction of a physician. (J31) The clinic must employ one or more nurse practitioners, physician assistants, or nurse- midwife. (J31) The NP/PA must be available 50% of the time the clinic is open. (J41) 888.968.0076

24 RHC Staffing Requirements (Contd) A provider must be available to furnish services at all times during clinic hours. (J41) One clinic physician must function as the Medical Director. (J46) 888.968.0076

25 Physician Responsibilities The physician provides medical direction for the clinics health care activities and consultation for, and medical supervision of the health care staff. (J46) 888.968.0076

26 Physician Responsibilities In conjunction with the physicians assistant and/or nurse practitioner member(s), the physician participates in developing, executing and periodically reviewing the clinics written policies and the services provided to Federal program patients; (J47) 888.968.0076

27 Physician Responsibilities The physician periodically reviews the clinics patient records, provides medical orders, and provides medical care services to the patients of the clinic. (J48) 888.968.0076

28 Medical Director Responsibilities A physician is present for sufficient periods of time, at least once in every 2 week period (except in extraordinary circumstances), to provide the medical direction, medical care services, consultation and supervision described in paragraph(b)(1) of this section, and, is available through direct telecommunication for consultation, assistance with medical emergencies, or patient referral. (J49) 888.968.0076

29 NP/PA Responsibilities (J50-J51) i. participate in the development, execution and periodic review of the written policies governing the services the clinic furnishes; (provide services in accordance with those policies; ii. provide services in accordance with those policies; 888.968.0076

30 NP/PA Responsibilities (J50-J51) iii. arrange for, or refer patients to, needed services that cannot be provided at the clinic; iv. assure that adequate patient health records are maintained and transferred as required when patients are referred; v. (v) participate with a physician in a periodic review of the patients health records. 888.968.0076

31 CMS Proposed Rule 491.8(a)(iii) The physician assistant, nurse practitioner, nurse- midwife, clinical social worker or clinical psychologist member of the staff may be the owner or an employee of the clinic or center, or may furnish services under contract to the clinic or center. In the case of a clinic, at least one physician assistants or nurse practitioner must be an employee of the clinic. CMS Proposed Rule 888.968.0076

32 RHC Staffing Recommendations Do not open the clinic if no provider is present. Post Clinic hours. Make sure a provider (Doctor/APN/PA) is present during those hours. Make sure the NP/PA staffing is 50% of posted PATIENT hours. If NP/PA clinic, make sure the Medical Director is on-site every two weeks, provides some patient care, and signs charts. 888.968.0076

33 Collaborative Physician Requirements The responsibilities of the clinic Medical Director are different than the requirements for collaboration with Nurse Practitioners and Physician Assistants. Reviewing and counter-signing charts for the NP/PA is a requirement collaborative agreement. 888.968.0076

34 RHC Policy Manual Requirement Written policies should consist of both administrative and patient care policies. In addition to including lines of authority and responsibilities, administrative policies may cover topics such as personnel, fiscal, purchasing, and maintenance of building and equipment. 888.968.0076

35 Patient Care Policies The clinic is primarily engaged in providing outpatient health services as described in §481.9 (c). (J53) The clinics health care services are furnished in accordance with appropriate written policies which are consistent with applicable State law. (J55) The policies are developed with the advice of a group of professional personnel that includes one or more physicians and one or more physicians assistants or nurse practitioners. At least one member of the group is not a member of the clinics staff. (J56) 888.968.0076

36 Patient Care Policies (J57) The RHC Policy Manual must include: i. a description of services furnished directly and those furnished by arrangement; ii. guidelines for the medical management of health problems, including conditions for referral and consultation; iii. guidelines for storage of drugs and biologicals. 888.968.0076

37 Description of Services Such statements as the following sufficiently describe services: Taking complete medical histories, performing complete physical examinations, assessments of health status, routine lab tests… Statements such as complete management of common acute and chronic health problems standing alone, do not sufficiently describe services. (CMS State Operations Manual) 888.968.0076

38 Written Policies and Procedures The clinic must be able to provide written documentation of clinic policies. It must be possible to ascertain who developed them. If the personnel have changed since originally developed, then the doctor, APN, and/or PA must have in-depth knowledge of the policies… 888.968.0076

39 Provision of Services The clinic staff furnishes those diagnostic and therapeutic services and supplies that are commonly furnished in a physicians office or at the entry point into the health care delivery system. These include medical history, physical examination, assessment of health status, and treatment for a variety of medical conditions. (J60) 888.968.0076

40 Guidelines for Medical Mgmt Scope of Services for APN/PA are critical. These represent an agreement between the APN/PA which stipulate medical direction, and designate their privileges and limits of medical diagnosis and treatment. Track APN/PA collaboration/supervision! Confirm/assess state collaborative requirements. 888.968.0076

41 Drugs and Biological Policies Policies must stipulate requirements for dealing with: All drug storage locations are locked; Storage of drug samples, dealing with outdated medications, Securing and accounting for Schedule II drugs. Others…(See SOM) 888.968.0076

42 Policy Review It MUST be documented that the Medical Director and APN/PA review all policies annually. This is absolutely mission critical. This can be achieved by signing and dating the manual annually!! 888.968.0076

43 RHC Manual Recommendations Review all job descriptions and make sure they are accurate. Make sure that an annual policy review/update is documented. Include the physician/np/outside member! 888.968.0076

44 RHC Manual Recommendations Organize Manual according to RHC regulations. Document/demonstrate physician involvement. Keep business, personnel, and medical licenses current!! Make sure that patient care and administrative polices are included and current! Maintain the organizational chart. Assign one person and an alternate responsibility for the manual in case of inspection. 888.968.0076

45 Provision of Services – Lab (J61) An RHC must have the ability to perform the following lab tests: Blood Sugar Hemoglobin or Hematocrit Pregnancy Urinalysis – Dipstick Occult Blood 888.968.0076

46 Lab - PPM Provider-Performed Microscopy This means being licensed by CLIA to use a microscope in the office. Short answer – if you are using a microscope, be sure your CLIA license says this. 888.968.0076

47 Emergency Kit The clinic provides medical emergency procedures as a first response to common life-threatening injuries and acute illness, and has available the drugs and biologicals commonly used in life saving procedures, such as analgesics, anesthetics (local), antibiotics, anticonvulsants, antidotes and emetics, serums and toxoids. (J62) 888.968.0076

48 Sample Emergency Drugs Analgesics - ASA, Tylenol, Aleve Anesthetics - Xylocaine, Lidocaine Antibiotics - Rocephin Anticonvulsants - Valium, Cerebyx Antidotes - EpiPenR and EpiPenR Jr Auto- Injectors, Epinephrine Emetics - Activated Charcoal/911 Serums/toxoids - Vaccines, Tetanus 888.968.0076

49 Provision of Service Recommendations An emergency kit is required – a defibrillator is not (yet). Make sure the clinic can perform a Hemoglobin or Hematocrit and that your supplies are current. The RHC must be able to admit to a hospital - or have a written agreement with someone who can. 888.968.0076

50 In-Patient Services and Specialists (J62) The clinic has agreements or arrangements with one or more providers or suppliers participating under Medicare or Medicaid to furnish other services to its patients, including: (i) inpatient hospital care; (ii) physician(s) services (whether furnished in the hospital, the office, the patients home, a skilled nursing facility, or elsewhere); and (iii) additional and specialized diagnostic and laboratory services that are not available at the clinic. 888.968.0076

51 Services by Arrangement (J64) Additional services, furnished through referral, are sufficiently described in such statements as: Arrangements have been made with X hospital, specialized diagnostic and laboratory testing, specialized therapy, inpatient hospital care, physician services, outpatient and emergency care when clinic is not operating, referral for medical cause when clinic is operating. State Operations Manual – Appendix G 888.968.0076

52 Other Manual Components Documentation of Compliance with clinic and personnel licensure requirements Document all nursing licenses/ CPR certifications. Patient Referral Policies After-Hours Coverage Policies Hospital Privileges Fiscal/Purchasing Policies Medical Record Policies (Confidentiality, Safeguards from Loss, 888.968.0076

53 Medical Records The clinic maintains a clinical record system in accordance with written policies and procedures. (J68) A designated member of the professional staff is responsible for maintaining the records and for ensuring that they are completely and accurately documented, readily accessible, and systematically organized. (J69) 888.968.0076

54 Medical Records – Content (J70) For each patient receiving health care services, the clinic maintains a record that includes, as applicable: (i) identification and social data, evidence of consent forms, pertinent medical history, assessment of the health status and health care needs of the patient, and a brief summary of the episode, disposition, and instructions to the patient; (ii) Reports of physical examinations, diagnostic and laboratory test results, and consultative findings; 888.968.0076

55 Medical Records – Orders and Signatures (iii) all physicians orders, reports of treatments and medications and other pertinent information necessary to monitor the patients progress; (iv) signatures of the physician or other health care professional. 888.968.0076

56 Protection/Retention/Personnel Protection of record information. (J71) The clinic maintains the confidentiality of record information and provides safeguards against loss, destruction or unauthorized use. Written policies and procedures govern the use and removal or records from the clinic and the conditions for release of information. the patients written consent is required for release of information not authorized by law. 888.968.0076

57 Retention of Records The records are retained for at least 6 years from date of last entry, and longer if required by State statute. (J75) 888.968.0076

58 Medical Record Recommendations Maintain individual patient charts. Use problem and medication lists. Physician writing must be legible. (if applicable) No financial data in charts. (Insurance info is OK) Must have written policies regarding retention, confidentiality, and release of information. A designated staff member should be assigned responsibility for overseeing medical records. 888.968.0076

59 Annual Review of Policies The group of professional personnel, which can be the governing body acting as the group, is responsible for an annual review of patient care policies. (CMS State Operations Manual) 888.968.0076

60 Annual Evaluation – Current Rules MMA calls for the Annual Evaluation to be replaced by a Quality Assurance and Performance Improvement program (QAPI). Technically, the Annual Evaluation is still the operative rule. Some states allow QAPI to replace the Annual Evaluation. Do not leave out the remaining Annual components. 888.968.0076

61 Annual Evaluation VIII. §481.11 Program evaluation - (a) The clinic carries out, or arranges for, an annual evaluation of its total program. (J77) (b) The evaluation includes review of: (J78) (1) the utilization of clinic services, including at least the number of patients served and the volume of services; (J79) (2) a representative sample of both active and closed clinical records, and; (J80) (3) the clinics health care policies. (J81) 888.968.0076

62 Annual Evaluation (c) The purpose of the evaluation is to determine whether: (J82) (1) the utilization of services was appropriate; (J83) (2) the established policies were followed; and (J84) (3) any changes are needed. (J85) (d) The clinic staff considers the findings of the evaluation and takes corrective action if necessary. (J86) 888.968.0076

63 Annual Evaluation - Content Annual Evaluation - Content Use patient count from the cost report. Review each component of the RHC regulation. Make sure active and closed records are reviewed. Document and follow up on corrective action for deficient areas! Make sure its signed. Do the annual evaluation…annually! 888.968.0076

64 Quality Assurance/ Employee Education Does your clinic have any type of quality assurance/employee education. What is your mechanism for documenting employee education? Document Monthly or Quarterly In-services for fire/natural disaster in-services, etc. 888.968.0076

65 Annual Evaluation - Participants Can be performed in parts throughout the year. Make sure the Annual Evaluation policy includes an Executive Committee, which includes the Medical Director NP/PA Administrator or Office Manager Outside Community Member 888.968.0076

66 Annual To-Do List Make SURE the medical director and NP/PA have signed the manual ANNUALLY!! Insert all CURRENT medical personnel licenses in manual. Insert all current medical malpractice, building, and liability insurance certificates. Make sure that NP/PA hours equal at least 50% of posted clinic hours. Post NP/PA hours to make it official. 888.968.0076

67 To Do List II Make sure personnel on organizational chart are current. Have an Annual Fire Inspection (if you can). Make sure all staff is CPR certified. Document annual fire/natural disaster in-services. Bio-medical equipment inspection - the 110% solution. Make sure no emergency drugs are expired. 888.968.0076

68 Annual To-Do List III Drug storage locations are locked. Drug sample storage and expirations have been reviewed and activity logged. Multi-use vials – mark date of opening and dispose of 30 days after opening. Make sure that all lab supplies are current that that all tests can be performed. Make sure you have Annual Evaluations/ Medical Record reviews documented. 888.968.0076

69 Re-Inspections Take a second – catch your breath – police the clinic. Panic is not an option. Be nice, not argumentative. If you dont know, say that youll confirm and come right back. Know where your manual is! Assign an alternate in your absence. Be transparent – but let the inspector ask the questions. 888.968.0076

70 RHC Compliance – Bare Minimum Manual signed by Doc and NP/PA All five lab tests (Check the Hemocue!) Emergency Drugs complete Make sure that all lab supplies are current that that all tests can be performed. Make sure you have Annual Evaluations/ Medical Record reviews documented. 888.968.0076

71 CMS Resources Main Site – State Operations Manual – Sample RHC Manual: CMS Rural Health Center – 888.968.0076

72 More CMS Resources Medicare Claims Processing Manual – UB04 Completion– Medicare Claims Processing Manual – Chapter 9 RHC/FQHC Coverage Issues MedLearn Catalog 888.968.0076

73 Where to find the rules… This presentation, the State Operations Manual, and the RHC Survey report will be posted at: 888.968.0076

74 Contact Information Charles A. James, Jr. North American Healthcare Management Services President and CEO 888.968.0076 888.968.0076

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