© Copyright, The Joint Commission The Joint Commission: Deeming Authority and the Integrated Survey Process for Psychiatric Hospitals and the Special Conditions February 6, 2012 Steve Misenko Project Manager External Reporting Accreditation and Certification Operations Mark E. Schario MS, RN, FACHE Field Director Surveyor Management and Development Accreditation and Certification Operations

2 © Copyright, The Joint Commission Presentation Objectives  Brief review of the federal deeming process for hospitals and the special conditions  Overview of framework for Joint Commission approach to deeming for the special conditions  New standards, crosswalk and documents for special conditions  Survey process specific to the special conditions of participation

3 © Copyright, The Joint Commission The Basics  Application submitted in July 2010  Application process is 210 days –Review of standards, survey process, procedures, survey team composition, etc  Approval was published in the Federal Register on Friday, February 25, 2011  Term of approval is four years

4 © Copyright, The Joint Commission Deeming Authority  Accreditation is voluntary; free State Survey Agency (or Contractor) option  Federal requirements are in law and regulation  Defined application/renewal processes  Established oversight processes

5 © Copyright, The Joint Commission CMS’ Deeming Authority Oversight  Validation surveys –Generally performed by State Survey Agencies (SSA) on behalf of CMS –Task is to validate accreditation organization’s performance in assessing compliance with the CoPs/CfCs  Types of validation surveys include: –Mid-cycle –Complaint (allegation) –Look-behind (traditional)

6 © Copyright, The Joint Commission Validation Surveys  Prior to MIPPA only hospitals and labs included in the Annual Report to Congress  Since 2009: hospitals, CAHs, hospice, ASCs, home Care, labs,  Starting in 2012 psychiatric hospitals  Hospitals: largest number of validation surveys FY 1999 (235), lowest number FY 2004 (44), last year 150

7 © Copyright, The Joint Commission Complaint Surveys  Complaint/Allegation Survey –Response to an allegation of a significant deficiency –Narrow focus on the area(s) of complaint –For deemed organizations must be approved by CMS RO –About 5,000 complaint surveys conducted in TJC hospitals every year –Small percent (4 to 6) are substantiated with a condition-level finding

8 © Copyright, The Joint Commission Look-Behind Validation Surveys  CMS’ CO selects “representative” sample  Conducted 60 days after an AO survey –Performed to determine a match between the AO’s findings and the SA’s Condition- level findings  Results provided to Congress

9 © Copyright, The Joint Commission Data Reporting Requirements  Facility specific demographic and deficiency information  Survey schedules  Notification letters (sent to both CMS CO and appropriate RO) after a survey  Adverse decisions reported within 48 hours of the Committee’s decision  Survey reports upon request

10 © Copyright, The Joint Commission Deemed Data to Date  420 Medicare certified psychiatric hospitals accredited  133 facilities have requested the psychiatric hospital deemed status option  2012 due = 137  2013 due = 164  2014 due = 119

11 © Copyright, The Joint Commission Psychiatric Hospitals  What makes you different: -primary purpose is for diagnosis and treatment of the mentally ill under the supervision of a physician -must meet all the conditions of participation for Medicare hospitals - Must meet two special conditions for psychiatric hospitals

12 © Copyright, The Joint Commission Joint Commission Process Psychiatric Hospital approach:  Will use our existing hospital survey process  Will add standards and crosswalk specific to the special conditions  Will add survey process specific to the special conditions

13 © Copyright, The Joint Commission Standards and Elements of Performance

14 © Copyright, The Joint Commission Background:  Existing hospital standards requirements were crosswalked to the psychiatric hospital CoPs (482.60, , and )  As a result of this crosswalk, it was determined that 57 existing hospital EPs could be applied to these psychiatric hospital CoPs

15 © Copyright, The Joint Commission Background for specific issues:  Additional EPs were needed in order to better address the details in some of the CoPs  7 new EPs and a “note” have been added to the existing hospital standards.

16 © Copyright, The Joint Commission  PC EP7 –Psychiatric evaluation completed within 60 hours  PC EP3 –New “note” regarding social services staff responsibilities  RC EP10 –who records progress notes and how often New Elements of Performance

17 © Copyright, The Joint Commission  MS EP7 – Qualifications of director of inpatient psychiatric services  HR EP16 – Qualifications of director of psychiatric nursing  LD EP14 – Requirement to provide psychological, psychiatric nursing, social work, and therapeutic activity services New Elements of Performance

18 © Copyright, The Joint Commission  HR EP18 – Qualifications of director of social work services  LD EP16 – Administrative requirement for special provisions for psychiatric hospitals at New Elements of Performance

19 © Copyright, The Joint Commission E-dition

20 © Copyright, The Joint Commission Condition of Participation

21 © Copyright, The Joint Commission Crosswalk

22 © Copyright, The Joint Commission Survey Process

23 © Copyright, The Joint Commission Survey process  Increase in survey time to address specificity  Survey activities impacted  New activities developed Changes related to the special hospital Conditions of Participation:

24 © Copyright, The Joint Commission Survey Forms…a familiar place

25 © Copyright, The Joint Commission Impact on Survey Activities  Individual Tracer Activity –Evaluate degree and intensity of treatment provided –Patient tracer selection guideline/sampling –Psychiatric evaluation complete within 60 hours –Progress notes are recorded –Review compliance with B-tags (B-105 through B126 and B132)

26 © Copyright, The Joint Commission Survey activities  Credentialing and Privileging Session –Qualifications, roles, and responsibilities of the clinical director –Qualifications of physicians who provide psychiatric services –Discuss physician coverage on evenings, nights, and weekends –Review data on CMS Form 729 from hospital

27 © Copyright, The Joint Commission New survey activities  Staffing Review Session –New 60 minute activity –Staffing based on qualifications and mix of staff –Confirm a registered nurse is available 24 hours a day –Review data on CMS Form 727 and 728 from hospital

28 © Copyright, The Joint Commission New survey activities  Discharge Planning/Death Record Review –New minute activity –Review discharge records to evaluate compliance with discharge planning requirements –Death record review, when necessary, include review of conclusions and recommendations of the Mortality Review Board, determining if proper treatment was provided, and reviewing the autopsy report

29 © Copyright, The Joint Commission CMS Forms (Hospital access)

30 © Copyright, The Joint Commission Follow up information can be obtained from: Mark Schario, Steve Misenko, Trisha Kurtz,