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MDS 3.0 and RUG-IV. FY 2012 Updates and Clarifications. March 2012. Agenda. FY 2012: What does it look like? Clarifications Assessment Combination Unscheduled Assessment ARD Compliance Inactivating Assessments New Policy, Effective April 1, 2012

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mds 3 0 and rug iv

MDS 3.0 and RUG-IV

FY 2012 Updates and Clarifications

March 2012

RAI and MDS Conference

agenda

Agenda

FY 2012: What does it look like?

Clarifications

Assessment Combination

Unscheduled Assessment ARD Compliance

Inactivating Assessments

New Policy, Effective April 1, 2012

Interviews on Unscheduled Assessments

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fy 2012 what does it look like

FY 2012: What does it look like?

By the Numbers

Overall Patient Case Mix

*First Quarter, FY 2012

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by the numbers rehabilitation patient case mix first quarter fy 2012

FY 2012: What does it look like?

By the Numbers

Rehabilitation Patient Case Mix

*First Quarter, FY 2012

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by the numbers mode of therapy provision first quarter fy 2012

FY 2012: What does it look like?

By the Numbers

Mode of Therapy Provision

*First Quarter, FY 2012

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by the numbers distribution of mds assessment types first quarter fy 2012

FY 2012: What does it look like?

By the Numbers

Distribution of MDS Assessment Types

*First Quarter, FY 2012

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assessment combination

Assessment Combination

Combining Scheduled and Unscheduled PPS Assessments

If the ARD for an unscheduled PPS assessment falls within the ARD window (including grace days) of a scheduled PPS assessment, and the ARD for the scheduled assessment would be set for a day after that of the unscheduled assessment, then the assessments must be combined.

For example, if the ARD for an EOT OMRA is Day 14 of a resident’s stay and the 14-day scheduled PPS assessment is not set for prior to Day 14, then the assessments must be combined and facilities should use the appropriate AI code to indicate the combined assessment.

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assessment combination8

Assessment Combination

Combining Scheduled and Unscheduled PPS Assessments

What happens if I do not combine them as I should?

If a scheduled assessment ARD is set for a day that is after the ARD set for an unscheduled assessment, and the ARD for the unscheduled assessment is set for a day within the scheduled assessment ARD window, then the scheduled assessment is not used for payment purposes.

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assessment combination9

Assessment Combination

Combining Scheduled and Unscheduled PPS Assessments

What happens if I do not combine them as I should?

Example #1

EOT OMRA completed with ARD of Day 14.

Resident last received therapy on Day 11.

14-day assessment ARD set for Day 15.

The EOT OMRA would pay beginning on Day 12 through Day 15 and continue until the next scheduled or unscheduled assessment used for payment.

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assessment combination10

Assessment Combination

Combining Scheduled and Unscheduled PPS Assessments

What happens if I do not combine them as I should?

Example #2

COT OMRA completed with ARD of Day 13.

14-day assessment ARD set for Day 15.

The COT OMRA would pay beginning on Day 7 (Day 1 of the COT observation period) through Day 15 and continue until the next scheduled or unscheduled assessment used for payment.

Next COT observation period end date: Day 20

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assessment combination11
Assessment Combination

The COT OMRA and Other Assessments

If the ARD of a PPS assessment used for payment is set for on or prior to Day 7 of the COT observation period, then no COT OMRA would be required.

Relevance of “used for payment”

If an assessment has an ARD set for on or prior to Day 7 of the COT observation period, but this assessment is not used for payment, then completing this assessment does not impact on the COT ARD calendar and the COT OMRA would still be required.

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assessment combination12
Assessment Combination

The COT OMRA and Other Assessments

If the ARD of a PPS assessment used for payment is set for on or prior to Day 7 of the COT observation period, then no COT OMRA would be required.

Example: If the last day of the COT observation period is on May 4 and the ARD of the 30-day assessment is set for May 4, the SNF may choose not to complete the COT OMRA (assuming the resident is not discharged prior to Day 32 of the stay) and the COT observation period would begin on May 5.

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assessment combination13
Assessment Combination

The COT OMRA and Other Assessments

If the ARD of a PPS assessment used for payment is set for on or prior to Day 7 of the COT observation period, then no COT OMRA would be required.

Example: If the last day of the COT observation period is on May 4 and the ARD for an EOT OMRA is set for May 4, the SNF may choose not to complete the COT OMRA. If the ARD for the EOT OMRA were set for May 5, regardless of when therapy ended, then a COT OMRA would be required with an ARD of May 4.

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assessment ard compliance
Assessment ARD Compliance

Setting the ARD for a Unscheduled PPS Assessment

Unscheduled Assessment ARD Grace Period

Facilities are permitted to set the ARD on an unscheduled PPS assessment for a day within the allowable ARD window for that assessment no more than 2 days after the window has passed.

Example: For a COT OMRA where Day 7 of the COT observation period is Day 37, the ARD may be set for Day 37 no later than Day 39. Beginning Day 40, the ARD may be set for no earlier than the day on which the ARD is set.

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assessment ard compliance15
Assessment ARD Compliance

Early Unscheduled Assessment Policy – COT OMRA

If the ARD for a COT OMRA is set for prior to Day 7 of the COT observation period, the facility must bill the default rate the total number of days the assessment is out of compliance (the number of days by which the assessment is early).

The default rate is effective from Day 1 of the COT observation period and is billed for the number of days that the assessment is out of compliance. Facility may then bill the RUG from the early COT OMRA for the remainder of the COT observation period until the next scheduled or unscheduled assessment used for payment.

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assessment ard compliance16
Assessment ARD Compliance

Early Unscheduled Assessment Policy – COT OMRA

Example

  • 30-day assessment ARD is Day 30.
    • Day 7 of the COT observation period is Day 37.
  • COT ARD set for Day 35 (2 days out of compliance)
  • Facility would bill the default rate for Days 29 and 30.
  • Facility would then bill the RUG from the early COT beginning on Day 31 until the next scheduled or unscheduled assessment used for payment.
  • Early COT resets COT ARD calendar.
    • Next COT check: Day 42

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assessment ard compliance17
Assessment ARD Compliance

Late Unscheduled Assessment Policy

If the SNF fails to set the ARD for an unscheduled PPS assessment within the defined ARD window for that assessment, and the resident being assessed is still on Part A, the ARD cannot be set for any earlier than the day the omission was identified.

The total number of days the assessment is out of compliance, including the late ARD, must be billed at default, beginning on the day that the assessment would have controlled payment.

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assessment ard compliance18
Assessment ARD Compliance

Late Unscheduled Assessment Policy

The total number of days the assessment is out of compliance, including the late ARD, must be billed at default, beginning on the day that the assessment would have controlled payment.

Intervening Assessment

The SNF must only bill default until the point when an intervening assessment would control the payment.

(COT Example #2)

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assessment ard compliance19
Assessment ARD Compliance

Late Unscheduled Assessment Policy – EOT OMRA

Example

  • Resident last received therapy on Day 33.
  • EOT ARD set for Day 39. (3 days out of compliance)
  • Facility would bill the default rate for Days 34 through 36.
  • Facility would then bill RUG from late EOT from Day 37 until next scheduled or unscheduled assessment used for payment.

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assessment ard compliance20
Assessment ARD Compliance

Late Unscheduled Assessment Policy – COT OMRA

Example #1

  • 30-day assessment ARD is Day 30.
    • Day 7 of the COT observation period is Day 37.
  • COT ARD set for Day 39 (2 days out of compliance)
  • Facility would bill the default rate for Days 31 and 32.
  • Facility would then bill RUG from late COT from Day 33 until next scheduled or unscheduled assessment used for payment.
  • Late COT resets COT ARD calendar.
    • Next COT check: Day 46

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assessment ard compliance21
Assessment ARD Compliance

Late Unscheduled Assessment Policy – COT OMRA

Example #2

  • 30-day assessment ARD is Day 30.
    • Day 7 of the COT observation period is Day 37.
  • COT ARD set for Day 52 (15 days out of compliance).
  • EOT OMRA completed timely with ARD set for Day 42.
    • Resident last received therapy on Day 39
  • Facility would bill the default rate for Days 31 through 39.
  • Facility would then bill RUG from EOT OMRA from Day 40 until next scheduled or unscheduled assessment used for payment.

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assessment ard compliance22
Assessment ARD Compliance

Missed Unscheduled Assessment Policy

If the SNF fails to set the ARD for an unscheduled PPS assessment within the defined ARD window for that assessment, and the resident has been discharged from Part A, the assessment cannot be completed.

All days which would have been paid by the missed assessment, had it been completed timely, are considered provider-liable.

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assessment ard compliance23
Assessment ARD Compliance

Missed Unscheduled Assessment Policy

All days which would have been paid by the missed assessment, had it been completed timely, are considered provider-liable.

Intervening Assessment

The SNF must take as provider-liable those days covered by the missed assessment until the point when an intervening assessment would control the payment.

(Example #2)

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assessment ard compliance24
Assessment ARD Compliance

Missed Unscheduled Assessment Policy – COT OMRA

Example #1

  • 30-day assessment ARD is Day 30.
    • Day 7 of the COT observation period is Day 37.
  • COT OMRA is not completed.
  • Resident is discharged from Part A on Day 40.
  • Omission identified two weeks after Part A discharge.
  • Days 31 – 40 are considered provider-liable.

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assessment ard compliance25
Assessment ARD Compliance

Example #2

  • 30-day assessment ARD is Day 30.
    • Day 7 of the COT observation period is Day 37.
  • COT ARD is not completed.
  • EOT OMRA completed timely with ARD set for Day 42.
    • Resident last received therapy on Day 39
  • Resident discharged from Part A on Day 45.
  • Days 31 – 39 are considered provider-liable.
  • Facility would then bill RUG from EOT OMRA beginning on Day 40 and continue until discharge.

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Assessment ARD Compliance

Compounding Effects

In each case of an early, late, or missed unscheduled assessment, SNFs must consider the degree to which this untimely assessments affect other assessment requirements.

Example

A COT OMRA is completed with an ARD set for Day 35, while Day 7 of the COT observation period was Day 37. The SNF then completes a subsequent COT OMRA with an ARD set for Day 44 (7 days from original COT ARD) while the subsequent COT ARD should have been Day 42 (7 days from early COT ARD).

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inactivating assessments

Inactivating Assessments

General Policy

Once completed, edited, and accepted into the QIES ASAP system, providers may not change a previously completed MDS assessment as the resident’s status changes during the course of the resident’s stay – the MDS must be accurate as of the date of the ARD established by the time of the assessment.

Providers should have a process in place to ensure assessments are accurate prior to submission. Such monitoring and documentation is a part of the provider’s responsibility to provide necessary care and services.

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Inactivating Assessments

Inactivation Related to Event Date or Reason For Assessment

When the provider determines that an event date (ARD of any clinical assessment, entry date, and discharge date) or item A0310 (type of assessment) is inaccurate the provider must inactivate the record in the QIES ASAP system, then complete and submit a new MDS 3.0 record with the correct event date or type of assessment, ensuring that the clinical information is accurate. (Long-Term Care Facility Resident Assessment Instrument User’s Manual, MDS 3.0, Page 5-12.)

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inactivating assessments29

Inactivating Assessments

Inactivation Related to Event Date or Type of Assessment

If the ARD or Type of Assessment is entered incorrectly, and the provider does not correct it within the encoding period, the provider must complete and submit a new MDS 3.0 record. 

In this instance a new ARD date must be established based on MDS requirements, which is the date the error is determined or later, but not earlier. The new MDS 3.0 record being submitted to replace the inactivated record must include new signatures and dates for all items based on the look-back period established by the new ARD and according to established MDS assessment completion requirements.

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inactivating assessments30

Inactivating Assessments

Inactivation Related to Event Date or Reason For Assessment

Example

Issue: A SNF is coding a 30-day assessment. Item A2300 (Assessment Reference Date) is coded as 02-04-2012, but it was supposed to be coded as 01-04-2012. This error is discovered on February 20th.

Solution: The improperly coded assessment must be inactivated and a new MDS 3.0 record must be created and submitted to the QIES ASAP. The ARD on this assessment can be no earlier than February 20th and all items and signatures must be reflective of this new ARD.

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inactivating assessments31

Inactivating Assessments

Inactivation Related to Event Date or Reason For Assessment

What Types of Items Prompt an Inactivation?

Only a small subset of items on the MDS prompt the need for an inactivation. Most errors on the MDS may be corrected through the standard modification process outlined in Chapter 5 of the MDS 3.0 RAI manual, page 5-10.

  • - Type of Provider (A0200)
  • Type of Assessment (A0310)
  • Entry Date (A1600)
  • Discharge Date (A2000)
  • - Assessment Reference Date (A2300)

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unscheduled assessment interviews
Unscheduled Assessment Interviews

Effective April 1, 2012, when coding a standalone unscheduled PPS assessment (COT, EOT, SOT), the interview items may be coded using the responses provided by the resident on a previous assessment, if the interview responses from the previous assessment were obtained no more than 14 days prior to the date those responses will be used on a subsequent standalone unscheduled PPS assessment.

This change does not change other assessment policies with regards to the frequency of resident interviews.

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unscheduled assessment interviews33
Unscheduled Assessment Interviews

Qualifications

  • Applies only to standalone unscheduled PPS assessments.

Does not apply in cases where the unscheduled PPS assessment is combined with a non-PPS assessment or scheduled PPS assessment.

  • At the discretion of the provider, if a change is observed during the observation period for the unscheduled PPS assessment, then responses may not be carried forward.
  • Only in cases where the resident interview was completed on prior assessment, not staff assessment.

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additional training resources

Additional Training Resources

SNF PPS Website

(www.cms.gov/SNFPPS/)

(Includes information from training calls and recent FY 2012 clarifications)

MDS 3.0 Website

(https://www.cms.gov/NursingHomeQualityInits/)

(Includes the September 2011 version of the RAI Manual and an October 2011 RAI Manual errata document)

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