This section
describes submission requirements including
who submits UDS reports, when and where
to submit UDS data, and how data are submitted.
WHO
SUBMITS REPORTS AND REPORTING PERIODS
Reports
should be submitted directly by the BPHC
grantee. The grantee is the direct
recipient of one or more BPHC grants.
All grantees who are funded before October
1 of the year are expected to report.
Grantees must report activity for the
entire calendar year, even if they were
funded, in whole or in part, for less
than the full year. Grantees who are
funded for the first time after October
1 of the year and who have had no other
BPHC funds during the year do not report.
DUE
DATES AND REVISIONS TO REPORTS
Initial
submissions of all UDS reports for CY
2008 will be due by March 2, 2009.
Beginning
with the 2008 UDS Report, grantees will
no longer be able to revise their data
after data has been finalized in June,
2009.
HOW
AND WHERE TO SUBMIT DATA
Starting
with CY2008 UDS, reporting submission
will be on-line making use of a web based
data collection system that is completely
integrated with the HRSA Electronic Handbooks
(EHBs). BPHC users will use the EHB user
name and password to log into the EHB
in order to complete their UDS submission.
BPHC users will be able to submit the
UDS report data using standard web browsers
through a Section 508 compliant user interface.
The system will present users with electronic
forms that will clearly communicate what
is required and will guide the users in
completing their reports.
Usability
features such as those that pre-fill data
from prior year reports based on business
rules will prevent redundant data entry
while other features such as calendar
controls to enter date will speed up the
data entry process. Users will be able
to work on the forms in part, save them
online and return to complete them later
in a collaborative manner. The approach
will allow grantees to distribute the
data entry burden amongst multiple users
if required. Business rules that check
for quantitative and qualitative edit
checks will be applied to ensure that
the data submitted meets the legislative
and programmatic requirements.
The users
will be provided with a summary of what
is complete and what is incomplete along
with links to jump to the appropriate
sections to fix the identified incomplete
parts.
DEFINITIONS
OF ENCOUNTERS, PROVIDERS, PATIENTS AND
FTES
This section
provides definitions which are critical
for consistent reporting of UDS data across
grantees.
ENCOUNTERS
Encounter
definitions are needed both to determine
who is counted as a patient (Tables 3A,
3B, 4, 6A, 6B and 7) and to report encounters
by type of provider staff (Table 5).
Encounters are defined as documented,
face-to-face contacts between a patient
and a provider who exercises independent
professional judgment in the provision
of services to the patient. To be included
as an encounter, services rendered must
be documented in a chart in the possession
of the grantee. Appendix A provides
a list of health center personnel and
the usual status of each as a provider
or non-provider for purposes of UDS reporting.
Encounters which are provided by contractors,
and paid for by the grantee, such as Migrant
Voucher encounters or out-patient or in-patient
specialty care associated with an at-risk
managed care contract, are considered
to be encounters to be counted on the
UDS to the extent that they meet all other
criteria. In these instances, a summary
of the encounter may appear in the grantee’s
charts.
Further
elaborations of the definitions and criteria
for defining and reporting encounters
are included below.
1.
To meet the criterion for "independent
professional judgment," the provider
must be acting on his/her own when serving
the patient and not assisting another
provider. For example, a nurse assisting
a physician during a physical examination
by taking vital signs, taking a history
or drawing a blood sample is not
credited with a separate encounter.
Independent judgment implies the use of
the professional skills associated with
the profession of the individual being
credited with the encounter and unique
to that provider or other similarly or
more intensively trained providers.
2.
To meet the criterion for "documentation,"
the service (and associated patient information)
must be recorded in written or electronic
form. The patient record does not have
to be a full and complete health record
in order to meet this criterion. For
example, if an individual receives services
on an emergency basis and these services
are documented, the documentation criterion
is met even though some portions of the
health record are not completed. Screenings
at health fairs, immunization drives for
children or the elderly and similar public
health efforts do not result in encounters
regardless of the level of documentation.
3.
When a behavioral health provider renders
services to several patients simultaneously,
the provider can be credited with an encounter
for each person only if the provision
of services is noted in each
person's health record. Such visits are
limited to behavioral health services.
Examples of such non-medical "group
encounters" include: family therapy
or counseling sessions and group mental
health counseling during which several
people receive services and the services
are noted in each person's health record.
In such situations, each
patient is normally billed for the service.
Medical visits must be provided on an
individual basis. Patient education or
health education classes (e.g., smoking
cessation) are not credited as encounters.
4.
An encounter may take place in the health
center or at any other site or location
in which project-supported activities
are carried out. Examples of other sites
and locations include mobile vans, hospitals,
patients' homes, schools, nursing homes,
homeless shelters, and extended care facilities.
Encounters also include contacts with
patients who are hospitalized, where health
center medical staff member(s) follow
the patient during the hospital stay as
physician of record or where they provide
consultation to the physician of record.
A reporting entity may not count more
than one inpatient encounter per patient
per day.
5.
Such services as drawing blood, collecting
urine specimens, performing laboratory
tests, taking X-rays, giving immunizations
or other injections, and filling/dispensing
prescriptions do not constitute encounters,
regardless of the level or quantity of
supportive services.
6.
Under certain circumstances a patient
may have more than one encounter with
the health center in a day. The number
of encounters per service delivery location
per day is limited as follows. Each patient
may have, at a maximum:
- One
medical encounter (physician, nurse practitioner,
physicians assistant, certified nurse
midwife, or nurse).
- One
dental encounter (dentist or hygienist).
- One
“other health” encounter for
each type of “other health”
provider (nutritionist, podiatrist, speech
therapist, acupuncturist, optometrist,
etc.).
- One
enabling service encounter for each type
of enabling provider (case management
or health education).
- One
mental health encounter.
- One
substance abuse encounter.
If multiple
medical providers deliver multiple services
on a single day (e.g., an Ob-Gyn provides
prenatal care and in Internist treats
hypertension) only one of these encounters
may be counted on the UDS. While some
third party payors may recognize these
as billable, only one of them is countable.
The decision as to which provider gets
credit for the visit on the UDS is up
to the grantee. Internally, the grantee
may follow any protocol it wishes in terms
of crediting providers with encounters.
7.
A provider may be credited with no more
than one encounter with a given patient
in a single day, regardless of the types
or number of services provided.
8. The
encounter criteria are not met
in the following circumstances:
- When
a provider participates in a community
meeting or group session that is not
designed to provide clinical services.
Examples of such activities include information
sessions for prospective patients, health
presentations to community groups (high
school classes, PTA, etc.), and information
presentations about available health services
at the center.
- When
the only health service provided is part
of a large-scale effort, such as a mass
immunization program, screening program,
or community-wide service program (e.g.,
a health fair).
- When
a provider is primarily conducting outreach
and/or group education sessions, not providing
direct services.
- When
the only services provided
are lab tests, x-rays, immunizations or
other injections, TB tests or readings
and/or prescription refills.
- Services
performed under the auspices of a WIC
program or a WIC contract.
Further
definitions of encounters for different
provider types follow:
PHYSICIAN
ENCOUNTER– An encounter
between a physician and a patient.
NURSE
PRACTITIONER ENCOUNTER–
An encounter between a Nurse Practitioner
and a patient in which the practitioner
acts as an independent provider.
PHYSICIAN
ASSISTANT ENCOUNTER–
An encounter between a Physician Assistant
and a patient in which the practitioner
acts as an independent provider.
CERTIFIED
NURSE MIDWIFE ENCOUNTER–
An encounter between a Certified Nurse
Midwife and a patient in which the practitioner
acts as an independent provider.
NURSE
ENCOUNTER (MEDICAL) – An
encounter between an R.N., L.V.N. or L.P.N.
and a patient in which the nurse acts
as an independent provider of medical
services exercising independent judgment,
such as in a triage encounter. Services
which meet this criteria may be provided
under standing orders of a physician,
under specific instructions from a previous
visit, or under the general supervision
of a physician or Nurse Practitioner/Physicians
Assistant/Certified Nurse Midwife (NP/PA/CNM)
who has no direct contact with the patient
during the visit, but must still meet
the requirement of exercising independent
professional judgment. (Note that some
states prohibit an LVN or an LPN to exercise
independent judgment, in which case no
encounters would be counted for them.
Note also that, under no circumstances
are services provided by Medical Assistants
or other non-nursing personnel counted
as nursing visits.)
DENTAL
SERVICES ENCOUNTER– An
encounter between a dentist or dental
hygienist and a patient for the purpose
of prevention, assessment, or treatment
of a dental problem, including restoration.
Note: A dental hygienist is credited with
an encounter only when s/he provides a
service independently, not jointly with
a dentist. Two encounters may not
be generated during a patient's visit
to the dental clinic in one day, regardless
of the number of clinicians who provide
services or the volume of service (number
of procedures) provided.
MENTAL
HEALTH ENCOUNTER– An encounter
between a licensed mental health provider
(psychiatrist, psychologist, LCSW, and
certain other Masters Prepared mental
health providers licensed by specific
states,) or an unlicensed mental health
provider credentialed by the center, and
a patient, during which mental health
services (i.e., services of a psychiatric,
psychological, psychosocial, or crisis
intervention nature) are provided.
SUBSTANCE
ABUSE ENCOUNTER– An encounter
between a substance abuse provider (e.g.,
a mental health provider or a credentialed
substance abuse counselor, rehabilitation
therapist, psychologist) and a patient
during which alcohol or drug abuse services
(i.e., assessment and diagnosis, treatment,
aftercare) are provided.
OTHER
PROFESSIONAL ENCOUNTER–
An encounter between a provider, other
than those listed above and a patient
during which other forms of health services
are provided. Examples are provided in
Appendix A.
CASE
MANAGEMENT ENCOUNTER –
An encounter between a case management
provider and a patient during which services
are provided that assist patients in the
management of their health and social
needs, including patient needs assessments,
the establishment of service plans, and
the maintenance of referral, tracking,
and follow-up systems. These must be
face to face with the patient. Third
party interactions on behalf of a patient
are not counted in case management encounters.
HEALTH
EDUCATION ENCOUNTER– A
one-on-one encounter between a health
education provider and a patient in which
the services rendered are of an educational
nature relating to health matters and
appropriate use of health services (e.g.,
family planning, HIV, nutrition, parenting,
and specific diseases). Participants
in health education classes are not considered
to have had encounters. Some individuals
trained as pharmacists now work as health
educators and perform health education
work. They should be classified as health
educators and have those services counted
as health education encounters. This
does not include the normal education
that is a required part of the dispensing
of any medicine in a pharmacy.
PROVIDER
A
provider is the individual who assumes
primary responsibility for assessing the
patient and documenting services in the
patient's record. Providers
include only individuals who exercise
independent judgment as to the services
rendered to the patient during an encounter.
Only one provider who exercises independent
judgment is credited with the encounter,
even when two or more providers are present
and participate. If two or more providers
of the same type divide up the services
for a patient (e.g., a family practitioner
and a pediatrician both seeing a child)
only one may be credited with an encounter.
Where health center staff are following
a patient in the hospital, the primary
responsible center staff person in attendance
during the encounter is the provider (and
is credited with an encounter), even if
other staff from the health center and/or
hospital are present. (Appendix A provides
a listing of personnel. Only personnel
designated as a “provider”
can generate encounters for purposes of
UDS reporting.)
Providers
may be employees of the health center,
contracted or volunteers. Contract providers
who are part of the scope of the approved
grant-funded program and who are paid
by the center with grant funds or program
income, serve center patients and document
their services in the center's records,
are considered providers. (A discharge
summary or similar document in the medical
record will meet this criteria.) Also,
contract providers paid for specific visits
or services with grant funds or program
income, who report patient encounters
to the direct recipient of a BPHC grant
(e.g., under a migrant voucher program
or contractors with homeless grantees)
are considered providers and their activities
are to be reported by the direct recipient
of the BPHC grant. Since there is no
time basis in their report, no FTE is
reported for such individuals. Volunteer
providers who serve center patients and
document their services in the center's
records, are also considered providers.
PATIENT
Patients
are individuals who have at least one
encounter during the year, as defined
above. The term “patient”
is not limited to recipients of medical
or dental services; the term is used universally
to describe all persons provided UDS-countable
encounters.
The
Universal Report includes all
individuals who have at least one encounter
during the year within the scope of activities
supported by any BPHC
grant covered by the UDS. In any given
category (e.g. medical, dental, enabling,
etc.) in the Universal Report, each patient
is counted once and only once, even if
s/he received more than one type of service
or receives services supported by more
than one BPHC grant. For each Grant
Report, patients include individuals
who have at least one encounter during
the year within the scope of project activities
supported by the specific BPHC grant.
A patient counted in any cell on a Grant
Report is also included in the same cell
on the Universal Report.
Persons
who only receive services from large-scale
efforts such as immunization programs,
screening programs, and health fairs are
not counted as patients. Persons whose
only service from the grantee is a part
of the WIC program are not counted as
patients.
Centers
see many individuals who do not become
patients as defined by and counted in
the UDS process. “Patients”,
as defined for the UDS, never include
individuals who have such limited contacts
with the grantee, whether or not documented
on an individual basis. These include,
but are not limited to, persons whose
only contact is:
-
When a provider participates in a community
meeting or group session that is not
designed to provide clinical services.
Examples of such activities include information
sessions for prospective patients, health
presentations to community groups (high
school classes, PTA, etc.), and information
presentations about available health services
at the center.
-
When the only health service provided
is part of a large-scale effort, such
as an immunization program, screening
program, or community-wide service program
(e.g., a health fair).
-
When a provider is primarily conducting
outreach and/or group education sessions,
not providing direct services.
-
When the only services provided are lab
tests, x-rays, immunizations or other
injections, TB tests or readings, and/or
filling or refilling a prescription.
-
Services performed under the auspices
of a WIC program or a WIC contract.
FULL-TIME
EQUIVALENT EMPLOYEE
A full-time
equivalent (FTE) of 1.0 means that the
person worked full-time for one year.
Each agency defines the number of hours
for “full-time” work. For
example, if a physician is hired full-time
and works 36 hours per week, she is a
1.0 FTE. The full-time equivalent is
based on employment contracts for clinicians
and exempt employees; FTE is calculated
based on paid hours for non-exempt employees.
FTEs are adjusted for part-time work or
for part-year employment. In an organization
that has a 40 hour work week (2080 hours/year),
a person who works 20 hours per week (i.e.,
50% time) is reported as “0.5 FTE.”
In some organizations different positions
have different time expectations. Positions
with different time expectations, especially
clinicians, should be calculated on whatever
they have as a base for that position.
Thus, if physicians work 36 hours per
week, this would be considered 1.0 FTE,
and an 18 hour per week physician would
be considered as 0.5 FTE, regardless of
whether other employees work 40 hours
weeks. FTE is also based on the number
of months the employee works. An employee
who works full time for four months out
of the year would be reported as “0.33
FTE” (4 months/12 months).
Staff
may provide services on behalf of the
grantee on a regularly scheduled basis
under many different arrangements including,
but not limited to: salaried full-time,
salaried part-time, hourly wages, National
Health Service Corps assignment, under
contract, or donated time. Individuals
who are paid by the grantee on a fee-for-service
basis only and do not have specific assigned
hours, are not counted in the calculation
of FTEs since there is no basis for determining
their hours. |