Emergency Preparedness Regulations for Psychiatric Residential Treatment Facilities (PRTF)

 
 
Statutory and regulatory citations for PRTFs —sections 1905(a) and 1905(h) of the Social Security Act and 42 CFR 441.150 through 441.182 and 42 CFR 483.350 through 483.376.
 
The Psychiatric Residential Treatment Facility (PRTF) must comply with all applicable Federal, State, and local emergency preparedness requirements. The PRTF must establish and maintain an emergency preparedness program that meets the requirements of this section. The emergency preparedness program must include, but not be limited to, the following elements:
 
 
Emergency plan
 
The PRTF must develop and maintain an emergency preparedness plan that must be reviewed, and updated at least annually. The plan must do the following:
  1. Be based on and include a documented, facility-based and community-based risk assessment, utilizing an all-hazards approach.
  2. Include strategies for addressing emergency events identified by the risk assessment.
  3. Address resident population, including, but not limited to, persons at-risk; the type of services the PRTF has the ability to provide in an emergency; and continuity of operations, including delegations of authority and succession plans.
  4. Include a process for cooperation and collaboration with local, tribal, regional, State, and Federal emergency preparedness officials' efforts to maintain an integrated response during a disaster or emergency situation, including documentation of the PRTF's efforts to contact such officials and, when applicable, of its participation in collaborative and cooperative planning efforts.
 
Policies and procedures
 
The PRTF must develop and implement emergency preparedness policies and procedures, based on the emergency plan set forth in paragraph (a) of this section, risk assessment at paragraph (a)(1) of this section, and the communication plan at paragraph (c) of this section. The policies and procedures must be reviewed and updated at least annually. At a minimum, the policies and procedures must address the following:
  1. The provision of subsistence needs for staff and residents, whether they evacuate or shelter in place, include, but are not limited to the following:
    1. Food, water, medical, and pharmaceutical supplies.
    2. Alternate sources of energy to maintain the following:
      1. Temperatures to protect resident health and safety and for the safe and sanitary storage of provisions.
      2. Emergency lighting.
      3. Fire detection, extinguishing, and alarm systems.
      4. Sewage and waste disposal.
  2. A system to track the location of on-duty staff and sheltered residents in the PRTF's care during and after an emergency. If on-duty staff and sheltered residents are relocated during the emergency, the PRTF must document the specific name and location of the receiving facility or other location.
  3. Safe evacuation from the PRTF, which includes consideration of care and treatment needs of evacuees; staff responsibilities; transportation; identification of evacuation location(s);  and primary and alternate means of communication with external sources of assistance.
  4. A means to shelter in place for residents, staff, and volunteers who remain in the facility.
  5. A system of medical documentation that preserves resident information, protects confidentiality of resident information, and secures and maintains the availability of records.
  6. The use of volunteers in an emergency or other emergency staffing strategies, including the process and role for integration of State and Federally designated health care professionals to address surge needs during an emergency.
  7. The development of arrangements with other PRTFs and other providers to receive residents in the event of limitations or cessation of operations to maintain the continuity of services to PRTF residents.
  8. The role of the PRTF under a waiver declared by the Secretary, in accordance with section 1135 of Act, in the provision of care and treatment at an alternate care site identified by emergency management officials.
 
Communication plan
 
The PRTF must develop and maintain an emergency preparedness communication plan that complies with Federal, State, and local laws and must be reviewed and updated at least annually. The communication plan must include all of the following:
  1. Names and contact information for the following:
    1. Staff.
    2. Entities providing services under arrangement.
    3. Residents' physicians.
    4. Other PRTFs.
    5. Volunteers.
  2. Contact information for the following:
    1. Federal, State, tribal, regional, and local emergency preparedness staff.
    2. Other sources of assistance.
  3. Primary and alternate means for communicating with the PRTF's staff, Federal, State, tribal, regional, and local emergency management agencies.
  4. A method for sharing information and medical documentation for residents under the PRTF's care, as necessary, with other health care providers to maintain the continuity of care.
  5. A means, in the event of an evacuation, to release resident information as permitted under 45 CFR 164.510(b)(1)(ii).
  6. A means of providing information about the general condition and location of residents under the facility's care as permitted under 45 CFR 164.510(b)(4).
  7. A means of providing information about the PRTF's occupancy, needs, and its ability to provide assistance, to the authority having jurisdiction, the Incident Command Center, or designee.
 
Training and testing
 
The PRTF must develop and maintain an emergency preparedness training program that is based on the emergency plan set forth in paragraph (a) of this section, risk assessment at paragraph (a)(1) of this section, policies and procedures at paragraph (b) of this section, and the communication plan at paragraph (c) of this section. The training and testing program must be reviewed and updated at least annually.
  1. Training program. The PRTF must do all of the following:
    1. Provide initial training in emergency preparedness policies and procedures to all new and existing staff, individuals providing services under arrangement, and volunteers, consistent with their expected roles.
    2. After initial training, provide emergency preparedness training at least annually.
    3. Demonstrate staff knowledge of emergency procedures.
    4. Maintain documentation of all emergency preparedness training.
  2. Testing. The PRTF must conduct exercises to test the emergency plan. The PRTF must do the following:
    1. Participate in a full-scale exercise that is community-based or when a community-based exercise is not accessible, an individual, facility-based. If the PRTF experiences an actual natural or man-made emergency that requires activation of the emergency plan, the PRTF is exempt from engaging in a community-based or individual, facility-based full-scale exercise for 1 year following the onset of the actual event.
    2. Conduct an additional exercise that may include, but is not limited to the following:
      1. A second full-scale exercise that is community-based or individual, facility-based.
      2. A tabletop exercise that includes a group discussion led by a facilitator, using a narrated, clinically-relevant emergency scenario, and a set of problem statements, directed messages, or prepared questions designed to challenge an emergency plan.
    3. Analyze the PRTF's response to and maintain documentation of all drills, tabletop exercises, and emergency events and revise the PRTF's emergency plan, as needed.
 
Integrated healthcare systems
 
If a PRTF is part of a healthcare system consisting of multiple separately certified healthcare facilities that elects to have a unified and integrated emergency preparedness program, the PRTF may choose to participate in the healthcare system's coordinated emergency preparedness program. If elected, the unified and integrated emergency preparedness program must do the following:
  1. Demonstrate that each separately certified facility within the system actively participated in the development of the unified and integrated emergency preparedness program.
  2. Be developed and maintained in a manner that takes into account each separately certified facility's unique circumstances, patient populations, and services offered.
  3. Demonstrate that each separately certified facility is capable of actively using the unified and integrated emergency preparedness program and is in compliance with the program.
  4. Include a unified and integrated emergency plan that meets the requirements of paragraphs (a)(2), (3), and (4) of this section. The unified and integrated emergency plan must also be based on and include the following:
    1. A documented community-based risk assessment, utilizing an all-hazards approach.
    2. A documented individual facility-based risk assessment for each separately certified facility within the health system, utilizing an all-hazards approach.
  5. Include integrated policies and procedures that meet the requirements set forth in paragraph (b) of this section, a coordinated communication plan and training and testing programs that meet the requirements of paragraphs (c) and (d) of this section, respectively.