Wd Orthodontic Documentation Calibration 2009 02

Western Dental Orthodontic Documentation Calibration Left click to advance Corporate Offices

Copyright 2009. Western Dental All rights reserved. These materials have been prepared by Western Dental and represent the confidential proprietary property of Western Dental. These materials contain trade secrets which are the confidential proprietary property of Western Dental. None of these materials, nor any excerpts there from, may be copied, reproduced, duplicated, delivered, or transmitted to any person at any time, unless the prior written consent expressly authorizing same is obtained from the president or secretary of Western Dental.

This training will assist Western Dental providers in mastering the Western Dental orthodontic documentation policies and procedures. Thorough documentation is necessary to ensure that we provide for the best interests of our orthodontic patients. Each office will be monitored for compliance with these policies and procedures. James F. Loos, D.D.S., M.S . Orthodontic Consultant Louis J. Amendola, D.D.S . Chief Dental Director Gary L. Dougan, DDS, MPH Dental Director

Left click (single) to advance all of the following slides after any arrow captions have scrolled in (Left click to advance)

The following are Western Dental Treatment Forms Please view the notations on each slide. All of the documentation demonstrated in this training is required for every patient .

Chart Jacket Estimated Completion date On the outside of the chart jacket, ensure that staff affix the start month/year and the estimated completion month/year so that progress towards completion can be easily monitored. Start Date

To be used on pages in chart, photos and X-rays Some of the stickers will have the word “Left” in the lower right corner. Those stickers are to be placed on panorex x-rays and FMXs to provide right-left orientation for the x-rays (in addition to identifying the patient). The “Left” designation must be oriented on or towards the left side of the patient in the X-rays. Stickers LEFT LEFT

Patient Information Form Staff ensures that this is filled out.

Health History Form Ensure that the patient is healthy enough for orthodontics as well as any necessary extractions or oral surgery procedures that may be required to complete orthodontic treatment. Review this form prior to examination of the patient. Make sure all lines have a box checked. Note any conditions requiring premedication or other pre-treatment actions.

Mark any positive answers with your initials and comments, as indicated . Your initials verify that you noted the medical condition. Your comments verify that you asked appropriate questions and investigated the condition to gain an understanding of the condition and its relevance to the planned treatment. Health History Form Add any further clarification to “yes” responses or a summary statement in this area

Health History Form Patient/Guardian’s signature/date Provider’s signature/date Update (annually or sooner, when indicated): must include date, any changes?, Dr signature, Dr number, and patient signature.

Medical Alert Stickers Medical alert stickers must be placed in the record to alert the provider that there are medical conditions that could be of consequence to the planned treatment. Such conditions include need-to-premedicate, allergy (penicillin, latex, metals, etc.), asthma, diabetes, HIV, hepatitis, heart disease, kidney disease, etc. When indicated, medical alert stickers must be placed on the first page of the progress notes and on each subsequent page. Medical alert stickers may not be placed on the outside of the chart jacket unless the alert is life threatening (e.g. latex allergy, penicillin allergy).

Initial Exam Form All items must be completed (numbers 1 to 24) Phases I or II and full or partial appliance List extraction or non-extraction or “ probably ---” List auxiliaries List # of months of active treatment

Diagnosis, Treatment Plan, and Perio Screening form Form 302b Under no circumstances may even a single bracket be bonded before this form is completed by the orthodontist and signed/dated by the patient/guardian !!

Exam Section Fill in Angle Class, OB, OJ, X-bites and any important diagnostic info. Perio Exam Section Document Perio Type and check the applicable perio conditions (calculus, hygiene, etc.) for all patients, even children. Sign and date. Treatment Plan Section Include extractions or non extraction, appliances, auxiliaries, goals, treatment steps and retainers. Also include any related general dentistry, oral surgery, or perio that will be required prior to, during or after orthodontic care (e.g. extractions, veneers to close spaces for small upper laterals, implants for missing teeth, etc.). Note when those treatments will be at additional expense to the patient. Circle “full” or “partial” and “phase” of treatment Doctor’s Signature, WD Number and Date! Parent/Guardian’s signature and Date!! Form 302b

IMPORTANT!! Patient/guardian signs here Any alternate treatment that is appropriate and has been offered or explained to the patient, i.e. extractions, surgery or similar is to be listed here If applicable: Also, list additional consent items such as “patient denied surgery, or denied extractions”. Any compromises/limitations in the planned treatment. For example, list compromises for treatment plans with lower incisor extractions (possible excess overjet), lateral substitutions (possible improper lateral disclusion and esthetic compromises), forced-eruption of impacted canines (possible damage to adjacent teeth roots), non-surgical compromises, etc. Treatment modifications or reviews are listed here Form 302b

Future Treatment Form Use the Future Treatment Form to advise the patient/guardian that general dental and oral surgery procedures are not included in the fees for orthodontic treatment and that those procedures should only be performed with the orthodontist’s authorization. Note any other treatments likely to be required here Patient or guardian signs/dates here

When Phase I treatment is planned, the Phase I Treatment Consent Form should be completed and signed/dated by the guardian prior to starting treatment. Phase I Treatment Consent Form

Be sure to have the patient/guardian sign and date the treatment plan as noted in the previous slides. These signatures demonstrate which alternatives were presented and which option the patient/guardian selected. Be sure to have the patient initial, sign and date the Informed Consent Form. The Doctor and a witness must sign to demonstrate that the “consent process” occurred. Informed Consent

Office, chart number, and patient name Informed Consent

Patient’s or Guardian’s initials Always Patient’s or Guardian’s signature Always Doctor’s signature and WD Doctor Number, Always Witness signature Always Informed Consent Patient’s or Guardian’s initials, Phase I only

Compromised Treatment Disclosure The Compromised Treatment Disclosure should be completed and signed whenever a surgical treatment plan would be the preferred treatment plan but a non-surgical treatment plan is selected by a patient/guardian. This form evidences that the patient or guardian has been informed that the treatment outcome will improve the conditions but not reach all “ideal” treatment goals Signature of patient/guardian and date Signature of orthodontist and date

X X Check “Prophy” for all patients Check any other boxes, as appropriate. General dentist must complete, sign and date For all adults, check the area for perio evaluation by the general dentist X Cavity Clearance Form Check “Caries Check” for all patients Sign and Date !!

Circle appropriate teeth to be extracted Also, write out the names of the teeth to be extracted. Ensure that the correct teeth are identified, and highlight any request that is atypical in such a way to avoid any error by the surgeon (such as mismatched bicuspids). Extraction Order Form

Date Oral hygiene Instruction sticker (Completed by staff on or before the day of initial bonding) Records Approved sticker (Check all applicable boxes and sign/date) Oral hygiene grade, to be checked each visit Elastic pattern, size and instructions For the next visit, enter the time-needed units and appointment interval (1/4 means 1 time-unit in 4 weeks) Treatment Notes Form STOP! Check the records carefully to ensure they are of diagnostic quality! Make sure that photos are labeled with the patient’s name, date taken, office #, chart #, and name of the person who took them.

Wire type and size (RC is reverse curve of spee and COS is curve of spee) Next visit instructions Doctor’s initials and ID# Assistant’s initials Procedures performed Document any adverse conversations, cooperation problems, prescriptions, and all instructions! Always note just the facts. Do not record your “judgments” of previous treatment or treatment plans. Do not record “opinions” regarding the patient’s conduct in the office. Write just the facts, exactly as they occurred. Tell the story remembering that the patient or an attorney may someday read it. Treatment Notes Form Please Write Clearly

Activations When recording progress notes, always list all materials, appliances and wires used, as well as the instructions given. Commonly-used abbreviations may be entered (see the attached list). Activations should be documented as ST (single tie), RT (retie), AW (arch wire), Act (activation), PC (power chain), OCS (open coil spring), Adj (adjustment), etc. If delivering an appliance, repositioning a bracket or otherwise bonding or rebonding a bracket, always document the accompanying activation, if an activation is performed. It can be accomplished simply by documenting the activation as a single tie or power chain, as indicated.

Initials ID# Ensure that Staff fills this out completely Encounter Form _Date__________ Fill in provider identification times and procedures

You must perform and document a Perio Evaluation every 6 months!!! Check the Perio Type Check applicable conditions Sign and date Perio Periodic Evaluation Form

You must perform a Progress Evaluation every six months Date Document the progress and cooperation in the applicable areas Sign/Date Progress Evaluation Form

Progress Review Form The Progress Review Form should be completed every six months during treatment. A copy can be given to the patient or guardian and a copy should be placed in the chart to evidence that cooperation issues were identified and addressed. Check a progress box Check all applicable boxes for each condition that is interfering with orthodontic treatment Note any additional comments including any agreements made regarding cooperation (e.g., “if oral hygiene does not improve by next visit, treatment will be discontinued and debanded”) Note whether there will be additional charges for treatment that extends beyond the planned finish date

Staff fills this in Financial Ledger Form

Make sure that a guardian or the patient (if 18 or older) signs and dates this form prior to de-bonding Debond or “Congratulations” Form

Retainers Form The Retainers Form has two copies, one for the patient and one for the chart. Ensure that the patient/guardian signs and dates the Retainers Form to evidence that instructions were given.

To be used whenever orthodontic treatment is discontinued prior to completion (reaching the goals of treatment) Patient/Guardian signs and dates Provider completes, signs and dates Request for Discontinuation Form Document when retainers are refused, and obtain an additional Patient/Guardian signature to evidence that retainers were offered and were refused

TRANSFERRING PATIENTS When a Patient is transferring FROM your office to another office Be sure to promptly send copies of all pre-treatment and progress records including the exam form, diagnosis/treatment plan form, progress reports, X-rays, tracings, photos and treatment notes Fill out an AAO transfer form and send a copy to the next office

TRANSFERRING PATIENTS When a Patient is transferring TO your office from another office Be sure to promptly obtain copies of all pre-treatment and progress records including the exam form, diagnosis/treatment plan form, progress reports, X-rays, tracings, photos and treatment notes Check the AAO transfer form Obtain progress records (minimum of a panorex and photos) if the patient has been in treatment for more than 6 months Upgrade any deficiencies in the pre-treatment records Document a treatment plan review and formulate a continuation treatment plan on the 302b form

Both sides must be completed for patients who are transferring out ! AAO Transfer Form

Orthodontist signs Patient’s signature to release records AAO Transfer Form

Managing Provider (Regularly scheduled in that office and is the doctor-in-charge for that office) Responsible for patient care Responsible for continuity of care Responsible for treatment plans and changes to treatment plans Responsible to monitor chart documentation and treatment times Responsible to train or re-train staff and part-time provider as needed Responsible to provide comprehensive instructions for “next visit” to ensure continuity of the treatment plan, decision points are addressed timely, and patient compliance concerns are addressed timely (e.g. , 16x22 SS upper, check OH and elastic co-op) Responsibilities of Managing Providers Substitute and Part-time Providers

Part-time Provider (2 nd doctor in an office, returns on a regular basis). Responsible to formulate and document treatment plans for new patients. Borderline cases should be reviewed with the Managing Provider Responsible to monitor treatment plans for continuity with managing provider Responsible to consult with the managing provider before making major treatment plan changes Responsible to facilitate progress toward treatment completion at every appointment Responsible to provide comprehensive instructions for “next visit” to ensure continuity of the treatment plan, decision points are addressed timely, and patient compliance concerns are addressed timely (e.g. , 16x22 SS upper, check OH and elastic co-op) Responsibilities of Managing Providers Substitute and Part-time Providers

Substitute Provider (not permanently scheduled in that office) Responsible to formulate a tentative treatment plan for all new patient starts Responsible to review the Treatment Plan the treatment notes prior to treating the patient Responsible to continue the treatment progress (do not just re-tie) Responsible to follow the existing treatment plan Responsible to make notes regarding current status (e.g., overjet is 4.5 mm, elastic cooperation in question, etc.) Do not criticize past treatment or change the treatment plan without consulting the managing orthodontist (if the treatment plan should be changed, leave a note attached to the outside of the chart jacket for the managing provider to re-evaluate the case and make the change) Respect the possibility that there may be more than one way to treat a case and do not make notes disagreeing with the treatment plan or suggesting a new treatment plan in the treatment notes section of the chart. The managing provider is responsible for the treatment and he/she is responsible for modifications to the treatment plan Responsibilities of Managing Providers Substitute and Part-time Providers

Wd Orthodontic Documentation Calibration 2009 02

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Wd Orthodontic Documentation Calibration 2009 02