Conducting Functional Assessments

---
name: conducting-functional-assessments
description: Structures functional capacity evaluation with standardized measures and activity limitation documentation. Use when assessing functional status, measuring mobility, or documenting activity levels.
tags:
  - process
  - rehabilitation-medicine
  - valuation
metadata:
  author: casemark
  practice_areas:
    - Physical Therapy
    - Occupational Therapy
    - Rehabilitation Medicine
  document_types:
    - Process Documentation
  skill_modes:
    - Process Management
---

# Conducting Functional Assessments

Structures functional capacity evaluation using standardized instruments including the Functional Independence Measure (FIM), Barthel Index, and Katz ADL Index. Produces defensible documentation of activity limitations and participation restrictions aligned with the ICF framework.

## Why This Skill Exists

Functional assessments are the evidentiary backbone of rehabilitation medicine. They determine admission eligibility for inpatient rehabilitation facilities (IRFs), justify continued therapy to payers, establish baselines for treatment planning, and measure discharge readiness. CMS requires IRF-PAI (Inpatient Rehabilitation Facility-Patient Assessment Instrument) data for reimbursement under the IRF PPS. Poorly documented functional status leads to claim denials, CARF accreditation findings, and indefensible medicolegal records. This skill enforces standardized measurement selection, proper administration, and legally sound documentation.

---

## Checkpoint A — Intake Verification

Before beginning any functional assessment, confirm:

**Required clinical questions:**
- What is the referral diagnosis and date of onset/surgery?
- What is the patient's prior level of function (PLOF) before the current episode?
- What setting is the assessment occurring in (acute, IRF, SNF, outpatient, home health)?
- Are there medical precautions limiting assessment (weight-bearing status, sternal precautions, seizure risk)?
- Is the patient cognitively able to follow multi-step commands for assessment participation?
- What is the purpose of the evaluation (admission, progress, discharge, medicolegal, FCE)?

**Required documents:**
- Physician referral or order for evaluation
- Current medical records with diagnosis, surgical report if applicable, and medication list
- Prior therapy records or discharge summaries if available
- IRF-PAI form if inpatient rehabilitation admission assessment
- Insurance authorization or workers compensation claim number
- Any prior functional assessment reports for comparison

---

## Step 1 — Select Appropriate Standardized Instruments

Match instruments to the clinical context and payer requirements:

| Setting / Purpose | Primary Instrument | Supplemental Measures |
|---|---|---|
| IRF admission/discharge | FIM (18-item, 7-level) | IRF-PAI Section GG items |
| SNF / Home Health | OASIS-E functional items | Barthel Index, Timed Up and Go |
| Outpatient neuro | FIM, Berg Balance Scale | 6-Minute Walk Test, 10-Meter Walk |
| Outpatient ortho | LEFS / DASH / SPADI (region-specific) | Timed Up and Go, Single Leg Stance |
| Medicolegal / FCE | Functional Capacity Evaluation battery | Grip/pinch dynamometry, positional tolerance |
| Pediatric | WeeFIM, PEDI-CAT | Gross Motor Function Measure (GMFM) |
| Cognitive-functional | FIM cognitive subscale | MMSE, MoCA, Executive Function Performance Test |

Flag with [VERIFY] if the referral does not specify sufficient diagnostic information to select instruments.

## Step 2 — Establish Prior Level of Function

Document PLOF across all relevant domains using patient/family interview:

- **Self-care:** Independent, supervision, or dependent for bathing, dressing (upper/lower), grooming, toileting, feeding
- **Mobility:** Ambulation distance and device (e.g., "household ambulator with rolling walker"), stairs, transfers
- **Community function:** Driving status, grocery shopping, meal preparation, work/school participation
- **Cognitive-communication:** Orientation, problem-solving for daily tasks, medication management

Use specific language: "Patient reports independent community ambulation without device for unlimited distances prior to CVA on 2024-02-15" rather than "patient was independent."

## Step 3 — Administer FIM or Selected Primary Instrument

For the FIM (most common IRF instrument):

**Motor subscale (13 items):** Eating, grooming, bathing, dressing-upper, dressing-lower, toileting, bladder management, bowel management, bed/chair/wheelchair transfer, toilet transfer, tub/shower transfer, walk/wheelchair locomotion, stairs.

**Cognitive subscale (5 items):** Comprehension, expression, social interaction, problem solving, memory.

**Scoring rules (7-point ordinal scale):**
- 7 = Complete independence (timely, safely, no device)
- 6 = Modified independence (device, extra time, or safety concern)
- 5 = Supervision or setup (standby assist, cueing, coaxing)
- 4 = Minimal contact assist (patient performs ≥75% of effort)
- 3 = Moderate assist (patient performs 50-74% of effort)
- 2 = Maximal assist (patient performs 25-49% of effort)
- 1 = Total assist (patient performs <25% of effort)

**Critical rules:**
- Score what the patient actually does, not what they can do
- Score based on the most dependent performance in the assessment period
- "Helper" items (1-5) require documenting what the helper does
- For walk/wheelchair item, specify mode and distance (at least 150 feet for score of 6-7)

## Step 4 — Administer Supplemental Balance and Mobility Measures

**Berg Balance Scale (BBS):** 14 items scored 0-4, maximum 56.
- Score <45 indicates fall risk and need for assistive device
- Score <36 indicates near 100% fall risk
- Minimal detectable change (MDC) = 5 points for stroke population

**Timed Up and Go (TUG):**
- <10 seconds = freely mobile
- 10-19 seconds = mostly independent
- 20-29 seconds = variable mobility, may need assistive device
- ≥30 seconds = impaired mobility, likely needs assistive device
- Record assistive device used and any observed deviations

**6-Minute Walk Test (6MWT):**
- Record distance in meters, rest breaks, vital signs pre/post, Borg RPE
- Age/sex normative values: healthy adults typically 400-700m
- Minimal clinically important difference (MCID): 50m for COPD, 50m for heart failure
- Document gait deviations, assistive device, supplemental O2

## Step 5 — Document Activity Limitations Using ICF Framework

Structure findings using the International Classification of Functioning, Disability, and Health:

- **Body functions/structures:** Specific impairments identified (e.g., left hemiparesis, reduced LE ROM)
- **Activity limitations:** What the patient cannot do or does with difficulty (e.g., "unable to transfer sit-to-stand without moderate assist of one")
- **Participation restrictions:** Life roles affected (e.g., "unable to return to work as warehouse loader requiring repetitive lifting to 50 lbs")
- **Environmental factors:** Barriers or facilitators (e.g., "second-floor apartment without elevator, no caregiver at home")
- **Personal factors:** Age, comorbidities, motivation, prior experience with rehabilitation

## Step 6 — Calculate Composite Scores and Compare to Benchmarks

- **FIM total:** Admission and discharge scores; calculate FIM gain and FIM efficiency (gain ÷ LOS)
- **CMG (Case Mix Group):** Determine based on impairment category, FIM motor score, FIM cognitive score, and age for IRF PPS
- **National benchmarks:** Compare scores to UDS (Uniform Data System for Medical Rehabilitation) national averages for the same impairment group
- Flag any scores that are inconsistent with clinical presentation as [VERIFY]

---

## Checkpoint B — Pre-Finalization Review

Before finalizing the functional assessment report:

- [ ] All standardized instruments scored correctly with no blank items
- [ ] FIM scores reflect observed (not reported) performance
- [ ] PLOF documented with specificity (distance, device, assist level)
- [ ] Activity limitations linked to specific impairments
- [ ] Participation restrictions documented with real-world functional examples
- [ ] Scores compared against normative data or prior assessments
- [ ] Medical precautions that limited assessment noted
- [ ] Assessment signed and dated with evaluator credentials
- [ ] IRF-PAI Section GG completed if applicable

---

## Quality Audit

- [ ] Each FIM item has a single numeric score (1-7) with no ranges
- [ ] Berg Balance Scale total computed correctly out of 56
- [ ] TUG time recorded in seconds with assistive device noted
- [ ] 6MWT distance in meters with vital signs and Borg RPE documented
- [ ] PLOF documented as specific functional descriptors, not "independent" alone
- [ ] All [VERIFY] flags resolved or escalated before final signature
- [ ] ICF framework categories addressed: body function, activity, participation, environment
- [ ] Instrument selection justified relative to diagnosis and setting
- [ ] Comparison to prior assessment included if reassessment
- [ ] Document meets facility, payer, and CARF documentation standards

---

## Guidelines

- Use only standardized instruments with established reliability and validity for the target population
- Never extrapolate functional scores from observation alone when formal administration is possible
- FIM credentialing is required for scoring — verify evaluator has current FIM certification
- Do not use FIM scores interchangeably with Section GG items; they are different instruments
- APTA Guide to Physical Therapist Practice provides the framework for functional examination
- Document the specific edition and version of each instrument used
- When assessment is incomplete due to medical status, document reason and plan for completion
- For medicolegal FCEs, follow published protocols (e.g., Matheson, Isernhagen, ErgoScience) with consistency-of-effort measures
- All functional data is PHI — handle per HIPAA and facility privacy policies
- Escalate to the supervising physician if functional findings are inconsistent with the medical diagnosis