SECTION ONE
Clinical Decision Making
and Examination
Clinical Decision
Making
Susan B. O’Sullivan, PT, EdD
LEARNING OBJECTIVES
CHAPTER OUTLINE
1. Define clinical reasoning and identify
factors that affect clinical decision
making.
2. Describe the key steps in the
patient/client management process.
3. Define the major responsibilities of the
physical therapist in planning effective
treatments.
4. Identify potential problems that could
adversely affect the physical therapist’s
clinical reasoning.
5. Discuss strategies to ensure patient
participation in the plan of care (POC).
6. Identify key elements of physical therapy
documentation.
7. Differentiate between the clinical
decision making approaches used by the
expert versus novice physical therapist.
8. Discuss the importance of evidencebased practice in developing the POC.
9. Analyze and interpret patient/client data,
formulate realistic goals and outcomes,
and develop a POC when presented with
a clinical case study.
CLINICAL REASONING/CLINICAL
DECISION MAKING 1
INTERNATIONAL CLASSIFICATION
OF FUNCTIONING, DISABILITY,
AND HEALTH (ICF) 2
PATIENT/CLIENT MANAGEMENT 3
Examination 3
Evaluation 7
Diagnosis 8
Prognosis 9
Plan of Care 9
Discharge Planning 13
Implementation of the Plan of Care 13
Reexamination of the Patient and
Evaluation of Expected Outcomes 14
■ CLINICAL REASONING/
CLINICAL DECISION MAKING
Clinical reasoning is a multidimensional process that
involves a wide range of cognitive skills physical therapists use to process information, reach decisions, and determine actions. Reasoning can be viewed as an internal
Chapter
1
PATIENT PARTICIPATION IN
PLANNING 15
DOCUMENTATION 16
Electronic Documentation 16
CLINICAL DECISION MAKING: EXPERT
VERSUS NOVICE 16
EVIDENCE-BASED PRACTICE 17
SUMMARY 20
dialogue that therapists continuously employ while
meeting the challenges of clinical practice. Clinical decisions are the outcomes of the clinical reasoning process
and form the basis of patient/client management. A
number of factors influence decision making, including
the clinician’s goals, values and beliefs, psychosocial
1
2
SECTION I
Clinical Decision Making and Examination
skills, knowledge base and expertise, problem-solving
strategies, and procedural skills. Many of these factors
are the focus of discussion in later chapters in this text.
Decision making is also influenced by patient/client
characteristics (goals, values and beliefs, and physical,
psychosocial, educational, and cultural factors) as well
as environmental factors (clinical practice environment,
overall resources, time, level of financial support, level
of social support).
Decision making frameworks, such as algorithms,
have been developed by experienced practitioners to
guide clinicians in their reasoning processes. For example,
Rothstein and Echternach developed the HypothesisOriented Algorithm for Clinicians II (HOAC).1 An
algorithm is a graphically represented step-by-step guide
designed to assist clinicians in problem solving by considering several possible solutions. It is based on specific
clinical problems and identifies the decision steps and
possible choices for remediation of a problem. A series of
questions are posed, typically in yes/no format, addressing whether the measurements met testing criteria, the
hypotheses generated were viable, goals were met, strategies were appropriate, and tactics were implemented
correctly.
Hypotheses are defined as the underlying reasons
for the patient’s problems, representing the therapist’s
conjecture as to the cause. Problems are defined in
terms of activity limitations. A “no” response to any
of the questions posed in an algorithm is an indication
for reevaluation of the viability of the hypotheses
generated and reconsideration of the decisions made.
In using HOAC II as a model for clinical decision
making, the therapist also distinguishes between existing problems and anticipated problems, defined as
deficits that are likely to occur if an intervention is
not used for prevention. The value of an algorithm is
that it guides the therapist’s decisions and provides
an outline of the decisions made. See Chapter 17,
Figures 17.7 and 17.8, for examples of problemcentered algorithms.
Physical therapists today practice in complex environments and are called upon to reach increasingly
complex decisions under significant practice constraints. For example, a therapist may be required to
determine a POC for the complicated patient with
multiple co-morbidities within 72 hours of admission
to a rehabilitation facility. Reduced levels of treatment
authorization with shorter and shorter stays in rehabilitation also complicate the decision making process.
Novice practitioners can easily become overwhelmed.
This chapter introduces a framework for clinical decision making and patient/client management that can
assist in organizing and prioritizing data and in planning effective treatments compatible with the needs
and goals of the patient/client and members of the
health care team.
■ INTERNATIONAL
CLASSIFICATION OF
FUNCTIONING, DISABILITY,
AND HEALTH (ICF)
The World Health Organization’s (WHO’s) International Classification of Functioning, Disability, and
Health (ICF) model provides an important framework
of terminology for understanding and categorizing
health conditions and patient problems by clearly defining health condition, impairment, activity limitation,
and participation restriction.2 The American Physical
Therapy Association (APT) has joined the WHO, the
World Confederation for Physical Therapy (WCPT),
the American Therapeutic Recreation Association
(ATRA), and other international professional organizations in endorsing the ICF classification. Figure 1.1
presents the ICF model of disability.
Impairments are the problems an individual may
have in body function (physiological functions of body
systems) or structure (anatomical parts of the body).
The resulting significant deviation or loss is the direct
result of the health condition, a disease, disorder,
injury, or trauma, or other circumstance, such as aging,
stress, congenital anomaly, or genetic predisposition.
For example, a patient with stroke may present with
sensory loss, paresis, dyspraxia, and hemianopsia (direct
impairments). Impairments may be mild, moderate,
severe, or complete and may be permanent or resolving
as recovery progresses. Impairments may also be indirect (secondary), the sequelae or complications that
Health condition
(disorder or disease)
Body Functions
and Structure
Participation
Activity
Environmental
Factors
Personal
Factors
Contextual factors
Figure 1.1 ICF Model of Disability. The WHO classification of functioning, disability and health (ICF). World
Health Organization. ICF: International Classification
of Functioning, Disability, and Health. 2002. Geneva,
Switzerland, p 18, with permission. (Form for request for
permission available at www.who.int/about/licensing/copyright_
form/en/index.html.)
CHAPTER 1
originate from other systems. They can result from preexisting impairments or the expanding multisystem
dysfunction that occurs with prolonged bedrest and
inactivity, an ineffective POC, or lack of rehabilitation
intervention. Examples of indirect impairments include decreased vital capacity and endurance, disuse
atrophy and weakness, contractures, decubitus ulcers,
deep venous thrombosis, renal calculi, urinary tract
infections, pneumonia, and depression. The term composite impairment refers to impairments that are the
result of multiple underlying origins, the combined
effects of both direct and indirect impairments
(e.g., balance deficits, gait deficits).
Activity limitations are difficulties an individual may
have in executing tasks or actions. Activity limitations can
include limitations in the performance of cognitive and
learning skills, communication skills, functional mobility
skills (FMS) (such as transfers, walking, lifting or carrying
objects), and activities of daily living (ADL). Basic activities of daily living (BADL) include self-care activities of
toileting, hygiene, bathing, dressing, eating, drinking, and
social (interpersonal) interactions. The person with stroke
may demonstrate difficulties in all of the above areas and
be unable to perform the actions, tasks, and activities that
constitute the “usual activities” for this individual.
Participation restrictions are problems an individual
may experience in involvement in life situations and societal interactions. Categories of life roles include home
management, work (job/school/play), and community/
leisure. These include instrumental activities of daily living (IADL) such as housecleaning, preparing meals,
shopping, telephoning, and managing finances, as well
as work and leisure activities (e.g., sports, recreation,
trips). Thus, the individual with stroke is unable to resume societal roles such as working, parenting, attending
church, or traveling.
Performance qualifiers indicate the extent of participation restriction (difficulty) in performing tasks or
actions in an individual’s current real-life environment.
All aspects of the physical, social, and attitudinal world
constitute the environment. Difficulty can range from
mild to moderate to severe or complete. Capacity qualifiers indicate the extent of activity limitation and
are used to describe an individual’s highest probable
level of functioning (ability to do the task or action).
Qualifiers can range from the assistance of a device
(e.g., adaptive equipment) or another person (minimal
to moderate to maximal assistance) or environmental
modification (home, workplace). Thus, the patient
with stroke may demonstrate moderate difficulty in
locomotion in the home environment (performance
qualifiers) and require the use of an ankle-foot orthosis,
small-based quad cane, and moderate assistance of one
(capacity qualifiers).
Environmental factors make up the physical, social,
and attitudinal environment in which people live and
Clinical Decision Making
3
function. Factors range from products and technology
(for personal use in daily living, mobility and transportation, communication) and physical factors (home environment, terrain, climate) to social support and
relationships (family, friends, personal care providers),
attitudes (individual and societal), and institutions and
laws (housing, communication, transportation, legal,
financial services, and policies). Qualifiers include factors
that serve as barriers (disablement risk factors) or facilitators (assets). Barriers can range from mild to moderate
to severe to complete. Facilitators can also range from
mild to moderate to substantial to complete.
Box 1.1 summarizes ICF disablement terminology.
The ICF Checklist (Version 2.1a, Clinician Form for
the International Classification of Functioning, Disability, and Health) is a practical tool to elicit and
record information on functioning and disability of an
individual.3
■ PATIENT/CLIENT MANAGEMENT
Steps in patient/client management include (1) examination of the patient; (2) evaluation of the data and identification of problems; (3) determination of the physical
therapy diagnosis; (4) determination of the prognosis and
POC; (5) implementation of the POC; and (6) reexamination of the patient and evaluation of treatment outcomes (Fig. 1.2).4
Examination
Examination involves identifying and defining the
patient’s problem(s) and the resources available to
determine appropriate intervention. It consists of three
components: the patient history, systems review, and
tests and measures. Examination begins with patient
referral or initial entry (direct access) and continues
as an ongoing process throughout the episode of care.
Ongoing reexamination allows the therapist to evaluate
progress and modify interventions as appropriate.
History
Information about the patient’s past history and current
health status is obtained from review of the medical
record and interviews (patient, family, caregivers). The
medical record provides detailed reports from members
of the health care team; processing these reports requires
an understanding of disease and injury, medical terminology, differential diagnosis, laboratory and other diagnostic tests, and medical management. The use of
resource material or professional consultation can assist
the novice clinician. The types of data that may be generated from a patient history are presented in Figure 1.3.4
The interview is an important tool used to obtain
information and gain understanding directly from the
patient. The therapist asks the patient a series of questions regarding general health, past and present medical
conditions/complications, and treatment. Specifically
4
SECTION I
Box 1.1
Clinical Decision Making and Examination
Terminology: Functioning, Disability, and Health
Health condition is an umbrella term for disease, disorder, injury, or trauma and may also include other circumstances,
such as aging, stress, congenital anomaly, or genetic predisposition. It may also include information about pathogeneses
and/or etiology.
Body functions are physiological functions of body systems (including psychological functions).
Body structures are anatomical parts of the body such as organs, limbs, and their components.
Impairments are problems in body function or structure such as a significant deviation or loss.
Activity is the execution of a task or action by an individual.
Activity limitations are difficulties an individual may have in executing activities.
Participation is involvement in a life situation.
Participation restrictions are problems an individual may experience in involvement in life situations.
Contextual factors represent the entire background of an individual’s life and living situation.
• Environmental factors make up the physical, social, and attitudinal environment in which people live and conduct their
lives, including social attitudes, architectural characteristics, and legal and social structures.
• Personal factors are the particular background of an individual’s life, including gender, age, coping styles, social background, education, profession, past and current experience, overall behavior pattern, character, and other factors that
influence how disability is experienced by an individual.
Performance qualifier describes what an individual does in his or her current environment. (The current environment includes
assistive devices or personal assistance, whenever the individual uses them to perform actions or tasks.)
Capacity qualifier describes an individual’s ability to execute a task or an action (highest probable level of functioning in
a given domain at a given moment).
From World Health Organization (WHO): International Classification of Functioning, Disability and Health (ICF).3
the patient is asked to describe the current problems,
primary complaint (reason for seeking physical therapy),
and anticipated goals/expected outcomes for the episode
of care. The patient will often describe his or her difficulties in terms of activity limitations or participation
restrictions (what he or she can or cannot do). The
patient is then asked a series of questions designed to
explore the nature and history of the current problems/
primary complaint. General questions about functional
activities and participation should be directed toward
delineating the difference between capacity and performance. For example, “Since your stroke, how much difficulty do you have walking long distances?” “How does
this compare to before you had the stroke?” (capacity).
Questions directed toward examining performance can
include “How much of a problem do you have in walking long distances?” “Is this problem with walking made
worse or better with the use of an assistive device?”
Questions are also posed regarding the patient’s social
and physical environment, vocation, recreational interests, health habits (e.g., smoking history, alcohol use),
exercise likes and dislikes, and frequency and intensity
of regular activity. Sample interview questions are
included in Box 1.2.4, 5
Pertinent information can also be obtained from the
patient’s family or caregiver. For example, patients with
central nervous system (CNS) involvement and severe
cognitive and/or communication impairments and
younger pediatric patients will be unable to accurately
communicate their existing problems. The family
member/caregiver then assumes the primary role of
assisting the therapist in identifying problems and
providing relevant aspects of the history. The perceived
needs of the family member or caregiver can also be
determined during the interview.
The therapist should be sensitive to differences in culture and ethnicity that may influence how the patient
or family member responds during the interview or examination process. Different beliefs and attitudes toward
health care may influence how cooperative the patient
will be. During the interview, the therapist should listen
carefully to what the patient says. The patient should be
observed for any physical manifestations that reveal emotional context, such as slumped body posture, grimacing,
and poor eye contact. Finally, the interview is used to
establish rapport, effective communication, and mutual
trust. Ensuring effective communication with the patient
and cooperation serves to make the therapist’s observations more valid and becomes crucial to the success of
the POC.
Systems Review
The use of a brief screening examination allows the therapist
to quickly scan the patient’s body systems and determine
areas of intact function and dysfunction in each of the
following systems: cardiovascular/pulmonary, integumentary, musculoskeletal, and neuromuscular. Information is
also obtained about cognitive functions, communication,
learning style, and emotional status. Areas of deficit together
with an accurate knowledge of the main health condition
(disorder or disease) (1) confirm the need for further or more
detailed examination; (2) rule out or differentiate specific
system involvement; (3) determine if referral to another
health care professional is warranted (triage); and (4) focus
CHAPTER 1
DIAGNOSIS
Both the process and the end result of
evaluating examination data, which the
physical therapist organizes into defined
clusters, syndromes, or categories to
help determine the prognosis (including
the plan of care) and the most
appropriate intervention strategies.
EVALUATION
A dynamic process in which the
physical therapist makes clinical
judgments based on data gathered
during the examination. This process
also may identify possible problems that
require consultation with or referral to
another provider.
EXAMINATION
The process of obtaining a history,
performing a systems review, and
selecting and administering tests and
measures to gather data about the
patient/client. The initial examination is
a comprehensive screening and specific
testing process that leads to a
diagnostic classification. The
examination process also may identify
possible problems that require
consultation with or referral to another
provider.
OUTCOMES
Results of patient/client management,
which include the impact of physical
therapy interventions in the following
domains: pathology/pathophysiology
(disease, disorder, or condition);
impairments, functional limitations, and
disabilities; risk reduction/prevention;
health, wellness, and fitness; societal
resources; and patient/client
satisfaction.
Clinical Decision Making
5
PROGNOSIS
(Including Plan of Care)
Determination of the level of optimal
improvement that may be attained
through intervention and the amount of
time required to reach that level. The
plan of care specifies the interventions
to be used and their timing and
frequency.
INTERVENTION
Purposeful and skilled interaction of the
physical therapist with the patient/client
and, if appropriate, with other
individuals involved in care of the
patient/client, using various physical
therapy methods and techniques to
produce changes in the condition that
are consistent with the diagnosis and
prognosis. The physical therapist
conducts a reexamination to determine
changes in patient/client status and to
modify or redirect intervention. The
decision to reexamine may be based on
new clinical findings or on lack of
patient/client progress. The process of
reexamination also may identify the
need for consultation with or referral to
another provider.
Figure 1.2 Elements of patient management leading to optimal outcomes. (From APTA Guide to
Physical Therapist Practice 4, p. 35 with permission.)
the search of the origin of symptoms to a specific location
or body part. An important starting point for identification
of areas to be screened is consideration of all potential (possible) factors contributing to an observed activity limitation
or participation restriction. Consultation is appropriate if
the needs of the patient/client are outside the scope of the
expertise of the therapist assigned to the case. For example,
a patient recovering from stroke is referred to a dysphagia
clinic for a detailed examination of swallowing function by
a dysphagia specialist (speech-language pathologist).
Screening examinations are also used for healthy populations. For example, the physical therapist can screen
individuals to identify risk factors for disease such as
decreased activity levels, stress, and obesity. Screening is
also conducted for specific populations such as pediatric
clients (e.g., for scoliosis), geriatric clients (e.g., to identify fall risk factors), athletes (e.g., in pre-performance
examinations), and working adults (e.g., to identify the
risk of musculoskeletal injuries in the workplace). These
screens may involve observation, chart review, oral history, and/or a brief examination. Additional screening
examinations may be mandated by institutional settings.
For example, in a long-term care facility, the therapist
may be asked to review the chart for indications of
changes in functional status or need for physical therapy.
The therapist then makes a determination of the need
for further physical therapy services based on completing
a screening examination.
Tests and Measures
More definitive tests and measures are used to provide
objective data to accurately determine the degree of specific function and dysfunction. Examination begins at
the level of impairments, for example, diminished muscle
strength (manual muscle test [MMT]) and impaired
range of motion (ROM) (goniometric measurements),
and progresses to functional activities (6-minute Walk
Test, Timed Up and Go, Berg Balance Test). Alternatively,
6
SECTION I
Clinical Decision Making and Examination
General Demographics
• Age
• Sex
• Race/ethnicity
• Primary language
• Education
Social History
• Cultural beliefs and behaviors
• Family and caregiver resources
• Social interactions, social activities,
and support system
Employment/Work
(Job/School/Play)
• Current and prior work
(job/school/play), community, and
leisure actions, tasks, or activities
Growth and Development
• Developmental history
• Hand dominance
Living Environment
• Devices and equipment (eg., assistive,
adaptive, orthotic, protective,
supportive, prosthetic)
• Living environment and community
characteristics
• Projected discharge destinations
General Health Status
(Self-Report, Family Report,
Caregiver Report)
• General health perception
• Physical function (eg., mobility, sleep
patterns, restricted bed days)
• Psychological function (eg., memory,
reasoning ability, depression, anxiety)
• Role function (eg., community, leisure,
social, work)
• Social function (eg., social activity,
social interaction, social support)
Social/Health Habits
(Past and Current)
• General health perception
• Physical function (eg., mobility, sleep
patterns, restricted bed days)
• Psychological function (eg., memory,
reasoning ability, depression, anxiety)
• Role function (eg., community, leisure,
social, work)
• Social function (eg., social activity,
social interaction, social support)
Family History
• Familial health risks
Medical/Surgical History
• Cardiovascular
• Endocrine/metabolic
• Gastrointestinal
• Genitourinary
• Gynecological
• Integumentary
• Musculoskeletal
• Neuromuscular
• Obstetrical
• Prior hospitalizations, surgeries, and
preexisting medical and other health
related conditions
• Psychological
• Pulmonary
Current Condtion(s)/
Chief Complaint(s)
• Concerns that led the patient/client to
seek the services of a physical
therapist
• Concerns or needs of patient/client
who requires the services of a physical
therapist
• Current therapeutic interventions
• Mechanisms of injury or disease,
including date of onset and course of
events
• Onset and patterns of symptoms
• Patient/client, family, significant other,
and caregiver expectations and goals
for the therapeutic intervention
• Previous occurrence of chief
complaint(s)
• Prior therapeutic interventions
Functional Status and Activity Level
• Current and prior functional status in
self-care and home management,
including activities of daily living (ADL)
and instrumental activities of daily
living (IADL)
• Current and prior functional status in
work (job/school/play), community, and
leisure actions, tasks, or activities
Medications
• Medications for current condition
• Medications previously taken for
current condition
• Medications for other conditions
Other Clinical Tests
• Laboratory and diagnostic tests
• Review of available records (eg.,
medical, education, surgical)
• Review of other clinical findings (eg.,
nutrition and hydration)
Figure 1.3 Types of data that may be generated from patient history. (From APTA Guide to Physical
Therapist Practice 4, p. 36 with permission.)
the therapist may begin with an examination of functional performance, during which the therapist analyzes
the differences between the patient’s performance and
the “typical” or expected performance of a task. For example, the patient with stroke is asked to transfer from
bed to wheelchair. The therapist observes the performance and determines that the patient lacks postural support (stability), adequate lower extremity (LE) extensor
strength to reach the full upright position, and adequate
ROM in ankle dorsiflexors. The therapist then progresses
CHAPTER 1
Box 1.2
Clinical Decision Making
7
Sample Interview Questions
I. Interview questions designed to identify the
nature and history of the current problem(s):
What problems bring you to therapy?
When did the problem(s) begin?
What happened to precipitate the problem(s)?
How long has the problem(s) existed?
How are you taking care of the problem(s)?
What makes the problem(s) better?
What makes the problem(s) worse?
What are your goals and expectations for physical
therapy?
Are you seeing anyone else for the problem(s)?
II. Interview questions designed to identify desired
outcomes in terms of essential functional activities
include the following:
What activities do you normally do at home/work/
school?
What activities are you unable to do?
What activities are done differently and how are
they different (i.e., extra time, extra effort, different
strategy)?
What activities do you need help to perform that you
would rather do yourself?
What leisure activities are important to you?
How can I help you be more independent?
III. Interview questions designed to identify environmental conditions in which patient activities typically
occur include the following:
Describe your home/school/work environment.
How do you move around/access areas in the home
(i.e., bathroom, bedroom, entering and exiting the home)?
How safe do you feel?
How do you move around/access areas in the community
(i.e., workplace, school, grocery store, shopping center, community center, stairs, curbs, ramps)? How safe do you feel?
IV. Interview questions designed to identify available
social supports include the following:
Who lives with you?
Who assists in your care (i.e., basic activities of daily living
[BADL], instrumental activities of daily living [IADL])?
Who helps you with the activities you want to do
(i.e., walking, stairs, transfers)?
Are there activities you have difficulty with that would
benefit from additional assistance?
V. Interview questions designed to identify the patient’s
knowledge of potential disablement risk factors
include the following:
What problems might be anticipated in the future?
What can you do to eliminate or reduce the likelihood of
that happening?
Sources: Section I: from the Documentation Template for Physical Therapist Patient/Client Management in the Guide to
Physical Therapist Practice (4, pp. 707–712); Sections II–IV adapted from Randall (5, p. 1,200).
to a detailed examination of impairments. The decision
as to which approach to use is based on the results of the
screening examination and the therapist’s knowledge of
the health condition. Key information to obtain during
an examination of function is the level of independence
or dependence, as well as the need for physical assistance,
external devices, or environmental modifications.
Adequate training and skill in performing specific
tests and measures are crucial in ensuring both validity
and reliability of the tests. Failure to correctly perform
an examination procedure can lead to the gathering of
inaccurate data and the formation of an inappropriate
POC. Later chapters focus on specific tests and measures
and discuss issues of validity and reliability. The use of
disability-specific standardized instruments (e.g., for individuals with stroke, the Fugl-Meyer Assessment of
Physical Performance) can facilitate the examination
process but may not always be appropriate for each individual patient. The therapist needs to carefully review
the unique problems of the patient to determine the appropriateness and sensitivity of an instrument. Box 1.3
presents the categories for tests and measures identified
in the Guide to Physical Therapist Practice.4
Novice therapists should resist the tendency to gather
excessive and extraneous data in the mistaken belief that
more information is better. Unnecessary data will only
confuse the picture, rendering clinical decision making
more difficult and unnecessarily raising the cost of care. If
problems arise that are not initially identified in the history
or systems review, or if the data obtained are inconsistent,
additional tests or measures may be indicated. Consultation with an experienced therapist can provide an important means of clarifying inconsistencies and determining
the appropriateness of specific tests and measures.
Evaluation
Data gathered from the initial examination must then
be organized and analyzed. The therapist identifies and
prioritizes the patient’s impairments, activity limitations,
and participation restrictions and develops a problem list.
It is important to accurately recognize those clinical
problems associated with the primary disorder and those
associated with co-morbid conditions. Table 1.1 presents a sample prioritized problem list.
Impairments, activity limitations, and participation
restrictions must be analyzed to identify causal relationships. For example, shoulder pain in the patient with
hemiplegia may be due to several factors, including
hypotonicity and loss of voluntary movement, which are
direct impairments, or soft tissue damage/trauma from
improper transfers, which is an indirect impairment,
resulting from an activity. Determining the causative
8
SECTION I
Box 1.3
Clinical Decision Making and Examination
Categories for Tests
and Measures
Aerobic Capacity/Endurance
Anthropometric Characteristics
Arousal, Attention, and Cognition
Assistive and Adaptive Devices
Circulation (Arterial, Venous, Lymphatic)
Cranial and Peripheral Nerve Integrity
Environmental, Home, and Work (Job/School/Play) Barriers
Ergonomics and Body Mechanics
Gait, Locomotion, and Balance
Integumentary Integrity
Joint Integrity and Mobility
Motor Function (Motor Control and Motor Learning)
Muscle Performance (Including Strength, Power, and
Endurance)
Neuromotor Development and Sensory Integration
Orthotic, Protective, and Supportive Devices
Pain
Posture
Prosthetic Requirements
Range of Motion (Including Muscle Length)
Reflex Integrity
Self-Care and Home Management (Including Activities of
Daily Living and Instrumental Activities of Daily Living)
Sensory Integrity
Ventilation and Respiration/Gas Exchange
Work (Job/School/Play), Community, and Leisure
Integration or Reintegration (Including Instrumental
Activities of Daily Living)
Adapted from APTA Guide to Physical Therapist Practice.4
factors is a difficult yet critical step in determining
appropriate treatment interventions and resolving the
patient’s pain.
The skilled clinician is able to identify the role barriers
and facilitators in the patient’s environment in order to
incorporate measures to minimize or maximize these factors into the POC. A POC that emphasizes and reinforces
facilitators enhances function and the patient’s ability to
experience success. Improved motivation and engagement
are the natural outcomes of reinforcement of facilitators.
For example, the patient with stroke may have intact communication skills, cognitive skills, and good function of
the uninvolved extremities. Facilitators can also include
supportive and knowledgeable family members/caregivers
and an appropriate living environment.
Diagnosis
A medical diagnosis refers to the identification of a disease, disorder, or condition (pathology/pathophysiology)
by evaluating the presenting signs, symptoms, history,
laboratory test results, and procedures. It is identified
primarily at the cellular level. Physical therapists use the
term diagnosis to “identify the impact of a condition on
function at the level of the system (especially the movement system) and at the level of the whole person.”4
Thus, the term is used to clarify the professional body of
knowledge as well as the role of physical therapists in
health care. For example:
Medical diagnosis: Cerebrovascular accident (CVA)
Physical therapy diagnosis: Impaired motor function
and sensory integrity associated with nonprogressive
disorders of the central nervous system—acquired
in adolescence or adulthood4, p. 365
Medical diagnosis: Spinal cord injury (SCI)
Physical therapy diagnosis: Impaired motor function, peripheral nerve integrity, and sensory integrity associated
with nonprogressive disorders of the spinal cord4, p. 437
The diagnostic process includes integrating and
evaluating the data obtained during the examination to
describe the patient/client condition in terms that will
guide the prognosis and selection of intervention strategies during the development of the POC. The Guide to
Physical Therapist Practice organizes diagnostic categories
specific to physical therapy by preferred practice patterns.4
There are four main categories of conditions: Musculoskeletal, Neuromuscular, Cardiovascular/Pulmonary,
and Integumentary, with preferred practice patterns
identified in each (see Appendix 1.A). The patterns
are described fully according to the five elements of
patient/client management (i.e., examination, evaluation,
diagnosis, prognosis, and intervention). Each pattern
also includes reexamination to evaluate progress, global
outcomes, and criteria for termination of physical therapy services. Inclusion and exclusion criteria for each
practice pattern and criteria for multiple-pattern classification are also presented. The patterns represent the
collaborative effort of experienced physical therapists
who detailed the broad categories of problems commonly seen by physical therapists within the scope
of their knowledge, experience, and expertise. Expert
consensus was thus used to develop and define the
diagnostic categories and preferred practice patterns.
Given the central role of physical therapists as movement
specialists, the therapist will need to focus the diagnosis
on the results of activity analysis and movement problems identified during the examination when formulating the prognosis and POC.
The use of diagnostic categories specific to physical
therapy, as Sarhman points out, (1) allows for successful
communication with colleagues and patients/caregivers
about the conditions that require the physical therapist’s
expertise, (2) provides an appropriate classification for
establishing standards of examination and treatment,
and (3) directs examination of treatment effectiveness,
thereby enhancing evidence-based practice.6 Physical
therapy diagnostic categories also facilitate successful
reimbursement when linked to functional outcomes and
enhance direct access of physical therapy services.
CHAPTER 1
Table 1.1
Clinical Decision Making
9
Sample Prioritized Problem List for a Patient With Stroke
Direct
Impairments
R hemiparesis
RUE > RLE
Hypotonicity RUE
Spasticity RLE: knee ext,
plantiflexors
Synergy patterns
RLE > RUE
Mild dysarthria
Mild cognitive deficits:
dec STM
Dec motor planning
ability
CO-MORBIDITIES:
Dec sensation both feet
Small ulcer L foot
(5th toe)
Indirect
Impairments
Composite
Impairments
Activity
Limitations
Participation
Restrictions
R shoulder
subluxation
Balance deficits
Standing > sitting
Dep bed
mobility: minA
Dec community
mobility
Dec ROM R
shoulder
Gait deficits
Dep BADL:
min/mod A
IADL: unable
Kyphosis,
forward head
Dec endurance
Dep transfers:
modA X 1
Dec ability to perform
social roles: husband
Dep locomotion:
modA X 1
Stairs: unable
Inc fall risk
Diabetic Peripheral
Neuropathy
Dec balance
Inc fall risk
Dec endurance
Gait deficits: requires
special shoes
Dec community
mobility
Contextual factors: physical, social, attitudinal
One-level ranch house; entry with 2 steps, no handrails
Highly motivated
Personal factors: individual’s life and living situation
Spouse is primary caregiver; has osteoporosis and decreased vision (bilateral cataracts).
Has 2 involved sons living within 30 mile radius.
Key: BADL: basic activities of daily living; Dec: decreased; Dep: dependent; IADL: instrumental activities of daily living; Inc:
increased; minA: minimal assistance; modA: moderate assistance; RLE: right lower extremity; RUE: right upper extremity;
STM: short term memory.
Prognosis
The term prognosis refers to “the predicted optimal level
of improvement in function and amount of time needed
to reach that level.”4, p. 46 An accurate prognosis may be
determined at the onset of treatment for some patients.
For other patients with more complicated conditions such
as severe traumatic brain injury (TBI) accompanied by extensive disability and multisystem involvement, a prognosis
or prediction of level of improvement can be determined
only at various increments during the course of rehabilitation. Knowledge of recovery patterns (stage of disorder) is
sometimes useful to guide decision making. The amount
of time needed to reach optimal recovery is an important
determination, one that is required by Medicare and many
other insurance providers. Predicting optimal levels of recovery and time frames can be a challenging process for
the novice therapist. Use of experienced, expert staff as
resources and mentors can facilitate this step in the decision
making process. For each preferred practice pattern, the
Guide to Physical Therapist Practice includes a broad range
of expected number of visits per episode of care.4
Plan of Care
The plan of care (POC) outlines anticipated patient
management. The therapist evaluates and integrates data
obtained from the patient/client history, the systems review,
and tests and measures within the context of other factors, including the patient’s overall health, availability of
social support systems, living environment, and potential
discharge destination. Multisystem involvement, severe
impairment and functional loss, extended time of involvement (chronicity), multiple co-morbid conditions, and
medical stability of the patient are important parameters
that increase the complexity of the decision making process.
10
SECTION I
Clinical Decision Making and Examination
A major focus of the POC is producing meaningful
changes at the personal/social level by reducing activity
limitations and participation restrictions. Achieving
independence in locomotion or activities of daily living
(ADL), return to work, or participation in recreational
activities is important to the patient/client in terms of
improving quality of life (QOL).7 QOL is defined
as the sense of total well-being that encompasses both
physical and psychosocial aspects of the patient/client’s
life. Finally, not all impairments can be remediated by
physical therapy. Some impairments are permanent or
progressive, the direct result of unrelenting pathology
such as amyotrophic lateral sclerosis (ALS). In this
example, a primary emphasis on reducing the number
and severity of indirect impairments and activity limitations is appropriate.
Essential components of the POC include (1) anticipated goals and expected outcomes; (2) the predicted
level of optimal improvement; (3) the specific interventions to be used, including type, duration, and frequency;
and (4) criteria for discharge.
Goals and Expected Outcomes
An important first step in the development of the POC is
the determination of anticipated goals and expected outcomes, the intended results of patient/client management.
Goal and outcome statements address patient-identified
priorities and predicted changes in impairments, activity
limitations, and participation restrictions. They also address predicted changes in overall health, risk reduction
and prevention, wellness and fitness, and optimization of
patient/client satisfaction. The difference is in terms of
time frame. Outcomes define the patient’s expected level
at the conclusion of the episode of care or rehabilitation
stay, whereas goals define the interim steps that are necessary to achieve expected outcomes.4
Goal and outcome statements should be realistic,
objective, measurable, and time limited. There are four
essential elements:
• Individual: Who will perform the specific behavior
or activity required or aspect of care? Goals and outcomes are focused on the patient/client. This includes
individuals who receive direct care physical therapy
services and/or individuals who benefit from consultation and advice, or services focused on promoting,
health, wellness, and fitness. Goals can also be focused on family members or caregivers, for example,
the parent of a child with a developmental disability.
• Behavior/Activity: What is the specific behavior or
activity the patient/client will demonstrate? Goals
and outcomes include changes in impairments
(e.g., ROM, strength, balance) and changes in activity limitations (e.g., transfers, ambulation, ADL) or
participation restrictions (e.g., community mobility,
return to school or work).
• Condition: What are the conditions under which
the patient/client’s behavior is measured? The
goal or outcome statement specifies the specific
conditions or measures required for successful
achievement, for example, distance achieved,
required time to perform the activity, the specific
number of successful attempts out of a specific
number of trials. Statements focused on functional
changes should include a description of the conditions required for acceptable performance. For
example, the functional levels of performance in
the Functional Independence Measure (FIM) are
used in the majority of rehabilitation centers in
the United States. This instrument grades levels
from No Helper/Independence (grade 7) to No
Helper/Modified Independence (grade 6; device),
to Helper/Modified Dependence (grades 5, 4,
and 3; supervision, minimal, moderate, assistance),
to Helper/Complete Dependence (grades 2 and 1;
maximal, total assistance) (see Chapter 8 and
Figure 8.5 for a complete description of this instrument).8 The type of environment required for a
successful outcome of the behavior should also be
specified: clinic environment (e.g., quiet room,
level floor surface, physical therapy gym), home
(e.g., one flight of eight stairs, carpeted surfaces),
and community (e.g., uneven grassy surfaces,
curbs, ramps).
• Time: How long will it take to achieve the stated
goal or outcome? Goals can be expressed as shortterm (generally considered to be 2 to 3 weeks)
and long-term (longer than 3 weeks). Outcomes
describe the expected level of functional performance attained at the end of the episode of care or
rehabilitation stay. In instances of severe disability
and incomplete recovery, for example, the patient
with traumatic brain injury, the therapist, and
team members may have difficulty determining
the expected outcomes at the beginning of rehabilitation. Long-term goals can be used that focus on
the expectations for a specific stage of recovery
(e.g., minimally conscious states, confusional states).
Goals and outcomes can also be modified following
a significant change in patient status.
Each POC has multiple goals and outcomes. Goals
may be linked to the successful attainment of more
than one outcome. For example, attaining ROM in
dorsiflexion is critical to the functional outcomes of
independence in transfers and locomotion. The successful attainment of an outcome is also dependent on
achieving a number of different goals. For example,
independent locomotion (the outcome) is dependent
on increasing strength, ROM, and balance skills. In
formulating a POC, the therapist accurately identifies
the relationship between and among goals and sequences them appropriately. Box 1.4 presents examples
of outcome and goal statements.
In rehabilitation settings, the POC also includes a
statement regarding the patient’s overall rehabilitation
CHAPTER 1
Box 1.4
Clinical Decision Making
11
Examples of Outcome and Goal Statements
The following are examples of expected outcomes, all to be achieved within the anticipated rehab stay:
The patient will be independent and safe in ambulation using an ankle-foot orthosis and a quad cane on level surfaces for
unlimited community distances and for all daily activities within 8 weeks.
The patient will demonstrate modified dependence with close supervision in wheelchair propulsion for limited household
distances (up to 50 feet) within 8 weeks.
The patient will demonstrate modified dependence with minimum assistance of one person for all transfer activities in
the home environment within 6 weeks.
The patient will demonstrate independence in basic activities of daily living (BADL) with minimal setup and equipment
(use of a reacher) within 6 weeks.
The patient and family will demonstrate enhanced decision making skills regarding the health of the patient and use of
health care resources within 6 weeks.
The following are examples of anticipated goals with variable time frames:
Short-Term Goals
The patient will increase strength in shoulder depressor muscles and elbow extensor muscles in both upper extremities
from good to normal within 3 weeks.
The patient will increase ROM 10 degrees in knee extension bilaterally to within normal limits within 3 weeks.
The patient will be independent in the application of lower extremity orthoses within 1 week.
The patient and family will recognize personal and environmental factors associated with falls during ambulation within
2 weeks.
The patient will attend to task for 5 min out of a 30-min treatment session within 3 weeks.
Long-Term Goals
The patient will independently perform transfers from wheelchair to car within 4 weeks.
The patient will ambulate with bilateral knee-ankle-foot orthoses (KAFOs) and crutches using a swing-through gait and
close supervision for 50 feet within 5 weeks.
The patient will maintain static balance in sitting with centered, symmetrical weight-bearing and no upper extremity
support or loss of balance for up to 5 minutes within 4 weeks.
The patient will sequence a three- to five-step routine task with minimum assistance within 5 weeks.
potential. This is typically a one-word statement: excellent,
good, fair, or poor. The therapist considers multiple factors
when determining rehabilitation potential, such as the
patient’s condition and onset date, co-morbidity, mechanism of injury, and baseline data.
The next step is to determine the intervention, defined
as the purposeful interaction of the physical therapist
with the patient/client and, when appropriate, other individuals involved in the care of the patient/client, using
various physical therapy procedures and techniques to
produce changes in the condition. Components of physical therapy intervention include coordination, communication, and documentation; patient/client-related
instruction; and procedural interventions (Fig. 1.4).4
Effective communication enhances collaboration and
understanding.
Therapists are also responsible for coordinating care
at many different levels. The therapist delegates appropriate aspects of treatment to physical therapy assistants
and oversees the responsibilities of physical therapy
aides. The therapist coordinates care with other professionals, family, or caregivers regarding a specific
treatment approach or intervention. For example, for
early transfer training to be effective, consistency in
how everyone transfers the patient is important. The
therapist also coordinates discharge planning with the
patient and family and other interested persons. Therapists may be involved in providing POC recommendations to other facilities such as restorative nursing
facilities.
Coordination and Communication
Patient/Client-Related Instruction
Case management requires therapists to be able to
communicate effectively with all members of the rehabilitation team, directly or indirectly. For example, the
therapist communicates directly with other professionals
at case conferences, team meetings, or rounds or indirectly through documentation in the medical record.
In an era of managed care and shorter time allocations for
an episode of care, effective patient/client-related instruction is critical to ensuring optimal care and successful
rehabilitation. Communication strategies are developed
within the context of the patient/client’s age, cultural
backgrounds, language skills, and educational level, and
Interventions
12
SECTION I
Clinical Decision Making and Examination
The Three Components of Physical Therapy Intervention
Coordination,
Communication,
Documentation
Patient/
Client-Related
Instruction
Procedural
Interventions
Therapeutic exercise
Functional training in self-care and home management,
including activities of daily living (ADL) and
instrumental activities of daily living (IADL)
Functional training in work (job/school/play), community, and
leisure integration or reintegration, including IADL,
work hardening, and work conditioning
Manual therapy techniques, including mobilization/manipulation
Prescription, application, and, as appropriate, fabrication of
devices and equipment (assistive, adaptive, orthotic, protective,
supportive, or prosthetic)
Airway clearance techniques
Integumentary repair and protective techniques
Electrotherapeutic modalities
Physical agents and mechanical modalities
Figure 1.4 The three components of physical therapy
intervention. (From APTA Guide to Physical Therapist
Practice 4, p. 98 with permission.)
the presence of specific communication or cognition
impairments. Therapists may provide direct one-on-one
instruction to a variety of individuals, including patients,
clients, families, caregivers, and other interested persons.
Additional strategies can include group discussions or
classes, or instruction through printed or audiovisual
materials. Educational interventions are directed toward
ensuring an understanding of the patient’s condition,
training in specific activities and exercises, determining
the relevance of interventions to improve function, and
achieving an expected course. In addition, educational
interventions are directed toward ensuring a successful
transition to the home environment (instruction in home
exercise programs [HEP]), returning to work (ergonomic
instruction), or resuming social activities in the community (environmental access). It is important to document
what was taught, who participated, when the instruction
occurred, and overall effectiveness. The need for repetition
and reinforcement of educational content should also be
documented in the medical record.
Procedural Interventions
Skilled physical therapy includes a wide variety of procedural interventions, which can be broadly classified
into three main groups. Restorative interventions are
directed toward remediating or improving the patient’s
status in terms of impairments, activity limitations,
participation restrictions, and recovery of function. The
involved segments are targeted for intervention. This
approach assumes an existing potential for change
(e.g., neuroplasticity of brain and spinal cord function;
potential for muscle strengthening or improving aerobic
endurance). For example, the patient with incomplete
spinal cord injury (SCI) undergoes locomotor training
using body weight support and a treadmill (BWSTT).
Patients with chronic progressive pathology (e.g., the
patient with Parkinson’s disease) may not respond
to restorative interventions aimed at resolving direct
impairments; interventions aimed at restoring or optimizing function and modifying indirect impairments
can, however, have a positive outcome.
Compensatory interventions are directed toward
promoting optimal function using residual abilities.
The activity (task) is adapted (changed) in order to
achieve function. The uninvolved or less involved
segments are targeted for intervention. For example, the
patient with left hemiplegia learns to dress using
the right upper extremity (UE); the patient with complete T1 paraplegia learns to roll using upper extremities (UEs) and momentum. Environmental adaptations
are also used to facilitate relearning of functional skills
and optimal performance. For example, the patient
with TBI is able to dress by selecting clothing from
color-coded drawers. Compensatory interventions
can be used in conjunction with restorative interventions to maximize function or when restorative interventions are unrealistic or unsuccessful.
Preventative interventions are directed toward minimizing potential problems (e.g., anticipated indirect
impairments, activity limitations, and participation
restrictions) and maintaining health. For example, early
resumption of upright standing using a tilt table minimizes the risk of pneumonia, bone loss, and renal calculi
in the patient with SCI. A successful educational program for frequent skin inspection can prevent the
development of pressure ulcers in that same patient
with SCI.
Interventions are chosen based on the medical diagnosis, the evaluation of examination, the physical therapy
diagnosis, the prognosis, and the anticipated goals and
expected outcomes. The therapist relies on knowledge of
foundational science and interventions (e.g., principles
of motor learning, motor control, muscle performance,
task-specific training, and cardiovascular conditioning)
in order to determine those interventions that are likely
to achieve successful outcomes. It is important to identify
all possible interventions early in the process, to carefully
weigh those alternatives, and then to decide on the
interventions that have the best probability of success.
Narrowly adhering to one treatment approach reduces
the available options and may limit or preclude successful outcomes. Use of a protocol (e.g., predetermined
CHAPTER 1
exercises for the patient with hip fracture) standardizes
some aspects of care but may not meet the individual
needs of the patient. Protocols can foster a separation
of examination/evaluation findings from the selection of
treatments.
Watts suggests that clinical judgment is clearly an
elegant mixture of art and science.9 Professional consultation with expert clinicians and mentors is an effective
means of helping the novice sort through the complex
issues involved in decision making, especially when complicating factors intervene. For example, a consultation
would be beneficial for the inexperienced therapist who
is treating a patient that is chronically ill, has multiple
co-morbidities or complications, impaired cognition, inadequate social supports, and severe activity limitations.
A general outline of the POC is constructed. Schema
can be used to present a framework for approaching a
specific aspect of treatment and assist the therapist in
organizing essential intervention elements of the plan.
One such commonly used schema for exercise intervention is the FITT equation (frequency-intensity-time-type),
presented in Box 1.5.
The therapist should ideally choose interventions that
accomplish more than one goal and are linked to the expected outcomes. The interventions should be effectively
sequenced to address key impairments first and to
achieve optimum motivational effect, interspacing the
more difficult or uncomfortable procedures with easier
Box 1.5
Clinical Decision Making
13
ones. The therapist should include tasks that ensure success during the treatment session and, whenever possible,
should end each session on a positive note. This helps
the patient retain a positive feeling of success and look
forward to the next treatment.
Discharge Planning
Discharge planning is initiated early in the rehabilitation
process during the data collection phase and intensifies
as goals and expected outcomes are close to being
reached. Discharge planning may also be initiated if the
patient refuses further treatment or becomes medically
or psychologically unstable. If the patient is discharged
before outcomes are reached, the reasons for discontinuation of services must be carefully documented. Elements
of an effective discharge plan are included in Box 1.6.
The therapist should also include the discharge prognosis, typically a one-word response such as excellent,
good, fair, or poor. It reflects the therapist’s judgment of
the patient’s ability to maintain the level of function
achieved at the end of rehabilitation without continued
skilled intervention.
Implementation of the Plan of Care
The therapist must take into account a number of factors
in structuring an effective treatment session. The patient’s
comfort and optimal performance should be a priority.
The environment should be structured appropriately to
The FITT Equation for Exercise Intervention
Frequency: How often will the patient receive skilled care?
This is typically defined in terms of the number of times per week treatment will be given (e.g., daily or three times per
week), or the number of visits before a specific date.
Intensity: What is the prescribed intensity of exercises or activity training?
For example, the POC includes sit-to-stand repetitions, 3 sets of 5 reps each, progressing from high seat to low.
Time (duration): How long will the patient receive skilled care?
This is typically defined in terms of days or weeks (e.g., three times per week for 6 weeks). The duration of an anticipated
individual treatment session should also be defined (e.g., 30- or 60-minute sessions).
Type of intervention: What are the specific exercise strategies or procedural interventions used?
Necessary components that should be identified include the following:
• Posture and activity: a description of the specific posture and activity the patient must perform (e.g., sitting, weight
shifting or standing, modified plantigrade, reaching).
• Techniques used: mode of therapist action or intervention used (e.g., guided, active-assisted, or resisted movement), or
specific technique (e.g., rhythmic stabilization, dynamic reversals).
• Motor learning strategies used: strategies specific to type of feedback (e.g., knowledge of results, knowledge of
performance) and scheduling of feedback (e.g., constant or variable), practice schedule (e.g., blocked, serial, or random
order), and environment (e.g., closed/structured or open/variable).
• Additional required elements: those elements necessary to assist the patient in the exercise or activity (e.g., verbal
cues, manual contacts) or equipment (e.g., elastic band resistance, therapy ball, body weight support system with
motorized treadmill).
14
SECTION I
Box 1.6
Clinical Decision Making and Examination
Elements of the Discharge Plan
Patient, family, or caregiver education: instruction
includes information regarding the following:
• Current condition (pathology), impairments, activity
limitations, and participation restrictions
• Ways to reduce risk factors for recurrence of condition
and developing complications, indirect impairments,
activity limitations, and participation restrictions
• Ways to maintain/enhance performance and functional
independence
• Ways to foster healthy habits, wellness, and prevention
• Ways to assist in transition to a new setting (e.g., home,
skilled nursing facility)
• Ways to assist in transition to new roles
Plans for follow-up care or referral to another agency:
patient/caregiver is provided with the following:
• Information regarding follow-up visit to rehabilitation
center or referral to another agency (e.g., home care
agency, outpatient facility) as needed
• Information regarding community support group and
community fitness center as appropriate
Instruction in a home exercise plan (HEP): patient/
caregiver instruction regarding the following:
• Home exercises, activity training, ADL training
• Use of adaptive equipment (e.g., assistive devices,
orthoses, wheelchairs)
Evaluation/modification of the home environment:
• Planning regarding the home environment and modifications needed to assist the patient in the home (e.g.,
installation of ramps and rails, bathroom equipment
such as tub seats, raised toilet seats, bathroom rails,
furniture rearrangement or removal to ease functional
mobility)
• All essential equipment and renovations should be in
place before discharge
reduce distractions and focus the patient’s attention on
the task. Patient privacy should be respected, with adequate draping and positioning. The therapist should
consider good body mechanics, effective use of gravity
and position, and correct application of techniques and
modalities. Any equipment should be gathered prior
to treatment and be in good working order. All safety
precautions must be observed.
The patient’s pretreatment level of function or initial
state should be carefully examined. General state organization of the CNS and homeostatic balance of the somatic
and autonomic nervous systems are important determinants of how a patient may respond to intervention.
A wide range of influences, from emotional to cognitive
to organic, may affect how a patient reacts to a particular
treatment. Patients who are overly stressed may demonstrate altered homeostatic responses. For example, the
patient with TBI who presents with high arousal and
agitated behaviors can be expected to react to treatment
in unpredictable ways, characterized by “fight or flight”
responses. Similarly, patients with TBI who are lethargic
may be difficult to arouse and demonstrate limited ability
to participate in therapy sessions. Responses to treatment
should be carefully monitored throughout the episode of
care, and treatment modifications should be implemented
as soon as needed to ensure successful performance. Therapists develop the “art of clinical practice” by learning to
adjust their input (e.g., verbal commands and manual
contacts) in response to the patient. Treatment thus
becomes a dynamic and interactive process between
patient and therapist. Shaping of behavior can be further
enhanced by careful orientation to the purpose of the tasks
and how they meet the patient’s needs, thereby ensuring
optimal cooperation and motivation.10
Reexamination of the Patient and
Evaluation of Expected Outcomes
This last step is ongoing and involves continuous reexamination of the patient and a determination of the efficacy of treatment. Reexamination data are evaluated
within the context of the patient’s progress toward
anticipated goals and expected outcomes set forth in the
POC. A determination is made whether the goals and
outcomes are reasonable given the patient’s diagnosis
and progress. If the patient attains the desired level of
competence for the stated goals, revisions in the POC
are indicated. If the patient attains the desired level of
competence for the expected outcomes, discharge is considered. If the patient fails to achieve the stated goals or
outcomes, the therapist must determine why. Were the
goals and outcomes realistic given the clinical problems
and database? Were the interventions selected at an
appropriate level to challenge the patient, or were they
too easy or too difficult? Were facilitators appropriately
identified and the patient sufficiently motivated? Were
intervening and constraining factors (barriers) identified?
If the interventions were not appropriate, additional
information is sought, goals modified, and different
treatment interventions selected. Revision in the POC
is also indicated if the patient progresses more rapidly or
slowly than expected. Each modification must be evaluated in terms of its overall impact on the POC. Thus,
the plan becomes a fluid statement of how the patient is
progressing and what goals and outcomes are achievable.
Its overall success depends on the therapist’s ongoing
clinical decision making skills and on engaging the
patient’s cooperation and motivation. Patient involvement in the development and monitoring of the POC
should be documented.
CHAPTER 1
■ PATIENT PARTICIPATION
IN PLANNING
A patient-centered approach that involves the patient in
collaborative planning and evaluation of outcomes is important in a successful POC. The patient is viewed as an
active participant and partner who can make informed
choices and assume responsibility for his or her own
health care. Therapists who place strong emphasis on
communicating effectively; educating their patients,
families, and caregivers; and teaching self-management
skills are able to successfully empower patients. The natural outcomes of this approach are improved therapy
outcomes and overall satisfaction with care.11 Some rehabilitation plans have failed miserably simply because
the therapist did not fully involve the patient in the planning process, producing goals or outcomes that were not
meaningful to the patient (e.g., for the patient with incomplete SCI, independent wheelchair mobility). That
same patient may have established a very different set of
personal goals and expectations (e.g., return to walking).
For many patients for whom complete recovery is not
expected, the overall “goal of any rehabilitation program
must be to increase the ability of individuals to manage
their lives in the context of ongoing disability, to the
greatest extent possible.”11, p. 7 This cannot be effectively
done if the therapist assumes the role of expert and sole
planner, establishing the rules, regulations, and instructions for rehabilitation. Rather, it is critical to engage the
patient in collaborative problem solving and promote
lifelong skills in health management. The patient’s ability and motivation to participate in planning do vary.
The more ill the patient, the more anxiety, and the less
likely that he or she will want to be actively involved in
planning. As the illness resolves and the patient begins
to improve, the more likely he or she will be to want to
be engaged in planning the treatment. Also the more difficult the problems encountered, the more likely patients
are to put their trust in “the experts” and the less likely
they are to trust their own abilities to reach effective decisions. The therapist needs to guard against promoting
dependence on the expert (the “my therapist syndrome”)
to the exclusion of the patient’s listening to his or her
own thoughts and feelings. The patient’s feelings of perceived helplessness are increased while the patient’s ability to utilize his or her own decision making abilities is
delayed or restricted.
Ozer et al11 address these issues in an excellent reference titled Treatment Planning for Rehabilitation—A
Patient-Centered Approach. The authors suggest asking
the patient a series of probing questions to engage patients
in the treatment planning process (Box 1.7). The level
of participation in this process may start out limited but
can be expected to expand as the collaborative process is
continued. A Levels of Participation Scale can be used to
evaluate and document patient participation in the planning process (Box 1.8). In determining the patient’s level
Box 1.7
Clinical Decision Making
15
Questions Designed to Engage
the Patient in the Treatment
Planning Process
1. What are your concerns?
2. What is your greatest concern?
3. What would you like to see happen? What would
make you feel that you are making progress in dealing
with your chief concern? What are your goals?
4. What is your specific goal?
5. What results have you achieved?
6. What problems do you have? What questions do you
have?
7. What would you like to see accomplished that would
make you feel that you are making some progress in
dealing with your greatest concern?
From Ozer, M, Payton, O, and Nelson, C: Treatment Planning for
Rehabilitation—A Patient-Centered Approach. McGraw-Hill,
New York, 2000, pp. 37 and 60, with permission.
Box 1.8
Levels of Participation Scale
A = FREE CHOICE: The therapist asks an open-ended
question. The patient explores and selects the
answer (what) and further specifies where? and to
what degree?
B = MULTIPLE CHOICE: The therapist asks questions,
provides suggestions (three options). The patient
selects one choice from the alternatives presented.
C = CONFIRMED CHOICE: The therapist asks questions,
provides a recommendation (one choice), and asks
for agreement. The patient puts into own words
what has been selected.
D = FORCED CHOICE: The therapist asks questions, provides a recommendation (one option); the patient
agrees (or disagrees) with what has been selected.
E = NO CHOICE: The therapist prescribes, does not ask;
the patient is compliant (or noncompliant).
From Ozer, M, Payton, O, and Nelson, C: Treatment Planning for
Rehabilitation—A Patient-Centered Approach. McGraw-Hill,
New York, 2000, p. 44, with permission.
of functioning, the therapist starts at the upper end of
the scale (free choice) and moves down the scale as necessary. The lowest level of participation is recorded. For
most patients, the lowest level of participation is optimally Level B Multiple Choice. Patients with significant
cognitive or communication deficits (e.g., the patient
with TBI) typically will require lower levels of participation. The goal as the patient recovers and progresses
in rehabilitation is to increasingly involve the patient in
the planning process, to whatever extent possible. In
these situations, the therapist can document improving
16
SECTION I
Clinical Decision Making and Examination
levels of participation as evidence of meeting a goal of
improving self-efficacy and self-management.
■ DOCUMENTATION
Documentation is an essential requirement for timely reimbursement of services and communication among the
rehabilitation team members. Written documentation is
formally done at the time of admission and discharge,
and at periodic intervals during the course of rehabilitation (interim or progress notes). Many facilities require
documentation for every treatment session. The format
and timing of notes will vary according to the regulatory
requirements specified by institutional policy and thirdparty payers. Data included in the medical record should
be meaningful (important, not just nice to have), complete and accurate (valid and reliable), timely (recorded
promptly), and systematic (regularly recorded). All handwritten entries should be in ink, legible, and signed with
a legal signature. Written charting errors should be corrected by a single line through the error and initialing
and dating directly above the error. See Appendix 1.B:
Defensible Documentation—General Documentation
Guidelines from APTA (American Physical Therapy
Association), practice-dept@apta.org.
In the United States, all health care facilities must
adhere to the ICD-9-CM Official Guidelines for Coding
and Reporting.12 These codes are developed by the Centers for Medicare and Medicaid Services (CMS) and the
National Center for Health Statistics (NCHS) and based
on the International Classification of Diseases, 9th Revision, Clinical Modification (ICD-9-CM). Adherence to
these guidelines is required under the Health Insurance
Portability and Accountability Act (HIPAA). Typical
billing codes related to the preferred practice patterns
are listed in the Guide to Physical Therapist Practice.4
Electronic Documentation
There is increasing emphasis on using electronic documentation in physical therapy, which can provide a fully
integrated and completely paperless workflow for managing patient care. This includes managing referrals, initial
intake data, progress and discharge notes, scheduling, and
billing. Advantages of electronic documentation include
standardization of data entry, increased speed of access
to data, and integration of data that can be used for a
wide variety of applications (e.g., clinical management of
patients, quality control, clinical research). Therapists no
longer have to track down medical records to review or
input data, because information is readily available from
any computer or electronic device with Internet access.
Therapists also can receive notification of when the patient
arrives or checks in, what notes are due, and scheduled
evaluations and POC updates. Software programs typically do not allow notes be filed unless all the required
elements are completed. Overall efficiency of practice
management is increased with decreased errors in documentation and improved accuracy of reimbursements.
Many different companies provide software programs for
physical therapy that focus on specific practice settings
(e.g., outpatient rehabilitation therapy, home care, private
practice). Therapists using documentation software for
electronic entry of patient data should ensure that programs comply with appropriate provisions for security and
confidentiality.
■ CLINICAL DECISION MAKING:
EXPERT VERSUS NOVICE
There is an accumulating body of evidence on expertise
in physical therapy practice, spearheaded by the pivotal
work of Jenson and colleagues.13-15 These researchers
have shown that the knowledge, skills, and decision
making abilities used by expert clinicians can be identified, nurtured, and taught. Embrey et al16 suggest that
the novice therapist may benefit from a period of active
mentoring by expert clinicians early in clinical practice
(e.g., clinical residency). This information has important
implications for novice therapists and for educators
involved in teaching clinical decision making.
Experienced clinicians utilize a forward reasoning
process (reasoning from data to hypothesis) in which the
clinician is able to recognize patient cues and patterns as
being similar to previously identified cases. Decisions
are formulated based on higher-order (metacognitive)
skills and reflective processes. Hypothesis testing is not
typically verbalized. Thus, actions are based on a rich
experience-based clinical knowledge and pattern recognition. In contrast, a backward reasoning process (also
termed hypothetico-deductive process) involves identifying
cues from the patient, proposing a hypothesis (reasoning
from hypothesis to data), gathering supporting data
for cue interpretation and evaluating the hypothesis,
and determining appropriate actions. Experts may use
hypothesis-testing methods when routine problem recognition fails (e.g., for an unfamiliar problem) or when
they are practicing out of their area of expertise.15, 17
Decision making is influenced by knowledge and experience. Experts have more knowledge and experience
and are able to organize, integrate, and shape information into a usable format. Their knowledge base is multidimensional; their clinical reasoning is reflective and
focused; and they demonstrate increased confidence in
evaluating patients and problem solving.15 Organization
of knowledge is specific and highly dependent on the
mastery of a particular practice area. Content domains
in physical therapy take the form of the specialty areas
(orthopedic, neurological, pediatric, and so forth). As
expertise increases, master clinicians increase their abilities to categorize information, improving in both mastery of depth and complexity of content. They are able
to use collegial knowledge effectively, seeking out mentors and readily consulting their peers on practice issues.
Novice therapists, on the other hand, collect data, but
do not always recognize important data. Simple review
of data and use of book-learned, declarative knowledge
CHAPTER 1
do not allow the novice to recognize meaningful relationships and generate accurate hypotheses within a realistic time frame. New therapists also tend to be rigidly
governed by rules for decision making. For example,
they adhere to standardized frameworks (protocols),
whereas experts easily adapt and refocus their approach
if a different direction is indicated. Experts also demonstrate improved intervention skills that are well integrated with their mastery of knowledge and clinical
reasoning. Improved skills and expertise are developed
through intense, focused, and deliberate practice. Jensen
et al point out that experts are highly motivated and are
constantly striving to improve their skills, demonstrating
a strong inner drive for lifelong learning.18 The APTA
recognizes expertise in a board-certification process for
clinical specialists.
The therapist who utilizes a receptive/systematic datagathering style generally suspends judgment until all
possible data are gathered. The data are analyzed individually and collectively before a final determination is
made of how to organize and use them. A contrasting
style is perceptive and intuitive. The individual who utilizes a perceptive data-gathering style will seek and respond
to ongoing cues and patterns, defining and organizing
clinical problems early. Information processing is largely
intuitive. Thus, these clinicians are able to respond to a
large number of stimuli as they occur and consider initiation of early treatment options.15 Research suggests
that styles may differ by expert group. May and Dennis19
and Jensen et al18 found that clinicians with expertise in
orthopedics tended to utilize a receptive/systematic style,
generating hypotheses only after a methodical and ordered search of data. Embrey et al16, 20 found that expert
clinicians working in pediatric settings tended to utilize
a perceptive data-gathering style and process information
intuitively. Thus, they responded rapidly to cues and
patterns (movement scripts) and changes that occurred
within the treatment session. May and Dennis19 reported that practitioners experienced in cardiopulmonary and neurological physical therapy also tended
to respond more favorably to the perceptive/intuitive
style. Thus, the differences noted in terms of the types
of cognitive strategies reported appear to be evoked by
specific problem structure and domain.
Important differences exist between expert and novice
clinicians in the area of self-monitoring. Expert clinicians
are able to frequently and effectively utilize self-assessment
to modify and redefine their clinical decisions. This reflective aspect of practice results in improved improvisational
performance, the actions that occur when therapists are
actually treating patients. They are better able to control
the treatment situation (i.e., constant interruptions, the
demands of many scheduled patients, and multiple tasks)
and the time allotted. Conversely, novice therapists
demonstrate self-monitoring, but are less able to utilize
the information effectively to control the situation. They
react more to external stimuli and the confusion of
Clinical Decision Making
17
competing demands and are less able to offer alternate
intervention strategies. Self-monitoring is viewed as a
positive experience by the experts twice as often as by
novice therapists, an indication that the inexperienced
therapists are sensitive to their limitations. The experts are
also more willing to take risks and to admit when they did
not know something.15, 21
Expert clinicians provide patient-centered care. They
spend more time with their patients, gathering and evaluating information and involving their patients in collaborative problem solving. Experts maintain as a central
goal of care the empowerment of their patients to make
autonomous decisions. They affirm the importance of
patient education in assisting patients to resolve problems and assume control over their own health care.
Teaching strategies therefore focus on maintaining
health and preventing the development of indirect
impairments, activity limitations, and restrictions to participation. The therapist assumes active roles as coach
and teacher.10 In an era of cost containment and limited
services, this is an important value and one that is essential for ensuring successful long-term outcomes. Novice
therapists, on the other hand, demonstrate greater
interest in mastering hands-on skills and in ensuring the
success of their treatments.17
Expert clinicians are able to maintain focus on the
patient during treatment, as evidenced in their verbal
and nonverbal communications. They are able to consistently demonstrate a sense of commitment and caring
toward their patients. The experts demonstrate a smooth
interplay of hands-on treatment with effective communication that is responsive to the needs of each individual
patient.10, 15 Conversely, novice therapists are influenced
by the demands of full-time clinical practice and experience increased challenges in finding adequate time to listen and talk with their patients. They report increased
difficulties communicating with “difficult” and “unmotivated” patients.22 Psychosocial sensitivity is a key factor
in directing experienced clinicians during the physical
therapy sessions. Novice therapists maintain their focus
more on the problems and the mechanics of treatment
rather than on the psychosocial needs of the patient.22
■ EVIDENCE-BASED PRACTICE
The analysis of research evidence paired with the physical therapist’s experience and expertise provides a powerful tool to guide clinical decision making. There are
areas of practice in physical therapy that lack rigorous
examination and evidence. Therapists may employ
some interventions simply because they are in widespread use. Therapists may also elect to use interventions because they are new and different or because
they are the focus of “anecdotal testimonials” in continuing education courses. Harris points out, “The
responsibility to deliver evidence-based treatment
techniques rests with all physical therapists.”23, p. 176
To that end, the APTA developed a Clinical Research
18
SECTION I
Clinical Decision Making and Examination
Agenda designed to support, explain, and enhance
physical therapy clinical practice.24 The Research
Agenda was revised in 2011 to be reflective of the rapid
changes in health care and in rehabilitation.25 It identifies broad categories of research and is consistent with
the ICF. The APTA’s Hooked on Evidence project provides links to Evidence in Practice (www.ptjournal.org)
and provides training programs to assist individuals in
this process.
Evidence-based medicine (EBM) is defined as “the
integration of best research evidence with our clinical
expertise and our patient’s unique values and circumstances.”26, p. 1 The term evidence-based practice (EBP)
encompasses a broader range of health professions.
The essential steps of EBP26 are as follows:
Step 1: A clinical problem is identified and an answerable question is formulated.
Step 2: A systematic literature review is conducted and
evidence collected.
Step 3: The research evidence is critically analyzed for
its validity (closeness to the truth), impact (size of
the effect), and applicability (usefulness in clinical
practice).
Step 4: The critical appraisal is synthesized and integrated with the clinician’s expertise and the patient’s
unique biology, values, and circumstances.
Step 5: The effectiveness and efficiency of the steps in
the evidence-based process are evaluated.
A well-built research question contains three elements: (1) a specific patient/client group or population, (2) the specific interventions or exposures to be
Box 1.9
studied, and (3) the outcomes achieved. For example,
one study examined interventions commonly applied
for low back pain (therapeutic exercise, transcutaneous
electrical nerve stimulation [TENS], thermotherapy,
ultrasound, massage, E-stim system, traction) using
outcomes identified as being important to the patient
(pain, function, patient global assessment, QOL, and
return to work).27
Systematic review (SR) is a comprehensive examination of the literature. The researcher determines
key resources to provide the evidence. These include
(1) peer-reviewed and evidence-based journals, (2) online services (e.g., Cochrane Reviews, APTA Open
Door, PEDro), and (3) search engines (e.g., PubMed).
Box 1.9 provides a brief list of electronic medical databases. Specific criteria are developed for the inclusion
and exclusion of the research studies selected for
review. Studies employing different designs may be
analyzed individually or compared qualitatively; studies of similar design may be combined quantitatively
(e.g., meta-analysis).
Critical analysis of research findings involves detailed
examination of methodology, results, and conclusions.
The clinician should be able to answer the following
questions: (1) What is the level of evidence? (2) Is the
evidence valid? and (3) Are the results important and
clinically relevant? Thus, interpretation and synthesis of
the evidence must be considered within the context
of the specific patient/client problem. Examination
begins with the purpose of the study, which should be
clearly stated, and the review of literature, which should
be relevant in terms of the specific question asked. The
Evidence-Based Practice: Electronic Medical Databases
www.ncbi.nlm.nih.gov/
PubMed
PubMEd—U.S. National Library of Medicine (NLM): search service to Medline and
Pre-Medline (database of medical and biomedical research), free public access
www.hookedonevidence.com
APTA Open Door—Hooked on Evidence: database of evidence-based physical
therapy practice, members only
www.pedro.org.au/
Physiotherapy Evidence Database (PEDro) of physical therapy: RCTs, systematic
reviews, and evidence-based clinical practice
www.cochrane.org/reviews
Cochrane Database of Systematic Reviews (Cochrane Reviews); primary source for
clinical effectiveness information
http://hiru.mcmaster.ca/
cochrane/centers/Canadian
Canadian Cochrane Center
www.cinahl.com
CINAHL: database of nursing and allied health research
www.york.ac.uk/inst/crd/
crddatabases.htm
DARE: database of abstracts of evidence reviews from medical journals
www.naric.com/research
RehabDATA: database of disability and rehabilitation research
www.cirrie.buffalo.edu?
Center for International Rehabilitation Research Information and Exchange: database
of rehabilitation research
www.ovid.com
Ovid: database of health and life science research
CHAPTER 1
methods/design should be closely examined. Research
design varies and can be evaluated in terms of levels of
evidence, with grades of recommendation in order
of most to least rigorous (Table 1.2). Although a randomized clinical trial (RCT) provides the most rigorous
design, there are times when other designs are indicated.
For example, there may be ethical issues involving
control groups that receive no treatment when treatment
is clearly beneficial. In addition, when outcomes are
not clearly understood or defined (e.g., quality-of-life
issues), designs such as single-case studies may be indicated. The reader is referred to Appendix 1-C: Overview
of Evidence-Based Practice Concepts for additional
discussion.
Critical Appraisal Tools (CATs) are available to
assist the inexperienced clinician in the evaluation of
research (see Law, Appendix A: Critical Review Form,
Quantitative Studies28, p. 331; and Jewell, Appendix B:
Evidence Appraisal Worksheets).29, p. 427 Clinicians
also need to utilize effective strategies to organize
and store the data and to update data on a regular
basis. Reference management systems such as Endnote
and Reference Manager (ISI ResearchSoft, 800 Jones
Street, Berkeley, CA 94710) are available to assist the
therapist.
Evidence-based clinical practice guidelines (EBCPGs)
are defined by the Institute of Medicine as systematically
developed statements to assist practitioner and patient
decisions about appropriate health care for specific clinical
circumstances.30 They are developed through a combination of (1) expert consensus (e.g., the Guide to Physical
Clinical Decision Making
19
Therapist Practice5); (2) systematic reviews and metaanalysis; and (3) analysis of patient preferences combined with outcome-based guidelines. For example, the
Philadelphia Panel is a multidisciplinary, international
panel of rehabilitation experts comprising a group of
Clinical Specialty Experts from the United States and the
Ottawa Methods Group from Canada. This panel developed a structured and rigorous methodology to formulate
evidence-based practice guidelines.31 For example, the
panel analyzed the evidence following a structured and
rigorous review of selected interventions for low back
pain.27 The evidence was then translated into EBCPGs by
reviewing key outcomes and deciding whether the intervention had clinical benefit. Categories of absolute and
relative benefit were used. The panel established a clinical
improvement of 15% or more relative to the control as
an acceptable level of evidence. Recommendations were
graded based on levels (methodological quality) of the
studies. Grade A or B recommendations were required to
demonstrate clinically important changes and statistical
significance. The panel’s positive recommendations were
then sent to 324 clinical practitioners for their feedback.
The panel reviewed practitioners’ feedback and revised
their recommendations accordingly. In the low back pain
study, the panel recommended the following EBCPGs:
(1) the use of therapeutic exercises for chronic, subacute,
and post-surgery low back pain and (2) continuation of
normal activities for acute low back pain. The panel found
lack of evidence regarding efficacy for the use of other
interventions (e.g., thermotherapy, therapeutic ultrasound, massage, electrical stimulation). EBCPGs have
Table 1.2
Levels of Evidence for Treatment Effectiveness
Level 1
SRa of a number of RCTsb of studies (meta-analysis) that substantially agree (do not have significant
statistical variation)
Level 2
Individual RCT with narrow confidence window (size of treatment effect precisely defined)
Observational study with dramatic effectc
Level 3
Level 4
Level 5
Nonrandomized controlled cohort studyd
Case-control,e case-series,f or historically controlled studies
Mechanism-based reasoning (expert opinion)
a. SR, systematic review: a review in which the primary studies are summarized, critically appraised, and statistically
combined; usually quantitative in nature with specific inclusion/exclusion criteria.
b. RCT, randomized controlled trial: an experimental study in which participants are randomly assigned to either an
experimental or control group to receive different interventions or a placebo; the most rigorous study design.
c. All-or-none study: a study in which treatment produces a dramatic change in outcomes; all patients die before
treatment; none die after treatment.
d. Cohort study: a prospective (forward-in-time) study; a group of participants (cohort) with a similar condition
receives an intervention and is followed over time and outcome evaluated; comparison is made to a matched group
who do receive the intervention (quasi-experimental with no randomization).
e. Case-control study: a retrospective study in which a group of subjects with a condition of interest are identified for research
after outcomes are achieved; e.g., studying the impact of an intervention on level of participation; a comparison group is used.
f. Case series: clinical outcomes are evaluated of a single group of patients with a similar condition.
Adapted from OCEBM Levels of Evidence Working Group—Jeremy Howick, Iain Chalmers (James Lind Library), Paul Glasziou,
Trish Greenhalgh, Carl Heneghan, Alessandro Liberati, Ivan Moschetti, Bob Phillips, Hazel Thornton, Olive Goddard, and
Mary Hodgkinson: The Oxford 2011 Levels of Evidence. Oxford Centre for Evidence-Based Medicine. Retrieved from
www.cebm.net/index.aspx?o=5653.
20
SECTION I
Clinical Decision Making and Examination
been published for rehabilitation of patients with the
following conditions:
• Shoulder pain37
• Fibromyalgia38, 39
• Low back pain27
• Knee pain32
• Knee pain and mobility impairments: meniscal and
articular cartilage lesions33
• Hip pain and mobility impairments: osteoarthritis34
• Heel pain: plantar fasciitis35
• Neck pain36
According to Rothstein, these studies are clinically
important in that they “are not telling us what
is known and what is not known, but what is supported by evidence and what is not supported by
evidence.”40, p. 1,620 The guidelines provide a summation of best possible evidence for use in clinical
practice.
SUMMARY
An organized process of clinical decision making allows the therapist to systematically plan effective treatments.
The steps identified in the patient/client management process are (1) examine the patient, and collect
data through history, systems review, and tests and measures; (2) evaluate the data and identify problems;
(3) determine the diagnosis; (4) determine the prognosis and POC; (5) implement the POC; and (6) reexamine the patient and evaluate treatment outcomes. Patient participation in planning is essential in ensuring
successful outcomes. Evidence-based practice allows the therapist to select interventions that have been shown
to provide meaningful change in patient’s lives. Inherent to the therapist’s success in this process are an
appropriate knowledge base and experience, cognitive processing strategies, self-monitoring strategies, and
communication and teaching skills. Documentation is an essential requirement for effective communication
among the rehabilitation team members and for timely reimbursement of services.
Questions for Review
1. What are the key steps in patient/client management?
2. Differentiate between impairments, activity limitations, and participation restrictions. Define and give
an example of each.
3. What are the essential elements of goal and outcome statements? Write two examples of each.
4. Differentiate between restorative and compensatory interventions. Give an example of each.
5. What is the FITT equation? Give an example of how is it used in formulating interventions for a POC.
6. What are the advantages of electronic documentation systems? Disadvantages?
7. What are the elements of a well-built research question? Give an example. What is the highest level of
evidence available for evidence-based clinical practice guidelines?
CASE STUDY
PRESENT HISTORY
The patient is a 78-year-old woman who tripped and fell at home ascending the stairs outside the
front door. She was admitted to the hospital after sustaining a transcervical, intracapsular fracture of
the right femur. The patient had an open reduction and internal fixation (ORIF) procedure of the right
lower extremity (RLE) to reduce and pin the fracture. After 2 weeks of acute hospital admission, the
patient is at home and referred for home care physical therapy.
PAST MEDICAL HISTORY
Patient is a very thin woman (98 pounds) with long-standing problems with osteoporosis (on medication for 5 years). She has a history of falls, three in the last year alone. Approximately 3 years ago
she had a myocardial infarction and presented with third-degree heart block, requiring implantation
of a permanent pacemaker. She underwent cataract surgery with lens implantation in the right eye
2 years ago; the left eye is scheduled for similar surgery within the next few months.
CHAPTER 1
Clinical Decision Making
MEDICAL DIAGNOSES
Coronary artery disease (CAD), hypertension (HTN), mitral valve prolapse, s/p permanent heart pacer,
s/p right cataract with implant, osteoporosis (moderate to severe in the spine, hips, and pelvis),
osteoarthritis with mild pain in right knee, s/p left elbow fracture (1 year ago), left ankle fracture
(2 years ago), urinary stress incontinence.
MEDICATIONS
Fosamax 70 mg weekly
Atenolol 24 mg PO qd
MVI (multivitamin concentrate) with Fe tab PO qd
Metamucil 1 tbs prn PO qd, Colace 100 mg PO bid
Tylenol No. 3 tab prn/mild pain
SOCIAL SUPPORT/ENVIRONMENT
The patient is a retired schoolteacher who was recently widowed after 48 years of marriage. She
has two sons, one daughter, and four grandchildren; all live within an hour’s driving distance. One
of her children visits every weekend. She has a rambunctious black Labrador puppy that is 8 months
old and was given to her “for company” at the time her husband died. She was walking the dog at
the time of the accident. She is an active participant in a garden club, which meets twice a month,
and in weekly events at the local senior center. Previously she was driving her car for all community
activities.
She lives alone in a large old New England farmhouse. Her home has an entry with four stairs and
no rail. Inside there are 14 rooms on two floors. The downstairs living area has a step down into the
family room with no rail. There are 14 stairs to the second floor, with rails on either side. The upstairs
sleeping area is cluttered with large, heavy furniture. The second floor bathroom is small, with a high
old tub with pedestal feet and a lip. There is no added equipment.
PHYSICAL THERAPY EXAMINATION
1. Mental status
Alert and oriented × 3
Pleasant, cooperative, articulate
No apparent memory deficits
Good problem solving and safety awareness about hip precautions
2. Cardiopulmonary status
Pulse 74; BP 110/75
Endurance: good; min SOB with 20 min of activity
3. Sensation
Vision: wears glasses; cloudy vision L eye; impaired depth perception
Hearing: WFL
Sensation: BLEs intact
4. Skin
Incision is healed and well approximated
Wears bilateral TEDs q a.m. × 6 wks
5. ROM
LLE, BUEs: WFL
Affected RLE:
Flex 0° to 85°
Ext NT
Abd 0° to 20°
Add NT
IR, ER NT
Right knee and ankle WFL
21
22
SECTION I
Clinical Decision Making and Examination
6. Strength
LLE, BUEs: WFL
Affected RLE:
Hip flex NT (not tested)
Hip ext NT
Hip abd NT
Knee ext 4/5
Ankle DF 4/5, PF 4/5
7. Posture
Flexed, stooped posture: moderate kyphosis, flexed hips and knees
1/ -inch leg length shortening on RLE; uses wedge when sitting
2
Mild resting head tremor
8. Balance
Sitting balance: WFL
Standing balance:
Eyes open: good; leans slightly to left side
Eyes closed: unsteady, begins to fall
Arises from chair without help, some initial unsteadiness; sitting down: safe, smooth motion
Uses 2-inch foam cushions to elevate seat of kitchen chair and living room chair
9. Functional status
Patient was completely independent (I) before her fall.
Results of functional examination:
I bed mobility
I transfers; unable to do tub transfers at present
I ambulation with standard walker × 200 feet on level surfaces, partial weight-bearing RLE
Increased flexion of knees and dorsal spine
I one flight of stairs with rail and SBQC
I dressing; requires minimal assist (MinA) of home health aide for sponge baths
Requires moderate assistance (ModA) of home health aide for homemaker activities
10. Patient is highly motivated
“I want to get my life back together, get my dog home again so I can take care of him.”
PRIMARY INSURANCE
Medicare
Guiding Questions
1. Develop a prioritized problem list for this patient’s POC. Identify and categorize the patient’s
impairments (direct, indirect, composite). Identify her activity limitations and participation
restrictions.
2. What information is available about her functional status within the home in terms of performance
versus capacity qualifiers?
3. What is her rehabilitation prognosis?
4. Write two expected outcome and two goal statements to direct her POC.
5. Identify two treatment interventions for her POC.
6. What precautions should be observed?
7. What tests and measures can be used to determine successful attainment of outcomes?
CHAPTER 1
Clinical Decision Making
23
For additional resources, including answers to the questions for review and case study guiding questions,
please visit http://davisplus.fadavis.com
References
1. Rothstein, JM, Echternach, JL, and Riddle, DL: The hypothesisoriented algorithm for clinicians II (HOAC II): A guide for patient
management. Phys Ther 83:455, 2003.
2. World Health Organization (WHO): ICF: Towards a Common
Language for Functioning, Disability, and Health. Geneva,
Switzerland, 2002. Retrieved March 4, 2011, from www.who.
int/classifications/en.
3. World Health Organization (WHO): ICF CHECKLIST,
Version 2.1a, Clinician Form for International Classification of
Functioning, Disability and Health. Geneva, Switzerland, 2003.
Retrieved March 4, 2011, from www.who.int/classifications/icf/
training/icfchecklist.pdf.
4. American Physical Therapy Association: Guide to physical therapist
practice. Phys Ther 81:1, 2001.
5. Randall, KE, and McEwen, IR: Writing patient-centered functional
goals. Phys Ther 80:1197, 2000.
6. Sarhman, SA: Diagnosis by the physical therapist—a special
communication. Phys Ther 68:1703, 1988.
7. Rothstein, J: Disability and our identity. Phys Ther 74:375, 1994.
8. Guide for the Uniform Data Set for Medical Rehabilitation
(including the FIM instrument), Version 5.0. State University of
New York, Buffalo, 1996.
9. Watts, N: Decision analysis: A tool for improving physical therapy
education. In Wolf, S (ed): Clinical Decision Making in Physical
Therapy. FA Davis, Philadelphia, 1985, p 8.
10. Resnik, L, and Jensen, G: Using clinical outcomes to explore
the theory of expert practice in physical therapy. Phys Ther
83:1090, 2003.
11. Ozer, M, Payton, O, and Nelson, C: Treatment Planning for
Rehabilitation—A Patient-Centered Approach. McGraw-Hill,
New York, 2000.
12. World Health Organization: International Classification of
Diseases, Ninth Revision, Clinical Modification (ICD-9-CM)
(Volumes 1, 2, 3, and Guidelines). Distributed by the National
Center for Health Statistics (NCHS) and the Centers for Medicare
and Medicaid Services (CMS). Retrieved March 4, 2011, from
www.cdc.gov/nchs/icd/icd9cm.htm.
13. Jensen, GM, Shepard, KF, and Hack, LM: The novice versus
the experienced clinician: Insights into the work of the physical
therapist. Phys Ther 70:314, 1990.
14. Jensen, GM, Gwyer J, Shepard KF, et al: Expert practice in
physical therapy. Phys Ther 80:28–51, 2000.
15. Jensen, GM, Gwyer, JM, Hack, LM, et al: Expertise in Physical
Therapy Practice, ed 2. Saunders Elsevier, St. Louis, 2006.
16. Embrey, DG, Guthrie, MR, White, OR, et al: Clinical decision
making by experienced and inexperienced pediatric physical therapists for children with diplegic cerebral palsy. Phys Ther 76:20, 1996.
17. Edwards, I, Jones, M, Carr, J, et al: Clinical reasoning strategies in
physical therapy. Phys Ther 84:312, 2004.
18. Jensen, GM, et al: Attribute dimensions that distinguish master
and novice physical therapy clinicians in orthopedic settings. Phys
Ther 72:711, 1992.
19. May, BJ, and Dennis, JK: Expert decision making in physical
therapy: A survey of practitioners. Phys Ther 71:190, 1991.
20. Embrey, DG: Clinical applications of decision making in pediatric
physical therapy: Overview. Pediatr Phys Ther 8:2, 1996.
21. Embrey, DG, and Yates, L: Clinical applications of self-monitoring
by experienced and novice pediatric physical therapists. Pediatr
Phys Ther 8:3, 1996.
22. Greenfield, BH, Anderson, A, Cox, B, et al: Meaning of caring
to 7 novice physical therapists during their first year of clinical
practice. Phys Ther 88:1154, 2008.
23. Harris, S: How should treatments be critiqued for scientific merit?
Phys Ther 76:175–181, 1996.
24. Guccione, A, Goldstein, M, and Elliott, S: Clinical research
agenda for physical therapy. Phys Ther 80:499–513, 2000.
25. Goldstein, M, Scalzitti, D, Craik, R, et al: The revised research
agenda for physical therapy. Phys Ther 91:165–174, 2011.
26. Staus, S, Glasziou, P, Richardson, W, et al: Evidence-Based
Medicine: How to Practice and Teach EBM, ed 4. ChurchillLivingstone-Elsevier, New York, 2011.
27. Philadelphia Panel: Evidence-based clinical practice guidelines on
selected rehabilitation interventions for low back pain. Phys Ther
81:1641, 2001.
28. Law, M, and MacDermid, J (eds): Evidence-Based Rehabilitation,
ed 2. Slack Inc., Thorofare, NJ, 2008.
29. Jewell D: Guide to Evidence-Based Physical Therapy Practice.
Jones & Bartlett, Boston, 2008.
30. Scalzitti, D: Evidence-based guidelines: Application to clinical
practice. Phys Ther 81:1622, 2001.
31. Philadelphia Panel: Evidence-based clinical practice guidelines on
selected rehabilitation interventions: Overview and methodology.
Phys Ther 81:1629, 2001.
32. Philadelphia Panel: Evidence-based clinical practice guidelines on
selected rehabilitation interventions for knee pain. Phys Ther
81:1675, 2001.
33. Orthopedic section, APTA: Knee pain and mobility impairments:
Meniscal and articular cartilage lesions clinical practice guidelines
linked to the International Classification of Functioning, Disability,
and Health. JOSPT 40(6):A30, 2010.
34. Orthopedic section, APTA: Hip pain and mobility impairments—
hip osteoarthritis: Clinical practice guidelines linked to the International Classification of Functioning, Disability, and Health.
JOSPT 39(4):A18, 2009.
35. Orthopedic section, APTA: Heel pain—plantar fasciitis: Clinical
practice guidelines linked to the International Classification of
Functioning, Disability, and Health. JOSPT 40(6):A30, 2010.
36. Orthopedic section, APTA: Neck pain: Clinical practice guidelines
linked to the International Classification of Functioning, Disability,
and Health. JOSPT 40(6):A30, 2010.
37. Philadelphia Panel: Evidence-based clinical practice guidelines on
selected rehabilitation interventions for shoulder pain. Phys Ther
81:1719, 2001.
38. Ottawa Panel: Ottawa Panel evidence-based clinical practice
guidelines for aerobic fitness exercises in the management of
fibromyalgia: Part 1. Phys Ther 88:857, 2008.
39. Ottawa Panel: Ottawa Panel evidence-based clinical practice
guidelines for strengthening exercises in the management of
fibromyalgia: Part 2. Phys Ther 88:873, 2008.
40. Rothstein, J: Autonomous practice or autonomous ignorance? Phys
Ther 81:1620, 2001.