Upload
morgan-williamson
View
220
Download
1
Embed Size (px)
Citation preview
FY 2014 Corporate
Compliance& Rights
Protection Training
GAO: 3 PRIMARY CATEGORIES OF FRAUD
AND ABUSE
Improper billing practices: upcoding, phantom treatment, delivering more treatment than necessary.
Misrepresenting qualifications: lapsed, expired or false credentials; performing outside the bounds of one’s license.
Improper business practices: kickbacks for referrals to a provider, cost report issues, enhancement of profits by limiting care.
2
LAWS TO BE AWARE OF
The Federal Anti-kickback Statute
The Stark Law The Texas Illegal
Remuneration Statute Civil Money Penalties
Statute The Federal False
Claims Act The Medicaid Fraud
Prevention Act3
THE ANTI-KICKBACK STATUTE
Applies to everyone not just licensed staff
“Knowingly & willfully” - There must be intent to engage in wrongful act
“Solicits or receives/offers or pays” – the prohibition applies both to the offer and acceptance of a kickback.
“Remuneration, directly or indirectly…” – does not require exchanges of money just anything of value.
4
THE FEDERAL FALSE CLAIMS ACT
Submitting or causing to be submitted a claim for payment using a false record.
Knowingly or with reckless disregard or deliberate ignorance of the falsity of the claim.
Fines can be enormous. Fraud Enforcement and
Recovery Act expanded FCA to include claims to non government payors. Creates liability for knowingly concealing the retention of an overpayment.
5
MEDICAID FRAUD PREVENTION ACT
Applies to everyone not just licensed staff
Knowledge or acts with conscious indifference or reckless disregard
Provides a multitude of actions that constitute fraud, including actions by managed care organizations.
Penalties: Revocation of provider agreement, Medicaid Exclusion list for no less than 10 yrs., state license discipline, and monetary restitution.
6
PROVIDER EXCLUSIONS DATABASE
Any individual or entity that provides or is involved in the provision of, or billing for services or items reimbursable by federal health care programs may be excluded (MDs, nurses, aides, PTs, billing companies, non-licensed persons involved in some aspect of health care industry).
Most common exclusions include: license revocation/suspension, program-related convictions, patient abuse and neglect and default on health education loans.
Exclusion does not expire or end on its own terms; an individual or entity must apply to the OIG for reinstatement.
Liability for using an excluded individual or entity include:o Civil money penalty of $10K for each
item or service claimedo Assessment of up to three times the
amount claimedo The violating entity could be added
to the exclusion database 7
REPORTING COMPLIANCE ISSUES
(CODE OF CONDUCT, # 14)
As a general rule, report to your supervisor
As another option you may report directly to the Compliance Officer, Cindy Keggo In person at the League City officeo Phone / voice mail: 1-888-839-
3229o Interoffice mail (send to GCC-
League City)o U.S. Mail: 4444 W. Main League
City 77573 o E-mail:
[email protected] FAX: (281) 338-2460
DO NOT MAKE THE EASY
MISTAKE OF FAXING TO 388-2460 (this is a CPA Office in Alvin!)
8
ACTION TAKEN IN DETECTED COMPLIANCE OFFENSES AND OTHER CONFIRMED CASES OF
MISCONDUCT (INCLUDING ABUSE NEGLECT AND
EXPLOITATION)
Considerations: Seriousness, Circumstances, Work Record, Length between Violations
Possible Actions: Required Training, Written Reprimand, Probation, Demotion,
Reassignment, Termination, Disclosures as required by Law
Confirmed Cases of Abuse, Neglect or Exploitation:
Reported in CANRS May be reported to the Employee Misconduct Registry, effective September 1, 2010. (Senate Bill 806, 81st Legislature)
Compliance Offenses: May Include a Corrective Action Plan for both the targeted staff and the supervisor
Reassignment may occur during an investigation
9
PROTECTING CONFIDENTIALITY
(CODE OF CONDUCT, # 10) You have breached confidentiality if you
disclose information to a third party who is not involved in furthering care or does not have a legitimate need to know.
People included in furthering care are doctors, nurses, social workers, service coordinators & others directly involved in the care of the individual.
People not included in furthering care are those in environmental services, personnel, patient friend’s and family, your friends, and colleagues not involved in the care of the individual.
The Mental Health Code (MHC) does allow the release of information to law enforcement if there is a threat of harm to self or others, or to assist in medical evaluation or treatment.
If your employment ends, you are still bound to maintain confidentiality of all records and information accessed during your employment.
Information is not given to: family members or friends without a release, law enforcement who do not meet the MHC exceptions, legislature, or Center personnel not involved in care.
10
THE HITECH ACT & BREACH
NOTIFICATION
The act defines a breach as the “unauthorized acquisition, access, use or disclosure of protected health information which compromises the security or privacy of the protected health info, except where an unauthorized person to whom such information is disclosed would not reasonably have been able to retain such information .
Must notify the consumer/client within 60 days of discovery of the breach
Notification shall include: description of what happened, what info was involved, steps they should take, and steps we have taken, and contact procedures for if they have questions.
If more than 500 people involved …must notify the media
Requires encryption of data [safetosend] Red Flags for Identity Theft:
o Appointment scheduling and patient registration: info looks forged, doesn’t know DOB, physical description does not match identifying info.
o Delivery of services: records indicate treatment inconsistent with exam, info in record contradicts what is already known of client,
o Consumer/client billing and questions: address discrepancies, consumer disputes bill claiming identity theft, consumer receives a bill for services not received, address change that doesn’t seem legitimate.
o Inquiries from Third Party: law enforcement, SSA notifies us the consumer is dead, USPS informs us not an accurate
address, contact from an insurance fraud investigator
11
HIPAA...STAFF ACTIONS
Employees access PHI only to the degree necessary to perform their jobs. Staff should only have access to
PHI regarding the consumers that they are working with, not other persons receiving services
Any staff persons outside the interdisciplinary team working with a consumer probably do not have a need to know PHI about the individual
If you are unsure of who to release information to, DON’T RELEASE IT!!! Check with your Supervisor, or Linda Bell, Director of Legal Affairs.
12
Staff Actions
Employees have a duty to safeguard PHI from intentional or unintentional use of disclosure that is in violation of the HIPAA Privacy Rule by…
Keeping records locked up when not in use.
Users should log off their computers while
away from their desks.Computer screens should not be in plain
sight of publicWritten information in nurse stations,
desks, etc., should be covered from public view.
Discussions about consumers should be made
in private, away from public areas. Electronic records should be kept secure.
Facilities should monitor who accesses PHI.
Paper records should be shredded and never left in the garbage for disposal with regular trash.
Do not share your computer password with anyone. Create a password that is unique and difficult for someone else to guess.
Do not write it down where someone else can see it or find it.
13
Staff Actions
Employees refer requests for PHI, requests from persons served to amend records, and related requests to the appropriate office.
All requests made by consumers should be reported to Liz Bennett, Technical Assistant Medical Records Administration, located at Southern Brazoria County CSC:
o Direct line: (281) 585-7389 or;
o SBCSC (979) 848-0933 x11313
o Fax: (979) 848-0937 (call to confirm receipt of fax)
If you receive a subpoena, court
order, or a request for an affidavit,
notify Liz Bennett immediately.
14
Staff Actions
Employees report or assist others in reporting suspected privacy rights / HIPAA violations If an employee or consumer wishes to
make a complaint about The Gulf Coast Center, call or refer them to:o Cindy Kegg, The Gulf Coast
Center’s Rights Protection Officer/Corporate Compliance Officer
o TDSHS or TDADS Office of Consumer Services and Rights Protection
o U.S. Department of Health and Human Services
o Texas Attorney General’s Office 15
CONSUMER / CLIENT RELATIONS
(CODE OF CONDUCT # 12)
All consumers/clients deserve to be treated with dignity and respect and have the right to be involved in their care. Dignity and respect includes the elimination of prejudicial language.
It is the responsibility of each employee to ensure that the rights of clients are protected.
Each employee must familiarize themselves with rights set forth in policy, procedures and in the rights protection handbook. 16
Dating Implied Sexual and Sexual in Nature Contacts (i.e., physical act, telephonic and electronic)No Living Arrangement AgreementsNo loans or storing/holding of Consumer Funds/MoneyStaff may accept no monetary gifts. Policy does allow acceptance of gifts of <$50.00. Recovery programs can not accepts gifts, monetary or otherwiseConsumers can not do chores (i.e. picking up trash or cleaning restrooms) for cigarettes or other privileges; this is a violation of the Department of LaborCaution: Telephone communications should be limited to Center Business due to misinterpretations of others.Caution: If a consumer/client has a business and you would like to bid for his services or have him do some work for you do realize that there may be some ramifications for such action. The relationship may appear to have some form of exploitation.Caution: Avoid the appearance of inappropriate behavior.
FORBIDDEN CONSUMER -EMPLOYEE
RELATIONSHIPS (CODE OF CONDUCT # 12)
17
PREVENTING ABUSE, NEGLECT AND EXPLOITATION
Learn your Job Understand expectations
and focus on doing your job well.
Communication Don’t take your anger or
frustration out on persons served or their
families. Do your part to help foster positive relationships with co-workers
and keep morale high.
Stress Management Manage your stress levels.
Personal Problem Management Leave personal problems outside of the workplace. If you are having difficulty
with this, speak to your supervisor. Seek
help if you need it!
18
RECOGNIZING SIGNS / SYMPTOMS OF
POSSIBLE ABUSE(CODE OF CONDUCT # 12)
Multiple scratches, cuts, bruises, burns
Unusual patterns of injuries
Inadequate or illogical explanation of injury
Serious injuries: sprains, breaks, bedsores
Reports of confinement
Reluctance to participate in physical
exams
Passive, withdrawn behavior with certain people
19
RECOGNIZING SIGNS / SYMPTOMS OF
POSSIBLE NEGLECT(CODE OF CONDUCT # 12)
Lack of food or malnourishment
Lack of water or dehydration
Withholding meds/overmedicating
Inadequate shelter
Unsanitary living conditions
Untreated health problems
Lack of personal hygiene / clothes
20
EXAMPLES OF EXPLOITATION
(CODE OF CONDUCT # 12)
Taking, holding, borrowing money (even if the money was paid back)
Taking Social Security /SSI checks
Taking property
Exchanging items of unequal value
Requesting items to be purchased for staff
Using consumers as free labor
21
REPORTING ALLEGATIONS OF SUSPECTED ABUSE,
NEGLECT OR EXPLOITATION (MH & IDD SERVICES)
ALL staff have the responsibility to report
the staff in receipt of the information should
make the report
DO NOT contact co-workers, your
supervisor, or the Rights Protection Officer
and ask his/her opinion on whether or not to
report. THE DECISION IS YOURS! refer to the definitions of abuse, neglect
and
exploitation provided in this training (CANRS)
Immediately (within 1 hour) make a report to DFPS via the website or statewide intake phone number:
o www.txabusehotline.orgo 1-800-647-7418
If the alleged perpetrator is a Center staff or contract staff, complete an Incident Report within 24 hours and fax/scan to RPO
NOTE: Employees and Consumers are protected from retaliation when reporting
22
REPORTING…CONTINUED
DO NOT notify the alleged perpetrator of the impending investigation.DO NOT conduct a mini-investigation.DO NOT discuss the incident
with others.
DO preserve the safety of the
person and arrange for emotional support or
medical care as appropriate DO protect any evidence (i.e. take pictures, secure the record, etc.) DO cooperate with DFPS investigators
23
WHEN YOU MAY NOT RELEASE INFORMATION
ON A CENTER CLIENTThe “Interpretive Guidance on Laws
Pertaining to Privacy of Mental Health and Mental Retardation Records for the MHMR Service Delivery System” pursuant to the TAC Protected Health Information, Chapter 414, Subchapter A, states:
§ When Authorization is not
Required to Use or Disclose Protected Health Information that Relates to MHMR Services (b) When required or authorized by law
(3) A component may disclose PHI to the Department of Family and Protective Services) when necessary to report or cooperate in the investigation of suspected child abuse or neglect.
However, the PHI of a parent or other person responsible for the care of the child who is the subject of the report or investigation may only be disclosed pursuant to a court order.
24
Notifies RPO
DFPS receives a report (website or
1-800 number)
APS initiates an investigation
Case Close
d
APS mails completed investigative report to RPO
upon completion
Copy of report given to ED, Review Committee and if confirmed, to
staff; Case reviewed
What Happens When a DFPS Investigation
Occurs?
RPO notifies ED, Review Committee, Supervisor
Disagree with
findings
Agree with
findings
Request for
Review forwarde
d to Assistant Commis-sioner of
APS 25
INCIDENT REPORTS…WHEN TO REPORT
(CODE OF CONDUCT #15)
• Actual or suspected abuse, neglect or exploitation /other rights violations when a staff person is the alleged perpetrator
• Vehicle Accidents &
Injuries(client or staff) Report immediately to
• James Rollens III• at 713-545-7595• Violent behavior• (client or staff)• Threats or acts of
aggression (client or staff)• Destruction /loss • of property (client
or staff)• Illegal behavior
(client or staff)
Medical emergencies
Psychiatric emergencies
Serious infraction of program rules (client or staff)
Loss of consumer record
Use of personal restraint(if not part of approved Behavior Plan)
Missing consumer Death of consumer Fire Violations of the
Business Code of Conduct, as appropriate.
EMAILS W PHI SENT
W/O ENCRYPTION
26
INCIDENT REPORTS …PROCEDURES
The following reports must be submitted to
the RPO within 24 hours:
1) abuse/ neglect/ exploitation/ other
rights issues (when staff is
the alleged perpetrator)
2) deaths (active clients)
3) incidents involving workman’s comp (also fax to Ricki at
Admin!) All other reports must be submitted to the RPO within 48
hours
Write legibly Fill in all appropriate blanks Include your
response / follow-up to
incident then…
1) Fax to RPO in League City: 281-338-
2460 / Send original to
RPO immediately, OR
2) Submit electronically
REMEMBER, Do not keep a copy or put a copy in the record
27