1. CORPORATE COMPLIANCE PROGRAM The Center for Hospice & Palliative Care

2. Purpose of Corporate Compliance The Center for Hospice & Palliative Care has established a Compliance Plan to ensure that its employees comply with Federal and State fraud and abuse laws, including: the Anti-Kickback Law, the False Claims Act the Stark Self-Referral Act, and NYS False Claims Act.

3. Corporate Compliance Programs… Definition: “A comprehensive and formal program designed to prevent, detect and respond to violations of the law by an organization’s employees.”

4. Program Intentions Compliance programs are a remedy for controlling health care fraud. Help employees better understand the ethical, professional and legal obligations we have as health care providers.

5. Program Intentions Keep all employees familiar with the ethical standards that should guide our actions.

6. Program Intentions Educate all employees regarding our standards and expectations

7. Program Intentions Provide tools for making responsible decisions and a process for reporting concerns

8. Program Intentions Prevent, find and correcting violations of CHPC standards and governmental laws and rules.

9. Program Intentions Provide for disciplinary action up to and including termination to be taken for violations of compliance regulations

10. Fraud: Material false statements or representations made to obtain some benefit to which one is not entitled What Constitutes Fraud and Abuse?

11. Fraud Violations of regulations or laws that occur when committed for self or on behalf of another party Acts in violation of laws or regulations that are performed knowingly and intentionally

12. Fraud Examples Documenting that a visit was made, but there is no clinical documentation to show that the clinician was actually there. Documenting anticipated information on an assessment prior to actually seeing the patient.

13. Abuse: Practices resulting, directly or indirectly, in unnecessarily increased costs Overuse of medical services, products or both

14. Abuse Examples: Medically unnecessary services Failure to conform to professionally recognized code

15. Abuse Examples: Unfair or unreasonable pricing Restrictions of patient choice for his/her healthcare

16. Federal Laws

17. Anti-Kickback Law The Federal Anti-Kickback Law prohibits the knowing and willful offer or receipt of money or anything else of value (including any kickback, bribe, or rebate), directly or indirectly, in return for, or to induce the referral or recommendation of, Medicare or Medicaid business.

18. The Stark Act With certain exceptions, the Stark Law prohibits a physician who has a “financial relationship” with an entity from referring patients to that entity for certain “designated health services”.

19. The False Claims Act Individuals or entities that knowingly file fraudulent or false claims that are payable by the Medicare program are subject to both criminal and civil liability.

20. HIPAA The federal Health Insurance Portability and Accountability of 1996 (HIPAA). This law is covered in its own Mandatory Education Program

22. State Law

23. Deficit Reduction Act Signed into law in February 2006. Goal is to reduce federal deficit due to Medicaid fraud and abuse cases Rewards states that find fraud and abuse cases. Protects whistle blowers. Claims must be substantiated

24. NYS False Claims Act (Passed April, 2007) Establishes liability for certain acts related to any person who: 1. knowingly presents, or causes to be presented, a false or fraudulent claim for payment or approval; 2. knowingly makes, a false record or statement to get a false or fraudulent claim paid or approved; 3. conspires to defraud the state or a local government by getting a false or fraudulent claim allowed or paid;

25. Standards of Conduct Statement In keeping with the mission and goals of The Center for Hospice & Palliative Care, and in keeping with compliance of Federal and State laws, all staff, volunteers, and other agents are expected to comply with the following guidelines.

26. Standards of Conduct 1. Maintain a high level of business ethics 2.All communications must be honest and contain no false or misleading statements.

27. Standards of Conduct 3. Staff and contractors are prohibited from soliciting tips, personal gratuities, or gifts from patients. They may accept unsolicited non-monetary gratuities and gifts of nominal value from patients. For purposes of this standard, “nominal value” is defined as $50 or less.

28. Standards of Conduct 4.Staff and contracted individuals must refrain from conduct that violates applicable fraud and abuse laws or regulations 5.Care must be exercised in acceptance of Honoraria and offers for attendance at vendor sponsored workshops. Staff should check with their supervisor if there is any uncertainty

29. Standards of Conduct 6. Staff cannot use business inducements, through the improper use of payments, to gain any advantage 7.CHPC staff and Board Members must disclose any relationship or conflict of interest that might impede the exercise of their duties

30. Standards of Conduct 8. Staff must avoid the inappropriate release of confidential, sensitive or proprietary information, whether patient or personnel data, and comply with all HIPAA requirements. Cannot share patient information with friends or family

31. Standards of Conduct 9. CHPC funds, time or equipment must not be used by staff for lobbying or political purposes. 10. It is the policy of CHPC to provide equal opportunity to staff and patients in compliance with all applicable local, State and Federal laws

32. Standards of Conduct 11. CHPC must comply and respect environmental laws and regulations as well as conserve natural resources. 12. Improper or fraudulent accounting or documentation of financial reporting is contrary to CHPC policy and may be in violation of applicable laws.

33. Standards of Conduct 13. It is CHPC’s policy that representatives shall not suffer a financial loss or financial gain as a result of business travel or entertainment. 14. Staff are not permitted to use CHPC equipment, facilities, supplies and services for personal benefits.

34. Standards of Conduct 15. Violations of the Standards of Conduct will be addressed at all levels fairly and without prejudice. In the event of a violation, personnel will be subject to corrective action in accordance with applicable policies including, but not limited to, probation, suspension or termination.

35. Standards of Conduct 16. The discovery of any event or behavior which is of questionable, fraudulent or illegal in nature or which appears to be in violation of the Standards of Conduct or is in violation of CHPC policies and procedures is to be reported immediately to appropriate supervisory or management personnel of CHPC or to the Corporate Compliance Officer.

37. Specific Risk Standards Admissions Billing/Fiscal Referrals/Marketing/ Patient Solicitation IDG Oversight Home Health Care Nursing Homes

38. Admissions/Eligibility Uninformed Consent to elect Medicare Hospice benefits. Patients admitted who are not terminally ill.

39. Admissions/Eligibility Untimely/forged MD certifications on plans of care. Pressure on patients to revoke benefit when still eligible and desire care.

40. Billing/Fiscal Billing for higher level of care than necessary. Knowing misuse in provider certification numbers which results in improper billing.

41. Billing/Fiscal Failure to return overpayments made by Federal health care programs.

42. Billing/Fiscal Arrangement with another health care provider who a Hospice knows is submitting claims for services already covered by the Medicare Hospice benefit.

43. Referrals/Marketing/Patient Solicitation High pressure marketing of Hospice care to ineligible beneficiaries. Improper patient solicitation activities, such reviewing medical records in order to recruit based on diagnosis.

44. Referrals/Marketing/Patient Solicitation Sales commission based on length of stay in Hospice Non-response to late Hospice referrals by physicians.

45. Referrals/Marketing/Patient Solicitation Hospice incentive to actual or potential referral sources (MD’s, NH’s, hospital patients, etc.) that may violate the anti- kickback statute or other Federal/State statutes or regulations.

46. Interdisciplinary Group (IDG) Oversight 1. Inadequate or incomplete services rendered by the IDG Services provided in timely manner 2. Hospice must ensure appropriate oversight of Medicare criteria for continued patient participation.

47. Interdisciplinary Group (IDG) Oversight Under-utilization – Cannot reduce services for purpose of reducing costs Deficient coordination of volunteers

48. Interdisciplinary Group (IDG) Oversight Failure to adhere to Hospice licensing requirements and Medicare Conditions of Participation. Falsified medical records or plans of care.

49. Interdisciplinary Group (IDG) Oversight Untimely and or forged physicians’ certifications on plans of care. False dating amendments to medical records.

50. Nursing Homes Hospice incentives to referral sources that may violate the anti-kickback statute or others laws. Overlap in services

51. Nursing Homes Improper relinquishment of core services and professional management responsibilities. Providing Hospice services before finalized written agreement.

53. Compliance Education

54. Reporting Concerns: Recommended Three Step Process.. Immediate Supervisor Higher Level Manager Corporate Compliance Officer NOTE: If concerns regarding questionable behaviors involve an employee’s immediate supervisor the Corporate Compliance Officer may be contacted directly.

55. Methods of Reporting..

56. What Types of Situations Should be Reported to the Hotline? Typical calls could pertain to billing fraud, suspected embezzlement; time or expense abuses, conflicts of interest, kickbacks, discrimination, harassment or other violations of federal or state laws. Misconduct not dissatisfaction Not employee disputes or routine workplace issues.

58. Additional Questions Corporate Compliance Officer: 1-800-822-3384 Thank you for participating in this session. Proceed to the next slide to take the quiz