1. Webinar: Tips For Your 2012 Compliance Workplan 20 October 2011

2. 1 ProviderTrust webinar The Question: What are you doing about, and how comfortable are you that, your current licensed staff is continuously qualified? Properly licensed Have no Sanctions or Disciplinary Actions Maintain required Certificates (ACLS, BLS, CPR) Not Excluded or Debarred by OIG/GSA Maintain proper Continuing Education Files are ready for Joint Commission audit Do you have one place to go to determine the above across your entire organization?

3. 2 ProviderTrust webinar HealthCare Qualification Challenges Licenses and Certificates managed separately Government regulation of licenses & certificates Reimbursement oversight (Medicare & Medicaid requirements) Legal liability- Negligent Hire/Retention Exposure to costly fines & judgments (OIG- CMP) States do not alert employers of disciplinary action New laws expand exclusions and scope of search Joint Commission and State Audit- are you ready?

4. 3 ProviderTrust webinar The Law PPACA 6501- Excluded in One, Excluded in All CMS Guidelines- recommends, with guidance, monthly monitoring for exclusions State Medicaid Director Letter June 2009 Directing States to remind Providers (Employers) obligation to monitor State Medicaid Bulletins to Providers Some states extend exclusions to referring or ordering physicians NY requires searching for exclusions in adjacent States

5. Poll Question 1

6. 5 ProviderTrust webinar Fiscal Year 2012 HHS OIG Work Plan-Impact on Your Organizational Compliance OIG will continue to pursue and fine organizations for Civil Fines and Penalties for non- compliance for Fraud and Abuse. Billing CMS for services (directly or indirectly) by Excluded individuals/entities is considered Fraud and Abuse. Your task is to ensure that your organization is not billing for Ineligible Persons who have been: 1.Excluded at a State or Federal Agency 2.Sanctioned or Disciplined-resulting in license revocation, suspension or exclusion 3.Not properly licensed to provide care

7. 6 ProviderTrust webinar What are your Risks? Inconsistent processes applied across the organization Not searching for records/sanctions/exclusions outside state of residence Reliance solely on the OIG LEIE and GSA Debarment lists Searching for exclusions upon hire and then not until renewal No reserves for Civil Fines and Penalties Staff is not properly trained on how to search or review possible matches Loss of CMS billing Privileges under PPACA 6502

8. 7 ProviderTrust webinar Risk Exposure: The cost of not “knowing” Medicare/Medicaid billing participation Up to $10,000 fine for each item/service billed Treble (3x) damages Possible exclusion Charges under Federal False Claims Act Legal liability Negligent hire or retention Loss of CMS Reimbursement Privileges (PPACA 6502) State fines for practicing without a license

9. 8 ProviderTrust webinar Nationwide Exclusions Search: Why relying only upon OIG (LEIE) is a Risk Audit: States reporting only 60.6% Exclusions/Sanctions to OIG Note: 11 States reported 75% 19 State Medicaid Abuse Registries

10. 9 ProviderTrust webinar Why are persons excluded? Sexual Assault Patient Abuse Fraudulent Billing Failure to pay HEAL loans (NEW in 2011) Criminal convictions related to program Controlled Substance criminal convictions reported to Boards

11. 10 ProviderTrust webinar Most common Exclusion: License Revocation, Suspension

12. Poll Question 2

13. 12 ProviderTrust webinar Case Studies: ProviderTrust experience: 2-3% in any organization experience some form of the following Disciplinary actions Multi-state complaints and actions Drug and alcohol disciplinary actions Revoked licenses Abuse reports False Social Security numbers Denied reinstatement

14. 13 ProviderTrust webinar 2 Providers, Similar Exclusions, Different Treatment by OIG A recent case highlights the importance of timely self-disclosure when an employer discovers it has billed CMS for services provided by an Excluded Provider as well as how fines may differ for similar exclusions. In Maryland, two separate healthcare companies each employed and billed CMS for reimbursement of excluded providers. However, each company approached the violation and reporting in different ways. Their treatment by OIG reflects how they opted to cope with and self-disclose the issue. http://aishealth.com/archive/nmcn0711-01

15. 14 ProviderTrust webinar Licensed Employees Only? American Senior Communities recently settled with the OIG for $376,000 for employing 7 excluded providers. Fines included CNAs and kitchen staff. oig.hhs.gov/publications/docs/press/2010/asc_cmp.pdf oig.hhs.gov/publications/docs/press/2010/asc_cmp.pdf Lessons Learned: 1.Better to self disclose than to be found by Medicaid Fraud Control Unit Investigators 2.Civil and Monetary Fines can, have been and will be imposed against non-licensed healthcare excluded workers (kitchen staff) 3.Providers must screen all employees for and against exclusions, regardless of title or function 4.No excuse for not knowing: Standard is 'knew or should have known” 5.Even though some excluded employees services are not directly reimbursed by CMS, fines and penalties are still imposed as “contributors” of care.

16. 15 ProviderTrust webinar What about Vendors/Suppliers? They can be excluded or debarred CMS recommends monthly monitoring for exclusions or debarments OIG can fine owners of Vendors/Suppliers Important if company is sole proprietorship as well as if owner has been excluded from large company

17. 16 ProviderTrust webinar What should your organization be doing and how often? Match your facility or company requirement policies to primary source license and sanction data and required documents, certifications or education on healthcare professionals and vendors. On a monthly basis Across all 50 States and applicable Federal data sets such as Medicaid, Medicare, Licensing and Disciplinary Boards, and Excluded Parties (individuals and entities) Covering approximately 1,400 Primary Source data sources. Reporting matched cases for actionable decisions Ensuring your compliance with CMS Guidelines and the PPACA 6501 & 6502 at all times.

18. 17 ProviderTrust webinar Ensure Ongoing, Qualified Providers: Best Practice Ongoing monthly sanction & exclusion screening- All Employees/Vendors/Entities Ongoing monthly license verification-Licensed Employees Web-based Management of license/Certificate expirations Meet new Federal requirements under CMS guidelines & PPACA Consistent and Defensible Processes throughout Organization

19. ProviderTrust Demo

20. 19 ProviderTrust webinar Compliance Dashboard

21. 20 ProviderTrust webinar Monitor Dashboard

22. 21 ProviderTrust webinar Monitor Result Overview

23. 22 ProviderTrust webinar Monitor Result Overview