Introduction
As the Compliance Officer of a large medical facility, it is crucial to have well-defined policies in place to ensure adherence to compliance regulations and guidelines. These policies play a vital role in preventing and detecting any form of misconduct, fraudulent activities, or violations within the organization. This paper aims to present two compliance plans for a medical facility and provide policies that address specific key elements of compliance.
Compliance Issue 1: HIPAA Privacy Rule
The Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule is one of the essential components of compliance for healthcare organizations. It governs the protection and disclosure of patients’ individually identifiable health information (IIHI). To ensure compliance with the HIPAA Privacy Rule, the following policies will be implemented:
1. Policy 1: Protection and Non-Disclosure of PHI
Objective: To protect patients’ privacy and prevent unauthorized disclosure of Protected Health Information (PHI).
Policy:
a. All employees are required to safeguard and maintain the privacy of patients’ PHI in their custody or access.
b. PHI should only be accessed and used for legitimate healthcare purposes related to the provision of patient care, treatment, billing, or other authorized activities.
c. Employees are prohibited from accessing, disclosing, or using PHI for personal gain.
d. PHI should be stored securely, using appropriate safeguards such as encryption, strong passwords, and limited access to authorized personnel only.
e. When sharing PHI with external entities, employees must ensure compliance with HIPAA regulations and obtain necessary written patient authorization or ensure that permitted disclosures are consistent with the Privacy Rule requirements.
f. Any suspected or actual breaches of PHI must be reported immediately to the Compliance Office for appropriate investigation and corrective action.
2. Policy 2: Training and Education
Objective: To ensure all employees receive comprehensive training on the HIPAA Privacy Rule and their responsibilities regarding the protection of PHI.
Policy:
a. All newly hired employees, contractors, and volunteers must undergo HIPAA Privacy Rule orientation and training within 30 days of hire.
b. Annual refresher training on the HIPAA Privacy Rule will be provided to all employees to reinforce compliance requirements.
c. Training programs will be developed and maintained by the Compliance Office in collaboration with the Human Resources department, ensuring they address privacy policies, individual rights, permissible uses and disclosures of PHI, and penalties for non-compliance.
d. Employee training completion records will be maintained and regularly reviewed by the Compliance Office.
e. Non-compliance with HIPAA Privacy Rule training requirements may result in disciplinary action, up to and including termination.
Compliance Issue 2: Stark Law
The Stark Law, also known as the Physician Self-Referral Law, prohibits physicians from referring Medicare or Medicaid patients to entities with which they have a financial relationship. To ensure compliance with the Stark Law, the following policies will be implemented:
1. Policy 1: Disclosure and Reporting of Financial Relationships
Objective: To ensure the disclosure and reporting of financial relationships between physicians and entities to comply with the Stark Law requirements.
Policy:
a. All physicians are required to disclose any financial relationships they have, directly or indirectly, with any entity that provides designated health services (DHS).
b. The Compliance Office will maintain a system for physicians to report their financial relationships on an ongoing basis.
c. Financial relationships reported must include details such as the parties involved, the type of relationship, and the financial terms.
d. The Compliance Office will review and evaluate all reported financial relationships to determine if they comply with the Stark Law requirements.
e. Any potential violations or non-compliant financial relationships will be investigated promptly, and appropriate actions, such as termination of the relationship or corrective action, will be taken.
2. Policy 2: Physician Education and Awareness
Objective: To provide physicians with comprehensive education and awareness regarding the Stark Law and its implications on self-referral.
Policy:
a. All physicians will undergo training and education on the provisions of the Stark Law and relevant regulations.
b. The Compliance Office will develop and maintain training materials that cover the scope of the Stark Law, prohibited referrals, exceptions, and penalties for non-compliance.
c. Training sessions will be conducted annually, and participation will be recorded and maintained.
d. Physicians will be encouraged to seek guidance from the Compliance Office or legal counsel regarding any potential financial relationships that may raise concerns under the Stark Law.
e. Non-compliance with the Stark Law training requirements may result in disciplinary action, up to and including suspension of admitting privileges.
These policies provide a strong foundation for ensuring compliance with the HIPAA Privacy Rule and Stark Law. By implementing robust policies and educating employees accordingly, the medical facility will promote a culture of compliance and mitigate the risks associated with non-compliance.
