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BEST PRACTICES FOR CORPORATE COMPLIANCE, PART 1
August 22nd, 2013
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Best Practices for Compliance August 2013
Slide 2
NY Webinar Series
Welcome to the 9th in our webinar series for
our NY clients!
We will begin momentarily…
In the meantime, if you have a question please key it into
the bottom of your screen, or send email to
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Best Practices for Compliance August 2013
Slide 3
Introduction
Your Hosts today:
● Rossana Follender – Speaker
● Franklin Boyd – Facilitator
Today’s webinar will run approximately 45 minutes, including Q&A. In the lower right corner of your screen you will be able to type in questions. Time permitting, our facilitators will answer them near the end of the session.
This is the 9th of Sandata’s monthly training Webinars for the New York Market.
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Best Practices for Compliance August 2013
Slide 4
AGENDA 1. Electronic Visit Verification (EVV)
2. Manually Verified Visits
3. Managing your Conflict of Hours report
4. Field Staff Compliance
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Best Practices for Compliance August 2013
Slide 5
Verification Organization Requirements
The Office of the Medicaid Inspector General (OMIG) requires:
Use of Electronic Visit Verification
Exceptions ● Flagging of exceptions
● Documentation of exception resolutions
Caregiver Location Conflicts ● Monthly reports
● Investigation
● Resolution
Tracking of Registration and Credentialing of Aides
Full list of requirements available at:
NYS OMIG Website >Resources>Home Health Requirements
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ELECTRONIC VISIT VERIFICATION (EVV)
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Best Practices for Compliance August 2013
Slide 7
Policies for Employee Attendance Verification
● Electronic Visit Verification
● Clients who do not have a phone line (or does not allow aides to use their phone line.)
● Exceptions
– Example: The aide could not call in because the client was on the phone.
Procedures ● Supports the policies
● Who, What, When, Where
EVV – Set the Rules
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Best Practices for Compliance August 2013
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Distribute materials: ● Policies and Procedures.
● Call Reference Guides.
Review at Orientation but also make EVV part of your in-service program!
Make practice calls.
Ensure your staff knows the tasks they need to perform and report on.
EVV – Inform your Staff
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Best Practices for Compliance August 2013
Slide 9
Identify weaknesses: ● For example: aides that
always forget to clock out or does not enter all the tasks.
● Coordinators and Reports can help you detect patterns of non-compliance
Correct the course, based on your policies and procedures:
● Consequences for high-incidence of exceptions.
● Incentives for low or zero incidence of exceptions.
Electronic Visit Verification (EVV)
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MANUALLY VERIFIED VISITS
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Best Practices for Compliance August 2013
Slide 11
Verification Organization Requirements
The Office of the Medicaid Inspector General (OMIG) requires:
Use of Electronic Visit Verification.
Exceptions: ● Flagging of exceptions.
● Documentation of exception resolutions.
Caregiver Location Conflicts: ● Monthly reports.
● Investigation.
● Resolution.
Tracking of Registration and Credentialing of Aides.
Full list of requirements available at:
NYS OMIG Website >Resources>Home Health Requirements
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Best Practices for Compliance August 2013
Slide 12
Exceptions
According to OMIG, an exception should be created when: ● Scheduled visits don’t have a matching visit
● Services are late
● Services are missed
● The visit duration exceeds the authorized schedule duration
Sandata’s EVV system identifies these exceptions
Agencies are responsible for: ● Investigating
● Resolving
● Documenting
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Best Practices for Compliance August 2013
Slide 13
Pre-Verification Strategy
Be aware and take action!
Identify
• No Shows
• Unscheduled Visits
• Unknown Employees
• Unknown Clients
Research
• Call the client or their representative
• Call the aide
Document
• Take advantage of the Notes Functionality in the system
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Best Practices for Compliance August 2013
Slide 14
Obtaining the Reports
Step 1 – Once you’ve logged in to HC Plus, click “Daily Functions”.
Step 2 – Click “Santrax Daily Reports”.
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Best Practices for Compliance August 2013
Slide 15
Obtaining the Reports, continued…
Step 3 – Select your Santrax Account and click “Santrax Daily Reports”
Step 4 – Select the reports to run and click “OK”
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Best Practices for Compliance August 2013
Slide 16
In this example, we are documenting how we researched a no show exception by calling the client. We are using the note type: “Exception Research”
Using the Notes Module
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Best Practices for Compliance August 2013
Slide 17
Notes Reports
Print Individual Notes Print all notes of a particular type Main Menu > Reports > Notes Report
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Best Practices for Compliance August 2013
Slide 18
OMIG requirements: ● Who verified the
visit?
● Why did the exception occur?
● Why is this a legitimate claim?
The system records: ● Username of the
person verifying the visit.
● Date and Time of verification.
Manually Verified Visits
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Best Practices for Compliance August 2013
Slide 19
Document “Why?”
Reason Codes drop-down list; predetermined values ● Note: Some contracts require the use of specific reason codes.
Notes free-form text
Reason Codes and Comments
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Best Practices for Compliance August 2013
Slide 20
Before you Verify a Visit…
Review all documentation: ● Notes.
● Time sheets signed by the client.
● Other documentation required by your agency (for example: aide statement.)
Check that the tasks entered match the plan of care.
Check that you are only verifying services provided.
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CONFLICT OF HOURS REPORT
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Best Practices for Compliance August 2013
Slide 22
Verification Organization requirements
The Office of the Medicaid Inspector General (OMIG) requires:
Use of Electronic Visit Verification.
Exceptions: ● Flagging of exceptions.
● Documentation of exception resolutions.
Caregiver Location Conflicts: ● Monthly reports.
● Investigation.
● Resolution.
Tracking of Registration and Credentialing of Aides.
Full list of requirements available at:
NYS OMIG Website >Resources>Home Health Requirements
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Best Practices for Compliance August 2013
Slide 23
Conflict of Hours Report
What is the Conflict of Hours Report?
Identifies overlapping visits across agencies, where the same aide provided services at two different locations at the same time.
Verified visits only.
Frequency: Weekly and Monthly: – Weekly Run every Friday, after 9:00pm and will be available to you the
next Monday morning.
– Monthly Run on the second Friday following the end of the month, after 9:00pm and will be available to you the next Monday morning.
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Best Practices for Compliance August 2013
Slide 24
How to Run the Conflict of Hours Report
Archive Once you’ve logged in to Archive, click “New Conflict Report”.
Santrax Once you’ve logged in to Santrax, click “Reports” at the top of the screen
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Best Practices for Compliance August 2013
Slide 25
Select “Date Range Report” to run the Monthly Conflict Report or “Daily Reports” for the Weekly version.
How to Run the Conflict of Hours Report – continued…
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Best Practices for Compliance August 2013
Slide 26
Sample Monthly Conflict of Hours Report
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Best Practices for Compliance August 2013
Slide 27
What Should You Do?
1. Have policies and procedures in place.
2. Designate staff to run and investigate this report.
3. Run the report every month.
4. Conduct your own investigation.
5. Contact the representative from the other agency and request an investigation of the conflict. ● Consult the directory of agencies available in the NY Reference Library.
6. Prepare a report.
7. Take appropriate action based on your findings.
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Best Practices for Compliance August 2013
Slide 28
How to Obtain the Directory of Agencies
Step 1 – Once you’ve logged into Citrix, click “NY Business Reference Library”
Step 2 – Click “Directory of Agencies – Conflict Resolution Report”
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Best Practices for Compliance August 2013
Slide 29
Directory of Agencies – Conflict of Hours Report
Send changes to: [email protected]
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Best Practices for Compliance August 2013
Slide 30
What Should the Investigation Report Contain?
1. Details of the conflict, as they appear in the report.
2. Documentation on the visit: ● Time Sheets.
● Screen prints of schedule verification, notes, etc.
● Signed statement from the aide.
3. Outcome of your investigation.
4. Correspondence with the other agency and outcome of their investigation.
5. Conclusion detailing action taken.
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FIELD STAFF COMPLIANCE
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Best Practices for Compliance August 2013
Slide 32
Verification Organization Requirements
The Office of the Medicaid Inspector General (OMIG) requires:
Use of Electronic Visit Verification.
Exceptions: ● Flagging of exceptions
● Documentation of exception resolutions
Caregiver Location Conflicts: ● Monthly reports
● Investigation
● Resolution
Tracking of Registration and Credentialing of Aides.
Full list of requirements available at:
NYS OMIG Website >Resources>Home Health Requirements
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Best Practices for Compliance August 2013
Slide 33
Compliance Module
Warn or prevent, when trying to schedule an aide who is out-of-compliance.
Keep track of the compliance status of your aides and expiration dates for recurring items. ● For example: immunizations and certifications.
Be proactive! Forecast who will be out-of-compliance.
Keep track of in-service hours.
Report on the compliance status of your aides.
Note: Always keep all documentation provided by your aides in their personnel file.
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Best Practices for Compliance August 2013
Slide 34
Influenza Immunization and Procedure Masks
Required by NYSDOH as of 7/31/13 for the 2013-2014 Influenza season: ● Keep track of vaccination status of your aides.
● Unvaccinated staff should wear a mask when in contact with the client.
NYSDOH Website: ● Requirements
● Frequently Asked Questions.
Sandata will send a communication regarding this compliance item in the next few days
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Best Practices for Compliance August 2013
Slide 35
Documentation Required
Scenarios Aide Agency
The aide is not vaccinated or cannot provide proof.
• Counts as “No”.
The aide was vaccinated.
• Must provide written proof of vaccination.
• Keep proof provided in employee’s file.
• Track whether the aide was vaccinated at the agency or at another location.
• Count as: “Yes”.
The aide declines to be vaccinated.
• Must provide a “Declination of Influenza Vaccination” statement.
• Keep documentation on file. • Supply masks. • Count as: “Declined”.
The aide declines to be vaccinated due to medical reasons.
• Must provide a “Influenza Vaccine Medical Exemption Statement for Health Care Personnel” form.
• Keep documentation on file. • Supply masks. • Count as: “Medical-Declined”.
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Best Practices for Compliance August 2013
Slide 36
THANK YOU FOR YOUR TIME!