APPOINTMENT OF COMPLIANCE OFFICER RESOLUTION

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Appointment of a Compliance Office is a critical element in compliance program effectiveness. Failing to appoint a compliance officer is almost an automatic indication that a compliance program is not effective. Below is an example of a compliance officer appointment resolution.

The Board of Directors of _____________ (the “Provider”) as constituted on _____________, 2016, hereby take the following actions and resolutions at a meeting of the Board of Directors that was duly noticed, called, and at which a quorum was present to conduct business and which was held on the _____________ 2016.

The Board of Directors of the Corporation hereby take the following actions and resolutions regarding the establishment of a compliance program (hereinafter “Compliance Program”) and appointment of a compliance officer for the Corporation:

WHEREAS, it is the policy of the Provider to appoint senior-level personnel to oversee and implement the Compliance Program for the Provider.  The Compliance Program is a critical program for the continued well-being and viability of our organization that contributes significantly to maintaining the trusted relations we strive for with those we serve.

WHEREAS, successful integration of the compliance principles and standards into the daily activities of every position within the organization requires sustained efforts and vocal senior management support. Appointment of appropriate high-level staff underscores the importance assigned to this effort by senior management staff.

WHEREAS, the Provider wishes to ensure that the Provider Board of Directors adopts a corporate responsibility policy that underscores the need for governance oversight of the implementation and effectiveness of the Compliance Program and senior-level management responsibility for implementation and management of compliance efforts.

NOW THEREFORE, BE IT RESOLVED, that the Provider shall appoint a high-level member of the administrative staff to administer the Compliance Program and provide the support, staff, and resources required to implement and maintain an effective Compliance Program. The Compliance Officer may report administratively to the President of the Provider and shall have direct access to the Board of Directors for matters related to the implementation and effectiveness of the Compliance Program.

RESOLVED, that the Provider hereby appoints __________________ as Compliance Officer to serve until removed or replaced by the Board of Directors.

RESOLVED, that the Board of Directors has received from ______________ a summary of the recommendations of legal counsel regarding certain gaps that exist in the Provider’s Compliance Program and the Board of Directors wishes to direct the Compliance Officer to work in conjunction with legal counsel to develop a specific work plan to correct policy gaps that currently exist in the Compliance Program (“Work Plan”) and the Compliance Officer shall present the Work Plan to the Board of Directors for further consideration.

RESOLVED, the Compliance Officer shall work with legal counsel to further refine the structure of the Compliance Program to leverage existing Provider resources to the greatest extent possible and develop the policies necessary to implement the Compliance Structure for  consideration and approval by the Board of Directors.

RESOLVED, that the Compliance Officer shall include a report on the progress being made with respect to the Work Plan at each meeting of the Board of Directors until such time as the Board of Directors is satisfied that the basic elements of an effective Compliance Program are in place.

Yates Memorandum Main Steps and Key Priorities

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General Priorities in the Yates Memorandum

  • The Yates Memo prioritizes the manner in which Government civil and criminal law enforcement investigations are conducted.
  • It begins by proclaiming that “One of the most effective ways to combat corporate misconduct is by seeking accountability from the individuals who perpetrated the wrongdoing . . .
  • [accountability] it deters future illegal activity, incentives to changes in corporate behavior . . . and it promotes the public’s confidence in our justice system.”

The Yates Memo identifies six “key steps” to enable DOJ attorneys “to most effectively pursue the individuals responsible for corporate wrongs.”

  • Corporations will be eligible for cooperation credit only if they provide DOJ with “all relevant facts” relating to all individuals responsible for misconduct, regardless of the level of seniority.
  • Criminal and civil DOJ investigations should focus on investigating individuals “from the inception of the investigation.”
  • Criminal and civil DOJ attorneys should be in “routine communication” with each other, including by criminal attorneys notifying civil counterparts “as early as permissible” when conduct giving rise to potential individual civil liability is discovered (and vice versa).
  • Absent extraordinary circumstances, DOJ should not agree to a corporate resolution that provides immunity to potentially culpable individuals.
  • DOJ should have a “clear plan” to resolve open investigations of individuals when the case against the corporation is resolved.
  • Civil attorneys should focus on individuals as well, taking into account issues such as accountability and deterrence in addition to the ability to pay.

Compliance Policy and Procedures List of Compliance Policies

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LIST OF COMPLIANCE-RELATED POLICIES AND PROCEDURES

PROCESS POLICIES AND PROCEDURES

  1. Compliance Program Resolutions
  2. Appointment Of Compliance Officer
  3. Compliance Plan Document – General
  4. Code Of Conduct
  5. Statement Of CEO On Compliance
  6. Statement Of Board Of Directors
  7. Compliance Committee Charter
  8. Uniform Compliance Definitions
  9. Compliance Plan Elements
  10. Compliance Oversight Committee Policy
  11. Compliance Office Staff
  12. Yearly Compliance Program Review
  13. Recommendation Of Additional Policies And Procedures
  14. Amendments To Compliance Policies
  15. Non-Retaliation And Non-Retribution Policy
  16. Excluded Individuals And Entities
  17. Compliance Reporting System
  18. Compliance Hotline
  19. Compliance Training Policy
  20. Compliance Reporting To The Board
  21. Discipline For Compliance Infractions
  22. Compliance As A Performance Factor
  23. External Compliance Investigations
  24. Execution Of Search Warrants
  25. Self-Disclosure And Self-Reporting
  26. Compliance Audits, Monitoring And Self-Assessment

RISK AREA POLICIES AND PROCEDURES

 

Tax – Nonprofit Status

  1. Conflict of Interest Policy
  2. Whistleblower Policy
  3. Board Review of 990 Policy
  4. Joint Venture Policy
  5. Community Need Assessments
  6. Physician Recruitment

Document Control

  1. Contract Review and Execution Policy
  2. Contract Control System Policy
  3. Document Retention Policy
  4. Record Management Policy
  5. Offsite Storage of Records
  6. Destruction of Records
  7. Definition of Medical Records

Discharge and Transfer

  1. Discharge Planning
  2. Transfer to Skilled Nursing Facility
  3. Transfer to Hospice

Admissions

  1. Admission and Continued Stay Review
  2. Readmission Policy
  3. Admissions Through Emergency Room
  4. Plans of Care

Billing and Coding

  1. General Billing and Coding Policy
  2. Requests for Coding Changes and Rebilling
  3. Changes to Patient Records
  4. New and Adjusted Billing Codes
  5. Chargemaster
  6. E&M Coding
  7. Specific Area Coding
    • Anesthesia
    • Radiology
  8. Professional Courtesy

Patient Billing and Collections

  1. Patient Billing and Collection Policies/Guidelines
  2. Billing Inquiries and Audits
  3. Reducing a Patient’s Bill
  4. Waiver of Co-Insurance and Deductibles
  5. Determination of Need and Hardship
  6. Referrals to Collections
  7. Advance Beneficiary Notices
  8. Customer Complaints

Additional Policies

  1. Medical Necessity
  2. Professional Behavior
  3. Disruptive Practitioners
  4. Incident Reporting
  5. Alleged Caregiver Misconduct
  6. Caregiver Background Checks
  7. Never Events
  8. Physician Compensation
  9. Physician Contracting
  10. Medical Directorships
  11. Leases to Referral Sources
  12. Anti-Kickback Policies
  13. Stark Law Policies
  14. Relationship with Pharmaceutical Representatives
  15. Acceptance of Gifts
  16. Confidentiality of Information

EMTALA Policies

  1. Interfacility Transfers
  2. EMTALA Triaging
  3. EMTALA – Financial Information
  4. Refusal of Delay of Medical Services
  5. Emergency Room Coverage
  6. Delineation of Roles in Emergency Department
  7. Emergency Room Trauma Diversion

Employment Policies

  1. Make Consistent with Compliance

Credentialing Policies

 

Medical Information, HIPAA, Etc.

  1. Protection of Patient Health Information
  2. Joint Notice of Privacy Practices
  3. De-Identification of Protected Health Information
  4. Protected Health Information Defined
  5. Proposal and Destruction of Protected Health Information
  6. Breach Reporting Policies
  7. Minimum Necessary Use Policy
  8. Permitted and Required Use of Protected Health Information
  9. Use and Disclosure of Protected Health Information for Treatment, Payment, Operations
  10. Use and Disclosure of Protected Health Information to Family and Others Involved in Care
  11. Authorizations for Use and Disclosure with Forms
  12. Uses and Disclosures Not Requiring Authorization
  13. Uses and Disclosures for Fundraising
  14. Uses and Disclosures for Marketing
  15. Uses and Disclosures for Research Purposes
  16. Recognition of Patient Personal Representatives
  17. Business Associates
  18. Verifying Identity of Persons Requesting Protected Health Information
  19. Patient Right to Access Protected Health Information
  20. Denial of Patient Access to Protected Health Information
  21. Patient Right to Accounting of Protected Health Information Disclosures
  22. Patient Right to Request Designated Record Set
  23. Patient Right to Request Alternative Means of Communication
  24. Patient Right to Request Restrictions on Use of Protected Health Information
  25. Protection of Information Subject to FDA Regulation
  26. Protection of Information Subject to AIDS Related Information
  27. Protection of Mental Health Treatment Records
  28. Psychotherapy Notes
  29. Government Requests, Court Orders, Warrants Covering Protected Health Information

Telemedicine Policies

  1. Provider Licensure and Credentialing
  2. Remote Access Policies
  3. Security Policies
  4. Telehealth Policies and Procedures
  5. Telecommuting Application
  6. Telecommuting Agreement
  7. Telecommuting Equipment
  8. Scheduling Telemedicine Services
  9. Emergency Room Consults
  10. Billing Telemedicine Service
  11. Checklists for Providing Telehealth Services

Technology Policies

  1. Passwords, Domains, Local Servers
  2. Individual Password Protection
  3. Information Security Policies
  4. Information Security Incident Process
  5. Encryption Policies
  6. Physician Access and Restriction Policies
  7. Technology Life Cycle Review Policies
  8. Technology Disposal Policies
  9. Wireless Communication Policy
  10. Technology Inventory System
  11. Acceptable Use of Computer Equipment
  12. Internet Usage Policies
  13. Workstation Security
  14. Use of Portable Devices
  15. E-mail Usage Policies
  16. Blogging Policies
  17. Social Media Policies
  18. Firewall Policy
  19. Virus Protection Policy
  20. Vendor Credentialing and Access
  21. Software Licensing Policies
  22. Providing Technology to Referral Sources