2. 2007 Annual Conference “Data Bank Reporting Update: Benefits and Challenges – A State’s Perspective” Ruby E. Brice, JD South Carolina Department of Labor, Licensing & Regulation

3. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Management Issues Costs Associated with Compliance Unfunded Federal Mandate: Staffing Workload Queries Centrally Administered Agencies single staff or multi staff assignment

4. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Management Issues (con’t) Training – Keeping Current Inter and Intra-Agency Communication Using Authorized Agent vs Self-Reporting Board Culture – Sanctions influenced by employment limitations

5. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reporting Challenges Federal Mandate Compliance Data Elements 30-Day Deadline Number of Professions Appeal Rights

6. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reporting Challenges (continued) Emergency Restrictions and Suspensions Withdrawal of Applications

7. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reporting Challenges (continued) Essential Basis for Action Codes

8. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reporting Benefits Sharing Patient Safety Querying Statute Requirement Updating Practitioner Profile- Data Bank Hit

9. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reporting Benefits (continued) Credentialing Self-Query

10. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Regional Forum Alabama Florida Georgia Kentucky Louisiana Mississippi North Carolina South Carolina Tennessee

11. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Regional Forum (continued) Medicine Osteopathic Medicine Dentistry Podiatric Medicine

12. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Regional Forum (continued) Chiropractic Medicine Pharmacy Nursing

13. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Questions & Discussion

14. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Speaker Contact Information Ruby E. Brice, JD South Carolina Department of Labor, Licensing & Regulation Health & Medically Related Professions (803) 896-4724 mcclainr@llr.sc.gov

15. 2007 Annual Conference “ Data Banks Reporting: Benefits and Challenges” Shirley Jones, J.D., M.H.A. U. S. Department of Health and Human Services Health Resources and Services Administration Bureau of Health Professions Practitioner Data Banks Branch

16. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Overview Background and Characteristics – NPDB - HIPDB Data Banks Content Compliance Activities System Updates New Initiatives

17. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB - HIPDB Background and Characteristics

18. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB - HIPDB National Practitioner Data Bank (NPDB) –Title IV of Public Law 99-660, the Health Care Quality Improvement Act of 1986, as amended and its implementing regulations (45 CFR Part 60)

19. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB - HIPDB Healthcare Integrity and Protection Data Bank (HIPDB) for Final Adverse Information on Health Care Providers, Suppliers, and Practitioners –Section 1128E of the Social Security Act as added by Section 221(A) of the Health Insurance Portability and Accountability Act of 1996 and its implementing regulations (45 CFR Part 61)

20. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB-HIPDB Purpose The intent is to protect the public, improve the quality of health care and deter fraud and abuse in the health care system by providing information about past adverse actions of practitioners, providers, or suppliers to authorized health care entities and agencies.

21. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Data Bank Reporters? NPDB  Medical Malpractice Insurers  State Medical and Dental Licensing Authorities  Hospitals and other Health Care Entities  Professional Societies with formal peer review  Self-Insured Organizations  Drug Enforcement Agency (DEA)  HHS Office of Inspector General HIPDB  Federal Government  State Government  Health Plans

22. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Data Bank Queriers NPDB  Hospitals and other Health Care Entities  State Medical and Dental Licensing Authorities  Professional Societies with formal peer review  Practitioners (self-query only)  Researchers (non-identifiable statistical information) HIPDB  Federal and State Government Agencies  Health Plans  Practitioners, Providers and Suppliers (self-query only)  Researchers (non-identifiable statistical information)

23. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reportable Actions NPDB  Medical Malpractice Payments  Adverse Actions (physicians and dentists) o Licensure o Clinical Privileges* o Professional Society Membership*  Medicare and Medicaid Exclusions (all practitioners)  DEA Actions (all practitioners) *Other practitioners may be reported HIPDB*  Licensure Actions  Medicare and Medicaid Exclusions and other exclusions from Federal or State Health Care Programs  Health Care Related Criminal Convictions, or Civil Judgments  Other Adjudicated Actions or Contract Terminations *Practitioners, Providers and Suppliers

24. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB-HIPDB Data Banks Content

25. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the NPDB? Cumulative Data as of 12/31/06

26. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the NPDB? Reports received in 2006

27. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the HIPDB? Practitioner Reports Cumulative Data as of 12/31/06 1%

28. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the HIPDB? Practitioner Reports Reports received in 2006

29. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the HIPDB? Organizations Cumulative Data as of 12/31/06

30. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation What is in the HIPDB? Organizations 2006 Data

31. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation HIPDB Queriers 8% 5% 2006 Data 64 % 15.6% 5.7% 1.2%

32. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation NPDB - HIPDB Compliance Activities

33. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Regulations –Mandates reporting within 30 days of the date of the final action. – NPDB: Title IV of Public Law 99-660, the Health Care Quality Improvement Act of 1986, as amended and its implementing regulations (45 CFR Part 60) – HIPDB: Section 1128E of the Social Security Act as added by Section 221(A) of the Health Insurance Portability and Accountability Act of 1996 and its implementing regulations (45 CFR Part 61)

34. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Notice of non-compliance with reporting requirements  Convey the importance of timely reporting –Holding Policy Forums and talking with leadership of State licensing authorities –Presenting to Associations/Federations of State licensing authorities –Presenting to National and State Association of Medical Staff Services

35. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Monitor Timely Reporting –Compare actions documented on State Licensing Board web sites to actions reported to the NPDB and/or HIPDB –Identify and contact States that have not reported any actions to the NPDB and/or HIPDB –Search other publicly available information for actions and payments that should have been reported  Review reports that are filed and later voided

36. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Review a limited number of report narratives to determine if they are legally sufficient: –Must include enough information so that future queriers knowing nothing about the events giving rise to the report will have an understanding of what the subject practitioner is alleged to have done, the nature of the action taken and the reasons for the report

37. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Compare NPDB payment reports to the NAIC summary payment reports (Supplement A to Schedule T)  Monitor the eligibility of Data Bank Registrants  Monitor for violation of Confidentiality Rules

38. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Compliance Activities  Review Medical Malpractice Payment Reports that mention High-Low agreements in the narrative to determine if the payment was made for the benefit of the: –Practitioner (reportable) –Insurer to avoid the risk of a higher payment when the finder of fact ultimately determines that the practitioner had no liability (not reportable) These reporters are asked to void the report

39. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation New Initiatives Proactive Disclosure Service Prototype (PDS) Section 1921: An expansion of the NPDB

40. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation PDS  The intent of PDS is to protect the public and improve the quality of health care by providing information to entities as soon as it is received by the Data Banks. –Average querier receives a new Data Bank report in 302 days.  Opened as a Prototype on May 1, 2007 –Prototype status expected to last 18 months for evaluation purposes.

41. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation The Current Query Process  Hospitals, other health care entities, including MCOs, State and Federal agencies query the Data Bank by requesting information on a routine schedule.  A seamless, secure internet system permits a user to query one or both Data Banks.  Users query in preparation for reappointment or during the re-credentialing process (typically every 2 or 3 years)  The query fee is $4.75 per name, per Data Bank.

42. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation The PDS Process  A subscription service that notifies the subscriber of new information on any of their enrolled practitioners within one business day of Data Banks receipt of the information.  Notification is sent via email; the entity must log in to retrieve the information.  Offered as an alternative to and not a replacement of the current querying method.

43. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation The PDS Process  Report format, information and data reported to the Data Banks will not change.  Can use PDS for NPDB, HIPDB or both.  Annual subscription fee is $3.25 per enrollee, per Data Bank.

44. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation PDS Enrollment  When a practitioner is first enrolled in the PDS, the enrollment confirmation will include all reports on the practitioner to ensure the entity is aware of all existing reports in the Data Banks This is included in the price of PDS

45. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation PDS Characteristics  Notification of a new or updated Data Bank Report: Within 24 hours of Data Banks receipt Via e-mail (without subject identifying information)

46. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation PDS Characteristics  Data Bank report availability: Report disclosures will be available on the IQRS for 45 days in PDF format All reports in the Data Bank(s) for each enrolled practitioner will be available upon demand

47. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation PDS Characteristics  Subscribing to the service: –A 12-month subscription period for each enrollee (practitioner) –The subscription expires on the last day of the same month of the following year i.e., all practitioners enrolled in May 2007 regardless of the exact date of enrollment will have a subscription expiration date of May 31, 2008

48. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Section 1921  A provision of the Social Security Act as amended by Section 5(b) of the Medicare and Medicaid Patient and Program Protection Act of 1987, as amended by the Omnibus Budget Reconciliation Act of 1990  Enacted to provide protection to program beneficiaries from questionable health care practitioners and to improve the anti-fraud provisions of Medicare and Medicaid

49. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Section 1921  Notice of Proposed Rule Making –Published in the Federal Register March 21, 2006 –Projected to be Final in Spring of 2008 Expands the NPDB

50. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Section 1921  Major reports Added by Section 1921 –Adverse actions or findings by private accrediting organizations –Adverse licensure actions taken against all health care practitioners Broader than issues related to professional competence and conduct Adds the same type of licensure actions currently reported to the HIPDB

51. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Section 1921  Access –Entities that are currently allowed to query the NPDB will have access to Section 1921 reports –Entities given access to the NPDB through Section 1921 will be allowed to query ONLY for Section 1921 reports

52. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Access with Section 1921  NPDB & Section 1921 –Hospitals and other Health Care Entities –State Medical and Dental Licensing Authorities –Professional Societies with formal peer review –Practitioners (self-query only) –Researchers (non- identifiable statistical information)  Section 1921 Only –State Medicaid Fraud Control Units –Agencies administering Federal and State Health Care Programs –U.S. Comptroller General –U.S. Attorney General and other law enforcement officials –Quality Improvement Organizations –State Entity Licensing Authorities

53. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Reference Information  Web Site - www.npdb-hipdb.hrsa.gov –NPDB and HIPDB Guidebooks –Interactive Training –Brochures and Fact Sheets –Statistics –Annual Reports –Instructions for Reporting and Querying  Customer Service Center - 1-800-767-6732 (1-800-SOS-NPDB

54. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation Contact Information Shirley A. Jones, JD, MHA Senior Policy Analyst Practitioner Data Banks Branch (301) 443-2989 shirley.jones@hrsa.hhs.gov