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TRANSCRIPT
Credentials File Audits: Tools and Techniques
for Credentialing Compliance
Session Code: TU06
Date: Tuesday, October 24
Time: 9:30 a.m. - 11:00 a.m.
Total CE Credits: 1.5
Presenter(s): Kathleen Matzka, CPMSM, CPCS
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 1
Performing Credentials File Audits:
Tips and Techniques for Credentialing Compliance
Kathy Matzka, CPMSM, CPCS, FMSP
What We Will Cover…
Reasons for Audits
How Audits are Performed
Creating Audit Tools
Reporting/Follow-up
3
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 2
Reasons for Audits
Comply with Requirements
Negligent Credentialing Issues
Tool for Performance Evaluation
Everyone Makes Mistakes!
4
Medicare CoP Privileging Criteria
Character
5
Criteria
CMS Survey Procedures
Review credential files to determine if the facility complies with CMS requirements and State law, as well as, follows its own written policies for medical staff privileges and credentialing
Review the hospital’s method for reviewing the surgical privileges of practitioners. This method should require a written assessment of the practitioner’s training, experience, health status, and performance
6
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 3
How Audits are Performed
7
Determine process to be auditedStep 1
Select filesStep 2
Review file, logging resultsStep 3
Compile summary reportStep 4
Share resultsStep 5
7
Determine Process to be Audited
New Applicant
Reapplicant Expirable
8
Identify Elements to be Included
Accreditation Standards
State Regulations
Bylaws/P&P
9
Include timeframes
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 4
Record Selection Options
Random sampling
Systematic sampling
(“Nth selection”)
Stratified sampling
10
Creating the Audit Tool – New Ap
11
New Application Summary Report
12
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 5
Creating the Audit Tool - Reap
13
Reapplication Summary Report
14
Creating the Audit Tool
15
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 6
Sharing Results
16
Follow-up
Discuss Results with Staff
• One-on-one
• Departmental meeting
Determine Cause of Deficiencies
• Lack of knowledge
• Performance deficiency
Develop Action Plan
• Retraining
• Staffing
• New P&P
17
Tracking Audited Files
• Keep record of all audits
• Try to audit all files over a period of time
• Continuous monitoring
18
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 7
Most Common Deficiencies
Inappropriate peer references
NPDB over 2 years at recredentialing
Privilege forms not completed correctly
Not all facility verifications returned prior to approval
Inconsistent dating
Approval signatures missing or out of sequence
19
Exercise: How Much Time to Audit YOUR Files
Step 1: Multiply number of credentials files X 20 minutes
_100__X 20 minutes = __2000___ minutes
# files
Step 2: Divide number of minutes by 60 minutes (number of minutes in an hour)
_ 2000 _minutes / 60 = _33.33_ hours required for audits
Step 3: Divide number of hours required by the number of work weeks in a year (i.e. deduct number of vacation weeks) to determine how much time you will have to spend each week to audit all files in a year.
_33.3__hours required for audits / _50__ weeks worked in a year = _.67__ hours
20
Record Retention
Policy for Access, Retention, and Content
Policy for Practitioners no Longer on Staff
21
Do I REALLY need to keep
this?
Who can see this file?
How long do I need to keep
this?
Credentials File Audits:Tools and Techniques for Compliance
Kathy Matzka, CPMSM, CPCS www.kathymatzka.com 8
Questions
22
Credentials File Audits:
Tools and Techniques for Credentialing Compliance
Kathy Matzka, CPMSM, CPCS, FMSP Consultant/Speaker
1304 Scott Troy Road Lebanon, IL 62254
[email protected] website: www.kathymatzka.com
Phone (618) 624-8124
BIOGRAPHICAL SKETCH, KATHY MATZKA, CPMSM, CPCS, FMSP Kathy Matzka, CPMSM, CPCS, FMSS, is a speaker, consultant, and writer with 30 years of experience in credentialing, privileging, and medical staff services. Ms. Matzka worked for 13 years as a hospital medical staff coordinator before venturing out on her own as a consultant, writer, and speaker. She holds certification by the National Association Medical Staff Services (NAMSS) in both Medical Staff Management and Provider Credentialing. She is one of the first recipients of the NAMSS Fellow Designation. The Fellow Designation is the pinnacle of achievement and acknowledgment for the Medical Services Professional (MSP), recognizing a career MSP who has made outstanding contributions to the profession through service as a leader, mentor, and educator. Ms. Matzka has authored a number of books related to medical staff services including Medical Staff Standards Crosswalk: A Quick Reference Guide to The Joint Commission, CMS, HFAP, and DVN Standards, Chapter Leader’s Guide to Medical Staff: Practical Insight on Joint Commission Standards, Compliance Guide to Joint Commission Medical Staff Standards, and The Medical Staff Meeting Companion Tools and Techniques for Effective Presentations. For eight years, she was the contributing editor for The Credentials Verification Desk Reference and its companion website The Credentialing and Privileging Desktop Reference. She is co-author of the HcPro’s publication Verify and Comply: Credentialing and Medical Staff Standards Crosswalk, Sixth Edition. Her latest book is The Clinician’s Quick Guide to Credentialing and Privileging which is a resource for physicians and other practitioners. She has performed extensive work with NAMSS’ Education Committee developing and editing educational materials related to the field including CPCS and CPMSM Certification Exam Preparatory Courses and Study Guides, CPMSM and CPCS Professional Development Workshops, Standards Comparison Grid, and NAMSS Core Curriculum. These programs are essential educational tools for both new and seasoned medical services professionals. She also serves as instructor for NAMSS.
Ms. Matzka shares her expertise by serving on the editorial advisory boards for two publications – Credentialing Resource Center Journal, and Credentialing & Peer Review Legal Insider.
Ms. Matzka is a highly-regarded industry speaker, and in this role has developed and presented numerous programs for professional associations, hospitals, and hospital associations on a wide range of topics including provider credentialing and privileging, medical staff meeting management, peer review, negligent credentialing, provider competency, and accreditation standards. In her spare time, Ms. Matzka takes pleasure in spending time with her family, listening to music, traveling, hiking, fishing, and other outdoor activities.
Table of Contents Table of Contents ............................................................................................................ 1 Introduction ..................................................................................................................... 1 How Audits are Performed .............................................................................................. 1
File Selection ............................................................................................................... 1
Audits for New Applicants ............................................................................................ 2 Figure 1 - Audit Tool for New Applicants .................................................................. 3 Figure 2 - Summary Tool New Applicant Audits ....................................................... 4
Audits for Reapplicants ................................................................................................ 6 Figure 3- Audit Tool for Re-Applicants ..................................................................... 7
Figure 4- Summary Tool Re-Applicant Audits .......................................................... 8
Expirables Audits ......................................................................................................... 9 Figure 5- Audit Tool for Expirables ........................................................................... 9 Figure 6 - Summary of Expirables Audit ................................................................. 10
Keeping Track of Files that have been Audited ............................................................. 11 Figure 7- Tracking Tool for File Audits ....................................................................... 11
Reporting Results .......................................................................................................... 11 Follow up Deficiencies ................................................................................................... 12 Policy on Confidentiality, Access To, Retention, And Content of Credentials Files and Records of Medical Staff Committees and Departments ............................................... 13 Policy for Retention of Credentials File Documents for Practitioners No Longer on Staff ...................................................................................................................................... 19
Exercise: How Much Time to Audit YOUR Files ............................................................ 22
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 1
Introduction Although time consuming, credentialing audits are a good idea. Even the most experienced professionals make mistakes and overlook things – it’s part of human nature. In some cases, an element, such as primary source verification of licensure, is completed but the documentation does not get placed in the credentials file. Or perhaps an issue requiring follow-up is identified, but is forgotten when a more urgent issue presents itself. Audits are also helpful in monitoring the work of a new employee. Today’s healthcare market in which over 30 states have recognized the tort of negligent credentialing or have applied broad common law principles of negligence to credentialing issues, is another reason to perform credentials chart audits.
How Audits are Performed While credentials file audits are typically performed by the department manager or person responsible for oversight of the MSP responsible for credentialing, some medical staff managers like to get everyone in the department involved in an audit committee. Here is a basic outline of how credentials file audits are performed:
1. A set number of files are identified for review. 2. The auditor reviews each file and completes a checklist 3. The results of the audits are then compiled into a master report.
Results of the audit can be used internally in the medical staff office, shared with hospital administration, and/or reported at the hospital performance improvement committee. There are different types of audits with individual focuses.
File Selection
In random sampling, each file has an equal and known chance of being selected. When there is a large medical staffs, it is often difficult to audit every file, so a random sample is selected. Systematic sampling, also known as “Nth selection” is often used instead of random sampling. After calculating the required sample size, every Nth record is selected. Systematic sampling is frequently used to select a specified number of records from a computer file.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 2
Stratified sampling occurs when you choose a stratum, or a subset, of records that share at least one common characteristic. Examples of stratums might be members of a certain specialty or those who were appointed within a certain timeframe.
Audits for New Applicants
The audit tool in Figure 1 - Audit Tool for New Applicants is specifically constructed to focus on initial applicants to the medical staff. It includes an audit of all the information required for initial appointment. This audit form can be used for screening all initial appointments to the medical staff to assure that nothing is being missed. Final results can be tallied on the tool in Figure 2 - Summary Tool New Applicant Audits. Notice in the completed example, there are some problems with documentation in the credentials files of two applicants, both of whom are physician assistants. By highlighting the areas of non-compliance, you can easily see where improvement is needed. Figure 2 can also be printed and used in place of Figure 1 if reviews are being conducted by only one person instead of by a committee or group of people.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 3
Figure 1 - Audit Tool for New Applicants
Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
Element of Review Score
Comments
Practitioner Name Justin Smothers, MD
Application present, complete, signed 1
Peer References Received and appropriate 0 One peer reference was from someone who had not worked
with him for 15 years.
All Hospitals/Clinics Verifications received 1
NPDB Query 1
OIG Exclusion Query 1
Medicare Attestation Signature Page 1
PSV Medical School 1 AMA profile
Medical School diploma present 1
ECFMG verification (if applicable) N/A
ECFMG certificate present N/A
Fellowship Verification(s) N/A
Fellowship certificate(s) present N/A
PSV of Residency present 1 AMA profile
Residency certificate(s) present 1
PSV of [your] state license 1
Copy of [your] state license present 1
PSV of other state License(s) N/A
PSV of state controlled substance license 1
Health Assessment/immunization record present 1
PSV Board Certification 1
Current professional liability Insurance face sheet present with acceptable limits/tail/nose 1
PSV of professional liability Insurance face sheet present with acceptable limits/tail/nose 1
Current DEA Certificate present 1
AMA Profile Present 1
FSMB Query Present 1
Privilege Form
Privilege form present and appropriate to specialty
1
Form signed by applicant 1
Form completed correctly 1
Form signed by department chair and completed appropriately
1
Date of Audit: _________5/6/2017 Audit Performed by: ______Kathy
Matzka__________________
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 4
Figure 2 - Summary Tool New Applicant Audits
Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
Element of Review File 1 File 2 File 3 File 4 File 5 File 6 File 7 File 8 File 9 File 10
Rati
o
(#/#
)
Practitioner Name
Justin Smothers,
MD
Tim Jones,
MD
Leah Ahmed,
MD
Franklin Thomas,
MD
Wesley Cook,
PA
Peter Collins,
MD
Jennifer Cook, MD
A. Kumar,
MD
Joseph McGee,
MD
Linda Chappel,
PA
Application present, complete, signed 1 1 1 1 1 1 1 1 1 1 10/10
Peer References Received and appropriate 0 1 1 1 1 1 1 1 1 1 9/10
All Hospitals/Clinics Verifications received 1 1 1 1 1 1 1 1 1 1 10/10
NPDB Query 1 1 1 1 0 1 1 1 1 0 8/10
OIG Exclusion Query 1 1 1 1 0 1 1 1 1 0 8/10
Medicare Attestation Signature Page 1 1 1 1 N/A 1 1 1 1 N/A 10/10
PSV Medical School 1 1 1 1 1 1 1 1 1 1 10/10
Medical School diploma present 1 1 1 1 1 1 1 1 1 1 10/10
ECFMG verification (if applicable) N/A N/A 1 N/A N/A N/A N/A 1 N/A N/A 10/10
ECFMG certificate present N/A N/A 1 N/A N/A N/A N/A 1 N/A N/A 10/10
Fellowship Verification(s) N/A N/A 1 N/A N/A N/A N/A N/A N/A N/A 10/10
Fellowship certificate(s) present N/A N/A 1 N/A N/A N/A N/A N/A N/A N/A 10/10
PSV of Residency present 1 1 1 1 N/A 1 1 1 1 N/A 10/10
Residency certificate(s) present 1 1 1 1 N/A 1 1 1 1 N/A 10/10
PSV of state license 1 1 1 1 1 1 1 1 1 1 10/10
Copy of state license present 1 1 1 1 1 1 1 1 1 0 9/10
PSV of other state License(s) N/A 1 N/A N/A 0 N/A 1 N/A 1 0 8/10
PSV of state controlled substance license 1 1 1 1 N/A 1 1 N/A 1 N/A 10/10
Health Assessment/immunization record present 1 1 1 1 1 1 1 1 1 1 10/10
PSV Board Certification N/A 1 1 1 1 N/A 1 1 1 1 10/10
Current DEA Certificate present 1 1 1 1 N/A 1 1 1 1 N/A 10/10
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 5
Element of Review File 1 File 2 File 3 File 4 File 5 File 6 File 7 File 8 File 9 File 10
Rati
o
(#/#
)
AMA Profile Present 1 1 1 1 1 1 1 1 1 1 10/10
FSMB Query Present 1 1 1 1 N/A 1 1 1 1 N/A 10/10
Current professional liability Insurance face sheet with acceptable limits/tail/nose 1 1 1 1 1 1 1 1 1 1 10/10
Privilege Form
Privilege form present and appropriate to specialty
1 1 1 1 1 1 1 1 1 1 10/10
Form signed by applicant 1 1 1 1 1 1 1 1 1 1 10/10
Form completed correctly 1 1 1 1 1 1 1 1 1 0 9/10
Form signed by department chair and completed appropriately
1 1 1 1 1 1 1 1 1 1 10/10
Date of Audit: _________5/6/2017 Audit Performed by: Kathy Matzka_____________________
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 6
Audits for Reapplicants
The audit tool in Figure 3- Audit Tool for Re-Applicants is specifically constructed to focus on reapplicants to the medical staff. It includes and audit of all the information required for reappointment. It does not include an audit of those areas that would have already been audited on initial appointment. Final results can be tallied on the tool in Figure 4- Summary Tool Re-Applicant Audits. These tools are completed the same as those for initial applicants. Highlight those areas that show potential problems.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 7
Figure 3- Audit Tool for Re-Applicants
Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
Element of Review Score COMMENTS
Practitioner Name Jesse Wagner, PA
Reapplication present, complete, signed 1
Peer References Received and appropriate 0
One peer recommendation is not in same discipline
All Hospitals/Clinics Verifications received 1
NPDB Query 1
PSV of [your] state license 1
Copy of [your] state license present 1
PSV of other state License(s) N/A
PSV of state controlled substance license 1
Health Assessment/immunization record present 1
PSV Board Certification 1
Current professional liability insurance face sheet with acceptable limits/tail/nose 1
PSV of professional liability insurance face sheet with acceptable limits/tail/nose 1
Current DEA Certificate present N/A
FSMB Query Present N/A
Privilege Form
Privilege form present and appropriate to specialty
1
Form signed by applicant 1
Form completed correctly 1
Form signed by department chair and completed appropriately
1
OPPE/PI Profile
PI Profile Present 1
Profile Reviewed by Dept Chair 1
Department chair recommendation present 1
Date of initial appointment or reappointment <= 2 years from date of
reappointment 1
Date of Audit: _______5/6/2017 Audit Performed by: _____Kathy
Matzka______
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 8
Figure 4- Summary Tool Re-Applicant Audits Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
Element of Review File 1 File 2 File 3 File 4 File 5 File 6 File 7 File 8 File 9 File 10
Rati
o
(#/#
)
Practitioner Name
Reapplication present, complete, signed
Peer References Received and appropriate
All Hospitals/Clinics Verifications received
NPDB Query
PSV of [your] state license
Copy of [your] state license present
PSV of other state License(s)
PSV of state controlled substance license
Health Assessment/immunization record present
PSV Board Certification
Current DEA Certificate present
FSMB Query Present
Current professional liability Insurance face sheet with acceptable limits/tail/nose
Privilege Form
Privilege form present and appropriate to specialty
Form signed by applicant
Form completed correctly
Form signed by department chair and completed appropriately
OPPE/PI Profile
PI Profile Present
Profile Reviewed by Dept Chair
Department chair recommendation present Date of initial appointment or
reappointment <= 2 years from date of reappointment
Date of Audit: _________________ Audit Performed by: __________________________________________
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 9
Expirables Audits
Expirable audits focus on documentation that is subject to expiration, such as current professional liability coverage face sheet, current licensure, current OIG Exclusion Query, current DEA, current privilege form, compliance with inservice educational requirements, immunizations, etc., such as the one in Figure 5- Audit Tool for Expirables. Final results can be tallied on the tool in Figure 6 - Summary of Expirables Audit.
Figure 5- Audit Tool for Expirables
Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
Element of Review Score
Comments
Practitioner Name Timothy Reeves, MD
NPDB Query within 2 years 1
PSV of current [your] state license 1
Copy of current [your] state license present 1
PSV of current state controlled substance license 1
Copy of current state controlled substance license 1
Health Assessment/immunization record present 1
PSV current Board Certification 1
Current professional liability Insurance face sheet present with acceptable limits/tail/nose 1
PSV of professional liability Insurance 1
Current DEA Certificate present 1
Date of Audit: ___5/4/2017_____________ Audit Performed by: ___Kathy Matzka_______
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 10
Figure 6 - Summary of Expirables Audit
Scoring: 1 = Element is present and in compliance, 0 = Element is not present or is not in compliance, N/A = not applicable
File 1
File 2
File 3
File 4
File 5
File 6
File 7
File 8
File 9
File 1
0
Rati
o (
#/#
)
Practitioner Name
NPDB Query within two years
PSV of [your] current state license
Copy of [your] state license present
Copy of current state controlled substance license
PSV of current state controlled substance license
Health Assessment/immunization record present
PSV current Board Certification
Current professional liability Insurance face sheet with acceptable limits/tail/nose
PSV professional liability coverage
Current DEA Certificate present
Date of Audit: ______________ Audit Performed by: ______________________________________
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 11
Keeping Track of Files that have been Audited After you have done all the hard work of auditing these files, it is a good idea to keep track of your work. If you have your providers in a database, add fields for each type of audit and the date of the audit. If you are manually tracking your providers, the simple tool shown in Figure 7- Tracking Tool for File Audits can be used to keep track of files that have been audited.
Figure 7- Tracking Tool for File Audits
Name Audit Type Audit Date Next Audit Due
Comments
New
Re-A
p
Expire
Reporting Results Consider appropriate mechanisms for reporting results: Department Meetings – Report at staff department meetings as part of performance improvement process Support Periodic Performance Review – Include results as part of periodic performance evaluations. Medical Staff Meetings – Report to Credentials Committee or Medical Executive Committee
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 12
Follow up Deficiencies Be sure to develop a follow-up plan to address any insufficiencies found during audit. Discuss the results with staff. Evaluate and identify potential causes of deficiencies and develop plan for addressing these issues.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 13
Policy on Confidentiality, Access To, Retention, And Content of Credentials Files and Records of Medical
Staff Committees and Departments I. POLICY STATEMENT
It shall be the policy of ______________ Hospital ("Hospital") to maintain, to the fullest extent possible permitted by law, the confidentiality of all credentials files and all discussions and/or deliberations related to credentialing, quality assessment, and peer review activities. Disclosure of any such records, information, and/or communications shall be permitted only as described in this policy.
II. PURPOSE OF POLICY
It is the express purpose of this policy to enhance the quality of patient care in the Hospital by encouraging good faith credentialing, quality assessment, and peer review activities among the members of the Medical Staff and appropriate personnel of the Medical Director's Office.
III. APPLICATION
This policy shall apply to all credentialing files and records maintained by the Hospital on behalf of its Medical Staff, including, but not limited to, the credentials files of individual practitioners, the records and minutes of all Medical Staff Committees and Departments, and the records of all Medical Staff credentialing, quality assessment, and peer review activities conducted under the authority of the Medical Staff and/or Hospital Board of Directors.
This policy shall also apply to any and all discussions and/or deliberations regarding credentialing, quality assessment, and peer review matters that take place in the course of the Medical Staff Department and Committee meetings or peer review activities.
IV. LOCATION AND SECURITY
All credentials files shall be maintained in locked files in the Medical Director's Office. After office hours, the Medical Director's Office shall be kept locked and is accessible only to the Medical Director's Office Staff, the Hospital President, Hospital Vice-Presidents, Safety and Security Officers, and Housekeeping.
V. CONTENTS OF CREDENTIALS FILES: A. Credentials Files of Individual Practitioners
The credentials files of each Medical Staff and Allied Health Professional appointee shall include, but not be limited to, the following:
1. Application for appointment and clinical privileges with all attachments
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 14
2. Application for reappointment and requested changes in staff status or clinical privileges, if any, with all attachments
3. All information gathered in the course of verifying, evaluating, and otherwise investigating applications for appointments, reappointment, and changes in staff status or clinical privileges
4. Reports of queries to and responses from the National Practitioner Data Bank
5. Department Chairmen's and proctor’s recommendations for approval of privileges and cessation of proctorship
6. Correspondence between the Hospital and practitioner concerning his/her practice in the Hospital and/or Medical Staff appointment
7. Correspondence from third parties, including, but not limited to, requests for and answers to verification of privileges and staff appointment, and letters of reference. Answers to verification of privileges and staff appointment provided to third parties shall be kept only if adverse information is provided.
Copies of fax cover sheets, routine notifications and duplicate copies of documents
will not be routinely kept in the credentials file. B. RECORDS OF MEDICAL STAFF COMMITTEES AND DEPARTMENTS
1. Minutes and related documents and reports of Medical Staff Committees and Departments shall be maintained in an orderly and accessible fashion in the Medical Director's Office, under the custody of the Medical Director.
2. Information contained in the minutes shall include the name of the body that is meeting, date of meeting, type of meeting (special or regular), notation as to approval and/or correction of minutes of previous meeting, recommendations made and action taken. Committee minutes will contain the names of members present. Medical staff policies, procedures, and forms presented for approval will be maintained as an attachment to the minutes. Policies, procedures, forms, etc. which are hospital documents presented for approval of the medical staff will not be attached to the minutes, but will be maintained in the responsible hospital department.
3. Meetings shall not be electronically recorded (or otherwise mechanically or electronically preserved) unless specifically authorized by ___________. Recordings and or notes taken shall be destroyed immediately after the official minutes are prepared.
4. Minutes and reports of committees or departments shall be maintained in a confidential manner when they pertain to credentialing, quality assessment, focused and ongoing professional practice review, and/or peer review matters.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 15
VI. ACCESS A. REQUESTS FOR ACCESS
1. All requests for access to credentials files and records of Medical Staff Committees and Departments shall be presented to the ___________.
2. Unless otherwise stated, an individual permitted access under Section VI shall be afforded a reasonable opportunity to inspect the records requested, and to make notes regarding them, in the presence of _______________. In no case shall an individual remove the records (or any portion thereof), or make copies of them, without the express permission of _____________________.
B. ACCESS BY INDIVIDUALS PERFORMING OFFICIAL HOSPITAL OR
MEDICAL STAFF FUNCTIONS
1. The following individuals shall be permitted access to credentials and peer review files to the extent described:
(a) The Medical Staff Office staff, the Hospital's President, the
Hospital’s Board of Directors and the Hospital's legal counsel shall have access to credentials and peer review files as needed to fulfill their respective responsibilities.
(b) Medical Staff Officers shall have access to credentials and peer review files as needed to fulfill their respective responsibilities.
(c) Members of the Medical Staff's Credentials Committee, Executive Committee, and Departmental Officers shall have access to the respective credentials and peer review files of individual practitioners whose qualifications or performance are being reviewed.
(d) Attorneys and consultants engaged by the Medical Staff, Hospital, and/or Board of Directors to assist a Medical Staff Committee or Department shall have access to the credentials and peer review files of the practitioner being reviewed, and to any other relevant Medical Staff records which are necessary to enable such consultants to perform their function.
2. The following individuals shall be permitted access to Committee and
Department meeting minutes, reports, and quality assessment activities to the extent described:
(a) Department Chairmen shall have access to all Medical Staff
records relating to the activities of their respective Departments including meeting minutes, reports, and quality assessment activities of the Department as a whole and of individual practitioners whose qualifications or performance are being reviewed.
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 16
(b) Committee and Department members shall have access to the minutes, related documents and reports of meetings of Committees and/or Departments to which they are assigned.
(c) The Medical Staff Office staff, the Hospital's President, Board of Directors, the Quality Improvement Department's Staff and the Hospital's Legal Counsel shall have access to Department and Committee minutes, reports, and quality assessment activities as needed to fulfill their respective responsibilities.
C. ACCESS BY MEDICAL STAFF APPOINTEES:
1. Credentials Files
(a) A Medical Staff appointee shall have access to the credentials
files of another Medical Staff appointee only as described in Section VI.B. above.
(b) A physician shall be permitted access, upon request, to those items in his/her personal credentials file identified in Section V.A. above.
2. Access to Medical Staff Department and Committee Files By Those
Not On/In Committee/Department
1. A Medical Staff appointee shall have access to the files, minutes, and reports of Committee or Department meetings of which he/she is not a member upon request and approval of ___________(or designee). Access to files, minutes, and reports of Committee or Department meetings containing specific peer review information shall not be allowed.
D. ACCESS BY INDIVIDUALS OR ORGANIZATIONS OUTSIDE THE
HOSPITAL OR MEDICAL STAFF:
1. CREDENTIALING REQUESTS FROM HOSPITALS, CREDENTIALS VERIFICATION ORGANIZATIONS, MANAGED CARE ORGANIZATIONS, INSURANCE COMPANIES
Telephone Verifications The following information can be provided over the telephone without a signed consent form:
Staff Status and date on staff
Specialty
Statement that physician has “privileges in good standing” meaning “the practitioner’s hospital privileges and medical staff appointment are current with no disciplinary action”.
Written Verifications
Kathy Matzka, CPMSM, CPCS, LLC Credentials File Audits 17
The following information can provided without a signed consent form:
Staff Status and date on staff
Specialty
Statement that physician has “privileges in good standing” meaning “the practitioner’s hospital privileges and medical staff appointment are current with no disciplinary action”.
Whether or not the practitioner has admitting privileges. Upon receipt of a request accompanied by a specific, signed authorization and release, or copy thereof, additional information contained in that physician’s credentials file including past or current disciplinary actions can be released.
2. REQUESTS FROM HOSPITAL SURVEYORS
Requests for records covered by this Policy from hospital surveyors from organizations, such as, the Joint Commission, or the Department of Public Health, shall be referred to ___________________ for further disposition in accordance with the applicable state laws, regulations, and/or accreditation standards. Original or photocopied records may not be removed from the hospital premises, unless there is shown to be explicit statutory or regulatory authority to the contrary, which authority has first been reviewed by the Hospital Legal Counsel.
3. SUBPOENAS All subpoenas pertaining to Medical Staff records shall be referred
to the Hospital’s President who may first consult with the President of the Medical Staff, Medical Director, and Hospital Legal Counsel regarding the appropriate response.
4. OTHER REQUESTS All other requests for Medical Staff records (or portions thereof)
shall be reviewed by the Medical Director, the Hospital President, or their authorized designees. The release of any information may be conditioned upon approval of the Medical Staff Executive Committee or Board of Directors.
VII. SANCTIONS
All suspected violations of this Policy shall be reported to the Executive Committee of the Medical Staff. The Executive Committee, or an ad hoc committee thereof, shall conduct an investigation and determine if there has been a violation of any provision of this policy.
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If it is determined that a Medical Staff appointee has violated this policy, the committee may, depending on the nature of the violation: (1) issue a written warning, or (2) recommend more severe disciplinary action in accordance with the Medical Staff Bylaws, Article __________, which may include a recommendation to revoke the Medical Staff appointment and clinical privileges of the individual found to have violated the policy. If a violation by a Hospital employee occurs, this will be handled in accordance with Hospital Policies and Procedures.
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Policy for Retention of Credentials File Documents for Practitioners No Longer on Staff
POLICY STATEMENT
It shall be the policy of _______________ Hospital to retain the credentials files
of practitioners no longer on staff who were credentialed and/or privileged
through the medical staff process for a period of time following their departure in
paper or electronic form. A permanent electronic record of certain information
concerning all departed physicians shall be maintained by the Hospital after other
credentials file materials have been discarded.
PURPOSE OF POLICY
A. To retain for a reasonable period of time relevant information and
materials concerning any practitioner who has departed from medical or
allied health professional staff.
B. To reasonably manage the retention and discarding of materials in
departed practitioners' credentials files.
PROCEDURES
A. The medical staff office shall confirm the date upon which a medical staff
appointee or allied health professional (AHP) has ceased to be affiliated
with the hospital. The medical staff office shall briefly record the reason
for the practitioner's departure from the medical staff. For a period of ten
years following the physician's departure date, the following "essential"
documents will be maintained, in either paper or electronic form, as a part
of the practitioner's credentials file:
1. The physician's initial application and related documents,
responses to primary source verification conducted, and Board
appointment documentation;
2. The physician's last reapplication form and related documents,
responses to primary source verification conducted, and Board
appointment documentation;
3. Documented actions taken in connection with questions concerning
the physician's clinical competence, behavior, or other concerns;
(Only such actions that involved a letter of reprimand or more
severe actions are to be kept in accordance with this paragraph.
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Actions taken that were less severe than a letter of reprimand, such
as a letter of warning, need not be kept for the full ten year period.
However, records of such lesser actions that are part of a larger
pattern of behavior that resulted in a more severe action being
taken shall be kept for the full ten-year period.);
4. The practitioner’s most recent FPPE/OPPE report and/or
reappointment profile;
5. Practitioner’s final assessment report (“evergreen” report);
6. Reports made to the National Practitioner Data Bank or state
licensure board; and
7. Information provided to third parties regarding documented actions
taken in connection with questions concerning the physician's
clinical competence, behavior, or other concerns.
B. All other "non-essential" documents in the physician's credentials file shall
be destroyed via a secure means that protects the confidentiality of the
documents.
C. Ten years after the date the physician leaves the medical staff, all
materials contained in the physician's credentials file can be destroyed.
However, a record of the following information concerning the physician
shall be permanently maintained by the Hospital in the electronic record:
1. Name;
2. Date of birth;
3. Social security number;
4. Degree;
5. Medical/Professional school attended;
6. Date of initial appointment and all reappointments;
7. Department of the medical staff in which clinical privileges were held;
8. Clinical privileges held by the physician;
9. Date appointment ended;
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10. Actions taken in connection with questions concerning the physician's clinical competence, behavior, or other concerns and Information provided to third parties regarding the same.
11. Reports made to the National Practitioner Data Bank or state licensure board;
12. Reason for departure;
13. Last known address or forwarding address; and
14. Who took over practice (if applicable and if known).
D. If there is a question concerning whether a particular document in the
physician's credentials file should be retained or discarded, legal counsel
should be contacted for a determination as to whether the document
should be retained or discarded.
E. For those cases in which the practitioner is no longer affiliated with the
hospital and the hospital has been named in a lawsuit involving the
practitioner, the entire credentials file will be kept until the case is
concluded. On conclusion of the case, the procedure specified herein will
be followed.
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Exercise: How Much Time to Audit YOUR Files Step 1: Multiply number of credentials files X 20 minutes ______X 20 minutes = _________ minutes # files Step 2: Divide number of minutes by 60 minutes (number of minutes in an hour) ________minutes / 60 = _________ hours required for audits Step 3: Divide number of hours by the number of work weeks in a year (i.e. deduct number of vacation weeks) ________hours required for audits / _________ weeks worked in a year = _________ hours Summary You will have to spend ________ hours a week doing file audits if you want to audit all files at least once a year.
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Some information and forms contained in this resource are excerpted from the Medical Staff Meeting Companion: Tools and techniques for effective
presentations, by Kathy Matzka, CPMSM, CPCS; an HCPro publication. For more information, visit www.HCPro.com.