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MD - Health Care Compliance Association

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■ ABNs were used for preventive care exams (this is statutorily<br />

non-covered)<br />

■ Forms were not completed fully (missing critical elements such<br />

as services, reason, option, estimated cost, signature/date)<br />

■ Some client offices decided not to use ABNs<br />

The last error on the list is an interesting one. It really is not a matter<br />

of choice as to whether or not an office uses an ABN. The Office<br />

of the Inspector General (OIG) may consider failure to use ABNs or<br />

to balance-bill to be inducements for patients. Inducements resulting<br />

in a Stark II violation as a perceived kick-back may result in civil<br />

monetary penalties. True, CMS is more interested in recouping its<br />

own lost revenue rather than the lost revenue of a provider, but that<br />

does not make it any less of an infraction.<br />

Revise the corrective action plan<br />

Using the errors from the re-audit, a revised corrective action plan<br />

and training program was developed. Beginning with the form<br />

errors, each line of the form was incorporated into the training program<br />

with examples of “do’s and don’ts.” For example: the<br />

BECAUSE section was often completed incorrectly with ICD-9<br />

codes or written diagnoses instead of the reason why the provider<br />

thought the service may not be covered. This and other form completion<br />

problems with the SERVICES and BECAUSE sections led<br />

to the development of a modified ABN that already has services<br />

and reasons available for check-off. The use of a modified form<br />

with check-off boxes enables a provider to:<br />

■ prompt the proper use of the ABN<br />

■ increase readability by limiting handwritten items<br />

■ improve efficiency by making it faster and easier to complete<br />

these sections<br />

■ improve accuracy<br />

The modifications can be customized to the services offered by the<br />

office or specialty without compromising the integrity of the form<br />

(see Figure 2 for a sample modified form on page 14).<br />

The training program addressed each section and provided examples<br />

of when to use and not use the ABN. The refresher program<br />

was also offered to all staff members from registration personnel,<br />

clinical staff (including providers), and check-out/data-entry clerks.<br />

It was clear from the second audit results that there needed to be a<br />

full awareness and coordination among all of these people in order<br />

to make the use of ABNs successful.<br />

Continued on page 12<br />

<strong>Health</strong> <strong>Care</strong> <strong>Compliance</strong> <strong>Association</strong> • 888-580-8373 • www.hcca-info.org<br />

January 2006<br />

11

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