Skilled nursing facilities (SNF) receiving federal funds are obligated to adhere to all legal and ethical standards. Making sure that the correct disciplinary steps and a process for policy reassessments are in place is the fourth and last step in meeting this demand for compliance.
As part of the company’s training program, all employees should be made aware that deliberate breaches of compliance regulations can have serious consequences—for themselves and for the facility. The SNF is obligated to act in order to protect not only its own interests, but also that of the residents. Employees have to be aware that they will therefore be disciplined—up to and including employment termination—for the following:
- Failure to actively participate in the compliance program,
- Participating in noncompliant behavior,
- Encouraging, directing, facilitating, or permitting noncompliant behavior.
- Failure to report suspected noncompliance, and
- Falsely reporting noncompliance.
The actual nature of the sanction applied will naturally vary according to the particular circumstances and the severity of the issue at hand. It should also be made plain to the entire staff that this applies to all levels of employees. No one will be treated differently, no matter what their rank or status.
The full range of disciplinary actions open to the institution can range from oral or written warnings, suspension from employment or service (temporary or permanent), privilege revocation, termination, and even financial penalties. Disciplinary action taken may also be influenced by whether the employee promptly reported his or her own violation (an important factor which should be stressed in training as well), whether the report constitutes the facility’s first awareness of the violation and the employee’s involvement, and whether the employee cooperates fully in investigating and/or correcting the violation.
Finally, there has to be a reassessment procedure in place. This means that on an annual basis, at the very least, the SNF management must reassess and reevaluate its compliance program to ensure its effectiveness. In order to do this, the compliance officer will have to review all previous compliance issues and determine if any of them could have been avoided by updating or adjusting internal rules and regulations. Should such a determination be made, then the compliance officer is obligated to make such updates and adjustments to the compliance policy
