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Standards of Conduct

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General Compliance Guidelines

Herman Barnett, M.D., (1926-1973)Herman Barnett, M.D., (1926-1973), the first African-American graduate of UTMB who also became the first African-American to serve on the Texas State Board of Medical Examiners as well as the first African-American elected president of the Board of Trustees of the Houston Independent School District. A posthumous recipient of the Ashbel Smith Distinguished Alumni Award, Dr. Barnett is also memorialized in the distinguished professorship established in his name in 1997.

 

Q

A company asked me to sign a confidential disclosure agreement so that I could discuss my intellectual property with them. Is my signature all that is necessary?

A

No. Although the inventors of the “invention” covered by the agreement sign confidential disclosure agreements, only individuals expressly authorized by the UTMB President may sign contracts and agreements on behalf of UTMB.

Q

I have submitted a manuscript for publication in a scientific journal on a development that may be patentable. What is the next step?

A

An Invention Disclosure Form should be submitted to the Technology Management Office prior to submission of a manuscript or abstract for publication or presentation. Public disclosure prior to protecting the invention may result in loss of certain patent protection.

Q

I am a scientific advisor and own a financial interest in a company that is interested in licensing and/or sponsoring research to develop my invention. Is this okay and what are the necessary steps I need to take?

A

Inventors are required to disclose a listing of significant financial interests that would reasonably appear to be affected by the proposed research or license agreement. The Texas Education Code and the Regents’ Rules and Regulations have specific requirements that must be satisfied. Contact the Technology Management Office at (409) 772-1936 for compliance guidelines.

Q

One of my very nice elderly patients feels the need for a home health nurse. Would it hurt anything for me to authorize a home health nurse to visit this patient even though they probably don’t really need it?

A

You may not authorize a service that a patient does not need. You could be in violation of several Medicare laws and held liable for a false claim as well as criminal penalties. The Medicare program expects the physician to explain to patients why certain services are not authorized.

Q

I would like to extend a courtesy to some of my patients. May I tell the patient that I will accept “what insurance pays” as full payment for my charge?

A

No. Medicare regulations expressly forbid a waiver of co-pay or deductible for any patient. Moreover, our contracts with many third-party payers require UTMB to collect the co-pay or deductible.

Q

Is a faculty physician’s name required on orders for ancillary services?

A

Yes. The faculty physician name is required in order to submit a claim to Medicare for services by an ancillary department.

Q

Is a diagnosis, or reason for the test, required when ordering lab, x-ray, or other ancillary tests?

A

Yes. To receive payment, ancillary departments must include the reason for the test on the claim.

Intellectual property. Intellectual property includes any invention, discovery, trade secret, technology, creation, scientific or technological development, computer software, or other form of expression of an idea that arises from the activities of persons employed by UTMB, anyone using UTMB facilities under the supervision of UTMB personnel, or candidates for master’s degrees. The University of Texas System Board of Regents owns the intellectual property created by its students and employees if the intellectual property is

  • created by an employee within the scope of employment,
  • created by an employee on UTMB time with the use of UTMB facilities or state financial support,
  • commissioned by UTMB or the University of Texas System pursuant to a signed contract,
  • fits within one of the nine categories of works considered works for hire under copyright law, or
  • results from research supported by federal funds or third party sponsorship.

The intellectual property that a UTMB employee created must be disclosed to UTMB well before the employee submits any information about the intellectual property for publication, or makes any public disclosure or even a private disclosure to a commercial entity. Policies regarding intellectual property may be obtained via the Internet at http://www3.utsystem.edu/bor/rules/homepage.htm (Regents’ Rules, Part Two, Chapter 12) and http://www.utsystem.edu/ogc/intellectualproperty/index.htm (University of Texas System Internet Policy).

Clinical compliance. UTMB Hospitals and UTMB physicians are committed to providing high-quality patient care and to compliance with all applicable laws and regulations. As a teaching hospital and medical school, UTMB intends to foster a teaching environment by educating physicians and other employees about the laws and regulations related to providing health care and billing for services to patients and third-party payers. Employees and medical staff members will receive swift disciplinary action for failure to abide by the UTMB Standards of Conduct Guide or the Institutional Compliance Plan.

Billing and Reimbursement compliance. All claims for reimbursement made by or on behalf of UTMB Hospitals or UTMB physicians shall adhere to applicable laws and regulations, and UTMB policies. The institution will follow all legal and regulatory guidelines for billing hospital and physician services. UTMB shall collect only those amounts to which the institution is entitled and promptly refund amounts billed and/or collected in error. UTMB IHOP polices relating to clinical collections include 9.8.1, Financial Arrangements for UTMB Services, and 9.8.2, Unreimbursed Medical Care for Indigent Patients. These policies may be accessed at the following Internet address http://www.utmb.edu/policy/ihop/

Advanced Directive Information. The 1990 federal Patient Self-Determination Act requires that we inform patients upon admission to our hospital that they have the right to make decisions regarding their medical care including the right to complete an advance directive to direct their care in a situation when they are unable to express their wishes. Further information about advance directives and other end-of-life decision-making is found in IHOP 9.15.5 through 9.15.8. The Ethics Consultation Service is available to assist with practitioner questions at (409) 747-2130.

Reporting Specific Events. Certain external agencies require that facilities and practitioners report specific types of events to them.

  • A medical device that cause or “contribute” to injury, illness, or death must be reported.
  • Contact Risk Management Department,
    (409) 772-4775, IHOP Policy 9.13.21.
  • Abuse and neglect of children, the disabled and elderly must reported to the Department of Protective Services.
  • Incidents that occur in the psychiatric setting may be reportable to the TDH, see IHOP 9.3.9.

Reporting Sentinel Events. A sentinel event is an unexpected occurrence involving death or serious physical or psychological injury, or the risk thereof to a patient, visitor, or employee. (IHOP 9.13.16 or http://www2.utmb.edu/jcaho/sentinel_event_information.htm)

Examples include:

  • Suicide of a patient in a setting where the patient receives around-the-clock care.
  • Infant abduction or discharge to the wrong family.
  • Rape.
  • Hemolytic transfusion reaction involving administration of blood or blood products having major blood group incompatibilities.
  • Surgery on the wrong patient or wrong body site.
  • Unexpected death not related to the patient’s illness.

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