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HCCA Compliance Institute Hot Topics and Emerging Issues in Research Compliance Presented by: F. Lisa Murtha, J.D., CHC Sonnenschein Nath & Rosenthal, LLP (215) 801-7824 And Holley Thames Lutz, Esq. Sonnenschein Nath & Rosenthal, LLP (202) 408-6836 And Ryan D. Meade, Esq. Meade & Roach, LLP (773) 472-3975 INFORMED CONSENT

HCCA Compliance Institute Hot Topics and Emerging … · HCCA Compliance Institute Hot Topics and Emerging Issues ... must sign Form FDA 1572 ... Most Recent Guidance

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HCCA Compliance Institute

Hot Topics and Emerging Issues

in Research Compliance

Presented by:F. Lisa Murtha, J.D., CHC

Sonnenschein Nath & Rosenthal, LLP

(215) 801-7824

And

Holley Thames Lutz, Esq.

Sonnenschein Nath & Rosenthal, LLP

(202) 408-6836

And

Ryan D. Meade, Esq.

Meade & Roach, LLP

(773) 472-3975

INFORMED CONSENT

3

Human Subject Protections

Tuskegee study and the Nuremberg cases opened eyes to abuses in research

This led to the Belmont Report (respect, beneficence, and justice)

Led to increased monitoring of informed consent

Led to increased regulation

Oct 1, 2000-Required education in the protection of human subjects for all investigators submitting NIH applications for grants or proposals

4

The Common Rule

Compliance with federal regulations for the protection of human subjects is an obligation whenever biomedical or behavioral research is conducted or supported by any of 17 U.S. government departments or agencies, or whenever research is subject to regulation by the FDA

5

Who are the regulators?

Food and Drug Administration (FDA)

The FDA published regulations for human subject protections in 1981 as a response to the National Research Act of 1974 and the 1979 Belmont Report on research ethics.

The FDA Human Subject Protection Regulations govern research on drugs, biologics, and devices regardless of study sponsorship.

6

FDA Regulations

Regulatory References for Drugs and Devices

Code of Federal Regulations: 21 Parts 312, 314, 600, 812, and 814

7

FDA Authority

FDA works with individuals, companies, and institutions to help promote compliance with rules that govern clinical research - the FDA has discretion to:

extend review of applications

send warning letters with documented concerns

disqualification / debarment of individuals

disqualification of institutions and/or IRB

other sanctions (i.e., seizures, injunctions)

8

FDA Authority

The FDA monitors research through review of required reports from investigators, sponsors, institutions, and IRBs as well as through a program of on-site inspections and audits

Investigators of FDA-regulated studies must sign Form FDA 1572 (Investigator’s Statement)

9

OHRP

45 CFR 46-Basic DHHS Regulations for the Protection of Human Research Subjects

Additional protections for vulnerable populations in subparts B-D

Govern research that is supported by several federal government agencies

10

The Belmont Report

Institutional Assurances

IRB Review

Informed Consent

11

IRBs

IRB is a medical staff committee with broad power in oversight of clinical research and the protection of human subjects

IRB determination is FINAL

Among other things, the IRB reviews the Informed Consent Documents to determine adequacy and appropriateness

IRB must remain independent

12

Informed Consent Requirements

45 CFR 46.116

50 CFR 20-27

Per the Belmont Report, consent must be:

• informed

• understood

• voluntary

Consent forms should reflect, in language that is understandable to volunteers, all relevant information about the study

13

Informed Consent Process

(Subject recruitment materials, verbal instructions, written materials, question/answer sessions, agreement documented by signature)

It contains:

• Information

• Comprehension

• Volunteerism

The “reasonable subject” standard should be used

“Comprehensiveness” is key

14

Interesting Case

Quinn v. Abiomed, Inc. et alNo. 001524, C.P. Phila. Co. Oct. Term 2002

subject received experimental artificial heart

“therapeutic misconception” theory

role of patient advocate on informed consent process

15

Informed Consent Requirements-21

CFR 50.25Introduction (“This is research”)

Purpose of study

Description of study procedures (“experimental”)

Duration of subject involvement

Potential risks or discomforts of participation

Potential benefits of participation

Alternatives (treatments, other research, etc.)

Confidentiality of records statement

Compensation for injury statement (for greater- than-minimal-risk studies)

16

Informed Consent Process

Contact persons

Statement of voluntary participation

Unforeseen risks

Reasons for involuntary termination of participation

Additional costs to participate

Consequences for withdrawal

New findings statement

Number of subjects

Payments (incentives, etc.)

17

Who Can Sue?

Subjects can sue

Families can sue for wrongful deaths of loved one

Parents can represent their children

The government can sue, prosecute, or take administrative action

Sponsor, institutions, and researchers can sue each other over sponsored research

18

Who Can Sue?

Groups of subjects can commence a Class Action:

380 women sued Tampa General Hospital for performing medical experiments on them including multiple amnios when they were pregnant, allegedly without their consent

Claim was for violation of right to be treated with dignity and to be free of unwanted treatment

Diaz v. Hillsborough County Hospital Auth.,

M.D. Fla. August 7, 2000 (Settlement)

19

Who Can Be Sued?

Robertson v. McGee (N.D. Okla. 2002)

Plaintiffs in melanoma study alleged lack of consent because defendants failed to follow federal human subject regulations and failed to notify plaintiffs of lack of compliance.

Defendants included Oklahoma University School of Medicine at Tulsa, University administration, as well as individual IRB members

Partial settlement includes IRB members

20

How Much Should Be Disclosed?

Gelsinger v. University of Pennsylvania

(C.P. Phila. Co., 2000)18 year old with OTC, a rare metabolic disorder, entered a gene transfer clinical trial as a volunteer

Principal investigator at Penn’s Institute for Human Gene Therapy was also founder of Genovo, Inc., which had a business arrangement with Penn

Information given during consent process did not mention:

• monkey deaths

• previous adverse events

• relationship between principal investigator, University of Pennsylvania, and Genovo, Inc.

After injection of adenovirus vector, subject died

Confidential settlement reached

21

Are Expectations Different for Non-

Therapeutic Research?

Death of healthy volunteer at Johns Hopkins (2001)

volunteer was employee

incomplete research by investigator alleged

no lawsuit filed, but OHRP acted

led to state legislation on IRB activities

22

Criminal Implications of Fraudulent

ResearchUnited States v. Paul H. Kornak (Criminal Action No. 03-CR-436 (FJS))

Defendant was investigated and prosecuted criminally for various false statements and related frauds resulting in the death of a research participant involved in cancer cooperative research conducted at a VA Hospital in NY

The false statements included untrue facts resulting in inclusion of participants who did NOT meet the study inclusion criteria

The Defendant’s activities resulted in losses to the sponsors of the studies involved in excess of $500,000

Penalties include jail time and reimbursement

23

Preventing Litigation Through

OversightRelationship with Subject

recruitment

consent process

continuing communication throughout the study

Relationship with IRB

accreditation of institution’s human subject protection program

use of external IRBs?

24

Preventing Litigation Through

Oversight

Relationship with Subjectsponsored research agreement

financial relationships

reporting responsibilities

investigator-initiated research

Research Integrity and

Scientific Misconduct

26

Risk Areas In Scientific Misconduct

Collaboration

Intellectual Property

Data Acquisition and Management

Falsifying Data on CRFs

Suppression of Data

Falsification, fabrication and plagiarism

Students As Investigators

27

Conflicts of Interest

28

Why Are Conflicts A Problem for

Organizations Conducting Research?May endanger human subjects’ safety

May jeopardize public’s faith in findings and/or lead them to question whether the investigator is acting in their best interest or merely using them as a vehicle for conducting research

May reduce the public’s willingness to participate in studies

May inhibit future discoveries if less support for research

OIG 2005 Work Plan identifies “financial conflicts of interest” as a focus area

29

Definition of Conflicts of InterestA Conflict of Interest is a situation in which financial or other personal considerations have the potential to compromise or bias professional judgment and objectivity.

Conflicts of Interest always involve the use of a person’s authority for personal and/or financial gain.

Conflicts may involve both individuals and institutions

30

Public Health Service RegulationsAffects PHS governed agencies, such as the National Institutes of Health (NIH)

Regulations are found in: 42 CFR Part 50, Subpart F

Under the regulations, an investigator must disclose:

Any “significant financial interest” in entities whose financial interests might be affected by the research, and require the institution to designate an “institutional official(s)” to solicit and review the financial disclosure statements made by investigators

31

PHS Definition

PHS regulations define a significant financial interest as:

Income (salary, royalties and other payments) which when aggregated for the investigator, an investigator’s spouse or dependent children exceeds $10,000 over twelve months OR

An equity interest (including spouse and dependent children) in excess of $10,000 or 5% ownership in a single entity

32

Management of COIs

The Institution, not PHS, selects the method for gathering information from investigators, determining if a COI exists, and if any COI that exists is properly managed

If an institution determines that an investigator has a conflict, it must report that conflict to the “PHS awarding component and explain whether the conflict has been managed, reduced or eliminated.”

33

FDA COI Policy

Regulations are found in 21 CFR Part 54

Form FDA 3455 is the form used to make disclosures

FDA form is only for the clinical investigators

Form asks for:

Payments coupled to results

Compensation in the form of equipment, retainer for ongoing research or honoraria

Any proprietary interest in the product tested

Any significant equity interest held by the clinical investigator in the sponsor of the study.

34

PHS and NIH Regulations

Both the PHS and FDA regulations demand reporting of financial interests only.

They do not require any recusal by the researchers with a conflict of interest

There is no requirement for notification to research subjects

35

IRBs and Conflict of Interest

IRB conflict of interest issues are regulated under:

45 CFR 46.107(e)

21 CFR 56.107(e)

Under these regulations, “No IRB member may participate in initial or continuing research in which they have a conflicting interest except to provide information requested by the IRB.”

If a conflict is found, an IRB member must recuse him or herself.

36

Regulation Compliance

If an institution has an IRB, conducts research that is FDA regulated, and receives PHS funding, it must follow all three sets of regulations.

37

Most Recent Guidance

Department of Health and Human Services (DHHS) – “Financial Relationships in Research Involving Human Subjects: Guidance for Human Subject Protection” (Federal Register May 12, 2004)

Available at:

http://ohrp.osophs.dhhs.gov/references/fr03-7691.pdf

38

DHHS Guidance RecommendationsThe Guidance asks: Would the rights and welfare of human subjects be better protected by any or a combination of the following:

Reduction of the financial interest

Disclosure of the financial interest to prospective subjects

Separation of responsibilities for financial decisions and research decisions

Additional oversight or monitoring of the research

An independent data and safety monitoring committee or similar monitoring body

Modification of role(s) of particular research staff or changes in location for certain research activities, e.g., a change of the person who seeks consent, or a change of investigator

Elimination of the financial interest

39

How Should An Institution Respond to the Problem of COIs?

Objective:

The goal of an institution’s conflict of interest/conflict of commitment policy should be to:

• Protect the institution

• Protect those who volunteer to participate in the research

though management of financial, relationships that create the potential for conflicts of interest

40

Where is the Issue of Conflict of

Interest Going From Here?

Greater focus on the issue from Congress

Increased regulation and guidance from PHS, FDA, OHRP, and other federal agencies

Universities will need more precise policies and procedures which lay out not only a definition of conflict of interest, but also policies and procedures for identifying, disclosing, and handling conflicts of interest

41

The Penalty for Failure

Several recent civil lawsuits have linked failure to manage potential conflicts of interest to human subject harm.

Defendants have included: investigators, administrators, IRB members, sponsors, patient advocates.

Who is next???

42

Effort Reporting

43

Effort Reporting Old Issues – New Focus4 cases: 2 civil, 2 criminal$5.5 million settlement - Northwestern University

qui tam lawsuit, False Claims Actreview of 1995-2001 faculty effort“knowingly or recklessly overstated salary rates for faculty”faculty did not devote committed effortUniversity lacked system to reconcile proposed effort and actual effortUniversity knowingly made false statements

$2.6 million settlement – Johns Hopkins University

faculty did not devote committed effortovercharging for fringe benefit cost

Investigation - Harvard Medical Schoolinternal review reported to NIH resulted in DOJ investigation

44

Effort Reporting Requirements

48 CFR Part 31 (For Profits)

OMB Circular A-21 (Universities-every “term” reporting)

OMB Circular A-122 (Non-Profits)

45 CFR Part 74, Appendix E (Hospitals-every month reporting)

45

Defining Effort Reporting

What is effort reporting?

A means of verifying that:

–The % effort expended by research personnel on various activities is commensurate with the % of salaries and wages charged to those accounts

–Cost sharing commitments were met

–Total effort commitments were met

–Appropriate treatment of costs in indirect cost rate

46

Defining Effort Reporting (contd.)

Why have effort reporting?–Federal requirement for all recipients of federal funds

–Labor related charges generally comprise the majority of direct research costs

Labor charges typically represent about one-half to two-thirds of direct charges on sponsored projects.

47

Effort Report ScopeEffort reports must reflect all compensated activities, including those efforts not federally funded such as instruction, governance, and academic advising.

Activities within the scope of the employment relationship are considered compensated.

OMB Cir A-21 J8a notes that “compensation for personal services covers all amounts paid currently or accrued by the institution for services of employees rendered during the period of performance under sponsored agreements.”

48

Reporting Basis

Effort reports should be prepared on a percentage basis so as to assure consistency with award terms and utilize flexibility by regulation.

OMB Circular A-21 J8c(2)(b) states: “These reports will reflect an after the fact reporting of the percentage distribution of activity of employees.”

OMB Circular A-21 J8b(l)(c) states: “…it is recognized that research, service, and administration are often inextricably intermingled. A precise assessment of factors that contribute to costs is not always feasible, nor is it expected.”

49

Certification

Effort reports must be certified by an individual with full knowledge of all aspects of the employee’s effort. Reports should be certified by the employee whenever possible, but may be approved by the PI or Chair in the employee’s absence.

Assessments of payroll and effort consistency should occur by reporting period, permitting variations between effort and payroll by pay period.

50

Cost Sharing

Effort reports serve a critical role in documenting cost sharing commitments. Only the cost sharing that has been committed to the sponsor need be reported in the effort reports. University/hospital guidance should address the types of cost sharing and institutional reporting policy.

51

External Activities

OMB Circular A-21 J8a states that “Charges to sponsored agreements may include reasonable amounts for activities contributing and intimately related to work under the agreements, such as delivering special lectures about specific aspects of the ongoing activity, writing reports and articles, participating in appropriate seminars, consulting with colleagues and graduate students, and attending meetings and conferences.”

52

Summary

The method for verifying effort must:

Reasonably reflect the activity for which an individual is paid by the University

Reflect all of these activities performed by the individual (except…)

Include after the fact confirmation to ensure that charges reasonably approximate estimates of effort

Be performed by a responsible individual who can verify that the work was performed

53

Effort Reporting: A Typical Effort Report

NIH Grant ANIH Grant B

Organized Research

CTA – BigPhara Inc.

Other Sponsored Activity

10%10%

20%

Charged % Actual Effort %

Total Effort 100%

By signing this statement, I certify that the effort distribution reflected above is reasonable relative to the work performed …

Signature Date

Teaching 20%

Departmental Administration 10%

Patient Care 20%

Research Admin 10%

54

Recent Changes and Updates in Clinical

Research Billing

55

Why is this an issue?Medicare “double billing” has been the subject of numerous OIG/DOJ investigations/settlements

OIG 2004-2009 Work Plans include Clinical Trial Billing in its top “compliance” initiatives

OIG 2005-2009 Work Plans include numerous other initiatives, including Time and Effort Reporting, and Privacy Compliance.

From a research and business perspective, it is important to track clinical care/standard of care vs. “research only”

56

Challenges in clinical trial billing

Most billing systems were not constructed with research in mind

Research organizations are typically separate from clinical billing departments, thus requiring a strong systems link or strong communication

Research is decentralized and Investigators/Coordinators often find “workarounds”

57

Financial Management

Considerations

ComplianceResidual Billing—Could be viewed as a kickback

Finders fees or other incentives—is this an inducement to investigators to cram subjects into studies?

Double Dip—payments from grants/trials and insurers

58

Clinical Trial Billing

Clinical Trial Billing should be viewed as a business cycle—including all financial and administrative aspects of the process…….

59

Critical Areas of the Process:

Budget Preparation

Protocol Approval

Consenting Subjects/Informed Consent

Registration of Subjects

Billing Requirements

Treatment of Residuals

60

Key Members of the ProcessInvestigators

Contracting Office/Tech Transfer

Research Finance/Billing

CTCs

Registrars

IS Staff

HIM Dept.

Pharmacy and Lab Support

61

Consider ContingenciesWho is responsible for the cost of services resulting from adverse events?

Will the sponsor pay for additional tests and procedures if they are requested during the course of the trial?

Indemnification language appropriate?

How much is provided for trial start up—e.g. screening costs

Under what conditions are additional payments made? (Expectations for timely payment or penalties for non-compliance?)

62

Prepare a Billing Plan

Knowing the costs of the study is not enough—Need to know who will pay which costs and have a plan to promote timely and appropriate billing of trial costs

Develop a billing plan that clearly differentiates between costs borne by sponsor and costs borne by other parties

63

National Coverage Decision

NCD (9/19/00) Defines requirements and procedures for submitting “routine costs” associated with “qualifying”clinical trials

Available at http://www.cms.gov/quality/8d2.htm

64

Compliance Issues with Clinical Trial

Residual Balances

Unrelated Business Income Tax (UBIT)

Private Inurement

Conflict of Interest

Anti-kickback consequences

65

Changing Your Clinical Trial Billing

Process

Develop your workgroup

Hire some technical resources if necessary

Develop process work flows and roles/responsibilities

Pilot the new process

In-service staff

Roll-out

66

Clinical Research Billing

In response to a June 7, 2000 Executive Memorandum, issued by President Clinton, requiring Medicare to pay for routine carecosts in clinical trials, the Health Care Financing Administration (HCFA)* implemented a Clinical Trial NCD on September 9, 2000. On July 10, 2006, CMS began the first reconsideration of the Clinical Trial Policy NCD. On December 13, 2006, CMS organized a Medicare Coverage Advisory Committee (MCAC)** public meeting at their head office in Baltimore, Maryland to re-evaluate the current Clinical Trial Policy. On April 10, 2007, CMS released their proposed revisions to the Clinical Trial Policy NCD with a 30-day public comment period.On July 9, 2007, CMS released their final decision memorandum on the Clinical Trial Policy NCD.

67

Clinical Research Billing

Within the July 9th decision memo, CMS indicated opening of a second reconsideration process for the clinical trial NCD to provide the public with additional opportunity to respond to theproposed changes. Ten days after the release of the decision memo, on July 19, 2007, CMS released their proposed decision memorandum for second reconsideration of the clinical trial policy with a 30-day public comment period.To facilitate discussions among the public, the stakeholders andthe CMS on the proposed CRP NCD, CMS held a special open door forum (ODF) on August 7, 2007.The final decision memo for the second reconsideration process was issued on October 17, 2007.

68

Clinical Research Billing-The CTP

The coverage remains the same.

“Effective for items and services furnished on or after July 9, 2007, Medicare covers the routine costs of qualifying clinical trials, as such costs are defined below, as well as reasonable and necessary items and services used to diagnose and treat complications arising from participation in all clinical trials. All other Medicare rules apply.”

69

The CTP

What are the Key Tests to Determine if the Costs of a Trial are Coverable?

Is it a qualifying clinical trial?

Are the items and services routine costs?

Are the routine costs reasonable and necessary? (i.e., does Medicare generally cover the services outside a clinical trial?)

70

CTP

Any clinical trial receiving Medicare coverage of routine costs must meet the following four requirements:

1. The subject or purpose of the trial must be the evaluation of an item or service that falls within a Medicare benefit category (e.g., physicians' service, durable medical equipment, diagnostic test) and is not statutorily excluded from coverage (e.g., cosmetic surgery, hearing aids).

1. The trial must have therapeutic intent. It cannot be designed to test toxicity or disease pathophysiology, exclusively. (Note: we discuss this in a greater detail later in the presentation…)

2. Trials of therapeutic interventions must enroll patients with diagnosed disease. Trials of diagnostic interventions may enroll healthy patients in order to have a proper control group.

3. The clinical trial must be “deemed”.

71

The CTP

A trial is “deemed” to automatically meet the seven desirable characteristics if it is:

funded by NIH, CDC, AHRQ, CMS, DOD, or the VA;

supported by centers or cooperative groups that are funded by the NIH, CDC, AHRQ, CMS, DOD or the VA;

conducted under an investigational new drug application (IND) reviewed by the FDA; or

a drug trial that is exempt from having an IND under 21 CFR 312.2(b)(1).

72

The CTP

The four types of deemed trials are “deemed” to have the following seven desirable characteristics (self-certification was not adopted):1. The principal purpose of the trial is to test whether the intervention

potentially improves the participants' health outcomes; 2. The trial is well-supported by available scientific and medical

information or it is intended to clarify or establish the healthoutcomes of interventions already in common clinical use;

3. The trial does not unjustifiably duplicate existing studies; 4. The trial design is appropriate to answer the research question

being asked in the trial; 5. The trial is sponsored by a credible organization or individual

capable of executing the proposed trial successfully; 6. The trial is in compliance with Federal regulations relating to the

protection of human subjects; and 7. All aspects of the trial are conducted according to the appropriate

standards of scientific integrity.

73

The CTP

Alternative: CMS will cover the routine costs of clinical trials that are subject to the CED process:

The CED process can add additional requirements.

A special NCD will be issued for CED trials.

74

The CTP

Routine costs in clinical trials include items and services:

For which there exists a benefit category;

That are coverable by Medicare outside of a clinical trial;

That are typically provided absent a clinical trial (e.g., conventional care);

Required solely for the provision of the investigational item or service (e.g., administration of a non-covered chemotherapeutic agent), the clinically appropriate monitoring of the effects of the item or service, or the prevention of complications; and

Needed for reasonable and necessary care arising from the provision of an investigational item or service--in particular, for the diagnosis or treatment of complications.

75

The CTP

Routine costs in clinical trials exclude items and services:

That are investigational, unless otherwise covered outside of the clinical trial;

That are statutorily excluded;

For which there is a national non-coverage decision;

Provided solely to satisfy data collection and analysis needs and that are not used in the direct clinical management of the patient (e.g., monthly CT scans for a condition usually requiring only a single scan); and

Provided by the research sponsors free of charge for any enrollee in the trial.

As mentioned earlier, the italicized text is the new language added to the July 9, 2007 CTP.

76

The CTP

Additional items of note:

Complications: Medicare will cover treatment of complications (even in a non-qualifying clinical trial) as long as the treatment of items and services are generally covered by Medicare.

Non-covered items and services: if an item or service is not covered by virtue of a national non-coverage policy and is the focus of a qualifying clinical trial, the routine costs of the clinical trial (as defined above) will be covered by Medicare but the non-covered item or service, itself, will not.

77

The CTP

How to determine what is reasonable and necessary?

Whether an item or service is reasonable and necessary is the basis of most NCDs and LCDs.

NCDs and LCDs determine whether an item or service is reasonable and necessary.

If there is not an NCD or LCD addressing the item or service and the item or service is not statutorily excluded, then determining whether an item or service is reasonable and necessary is a question of clinical judgment and the physician should document in the medical record that the item or service is medically necessary

78

The CTP

CTP remains vague on the coverage for medical devices.

The CTP says the following about devices:

“This policy does not withdraw Medicare coverage for items and services that may be covered according to local medical review policies (LMRPs) or the regulations on category B investigational device exemptions (IDE) found in 42 C.F.R. §405.201-405.215 and §411.15 and §411.406.”

IDE devices should continue to follow the device trial regulations

79

The CTP

On October 17, 2007, in addition to the decision memo, CMS posted seven frequently asked questions and answers. Within this document, CMS has encouraged providers to seek clarification from their local Medicare contractors (i.e., Medicare Carriers and Fiscal Intermediaries) for trials that do are meet CTP’squalifying criteria. In addition, CMS said that it will revise its policy through formal “rulemaking,” which means through a formal regulations process (e.g. Code of Federal Regulations (CFR)) instead of the NCD process.

However, no timeline was provided by CMS.

80

Therapeutic Intent

Approach 1: Apply the primary objective test and consider a study a QCT only when one of the primary objectives is to measure therapeutic benefit

Do not bill Medicare for items and services required by a non-QCT

Negotiate sponsor to cover all costs of Phase I non-QCTs

Approach 2: A provider should ask its local Medicare medical director what test should apply in the region

If CMS is not going to issue any more clarifications, then with full disclosure of CMS statements, providers can make argument to medical director that therapeutic intent can be met by any objective

After the issuance of the October 2007 CTP, if a provider does not adopt Approach 1, the prudent approach is to consult the provider’s local Medicare medical director

81

New Research Modifiers

On January 18, 2008 CMS issued transmittals eliminating the QV, QA and QR modifier – retroactive to January 1, 2008.

New modifiers:

Q0: “investigational clinical service”Q1: “routine clinical service”

What should providers do?

1. Every study must sort the protocol required services to determine which are the “investigational clinical services” and which are the “routine clinical services”2. Institute a process to appropriately place modifiers on claims3. Consult Medicare contractor to determine if the contractor can accept the modifiers yet

82

Clinical Trial Number

Encourages providers to place clinical trial number on claim –this is voluntary for providers

Requires Medicare contractors to accommodate receiving clinical trial number

Requires contractor to “generate one monthly report…to CMS data center” that identifies:

use of the clinical trial numbersuse of the new modifiersnumber of clinical trial claimsnumber of patients

83

Other Hot Topics

84

Other Hot Topics

Subject Related Injury, MSP and Related Research Billing Issues

OHRP Guidance on Research Involving Coded Private Info. or biological specimens (See OHRP website)

Investigator Initiated Research

Innovative Care vs. Research

FDA final guidance on clinical holds for Investigator Misconduct

85

Questions/Discussion