42 U.S.C. § 1396r–2 | Information concerning sanctions taken by State licensing authorities against health care practitioners and providers

(a)

Information reporting requirement

section 1396a(a)(49) of this titleThe requirement referred to in is that the State must provide for the following:

(1)

Information reporting system

(A)

Licensing or certification actions

The State must have in effect a system of reporting the following information with respect to formal proceedings (as defined by the Secretary in regulations) concluded against a health care practitioner or entity by a State licensing or certification agency:

(i)

Any adverse action taken by such licensing authority as a result of the proceeding, including any revocation or suspension of a license (and the length of any such suspension), reprimand, censure, or probation.

(ii)

Any dismissal or closure of the proceedings by reason of the practitioner or entity surrendering the license or leaving the State or jurisdiction.

(iii)

Any other loss of license or the right to apply for, or renew, a license by the practitioner or entity, whether by operation of law, voluntary surrender, nonrenewability, or otherwise.

(iv)

Any negative action or finding by such authority, organization, or entity regarding the practitioner or entity.

(B)

Other final adverse actions

The State must have in effect a system of reporting information with respect to any final adverse action (not including settlements in which no findings of liability have been made) taken against a health care provider, supplier, or practitioner by a State law or fraud enforcement agency.

(2)

Access to documents

The State must provide the Secretary (or an entity designated by the Secretary) with access to such documents of a State licensing or certification agency or State law or fraud enforcement agency as may be necessary for the Secretary to determine the facts and circumstances concerning the actions and determinations described in such paragraph for the purpose of carrying out this chapter.

(b)

Form of information

The information described in subsection (a)(1) shall be provided to the Secretary (or to an appropriate private or public agency, under suitable arrangements made by the Secretary with respect to receipt, storage, protection of confidentiality, and dissemination of information) in such a form and manner as the Secretary determines to be appropriate in order to provide for activities of the Secretary under this chapter and in order to provide, directly or through suitable arrangements made by the Secretary, information—

(1)

to agencies administering Federal health care programs, including private entities administering such programs under contract,

(2)

1 So in original. The semicolon probably should be a comma.

to State licensing or certification agencies and Federal agencies responsible for the licensing and certification of health care providers, suppliers, and licensed health care practitioners; 

(3)

section 1320a–7(h) of this title to State agencies administering or supervising the administration of State health care programs (as defined in ),

(4)

2 So in original. Probably should be “to quality improvement organizations”.

3 See References in Text note below.

to utilization and quality control peer review organizations  described in part B of subchapter XI and to appropriate entities with contracts under section 1320c–3(a)(4)(C)  of this title with respect to eligible organizations reviewed under the contracts, but only with respect to information provided pursuant to subsection (a)(1)(A),

(5)

to State law or fraud enforcement agencies,

(6)

42 U.S.C. 11151 42 U.S.C. 11137 42 U.S.C. 11101 to hospitals and other health care entities (as defined in section 431 of the Health Care Quality Improvement Act of 1986 []), with respect to physicians or other licensed health care practitioners that have entered (or may be entering) into an employment or affiliation relationship with, or have applied for clinical privileges or appointments to the medical staff of, such hospitals or other health care entities (and such information shall be deemed to be disclosed pursuant to section 427 [] of, and be subject to the provisions of, that Act [ et seq.]), but only with respect to information provided pursuant to subsection (a)(1)(A),

(7)

section 1320a–7c(c) of this title¹ to health plans (as defined in ); 

(8)

to the Attorney General and such other law enforcement officials as the Secretary deems appropriate, and

(9)

upon request, to the Comptroller General,

in order for such authorities to determine the fitness of individuals to provide health care services, to protect the health and safety of individuals receiving health care through such programs, and to protect the fiscal integrity of such programs.

(c)

Confidentiality of information provided

The Secretary shall provide for suitable safeguards for the confidentiality of the information furnished under subsection (a). Nothing in this subsection shall prevent the disclosure of such information by a party which is otherwise authorized, under applicable State law, to make such disclosure.

(d)

Disclosure and correction of information

(1)

Disclosure

With respect to information reported pursuant to subsection (a)(1), the Secretary shall—

(A)

provide for disclosure of the information, upon request, to the health care practitioner who, or the entity that, is the subject of the information reported; and

(B)

establish procedures for the case where the health care practitioner or entity disputes the accuracy of the information reported.

(2)

Corrections

Each State licensing or certification agency and State law or fraud enforcement agency shall report corrections of information already reported about any formal proceeding or final adverse action described in subsection (a), in such form and manner as the Secretary prescribes by regulation.

(e)

Fees for disclosure

The Secretary may establish or approve reasonable fees for the disclosure of information under this section. The amount of such a fee may not exceed the costs of processing the requests for disclosure and of providing such information. Such fees shall be available to the Secretary to cover such costs.

(f)

Protection from liability for reporting

No person or entity, including any agency designated by the Secretary in subsection (b), shall be held liable in any civil action with respect to any reporting of information as required under this section, without knowledge of the falsity of the information contained in the report.

(g)

References

For purposes of this section:

(1)

State licensing or certification agency

The term “State licensing or certification agency” includes any authority of a State (or of a political subdivision thereof) responsible for the licensing of health care practitioners (or any peer review organization or private accreditation entity reviewing the services provided by health care practitioners) or entities.

(2)

State law or fraud enforcement agency

The term “State law or fraud enforcement agency” includes—

(A)

a State law enforcement agency; and

(B)

section 1396b(q) of this title a State medicaid fraud control unit (as defined in ).

(3)

Final adverse action

(A)

In general

Subject to subparagraph (B), the term “final adverse action” includes—

(i)

civil judgments against a health care provider, supplier, or practitioner in State court related to the delivery of a health care item or service;

(ii)

State criminal convictions related to the delivery of a health care item or service;

(iii)

section 1320a–7(h) of this title exclusion from participation in State health care programs (as defined in );

(iv)

any licensing or certification action described in subsection (a)(1)(A) taken against a supplier by a State licensing or certification agency; and

(v)

any other adjudicated actions or decisions that the Secretary shall establish by regulation.

(B)

Exception

Such term does not include any action with respect to a malpractice claim.

(h)

Appropriate coordination

42 U.S.C. 11131 section 1320a–7e of this titleIn implementing this section, the Secretary shall provide for the maximum appropriate coordination with part B of the Health Care Quality Improvement Act of 1986 ( et seq.) and .

Aug. 14, 1935, ch. 531 Pub. L. 100–93, § 5(b)Aug. 18, 1987101 Stat. 690 Pub. L. 101–508, title IV, § 4752(f)(1)Nov. 5, 1990104 Stat. 1388–208 Pub. L. 111–148, title VI, § 6403(b)Mar. 23, 2010124 Stat. 764(, title XIX, § 1921, as added , , ; amended , , ; , , .)

Editorial Notes

References in Text

Section 1320c–3(a)(4)(C) of this title Pub. L. 112–40, title II, § 261(c)(2)(A)(ii)Oct. 21, 2011125 Stat. 425, referred to in subsec. (b)(4), was repealed by , , .

Pub. L. 99–660Nov. 14, 1986100 Stat. 3784 section 11101 of this titleThe Health Care Quality Improvement Act of 1986 and that Act, referred to in subsecs. (b)(6) and (h), are title IV of , , , which is classified generally to chapter 117 (§ 11101 et seq.) of this title. Part B of the Act is classified generally to subchapter II (§ 11131 et seq.) of chapter 117 of this title. For complete classification of this Act to the Code, see Short Title note set out under and Tables.

Prior Provisions

Aug. 14, 1935section 1396v of this titleA prior section 1921 of act , was renumbered section 1939 and is classified to .

Amendments

Pub. L. 111–148, § 6403(b)(1)(A)(ii)2010—Subsec. (a)(1). , redesignated subpars. (A) to (D) as cls. (i) to (iv), respectively, of subpar. (A).

Pub. L. 111–148, § 6403(b)(1)(A)(i), which directed adding subpar. (A) and striking out “The State” and all that follows through the “semicolon”, was executed by adding subpar. (A) and striking out “The State must have in effect a system of reporting the following information with respect to formal proceedings (as defined by the Secretary in regulations) concluded against a health care practitioner or entity by any authority of the State (or of a political subdivision thereof) responsible for the licensing of health care practitioners (or any peer review organization or private accreditation entity reviewing the services provided by health care practitioners) or entities:”, to reflect the probable intent of Congress.

Pub. L. 111–148, § 6403(b)(1)(A)(iii)Subsec. (a)(1)(A)(iii). , substituted “license or the right to apply for, or renew, a license by” for “the license of” and inserted “nonrenewability,” after “voluntary surrender,”.

Pub. L. 111–148, § 6403(b)(1)(A)(iv)Subsec. (a)(1)(B). , added subpar. (B).

Pub. L. 111–148, § 6403(b)(1)(B)Subsec. (a)(2). , substituted “a State licensing or certification agency or State law or fraud enforcement agency” for “the authority described in paragraph (1)”.

Pub. L. 111–148, § 6403(b)(2)(A)Subsec. (b)(2). , added par. (2) and struck out former par. (2) which read as follows: “to licensing authorities described in subsection (a)(1) of this section,”.

Pub. L. 111–148, § 6403(b)(2)(B)Subsec. (b)(4). , inserted “, but only with respect to information provided pursuant to subsection (a)(1)(A)” before comma at end.

Pub. L. 111–148, § 6403(b)(2)(C)section 1396b(q) of this titleSubsec. (b)(5). , added par. (5) and struck out former par. (5) which read as follows: “to State medicaid fraud control units (as defined in ),”.

Pub. L. 111–148, § 6403(b)(2)(B)Subsec. (b)(6). , inserted “, but only with respect to information provided pursuant to subsection (a)(1)(A)” before comma at end.

Pub. L. 111–148, § 6403(b)(2)(D)Subsec. (b)(7) to (9). , (E), added par. (7) and redesignated former pars. (7) and (8) as (8) and (9), respectively.

Pub. L. 111–148, § 6403(b)(3)Subsecs. (d) to (g). , added subsecs. (d) to (g). Former subsec. (d) redesignated (h).

Pub. L. 111–148, § 6403(b)(3)42 U.S.C. 11131 section 1320a–7e of this titleSubsec. (h). , (4), redesignated subsec. (d) as (h) and substituted “In implementing this section, the Secretary shall provide for the maximum appropriate coordination with part B of the Health Care Quality Improvement Act of 1986 ( et seq.) and .” for “The Secretary shall provide for the maximum appropriate coordination in the implementation of subsection (a) of this section and section 422 of the Health Care Quality Improvement Act of 1986.”

Pub. L. 101–508, § 4752(f)(1)(A)1990—Subsec. (a)(1). , inserted “(or any peer review organization or private accreditation entity reviewing the services provided by health care practitioners)” after “health care practitioners” in introductory provisions.

Pub. L. 101–508, § 4752(f)(1)(B)Subsec. (a)(1)(D). , added subpar. (D).

Statutory Notes and Related Subsidiaries

Effective Date of 2010 Amendment

Pub. L. 111–148 section 6403(d)(5) of Pub. L. 111–148 section 6403(d)(6) of Pub. L. 111–148 section 1320a–7e of this titleAmendment by effective on the first day after the final day of the transition period defined in , see , set out as a Transition Process; Regulations; Effective Date of 2010 Amendment note under .

Effective Date of 1990 Amendment

Pub. L. 101–508, title IV, § 4752(f)(2)Nov. 5, 1990104 Stat. 1388

January 1, 1992“The amendments made by paragraph (1) [amending this section] shall apply to State information reporting systems as of , without regard to whether or not the Secretary of Health and Human Services has promulgated any regulations to carry out such amendments by such date.”

, , – 208, provided that:

Effective Date

Aug. 18, 1987Pub. L. 100–93 section 1320a–7 of this titleSection applicable, with certain exceptions, to payments under subchapter XIX of this chapter for calendar quarters beginning more than thirty days after , without regard to whether or not final regulations to carry out this section have been published by that date, see section 15(c)(1), (2) of set out as an Effective Date of 1987 Amendment note under .