Handbook of Operating Procedures > Series 200 General Policies and Procedures > 2.11.4 Sanctioned Individuals

2.11.4 Sanctioned Individuals

A. Purpose

To describe the screening process to identify individuals who are ineligible to participate in federal and/or state healthcare programs.

B. Persons Affected

All University of Texas at Tyler (UT Tyler) and the University of Texas at Tyler Health Science Center, including off-campus instructional sites, (collectively the “University”) employees, current and prospective contractors, job candidates and other individuals providing services to the University.

C. Definitions

N/A

D. Policy and Procedures

1. The University prohibits the employment or utilization of individuals or contractors who have been convicted of a criminal offense related to healthcare or who are listed by a federal agency as debarred, excluded or otherwise ineligible for participation in federally or state funded healthcare programs.
2. It is the policy of the University to screen all current and prospective employees for violations or sanctions related to state and federal healthcare programs. The University conducts routine background checks to identify criminal offenses. Other tools may be used to identify individuals with conviction, debarment, or exclusions. Results from monitoring activities will be used to make decisions in the best interest of the institution. Further, in the event any healthcare program sanctions an employee, consultant or contractor, they may be terminated from employment or contracts cancelled.
3. All contractors, employees, job candidates, and other individuals providing services to the University (individually and collectively "individual/contractor") have the duty and obligation to immediately notify the University in the event they become debarred, excluded or otherwise ineligible for participation in state and/or federally funded healthcare programs. Failure to do so shall result in disciplinary action, up to and including termination, in accordance with University policy.
4. Hiring Practices
   1. Criminal Offenses
      1. All job candidates are screened prior to hiring for convicted criminal offenses related to healthcare and other pertinent areas of interest according to University HOP Criminal History and Background Checks.
   2. Healthcare Program Debarment, Exclusion or Ineligibility
      1. Screening for healthcare program debarment, exclusion or ineligibility is completed prior to hiring. No individual will be hired or utilized if found to be debarred, excluded or otherwise ineligible for participation in state and/or federally funded healthcare programs.
      2. The University searches against the Office of Inspector General (OIG) List of Excluded Individuals and Entities (LEIE), System of Award Management (SAM.gov) and the General Services Administration (GSA) Excluded Parties List System (EPLS), to determine whether any individuals are listed by a federal agency as being debarred, excluded or otherwise ineligible for participation in federally funded healthcare programs.
      3.  The University searches against the OIG Texas Health and Human Services Commission Exclusions Database to determine whether an individual/contractor is debarred, excluded or otherwise ineligible for participation in state-funded healthcare programs.

   Ongoing Monitoring

5. All employees are screened according to University HOP Criminal History and Background Checks.
6. The University searches against the Office of Inspector General (OIG) List of Excluded Individuals and Entities (LEIE), System of Award Management (SAM.gov) and the General Services Administration (GSA) Excluded Parties List System (EPLS), to determine whether any individuals are listed by a federal agency as being debarred, excluded or otherwise ineligible for participation in federally funded healthcare programs.
7. The University searches against the OIG Texas Health and Human Services Commission Exclusions Database to determine whether an individual is debarred, excluded or otherwise ineligible for participation in state-funded healthcare programs.
8. Monthly, the University checks all non-provider employees against the federal and state databases above for sanctions, exclusions, and debarment.
9. Monthly, the University checks all providers (employed or contracted) against the federal and state databases above for sanctions, exclusions and debarment.
10. The University checks the Texas Comptroller's website to determine whether prospective consultants or contractors have been placed in a "hold" status and utilizes third party software that checks various sources to determine if they may be excluded, debarred, suspended or are otherwise ineligible to participate in state or federal programs.
11. Any individual/contractor who has been charged with criminal offenses related to healthcare or has been proposed for exclusion or debarment is removed from direct responsibility for or involvement in any state or federally funded healthcare program until resolution of the issue.
12. An employee will be terminated from the University if resolution results in conviction, debarment or exclusion.
13. Contractors will be terminated where resolution results in conviction, debarment or exclusions.

    Report Findings

14. If an individual/contractor is positively identified on any of the federal or state databases for sanctions, exclusions, or debarment, the department validating that information will report the finding to the Office of Legal Affairs and Compliance no later than the following business day.
15. Any issues noted with the screening process and tools used will be reported to Information Technology, Office of Legal Affairs and Compliance no later than the following business day.
16. Formal reports are made to the Executive Institutional Compliance Committee on an as-needed basis and relevant information communicated to Clinical and Academic Affairs and others as appropriate.

    Enforcement

17. All supervisors are responsible for enforcing this policy. Individuals who violate this policy will be subject to the appropriate and applicable disciplinary process, up to and including termination.

E. Relevant Codes, System Policies, University Policies, Procedures, and Forms (from original Relevant System polices etc.)

HOP Criminal History and Background Checks

F. Relevant Federal and State Statutes

Social Security Act Section 1128

G. Review