The Center for Medicare & Medicaid Services (CMS) recently issued proposed Self-Referral Disclosure Protocol (SRDP) forms along with some revisions to existing regulations. This happened on May 6, 2016, and was a further step in the movement for providers to self-report potential or actual violations of the Stark Law. Part of the revisions to the regulations came as a result of the overpayment final rule issued earlier this year on February 11, 2016 (60-day rule). CMS hopes that the SRDP forms will facilitate a faster review of a self-disclosure and make it easier for providers to report potential violations.

The SRDP was established as a result of the Affordable Care Act and is another tool for providers in the effort to resolve Stark-related compliance issues. One of the problems with SRDP is the time it has taken for the self-disclosure to work its way through the system. Some self-disclosures are still unresolved and were initially made years and years ago. Essentially, the space of a snail!

It can be beneficial for providers to be proactive and report violations of the Stark Law using the SRDP. When a provider self-reports an actual or potential violation using the SRDP, CMS considers a reduction in any penalties that may be associated with that violation.

The proposed SRDP forms are an attempt to streamline the somewhat difficult and complicated process. The proposed forms include the following: (1) the SRDP disclosure form; (2) the physician information form; (3) the Financial Analysis Worksheet; and (4) Certification. The forms require specific and detailed information about the potential violation, including a very detailed financial analysis that includes a 6-year look back that mirrors the look back of the 60-day rule.

Providers should also try to avoid having to use the SRDP by taking proactive steps to reduce the risk of a Stark Law violation, including:

• Document all compensation relationships in a contract
• Maintain up-to-date and highly detailed records related to financial and compensation relationships.
• Develop and maintain a Stark Law compliance policy
• Educate staff on proper referrals and the importance of compliance.

If a provider is aware of an actual or potential violation of the Stark Law, the provider should consult an attorney experienced in health law to consult and confirm whether an actual or potential violation of the Stark Law has occurred and whether a disclosure using the SRDP forms is the appropriate action.