Janet Wallace, L.P.N., DAB No. 1326 (1992)

Department of Health and Human Services

DEPARTMENTAL APPEALS BOARD

Appellate Division

In the Case of:            
Janet Wallace, L.P.N.,
Petitioner,                    
- v. -
The Inspector General,         
Respondent.

DATE:  April 21, 1992
Docket No. C-358
Decision No. 1326

FINAL DECISION ON REVIEW OF ADMINISTRATIVE LAW JUDGE
     DECISION

Petitioner, Janet Wallace, L.P.N., appealed the decision of Joseph K.
Riotto, Administrative Law Judge (ALJ), upholding her five-year
mandatory exclusion from participation in Medicare and certain state
health care programs. 1/  Petitioner was excluded from Medicare and
Medicaid under sections 1128(a)(2) and (c)(3)(B) of the Social Security
Act (42 U.S.C. . 1320a-7(a)(2) and (c)(3)(B)) after pleading guilty to a
willful violation of New York's public health laws, a criminal
misdemeanor under New York law.  Janet Wallace, DAB CR358, at 3 (1991)
(ALJ Decision).  The plea related to Petitioner's failure to give a
nursing home patient who was under her care a prescribed dose of
medication.  We affirm the ALJ Decision for reasons stated below.


         BACKGROUND

Petitioner pled guilty to violating certain of New York's Public Health
Laws and regulations.  Petitioner then received a letter dated January
22, 1991 from the Inspector General (I.G.) of the Department of Health
and Human Services (HHS).  See Ex. R-8. 2/  The letter notified her that
she was being excluded from participation in the Medicare and Medicaid
programs for five years under sections 1128(a)(2) and (c)(3)(B) of the
Social Security Act.

Petitioner appealed her exclusion to the Departmental Appeals Board,
Civil Remedies Division.  On October 11, 1991, Administrative Law Judge
Joseph K. Riotto upheld her exclusion.  This appeal followed.


  FINDINGS OF FACT AND CONCLUSIONS OF LAW

The ALJ Decision was based on the following FFCLs:

1.      On January 27, 1989, Petitioner was employed as a Licensed
Practical Nurse at the Blossom Health Care Center, located in Rochester,
N.Y.

2.      On January 27, 1989, despite having been instructed to do so,
Petitioner willfully failed to administer a dose of Coumadin, an
anticoagulant medication, to Alice Meister, a patient under her care who
suffered from heart disease.

3.      Petitioner subsequently made a false entry on Ms. Meister's
chart stating that she - Petitioner - had, in fact, given the Coumadin
as prescribed.

4.      Petitioner pled guilty to violating Section 12b-2 of the New
York State Public Health Law, in connection with Section 2803(d)(7) of
the New York State Public Health Law and Part 81 of the regulations
promulgated thereunder.  Such laws provide, in pertinent part,
penalties, including fines and imprisonment, for persons who willfully
abuse, mistreat, or neglect patients.  Part 81 of the regulations
expressly includes failure to provide medication in its definition of
neglect.

5.      Petitioner's plea herein satisfies the statutory requirement
that there have been a conviction of a criminal offense.

6.      On June 19, 1990, the Rochester City Court sentenced Petitioner
to 100 hours of community service and gave her a one-year conditional
discharge.

7.      The sentencing court gave Petitioner a Certificate of Relief
from Disabilities.  This document states on its face, inter alia, that
it relieves the holder of all "bars to employment" and that the
conviction specified therein shall not cause automatic forfeiture of any
license or employment.

8.      Such Certificate does not preclude HHS from barring Petitioner
from participation in the Medicaid and Medicare programs.

9.      The Secretary of HHS delegated to the I.G. the authority to
impose exclusions pursuant to Section 1128 of the Act.

10.     Petitioner was convicted of a criminal offense relating to
patient abuse or neglect in connection with the delivery of a health
care item or service, thus justifying her five-year exclusion from
participation in the Medicare and Medicaid programs.

ALJ Decision at 2-3 (citations omitted).


   PETITIONER'S EXCEPTIONS

Petitioner raised six issues and objected to six FFCLs.  See generally
Petitioner's Appeal.  First, Petitioner objected to the finding that her
failure to administer the medication was willful.  Second, Petitioner
objected to the finding that her entry on the patient's chart was false.
Third, Petitioner objected to the finding that she was convicted of a
criminal offense relating to the neglect or abuse of patients in
connection with the delivery of a health care item or service.  Fourth,
Petitioner asserted that the Certificate of Relief from Disabilities
issued by the state court bars her exclusion from Medicare and Medicaid.
Fifth, Petitioner objected to the exclusion on the alleged grounds that
it violates the Double Jeopardy Clause of the Fifth Amendment to the
Constitution.  Sixth, Petitioner argued that summary disposition of the
case by the ALJ was inappropriate because Petitioner was entitled to a
hearing to explain the circumstances surrounding her conviction. 3/

Specifically, Petitioner objected to FFCL Nos. 2, 3, 4, 5, 8, and 10.
Petitioner's Appeal at 2-4.  We note that Petitioner did not object to
FFCL Nos. 1, 6, 7 and 9, and we therefore affirm and adopt those FFCLs
without further discussion.


   ANALYSIS

The Appellate Division has a limited role as the forum for
administrative review of an ALJ's decision in an exclusion case.  The
standard of review on disputed issues of fact is whether the ALJ
Decision is supported by "substantial evidence."  The standard of review
on disputed issues of law is whether the ALJ Decision is "erroneous."
Joyce Faye Hughey, DAB 1221, at 11 (1990); Lakshmi N. Murty Achalla, DAB
1231, at 7 (1991).  Below, we address both the general issues raised by
Petitioner on appeal and the particular objections stated in
Petitioner's exceptions to certain of the FFCLs.  Under the applicable
standard of review, we conclude that the ALJ Decision was correct.  Thus
we affirm and adopt each of the contested FFCLs and affirm the five-year
exclusion imposed on Petitioner.


I.      The ALJ did not err in concluding that Petitioner willfully
failed to administer a dose of Coumadin to a patient.

Petitioner objected to FFCL No. 2, which concluded that she "willfully
failed to administer a dose of Coumadin."  For this FFCL, the ALJ relied
in part on the transcript of the proceeding during which Petitioner pled
guilty (plea colloquy).  See Ex. R-2.  Petitioner stated that the plea
colloquy supports her position that her failure to administer this
medication was not willful.  Petitioner's Appeal at 2.  In response, the
I.G. argued that the ALJ properly found that Petitioner's failure to
administer the drug was willful based on the plea colloquy and the
express terms of the statute to which she pled guilty.  Furthermore, the
I.G. argued that Petitioner admitted that she knew she was required to
administer the medication but did not.  I.G. Brief at 2-3 (citing Ex.
R-2 at 4, 7, 10).

In her plea colloquy, Petitioner admitted that she "willing, fully [sic]
and knowingly failed to give a medication . . . ."  See Ex. R-2 at 10.
Furthermore, she pled guilty under New York Public Health Law section
12b-2 to a willful violation of public health laws. 4/  As the I.G.
argued before the ALJ, "willful" within the meaning of section 12b-2
does not mean that the act had to be done with bad intention, but rather
that it was voluntary as opposed to accidental.  It means consciously
and deliberately done, but not necessarily maliciously.  I.G. Reply
Brief Before ALJ, at 2 (citing People v. Coe, 501 N.Y.S.2d 997, aff'd
510 N.Y.S.2d 470, aff'd 527 N.Y.S.2d 741, 522 N.E.2d 1039 (1986); People
v. Flushing Hospital & Medical Center, 471 N.Y.S.2d 745 (1983)).  Thus,
we find that the ALJ did not err in concluding that Petitioner's conduct
in failing to administer the drug was willful, and we affirm and adopt
FFCL No. 2. 5/


II.             The ALJ's finding that Petitioner made a false entry on
a patient's chart was based on substantial evidence.

Petitioner objected to FFCL No. 3, which found that she made a false
entry on the patient's chart stating that Petitioner had given the
patient the medication prescribed.  Petitioner argued that her entry in
the chart was not deliberately false but rather an error due to her own
illness that day.  She also argued that all charges relating to the
falsification of records were dismissed at the time of her plea.
Petitioner's Appeal at 2-3.

The I.G. conceded that Petitioner's entry in the patient's record
properly could have been characterized by the ALJ as incorrect or
erroneous (rather than false) and that charges on this count were
dismissed.  The I.G. argued, however, that this finding by the ALJ was
gratuitous and was not relied upon in determining that Petitioner's
exclusion was mandated by law.  I.G. Brief at 2, n.2.

A common definition of false is "not true; in error; incorrect;
mistaken."  Webster's New World Dictionary, Third College Edition (Simon
& Schuster, Inc. 1988).  Petitioner admitted in her plea colloquy that
she made an entry in the patient's medical chart in which she "in
correctly [sic] or falsely" indicated that the drug had been
administered.  Ex. R-2 at 7-8.  This would constitute a false entry.  As
apparent from the common dictionary definition, in order for something
to be false, it only has to be an error or mistake; it does not have to
be deliberately false.

The exclusion was grounded on the criminal conviction under state law,
which was based on the failure to give medication and not on the false
entry in the patient's chart.  While we agree with the I.G. that this
finding of fact was not necessary to the ALJ's conclusion that
Petitioner's exclusion was mandated by law, this finding was based on
substantial evidence and a reasonable use of the term "false."
Therefore, we affirm and adopt FFCL No. 3.


III.            The ALJ's conclusion that Petitioner's exclusion under
section 1128(a)(2) was mandated under the law was not erroneous.

Petitioner asserted that the ALJ erred in concluding that she was
convicted of an offense relating to the neglect or abuse of patients.
Petitioner objected to FFCL Nos. 4, 5, and 10, which collectively found
that Petitioner pled guilty to violating certain New York Public Health
Laws (FFCL No. 4); that the guilty plea constituted a conviction of a
criminal offense (FFCL No. 5) relating to the neglect or abuse of
patients in connection with the delivery of a health care item or
service (FFCL No. 10); and that Petitioner's exclusion under section
1128(a)(2) was therefore mandated by law (FFCL No. 10).  Petitioner's
Appeal at 3-4.

Section 1128(a)(2) provides for the exclusion of "[a]ny individual, or
entity that has been convicted, under Federal or State law, of a
criminal offense relating to neglect or abuse of patients in connection
with the delivery of a health care item or service."  Section
1128(c)(3)(B) provides that "[i]n the case of an exclusion under
subsection (a), the minimum period of exclusion shall be not less than
five years . . . ."  As is apparent from the language, section
1128(a)(2) has four elements:  the individual or entity 1) must have
been convicted, 2) of a criminal offense under state or federal law, 3)
relating to neglect or abuse of patients, 4) in connection with the
delivery of a health care item or service.

 A.      Petitioner was convicted of a criminal offense under
 state law in connection with the delivery of a health care item
 or service.

In order to be excluded under section 1128(a)(2), a person must have
been convicted of the offense at issue.  Section 1128(i)(3) states that
a guilty plea accepted by a state court is considered a conviction for
purposes of the statute.  On April 30, 1990, Petitioner pled guilty to
the willful violation of certain New York public health laws.  Ex. R-2
at 9-10.  Petitioner conceded before the ALJ that she was convicted
within the meaning of section 1128(i).  I.G. Brief Before ALJ (citing
the ALJ's Prehearing Order), at 6, n.2.  Therefore, since Petitioner
conceded she was convicted within the meaning of the statute, we affirm
and adopt FFCL No. 5.  We also affirm and adopt that portion of FFCL No.
10 which finds that Petitioner was convicted.

To fall under section 1128(a)(2), the conviction must have been of a
criminal offense under federal or state law.  Petitioner pled guilty to
section 12b-2 of the New York Public Health Law, a section which carries
a maximum penalty of up to one-year imprisonment, a fine of $2,000, or
both.  Under New York criminal law, a misdemeanor is a crime punishable
by imprisonment not to exceed one year.  A crime is defined as a
misdemeanor or a felony.  See New York Criminal Law .. 10.00(4) and (6).
Therefore, the ALJ did not err in concluding in FFCL No. 10 that
Petitioner pled guilty to a criminal offense under state law, and we
affirm and adopt that portion of FFCL No. 10.

A third element for an exclusion under section 1128(a)(2) is that the
offense had to be in connection with the delivery of a health care item
or service.  Petitioner did not argue that her failure to give a
prescription medication to a patient under her care in a nursing
facility falls outside the purview of delivery of a health care item or
service.  In at least one previous decision, the Board held that failure
to provide an item or service (as opposed to incorrectly or wrongfully
providing) constituted an offense "related to the delivery of an item or
service" and was a violation of the section 1128(a)(1) mandatory
exclusion provisions.  See Francis Shaenboen, DAB 1249 (1991)
(pharmacist's acts of fraudulently billing Medicaid for prescription
drugs which had not been prescribed or dispensed related to the delivery
of an item or service and subjected the petitioner to the mandatory
exclusion provisions).  We find that the ALJ did not err in concluding
in FFCL No. 10 that Petitioner's conviction was in connection with the
delivery of a health care item or service, and we affirm and adopt that
portion of FFCL No. 10.

 B.      Petitioner's offense related to neglect or abuse of
 patients.

Section 1128(a)(2) requires that the criminal conviction relate to the
neglect or abuse of patients.  In excepting to FFCL No. 10, Petitioner
argued that she pled guilty to an unclassified misdemeanor regarding the
willful violation of health laws and that there was no colloquy or
finding that any patient was abused or neglected.  Petitioner's Appeal
at 3.  The I.G. argued in response essentially that Petitioner pled
guilty to actions which clearly constituted the neglect of a patient and
that the plea colloquy found so.  I.G. Brief at 3-4 (citing Ex. R-2 at
6, 7).

Petitioner pled guilty to violating section 12b-2 in connection with
section 2803-d(7) of the New York Public Health Law and Part 81 of the
regulations implementing section 2803-d(7).  Ex. R-2 at 9.  Section
2803-d(7) provides:

 In addition to any other penalties prescribed by law, any person
 who commits an act of physical abuse, neglect or mistreatment,
 or who fails to report such an act as provided in this section,
 shall be deemed to have violated this section and shall be
 liable for a penalty pursuant to section twelve of this chapter
 after an opportunity to be heard pursuant to this section.

Section 12b-2 provides:

 A person who wilfully violates any provision of this chapter, or
 any regulation lawfully made or established by any public
 officer or board under authority of this chapter, the punishment
 for violating which is not otherwise prescribed by this chapter
 or any other law, is punishable by imprisonment not exceeding
 one year, or by a fine not exceeding two thousand dollars or
 both.

Part 81 of the regulations expressly includes failure to provide
medication in its definition of "neglect." 6/

We find that Petitioner did in fact plead guilty to an offense relating
to the neglect or abuse of patients.  While New York Health Law section
12b-2 does not itself relate specifically to neglect or abuse of
patients, Petitioner pled guilty to "Public Health Law 12b-2 in
connection with Section 2803(d)(7) of the Public Health Law and Part 81
of the regulations promulgated thereunder."  Ex. R-2 at 9, 10 (emphasis
added).  Section 2803(d)(7) specifically relates to neglect and abuse of
patients.  Furthermore, Petitioner's plea colloquy discusses the facts
surrounding her charge in some detail.  The charge involved her failure
to give medicine to a nursing home patient under her care.  Ex. R-2 at
6-8.  Part 81 of the regulations defines "neglect" to include failure of
a health care provider to give prescribed medication. 7/  Therefore, we
affirm and adopt FFCL No. 4.

Even if the statutes and regulation involved in Petitioner's conviction
had not been clear on their face, the common and ordinary meaning of the
terms "abuse" and "neglect" would establish that Petitioner's conviction
related to the abuse or neglect of a patient.  See Summit Health Limited
at 8 (where not defined by statute, terms "neglect" and "abuse" are
given their ordinary meaning within the purpose of the statute).

A common definition of "neglect" is "to fail to care for or attend to
sufficiently or properly."  Webster's New World Dictionary, Third
College Edition (Simon & Schuster, Inc. 1988).  This would suggest that
neglect can be unintentional or accidental, as there is nothing in the
definition suggesting that there must be a purposeful or malicious
failure to act.  Petitioner's plea colloquy and brief indicate that
Petitioner failed to give a patient under her care her prescribed
medication.  Ex. R-2 at 6-8.  This is clearly a failure to attend to
sufficiently or properly and falls within the definition of neglect
within its common and ordinary meaning.

We find that the ALJ was correct in concluding that Petitioner's
conviction related to the neglect or abuse of patients.  The nursing
home patient was under Petitioner's care, and Petitioner failed to give
the patient her prescribed medication.  This constitutes neglect under
both the definition provided by state law and the common sense and
dictionary definitions of the word as applied to the purposes of section
1128(a)(2).  We therefore affirm and adopt that portion of FFCL No. 10
which found that Petitioner's conviction related to the neglect or abuse
of patients.  Since Petitioner's conviction also meets the other three
elements of section 1128(a)(2), we find that Petitioner's exclusion was
mandatory under the law.  Thus, we affirm and adopt FFCL No. 10 in its
entirety.


IV.     The ALJ's conclusion that the Certificate of Relief issued by
the state court does not bar the exclusion was not erroneous.

Petitioner was awarded at the time of sentencing a "Certificate of
Relief from Disabilities."  FFCL No. 7.  The certificate states that it
shall:

 [r]elieve the holder of all forfeitures and of all disabilities
 and bars to employment, excluding the right to retain or be
 eligible for public office, by virtue of the fact that this
 certificate is issued at the time of sentence.

FFCL No. 7.  The reverse side of the certificate states that it prevents
the automatic forfeiture of a license or employment based on the
conviction.  It also states that it does not prevent any judicial,
administrative, or licensing body from exercising its discretion to
suspend any license, authority or privilege.  See Ex. R-5.  Petitioner
objected to FFCL No. 8 in which the ALJ concluded that the Certificate
of Relief from Disabilities did not preclude Petitioner's exclusion
under the law.  Petitioner argued that the Certificate precludes the use
of her state court conviction as a basis for mandatory exclusion from
Medicare and Medicaid.  Petitioner's Appeal at 4.

The I.G. argued that the granting of the certificate does not expunge
the underlying conviction.  The I.G. then cited additional cases for the
principles that states cannot frustrate the enforcement of federal laws;
that federal law prevails to the extent that state and federal law
conflict; and that relief granted by state certificates has been held to
bar only forfeitures of employment based on state law.  I.G. Brief at 4
(incorporating by reference I.G. Brief Before ALJ, at 5, n.1.)

Of all of the cases cited by the I.G., the one most applicable to the
facts of this case is Nass v. Local 348, Warehouse Production et. al.,
503 F. Supp. 217 (E.D.N.Y. 1980).  In Nass, plaintiff held office in a
labor union.  As a result of certain actions he took while holding
office, he pled guilty under New York law to conspiracy to commit labor
bribery and was fined.  The New York state court issued plaintiff a
Certificate of Relief from Disabilities identical to the one issued to
Petitioner in this case.  Id.  Soon thereafter the union, along with the
U.S. Secretary of Labor, sought to remove plaintiff from holding office
in the union.  This removal was based on a federal law which prohibits
anyone from holding office in a union who has been convicted of certain
crimes, including the one which plaintiff committed, for five years.
Plaintiff argued that the Certificate of Relief from Disabilities
prohibited the Secretary of Labor and the union from removing him from
office.  Id.

The court did not agree.  While noting that the certificate would
prevent a forfeiture of office if based on state law, it stated that:

 [i]t is a fundamental constitutional principle that where
 Congress has entered a field it may lawfully regulate, federal
 law prevails to the extent that State and federal law conflict.

Id. at 219-20.  The court then noted the extensive involvement of the
federal government in the labor union area, and stated that to allow the
state to bar enforcement of the federal law would be to frustrate and
override federal law in violation of the Supremacy Clause (U.S. Const.
art. VI, . 2).  The court also noted the remedial purpose of the federal
law, namely protecting labor union members from the corrupt practices of
union officers, in finding that the state certificate could not override
federal law.  Nass, 503 F. Supp. 217, 221.

We find the situation in Nass to be very similar to the facts of this
case.  Like in Nass, Petitioner was convicted under state law of an
offense and was issued a certificate of relief.  However, the state
conviction triggered mandatory action under a federal law which was
designed to protect a federal interest.  In this case, that interest is
protecting patients receiving services under Medicare and Medicaid from
being treated by health care providers who have had convictions for
neglecting or abusing patients.  We therefore find that based on the
Supremacy Clause issues as applied to certificates of relief, which were
resolved in Nass, the ALJ properly found that Petitioner's mandatory
exclusion under section 1128(a)(2) was not precluded by the Certificate
of Relief from Disabilities issued by the New York court.  We therefore
affirm and adopt FFCL No. 8.


V.      Petitioner's exclusion does not violate the Double Jeopardy
Clause of the Constitution.

Petitioner argued that her exclusion from Medicare and Medicaid was
punitive, severe, and constituted punishment for the same crime twice in
violation of the Double Jeopardy Clause of the Fifth Amendment.
Petitioner's Appeal at 5.  Petitioner cited U.S. v. Halper, 490 U.S. 435
(1989), in support of her position.  The I.G. argued that Petitioner
cannot raise this issue before the Board because it was not presented to
and ruled on by the ALJ.  The I.G. further argued that there is no merit
to Petitioner's double jeopardy argument because Halper has been
distinguished by prior Board decisions and has been held inapplicable to
exclusion cases which involve only remedial sanctions.  I.G. Brief at
1-2, n.1.

The guidelines applicable to review by the Appellate Panel expressly
state that it will not consider issues which could have been presented
to the ALJ but were not.  Guidelines, Appellate Review of Decisions of
Administrative Law Judges in "Exclusion Only" Cases, . III(c). 8/   In
any event, we find no merit to Petitioner's argument that Halper
requires a finding that the mandatory exclusion provision violates the
Fifth Amendment prohibition against double jeopardy.

Halper involved a defendant who was penalized under the federal criminal
False Claims Act of submitting multiple false claims for reimbursement
under the Medicare program.  After conviction and sentencing, the court
then granted the government, in a separate suit against the defendant,
additional civil remedies that bore no rational relation to the
government's actual loss.  The U.S. Supreme Court found that this
constituted a violation of the defendant's right against double
jeopardy.  Halper, 490 U.S. at 452.

The Board has distinguished the Halper case from exclusion cases, noting
that in exclusion cases,

 the case against the Petitioner is not one where the Federal
 Government has subjected him to criminal prosecution and is now
 seeking an additional "make whole" civil remedy.  Rather,
 following the Petitioner's criminal conviction (as defined by
 section 1128(i) of the Act) in State court, the Federal
 Government simply moved to apply the minimum sanction available
 in order to protect program integrity.  There is no evidence
 that the Government's action is anything other than consistent
 with the acknowledged purpose of section 1128 of the Act.

Shaenboen, at 8.  The Board found that the mandatory exclusion provision
is not comparable to the civil penalty imposed in Halper but is remedial
in nature.

Federal district courts and the Board have specifically found that
exclusions under section 1128 are remedial in nature, rather than
punitive, and do not violate the double jeopardy provisions of the
constitution.  See Manocchio v. Sullivan, 768 F. Supp. 814 (S.D. Fla.
1991); Greene v. Sullivan, 731 F. Supp. 838 (E.D. Tenn. 1990); John N.
Crawford, M.D., DAB 1324 (1992).  Therefore, we find no merit to
Petitioner's double jeopardy argument.


VI.             Summary disposition of the case by the ALJ was
appropriate.

The ALJ summarily decided Petitioner's claim without a hearing.
Petitioner requested a hearing, arguing that there were material issues
of fact as to whether her conviction was based on neglect or abuse of
patients.  She argued that fundamental fairness required that she be
given an opportunity to present the circumstances surrounding her
conviction.  Petitioner then asserted that her "negligence in coming
into work when she was clearly extremely ill does not constitute a crime
relating to patient abuse or neglect."  Petitioner's Appeal at 4.

The I.G. moved for summary disposition on the grounds that there were no
disputed issues of material fact.  I.G. Brief at 2.  The I.G. argued
that Petitioner's level of intent in failing to give the medication was
irrelevant because the criminal conviction itself triggered the
exclusion.  The I.G. asserted that section 1128(a) makes consideration
of any factors underlying a conviction irrelevant to a mandatory
exclusion.  I.G. Brief at 4.

An ALJ has the authority to summarily decide a claim when there are no
disputed issues of material fact.  See, e.g., Summit Health Limited (ALJ
decided case on summary judgment where there were only legal matters to
be decided); 42 C.F.R. .1005.4(b)(12) (January 29, 1992).  In granting
summary disposition, the ALJ stated that, even accepting wholly
Petitioner's version of the facts, she was still convicted of a criminal
offense relating to patient neglect or abuse in connection with the
delivery of a health care item or service.  ALJ Decision at 4.
Therefore, he had no authority to reduce or waive the five-year
exclusion.  Since he could not reduce or waive the exclusion, there was
no cause for a fact-finding hearing.

We conclude that summary disposition was appropriate in this case.  As
the ALJ stated, he may receive evidence to resolve factual ambiguities.
Id.  However, this presupposes that the factual issues which would be
resolved at a hearing would have a potential bearing on the outcome of
the case (i.e., they would be "material").  In this case, the ALJ found
that even if all benefits of the doubt were resolved in favor of
Petitioner, the outcome would still be mandated because it was clear
that her conviction related to patient abuse or neglect.

We agree.  Petitioner did not deny that the offense to which she pled
guilty was that she failed to administer medication having been
instructed to do so.  Similarly, she did not deny that the plea colloquy
accurately detailed the New York State statutory and regulatory
provisions she was convicted of violating.  Therefore, the record before
the ALJ contained material evidence, the plea colloquy, which was
undisputed and which established that section 1128(a)(2) applied.  In
light of the undisputed material evidence before the ALJ, he correctly
determined that the factual circumstances of her offense upon which she
sought a hearing were not relevant.

Where section 1128(a) applies to facts that are not disputed, the Social
Security Act makes consideration of factors underlying the criminal
conviction irrelevant where Petitioner is given the statutory minimum
five-year exclusion.  See Francis Shaenboen, at 9 (1991).  Furthermore,
Petitioner cannot use the administrative review remedies available to
her to collaterally attack a state criminal conviction.  Richard G.
Philips, D.P.M., DAB CR347 (1991).  Petitioner had an opportunity to
have a full trial on the merits before the state court; she should have
availed herself of that opportunity to explain the facts and challenge
the charges if she believed there was no merit to them.

         CONCLUSION

We conclude that the ALJ was correct that Petitioner's exclusion from
participation in Medicare and Medicaid for five years was mandated by
section 1128(a)(2) of the Social Security Act and was decided properly
on summary disposition without a hearing.  We further conclude that the
Certificate of Relief from Disabilities issued by the State of New York
does not preclude the exclusion, and that the mandatory exclusion
provision does not violate.constitutional provisions against double
jeopardy.  Thus we affirm and adopt FFCL Nos. 2, 3, 4, 5, 8, and 10 and
uphold the five-year exclusion imposed by the I.G.

 


      ___________________________
      Donald F. Garrett

 

      ___________________________
      Theodore J. Roumel
      Public Health Service

 

      __________________________
      Cecilia Sparks Ford
      Presiding Board Member

1.  The state health care programs from which Petitioner was excluded
are those listed in section 1128(h) of the Social Security Act and
include programs funded under titles XIX, V, and XX.  The term
"Medicaid" is used in this decision to represent all state health care
programs from which the I.G. directed that Petitioner be excluded.

2.  All citations in this format refer to the Inspector General's
exhibits presented to the ALJ and forwarded to the appellate division.

3.  Petitioner also excepted to footnote two of the ALJ Decision, which
admitted all eight of the I.G.'s exhibits before the ALJ into the
record.  That footnote stated that "Petitioner did not contest the
authenticity or relevancy of these exhibits."  Petitioner excepted to
footnote two as applied to a press release (Ex. R-7).  Petitioner based
this exception on her brief before the ALJ which stated on page seven
that "Petitioner objects to the inclusion of a `press release' as part
of the record in these proceedings."  While the ALJ is technically
correct, since Petitioner did not literally object to the document's
authenticity or relevance, it is clear the Petitioner did not agree that
the press release ought to be included in the record in this matter.
Since the ALJ did not cite to this document or rely on its contents in
any way, any possible error by the ALJ in not more fully addressing the
Petitioner's objection is harmless.  Thus, this exception presents no
basis for disturbing the ALJ's decision.

4.  See text of New York Public Health Law 12b-2, infra, at 9.

5.  We do note, however, that such a finding was not necessary to the
ALJ's conclusion that Petitioner's exclusion was mandated by law.  We
have previously concluded that the level of intent of the individual in
committing the offense is not relevant under section 1128(a).  See
Summit Health Limited, DAB 1173, at 9 (1990).

6.  Petitioner did not dispute the accuracy of the I.G.'s reference to
Part 81 as defining the term "neglect" to include "the failure to
provide medication to a patient of a residential health care facility."
See I.G. Brief Before ALJ, at 4.  Nor did Petitioner deny that Blossom
Health Care Center was a "residential health care facility" within the
meaning of Part 81.

7.  We note that we are not bound under section 1128(a)(2) to define the
terms "abuse" and "neglect" with reference to state law.  See Summit
Health Limited at 8.

8.  A copy of these guidelines were sent to Petitioner with the ALJ