Below are RCA’s answers to questions from the Boston Globe and STAT about the three investigations conducted by the state at Westminster and Danvers, and the employee complaints contained within. Some names have been removed to protect privacy, and one question about an open investigation was removed because the investigation was subsequently closed, and reporters inquired about it separately. Questions not related to the DPH investigations have been removed. The first line of question number 14 was slightly reworded to remove a reference to a page number that does not exist in this file. QUESTIONS ABOUT DPH INVESTIGATIONS 1. The state Department of Public Health began an investigation at Westminster after receiving complaints from staff members. Investigators visited RCA on Feb. 1 and 2, found many of the complaints to be substantiated, and issued a deficiency correction order on March 9. The investigation was deemed closed on April 7. Can you comment on this? RCA cooperated fully with BSAS during the investigation and conducted its own internal investigation. RCA refuted many of the findings during the interview with BSAS. BSAS took the position that because certain documentation was incomplete, they had to conclude that certain services were not provided. Subsequent to the BSAS inspection, RCA conducted internal audits and confirmed that RCA did have adequate staffing and, in fact, had excess staff hours over those required by BSAS during a period of time mentioned in one of the complaint letters. This was confirmed through ADP payroll records. In addition, RCA uses video cameras in its treatment rooms and a review of that footage confirmed that RCA employees performed all required services and even more treatment services than were required by BSAS. Nevertheless, because that information was not readily available at the time of the BSAS inspection it was not considered by BSAS. RCA was instructed by BSAS to respond to their finding in a specific manner and RCA followed their direction and the matter was closed. 2. Included in the state’s investigative file (a public document) are six complaints from employees. There are many detailed allegations made. We would like a response to the entire file. We have carefully addressed these issues above and below. Please advise if there are any specific issues you believe were not addressed. 1 DM2\8111653.6 3. In a letter written 2/15, an employee who says he/she is the “financial analyst” says he/she was told to “hide” when BSAS investigators came to Westminster. Is this true? If so, why? It is our understanding that the employee in question was given the opportunity to participate in the meeting with the BSAS investigators. Our Corporate VP of Operations, Christina Madeira, met with the employee and offered her an opportunity to participate. She declined the invitation. In addition, all of the financial information was prepared by this employee (who was extremely helpful in the process), and 100% of that information was provided to Christina Madeira and the BSAS investigator. Further, RCA and this particular employee enjoy a very good relationship and she continues to refer patients to RCA. 4. In a text message exchange between an employee and a manager, the employee asks why they were told to hide for two days. In response, the manager says: “Haha bc what we do isn’t legal.” The exchange is dated immediately after the state visited. What is your comment on this? Did RCA tell employees to “hide” when BSAS came to visit the site in early February? If so, why? If not, how do you explain both the letter in the preceding question and this text message exchange? Same as #3 above. 5. In the above-referenced letter, the employee writes that they grew concerned about patient finances, fraud, medication diversion, staffing safety, patient safety, and general operations of the facility including no heat, no hot water, no pillows, and no blankets. The employee says they relayed their concerns to management. The employee states that other employees have reported questions of unethical behaviors, patient safety, and illegal behaviors to corporate and have been terminated or forced to leave. The employee states that they began documenting and keeping detailed notes, copies of emails, and collateral information regarding the activities this person deemed “suspicious.” Among the concerns the employee lists: collecting out-of-pocket maximums, setting up payment plans on claims that have not yet occurred, billing up front for services that have not yet occurred, patient brokering, taking cash for patient referrals, and “warehousing of patients” who were not suited to the facility. Patients refused to sign financial statements. The employee reports that they were told to “dance around the financials.” The Department of Public Health has investigated RCA on two separate occasions (both unannounced) and as you will note, has never cited, or was able to substantiate any fraud or concern around patient finances. In addition, RCA underwent a survey by the Joint Commission and is fully accredited by the Joint Commission. The Joint Commission accredits and certifies more than 21,000 health care organizations and programs in the United States. An independent, nonprofit organization, The Joint Commission is the nation's oldest and largest standardssetting and accrediting body in health care. To earn and maintain The Joint Commission’s accreditation, an organization undergoes an on-site survey by a Joint Commission survey team at least every three years. RCA Westminster has never been cited for any concerns around medication diversion, storage or handling. RCA Westminster has never been cited or found to have concerns around basic operations including heat, hot water, pillows, and blankets. RCA Westminster has never been cited for patient brokering or other concerns related to patients’ admission into RCA programs. These accusations are being driven by a limited number of disgruntled employees who acted in a coordinated manner by writing letters of accusation to BSAS within the same twenty-four hour period. We dispute these accusations and the facts refute these allegations. Here is the RCA response to the following accusations:  Rehabilitation facilities are required to collect patient responsibility payments. o RCA routinely sets up interest-free payment plans to help patients afford their treatment. o Those payment plans must be set up in advance because we are required to attempt to collect all patient responsibility payments. o RCA collects co-pays and deductibles upon admission if financially viable for the patient, the common practice in all healthcare. The remaining patient responsibility balances are not billed until services are completed.  Patient brokering o RCA does not pay or receive cash for patient referrals. o RCA does not warehouse patients who are not suited for the facility. o RCA has a wait list that totals over 50 people regularly. o RCA refers patients daily to competitors’ facilities as a free service to the patient. o RCA receives zero compensation for those referrals. o RCA does not pay kick-backs to patients. o If RCA has any questions about the integrity of a referent, we will stop working with the referent immediately. o RCA does perform detox services for “residential only” providers. When the detox is completed, the patients return to those facilities.  RCA does not discriminate against patients based on their ability to pay o RCA has many in-network contracts that authorize length of stay based on medical necessity. o RCA admits patients every day regardless of their ability to pay 6. In another February 15 letter, a staff member sent along their resignation letter. In it, among other complaints, they allege: “Patients have told stories of getting kickbacks to complete detox. The human trading and promising of ‘We will send you 2 detox patients, but you have to send us back 3 for our sober living facility and once they relapse we will send them back to you for detox again.’ No one can tell me that this isn’t true. … This is a fact and it is disgusting to be a part of it.” The employee also states that, “We are a health care organization who forgot our promise to do no harm. Part of doing no harm is not accepting patients who are inappropriate for our services, but we do so anyway because they can pay.” The staff member also reports that people who run out of money are kicked out of treatment abruptly, but other “problem patients who have payment methods (many who have stated that they were only there to get their money)” are allowed to stay. The staff member describes “dangerously low staff to patient ratios.” The staff member also says it is impossible to tell who actually gets clean because patients “cheek” medication to pass them on for financial and physical favors. RCA refutes all of these allegations. It has not and will never participate in patient brokering or any form of paying for patients. RCA operates at nearly 100% occupancy, and has a per shift patient to staff ratio that averages less than 1 to 4 and an overall staff to patient ratio of 1.2 to 1. All payroll records are maintained in the ADP payroll system and have been internally audited to verify staffing ratios. These allegations are also refuted in the response to #5 above. 7. In another February 15 letter, a staffer writes that they were fired from RCA on Jan. 24, and they believe it was retaliation for “advocating for my patients’ rights and dignity.” The staff member writes that they brought numerous concerns to the attention of leadership and nothing was addressed. Among the concerns the staff member lists: “human trafficking of substance abuse patients.” The staff member says that numerous patients told them that they were aware of the patient brokering and utilizing the situation to tour the country. They would enter treatment with the support of the marketers with the agreement that they would be “taken care of.” The staffer writes that staffing was a major issue and at times it was unsafe. They also say that because of the low staffing, patients engaged in sexually inappropriate behavior. The staff member said that once, drugs were found in a patient’s room, but staff was ordered to disregard because removing the patient would lose the facility money. The staff member also included a lengthy list of concerns about a patient who later died, stating that he appeared overmedicated, was getting a large dose of suboxone and appeared to be nodding out. The staff member also said that staff were told “that he and his family had an endless supply of money and we were to do whatever we had to to keep him in the facility although it was said numerous times that he wasn’t clinical appropriate.” RCA cannot and will not comment on protected health information or any other details that may be related to a patient’s stay in treatment with us. The non-patient specific accusations are responded to as follows:  RCA’s mission is to advocate for its patients every day, which RCA does in many ways: o RCA maintains a fully staffed utilization review group which interacts with insurance companies to ensure that RCA patients are receiving the treatment that they need o RCA answers its phones 24 hours a day, 7 days a week o RCA provides for transportation if needed 24 hours a day, 7 days a week o RCA is open and takes admissions 24 hours a day, 7 days a week o RCA is writing legislation at its own expense to advocate for its patients o RCA is building the finest facilities and believes it has the most extensive and complete continuum of care model in the marketplace     o RCA has introduced the neighborhood model to make treatment easier o RCA is working with people of all economic means, including those who cannot afford to pay for treatment Human trafficking – This comment is absurd and has been answered above. We do not pay outside referents for business and certainly do not “send patients around the country.” Further, as stated above, if we found referents that are “patient brokering,” RCA would immediately cease working with the referent. Staffing ratios were addressed in the response above. One instance was found where patients had sexual relations in the facility. RCA dealt with the patients in a clinically appropriate manner, and has processes in place to mitigate the opportunity for this type of behavior to occur in the facility. By definition, individuals with substance abuse disorder exhibit poor impulse control. RCA establishes and requires that patients comply with community standards beneficial to their recovery. Also, in some instances it is possible that couples may seek treatment together. Your question provides no information at all about the alleged circumstances involved, and fails to consider the above facts. It is possible for patients to get contraband into a facility, in spite of best practices used at intake to check the patient and all belongings, and to check visitors when they come to a facility to visit a patient. RCA addresses any findings in a clinically appropriate manner. 8. In another February 16 letter, a staffer who was fired said the facility should be closed. The staff member says other employees came to them with fears of patient brokering, fraudulent financial reporting and activity, patient safety, mistreatment, and medication diversions. The staff member says that licensing requirements for staffing are not being met. The staff member alleges that RCA is accepting patients who are not medically appropriate. The staff member also states that RCA was utilizing “an unlicensed part of facility to warehouse a cash pay mental health patient alone.” Can you comment? These accusations are refuted and many are addressed in the responses above. Additionally, we do not fraudulently report our financials. We are audited every year by an international CPA firm. Further, we have been audited by BSAS multiple times, and not one of the accusations related to patient safety, mistreatment or medication diversions has been substantiated by the State. RCA has never exceeded its licensed number of beds. 9. In another February 16 letter, a staff member writes that staffing is “unsafe” and training is not sufficient. The staff member also writes that after telling the Vice President of Human Resources that the staff member told the Department of Public Health of their concerns, the VP asked, “Were you this honest when the DPH visited yesterday?” And the staff member said yes. The staff member says they were fired less than two weeks later, and says this is retaliation. Can you comment? These accusations are refuted and are addressed in the responses above. 10. The state’s investigation report shows that it substantiated many of these complaints. Westminster was found to be understaffed. Not a single employee interviewed could identify who the Program Director was for either ATS or CSS. Group notes were either not being documented or groups were not occurring according to the schedule. It was found that male and female CSS clients engaged in sex in one of the bedrooms “which demonstrates a lack of oversite that ensures the health and safety of clients.” Case management, individual counseling, and group were not occurring. And the state found that a client was admitted who was inappropriate for that level of care “as evidenced by the client’s need for private nursing aides.” Can you comment? While the State made several findings based on the documentation requested at the time of the inspection, it did not substantiate “many of these complaints”. During the exit interview with the State, the RCA representative explained that although RCA had failed to keep complete records, there should be no question that the required treatment services were provided and staffing was proper. Further, as stated above, internal audits of our payroll system and video footage of our treatment rooms confirm that the services were provided and that our staffing was proper. RCA acknowledges that it did not specify individual Program Directors for ATS or CSS. This is only done in Massachusetts and is a process that RCA disagrees with. Our Chief Clinical Officer Deni Carise, has written about her concerns that a complete segregation of patients from staff they first met in detox is detrimental to therapeutic treatment (see below). Ms. Carise has effectively advocated for BSAS to allow a waiver of the strict requirement of separate staffing because she believes patients need to feel a “continuity of care” as they transition from various points of treatment, including from detox to residential to outpatient services. Nevertheless, RCA has complied with the BSAS requirement to have individual directors for ATS and CSS services. The statements concerning lack of services provided and sexual relations by patients are addressed in other parts of this response. Separating ATS and CSS Staff and Activities – The Negative Impact on Therapeutic Alliance and Outcomes By Deni Carise Today, most patients admitted to residential substance use disorder treatment (SUD) have dependencies on substances that produce severe (opiates) and sometimes life-threatening (alcohol, and/or benzodiazepines) withdrawal symptoms. It’s rare, in fact, that patients are admitted for care with a primary diagnosis for substances such as cocaine or marijuana alone, where medically based detoxification is not needed. Recovery Centers of America (RCA) views effective treatment as including a continuum that typically begins with detox in which medical and psychological stabilization begins followed by a seamless transition into residential treatment where patients medical needs are less acute but where 24-hour care is still needed and where patients continue to build an awareness of their disorder as well as the physical, emotional, and spiritual strength needed to engage in recovery without the safety of 24-hour care. The continuum of care should be a somewhat fluid pathway that meets individual patients’ needs at different points as they navigate both acute and post-acute withdrawal symptoms. The linear path then moves to outpatient care, which includes partial and intensive and general outpatient treatment until the person can maintain recovery without ongoing professional help. According to the National Institute on Drug Abuse, participation for less than 90 days is of limited effectiveness for maintaining positive outcomes. The more this continuum of care connects these levels of services, the more likely the patient will continue in care for a longer duration and complete the full course of care. This in turn leads to increased likelihood that the patient will maintain the gains made in treatment, continue in recovery, and importantly, not have need for further treatment at an acute level of care. Numerous studies have shown that those who receive a minimum of 90-days of treatment (this can include residential and various forms of outpatient) are much more likely to maintain recovery and return to a productive life. But the continuum of care is punctuated with many “break-points” - times when patients find it easier than others to quit treatment. One of those breakpoints is during transitions between levels of care – primarily from residential treatment to outpatient treatment. The transition from residential to outpatient is a significant breakpoint as patients must “start over” with a new counselor and a new group of patients after spending the prior 2-4 weeks getting to know and trust their counselor in the residential program. Currently in MA, there is a requirement that staff and services on the detoxification units must be completely separate from staff and services delivered on the residential care unit. In our case, these patients transition, literally across the hall to an entirely new set of staff new nurses, counselors, physicians and even case managers. This leads to an unnecessary disruption in treatment and an additional “break-point” in treatment where patients have to essentially start over, tell an entirely new staff about the problems caused by their substance use, the psychiatric symptoms, family problems, etc. In addition to inserting a new “breakpoint” after just 5-7 days in treatment, starting over with a new set of staff profoundly hinders the development of the therapeutic alliance. Two decades of empirical research have consistently linked the quality of the alliance between therapist and patient with outcomes of care. Additionally, a patients report of a positive connection with the treatment staff early on in treatment seems to be the strongest clinical indicator of therapeutic alliance and positive clinical outcomes. When patients enter treatment, they submit to a battery of assessments: Intake/Admission, Biopsychosocial, Medical and Nursing, to name four – all due in the first 24-72 hours. One of their most resounding complaints centers on the fact that they must tell and re-tell their story many times to so many people. Imagine for a moment that drugs or alcohol have become such a problem for you that you must stop all your normal activities in life and check into a residential treatment program. You have to put aside work obligations, family, and child care responsibilities, etc. You enter detox and you tell the physician, nursing staff, counselors, and your case manager all about your drug or alcohol behaviors and the problems that led you to treatment. You talk to the psychiatrist about your depression or anxiety. Then, 5-7 days later, you have a new nursing staff, a new case manager, a new therapist, even a new psychiatrist and you have to repeat all of the things you just told the staff in the detox center. I think it’s clear how this could lead a patient who may already be anxious and considering quitting treatment, to decide that starting over is just too overwhelming for them. Imagine too, never seeing another patient who has made it through detox and gone one to improve in residential care, even if just in a seminar, workshop or at lunch. The benefit of a patient seeing someone who was in detox like you just 2 weeks ago seem so healthy can’t be underestimated. It’s also clear how this works against the therapeutic alliance – one of the most essential ingredients needed for treatment to be successful. Those staff-patient bonds become more difficult to construct when an unbending line has been drawn between detox (ATS) and residential (CSS) staff and services. It’s curious to RCA, then, that Massachusetts has drawn a firm line between detox and residential care and have told us that staff members cannot work in both the detox and the residential unite, that residential/rehab patients cannot be in a seminar or workshop with detox patients, etc. The reality is that patients improve most when there is continuity of care and caregivers, when they can develop trust in their helpers and become familiar with them. The RCA model of care emphasizes the immediate assignment of newly admitted patients to the counselor, family therapist, case manager, psychiatrist, nurses and other staff who will see them through detox and residential care and ultimately to discharge. Additionally, with a nationwide shortage of psychiatrists, nurses, family therapists and other healthcare providers, and a state requirement to have separate staff for CSS and ATS services in the same building, RCA is hiring duplicate staff and often splitting desirable fulltime jobs into 2 part-time jobs when, in fact, greater continuity of care would result from a full-time staff member who works with the patients for the duration of their stay, an average 10-28 days. Continuity of care also allows doctors and nursing staff to be more effective and to deliver care safely, ensuring patients are medicated properly. To be sure, CSS and ATS are distinct levels of care with distinct activities, goals and requirements but from the patient’s point of view, it’s a continuous experience, with a set of staff designed to help them get well. We hope BSAS will take this into consideration and allow RCA to provide continuity of staff and services for the patients who have entrusted us with their care. 11. The state began another investigation at Danvers after receiving a report of an alleged sexual incident. Investigators visited Danvers on 5/10 and 5/11. The sexual incident allegation was deemed not substantiated, but a deficiency correction order was issued for other things. The issues the state found include: Danvers was not properly staffed. Incidents that should have been reported to BSAS were not being reported to BSAS. No staff person was able to identify the Program Director for the ATS or CSS unit. Many clients were observed “walking freely through the building without staff oversight.” Patients were allowed to hug and have other excessive physical contact. As noted, DPH made an unannounced visit to the Danvers location to investigate an alleged sexual incident. Like many other allegations, this one proved to be false. We have addressed your questions related to the ATS or CSS Program Directors above. With respect to the identification of Program Directors, RCA posts this information at Nursing Stations and it has been emailed to all staff on more than one occasion. 100% of the efforts put forth at RCA are designed to prepare a patient for a life in recovery. This requires preparing them to live their everyday life free from drugs and alcohol. The freedoms RCA allows in its facilities are part of this preparation and the patient’s recovery. RCA facilities are not locked facilities, and patients are allowed to walk from their unit to the dining rooms or other areas without direct staff supervision. Our Chief Clinical Officer Deni Carise has written a paper on this supervision issue and its therapeutic benefits. See below. Despite RCA’s belief that patient freedom is beneficial to patients’ recover, RCA has added additional staff supervision in order to comply with a BSAS request. The Residential Experience – Allowing Patients the Freedom to Learn By Deni Carise Following the acute withdrawal phase, residential care for individuals with substance use disorders –– is a period in which patients can try on new, healthier behaviors in preparation for resuming life in the “real world” as newly sober people. Behavior in residential treatment can be viewed as a dress rehearsal for the real thing. For example, if patients cannot independently and regularly show up for a group meeting on time, there’s little hope they will be able to show up for work or other important obligations when they return home. Compared to a secure care facility or unit such as an acute psychiatric unit, it may seem that individuals in substance use disorder treatment have a great deal of freedom in the facility. Yes, patients have “responsible freedom” meaning they are permitted to navigate the facility but there are limits to their movements. Importantly, they are navigating within specified parameters under the watchful eye of trained staff. Recovery Centers of America requires staff at all sites to conduct, at a minimum, hourly rounds of all patients in their care. The process of hourly rounds is conducted 24 hours a day, seven days a week, 365 days a year. A log is kept by staff showing that each patient’s whereabouts are documented hourly. Additionally, attendance is taken at all groups and meetings. These hourly rounds and all other clinical interactions allow staff to identify patients demonstrating increased cognitive, psychiatric, or medical impairment and identify them for increased surveillance, assessment and treatment. In some cases, the level of impairment could trigger a patient transfer to a higher level of psychiatric or medical care. If a patient is too impaired to be given this freedom but can be safely cared for in the residential environment, the rounds or “check-ins” are increased until further assessment shows that this is not necessary. This may take numerous forms from asking the patient to check in at the nursing station every 10 minutes up to a 1:1 care contract where the patient is always in full view of a staff member. For the average residential patient, however, 1:1 contracts and transfers to psychiatric facilities are rarely needed. Most patients can navigate freely and responsibly within specific boundaries. This generally includes their assigned room, designated public recreation and smoking areas, treatment and seminar rooms, dining facilities and counselors’ offices. The patients are informed of areas within the facility that clearly are off-limits during treatment, such as the admissions area, without staff supervision. And, importantly, staff are aware of patients’ whereabouts. Within those parameters, patients are encouraged to work on projects together and obtain recovery support from peers as a precursor to 12-step involvement upon discharge. Additionally, they are taught to renew their commitment to personal responsibilities, such as working within the boundaries or rules typically observed in society. To be sure, there is a clinical impetus for the way residential facilities operate. Simply, they are designed to assist newly sober people to learn or re-learn basic boundaries and responsibilities within a structured, therapeutic environment. Patients, for instance, are not permitted in each other’s rooms and, if found in another patient’s room, are subject to disciplinary action by staff, including the creation of performance enhancement contracts designed to help patients curb counter-productive behaviors and learn more pro-social behaviors. That said, residential substance abuse treatment is voluntary, and patients are deemed not to need the secure care reserved for inpatient psychiatric facilities because the individual has been assessed to not be an immediate threat to self or others. They are, however, expected to behave within social norms and when they do not, action is taken to redirect them as noted earlier. Residential treatment can be viewed as an experimental field for patients in which they try on new behaviors and are positively reinforced for positive behaviors and need to account for detrimental behaviors. In fact, one benchmark for discharge is the patient’s demonstrated ability to function as a responsible, newly sober person. “Responsible freedom” offered to patients within the confined space of the facility shapes those patients for discharge. 12. BSAS conducted a second site visit and review of programs at Danvers on or around July 11. RCA was sent a deficiency correction order by the state on July 20. The two regulations cited as not being in compliance – 164.035: Required Notifications to the Department and 164.048: Staffing Pattern – were also cited in the correction order following the May site visit to Danvers. Can you comment on why BSAS found recurring violations of two regulations during the second site visit and why those were not corrected following the May visit? The investigation has been closed. 13. The most recent state report includes allegations from an employee that a patient on June 27 became intoxicated after ingesting large amounts of Purell taken from the nurse’s station. Police records indicate 911 was called, and then someone subsequently called to cancel the 911 response. The employee alleges the call to cancel 911 was made by two BCAT employees en route to the facility to deal with the patient issue. Did this incident occur? Was it handled properly by staff? Did an RCA employee call 911 or Danvers emergency responders to cancel the original 911 call for help? Were employees terminated following this incident, and if yes, how many and why? As we have repeatedly stated, we don’t comment on individual patient or employee matters for confidentiality and legal reasons. RCA medical protocols, including emergency response protocols, are determined by RCA medical professionals who have the requisite knowledge to make the proper assessment of a patient’s needs. It is RCA’s policy that all non-medical professionals strictly follow the RCA medical protocols when treating or engaging with patients. Any deviations from the RCA medical protocols may put patients at risk or negatively impact their recovery. Any deviation from these protocols may result in employee discipline up to and including termination. Follow up question 14. Under the response to question #7, RCA notes “one instance was found where patients had sexual relations in the facility” and “your question provides no information at all about the alleged circumstances involved, and fails to consider the above facts.” We would like to follow up based on that response. Does RCA believe that sex between patients is detrimental to the recovery process, or does RCA believe there are exceptions? For instance, are exceptions permissible for addicted couples seeking treatment together? Is the incident referenced in the state report one between a couple seeking treatment together? In the patient handbook for Westminster that was provided to state inspectors, there is a section titled “Community Guidelines.” Among the guidelines, it states “Sexual/romantic relationships are not permitted during your stay at Westminster.” Was this policy in place at the time of the incident cited by state inspectors? Is this the current policy at Westminster? Also, do all RCA facilities have the same rule about sexual relationships as stated in the patient guide handed out at Westminster? Was this also the policy at Danvers when state inspectors, in findings of non-compliance issued last month, noted reports of several incidents of clients taking the elevator to the roof to have sex? Also, do you agree or disagree with this particular finding from the state? Draft response: All RCA facilities prohibit sexual conduct between patients and we also encourage couples seeking treatment to go to separate facilities. Our clinical team views this as a potential distraction for both parties during their course of treatment. While RCA prohibits this behavior, if it is found that two patients engaged in any form of sexual contact, we clinically evaluate each situation to determine the best course of subsequent action.