Compliance Perspectives

Post By: Adam Turteltaub

With the COVID-19 pandemic demands for Personal Health Information (PHI) from law enforcement, the press, politicians and the public are increasing. While there may be good reasons behind many of these demands, healthcare providers must be mindful of the requirements of HIPAA.

As Catie Heindel of Strategic Management and Ashley Huntington of Cook County Health explain in this podcast, it is permissible under HIPAA to make a disclosure for the purposes of preventing or lessening serious or imminent threats to health and safety.

However, it can be a complex issue, and it’s important to check for the latest bulletins from the HHS Office of Civil Rights. In addition, it’s important to remember that HIPAA provides a floor. There are various state privacy requirements that must be heeded, as well.

But just having that expertise in the compliance department is not enough. Front line personnel need to have the expertise either to make decisions or know whom to turn to when facing an information request. That’s why they recommend a multi-disciplinary approach to developing privacy policies, tools such as a quick guide, and a plan for who decides what information is and isn’t disclosed.

Listen in to learn more about how to handle requests for patient information in the time of pandemic.

Post By: Adam Turteltaub

Everyone in compliance wants to have a mature program. But, how do you know if your program is truly mature?

Germany-based Torsten Wolf, Director Forensics at Control Risks, argues in this podcast that a compliance program can be considered mature when it is fully integrated in the daily business model and operations. Only when the key stakeholders consider compliance as integral to the business can it be considered fully developed and a part of the organization’s DNA.

One key hallmark, and perhaps the most critical, is how leadership responds when there is an incident that needs to be remediated.

But that’s not the only measure. It’s important to assess the culture across the organization and continuously. This can be done both formally and informally by talking to people to see how the compliance program is perceived and understood. Do people see compliance as integral to the daily business for them, or just for senior management?

Listen in to learn more about what to look for, and how to interpret the data you collect when determining the maturity of your compliance program.

Post By: Adam Turteltaub

Conflicts are as inevitable in compliance as the sun rising in the morning. As a result it’s not really a question of if you will face them but how you will handle them.

In this Compliance Perspectives podcast, Kelly Willenberg of Kelly Willenberg & Associates and Dawn Pittinger of Bio-Optronics offer their insights into how to best manage conflicts, including:

* Having self-awareness

* The importance of fostering trust

* Going into the discussion knowing what is the minimum you can accept

* Understanding your hot buttons

* Anticipating the other side’s arguments and how to respond

* Establishing rapport

* Recognizing that all conflicts aren’t bad

It’s an ear and eye-opening conversation that could help your next workplace conflict go much more smoothly.

Post By: Adam Turteltaub

Remember Brexit? It dominated the news before the pandemic. And while it may not be on the front page any longer, the clock is still ticking down to the end of the transition period on December 31, 2020.

As Andre Bywater of Cordery Compliance explains in this podcast, businesses need to be aware of the deadline, particularly when it comes to understanding how it may affect their privacy compliance programs. Although the UK is likely to develop privacy laws similar to the General Data Protection Regulation (GDPR) they are not yet on the books. That could have implications for processing data. In addition there will need to be an Adequacy decision and privacy shields in place between the UK and Europe as well as the US.

Data processors will also need to ensure that they understand what can and can’t be done with legacy data.

Listen in to learn more as the days count down to Brexit and what you need to do to make sure your data privacy efforts pass muster.

Post By: Adam Turteltaub

Today’s it’s the COVID-19 Pandemic. A year from now it could be a natural disaster. But whatever the reason, even during a business interruption compliance programs still have to function effectively.

Don Griffith, Head of Financial Crimes and Fraud Prevention Compliance, Compliance Counsel for MassMutual recommends having a good plan in place long before it is needed.

Use the planning process to think through what systems need to be up and running on Day 0 and what can wait a while. Consider also what regulators will expect and whether they need to be notified about how your organization is responding.

Also, and critically, look to your business units to better understand what their plans are and what they will need during a crisis. While working with them, make sure that they understand the compliance implications of any plans that they have. It’s better to anticipate the risks and make adjustments now than to have to do so in the midst of a major disruption.

Finally, don’t forget your team and its needs. Are people getting the emotional support that they need?  Are you still enabling their professional development? Are you staying connected enough?

Listen in for more advice that is timely for today and will likely be timely again in the future.

Post By: Adam Turteltaub

Laws like EMTALA and HIPAA don’t just apply to US citizens. They apply to everyone. That both keeps things simpler and adds complexity when it comes to undocumented immigrations.

As Lesley Anne Durant, Senior Corporate Counsel-Regulatory for United Surgical Partners explains in this podcast, if someone without documents appears in the ER, the hospital still needs to provide a medical screening exam, treat and stabilize the patient.

But, when it comes to patient privacy, things grow more complex.

HIPAA does provide exceptions for law enforcement. However, she notes, hospitals need to consider them carefully. While a disclosure may be permissible, the hospital may not be obligated to disclose the patient information without a court order. And, if patients fear their information may be disclosed, they may not seek treatment. That can be particularly dangerous during this time of pandemic.

Other issues that pose compliance risks include:

* Minors without a parent or guardian present, or in custody

* Victims of assault, including sexual assault

* Human trafficking and modern slavery

Post By: Adam Turteltaub

A violent or potentially violent patient appears in the Emergency Room. As Lisa A. Taylor, Vice President and Chief Compliance Officer at UC Health in Cincinnati shares in this podcast, it can be quite a challenge from a compliance perspective.

On the one hand there is a clear responsibility to have a culture of safety and responsibility to ensure that staff and patients are protected. That’s even more important these days with a pandemic swirling.

On the other hand, the EMTALA rules require that patients be treated.

To manage this challenge, she advises starting long before an incident occurs. Talk to and involve all the functions that are likely affected including care providers, security, police, risk management, social work, legal, leadership, HR and even the accreditation team. Next put together a plan of how incidents will be handled, including a code that will alert appropriate personnel to a potentially violent episode.

Then use each incident as a learning opportunity. Debrief with the team to determine what worked, what didn’t and where improvements can be made.

Listen in to learn more about this very difficult compliance challenge.

Post By: Adam Turteltaub

Sanctions regimes don’t get a holiday during an epidemic.

Kevin Riddell, Director, Trade and Regulatory Compliance at Constructions Products Groups, explains in this podcast that businesses must stay on top of a wide range of regimes. These include those from the UN, US and EU but also many smaller, individual countries around the world.

Adding to the challenge is the pace of change:  organizations and individuals can frequently be added or dropped from sanctions lists.  In addition, there can be competing regimes.  Think about the differences between the US and Europe when it comes to Iran, but also Cuba.

To manage this complex risk Kevin offers several recommendations including:

* Work with an outside resource to identify potentially problematic companies and individuals

* Turn to your logistics partners for help

* Educate your workforce, don’t just provide some basic training

* Emphasize company policy, not just the law

Listen in to learn more about what you can do to help manage this often difficult risk area.

Post By: Adam Turteltaub

Group think, confirmation bias and a lack of critical thinking can all cause lapses in integrity. Seeing high levels of all three led Roy Snell, the former CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association, to write IntegrityWorks: Tools and Skills to Build Integrity. The book was just published and is now available for sale on the sites of the HCCA and SCCE.

In this podcast, Roy and his editor Karen Latchana Kenney discuss the risks to integrity and what can be done about them. They also discuss the four chapters of the book, which address bias, being genuine, truth and civil debate, and critical thinking.

Designed to be a useful tool, rather than a philosophical discussion, IntegrityWorks provides workshop ideas for putting integrity into practice. It also includes interviews with ethical leaders, and presents integrity in a number of different and compelling ways.

Listen in to learn more, and then order your copy of IntegrityWorks from the HCCA or SCCE websites.

Post By: Adam Turteltaub

In an interesting study, with surprising implications for compliance and ethics program, Cigna found a very lonely America. The data showed that 61% of people are lonely, feeling that they lack social support and meaningful social interactions.

It’s a problem that doesn’t go away in the workplace, and it has real consequence. This loneliness at work can affect productivity, days missed and even turnover.

Gael O’Brien, an executive coach, columnist for Business Ethics Magazine and President of Strategic Opportunities Group explains in this podcast that there are warnings and lessons in the data for compliance and ethics teams.

For one, it calls for a focus on culture and ways to get employees more engaged and emotionally attached to the organization. Second, it calls upon compliance people to think about how they communicate with and interact with their colleagues.

And, it’s even more important now that so many people are suddenly finding themselves working from home, where they are likely to feel even more detached and alone.

Listen in to learn more about loneliness at work and what compliance teams need to consider.