In this episode we discuss how an independent integrity review can be helpful for organizations that may be facing actual or potential compliance issues. We consider some of the following are whether an independent integrity review and monitoring be helpful where a healthcare organization may have reason to believe it has an actual or potential compliance problem, but has not yet been subject to an enforcement action or a corporate integrity agreement imposed by the government? How can engaging an independent integrity monitor help an organization in dealing with an enforcement agency? Why do government enforcement and regulatory agencies prefer not to exclude important health care providers who have compliance issues?
Day: April 22, 2020
In this episode, we consider examples of independent monitoring involving healthcare organizations or systems. Issues considered are how do healthcare organizations or the agencies that regulate them may use monitoring in connection with significant business transactions – as opposed to law enforcement or disciplinary proceedings? Examples where organizations and government regulators have jointly agreed to use an independent firm to monitor implementation and compliance with conditions of a healthcare transactions.
In this episode, Jesse Caplan discusses how health regulatory agencies are using independent monitoring to serve important public policy goals – specifically to help ensure a ready supply of quality healthcare providers, particularly for government programs like Medicaid and Medicare.
In this Jesse Caplan and Tom Fox discuss how healthcare organizations can identify and mitigate the risks from opioid prescribing by their practitioners. Some of the issues considered are what can healthcare organizations, and particularly their compliance departments do to identify and mitigate the risks from opioid prescribing? Some examples of deficient opioid prescribing practices by, otherwise, experienced and caring physicians? What help is available to healthcare organizations to address these risks?
In this five-part podcast series, sponsor by Affiliated Monitors, Inc., I visit with Jesse Caplan, Managing Director at AMI on emerging issues in healthcare compliance and monitoring. Healthcare provider organizations and practices face many different types of potential regulatory and liability risks and we explore several of them in this series. In this first episode we focus on the risks posed by opioid prescribing. We consider what are the risks to providers and health care organizations from opioid prescribing? What has been the response of the Department of Justice? What are legislators and regulators doing to address the opioid crisis? The legal and regulatory framework impacting opioid prescribing? What should be the primary compliance concerns for healthcare organizations in connection with the opioid crisis?
Vince Walden has posited that “the black box is dead”. He meant that there is no single tool to use to identify high-risk transactions, customer, employees or third parties. Yet, it is now even easier to ask big insightful questions from your data. Every compliance professional should embrace this.
Properly seen, compliance is a business process. As such you should keep in mind certain queries, such as:
- What are the company’s high compliance and ethics risks?
- Who within the organization is responsible for managing these risks?
- What controls are in place to manage these risks?
- Are these controls working? Are they effective?
- How do you know (or not) this?
The key is that through greater data mining and asking more insightful questions of that data you can truly move from a reactive-detect mode to a proactive-prescriptive mode.
Three key takeaways:
- The black box is dead.
- What is driving your risk scoring?
- Compliance as a business process must be driven by data.
Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Los Angeles entertainment lawyer Gordon Firemark. We explore the force majeure clause which appears in almost every contract, how it works and what you need to do for invoke it.
Check out the Law Offices of Gordon Firemark website here.
Check out the Firemark Enterprises website here.
For additional reading see Gordon’s blog post A new look at the old standard ‘Force Majeure’ clause
This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit saiglobal.com/risk for free resources, expert guidance, and industry-leading technology.
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In this episode of Great Women in Compliance, Mary speaks with Monica Lopez Reinmiller. She is Managing Corporate Counsel-Compliance at T-Mobile.
Monica Lopez Reinmiller has a busy and wide-ranging portfolio at T-Mobile. This hasn’t stopped her from taking a Compliance 2.0 approach to her work. Monica shares some key considerations for building out a Conflicts of Interest program as well as her thoughts on enhancing a supplier compliance program. We address the relative lack of discussion on supply chain risks and put a call out to listeners for guest speakers who have advanced supplier compliance programs and can join a future panel on best practices and lessons learned in this area. Mary has a special interest in the controls McDonalds has put in place so if you know someone – hook a girl up!
In the telecommunications sector there are some risks unique to the industry. Monica sheds light on some of the current considerations for companies in her space and how Huawei and ZTE considerations impact her work.
Monica shares her household’s experience during the COVID-19 enforced hibernation and tips for parents educating and caring for kids at home while working. Mary and Monica also reflect on lessons learned from reverse mentoring and things they wish they had known earlier in their careers.
Join the Great Women in Compliance community on LinkedIn here.
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this podcast Matt Kelly and Tom Fox take a deep dive into the recently released SEC enforcement action against ENI involving FCPA violations, which was released just before 5 PM on Friday April 17.
Some of the highlights include:
- What were the background facts?
- What is the standard a parent has over a subsidiary for FCPA violations?
- What were the internal controls violations?
- What were the books and records violations?
- What are the lessons learned for the compliance professional?
- Did the fact that ENI was a recidivist make any difference?
Resources
Matt Kelly blog post, ENI Settles FCPA Case for $24.5 Million
Tom Fox blog post, Recidivist ENI
