Friday, March 31, 2017

Your Biggest Liability Is Standing Right Next To You

The greatest risk to any organization comes from within

Donna felt confident that she had terminated Kate's employment with just cause. Within a week of Kate's firing, Donna received notice that Kate filed for unemployment insurance. Donna was surprised with the news. Kate was let go because she was doing something that was against company policy. She was, in the eyes of the organization, steeling and falsifying documentation. Donna thought that not doing these things was simply common sense. During Donna's conversation with the unemployment representative, he asked her a question that stunned her. He asked, "do you have documentation that you trained Kate in these matters?" Donna's reply was very similar to how many others might have replied in her situation, "why would I need to do training on something that is common sense?" Kate began receiving unemployment benefits.

An organization relies on its employees and their productivity. Close relationships are sometimes formed. Even the occasional lifetime friendship is created. Employees are one of the greatest resources to an organization. It is for all of the reasons listed above, and many others, that an organizations biggest liability comes from its employees.

Yes, the statement above is cold and harsh, but so are certain workplace realities. Employees present the biggest risk to an organization. Here are some examples where employees are a liability:
  • Compliance (HIPAA, Medicare, etc) - Employees are human and sometimes their curiosity gets the better of them. They also tend to say or do things that could get an organization in trouble or audited.
  • Harassment - Employees have a bad history of being mean and spiteful to each other. If an employee enters a department where they are either not liked or resented, the other employees will make the unwanted employee's work environment unbearable until they are no longer there.
  • Social Media - People love to vent their frustrations. As it turns out, people now have a way to vent their frustrations about their jobs to the entire world. Employees of any organization are no different. If an employee feels slighted at their job or does not like their job, the world will hear about it.
  • Employment Termination - There is always a level of risk when an organization has to terminate an employees employment. Although the supervisor feels that he or she did everything right, there are times when something unexpected comes back to bite the organization right in the bank account. Here are two facts to remember: 1. some employees will lie and 2. unemployment officers and the courts tend to lean in favor of the employee (particularly if the employer has little or no documentation to back up their side of the story and it boils down to a "he said, she said" situation).
What has been said here is just a taste of reality. However, with that reality, there are things an organization can do to lessen its liability:
  • Training and Documentation - It is vital that an organization deliver training on every topic that is relevant to that organization. No matter how trivial it might appear. Do not assume that people will just know stuff because it's "common sense". In addition, it is critical that there is documentation of any given training. Include the names of the attendees, date, and the topics covered.
  • Policies and Procedures - Having established, written, and communicated policies and procedures will help an organization protect itself from employees who claim that they had no idea this or that was against the organization's policies. Having written policies and procedures will also protect an organization if an audit should occur.
  • Organizational Culture - What does the culture within an organization say about it? For employees, the culture of an organization says a lot. Having an organizational culture where the employees are supportive of one another, where there is a positive attitude, and where new ideas and thoughts are free to flow, helps lessen negative attitudes and bad feelings within the organization. It helps to bring in the right type of person who would fit the culture within an organization.
  • Employment Termination - This goes back to the idea of having effective policies, procedures and documentation in place. For example, if an employee quits, do not ask him or her to come back to the office to train another employee. When an employee quits, there IT access should be cut and they should not be doing any more work for an organization. This should be a written policy and followed the same way every time. Avoid showing favoritism towards employees and be sure that managers/supervisors know to avoid getting too close and personal with their employees. Managers and Supervisors should stay objective and focused on developing the employees in order to help them become more valuable within the organization.
Employees are a vital component to the success of an organization. Your employees will have diverse backgrounds, skills and personalities. However, they are still employees of an organization. Any organization who looses sight of this fact is putting itself at risk.

Organizations should treat their employees well and give them every opportunity to succeed in their position of employment. However, it is up to the organization to protect itself from the liability that comes with employees being imperfect people.

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Monday, March 27, 2017

HCSI Interview with Vishaal Virani of Doctorpreneurs: Episode 11

Lance King of Healthcare Compliance Solutions, Inc ( interviewed Vishaal Virani, co-founder and strategy director of

As a child, Vishaal imagined playing cricket professionally when he grew up.  As a teenager, his dreams became more down to earth.  He knew he loved helping people so he chose to go to medical school.  Soon after graduating from UCL Medical School in London in 2011.  He became a member of Doctorpreneurs, which was started by Claire Novorol in 2011, and was excited for the networking opportunities it provided.  When Claire expressed concern that this organization was becoming too much for her to handle, Vishaal and some of his colleagues decided to re-launch the Doctorpreneurs website.

This new version of Doctorpreneurs, which Vishaal and his co-founders dubbed Doctorpreneurs 2.0, expanded the original idea to include a newsletter, job and internship listings, and networking and entrepreneurial events as well as a website with interviews of successful doctor entrepreneurs, blog articles, a resource center with book listings, videos, education resources, etc.
 Vishaal said that the majority of doctors don't understand that they are entrepreneurs.  What he wants people to realize is that doctors have a desire to solve a problem; entrepreneurs work the same way.  A quote by Vishaal on the Doctorpreneurs website says, “It’s easier to teach a doctor business than to teach a businessman medicine. Doctors posses a unique skill set to make invaluable contributions to the healthcare startup world, so what are you waiting for?”   If anyone would like to join, search resources, or view job opportunities, you are invited to visit  You can also find them on twitter and LinkedIn, or email

Due to technical difficulties, this interview was cut short.  We hope you find the show notes helpful! Thanks for watching/listening/reading!  Sponsored by Healthcare Compliance Solutions, Inc.  Find us on Facebook (@hcsiinc) for more interviews and other resources for healthcare professionals.

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Monday, March 20, 2017

HCSI Interview with Dr. Michael Dolby of Practice in Your Pocket: Episode 10

Practice in Your Pocket Interview with Michael Dolby; conducted by Lance King of Healthcare Compliance Solutions Inc

Dr. Michael Dolby Background
Dr. Michael Dolby dreamed of being an architect as a child and teenager. When he entered Boise State University to play football, the coached told him it was too demanding of a degree and he needed to change his major to business, which he did.  After business school, Michael got a sales job and was excelling to the point that his sales manager told him to basically find another job because he was making the rest of the team look bad. When Michael expressed his frustrations to his dad about his job, his dad recommended that he go to dental school.
Michael enrolled in the required science classes at Boise State for a year and a half and then was accepted to dental school at Pacific University, which condensed 4 years of academic work into 3 calendar years. He then went on to complete a residency at St. Joseph's in Denver, Colorado.  Through some chance encounters, he bought a thriving practice from a dentist in Boise, where he has resided and practiced ever since.

Dental Practice Advice
The first thing a newly-practicing dentist should do is develop a vision for the practice, and then create an actionable plan to realize that vision.  Michael's best advice is to assemble a team that fully supports that vision and then empower team members to help build and create that vision.  Allow team members to speak freely and remember that everyone is on one team.  Michael said, “Practices cannot take off without teams that support them.”  He noted that a dentist taking over an existing practice has an added hurdle of having current team members buy-in to the new vision and plan. Michael says that in this case, the vision should be implemented slowly. Give team members a chance to decide if they want to be part of the new culture and allow them to leave if they don't.
When Michael first began, he realized that business school was the best thing he had done to ensure having a successful dental practice. He noticed that other dentists struggled with the practice management aspect of owning a dental office.  He saw many good dentists failing because they didn't understand the business side of their practices.  He first worked with a company called Fortune Management, which helped dentists create visions and plans to fulfill that vision. Michael realized that although the company did a lot of good, it lacked the tools dentists needed.  Michael decided to create a software application specifically for dental practice management--Practice in Your Pocket.

Practice in Your Pocket
Michael developed Practice in Your Pocket, along with his team at his dental practice, to fill the holes that he saw in current practice management applications.  The biggest problem with all other practice management solutions is that the reports they generate are difficult for dentists and their teams to understand.  Practice in Your Pocket (PIYP) automatically takes the data collected and populates that information into a personal dashboard with information like collections, new patients, and production by doctor and by hygenist.  Those fields are available to all team members so everyone can track success.  The doctor also has access to overhead numbers to track costs.  PIYP auto syncs with Quickbooks and Excel; it also syncs with Dentrix and will be able to sync with Eaglesoft by the end of the summer.  PIYP also creates morning and monthly meetings notes so that team members can track what was covered and know what will be covered in the next meeting.
The most important part of Practice in Your Pocket is the TLC calling feature, which facilitates personal calls to patients from the dentist or other team member. This feature lists the patient, procedure, and phone number. It also allows the dentist to schedule follow-up calls for patients who are experiencing problems.  Michael says that making these TLC calls is the best thing a practice can do to keep current patients and get patient referrals.   At the end of the day, he calls every patient that he worked on that day.  He said PIYP gives hygienists the ability to call their patients at the end of the day, too.   Michael says the 15 minutes it takes to make those calls is the most important part of his day in maintaining a successful business.
A dentist who would like to learn more about Practice in Your Pocket may visit  The company also has a YouTube channel with videos that take a more in-depth look at their product.  Just search Practice in Your Pocket.  A demo may be scheduled by calling 800 213-0252.  Soon the demo will be available on the website.  Practice in Your Pocket offers a 30-day free trial on their website, as well.

Dr. Michael Dolby's Advice and Legacy
Dr. Dolby would like new dentists to know that being a dentist can be a challenging job, both mentally and physically. He knows it can be easy to get caught up in all the things you have to do; he wants people to remember to stop and be grateful for the great things in their lives--to take time to recognize that God has blessed them with the skills and ability to be a dentist and He has also blessed them with patients that put their trust and faith in those skills and abilities. When we are grateful, we can't be unhappy so don't get caught up in the negativity.  He says the truths he lives by are: be honest with yourself; operate with absolute integrity; choose to be happy and take time to recognize your blessings.  He hopes that his team remembers his passion for creating a positive place to work, that his patients know he tried to create a safe place for them, and that his family knows he worked hard for them.

Sponsored by Healthcare Compliance Solutions Inc

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Thursday, March 16, 2017

Policies and Procedures, Compliance Training and HR

Maintaining Compliance and also Keeping HR in the Loop
In your ongoing efforts to provide an office culture of compliance, it is important to remember that HIPAA requires covered entities to establish and implement written policies and procedures that are consistent with its Privacy and Security Rules.  It can also be important for your Human Resource officer(s) to be involved with HIPAA compliance related issues in the business.

The U.S. Department of Health and Human Services, Office for Civil Rights (“OCR”) has begun its Phase 2 HIPAA Audit Program.  The Program will focus on the policies and procedures adopted and employed by covered entities and their business associates to meet the requirements of the Privacy, Security, and Breach Notification Rules.  Furthermore, if a group health plan is selected for an audit, it would have a very short time to produce its policies and procedures (i.e., 10 business days).  If the group health plan does not comply (for example, because it does not have policies and procedures), the OCR will likely impose corrective measures which could include costly civil monetary penalties.

HIPAA policies and procedures have important functions, including but not limited to:
  • Limiting uses and disclosures of Protected Health Information (“PHI”) to the minimum amount reasonably necessary to achieve the purpose of the use or disclosure;
  • Identifying the workforce members who need access to PHI and electronic PHI (“e-PHI”) to carry out their duties, the categories of PHI that they need, and any conditions under which they need the PHI to do their jobs;
  • Ensuring appropriate protection of e-PHI when it is transferred, removed, disposed and electronic media is re-used; and
  • Ensuring that e-PHI is not improperly altered or destroyed.
However, it is not sufficient for a covered entity to merely adopt its HIPAA policies and procedures.  The health practice office must also:
  • Designate a privacy and security official to develop and implement policies and procedures; 
  • Train applicable workforce members on its policies and procedures as necessary for them to carry out their functions, and apply appropriate sanctions against workforce members who violate its policies and procedures;
  • Periodically assess how well its policies and procedures meet the requirements of the Security Rule; and
  • Designate a contact person responsible for receiving complaints and providing individuals with information on the covered entity’s privacy practices.
There is no template for HIPAA policies and procedures.  Instead employers have the flexibility to design policies and procedures that are appropriate for their size, organizational structure, and risks to PHI and e-PHI.  Furthermore, as employers evolve, so should their policies and procedures.  For example, if an employer adopts a telework policy, it may wish to review whether its policies and procedures appropriately address issues involving remote access.

Summarizing, although not a new requirement, due to new technologies, evolving business and regulatory practices, along with impending HHS audits, employers may want to review their HIPAA policies and procedures to make sure that they are compliant and up-to-date. Many HIPAA policies inherently overlap with Human Resource's duties: training, disciplinary actions and employee health information for examples.
The increase in audits — combined with everything from changes in technology, the addition of a health and wellness program and concerns about hacking — serve as a good reminder why employers should revisit HIPAA training often and collaborate with HR to ensure compliance.

Many of the employers facing fines are healthcare providers, health plans or healthcare clearinghouses (organizations considered as covered entities under HIPAA). But most HR professionals also handle protected health information (PHI) to some extent, which puts them in danger of violating the HIPAA Privacy Rule.

Employers should have a written policy in place about how they handle PHI and designate PHI handlers and a HIPAA privacy officer. The policy should outline what types of information are considered PHI and how employers may and may not use it. It should also include a procedure for handling complaints and a process for employees to file them if they think their privacy rights are being violated.

Employees who may handle PHI should be trained on the dos and don’ts of handling protected health information, especially as it relates to electronic information. It’s vital for the HR team to understand the implications of handling PHI in emails, storing it on the cloud, or communicating about it over other electronic formats. And when discussing matters containing PHI with an employee, it’s important to have a signed HIPAA authorization form for the release of employee health information.

Lastly, the HIPAA privacy officer should review compliance documents and ensure that agreements with vendors who handle PHI, called “business associate agreements,” are up to date. The federal government considers vendors and subcontractors to be business associates if they handle PHI on behalf of the covered entity.

Source(s):, http://www.jdsupra.com,

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Monday, March 13, 2017

HCSI Interview with Jim Dahle of White Coat Investor: Episode 9

This show features an interview with James (Jim) Dahle, author of the book The White Coat Investor, and editor of, a financial advice blog for doctors.  The interview was conducted by Lance King of Healthcare Compliance Solutions Inc--

Jim Dahle Background
Jim Dahle went to medical school for the same reason most other healthcare professionals do—because he liked science and loved helping people.  He did his residency in emergency medicine and continues to practice in that field.  He was never really interested in business or finance until he had been ripped off by many financial services professionals, including a realtor, an investment advisor, and a lender.  He decided he needed to learn enough to protect himself from predatory practices.

White Coat Investor
Jim began learning about financial matters through reading books at a local used book store and the library.  He found that many books weren't very good and almost none were written specifically for healthcare professionals.  From the few good books on the subject, he learned the basics of finance—investing, saving for retirement, obtaining loans, etc.  He realized most other doctors lacked the same information he had, so he began sharing his new knowledge first with friends, and then with others
through a blog.  Next, he decided to self-publish a book on Amazon, which he marketed through his blog and virtual book tours.  Currently, he has a website, Podcast, blog, and his book is a best-seller.  Jim has found that some people who won't read a blog will read a book, and some people who won't read a book will listen to a podcast.  Most of his readers/followers are medical/dental students, newly-practicing doctors, and older practicing physicians.  He is looking to expand into a YouTube channel, online course, and possibly a medical school course.  He is hoping to “meet people where they are” through all these different media channels so he can spread the word to all practicing professionals.

The best advice that Jim has been given was from medical school: “Do the right thing for the patient.”  This phrase is applicable for anyone—Do the right thing for the customer, patient, investor, etc.  He says that if you do the right thing, people will trust you and keep using your services.   Jim defines entrepreneurship as “building something not just for the money but because you want to contribute something to the world that doesn't yet exist.”  He enjoys being a doctor because he is a helper; he enjoys running White Coat Investor because it is gratifying to “help the helpers,” as he put it. This is his way of giving back to people like him, in the hopes that they don't have to go through the hard knocks that he did to learn what he knows now.

For more information, Jim can be contacted at  He enjoys all the positive feedback he receives because of his book and blog.  You can buy his book The White Coat Investor at, you can find his blog at, where you may also subscribe to his monthly newsletter.  His podcast is also available on iTunes and you can follow him on twitter @wcinvestor.  Watch his website for more ways to connect coming soon!

Thank you for watching! Make sure to check out Healthcare Compliance Solutions Inc website at

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Thursday, March 9, 2017

Ethics Training in Healthcare

Having no ethics training within the organization, will put any healthcare professional at risk!

I received a call from a client who was attempting to dispute an Unemployment Claim stating that the employee was terminated for an unethical situation. I asked if the employee ever received documented ethics training, specifically in the particular situation at hand. The client's response was no. As many healthcare professionals do, this client assumed that ethical situations should be understood by all without documented training being necessary. With the requested documented training, this healthcare professional will most likely loose their Unemployment Claim dispute. This entire situation could have been avoided by having ethics training in place.

Ethics is defined as: moral principles that govern a person's behavior or the conducting of an activity.

In the past, moral principles were assumed to be standard among most people. In today's ever changing social world, this is no longer the case. It can no longer be assumed that all employees have the same, or at least, similar moral principles and standards.

There are two major factors that are creating this new dynamic for employers:

  • New Principles/Standards For a New Generation - Baby Boomers and Generation X's have, for the most part, bring a similar set of principles and standards to the workplace. This is not always the case with Millennial's. Many of the Millennial Generation have similar principles as the the previous two generations, however, there is a significant number of the Millennial Generation who do not hold to the same principles and standards as the Baby Boomers or Generation X's. These particular Millennial's have their own set of ethic principles as they see the old ones as "dated" or "behind the times". When they act outside of the assumed principles that have been recognized by previous generations, they do not understand why what they did was wrong. Their actions follow their own set of principles and standards.
  • Dramatic Influx of Unique Cultures - With the recent influx of refugees and immigrants from places that have cultures most people are not familiar with, new challenges will arise within the workplace. Some assumed principles and standards could be unfamiliar with people of various backgrounds and cultures.
Due to the two major factors listed above, and the other factors not listed, it is strongly recommended that all healthcare professionals have established and documented ethics training within their organization. Do not assume anything is "just understood" without formal and documented training. Ethics training should be created based on the culture the organization is attempting to establish or has already established. In addition, having ethics training as part of an organizations' already established compliance training, will only strengthen the employees understanding and desire to follow compliance regulations.

Some employees may feel that ethics training is unnecessary and is a silly waste of time. However, by not having established and documented ethics training in place, an owner is putting him or herself at risk of monetary loss, a damaged reputation, and a decrease in employee moral.

It is the simple things that make a big difference in the success of an organization. Ethics training is one of those simple things that will make a big difference.

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Monday, March 6, 2017

HCSI Interview with Dave Woodward of Click Funnels: Episode 8

In this show, sponsored by Healthcare Compliance Solutions Inc, Lance King interviewed Dave Woodward, Chief Business Development Officer of Click Funnels.

Dave Woodward Background

Dave is from San Diego, California and recently moved to Boise, Idaho.  He has been with Click Funnels since its beginning almost 10 years ago.  Dave originally wanted to become a doctor, then a Physical Therapist, then fell in love with business and has never looked back!  He has been involved in many different companies over the years, including a tech company, a mortgage business, flipping houses, and internet marketing.

Click Funnels Beginnings

Click Funnels is a platform-based software-as-a-service (SAAS) company that provides funnel marketing software for many types of clients, ranging from authors and speakers to service providers like doctors and chiropractors.  The company was built when the founder, Russell Brunson, wrote a book and was trying to market it. He realized there was a need for a software company who could walk people through the entire funnel marketing process.

What is Funnel Marketing?

Imagine a funnel with a lot of people at the top who self-select a relationship with a company as they travel down the funnel, leaving long-term customers at the bottom of the funnel.  An example of a funnel marketing plan would be where customers sign up for a free (plus shipping) book.  Then the customers are offered an audiobook for $37,
then the people who purchase the audiobook are offered a $197 course, then those customers are offered a one-time-offer of a whole webinar series for $297.  This set-up allows businesses to attract people who want offered service.  Dave says the funnel has three objectives: first, capture leads as soon as possible; second, build trust quickly; third, provide offers to customers periodically.  Funnels lower the cost to acquire customers and raises the average cart value of those customers.

What Does Click Funnels Provide?

Click Funnels offers all stages of funnel marketing in one software platform.  Dave says that one of the biggest mistakes people make in marketing is giving away too much free stuff when trying to acquire customers.  He says that once a customer spends $1, getting them to spend more is much easier, especially if the company builds trust by over-delivering.  Click Funnels specializes in acquiring customers who spend that first dollar and then continue to spend more dollars.  Once the plan has been designed, Click Funnels says that the easiest way to reach customers, both locally and globally is through Facebook because a company can target customers with the exact demographics and interests that it wants.  After just a bit of training, a staff member can easily handle the Facebook targeting with the help of Click Funnels.  Click Funnels software is easy to learn and use.  It is open source, drag and drop format.  Click Funnels also offers many webinars, updated content, and exclusive offers for its clients.  Click Funnels users has tripled every year for the past two years and is set to triple again this year, going from 3,000 to 10,000 users; 10,000 to 30,000 users; and 30,000 to approximately 100,000 users.  This year, 84 of those users will earn a place in the Two Comma Club, meaning 84 users will have earned $1,000,000 through Click Funnels.  The goal is to have 1000 members of the Two Comma Club by the end of the year!

Dave Woodward’s Words of Wisdom

Dave has some advice for aspiring entrepreneurs.  First, there is a difference between and real entrepreneur and what Dave calls a ‘wantrepreneur.’  ‘Wantrepreneurs’ want to own and run a business but don’t want the hard things that come with it.  True entrepreneurs will push through the tough times.  The second piece of advice Dave wanted to share is that entrepreneurs need to find something that they are passionate about providing to others. If money is the only motivation, businesses won’t survive.
More Information
Dave said that listeners/viewers of this show will get FREE trials of several different Click Funnels products.  Just go to and  If anyone has questions, they may contact Dave Woodward on Facebook.

Hosted by Lance King with Healthcare Compliance Solutions. Visit for more information.  Thank you!

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