Compliance Perspectives

By Adam Turteltaub

Is it a few bad apples?  A whole barrel full of them?  Or is it the barrel that’s the problem, and not the apples?

It’s a long-debated topic in ethics and compliance, and Jonathan Rusch, Principal of DTG Risk & Compliance LLC, argues that there is much that can be answered in a growing body of behavioral science.

His interest in the topic began while serving as a federal prosecutor, where he noticed that many fraud victims were behaving in ways that were unexpected but explainable by social scientists.  Later, when he became an in-house compliance officer, he found this same research was useful at uncovering the mental shortcuts and other mistakes that led to bad behaviors.  These included:

* The bystander effect, in which an individual sees something that seems wrong, but with no one else saying speaking up, the individual assumes that maybe he or she was the one who was wrong

* Context confusion, a problem in which a person assumes the other side of the deal is thinking along similar lines with shared goals when, in fact, that person has very different and potentially illegal objectives

* Ethical fading, in which ethics issues start being redefined as simply business concerns

Listen in to the discussion, and start exploring how behavioral science might change the way you approach compliance and ethics challenges.

By Adam Turteltaub

It’s important for compliance to have a seat at the table when a business makes big decisions.  On a practical level, it means compliance can help the business team understand the risks and respond to them appropriately.  On a symbolic level, it’s a sign that compliance is integrated into the organization’s operations.

But earning that seat, and keeping it, can be difficult.  Mike Morgan, Partner at Corsica Partners, knows this well form his years in global ethics and compliance roles.

Experience has shown him that what matters isn’t just whether compliance is at the table, but what kind of influence has.  In this Compliance Perspectives podcast he identifies essential components to having influence:

* Having metrics. Every other part of the organization is talking in metrics, and without them, compliance can seem less relevant.

* Concern for the business. Business needs to feel that compliance cares as much about the business and how it functions as the rest of the organization, but that doesn’t mean compliance shouldn’t give up its distance.

* Knowing your team, resources and self. A strong sense of your assets is essential.

* Knowledge of people. That includes embracing diversity, understanding human behavior, learning the challenges groups like sales face, and leveraging personality assessments and related tools embraced by your organization.

Listen in to learn more about how to get and stay at the table, and also when it’s time to push your chair back and start walking around the office, too.

By Adam Turteltaub

It’s important for compliance to have a seat at the table when a business makes big decisions.  On a practical level, it means compliance can help the business team understand the risks and respond to them appropriately.  On a symbolic level, it’s a sign that compliance is integrated into the organization’s operations.

But earning that seat, and keeping it, can be difficult.  Mike Morgan, Partner at Corsica Partners, knows this well form his years in global ethics and compliance roles.

Experience has shown him that what matters isn’t just whether compliance is at the table, but what kind of influence has.  In this Compliance Perspectives podcast he identifies essential components to having influence:

* Having metrics. Every other part of the organization is talking in metrics, and without them, compliance can seem less relevant.

* Concern for the business. Business needs to feel that compliance cares as much about the business and how it functions as the rest of the organization, but that doesn’t mean compliance shouldn’t give up its distance.

* Knowing your team, resources and self. A strong sense of your assets is essential.

* Knowledge of people. That includes embracing diversity, understanding human behavior, learning the challenges groups like sales face, and leveraging personality assessments and related tools embraced by your organization.

Listen in to learn more about how to get and stay at the table, and also when it’s time to push your chair back and start walking around the office, too.

By Adam Turteltaub

Sometimes the compliance department isn’t so much of a department.  It may be just one person responsible for the program, and he or she may be wearing other hats as well.  That’s the case for Jane Brown, Chief Compliance Officer and Director of Business Operations for THD America.

When stepping into a solo role, the first thing she advises doing is conducting a thorough risk assessment and assessing the current program to get an inventory of the policies and procedures you have and the gaps you need to fill. Then it’s time to start on your remediation plan.

Once you get started, she points out in this podcast, be prepared for both unique challenges and some surprising assets.  In a smaller organization you’re not as likely to have as many resources, including something as fundamental as an audit function.  However, you’re likely to benefit from being on a first-name basis with every key leader, greater nimbleness, and an ability to act quickly.   You’re probably also in an environment where it is easier to ask to borrow staff from other departments for projects, but just watch out for any potential conflicts of interest that staff member may have.

Listen in as she discusses how to gain management support, gain resources, manage your time, and get the feedback you need.

By Adam Turteltaub

Sometimes the compliance department isn’t so much of a department.  It may be just one person responsible for the program, and he or she may be wearing other hats as well.  That’s the case for Jane Brown, Chief Compliance Officer and Director of Business Operations for THD America.

When stepping into a solo role, the first thing she advises doing is conducting a thorough risk assessment and assessing the current program to get an inventory of the policies and procedures you have and the gaps you need to fill. Then it’s time to start on your remediation plan.

Once you get started, she points out in this podcast, be prepared for both unique challenges and some surprising assets.  In a smaller organization you’re not as likely to have as many resources, including something as fundamental as an audit function.  However, you’re likely to benefit from being on a first-name basis with every key leader, greater nimbleness, and an ability to act quickly.   You’re probably also in an environment where it is easier to ask to borrow staff from other departments for projects, but just watch out for any potential conflicts of interest that staff member may have.

Listen in as she discusses how to gain management support, gain resources, manage your time, and get the feedback you need.

By Adam Turteltaub

Robin Singh isn’t that much different from most healthcare compliance professionals.  He works for a healthy system with 12 hospitals, 20,000 employees and over 60 clinics.  What’s different, at least for most of the readers and podcasts listeners, is he does all this Abu Dhabi.  Although the healthcare system in the United Arab Emirates is far different than the one in the US, compliance officers are still needed and appreciated.

They also face a number of challenges.  His advice for navigating compliance issues in the Gulf Cooperation Council region includes:

* Recognize that risks are country-specific, but there are many commonalities

* Be aware of the political situation: the countries are stable, but they are also young and the regulatory environment is still developing

* Watch the microeconomic factors that can have a macro effect, specifically oil & gas price volatility

* Accept the cultural nuances, including that the optics of how you do things: reputation and honor are very important.

* Conflicts of interest are an ongoing issue because of the gift-giving culture.

Listen in to learn more about navigating compliance risks in the Gulf.

By Adam Turteltaub

Robin Singh isn’t that much different from most healthcare compliance professionals.  He works for a healthy system with 12 hospitals, 20,000 employees and over 60 clinics.  What’s different, at least for most of the readers and podcasts listeners, is he does all this Abu Dhabi.  Although the healthcare system in the United Arab Emirates is far different than the one in the US, compliance officers are still needed and appreciated.

They also face a number of challenges.  His advice for navigating compliance issues in the Gulf Cooperation Council region includes:

* Recognize that risks are country-specific, but there are many commonalities

* Be aware of the political situation: the countries are stable, but they are also young and the regulatory environment is still developing

* Watch the microeconomic factors that can have a macro effect, specifically oil & gas price volatility

* Accept the cultural nuances, including that the optics of how you do things: reputation and honor are very important.

* Conflicts of interest are an ongoing issue because of the gift-giving culture.

Listen in to learn more about navigating compliance risks in the Gulf.

By Adam Turteltaub

It’s a busy time in the managed care industry, reports Carolyn Barton, the Vice President Compliance and Regional Compliance Officer for Kaiser Permanente Washington.  There are new entrants, evolving models of care and more communication with patients than ever before.  At the same time, she notes in this podcast, regulators are actively calling for more affordability, focusing on quality and service improvements and driving for more transparency and accountability.

But, focusing on these issues, as important as they are, is not enough, Carolyn points out.  One other issue is as critical for managed care today as it is for many other industries:  the #MeToo movement.  Healthcare is not immune and has been dead center of some of the larger cases.  Managed care entities need to focus on building or strengthening a speak-up culture, understand how their third parties are acting, educate themselves and address this issue.

At the same, they can’t lose sight of other risk areas.  HIPAA is still a significant concern and requires strong data governance.  To help stem the opioid crisis managed care compliance professionals need to both stay on top of fast-changing requirements, and help ensure that the clinical, leadership and operations teams are all working together to meet these new obligations.

Tune in to hear more.

By Adam Turteltaub

It’s a busy time in the managed care industry, reports Carolyn Barton, the Vice President Compliance and Regional Compliance Officer for Kaiser Permanente Washington.  There are new entrants, evolving models of care and more communication with patients than ever before.  At the same time, she notes in this podcast, regulators are actively calling for more affordability, focusing on quality and service improvements and driving for more transparency and accountability.

But, focusing on these issues, as important as they are, is not enough, Carolyn points out.  One other issue is as critical for managed care today as it is for many other industries:  the #MeToo movement.  Healthcare is not immune and has been dead center of some of the larger cases.  Managed care entities need to focus on building or strengthening a speak-up culture, understand how their third parties are acting, educate themselves and address this issue.

At the same, they can’t lose sight of other risk areas.  HIPAA is still a significant concern and requires strong data governance.  To help stem the opioid crisis managed care compliance professionals need to both stay on top of fast-changing requirements, and help ensure that the clinical, leadership and operations teams are all working together to meet these new obligations.

Tune in to hear more.

By Adam Turteltaub

In November 2018 Gerry Zack assumed the CEO role of the Society of Corporate Compliance and Ethics and Health Care Compliance Association.  It was the culmination of a well-choreographed and seamless transition between Gerry and long-time CEO Roy Snell.

Now that Gerry fully has the reigns of the organization he sat down in the podcast to discuss what he has learned about the association, the state of the compliance profession, vision for the next few years, and what the association will be bringing our members.  He also shares what not to expect from SCCE and HCCA:  a decrease in our commitment to customer service.

Listen in to learn about what he has seen and what he sees coming as we strive to meet the needs of the fast-changing and very diverse compliance and ethics community, including changes to the magazines and websites, new digital publications and more.