Compliance Perspectives SCCE

Post By: Adam Turteltaub



It’s been an interesting and challenging times for efforts to encourage employees to speak up, reports Neta Meidav, co-Founder and CEO of reporting tool provider Vault Platform. Despite the increase in employee activism, there has been a decline in year-over-year helpline volume, which she attributes to both the nature of traditional help vehicles and a deficit of trust in the workplace.



Other factors having an impact are: a desire of employees to report to external avenues, COVID-related changes in the workplace, and a new focus on ethics and purpose. This last factor goes hand in hand, she argues, with a growing tendency of social issues to become business issues.



Regulators have also been stepping in. For some time, of course, the SEC has encouraged reports to its Office of the Whistleblower. The EU Whistleblower Directive has acted as a catalyst across the Continent, with countries in the midst of creating their own laws, with varying protections likely. She expects this to drive increased accountability and transparency.



In this podcast she encourages compliance teams to think about the activist sentiment in Europe, what it means and how it differs from the US. And, of course, organizations need to recognize the complications posed by GDPR.



She also advocates for a reassessment of how compliance teams encourage employees to report internally. With open door policies no longer relevant in a time of remote working, she believes it’s time to find new tools and increase efforts to promote psychological safety.



Listen in to learn more about how to foster a speak-up culture in the current era.

Post By: Adam Turteltaub



Codes of conduct are ubiquitous these days, and they are often digital. It’s a way to make them more accessible, and more in line with how people work.



But what if you took that virtual approach up a bit? That’s what TAQA and its Head of Ethics & Compliance Abdul Rahman Al-Ja’abari (LinkedIn) did. They created a Code of Ethics & Business Conduct that is experienced as a virtual reality walk through of representations of the some of the company’s facilities, in addition to a more conventional PDF.



TAQA had recently undergone a large merger that created one of the largest listed entities by market cap in the United Arab Emirates (UAE). The newly-formed company needed an ethics and compliance program that would both help it meet regulatory requirements and unify the culture.



Because the company operates around the globe, the code of conduct had to be put in a format that would be accessible to everyone. But, they also realized there was an opportunity to use it as a unifying tool. So, they created a version of it that employees could literally explore. They navigate room to room, as Abdul Rahman explains, where they see what different locations of the company look like and are able to explore different elements of the code.



This creative approach has received very positive feedback.  It was also a way for the compliance team to deliver on the company’s core value of innovation.



For anyone inspired by this approach, Abdul Rahman recommends beginning by building alignment with management on the approach, objectives, budgets and resources required. The communications team needs to be brought on board to help ensure you stay in line with their communications plan.



Of course, the IT group is also a crucial partner, helping ensure that the solution is compatible with the organizations systems and is readily accessible to the employee base.



Finally, be prepared for a positive reaction. People tend to see compliance as a staid, boring group.  Developing something creative, he explains, can help change minds very dramatically and for the better.



Listen in to learn more, and then spend some time exploring the TAQA Group Code of Ethics & Business Conduct.

Post By: Adam Turteltaub



The calls keep coming in to the helpline, which is great, unless you miss that all important, high risk one amidst all the minor issues. How do you avoid that problem? In this podcast, Mia Reini, Senior Manager-Corporate Compliance and Enterprise Risk Management at The Home Depot and Monica Lopez Reinmiller, Managing Corporate Counsel-Legal Affairs, Compliance at T-Mobile provide some intriguing answers.



Mia reveals that Home Depot has made a bot a part of its compliance team. Working with IT they developed software which scans helpline calls in real time, looking for buzzwords that correlate with high-risk incidents. If it finds them, they go straight to corporate compliance for review.



Launched in December 2020, the bot averages several cases a day by looking for terms such as SOX, FCPA, DOT, EPA and hazmat.



For the compliance team it’s proven invaluable since it is always at work, including on nights and weekends. But, they warn, vigilance is still required. Like all software, sometimes the bot goes down.



Of course, not every organization can have a bot, and for those, Mia and Monica advocate a risk-based approach. That includes watching out for terms that a bot might, but also having someone with the requisite skills to triage the calls and flag those needing an escalated response to the board or requiring an attorney to oversee the investigation.



Both Mia and Monica also argue for a root cause analysis as part of the investigation. The US Department of Justice has been encouraging them, but that’s not the only reason they are valuable. They can help in fostering a programmatic, preventative approach to compliance that is more disciplined.



And speaking of discipline, pushing for organizational justice, they explain, is key.



It is all a part of an active approach to managing employee helplines that helps foster a healthy compliance program.

Post By: Adam Turteltaub



As if Stark Law and the Anti-Kickback Statute aren’t complicated enough, they can also lead to False Claims Act issues, explains Charles Oppenheim, Partner at the law firm of Hopper, Lundy & Bookman and author of the chapter “The Stark Law and Anti-Kickback Statute as FCA Risks” in the new HCCA book False Claims in Healthcare.



In the case of Stark Law, where there is strict liability, something as simple as faulty paperwork can be highly problematic. If the documents don’t match up, no matter how innocent the mistake, an entity is prohibited from billing for services. And, when it comes to the Anti-Kickback Statute, the law is intent-based. So even if the remuneration is fair market value, corrupt intent can have drastic consequences.



To prevent issues from occurring, and effectively remediate them should they occur, he offers several recommendations in this podcast. First, have well-designed policies and procedures when it comes to entering into new relationships, including policies for when not to enter into a relationship. Second, document how fair market value is determined, how you entered into the relationship and alternatives considered.



Should a potential violation be identified, bring in experts who understand the subtleties of these very complex laws. And, he notes, don’t despair. It is quite possible that the relationship falls into an exception. For example, CMS has proven more flexible of late in its documentation requirements.



Should you need to make a disclosure, consider the Self-Referral Disclosure Protocol (SRDP). It can take some time, but the outcomes can be more positive than many think.



Finally, he advises healthcare entities to remember that we will one day come to the end of this pandemic emergency. During this crisis CMS issued a narrow waiver on Stark Law that many took advantage of while medical practices were in deep financial troubles. It’s important to document what you did and be prepared for the end of the emergency and, quite possibly, the end of the waivers.



To learn more, listen in to this podcast, and check out our new publication False Claims in Healthcare.

Post By: Adam Turteltaub



There are a lot of skills that compliance professionals need – communication, persuasion, negotiation, patience, and even legal – and now Lisa Beth Lentini Walker, CEO and Founder of Lumen Worldwide Endeavors and Stef Tschida, Founder, Tschida Communications, are suggesting another: organizational scholarship.



The co-authors of the book Raise Your Game, Not Your Voice suggest in this podcast that, to be effective in their roles, compliance professionals need to be skilled at navigating the organization. To do that requires a deep understanding of the organization.



They advocate for taking the time to understand the company’s strategy and culture. Consume as much information about the company as possible: the website, publicly filed documents, earnings calls, even what the marketing people are saying on social media. Is the company just sending out messages, or is it engaged in a dialogue?



Also, look to what others are saying on sites such as Glassdoor. Are people saying good or bad things?



If you are new to the organization, they recommend having a plan for your first quarter there to quickly build your knowledge base. Connect with key people, understand what the key relationships are, and what drives behavior.



Then, look beyond the walls of the organization to understand what is going on in the industry as a whole to better understand what are the key forces, what may happen next and how your company compares to its peers. And be sure to set alerts for news about competitors, as well. A crisis in one could provide clues for what to watch out for in your own organization.



Finally, take the time to learn how compliance is perceived. You only get permission to speak, they explain, when you first take the time to listen. If the business people know that your ears are open and that you are sensitive to their needs, they are much more likely to pay attention to what you have to say.

Post By: Adam Turteltaub



As the compliance profession matures an increasing number of professionals in the industry are thinking about going out on their own and setting up a consulting firm. In this podcast we learn from three people who did just that and are willing to share their wisdom and experience:



* Kristy Grant-Hart, Spark Compliance Consulting

* Kirsten Liston, Rethink Compliance

* Joe Murphy (LinkedIn), Compliance Strategists and one of the founders of Integrity Interactive



Recently they wrote the book The Compliance Entrepreneur’s Handbook, and in this podcast they share insight into what they call the four corners approach to determining what the sweet spot is for your business. It’s difficult to be all things to all people, especially when first starting out. By looking at the four corners, they believe, you can narrow your focus to where you bring the most value to the market.



The corners are:



Function

Rather than focusing on all elements of a compliance program, you can narrow your focus to those areas you have the most expertise in. That helps you become known for bringing in certain pieces of the puzzle.



Risk Area

Privacy, anti-corruption, antitrust, and Stark Law are just a few of the areas that can be ripe for building a business around.



Geographic Region

Do you want to serve a city, state, region or work globally? Think about where the market is and isn’t saturated. Ask yourself how much you want to travel. An international client base can be very enticing, but it means many days away from home, calls at strange hours of the day and night, and much jetlag.



Industry

Choosing industries to focus on can be a tug of war. You want to leverage your expertise in a given industry or two, but you don’t want to set your sights so narrow that there are too few opportunities available.



In sum, it’s a complex calculus when it comes to going out on your own, but it doesn’t have to be overwhelming. It also takes great persistence and a strong network to get your business off the ground.



And one final piece of advice you will hear in this podcast: don’t forget it’s a business, with all the issues that brings.



Listen in to learn more and help you decide how to start your own compliance business, or whether you are better off staying right where you are.