Podcast featuring the top Compliance and Ethics thought leaders from around the globe. The Society of Corporate Compliance and Ethics and the Health Care Compliance Association will keep you up to date on enforcement trends, current events, and best practices in the compliance and ethics arena. To submit ideas and questions, please email: firstname.lastname@example.org
Ellen Hunt and Melanie Sponholz on Avoiding Burnout [Podcast]
Post By: Adam Turteltaub
The pandemic is both increasing burnout and making it harder to differentiate between needing a break and being, well, just completely done.
As Ellen Hunt of Spark Compliance and Melanie Sponholz, Chief Compliance Officer, Waud Capital Partners explain in this podcast (and will also share in their session at the HCCA Compliance Institute), common signs are fatigue (to the point of not wanting to get up and start work), feeling cynical or jaded, irritability, inability to concentrate, not feeling your usual self, and no sense of purpose. Another sign to watch out for: the inability to have a sense of accomplishment. If being able to cross something off of your list no longer brings with it any feeling of reward, it’s a telltale sign of burnout.
To avoid burnout they recommend building a separation between work and not working. That’s harder to do with so many of us working from home, but it’s necessary.
Try to focus on doing some things completely separate from work that make you happy. Anything involving movement – walking, running yoga – can help. Think about things that you used to do at home that filled your cup when you left work. It could be cooking a meal, reading a good book, or spending time with non-work friends (safely, of course).
At work, they recommend three specific behaviors:
* Always assume positive intent. Don’t think that people are out to get you, even if their words may seem a bit hostile.
* Practice the pause. Take a deep breath and ask yourself, “Are they really insulting me, trying or be rude, not understanding?” Ask people why they asked the question or made the decision that they did. It could have just come from a misunderstanding.
* Ask yourself: Do I really care? Is this something that is going to matter next week or year?
Finally, they advise making that effort to revive and build out your network. It will help you expand beyond the core people you normally interact with and find others than inspire you. It’s also beneficial to talk with others going through similar circumstances to be reminded that you are not alone.
So, schedule that 30-minute virtual coffee, or just send a note to someone you haven’t been in touch with to see how they are doing. Reach out to people you admire. Many will be surprisingly happy to hear of your support and be more than willing to talk.
You can even take the next step of creating something of a board of advisors for yourself.
Listen in to learn more, and then be sure to attend their session at the 2022 HCCA Compliance Institute, which takes place in Phoenix, March 28-31 and is also available online.
Markus Juttner on Organizational Blind Spots and Taboos [Podcast]
Post By: Adam Turteltaub
Markus Juttner, Vice President & Global Head of Compliance at E.ON doesn’t focus on individual blind spots or taboos. Instead, he focuses on the organizational ones. In fact, as he argues in this podcast and will explain during his talk at 2022 SCCE European Compliance & Ethics Institute, he thinks it’s a mistake to focus on the individual.
Since the core task for compliance teams is to prevent, detect and respond to corporate misconduct, it calls for an organizational level of analysis. You need to understand that the organization is an entity of its own.
There are four common challenges that he sees:
* The compliance team not being transparent to the management board: If they ask if the program is effective, you need to be honest and admit if you do not know
* The risk assessment only addresses what we expect to see. There may be other factors we have not thought about.
* A lack of transparency by the business side when reporting to compliance
* The habits that are normal and a part of life in the organizations
All of these can have dramatic effects on the compliance program, and all reflect the culture of the organization. As a result, it is essential to take the time to determine what the culture is, as well as the many subcultures.
Listen in to learn more and then join him at the 2022 SCCE European Compliance & Ethics Institute.
Anne Daly, Judy Ringholz and Steve Ortquist on Healthcare Compliance Program Reviews [Podcast]
Post By: Adam Turteltaub
There are a lot of good reasons to do a periodic review of your healthcare compliance program, not the least of which is that the government expects it.
But when’s the right time? How do you get the management support? What outside experts do you need? And how do you integrate the results into your workplan?
Those questions are tackled by Anne Daly, Vice President of Compliance, Samaritan health System, Judy A. Ringholz, Vice President of Compliance and Ethics & Chief Compliance Officer, Jackson Health System and Steven W. Ortquist, Founder & Principal, Arete Compliance Solutions in this podcast and at their session “How to Assure that Your Next Compliance Program Review Confirms Performance and Helps Improve Your Compliance Program” at the 2022 HCCA Compliance Institute.
It’s important, they explain, to make sure that you have your arms around the program before you begin the review. If you’re new to the role, you probably don’t know enough about the program to make the review as successful as it could be.
Once you feel that you are ready and that it’s time to have outside eyes review the program, it’s important to select a vendor with healthcare-specific experience, ideally with experience interacting with enforcement. Make sure they also have a solid understanding of the government’s expectations as well as your organization’s goals. Be sure they also are well versed in the fiduciary duties of healthcare boards and have the personal presence to be able to present to the board.
One thing else to do: make sure the consultant is reasonable. You want someone who will give you actionable recommendations, not someone caught up in a quest for perfection.
Be prepared to dedicate significant staff resources to help the review, most likely including a dedicated person who will be on point for the project. A consultant is going to need your team to provide a lot of documents about the program and assistance in scheduling interviews with key employees.
Once the work is done and the report is drafted, it’s a good idea to review it with the consultant to make sure that he or she truly understands the organization and didn’t misinterpret any information.
Be sure also to meet with the board and key leadership so that they understand the purpose and benefits of the review, including that it is a part of their fiduciary duty to have an effective compliance program.
And, be sure to bring your workplan to the final presentation to the board. That’s an ideal time to both demonstrate what you plan on doing and ask for the resources you need to get the job done.
Listen in to learn more, and then join us in Phoenix (in person or virtually) March 28-31 for the 2022 HCCA Compliance Institute.
Dr. Jan Sprafke and Jad Mhanna on Compliance in non-Western Cultures [Podcast]
Post By: Adam Turteltaub
At the 2022 SCCE European Compliance & Ethics Institute Dr. Jan Sprafke, Head of Compliance, Europe and Latin America and Jad Mhanna, Regional Compliance Officer at Ericsson will be leading a session entitled Cultural Divide and Compliance. The session, and this podcast, will examine some of the challenges in implementing compliance programs in non-Western countries.
There are three common issues that they find when implementing a program, especially in the anti-corruption area. First is the belief that it is a foreign law being imposed upon the local community. Second, there are different perceptions of what constitutes a bribe. Third, many believe that this is another Western way to mingle in local affairs. Some may also see anti-corruption laws as weaponized: designed to penalize economic competitiveness.
When considering how to overcome these barriers they caution to remember that not all of the workforce shares the same perspective when it comes to compliance. Some don’t really care and will do what they are asked to. Others will be smiling and saying “yes” but thinking about how to get around the rules to do what they want.
The third is a small minority who will speak up and share their concerns. This group needs to be handled carefully. It is easy to see them as opposition when, in fact, they are not.
So what should a compliance team do when faced with these challenges? Jan and Jad recommend avoiding the temptation to force compliance and instead take the time to understand the culture. In some places simply sharing the rules will be enough. In others it may mean taking the time to explain your goals and build a deeper understanding of why this initiative is important.
Other advice they provide:
* Don’t make this a headquarters initiative, partner locally
* Leave room for discretion and flexibility
* Understand what the local definition of corruption is and what is considered a bribe
* Run frequent risk assessments and compliance audits
* Help the local business team understand their risk exposure
Finally, take the time to put yourself in the shoes of others. It will help you better understand your colleagues’ thinking and help make compliance more of a two-way street.
Jerry Shafran on Keeping Up with Healthcare Regulations [Podcast]
Post By: Adam Turteltaub
Anyone who works in healthcare knows that the regulations are complex, subject to change and hard to keep up with, especially if you don’t have a software solution tracking it all.
Jerry Shafran, CEO and Founder of YouCompli recommends identifying and focusing on the highly-regulated portions of your organizations first. For hospitals, he explains, those tend to be revenue cycle, lab, physician services and pharmacy. They represent about 70% of the regulations that come out.
Next, he advises nurturing relationships with the people in these parts of the enterprise. The keys to success include modifying how regulatory changes are perceived in the organization and making regulatory change management foundational to the compliance program.
Unfortunately, that can be trickier than it seems. Training needs to be checked regularly to ensure it is up to date. And, with the changes being so highly clinical and entering the organization in a disorganized fashion, there are ample opportunities for error.
To succeed, he suggests making things as simple as possible by creating repeatable processes, such as following the steps of know, decide, manage and verify:
* Know that you are tracking all the regulator you need to and who in the organization is responsible.
* Decide if it applies to your organization and what needs to be done.
* Manage by ensuring all stakeholders are aware of what they are supposed to do and the deadlines
* Verify that the required changes have been put into effect, behavior changed and policies have been modified.
The verify step is especially important since that is what regulators will be looking for if they knock on your door.
Finally, as with so much else in compliance, communication is key. Every regulatory communication the compliance team shares with the organization has to be simple and simple to follow. Write it for businesspeople and avoid legalese. Look to methods of communication other than email so the communication doesn’t get lost. And include in your communications plan a process for calling people to make sure that they have done what the regulation requires. That helps increase compliance and provides a record of the steps taken to comply.
Together this should make the process of keeping up with healthcare regulations more than a bit easier.
Vanessa Mathews on Resiliency [Podcast]
Post By: Adam Turteltaub
What does your organization have in common with a well-inflated basketball? Maybe not enough.
As Vanessa Mathews, Founder and Chief Resilience Officer at Asfalis Advisors explains, business resilience is like the air in the basketball: It’s what makes the ball bounce. And, we all want a business with the resilience to bounce back from a crisis.
Building resiliency depends on having the right capabilities, processes and people. It starts with understanding that a crisis is an incident that can impact your organization’s reputation, profitability, operations or all three.
Once you determine if you are in a crisis, the next step is assessment. This includes asking questions such as:
* What is the scope?
* What are the likely consequences?
* How long will this be in the news?
* What risks are we willing to take?
Once you have those answers it is time to determine if you need to activate the crisis management team.
Surviving a crisis depends on preparedness, which includes leadership support, training and development, the resources to investigate, ongoing risk assessments, workforce tracking, and, of course, a culture of compliance.
Resilience in a crisis also requires a strong commitment to communications with regulators, third-party stakeholders, leadership, the board, employees, and in the case of healthcare providers, their patients, visitors and the community.
It’s not something that comes overnight, but it’s an investment well worth making to ensure that your business has the bounce it needs.
Listen in to learn more about how to build in resiliency, including what you will need from leadership, who needs to be on the crisis support team, and the role of organizational values.
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Compliance Perspectives provides great insight for the Compliance Professional wanting to learn more about being an effective compliance officer. Adam Turteltaub does an outstanding job of drawing out interesting and useful information from his guests in an engaging manner. This podcast is great training condensed into 15 minute chunks for the busy compliance professional or anyone interested in being more effective in their role.