Compliance Perspectives show

Compliance Perspectives

Summary: 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:

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  • Artist: SCCE
  • Copyright: Society of Corporate Compliance & Ethics


 Roz Bliss on Having a Successful Team Meeting [Podcast] | File Type: audio/mpeg | Duration: 9:20

By Adam Turteltaub Roz Bliss is the Manager, Global Integrity at Northrop Grumman.  One of the responsibilities of that role is putting together a meeting for the global ethics team.  It’s not an easy task, with such a large and spread out team. Over the years she’s learned to manage not just the logistics but the substance of the meeting as well.  By chance Northrop Grumman was having a team meeting at the same time and hotel as the 2018 SCCE Basic Compliance and Ethics Academy in Amsterdam.  While we were both there, she sat down to share her experience on the ingredients of a successful team meeting. Listen in as she shares her tips, including: * Know your audience, including how on-time it tends to be (it varies by country) * State your purpose and manage expectations up front * Be considerate of the time of participants * Involve the right people in planning, including some who may oppose what you plan on doing * Plan on asking questions: don’t make the whole program a speech * When following up, include people who were unable to participate  

 Greg Triguba on Using Incentives in Your Compliance Program [Podcast] | File Type: audio/mpeg | Duration: 10:51

By Adam Turteltaub Most companies are well-versed in handling discipline in the context of a compliance failure.  But when it comes to the other side of the coin – providing incentives for and reward good behavior – many struggle.  That’s a problem given that providing incentives is one of the elements of an effective compliance program. Greg Triguba, one of the faculty members at the SCCE Basic Compliance and Ethics Academies, argues that incentives may be more important than discipline.  People want to see what the company cares about in a positive way, and simply having incentives for good behavior, like having them for sales, says that this is what the company cares about. In this podcast, recorded at the SCCE Academy in Amsterdam, Greg addresses: * The importance of the compliance and ethics team having a seat at the table when the company is formulating its incentives program * The use of past failures to make the case for including incentives * Using the code of conduct as a basis for setting standards * Thinking beyond cash incentives Listen in.  You’ll find his thoughts on incentives rewarding.

 Jennifer Michael on the Latest Advisory Opinions and Directions from the Office of Counsel to the Inspector General at HHS [Podcast] | File Type: audio/mpeg | Duration: 4:49

By Adam Turteltaub At the 2018 Compliance Institute in Las Vegas, Jennifer Michael was good enough to sit down for a podcast.  Jennifer is the Chief, Industry Guidance Branch, Office of Counsel to the Inspector General at the Department of Health and Human Services. In this brief but fact-filled session she provides an overview of HHS Secretary Alex Azar’s key priorities:  combatting the opioid crisis, decreasing the cost of prescription drugs and increasing the accessibility and affordability of healthcare.  She also addresses: * Value-based payment arrangements and the push for value over volume * Having a strong process for identifying risk areas * Recent key advisory opinions 1701, 1703 and the rescission of advisory opinion 0604 Listen in to hear her perspective.

 Sally March on Organizational Ethics [Podcast] | File Type: audio/mpeg | Duration: 11:35

By Adam Turteltaub Not getting indicted is a very low bar to set and one that few, if any organizations, aspire to.  The vast majority want a company that operates lawfully and with an ethical culture.  But how do you get there? Sally March addresses the topic both in this podcast and when she teaches at the International SCCE Basic Compliance and Ethics Academies.  While at the Amsterdam Academy she took some time away to share her thoughts on organizational ethics. Join us as she discusses: * The growing expectation that the board should be responsible for creating an ethical culture, both because it is the right thing to do and because it leads to long-term business success * The importance of purpose and values for aligning workforces, no matter how dispersed they may be * The value of honest conversations about tough situations * Giving employees the opportunity to practice handling real-life scenarios, especially those that actually happened inside the organization * Soliciting feedback from employees as well as customers and suppliers * Making the business case internally for ethics

 Shawn Degroot on Communicating with Regulators [Podcast] | File Type: audio/mpeg | Duration: 10:42

By Adam Turteltaub Shawn DeGroot is not a big fan of waiting for the regulators to knock.  Instead, she advises compliance officers to reach out to regulators proactively, even before anything goes wrong.  By establishing a relationship with the regulator, she explains, you can build trust and have a resource when you need one. In this podcast she explains: * The benefits of having a relationship with the regulators * The need to remember that regulators are human and have a job to do * The importance of honesty and transparency * How you communicate can be especially important * What to do after a conversation that went wrong Listen in before you reach out to your regulator, whether for the first time or the umpteenth time.

 Tony Joy on Starting a Compliance Program [Podcast] | File Type: audio/mpeg | Duration: 11:31

By Adam Turteltaub Most companies don’t start out with a full-time compliance team.  Heck, most probably don’t even start with a part-time team.  But as an organization grows, eventually it is time to take the plunge. Tony Joy from Empower Audit Training & Consulting has worked with several companies who have made the transition from a parceled out compliance function to a dedicated one.  Not surprisingly, over the years he has found that sooner is better than later when it comes to starting a compliance program. That doesn’t mean, however, that you need to dive completely in.  He recommends a phased approach beginning with leadership buy-in.  Then it’s time to get some help, whether by forming an internal team, engaging outside consultants or turning to resources of outside groups like the SCCE. Listen in to this podcast as he provides some more helpful insights into the formation of a compliance program, as well as the missteps that can leave you farther behind than if you hadn’t started at all.

 HHS Inspector General Dan Levinson Shares the OIG’s Latest Perspectives [Podcast] | File Type: audio/mpeg | Duration: 14:08

By Adam Turteltaub On April 16, 2018 Daniel R. Levinson, the Inspector General at the Department of Health and Human Services once again returned to the stage for the HCCA Compliance Institute.  As he has done so many times and so well, he provided the Institute attendees the latest in thinking from the Office of Inspector General. This year he also sat down to record a podcast covering the highlights of his talk.  Whether you attended the session looking for a refresher or were unable to attend, you’ll find his insights invaluable. Listen in as he addresses key issues such as: * The importance of mastering data * Rethinking compliance and healthcare in terms of inputs, outputs and outcomes * The need to separate luck and risk: they are sides of the same coin, but you can’t rely on luck * Thinking of self-disclosure in terms of demonstrating an understanding of risk and a commitment to reduce it * Thinking about “dynamic compliance” to reflect a fast-changing healthcare environment * How the OIG’s office is responding to the opioid crises, and the role compliance can play The podcast is filled with invaluable information and takes less than fourteen minutes to listen to.  Still hungry for more?  Visit the OIG’s new Compliance Resources Portal

 Ruth Steinholtz on Ethical Business Practice and Regulation [Podcast] | File Type: audio/mpeg | Duration: 13:23

By Adam Turteltaub There is a lot written and discussed about ethical business practices.  Not so much, though, if anything, on ethical business regulation. Ruth Steinholtz of AreteWork wants to change that.  A former general counsel with a passion for ethics, she works with numerous companies on making their values real.   She is also the co-author of Ethical Business Practice and Regulation. In her book, and in this podcast, Ruth argues for the development of a new approach to regulation based on informed trust.  In a nutshell, companies with a strong commitment to ethical, compliant behavior, and, critically, with the evidence to prove it, should be able to bring their data to regulators.  The goal:  to lay a foundation of trust, which leads to a more constructive relationship both day to day, and when things go bad. Listen in for her thought-provoking ideas that are already being piloted with one government.

 David Barr on Live Compliance Training [Podcast] | File Type: audio/mpeg | Duration: 14:51

By Adam Turteltaub For years most of the focus on compliance training has been focused on web-based programs.  While there is much discussion about issues like the use of comedy in that training, or whether it should be a full hour or just a few minutes, there is relatively little talk about when is live training better?  And, how do we make live training work at its best? David Barr of the firm CampbellBarr is a specialist in live compliance training.  In this podcast he argues that live training is best when looking for a behavioral change.  For simply exchanging knowledge, web-based training is idea, but when looking at affecting human dynamics, live training can be a better choice because of the interaction with the instructor and with their peers in the room. He shares his advice for making live training work at its best including: * Avoiding training with so large a group that interaction is limited * Getting participants active and moving * Training in the language participants truly are comfortable in * Recognizing that the invitation to the training is the actual start of the learning process Listen in, if you can get past the irony of turning to web-based training to learn about the virtues of in-person learning.

 Carrie Penman on Hotline & Incident Benchmarking [Podcast] | File Type: audio/mpeg | Duration: 15:14

By Adam Turteltaub NAVEX Global recently released its 2018 Ethics & Compliance Hotline and Incident Management Benchmark Report, which leverages their database of helpline/hotline calls and other incident data.  In 2017 the company logged approximately 900,000 reports, which it used for this analysis. Compliance veteran Carrie Penman, who serves as the company’s Chief Compliance Officer and Senior Vice President, Advisory Services join us for a podcast in which she covers some of the highlights of the report.  Among the points discussed from the report: * A rise in the amount of reporting * Substantiation rates across reports as a whole, as well as the differences in rates between helpline calls and incidents reported through other means * The wide “normal” range for the number of reports in an organization * The substantiation rates of anonymous calls – it’s higher than many would think * The rise in harassment reports * The latest figures on retaliation Be sure to listen to the podcast.  A copy of the report can be found here on the NAVEX site.

 Tom Topolski and Eric Feldman on Making the Relationship with a Corporate Monitor Work [Podcast] | File Type: audio/mpeg | Duration: 10:43

By Adam Turteltaub Your organization has just reached a settlement with the government, and you have a corporate monitor.  Making that relationship work is essential not just for meeting the terms of a Deferred Prosecution Agreement.  It’s also essential for coming out of the monitorship with a much stronger compliance and ethics program. Eric Feldman of Affiliated Monitors, Inc. and Tom Topolski worked closely together when Tom’s previous employer had engaged Eric as a monitor.  In this podcast they discuss what made their relationship work, and the lessons every compliance professional can take away when in the middle of, or about to face, a monitorship. They explain: * Getting a monitor is not always negative; it’s also a good opportunity to adopt best practices * Red flags that a monitor would see as a symptom of a larger problem than expected * The importance of trust to the relationship * The monitor has to go in with a mindset that they are there to be collaborative, and that collaboration and independence are not mutually exclusive * The goal is to work together to build the best organization possible using compliance best practices

 Shahzad Khan on Creating a Code of Conduct App [Podcast] | File Type: audio/mpeg | Duration: 13:49

By Adam Turteltaub By any measure, Abu Dhabi-based Mubadala is a large company.  It operates in 30 different jurisdictions, has tens of thousands of employees and has over half a trillion dollars in assets. This posed a substantial challenge for the compliance team.  Printing and distributing codes of conducts in multiple languages was not easy, and likely did not serve their employee base well.  People don’t typically have their copy of the code of conduct with them out in the field when issues come up.  Plus, with most of the company’s employees aged 35 or less, a paper code didn’t really match the way they consumed information. The solution for Mubadala was to create an app for its code of conduct (just search “Mubadala” in your app store to download it). As Shahzad Khad, Mubadala’s Head of Compliance and Ethics explains, the company saw an app as a better way to connect and engage with stakeholders — employees, partners, suppliers and agents in field. In this podcast, he explains how the Mubadala compliance and ethics department: * Put together a development team focused on making the app work from a technical, content, business and usability perspective * Decided what to include in the app and what not to * Made the app interactive to increase learning and involvement Listen in also to learn about how they did it, the app’s impact on helpline calls, and how employees actually use it.

 Kent Swagler on Compliance in Public-Private Partnerships [Podcast] | File Type: audio/mpeg | Duration: 13:28

By Adam Turteltaub Public-private partnerships are formed jointly by government entities and the private sector.  Like joint ventures they have two organizational owners.  Also like joint ventures they share a risk:  each side thinks the other is in charge of compliance, while neither side actually is. Kent Swagler is there to makes sure that compliance is very much taken care of for Bi-State Development in St. Louis.  He serves as the organization’s Director, Compliance and Ethics. In this podcast he shares how to make compliance work in a public-private partnership.  The key, he explains, is to work together collaboratively to turn compliance into an asset for protecting mutual interest.  He shares numerous pieces of advice including: * The importance of demonstrating that this is not a duplication of effort * The need to gain the support of the employees by demonstrating you are listening * Providing metrics of success, even if it just progress * The value of a consolidated requirements spreadsheet Kent concludes by sharing how he was also able to demonstrate how much the compliance program saved the partnership. It’s good listening for anyone in a public-private partnership, or even a joint venture.

 Jim Shields on Humor in Compliance Training [Podcast] | File Type: audio/mpeg | Duration: 7:57

By Adam Turteltaub Over the last seventeen-plus years that I have worked in compliance, the dialogue about training has morphed in many ways.  There was the debate over whether you could make compliance training mandatory.  There was discussion about whether you could do something shorter than the typical 40 minutes to an hour course. Both issues have long-since been settled, but one issue still gets hotly discussed:  whether comedy can work in compliance training. Jim Shields of Twist & Shout Media, strongly disagrees.  He is one of the forces behind the compliance training series Tuesdays with Bernie (not weekend with Bernie, as I mistakenly said in the podcast). In our discussion, he argues that there is a place for humor in compliance.  He strongly believes that it can be very useful for gaining people’s attention and open a channel for communication, turning training from an interruption of the day to an interesting addition to it. Listen in and then decide whether humor can enhance your compliance communications.

 Tom Zeno on Data Mining and Compliance [Podcast] | File Type: audio/mpeg | Duration: 11:08

By Adam Turteltaub The term “data mining” is coming up a lot in the news and conversations today.  Perhaps surprisingly to some, it’s very relevant for compliance. Tom Zeno is no stranger to the topic.  He spent 25 years in the US Attorney’s Office in Washington, DC and is currently with the law firm of Squire Patton Boggs. In this podcast, he explains that data mining is an intelligent method to collect data patterns.  The government is already using data mining to identify terrorist financing, money laundering, and healthcare fraud.  It’s even being used to analyze opioid prescriptions. Most interesting of all, he explains, the Department of Justice in 2017 announced that it had opened a data mining unit in the fraud section. Listen in to this podcast as he discusses what the government is doing, how compliance professionals can start using the same techniques to identify potential problems, and the IT resources they will likely need.  


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