Compliance Perspectives

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Conducting an internal investigation is never an easy task.  Doing so with the President, Attorney General, Congress, the press and public all watching is even more difficult. Michael Horowitz lives that reality each day.  He has served as the Inspector General at the US Department of Justice since April 2012.  He also serves as Chair of the Council of the Inspectors General on Integrity and Efficiency, an organization comprised of all 73 federal Inspectors General. The Inspectors General community is currently celebrating its 40th anniversary and it posts the results of its investigations online. During his time as the IG at the Department of Justice, Michael has led a myriad of investigations and at two which have grabbed headlines:  Fast and Furious as well as the FBI’s handling of the Clinton email investigation. While the focus of those investigations is far removed from what most compliance professionals face, the process of the investigations would likely look familiar to any compliance officer.  That’s something Michael knows first hand, having conducted several investigations as outside counsel for multinational companies. In a two-part podcast, we gain Michael’s deep and extraordinary insights into how to conduct an investigation fairly and thoroughly, whether you are in the media spotlight, or toiling away quietly in an organization. In part one he discusses: * The history of the IG’s office: its history, role, and responsibilities * How to set objectives for the investigation * How to begin the investigation * The challenges of staying on task and avoiding mission creep * Collecting documentary evidence * Conducting interviews Listen in to gain some of his wisdom.  One warning, though, before you do.  If you are listening to this podcast hoping for fresh insights into the Clinton email investigation or any other of the IG’s  investigations, you will be disappointed.  Our goal is to take a look at the investigations he has led from the perspective of a compliance officer and to benefit from his deep experience in conducting large scale, high profile investigations.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org With a recently revised and much abbreviated Code of Business Conduct, the compliance department at AT&T saw an opportunity. In the past, explained Susan Bounds, who is Director, Compliance at the company, the model had been to train everyone, everywhere every year with a great deal of web-based training.  There were individual courses on every topic, which made for a lot of clicking through web pages for employees.  The company realized it was hard to maintain employee interest, and it was time to do something different. As Susan reveals in the podcast, they decided to shake things up to reflect the updated Code but also a much more mobile workforce. Their strategy was to develop new training that was more of an ongoing tool, not something to click through once and then put away.  The new training had to be interactive, more engaging, and more accessible for their workers. They also looked beyond the web, adding live training and traveling to fifteen different locations to offer it. Listen in to learn what they did, how it’s working and how the new training better enabled them to track learning and strengthen their compliance program. And, to hear more, plan on attending her session at the 2018 Compliance & Ethics Institute.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org The relationship between the board of directors and the compliance team is both an important and still-developing one.  Approximately half of compliance departments report directly to the board, a recent survey of the Society of Corporate Compliance and Ethics and Health Care Compliance Association revealed. Having a strong relationship is increasingly important, according to Gabe Imperato, a past president of the SCCE and HCCA, who serves as the managing partner in the Fort Lauderdale office of the law firm Nelson Mullins Broad & Cassell.  The US government has grown more specific about requirements for boards when it comes to oversight of compliance programs.  There is direction in the US Sentencing Guidelines and the DOJ Fraud Section’s compliance program evaluation questions.  There is also strong direction in settlements, frequently calling for greater board involvement in compliance. In this podcast Gabe discusses what compliance officers should be reporting to the board, what they should be asking from the board, and how to get a board that still doesn’t get it to understand the importance of compliance. Listen in to learn more, and start thinking about whether you should bring a member of your board to the upcoming SCCE Board Audit Committee Compliance Conference.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Kim Brandt is a familiar voice and face for the compliance community, having worked at both CMS and in the Senate for well over a decade.  Currently she serves as the Principal Deputy Administrator for Policy and Operations at the Centers for Medicare & Medicaid Services (CMS). In this podcast she shares the latest on what CMS is doing and what compliance professionals need to consider. Listen in as she shares: * The emphasis on patients over paperwork * CMS’s efforts to reduce the regularly burden, which has already led to a 20% decrease in new manual pages * New, simplified documentation requirements * Revised proof of delivery requirements * How CMS is meeting the opioid epidemic * A focus on targeted probes and education * A new emphasis on outreach to and hearing from the provider community, including an RFI on Stark Law.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Compliance can’t and doesn’t go it alone in an organization, even though at times it can be a very lonely job.  Legal, audit and HR are all essential partners. Amii Barnard-Bahn, an executive coach and leadership consultant knows this well from a career which has included extensive work in both HR and compliance.  As she explains in this Compliance Perspectives podcast, one of the challenges in the relationship between compliance and HR is that the two sides often don’t appreciate how alike they are.  They share many of the same challenges in gaining sufficient resources and getting a seat at the table. At the same time, there are substantial differences between the two.  Compliance is just a part of the areas that HR focuses on, and the two departments have overlapping but different mandates.  In addition, often the personalities of compliance and HR personnel are different, she believes. To help overcome the differences and work together more closely, each has to have empathy for the other and build trust.  That means compliance should invest, for example, in taking the time to understand HR, much like they take the time to learn the business. To learn more about how to build a successful relationship with HR, take a few moments to listen to Amii’s thoughts.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Much of the attention paid to the European General Data Protection Regulation (GDPR) and its impact for online marketing has been focused on safeguarding data, disclosing cookies and email communications with customers.  But, that’s not all there is to it. As David Wright, the Director of the UK Safer Internet Center explains, the GDPR has a number of specific provisions that affect interactions between businesses and children.  And while the GDPR provides pan-European directives, it leaves room for state by state variations.  That makes living up to its requirements a bit more challenging for compliance teams. Making matters more complex, the GDPR isn’t the only new law to worry about.  The UK government is likely to introduce additional legislation designed to safeguard children. To better understand the challenge and what the compliance team needs to think about for everything from age verification to terms and conditions, spend some time listening to this podcast.  Then, if you’re interested in downloading the UK government’s guidance on children’s safety online that David refers to in the podcast, simply follow this link.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org SCCE International Academy faculty member Louis Perold is based in South Africa, where he is a compliance officer for Jabil.  From there he has a unique perspective on the compliance challenges facing his home country and all of Africa. While the two of us were in Singapore for the Academy there, Louis took time away to share what is going on across the continent.  Listen in as he discusses: * The rising importance and challenges of privacy regimes * Ongoing issues in anti-corruption * The difficulties of implementing First World requirements in Third World environments * Working in an environment of constant change * The need to understand the local political environment, laws and customs

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Louis Perold of Jabil is a member of the faculty for the SCCE International Basic Compliance and Ethics Academies.  One of the topics he addresses there is compliance infrastructure.  It’s a nuts and bolts session that lays the foundation for compliance work. On this podcast, Louis takes us through the steps for creating the right infrastructure (hint:  start with the seven elements and then secure board buy in).  From there he explains what to look for in your staff as well as skills you can “borrow” from other departments.  And, finally, he addresses what to think about as your program grows, managing costs, and how you can better align your compliance program with the business, including keeping the support of leadership. Listen in to ensure your compliance program is resting on the right foundation.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org When assessing global compliance risks, anti-corruption issues tend to grab the headlines, but they are far from the only concern.  Trade sanctions, which are risk with complexity can be an enormous challenge for organizations. Kerry Contini, a partner in the Washington, DC office of the firm Baker McKenzie explains in this podcast that there are three kinds of sanctions:  embargoes, targeted, and restricted parties.  Embargoes are the simplest to understand since entire countries, such as Cuba and North Korea, are included.  But, beyond that, it gets more complicated, requiring companies to know who the individuals are in a deal that they are doing. If a Specially Designated National (SDN) owns more than 50% of a company, then it could be illegal for you to sell to it.  That’s a challenge since it’s not easy to get that ownership information, given opaque business structures, especially in a country like Russia. Likewise, a sale may not be permissible if the destination of the goods sold is a place like Crimea, or if the goods are intended for certain energy projects. Listen in to the podcast to better understand the pitfalls of trade sanctions, and how you can better manage this dangerous compliance risk area.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Most everything related to healthcare compliance quickly grows complex, including physician payments.  While it would seem simple, each payment brings waves of complexity, with some organizations having more than a dozen steps in the process. As Ludi President Gail Peace explains, it’s not surprising.  Stark Law and Anti-Kickback are complex, and there has been an uptick in individual prosecutions since the Yates memo. It behooves organizations, she argues, to start thinking proactively and look at their processes, structure and accountability when it comes to physician payments.  This includes: * Looking at Lean Six Sigma to streamline efforts and remove unnecessary costs * Considering a physician spend management department * Recognizing that the physician contract is but the start of the process Listen in to learn more about how to manage the complexity of physician payments.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Garrett Reisman has spent 107 days in space.  He is the former Director of Space Flight Operations at SpaceX and is currently a Special Advisor there.  He is also a professor of engineering at USC. What does that have to do with compliance?  Surprisingly a great deal.  In this podcast, Garrett shows how three of NASA’s catastrophe’s – Apollo 1, the Challenger and Columbia – had several factors in common, and how similar they are to risks every compliance team may someday face. Those risks include: * The normalization of deviance: something that shouldn’t happen did over and over again, without negative consequences over a long period of time.  After getting away with it for a long time, it becomes normal, until something very bad happens. * Schedule pressure: while well-intentioned, it can lead to decisions that have disastrous consequences. * Discouraging dissent: by stifling criticism and telegraphing what management wanted to hear, warnings are unheeded and whistleblowers are hesitant to come forward Listen in for some fascinating insights into spaceflight, its risk, and what compliance teams can learn from them.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Everyone is talking about Artificial Intelligence (AI) these days, but in some ways, it’s a lot like blockchain and Bitcoin. It’s often talked about more than it is understood. Amber Mac is one of the people who understand what AI is.  Fortunately, she was willing to share her expertise with us via a podcast and will also be speaking on the topic at the 2018 Compliance and Ethics Institute. Take the time to listen to the podcast and you’ll learn: * What exactly AI is * How businesses are already using AI * The ethical implications and compliance risks of AI * The importance of setting goals for its use * The future of AI for business, and the compliance challenges that go along with it It’s a fascinating listen and a good way to improve your own intelligence when it comes to artificial intelligence.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org A compliance job is rarely easy.  And, sometimes, as was discussed in a recent podcast, you may find yourself having to leave a job.  But the chances of having a good, successful career in compliance are much better, if you spend some time planning it out. Kristy Grant-Hart of Spark Compliance Consulting has enjoyed a successful compliance career and in this podcast shares her advice on how best to enjoy one yourself. A successful compliance career, she explains, comes from the determining what you want to do, whether it’s to stay where you are, rise and grow or change industries.  Once you have a goal in mind, it’s time to get busy.  Even spending 10 minutes a month learning about an industry you want to potentially join, she argues, can be enormously helpful. Listen in as she explains the value of planning, the importance of raising your profile, what to look for when interviewing and how to negotiate a job offer.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Yoga and compliance have seemed to go together a lot lately.  The yoga classes at the Institutes are very full, and Scott Eblin, who keynoted at the Compliance Institute and will be speaking at the upcoming Compliance and Ethics Institute, both spoke about it and gave a startling demonstration as a part of his talk. Katerina Tapas, who is Ethics, Senior Consultant at Allstate, is convinced that compliance and ethics professionals could learn a lot from yoga, and not just how to be flexible.  In this podcast she argues that yoga offers lessons in how to be more mindful, deliberate in our thinking, more attuned to others, and more attentive. Listen in for this unusual Compliance Perspectives podcast and judge for yourself.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Imagine sealing yourself in a bubble in which the only ideas inside are your own, and nothing you disagree with can enter it.  In the abstract it sounds kind of great.  In practice and in business, it can be very dangerous. Gael O’Brien has given the risks of self-seal a lot of thought.  She is President of Strategic Opportunities Group, a long-time executive coach and leadership expert.  Her career includes writing The Ethics Coach Column for Entrepreneur Magazine and time at PWC and Mitsubishi Motors, and we even overlapped for a few months at one job, more than decade ago. In this podcast she warns of the risks of self-seal, how executives can fall into the trap, how to avoid it, and how to extricate yourself from it.  It’s a good listen and a good reminder of the value of hearing many voices, not just our own.