9 AUGUST - 20229 July - 2022Leaders must endeavor to ensure that all those who report to them have sufficient information to comply with the law, regulations, and policies as well as the resources to resolve ethical dilemmasare on the same page, it is a good idea to involve outside counsel in any investigation involving a senior leader. It is not unheard of for a board member to be the subject of a compliance investigation. Independent outside counsel will be imperative in such a situation.Last, but not least, the Compliance Officer should insist on certain protections for their position. These protections can be incorporated in an employment contract or enforced by the corporate bylaws and should prohibit any employment actions from being taken against the Compliance Officer without board approval. This will protect the independence of the position and is especially critical if the CEO is the bad actor or attempts to subvert the compliance officer's efforts.Even the most effective compliance program cannot stop bad actors. The U.S. Federal Sentencing Guidelines for Organizations list seven (7) fundamental elements of an effective compliance program:1) Implementing written policies, procedures, and standards of conduct2) Designating a compliance officer and a compliance committee3) Conductive effective education and training4) Developing effective lines of communication5) Conducting internal monitoring and auditing6) Enforcing standards through well-publicized disciplinary guidelines7) Responding promptly to detected offenses and undertaking corrective action.Many factors contribute to the success and effectiveness of a healthcare compliance program, but few are as important and impactful as tone at the top. Tone at the top generally refers to the level of commitment by senior leaders and the board to an ethical, compliant, and transparent organization. Although tone at the top is not specifically stated as one of the fundamental elements, without it, the elements are much less effective. Leaders must endeavor to ensure that all those who report to them have sufficient information to comply with the law, regulations, and policies as well as the resources to resolve ethical dilemmas. They must help create a culture that promotes the highest standards of ethics and compliance and encourage everyone to raise concerns when they arise. Ethical and compliant behavior must never be compromised in the pursuit of business objectives and no one, regardless of their position within the organization should be "above the law".
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