Seth Whitelaw on the History of Compliance [Podcast]

04/15/21 • 11 min

Post By: Adam Turteltaub As we move ever forward in compliance, sometimes it’s good to stop, look back, and understand the history of compliance programs. Seth Whitelaw, President and CEO of Whitelaw Compliance Group knows the roots of compliance programs well. He covers them in this podcast an in the chapter “Healthcare Compliance Programs: From Murky Beginnings to Established Expectation” in the new HCCA Complete Healthcare Compliance Manual. In our conversation, we start at the beginning for compliance with the birth of the Defense Industry Initiative (DII), which was formed in the wake of the procurement scandals of the 1980s. Today’s commonplace tools such as codes of conducts and helplines can all trace their lineage back to the DII. Compliance has evolved considerably over the years, and yet resistance remains. As Seth points out some resist because compliance is perceived as being too expensive to do well. Others resist because they think they are compliant and ethical. Anyone in the profession knows that even the best companies still face challenges sooner or later. So, too, does the government. Through the years the government has helped make that point and strengthened the case for investing in compliance. The Sentencing Guidelines laid out an outline for compliance that does not have to be expensive to be effective. The Office of Inspector General at Health and Human Services has fleshed out the Guidelines for healthcare compliance programs, giving much needed direction for this industry. The evaluation criteria from the US Department of Justice has pushed compliance teams to ask fundamental questions of compliance programs and to see if they truly work. Looking to the future, provocatively Seth sees two potential trends. First is the shift of compliance to a more independent function, potentially one that is outside of the company. The second will be increased used of data, combined with Artificial Intelligence, to automate many of the manual compliance tasks. Listen in to learn more about where compliance was, where it is now, and where it may be going. And be sure to check out the new Complete Healthcare Compliance Manual.

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Matt Silverman on Export Compliance [Podcast]

Post By: Adam Turteltaub Few areas of compliance change as rapidly as export controls. People, companies and even countries move on and off the sanctions list. Adding to the complexity, as Matt Silverman, Senior Manager, Compliance & Export Control at ASML explains, is the challenge that an export control violation isn’t about simply shipping goods to someone or somewhere you shouldn’t. Even a conversation, plant tour or the wrong hire can be a violation. So, how do you stay on top of this issue? For one, you need a good source of data on who and what entities are on the sanctions list. There are multiple sources that need to be checked regularly includes the Department of Commerce Bureau of Industry and Security (BIS) and Department of State. Plus you will likely need a good vendor with a database of prohibited persons, along with subscriptions to several email lists. And, it doesn’t hurt, as he has done, to join a network of export compliance pros who share the latest information. Second, it’s critical to work with the business unit to help them understand both the complexities and the need to proceed with caution. At the same time the compliance team needs to stay involved and utilize creative problem-solving skills. One other discipline, he explains, has to be involved in managing this risk: HR. Hiring a non-US person to work in the company in a sensitive position may be a deemed export and a violation of law. At the same time, though, the company has to be mindful of anti-discrimination laws. Listen in to learn more about how to manage this complex, ever-evolving risk area.

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Maria Lancri on Further Understanding the AFA [Podcast]

Post By: Adam Turteltaub The Agencie Francaise Anticorruption, popularly known as the AFA, recently recorded a podcast with us to give insights into its work. Maria Lancri, a partner at the Paris law firm of Squair joins us in this podcast to provide further light on the activities of the AFA. As she explains the recently released guidelines reflect both the AFA’s learning and a great deal of input from the private sector. They represent a substantial evolution from the first guidelines, moving from a more theoretical document to one significantly more practical in its approach. The elements of a compliance program have been organized into three pillars: Commitment of senior management Using risk mapping Management of the identified risks Based on her reading of the guidelines and AFA actions there are several key takeaways that she shares. First is the importance of commitment by senior management. There must be involvement in the program, the board must be overseeing it, and the budget must be meaningful. Second, the AFA is willing to recognize that a program can be deemed sufficient and worthy of recognition, even if it does not follow the guidelines precisely. Third, multiple levels of controls are essentials. The AFA even provides a list of potential controls for an organization to consider. Listen in to learn more of her insights into the expectations and actions of the AFA.