On a daily basis, compliance officers are asked to find solutions to a variety of operational requirements. For example, consider a regulatory change requiring the organization to adjust an operational process in order to bill for a particular service. In this case, the solution must be compliant and operational-friendly, but who’s responsible for making that happen? 

While supporting operations in finding compliant solutions is part of our role, becoming the de facto fixer of what constitutes “operationally friendly” is beyond our scope. That piece must be owned by operations.  

The challenge then becomes how to get operational leaders to take ownership for resolving their own compliance challenges. 

Five Strategies to Help Operational Leaders Take Responsibility 

These five strategies will help your operational leaders take responsibility for their particular compliance issues, while preserving your role as a trusted advisor. 

#1 Use a “Coach” Mindset, Not a “Gotcha” One 

If you want your leaders to take more ownership of their own compliance challenges, then position yourself as a coach who helps them think through problems and find solutions—not as a person who catches mistakes. 

To pull this off, you need to be intentional about the types of questions you ask. More specifically, you want to ask curiosity-based questions, not judgmental ones. Here are some examples of guiding questions you can ask as you’re helping them find a solution:  

• What challenges are you facing right now? 
• Is there a part of this new regulatory change that feels uncertain to you? 
• What steps do you think you need to take to address this issue? 
• What’s one small step you could take today to move forward? 
• What options or solutions have you considered? 

Know When to Step In and When Not To 

Having a coach mindset also means knowing when to step in—and when not to. For example, your role is to escalate compliance risk when appropriate (e.g. a deadline looks like it’s going to get missed), but it’s not to do the operational work for them (e.g., following up with a subject matter expert for their input).  

If a leader doesn’t take action despite your support, then resist the urge to fix it yourself. Instead, document it and elevate appropriately within your organizational structure to bring about resolution. 

Having a coach mindset encourages operational leaders to own their compliance challenges because when leaders feel heard and supported, they’re more motivated and invested in their work to find a solution. Also, by supporting those closest to the work in addressing issues, it leads to more practical (and often) faster solutions. 

#2 Frame Risk as Operational Risk, Not a Compliance Burden 

In my experience, operational leaders are more likely to engage when compliance is framed in business terms and not compliance jargon. For example, instead of reading or citing regulations, explain the operational impact of the requirement to them. Talk about things like billing delays, lost revenue, patient safety, or reputational damage.  

Additional topics to consider when framing risk as operational risk include: 

• Patient care 
• Staffing 
• Operational costs 
• Budget variances 
• Workflow 

Framing risk as operational and not as a compliance burden helps promote ownership in solving compliance challenges for a couple of reasons. First, this approach speaks their language. When you frame risk in terms that operations understand, they’re more likely to grasp the urgency and relevance of the ask.  

Second, it makes the problem theirs—not yours. If the risk is shown to impact their budget, performance metrics, or reputation, they’re more likely to feel responsible for addressing it.  

Finally, presenting risk in this way increases engagement and accountability. When compliance risks are reframed as disruptions to their performance goals—employees naturally step into problem-solving mode and take accountability.   

 
#3 Stay Curious, Not Critical 

In my experience, the most effective way to approach communications with operational leaders when it comes to compliance is one rooted in a curious mindset, not a judgmental one.  

For example, let’s assume a leader did not follow through on something they said they would do. A judgmental way to respond would be: “You said you would do this, but clearly that meant nothing.” On the other hand, if you said, “Tell me what challenges you’re facing in moving this forward?” that comes across less adversarial, and more likely to produce a collaborative discussion.   

To help compare and contrast the two approaches, consider these additional examples: 

Taking a curiosity-based approach helps support leaders in solving their own compliance challenges because it builds psychological safety by inviting open dialogue and new perspectives. In my experience, operational leaders are more likely to think creatively when they don’t feel scrutinized.  

#4 Make It Easy for Leaders to Act 

Like compliance officers, operational leaders face constant pressure, decision fatigue, and competing priorities—all of which leads to cognitive overload. Relatedly, if the problem-solving process feels overly complex or burdensome, leaders are likely to disengage or defer responsibility.  

To that end, making compliance easier for your leaders doesn’t mean dumbing it down—it means removing friction. (YouCompli Software is designed for this.) 

When you need support, free up mental bandwidth demands by simplifying the work. Clearly communicating expectations or removing unnecessary steps frees up their mental bandwidth. In my experience, when leaders feel less overwhelmed, they are more likely to engage with issues and take initiative.  

So how can you make the work easier for them? Here are some examples that may help: 

• Explain compliance language in terms they can understand. 
• Take the initiative to set up and facilitate root cause analysis discussions. 
• Coordinate and facilitate stakeholder calls to discuss solutions. 
• If they’re feeling stuck, suggest a series of smaller goals to achieve the work. 
• Provide templates, decision trees, checklists, or other tools to make compliance easier. 
• Offer potential solutions (but as pointed out above, don’t take on the work involved.) 

Making the work easier for your operational leaders encourages them to solve their own compliance challenges because it makes the process more approachable and less threatening. That, in turn, increases their willingness to participate and take ownership. When leaders feel less overwhelmed, they are more likely to engage with issues and take initiative.  

#5 Recognize and Reward Ownership 

Finally, another way to foster operational ownership is to call out your leaders (publicly or privately)—in a good way of course—when they take the initiative to solve their own compliance issues.  

For example, let’s assume an audit was conducted in a clinical department related to medical necessity documentation. As part of a corrective action plan, monitoring is needed to ensure the documentation is in the patient’s medical record. If the department director proactively develops a tool for monitoring and vets it with you, then in response, you might say:  

“I really appreciate how you took ownership to proactively develop this tool. That kind of initiative supports us in maintaining a strong culture of compliance in the organization.” 

If leaders only get attention when their problems are escalated to you, they learn to seek approval through dependence. Recognizing effective problem-solving flips the script. It signals that ownership and resolution—not escalation—are what gets rewarded. 

Here are some ways you can recognize and reward your leaders:  

• An unexpected handwritten thank you note directly to the leader, or better yet, the leader’s supervisor  
• One-on-one verbal recognition 
• A note sent from the Chief Compliance Officer (if that’s not you) to the leader 
• Public recognition in a department or team meeting 
• Nomination for a leadership award 
• Feature in a compliance or organizational newsletter 

Recognizing and rewarding great work is helpful for motivating leaders to solve their own compliance challenges. It creates a positive feedback loop where those behaviors become self-reinforcing and then contagious to others on the team. 

Compliance work is complex, and compliance work requires human interaction. That is especially true when it comes to getting your operational leaders to find solutions to their own compliance challenges.  

By following the strategies outlined above, you empower operational leaders to manage their own compliance risks. Just keep in mind that it is a process that takes time, but in the long run, an empowering leadership style will improve buy-in to your program and create a more cohesive culture of compliance.

Download a free PDF Tip Sheet Version of this blog below.

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Take Free RL3M Assessment (Regulatory Lifecycle Management Maturity Model)

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Download our Latest Whitepaper

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Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management  

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27 Ungated Resources for Compliance Leaders and Teams 

Compliance professionals sometimes feel undervalued in comparison to other functions in their organization. They think leaders and colleagues don’t really understand what they do.  

These resources will help. Packed with ideas, tips and recommendations, these pieces were written by professionals with many years of compliance experience. 

You can quickly skim for articles that relate to your needs and interests. Bookmark this page as a reference for future questions or projects.

Visit Now

---

• One Compliance Pro’s Regulatory Change Management Process    by Amy Laufmann, MBA
• Five ways to show how healthcare Compliance delivers value by Jerry Shafran
• Revenue Cycle Management Compliance: Ensuring… by Maya Turner, CPMA, CPCO, CFPC, CPC, CPC-I, AAPC
• 12 key metrics for compliance officers looking to… by Kenneth Zeko, JD, CHC
• Transforming Compliance to a Department of Yes  by Lisa Herota, RHIA, CHC, CHPS, CCS Compliance & Privacy Officer
• Three Strategies to Align Compliance with Revenue Cycle  by CJ Wolf, MD
• How the Three Lines Model Strengthens Healthcare Compliance by Kenneth Zeko, JD, CHC
• Mitigating Conflicts of Interest that Drive Profit… by Susan Thomas
• Navigating Compliance Responsibility: A Foundation… by Amy Laufmann, MBA
• New Regulation– Now What? Step-by-Step Guide to… by Amy Laufmann, MBA

The post 5 Strategies for Compliance Accountability Across the Organization  first appeared on YouCompli.

Assertive Communication Skills for Compliance Officers | 8 Steps 

A career in healthcare compliance can be both exciting and overwhelming. You’re tasked with ensuring regulations are followed; risks are managed, and ethical standards are upheld—all while working with clinical and administrative leaders who may have vastly different priorities. 

When it comes to the compliance program, effective communication is essential for building strong relationships, resolving conflicts and gaining buy-in. One of the most valuable interpersonal tools to help you achieve these goals is assertive communication. It allows you to express your thoughts, needs and boundaries in a clear and respectful manner.  

But here’s the challenge—it’s easy to confuse being assertive with being aggressive.  

Understanding the difference between these styles can help you avoid unnecessary conflict and communicate more effectively when it comes to compliance-related needs.  

In this article, I cover: 

• Key differences between the two communication styles 
• How assertive communication benefits the compliance program 
• Strategies to help you master this skillset 

What Is Assertive Communication? 

Assertiveness is a positive form of communication that uses a balanced approach. You express your opinion about something that you want (which is placing value in yourself), while respecting the opinions of the other people involved (which is placing value in others). 

For example, let’s assume your audit plan includes a review of medical necessity documentation for your cardiac rehab program. Let’s further assume the program’s director insists her unit doesn’t need to complete the audit, nor does she have available staff to complete the work.  

Assertive communication might look like you saying:  

“I understand your team is extremely busy right now. However, cardiac rehab billing has been the subject of a number of government settlements lately, and we want to make sure our practices can withstand a government investigation or audit. What if we work together to find the least disruptive approach for your team to complete the work?” 

This response is assertive because it acknowledges the program director’s concerns while communicating a compliance need.  

An assertive approach has several benefits:  

• First, it shows respect for yourself, which can help build confidence and self-esteem as you are expressing your needs in a positive manner.  
• Second, it’s an effective way to resolve conflict because you place equal value on everyone’s opinions.  
• Finally, it strengthens the relationship because you demonstrate respect for others.  

What Is Aggressive Communication? 

Aggressiveness is a negative form of communication. When you communicate aggressively, you offset the above-noted balance by sending a message to others that your opinion has a higher value than their opinion. It tends to be forceful, disrespectful, and often disregards the needs or perspectives of others.  

Let’s circle back to the scenario involving the cardiac rehab audit for a moment. The following might look like aggressive communication when responding back to the program director:  

“This is completely unacceptable. If your team doesn’t care about complying with the regulations, I’ll escalate this to your supervisor and let them know you’re putting the organization at risk.” 

Yikes.  

Such a response is aggressive because it uses blame, sarcasm, threats and an authoritarian tone.  

An aggressive approach can create several risks for the compliance program.  

• While it may produce short-term results, it damages trust and long-term relationships, reducing your chances of buy-in.  
• Taking such an approach demonstrates an intent to shut down dialogue at a time when you need it most for your compliance program activities.  
• It creates an environment where operational leaders feel reluctant to seek your advice. This can result in little messes becoming big ones because leaders are not reaching out to you proactively.  

Key Differences between Aggressive and Assertive Communication 

Generally speaking, assertive communication focuses on standing up for yourself. Aggressive communication focuses on attacking others. To help distinguish the difference, consider the following comparison and ask yourself—which feels more respectful?  

3 Ways Assertive Communication Drives Compliance Success 

Healthcare compliance officers often deal with sensitive topics like billing errors, patient privacy breaches or improper medical record documentation, all of which, by their very nature, can be emotionally charged situations. This makes good communication more important than ever. 

Assertive communication helps when it comes to carrying out sensitive compliance work for three main reasons.  

1. It nurtures your professional relationships.  

Assertive individuals communicate openly (i.e., sharing the good and bad news), which leads to trust and mutual respect while preventing resentment and misunderstandings. Open communication also fosters collaboration, productivity and teamwork. These traits are important when it comes to things like finding a compliant solution to a business proposal or carrying out corrective action plans. 

2. It improves self-confidence and decision-making.  

When individuals advocate for their needs and opinions, they feel more empowered. This confidence leads to better decision-making and problem-solving skills. Assertive communicators are willing to ask questions, clarify expectations, and negotiate effectively. This benefits work such as investigations, internal consulting and auditing.  

3. It encourages respect and professionalism.  

Assertive communication promotes a culture of mutual respect. When you communicate in a way that sets clear expectations and provides constructive feedback, you create an environment where ideas are valued.  

When it comes to things like implementing a new operational process to meet a requirement, or handling a government payer refund, compliance officers must communicate expectations, provide guidance and handle conflicts professionally. These are characteristics of an assertive style that will improve your results. 

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Take Free RL3M Assessment (Regulatory Lifecycle Management Maturity Model)

RL3M Assessment

Download our Latest Whitepaper

Sign-up for our Weekly Newsletter

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management  

The post Aggressive vs Assertive Communication: What New Healthcare Compliance Officers Need to Know  first appeared on YouCompli.

As compliance officers, we spend a lot of time focused on how others perform their jobs. However, being self-aware of how we do our own work is paramount for an effective compliance program.  

Incorporating self-awareness into your healthcare compliance program can significantly enhance its effectiveness. For example, it improves your ability to empathize with the challenges operational leaders face when adjusting a process to meet a regulatory requirement. 

To help build awareness, explore these 18 actionable tips for compliance officers. 

18 Self-Awareness Tips for Effective Compliance Programs 

Compliance Policies 

Be aware of how your policies are viewed. Are my policies easy to read and understand? Do impacted staff follow the policies in practice? If not, why? Are they cumbersome to navigate from the end user’s perspective?  

Tips for Better Compliance Awareness 

1 – Clarity and Usability: Be aware of how clear your policies are. Ensure that the practices are easy to read and understand. Be intentional about avoiding jargon and using plain language. Also, engaging operational leaders who must live with the policies helps ensure the interpretation is clear.  

2 – Real-World Application: Regularly assess whether operational staff are following policies in practice. 

3 – User Perspective: Solicit feedback from end users to identify any challenges they experience when navigating policies. Be open to making necessary adjustments. 

Compliance Officer Visibility 

Self-aware compliance professionals must ask themselves questions like these: Am I physically present in my organization such that people know I exist, or am I hiding behind my keyboard? Am I getting to know others in the organization? 

Tips for Better Compliance Awareness 

4 – Physical Presence: Are you visible within your organization? Do you attend non-compliance related meetings, participate in organizational events, and engage with staff to foster relationships? 

5 – Build Connections: Take the time to get to know others in the organization. This helps develop rapport, which builds stronger relationships that lead to establishing trust and improving your compliance culture. 

Compliance Committee Engagement 

With greater awareness comes greater engagement with colleagues. Use these engagement tips to raise your profile.  

Tips for Better Compliance Awareness 

6 – Awareness: Ensure that organizational leaders who are not on the committee are aware of the group, its members, and the role it serves. 

7 – Role Clarity: Clarify the role of the compliance committee to both leaders and members. You can do this by sharing visual aids or other documentation that outlines responsibilities. 

8 – Obligations Training: Regularly review and communicate the obligations of committee members to strengthen understanding and foster accountability. 

Education and Training 

Have I done enough training with our staff about a particular requirement? Am I clear with my audience about what I expect of them? Am I using examples that relate to their work when illustrating how the requirement applies to their job role? Understand your role in making sure this important compliance step isn’t neglected. 

Tips for Better Compliance Awareness 

9 – Relevance: Be mindful to tailor training to include examples that directly relate to your audience’s job roles. For example, when talking with physicians about safeguarding patient information under HIPAA, a common scenario is determining who can be involved in a discussion about a patient’s treatment plan.  

10 – Expectation Setting: Communicate what you expect from staff and providers during training sessions. Make these expectations clear and achievable by answering these questions, “What actions do I need my audience to take?” and “What do I need them to know after I have trained them?”  

Open Lines of Communication 

Have I communicated with my audience about how to report issues? Do the staff feel comfortable reporting issues? If not, why? Have I educated them about how the hotline process works? The self-aware compliance leader cares about the answers and uses these tips to continually emphasize communication. 

Tips for Better Compliance Awareness 

11 – Reporting Mechanisms: Clearly communicate the process for reporting issues and concerns. You can accomplish this by explaining the process as if you were reporting an issue and asking yourself “What information would I want to know?” Also, it helps to use multiple channels (e.g., email, intranet) for accessibility. 

12 – Comfort and Anonymity: Assess whether staff feel comfortable reporting issues. You can hold a random sample of individual discussions or conduct a survey. If they don’t feel comfortable, find out why, and take specific steps to overcome those concerns.  

13 – Hotline Awareness: Educate employees about how the hotline process works and reassure them on confidentiality measures in place and why they are important (i.e. to ensure staff can trust the process). 

Investigations 

The self-aware compliance leader constantly asks themselves about their performance, including investigations. Has my investigation been thoroughly conducted? Can I defend my work product to a government agency if we’re investigated or audited? Use this tip for more confident investigations. 

Tips for Better Compliance Awareness 

14 – Thoroughness: Ensure that investigations are comprehensive and well-documented by continually assuming you will need to defend your work in a courtroom or to a government regulator. Since conclusions of compliance investigations are based on fact, keep detailed records to support your findings. 

Program Auditing 

Ask yourself these questions to get a sense of your awareness around program auditing. Am I communicating with those I’m auditing? Do they understand my expectations? Do I understand how they are performing the work being audited? 

Tips for Better Compliance Awareness 

15 – Communication: Maintain open communication with those being audited by clearly conveying your expectations and the purpose of the audit. 

16 – Understand the work: Engage with operational staff during audits to make sure you understand how they are performing the work and any challenges they face versus making assumptions.  

Compliance Program Monitoring 

Sometimes compliance awareness is related to risk. Are you aware if the need to monitor an operational activity is connected to a medium-to high level of risk, or does it just seem like a good idea? An example would be how a department documents a service provided to a Medicare patient, so it is compliant with Medicare billing guidelines. Also has your audience been given a reasonable amount of training about requirements before you monitor their work? 

Tips for Better Compliance Awareness 

17 – Risk Assessment: Connect the need for monitoring to a defined level of risk instead of arbitrary reasons. Use risk assessments to guide your monitoring activities. 

18 – Training Prior to Monitoring: Be mindful to provide necessary training to your audience regarding requirements before implementing any monitoring practices. Ensure they understand what will be monitored and why. 

Ready for Better Compliance Awareness? 

By prioritizing self-awareness and incorporating these tips, compliance officers can create a more effective, responsive regulatory program within their healthcare organizations.  

Reach out to YouCompli if you’d like some ideas to guide your compliance strategy. 

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Take Free RL3M Assessment (Regulatory Lifecycle Management Maturity Model)

RL3M Assessment

Download our Latest Whitepaper

Sign-up for our Weekly Newsletter

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management  

---

27 Ungated Resources for Compliance Leaders and Teams 

Compliance professionals sometimes feel undervalued in comparison to other functions in their organization. They think leaders and colleagues don’t really understand what they do.  

These resources will help. Packed with ideas, tips and recommendations, these pieces were written by professionals with many years of compliance experience. 

You can quickly skim for articles that relate to your needs and interests. Bookmark this page as a reference for future questions or projects.

Visit Now

---

The post Integrate Self-Awareness into Healthcare Compliance Programs: 18 Tips  first appeared on YouCompli.

Within the business of healthcare, we talk a lot about a strong culture of compliance. Typically, such discussion is focused on really committing to compliance throughout all levels of the organization. Given that people make decisions that affect how the organization operates, understanding human behavior is essential skill for any compliance professional. It helps you determine why certain decisions are made or not made, and aids in your ability to cultivate a strong culture of compliance.  

Below are five strategies to help you align human behavior with your compliance program. 

1-Understand the Root Cause of Non-Compliance 

In my experience, non-compliance is often the result of competing priorities, misunderstandings, or systemic issues – not someone’s malicious intent. To know for sure, you have to dig into what is causing the non-compliance from the perspective of those living with the rules, not the person enforcing them. For example, are factors like workload, operational complexities, lack of awareness, or unclear policies driving the lapse in compliance? 

In a book called Humanizing Rules, former regulator and compliance officer/author Christian Hunt points out that “if one person breaks a rule, you’ve got a people problem. If lots of people break a rule, you’ve got a rule problem.” 

Tip: Always be mindful about what is driving non-compliance and make that your focal point. 

2-Simplify Your Policies 

Another approach for aligning human behavior to your compliance program is to make sure your policies are clear from the end user’s standpoint.  

In my experience, policies that are complex, vague, overly technical, or contain a lot of regulatory language or legalese (i.e., gobbledygook) are harder for workforce members to follow and more likely to be overlooked. To overcome this challenge, simplify your organization’s policies into clear and actionable steps that are connected to an already understood purpose. 

In a book called Ethics and Compliance for Humans, author Adam Balfour advocates for starting with “the why” behind the policy. Balfour rightly points out that if you can’t clearly explain why you need a policy, then you should be questioning whether or not the policy is truly needed.  

Tip: Seek input from the individuals who have to live with the policy or regulatory requirements to help you in designing policy language that is practical and clearly understood by the end user. 

3-Design Training that is Tailored to Your Audience 

Another approach for ensuring your compliance program aligns with human behavior is to ensure your training materials are tailored to your audience. For example, if I were educating a group of physicians about HIPAA and safeguarding PHI, I might use an example of discussing a patient’s treatment plan in front of friends or family members. 

Keep in mind that most healthcare organizations contain employees of varying demographic, educational, and professional backgrounds. For that reason, you need to be intentional to take these differences into account when you are delivering your compliance message. Any time you can use relatable examples, it will help you in carrying your compliance message of “do this” or “don’t do that.”  

Tip: As you design your training, use practical scenarios and real-world operational consequences relevant to your audience.  

4-Recognize and Reward Behavior Supporting the Compliance Program 

A big challenge we all face as compliance officers is getting people to speak up about reporting concerns. A human-centered approach you can take to help overcome this struggle is to recognize and reward employees when they have supported the compliance program.  

For example, if someone asks a clarifying question in a meeting about a new policy or regulatory requirement, publicly acknowledge your appreciation of them for asking the question. If an employee reports a concern that turns out to be legitimate, send them a thank you note. Or better yet, send it unexpectedly to their supervisor. Taking steps like these will encourage them to continue to support the compliance program and model that behavior to other employees. 

Tip: Develop a routine practice of acknowledging your appreciation of others when they support the compliance program.  

5-Make Compliance Easy by Providing Tools to Reduce Friction 

In the book Atomic Habits, author James Clear argues that to increase positive habits and eliminate negative ones, you should focus on reducing the inconvenience friction that is causing bad habits.  

I would argue the same concept can be applied to compliance work. For example, if you have a clinical documentation form that needs to be completed by physicians and nurses, color-code which sections apply to the physicians and which ones apply to the nurses to avoid confusion.  

Checklists, templated forms, calendar reminders, and check-and-balance procedures amongst multiple team members are some additional examples of tools that can be created to help others ensure consistent rates of compliance.   

When you make compliance easy for others, you are taking an approach to your work that is focused on human behavior.  

Tip: Engage with your audience to help co-design tools that will help reduce friction to compliance.  

Compliance work is complex, and success in compliance requires human interaction. Addressing human behavior in compliance requires empathy, adaptability, and strategic thinking. By understanding the psychological and organizational factors influencing decision-making, you can create work product (e.g., policies, training) that empowers employees to consistently make better operational decisions and foster a stronger culture of compliance.  

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Take Free RL3M Assessment (Regulatory Lifecycle Management Maturity Model)

RL3M Assessment

Download our Latest Whitepaper

Sign-up for our Weekly Newsletter

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management  

---

27 Ungated Resources for Compliance Leaders and Teams 

Compliance professionals sometimes feel undervalued in comparison to other functions in their organization. They think leaders and colleagues don’t really understand what they do.  

These resources will help. Packed with ideas, tips and recommendations, these pieces were written by professionals with many years of compliance experience. 

You can quickly skim for articles that relate to your needs and interests. Bookmark this page as a reference for future questions or projects.

Visit Now

---

• One Compliance Pro’s Regulatory Change Management Process    by Amy Laufmann, MBA
• Five ways to show how healthcare Compliance delivers value by Jerry Shafran
• Revenue Cycle Management Compliance: Ensuring… by Maya Turner, CPMA, CPCO, CFPC, CPC, CPC-I, AAPC
• 12 key metrics for compliance officers looking to… by Kenneth Zeko, JD, CHC
• Transforming Compliance to a Department of Yes  by Lisa Herota, RHIA, CHC, CHPS, CCS Compliance & Privacy Officer
• Three Strategies to Align Compliance with Revenue Cycle  by CJ Wolf, MD
• How the Three Lines Model Strengthens Healthcare Compliance by Kenneth Zeko, JD, CHC
• Mitigating Conflicts of Interest that Drive Profit… by Susan Thomas
• Navigating Compliance Responsibility: A Foundation… by Amy Laufmann, MBA
• New Regulation– Now What? Step-by-Step Guide to… by Amy Laufmann, MBA

The post Five Strategies for Aligning Human Behavior With Your Compliance Program first appeared on YouCompli.

In the hustle and bustle of today’s business world, speed often takes precedence over everything else—especially in the world of a compliance officer. As regulations change or investigations are needed, we often get pushed to work faster, meet tighter deadlines, and juggle multiple tasks simultaneously.  

While this approach might seem efficient on the surface, it often leads to several downsides—burnout, decreased productivity, and a decline in the quality of work.  

Here are five tips to help you and your compliance team slow down: 

1. Lead by Example 

One of the most effective ways to encourage employees to slow down is for compliance leaders to model this behavior. If compliance officers see their leaders constantly rushing, overworking, and neglecting their well-being, they will likely feel pressured to do the same. On the other hand, when compliance leaders prioritize quality over quantity, take time for thoughtful decision-making, and emphasize work-life balance, their employees are more likely to follow suit. 

What does “lead by example” look like in practice? It all starts with being intentional, focusing on one task at a time, and openly discussing the importance of pacing and taking breaks.  

2. Define Productivity 

Sticking with the theme of intentionality, it’s also essential to define productivity for your compliance team. Instead of measuring success solely by how much work is completed or how quickly tasks are done, emphasize the importance of quality and sustainable performance to your team members. For example, whenever appropriate, encourage them to take the time needed to produce high-quality work rather than rushing to meet an arbitrarily imposed deadline. Also, recognize and reward your team members for things like their attention to detail, innovative thinking, and problem-solving skills.  

3. Set Realistic Expectations 

Unrealistic deadlines and excessive workloads are major contributors to a rushed and stressful work environment. To help your team members slow down, it’s important to set realistic expectations, based on risk to the organization, for what can be accomplished in a given timeframe. 

For example, internally consulting to an operational leader on a proposed business deal should not take precedence over responding to a government audit deadline. To help set realistic expectations, work closely with your team to understand their workloads and help prioritize tasks.  

4. Encourage Regular Breaks 

Another approach is to advise your team members to take regular breaks. You can encourage them to take time out to work on another project, stretch, walk around, or even just step away from their computer screens. Doing so helps maintain focus and prevent fatigue, especially in the context of working through a complex investigation or audit.  

5. Educate Them on the Importance of Quality Over Speed 

Emphasize to your team that the quality of their work product is more important than the speed with which they turn it around. As you communicate this message, educate them about the pitfalls of prioritizing speed over quality: that rushing leads to mistakes, and questions are not asked that should be. In these cases, this ends up creating more work for everyone in the long run.   

Compliance work is complex, and in today’s environment there is a constant push to be faster. If you follow the approaches outlined above, you will help your employees find a more balanced approach to their work and improve the efficiency and overall performance of your compliance program. 

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

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The post How Slowing Down Makes for a More Productive Compliance Program first appeared on YouCompli.

Whether you’re resolving a complex billing issue, or advising your leadership team about a business proposal, the ability to effectively make decisions is a valuable asset for any compliance officer. 

So, how can you make better decisions? Here are five tips that will help. 

1. Develop Self-Awareness for Decision-Making 

I’ve learned that the more I become self-aware of a skillset, the more I improve my abilities to execute it. The same is true for making decisions. 

In particular, focus on how you make decisions. For example, do you engage in making too many decisions at once (i.e. decision fatigue)? Do you tackle the most important decisions when you are well-rested and focused? Do you avoid making significant decisions when you are upset or hungry?  

By being in tune with how you make decisions, and aligning them with best practices for good decisions, you will improve your ability to execute effective ones. 

2. Be Intentional About Narrowing Your Choices 

I’m a strong advocate for exploring alternatives to any issue. I think it’s a great practice for how you approach compliance work, but too many options can become counterproductive to making decisions (i.e. “paralysis by analysis”). 

If this is a challenge for you, then consider using a framework to eliminate options. For example, my wife and I often use a “3-2-1” trick when picking a restaurant. The first person throws out three options. The second person removes one choice. Then the first person picks between the two remaining choices.  

3. Consider the Big Picture 

As you are making a key decision, are you giving thought to the long-term implications? For example, if you are deciding to investigate an issue, what does the end of the investigation look like before you get started? How will the result affect you and others in the future? 

Taking a big picture approach to your decisions helps identify and prioritize what is most important. 

4. Learn to Tolerate Uncertainty 

In the ever-changing world of regulatory work, uncertainty is a constant companion. To help manage uncertainty, shift your perspective by reframing it as an opportunity for growth instead of a threat. Also, work to develop a flexible plan with realistic goals and contingency plans for obstacles.  

While it’s impossible to predict every twist and turn, taking this approach will position you to make better decisions while navigating uncertainty.  

5. Practice Decision-Making 

Consider practicing key decisions to help improve your ability to execute them. If you’ve ever watched an NFL game, you’re probably familiar with “The Two-Minute Drill” a team on offense uses to move the ball and score points while strategically using up the clock. To pull that off, the coaches and the players have to regularly break down and practice the steps.  

The same can be applied to compliance work – whether it is simulating a response to an EMTALA survey or navigating a large-scale privacy breach.  

Like any skill, decision-making can be improved through practice and deliberate effort. By following these tips, you will improve your confidence and make better choices that lead to positive outcomes. You also will be able to be a more passionate defender of your program and work to regulators, and a more effective advocate for compliance within your organization.  

Download Jay’s Tip Sheet Below

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management   

Our in-house team works tirelessly to monitor U.S. regulators, carefully read the regulations in their entirety, and translate the information into simple regulatory intelligence you can use. We deliver model procedures and expert tools that can be used to fulfill your business requirements. Everything is validated by a third-party law firm. Follow the button below to get a tour of our healthcare compliance software. 

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The post Five Tips for Making Better Compliance Decisions  first appeared on YouCompli.

When it comes to communicating with healthcare leaders about a requirement or a compliance concern, I’ve found that I need to be mindful of what I like to call “knowledge blind spots.” Ultimately, these expose your organization to added compliance risk.  

For example, there are requirements under HIPAA for a healthcare provider to have a Business Associates Agreement (BAA) in place with an entity providing an administrative service that requires access to the provider’s PHI (See 45 C.F.R. Part 164). The requirements are very technical, and complying with them is fact-specific and highly nuanced. For that reason, your healthcare leaders may not be as aware of a potential compliance concern as you are—and therein lies the potential knowledge blind spot. 

So, how do you overcome these blind spots and mitigate compliance risk? Here are five tips that will help.  

Tip #1: Be Aware That a Knowledge Gap May Exist 

Keep in mind that your healthcare leaders often will not be as knowledgeable about requirements in regulations or something else as you are. For that reason, what may seem like an obvious concern to you may not be so obvious to them. Be open to the fact a gap may exist, and give them grace if they made a decision that unintentionally creates an issue that needs to be corrected. In my experience, the government expects compliance issues will happen, but also that you will address them once you become aware of them.  

Tip #2: Close Gaps When You Find Them 

It’s important to recognize that you may need to take a step backward and explain certain terminology or concepts you might otherwise not have to think about. It’s like trying to explain to a four-year-old what the word “anyway” means. There are some words and phrases we get so close to, because we use them all the time, that we never think about actually defining them.  

A trick that may help when you’re educating your leaders is to start from an assumption that your healthcare leaders do not know the technicalities or application of the rules to facts. To that end, you want to explain “the why” behind the requirements and give examples that relate to their operations. It will help ensure that your communication logically flows from one point to the next, and everyone is on the same page with what is expected. 

Tip #3: Be Clear About What You Need  

As you’re removing the blind spot, be very specific about what you need from your audience to comply with the requirements. Relating to the example above, it’s common that a leader won’t realize they need a BAA to share PHI with another contracted party. It may make sense for you to advise the leader (or organization as a whole) to establish a process that always prompts a leader to consult compliance, privacy or legal (as applicable) to review the contractual matter to determine if a BAA is required. 

Something that has helped me over the years is to put myself in the position of the leader and ask the question: “So, what do you need for me?” This helps ensure I am being clear with my audience about the regulatory expectations.  

Tip #4: Make Information User-Friendly 

As you educate your leaders to remove the blind spot, make the information easy to find and access.  

For example, let’s say you’re being asked a question about the verification of identity under your organization’s privacy policies. Rather than sending the policy to the leader and telling them the answer can be the policy, show them where it can be found (e.g., “See the bottom of page 6, under Section IIIB(1)(c)”). 

Taking this approach will help ensure you’re making compliance easy for them and reducing future blind spots. 

Tip #5: Acknowledge the Need to “Rinse and Repeat” 

Depending upon the subject matter of the blind spot, and the frequency with which it will occur, you may need to take a “rinse and repeat” approach to conducting education. In other words, don’t assume that your job is done once you’ve educated your colleagues. You may need to go through the process several times to effectively mitigate your compliance risk.  

Sometimes, the issue at hand occurs infrequently, so learning and retaining the requirements may take repetition to be hardwired in the leader. In other instances, there could be turnover within the organization and a new leader may need training. 

By following these steps, organizations can navigate and effectively close any knowledge blind spots, leading to improved performance, efficiency, and an engagement to a culture of compliance.  

Download Jay’s Tip Sheet Below

Jay is a compliance professional and consultant in Colorado. He is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. 

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management   

Our in-house team works tirelessly to monitor U.S. regulators, carefully read the regulations in their entirety, and translate the information into simple regulatory intelligence you can use. We deliver model procedures and expert tools that can be used to fulfill your business requirements. Everything is validated by a third-party law firm. Follow the button below to get a tour of our healthcare compliance software.  

Get the latest from healthcare compliance experts  

Never miss an article from Jay Anstine. Sign up for YouCompli’s weekly email if you haven’t already.

The post Tips for Avoiding “Knowledge Blind Spots”  first appeared on YouCompli.

In a healthcare compliance setting, hearing difficult or negative feedback can be a regular occurrence. To handle tough feedback well, you need to have the ability to focus on the content of the message instead of the messenger, or the way the message is being conveyed.  

If that sounds easier said than done, then consider the following five tips: 

#1-Separate Emotion from Fact 

It’s easy to let emotions cloud your judgment when receiving tough feedback. When it comes to any situation, there are facts – and then there are interpretations of facts. The trick becomes identifying which one you are basing your response on. 

To handle tough feedback effectively, you need to separate the emotion behind the feedback from the actual facts. To do that, keep your state of mind grounded in curiosity and not judgment. This will allow you to evaluate the feedback more objectively. 

#2-Seek Clarification from a Curious State of Mind, Not a Judgmental One 

Related to the first strategy, if the feedback you’re receiving is unclear or ambiguous, then don’t hesitate to ask for clarification. Just make sure you do so from a state of mind rooted in curiosity and not judgment.  

Keep in mind that when you’re receiving information, your state of mind will be felt by others. For example, if you’re bogged down in judgment, it will come across negatively as being defensive. On the other hand, if your state of mind is based on curiosity, it comes across positively as being focused on how to improve. 

To maintain your focus on curiosity, seek specific examples or instances where you may have fallen short. Also, even with the toughest feedback, there is often a grain of truth that you can learn from. Search for that grain of truth instead of focusing on the negative.  

#3-Embrace a Growth Mindset 

Adopting a growth mindset is also crucial when handling tough feedback. Instead of viewing the feedback as a criticism of your abilities, see it as an opportunity to learn and grow.  

To that end, don’t be afraid to reach out for support from colleagues, mentors, or friends during challenging times. Discussing the feedback with others can also provide valuable insights and perspective to help you grow professionally. 

#4-Keep Your Focus on Solutions, Not the Problem 

Rather than dwelling on the problem that is the subject of the feedback, shift your focus to finding solutions. Here, you want to brainstorm actionable steps you can take to address the feedback and make meaningful changes.  

By taking this approach, you not only develop your critical thinking skills, but also build confidence by independently developing potential solutions.  

#5-Reflect and Process 

Finally, take time out to reflect on the feedback once your initial emotions have settled. Here, it’s very important to climb outside of your head and identify “the why” behind the feedback that was given and how you can use it to become better.  

For some practical steps, you can set aside this time for personal reflection, journal, or discuss the feedback with a trusted mentor or friend. These can all be strategies to help you process the feedback more positively and effectively. 

Receiving tough feedback can be hard on ones’ self-esteem, so practice self-compassion by reminding yourself that nobody is perfect and everyone makes mistakes. If you are passionate about your work, others will easily see that and you’ll have the capital to lighten up on yourself when you make a mistake.  

Handling tough feedback is never easy, and quickly challenges your ability to remain professional. With the right mindset and approach though, it can be a powerful asset for your growth and development. Having this skillset will keep you from losing your cool. It also will help you earn the trust of your healthcare leaders, which will help you obtain that all important buy-in to your compliance program.  

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Jay is a compliance professional and consultant in Colorado. Jay is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. In 2018, Jay became an adjunct faculty member with the University of Southern California, Gould School of Law, designing and teaching healthcare compliance courses.

Jay obtained his law degree from the University of South Dakota, where he focused on healthcare law. From 2012-2016, he served on the Board of a non-profit organization serving the medically underserved in Colorado (ClinicNET). He is also a member of the Health Care Compliance Association (HCCA), serving on the planning committee for the Mountain Regional Conference since 2008. He is writing a series of articles on compliance culture for the YouCompli blog. This post looks at building trust among your colleagues. This post looks at measuring your organization’s culture of compliance. 

Qualified compliance professionals do the heavy lifting for you, simplifying regulatory change management   

Our in-house team works tirelessly to monitor U.S. regulators, carefully read the regulations in their entirety, and translate the information into simple regulatory intelligence you can use. We deliver model procedures and expert tools that can be used to fulfill your business requirements. Everything is validated by a third-party law firm. Follow the button below to get a tour of our healthcare compliance software.  

The post Tips for Handling Tough Feedback first appeared on YouCompli.

Effective communication is a cornerstone of successful interactions with people, no matter whether your relationship with them is personal or professional. As it relates to resolving a compliance matter, knowing how to interact with others in the organization can be the difference between getting push-back and securing buy-in.  

Below are four common communication blind spots, along with some helpful tips to help foster clearer and more meaningful communication.  

Blind Spot #1: The Hierarchical Barrier 

Within any healthcare organization, there is an organizational structure consisting of employees, supervisors, managers, directors, senior leaders, and a governing board. With all these different layers, it is very easy for information to get filtered or distorted as it moves up or down the organizational hierarchy.  

Tip: Be mindful of need-to-know communication. If you’ve identified another individual or department that has a legitimate need to know, then ask if they have been made aware of the information – or if appropriate, take steps to close the knowledge gap.  

Blind Spot #2: The Assumption Trap 

“The Assumption Trap” occurs when one assumes that others in the organization share the same knowledge or perspective as the communicator. The risk here is that if the audience does not share the same knowledge or perspective, it leads to misunderstandings and/or conflict.  

Tip: Challenge your assumptions and the assumptions of others.  

Blind Spot #3: The Siloed Communication 

This happens when departments or individuals fail to appropriately communicate with others, thus operating in isolation like a silo. This often leads to a lack of coordination and shared understanding about a particular matter. As a result, projects suffer from misalignment and healthcare leaders get surprised by unexpected information.  

Tip: Promote collaboration and open communication. During meetings and calls, identify all interested parties that need to know the communication’s content. Additionally, verify with a communicator that an individual with a legitimate need to know is made aware of the content of a communication. 

Blind Spot #4: The Unclear Expectation 

A lack of clarity can often cause others to not understand their roles, which leads to confusion or inefficient productivity. This can be especially true when the communication comes from the compliance department, and it relates to getting others to follow a regulation or internal policy.  

Tip: Before you communicate with a healthcare leader about a compliance expectation, make sure you can answer this question from their perspective: “What do you need from me?” 

Falling victim to communication blind spots can damage your relationships with healthcare leaders and contradict your efforts to build a strong compliance culture. Because of this, it is important to be mindful of them and address them whenever possible. 

Jay is a compliance professional and consultant in Colorado. Jay is a healthcare lawyer with significant industry knowledge of the U.S. healthcare market. Over the past 20 years, he has worked for large for-profit and non-profit health systems and small physician-owned entities. In tackling the countless regulatory and operational issues for these diverse organization types, he has developed a deep understanding of the business of healthcare and the regulations governing the industry. In 2018, Jay became an adjunct faculty member with the University of Southern California, Gould School of Law, designing and teaching healthcare compliance courses.

Jay obtained his law degree from the University of South Dakota, where he focused on healthcare law. From 2012-2016, he served on the Board of a non-profit organization serving the medically underserved in Colorado (ClinicNET). He is also a member of the Health Care Compliance Association (HCCA), serving on the planning committee for the Mountain Regional Conference since 2008. He is writing a series of articles on compliance culture for the YouCompli blog. This post looks at building trust among your colleagues. This post looks at measuring your organization’s culture of compliance. 

Download a Copy of Jay’s “Tips for Overcoming Four Common Blind Spots in Communication” Below

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27 Ungated Resources for Compliance Leaders and Teams 

Compliance professionals sometimes feel undervalued in comparison to other functions in their organization. They think leaders and colleagues don’t really understand what they do.  

These resources will help. Packed with ideas, tips and recommendations, these pieces were written by professionals with many years of compliance experience. 

You can quickly skim for articles that relate to your needs and interests. Bookmark this page as a reference for future questions or projects.

Visit Now

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• One Compliance Pro’s Regulatory Change Management Process    by Amy Laufmann, MBA
• Five ways to show how healthcare Compliance delivers value by Jerry Shafran
• Revenue Cycle Management Compliance: Ensuring… by Maya Turner, CPMA, CPCO, CFPC, CPC, CPC-I, AAPC
• 12 key metrics for compliance officers looking to… by Kenneth Zeko, JD, CHC
• Transforming Compliance to a Department of Yes  by Lisa Herota, RHIA, CHC, CHPS, CCS Compliance & Privacy Officer
• Three Strategies to Align Compliance with Revenue Cycle  by CJ Wolf, MD
• How the Three Lines Model Strengthens Healthcare Compliance by Kenneth Zeko, JD, CHC
• Mitigating Conflicts of Interest that Drive Profit… by Susan Thomas
• Navigating Compliance Responsibility: A Foundation… by Amy Laufmann, MBA
• New Regulation– Now What? Step-by-Step Guide to… by Amy Laufmann, MBA

The post Tips for Overcoming Four Common Blind Spots for Effective Communication first appeared on YouCompli.