As Compliance Officers, your role includes cultivating strong, effective relationships with your health center’s leadership—most critically, the board of directors and its compliance oversight committee. The board sets the “tone from the top” for compliance culture. If board members are not engaged, the rest of the organization is unlikely to be either. So, how do you secure their buy-in?

Below are key strategies to help build a culture of compliance from the top:

1. Establish Clear Communication Channels. Not only is establishing communication channels with your board of directors an expectation of the Office of Inspector General, but it is a first and crucial step at building a tone from the top. This goes beyond formal reporting. It includes meeting in executive session without other health center executives and maintaining contact with your board or committee chair outside of set meeting times to immediately provide updates on major compliance developments.
2. Ensure Sufficient Reporting Time. A compliance presentation to the board or committee meeting should be at least 30 minutes, preferably more. The briefing should be conducted face to face, with substantive written materials accompanying the presentation. Any report of less than 30 minutes is not adequate to provide a wholistic update on the activities of the compliance program and the health center’s compliance risks or allow for discussion of the topics presented.
3. Provide Timely and Relevant Updates. The topics discussed in your board presentations should be high level and focused – too many compliance officers include information that delves into management responsibilities. When developing presentations, report topics should include: 1) the strategic direction and the effectiveness of the compliance program, 2) the health center’s compliance risks and how those risks are being mitigated and addressed, and 3) significant areas of enforcement or internal investigations of the health center’s business lines.
4. Educate Your Board. Boards serve an important oversight and legal function for health centers and reporting provides an opportunity to ensure the board is educated on its responsibilities to the health center. The Practical Guidance for Health Care Governing Boards on Compliance Oversight is a great starting point for board education. Reminding board members that they have a stake in the success of the health center can help ensure they are taking compliance matters seriously.
5. Foster Active Discussion. Presentations to the board or committee should not be a report-out by the compliance officer. It is an opportunity to engage the board and seek their guidance and input regarding compliance developments impacting the health center. When individuals play a role in development and strategic direction, they are going to be invested in its outcome.
6. Seek Feedback. Your board members are going to want to hear from you – they view you as compliance expert. Ask what information would be most helpful to them and they prefer to receive it (graphs, lists, paragraphs, etc.). Inquire about their concerns or what they’re seeing on other boards. Their insights can be invaluable—and responding to their interests builds trust and strengthens your relationship.

The strongest compliance programs are those backed by an engaged board of directors. Implementing the above steps can help ensure your board members are not just aware of your program—but fully invested in its success.hance your board’s awareness of your health center’s compliance program and their investment as a result.

If you have questions about how to increase your board’s buy-in to your compliance program, please contact Adam Falcone at afalcone@feldesman.com, Natalie Lesnick at nlesnick@feldesman.com or any member of Feldesman’s Health Care team.