Compliance officers hold the attention of board members when achievements are measured with clear metrics and communicated with colorful charts, experienced compliance specialists emphasized during a webinar sponsored by the Health Care Compliance Association on August 29. Eric Klavetter, JD, MS, MA, Compliance & Privacy Officer for the Mayo Clinic, Rochester, Minnesota, and Jose A. Tabuena, JD, CFE, CHC, Vice President, Integrity and Compliance, MedicalEdge Healthcare Group, Inc., Dallas, Texas, provided examples of effective visual tools to create interest and spur action on important issues.
Time and attention. Because the board of directors meets to resolve a wide range of issues, the compliance team competes for members time and attention. In making a presentation, the compliance officer (CO) needs to be aware of what the board is trying to accomplish for the organization. The first objective for every plan is to have a compliance program “in place,” which means the board must agree to specific program outcomes as goals for the program, Klavetter explained.
Measurement. Once the program is in place, the question is becomes whether that program is effective. The CO should identify the enterprise objective; define program objectives; and measure, identify and improve the outcomes. The CO should communicate outcomes or results from compliance efforts in ways that are familiar to board members.
Scorecards. Creating a quickly understood scorecard is essential to stimulate board interest and action. Klavetter suggested charts with green, yellow and red indicators of risk for compliance violations, categorized by components of the organization.
Leadership v. operations. The tasks for leadership are different than the tasks of operations managers. The CO translates the objectives of the board to the operations managers and must work closely with operations to develop meaningful metrics to measure outcomes. There is a difference in metrics the CO must use for these groups. Ownership metrics are those that would be presented to the board and trustees; operational metrics monitor key processes that help manage risk and would be useful tools for management.
CCH Chicago Bureau, Aug. 29, 2008
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