• The Ethics and Compliance Initiative welcomes your comments on the draft report of its "Blue Ribbon Panel" convened to identify "Principles and Practices of High-Quality Ethics & Compliance Programs" . Feedback is requested by January 8, 2016.

  • RAI Ethics is having a "Crack the Code" Contest for WOW points

  • Want to be an "Integrity Champion"? Go work at Alcoa.

  • CMS has released "Road to" a website full of resources for small Physician Practices to use in getting ready for the switch to ICD-10.

  • Want to know how much your doctor received from drug and medical device companies in 2014? This database compiled by CMS from the "Open Payments" data is just the ticket.
  • Daniel J. Weissburg, JD, CHC, Compliance Officer for University Wisconsin Health, talks about :

    Healthcare Communication: A Construct for Analyzing Efficacy, Efficiency, and Compliance


  • "Should" we ask those facing ethical dilemmas to think more about "Could"? Does thinking about alternatives lead to more or less misconduct? That's the question posed in this HBS working paper.

  • Compliance and Rap? Those are the two unlikely ingredients that Sunrise Community Inc. combined to celebrate an annual compliance week with its "First Annual Compliance Rap Battle". Videos were submitted by staff and consumers. Check out the winners on Youtube.
  • "The existence of an effective compliance program can make all the difference when a corporation is in the Justice Department’s sights." That was Principal Deputy Assistant Attorney General Marshall L. Miller addressing participants at a Compliance conference in New York City on October 7. The remainder of Mr. Miller's remarks are equally worth reading, since he gives many examples of corporate failing and success in their compliance efforts and unique details on what the DOJ looks for in assessing such efforts.

  • An upbeat, digital answer to the question "What is Compliance?"(video)
  • Patricia Harned, President of the Ethics Resource Center, testified before a House subcommittee on the findings of ERC about whether "effective" compliance and ethics committee actually reduces misconduct, particularly misconduct related to potential false claims. Her testimony followed that by Senator Chuck Grassley who was also speaking on "National Whistleblower Appreciation Day" about a proposal to amend the False Claims Act to include a credit for those organizations that have a "certified"compliance program and make other changes.

  • A series of videos "Inside Compliance"from NYSE Governance Services feature interviews with various folks. See, for example, Roy Snell speaking about "Compliance Programs and the Board", Ronny Feldman of Second City Improv talking about "How to Affect Corporate Culture", and Kelly Clark of the Holland America Line on "Engaging a Global Workforce" about compliance and ethics.
  • An Ethical Robot? That's what UConn professor emerita Susan Anderson would like us to think about.
  • An Ethical Decision "App"? The Markula Center for Applied Ethics has developed a "practical tool for thinking through tough choices" that can be used online or downloaded from the Apple store. See if it helps you with your dilemmas.

  • Fordham University has started a "Consortium for Trustworthy Organizations" which will conduct research, hold conferences and train executives on how to create interpersonal and organizational trust. Sound like your cup of tea? Here's the Consortium website and a 2012 presentation by its Executive Director, Robert Hurley, Ph.D.

  • Creating an Ethical Corporate Culture - got a little easier this year with the offering of a free course through Santa Clara University's Markula Center for Applied Ethics. It's also online - so you could "take" it from the computer you are using to read this.

  • A compliance "twofer" - the Office for Civil Rights (OCR) and Office for the National Coordinator for Health Information Technology (ONC) have created a model Notice of Privacy Practices (which "covered entities" are required by HIPAA to publish) - but in both English and in Spanish (as required by Title VI of the Civil Rights Act of 1964). There are several versions available for you to compare with your current Notice.

  • Each year those who do compliance in healthcare eagerly await the "Workplan" from the Office of the Inspector General of the Department of Health and Human Services (DHHS OIG). This year's Workplan is 101 pages - many outlining projects related to programs under the Affordable Care Act and its health insurance exchanges. Don't have time to read the whole document right now? Here's a 24 minute video highlight reel - also from the OIG's office.

  • In "Research: We Should Speak Up About Ethical Violations More Often" (2014) Joseph Grenny shares some "best practices" for those who need to speak up.

  • ETHICALSYSTEMS.ORG - is a new website featuring work from a non-profit group of researchers who share a "conviction" that "good ethics is good business". The site include links to research about the use of systems - including compliance and ethics programs - to support integrity and right actions. There's also a blog, a set of resource links and detailed bios on the researchers.


  • See more 2013 developments at the New in 2013 Archive

  • New York lawyer Compliance Officers - will want to read the latest opinion of the NYCLA Committee on Professional Ethics. The Committee concluded that the New York Rules of Professional Conduct for lawyers prohibit them from participating in the SEC's whistleblower rewards program on matters relating to those they represent. But the Committee noted that their opinion and the RPC only restrict those actually representing the organization - and depending on the facts of a particular situation may not restrict those who are attorneys serving in other roles, like compliance officers.


  • See more 2012 developments at the New in 2012 Archive

  • December 2012 - Questsoft has released the latest in its annual video series - the Christmas Compliance Telethon, bringing humor to the area of lending compliance. Their YouTube channel also has the episodes from the past years of this annual present to the industry. If things are getting too serious in your compliance office, here's an antidote.


  • See more 2011 developments at the New in 2011 Archive

  • December 14, 2011 - CMS announced its proposed rule implementing the transparency requirements of the Affordable Care Act which will, eventually, require public reporting of payments to physicians and teaching hospitals by various manufacturers and group purchasing organizations.

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