As a new healthcare compliance officer, one of the more frustrating challenges you’ll face is when operational leaders notify you about a potential compliance issue only after it’s already occurred—sometimes days, weeks, or even months later.
When this happens, you’ll find yourself thinking:
“Why didn’t they loop me in sooner? I could have helped them prevent this.”
This situation is more common than you might think—and it doesn’t always stem from bad intent. Often, leaders are juggling competing priorities, unsure if something is a compliance issue, or simply unaware of the importance of timely reporting.
So what can you do about these moments that are real and fun, but not real fun?
Below are five practical strategies that will help.
#1: Respond with Curiosity—Not Criticism
When a leader brings an issue to you in this manner, it’s tempting to react with frustration—but resist the urge. Instead, approach the conversation with genuine curiosity. For example, you could try asking questions like:
“What made you decide to bring this forward now?”
or
“Is there anything I can do to help you report this type of issue earlier in the future?”
In the short-term, taking this approach keeps the communication open, avoids defensiveness, and helps you understand what barriers might have delayed the report. In the long run, it helps you establish rapport with your leaders, which in turn, will make them feel more comfortable speaking up when issues arise down the road.
#2: Reframe Compliance as a Support Function
When I talk with healthcare leaders hypothetically about a reluctance to report, some of the biggest reasons why include: fearing blame, decision-making bureaucracy, or being told “no.”
You can help change this perception by repositioning compliance as a partner and not a policing function. For example, you could emphasize that your role is to help them make the best business decision and ultimately protect the organization from unnecessary risk.
You can also highlight that reaching out for advice before going live with a new business venture will help them avoid costly mistakes if they go it alone.
Lastly, using language like “Let’s figure this out together” instead of “This is illegal” will send a message that compliance is a business partner and not an obstacle.
#3: Create “Safe Zones” for Sharing Concerns
If leaders don’t feel psychologically safe to admit something went wrong, they’ll delay or avoid disclosure. You can counteract this dilemma by proactively creating low-pressure ways for them to raise issues early.
For example, you could try offering 15-minute “compliance check-ins” where leaders can ask questions informally, or continually message to them that you are available to talk through any concerns privately if that would make them feel more comfortable.
Another approach you could take is when someone shares a scenario with a compliance concern, respond with: “That’s actually something we’d want to look at early from a compliance standpoint.”
Finally, it’s worth pointing out that even proactively using the words “this is a safe space” can help put them at ease. Just make sure if you say it, you intend to act on that promise.
While not intended to be an all-inclusive list, these are just a couple examples of how you can create a safe zone to encourage leaders to more proactively report issues.
#4: Offer Real-Time Micro-Education
Sometimes late reporting is simply a result of not recognizing a compliance issue in the moment, so be mindful of that potential knowledge gap.
To bridge the gap, there are a few steps you can take. First, educate early and often that your role is designed to help them interpret what is—and is not—a compliance issue.
Also, part of your ongoing message to leaders should be emphasizing the importance of reporting concerns to you proactively instead of reactively. Here, to ensure the message lands with your audience, provide hypothetical examples that outline how little problems can snowball into big ones.
Finally, another approach you can take is to highlight how an issue could negatively impact them if not addressed (e.g., loss of trust and reputation, potential corrective action, financial impact to organization).
Since new leaders come and go, one thing you need to accept is that this type of education will need to be repeated on an ongoing basis to reduce instances of finding-out-after-the-fact.
#5: Recognize and Reinforce Early Reporting
When a leader does bring an issue to you promptly, celebrate it. For example, you could say, “I want to thank you for having the awareness to identify this as a potential compliance issue and report the matter. Since I can’t be everywhere-at-all-times, it takes this type of dedication from operational leaders to help make our compliance program effective.”
For this particular strategy you can also try the following approaches:
Thank them privately or publicly, depending on the situation.
Share the story (anonymized if needed) as a “win” in a leadership meeting.
Say things like: “Because you brought this forward early, we were able to… [insert good outcome].”
In my experience, positive reinforcement is one of the most effective ways to encourage the behavior you want to see with your operational leaders.
Pulling it All Together
Late reporting can feel like a setback, but it’s also an opportunity. Every time a leader brings something to you—even if it’s after-the-fact—you’re building trust. With consistent messaging, positive reinforcement, and a partnership mindset, you can shift the culture toward proactive compliance engagement.
Keep in mind that you can’t solve this challenge overnight—so just start by laying the foundation—one interaction at a time. Eventually, this approach will result in increasing their awareness to proactively engage you. As your relationship strengthens with your leaders, they will feel more comfortable coming to you.
You know the regulations. But do you know how to make your leadership team listen?
Many healthcare compliance officers—especially in their first ten years—struggle with being heard.
The problem isn’t your expertise.
It’s how you communicate with healthcare leaders.
That’s exactly why I created this new free training—Why Healthcare Leaders Resist Compliance—And How to Change That.
Let's level up your game together.
To sign up, click on the link below…
Healthcare leaders make decisions based on three things:
Risk
Relationships
Results
