When Your Compliance Plan Hits a Sour Note

Monitor Mondays listeners know that I end each segment with a song. Normally the topic drives the song, but to start the new year, the song, or more specifically, a band, is prompting the topic.  

During our break I heard a story that Led Zeppelin broke up because when Robert Plant’s five-year-old son died of a viral illness, his bandmates skipped the funeral. Some research indicates that the story isn’t entirely accurate. As is often the case, reality was a bit more complicated.  

But there is little doubt that Robert Plant’s relationship with his bandmates was irrevocably damaged when they skipped his son’s funeral. They essentially ignored the significance of his child’s death.   

Now this isn’t a music history publication, so why do I think this story is even remotely relevant for healthcare compliance? The answer is that human connection plays a huge role in the success or failure of a compliance program. Just as a lack of sensitivity by members of the Led Zeppelin band contributed to the dissolution of the band, callousness, whether intentional or inadvertent, undermines a compliance plan.  

Reporting a concern is scary. True or not, “they shoot the messenger” is a belief, or at least a fear, deeply engrained in most people. When an employee has a worry, but they feel a deep human connection, it is much more likely they will believe that they can bring the concern to the organization without fear of retribution. That means the employee is very likely to keep the issue in the family.

By contrast, when an employee feels isolated, or like an outsider, or senses that they are an unimportant cog in a giant bureaucratic machine, they are much more likely to assume no one cares about their thoughts, or, worse yet, that what they say may result in retaliation. Either belief has the practical impact of keeping them quiet.    

Social interactions and genuine human connection can build a tight cultural tapestry. But hurting someone’s feelings by failing to recognize the importance of a major life event or a perceived snub, like walking past someone in the hallway can quickly tear the fabric that took years to form.   

My main message is that while I often talk about concrete factors like law and policy, when it comes to compliance, intangibles matter. A lot. An effective compliance program requires trust and respect. And some of that trust and respect is borne out of people’s personal lives. I know some people feel like you should not mix work and pleasure. I totally disagree. I think humanity creates the sort of culture every organization should seek.  

So, this year let’s internalize the message about the way Led Zeppelin treated Robert Plant and tend to relationships like you would to seedlings. Yes, I planted a plant joke in there.  

And let’s hope that in the words of Stairway to Heaven, a new day will dawn for those who stand long, and the forests will echo with laughter.  

Happy New Year, everyone.