Exit Interviews As Another Significant Communication Channel

Exit Interviews Richard Kusserow Exit Interviews as Another Significant Communication Channel

Understanding the Objectives, Challenges, and Use of Exit Interviews Is Critical

ne of the first things the Federal Bureau of Investigation (FBI) or the U.S. Department Oof Health and Human Services (HHS) Office of Inspector General (OIG) looks for in investigations of organizations is turnover in key fiduciary positions. This includes senior management, general counsel, internal audit, finance, etc. Those organizations that have ethical or legal problems in the way they are operating often have unusual turnover of key personnel in a position that knows or senses the direction of company activities. People operating in an environment conducive to abuse of laws, regulations, or unethical conduct are confronted with the decision to become part of the problematic behavior, try and ignore it, become a “whis- tleblower,” or leave the offending environment. Most Richard Kusserow is the president and people offended by the activities generally look for a chief executive officer (CEO) of Strategic way out by leaving. Investigators have learned to look Management. He can be reached at for these patterns of high turnover in key areas, as it is 703/683-9600, ext. 411 or by email at confirming evidence that something is probably wrong. [email protected]. These former employees are a useful resource to gain understanding of the conduct that drove them to seek employment elsewhere and are among the first to be interviewed for evidence and leads. Former employees can also be useful resources for compliance officers in gaining an understanding of the reasons for seeking employment elsewhere and understanding what they are likely to say once they leave. A solid compliance exit interview program enables receipt of potential early warnings of emerging regulatory, compliance, ethical, or legal issues warranting attention. By affording these employees an opportu- nity (it should be multiple opportunities) to provide information to higher authorities in a position to do something, the individual is provided a legitimate path

Journal of Health Care Compliance — January–February 2020 531 Exit Interviews

for redress of grievance. This reduces the Program. These efforts must come from the likelihood that they will “blow their whis- compliance officer. HR staff bears respon- tle” to outside parties once they are secure sibility for the exiting process including in new employment and feel free of the a variety of tasks that may or may not fear of retaliation. include exit interviews. Often, for those The only caveat is that when derogatory organizations that have exit interviews con- information is received, it should be acted ducted by HR, the interviews occur on the upon and not buried. Exit interviews are a last day’s closeout of the employee’s status special type of interview/survey designed with the organization that includes a vari- to elicit valuable information from depart- ety of other required activities, such as (a) ing employees concerning their experi- collecting company property, (b) complet- ence with the organization. Assuming ing exiting employee benefits documenta- the information is handled appropriately, tion, (c) finishing necessary paperwork to companies may also use their departing close the books on the employee account, employee interview reports in an affirma- (d) addressing COBRA health benefits, and tive defense to litigation. (e) determining to what extent policies, environment, and working conditions con- Exit Interview Objectives tributed to the employee’s departure. All of Here are some key objectives of exit these are worthy objectives; however, they interview: are of limited value for the compliance ■ Acquire early warning of potential program. “whistleblowers” Employees tend to be preoccupied with ■ Secure information about potential lia- the process of leaving and generally pro- bility for early intervention vide superficial explanations for separa- ■ Obtain feedback regarding the operation tion, particularly if they fear that future of the compliance program job opportunities could be affected by past ■ Identify conditions affecting morale or employers. This is particularly true when causing dissatisfaction the exiting process involves only a per- ■ Assist in evaluation of commitment to functory checklist to be filled out by the laws, regulations, code of conduct, and employee or used in questioning by an policies HR representative or a supervisor. ■ Provide insights into organization com- On the other hand, it is not feasible mitment to the quality of service being or practical for the compliance officer to provided debrief every departing employee. It is ■ Gain better understanding of the overall advisable to define the category of persons management environment that would require formal debriefings by ■ Better assess company operations and the compliance officer. These should be policies “C-Suite” executives, such as the CEO, ■ Aid in assessing organization perfor- COO, CFO, legal counsel, as well as pro- mance of goals and objectives gram managers. The level of manager or ■ Enable the taking of steps to mitigate lia- executive that must undergo the debrief- bility exposure ing should be defined in a policy docu- ■ Develop evidence for defense in poten- ment. In addition, the compliance office tial government investigations should selectively interview individuals at any level that have a history warranting Challenge for Compliance Exit the added attention at time of departure. Interview Programs Having such a policy document is criti- Human resources (HR) cannot meet the cal to ensure that this is a formalized challenge of an Effective Compliance Exit process, not an optional one. The policy

2 Journal of Health Care Compliance — January–February 2020 Exit Interviews should describe the process as a necessary Thought might be given as to how to formality (not optional); require a written disseminate the acquired information. report of interview results; and determine This should be linked with the clarified how the information received should be objectives. For example, if the information handled, etc. Without such a formalized derived relates to misconduct on the part and approved policy document, there may of management, a proper determination be a lot of push back and resistance from needs to be made as to how this should be individuals not wishing to be debriefed addressed. It is quite possible there might prior to departure. be information that would justify going For some compliance officers, desiring straight to the top executive echelon, legal to develop a program of debriefing key counsel, and the board. It also may neces- employees upon their notice of departure sitate possible disclosures to outside regu- may be straightforward and easy to garner latory or enforcement agencies. support; however, for many, it may prove to be a difficult sale to executive leader- Exit Interviews Timing and Location ship and the board. It is important to lay Optimally, it is better to have exit inter- out a case for why this is important in views take place apart from the for- avoiding or mitigating potential liabilities. malities of the last day. Preferably, the In some cases, it may require the outside interview should occur as soon as notice assistance of compliance experts to assist of departure is given. The reported expe- in gaining support and approval. riences of an employee, under certain For optimum results, interviews should circumstances, may enable employers to be conducted with the departing person as receive early warnings of any emerging soon as the employer is notified of their regulatory, ethical, or legal issues war- leaving. In this way, information can be ranting attention. This will enable man- clarified and followed up on while the indi- agement to take any needed corrective vidual is still employed. Any significant action measures while the individual is information received needs to be acted on still an employee. quickly. Gathering information and stor- Depending on the issues and circum- ing it away without acting on it can result stances, this could limit a lot of potential in serious consequences. The interview liability. Any legal or compliance issues results should be read, acted upon, and raised during the process should be com- analyzed the same way one would handle municated to legal counsel immediately hotline reports. for evaluation and to determine appropri- ate action steps. This can allow the organi- Use of Exit Interview Information zation to address significant management The benefits of the exit interview pro- or legal issues before the employee leaves gram come from acting upon information the control of the organization. received, as quickly as possible. Keys to When conducting the debriefings, it the success of any exit interview program is better to do it away from the person’s are: (a) who will get the information, (b) in office where interruptions may take what form, (c) how it will be used, (d) by place. Interviews should be conducted whom, and (e) how well everything is doc- so that others cannot observe or listen to umented. Failure to properly use informa- the meeting. A final note on exit inter- tion received makes the program a waste of views is the reminder that the informa- resources. Therefore, organizations should tion received is likely to be very sensitive. determine how to quickly evaluate and dis- As such, care should be given as to who seminate results from the process. receives the information and how it will

Journal of Health Care Compliance — January–February 2020 3 Exit Interviews

be used. The gathering of the information 4. Determine how the information is only part of a successful program. The derived from the exit interviews will be interview reports should be stored with used and by whom. the same confidentiality/security con- 5. Conduct the interview as a conversa- cerns as hotline reports. tion, avoiding a checklist of questions. 6. Use open-ended ones about their expe- Exit Interview Tips rience, knowledge, and concerns. Here are several tips when conducting exit 7. Specifically include any suspected interviews: potential violations of laws, regula- 1. Identify the types of information tions, and code of conduct. needed. 8. Query about any observed or suspected 2. Conduct the interview away from the conflicts of interest by individuals. person’s office or where others can 9. Immediately after the interview, have listen. notes turned into a formal report. 3. Establish key areas to be covered dur- 10. Address issues raised promptly, while ing the interview. individuals are still employed.

Reprinted from Journal of Health Care Compliance, Volume 22, Number 1, January–February 2020, pages 41–44, with permission from CCH and Wolters Kluwer. For permission to reprint, e-mail [email protected].

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