Evaluation of Corporate Compliance Programs: New Guidance from Department of Justice

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The following article is about new guidance from the Department of Justice
regarding the implementation of compliance plans. Feel free to share this
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Elizabeth E. Hogue, Esq.

Office: (877) 871-4062

Fax: (877) 871-9739

Twitter: @HogueHomecare


Evaluation of Corporate Compliance Programs: New Guidance from Department of

Fraud enforcers recently declared that their expectation is that every
provider has a Compliance Program. Consequently, enforcers will now focus
on implementation of quality Compliance Programs. As part of this new
focus, the U. S. Department of Justice (DOJ) issued new guidance on February
8, 2017, entitled "Evaluation of Corporate Compliance Programs." This new
guidance provides a "road map" for providers to use to evaluate their
Compliance Programs, including the factors that regulators are likely to

Specifically, the U.S. DOJ provided sample topics and questions it is likely
to use to evaluate providers' Compliance Programs as follows:

- Analysis and remediation of underlying misconduct

- Conduct of senior and middle management

- Autonomy and resources of the compliance role

- Policies and procedures, including design and accessibility and
operational integration

- Assessment of risks

- Training and communication

- Confidential reporting and investigation

- Incentives and disciplinary measures

- Continuous improvement, including periodic testing and review

- Mergers and acquisitions, including whether risks of misconduct or
actual misconduct were identified during due diligence

Future articles will provide more details regarding each of these factors.

In the meanwhile, it is important for providers to recognize that it is a
"new day" for fraud and abuse enforcement. There is definitely a "new
sheriff in town" in the form of compliance counsel within the DOJ who
specifically focuses on the implementation of quality Compliance Programs.

Here are some clear signs that more attention must be given to Compliance

- No one can find the Compliance Program.

- There is a significant layer of dust on the Compliance Program

- The Compliance Program has not been updated recently, preferably

- The staff has a quizzical look when the Compliance Program is

You get the drift! Now is the time to fix it!

C2017 Elizabeth E. Hogue, Esq. All rights reserved.

No portion of this material may be reproduced in any form without the
advance written permission of the author.
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