Evaluation of Corporate Compliance Programs: Training and Communications

Dear friends,

The following article is about new guidance from the Department of Justice
regarding the evaluation of compliance plans, specifically with regard to
training and communications, and confidential reporting and investigation.
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Elizabeth E. Hogue, Esq.

Office: (877) 871-4062

Fax: (877) 871-9739

Twitter: @HogueHomecare


Part 6 - Evaluation of Corporate Compliance Programs: Training and
Communications, and Confidential Reporting and Investigation

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 additional 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 take into account.

Specifically, the U.S. DOJ provided sample topics and questions it is likely
to use to evaluate providers' Compliance Programs. These factors include
Training and Communications, and Confidential Reporting and Investigation.

Training and Communication will be evaluated based upon the following:

- Risk Based Training - What training have employees received? Have
providers tailored training to address risks in areas where misconduct
occurred? What analysis have providers undertaken to determine who should
be trained and on what topics?

- Form/Content/Effectiveness of Training - Has training been offered
in a form and language appropriate for intended audiences? How have
providers measured the effectiveness of training?

- Communications About Misconduct - What has senior management done
to let employees know the provider's position on misconduct? What
communications have there been when employees are terminated for failure to
comply with providers' policies, procedures and controls, such as anonymous
descriptions of the types of misconduct that lead to discipline?

- Availability of Guidance - What resources have been available to
employees to provide guidance relating to compliance policies? How have
providers assessed whether employees know when to seek advice and whether
they are willing to do so?

Confidential Reporting and Investigation will be evaluated based upon the

- Effectiveness of Reporting Mechanisms - Haw have providers
collected, analyzed and used information from reporting mechanisms? How
have providers assessed the seriousness of allegations received? Have
members of the compliance staff had full access to reporting and
investigative information?

- Properly Scoped Investigation by Qualified Personnel - How have
providers ensured that the scope of investigations have been properly
determined and were independent, objective, appropriately conducted and
thoroughly documented?

- Response to Investigations - Have providers' investigations been
used to identify root causes, system vulnerabilities and accountability
lapses, including among supervisory, management and senior executives? What
has been the process for responding to investigative findings? How high up
the chain of command do investigative findings go?

It's a very sad day when providers get into trouble related to
non-compliance with fraud and abuse provisions. Tools are certainly
available to help ensure that providers avoid non-compliance, including this
recent guidance from the OIG.

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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