Wednesday, May 15, 2019

DOJ Guidance on Evaluation of Corporate Compliance Programs

The Department of Justice (DOJ) has updated its guidance for Evaluation of Corporate Compliance Programs. This guidance is aimed at assisting prosecutors in making decisions as to whether and to what extent a compliance program was effective at the time of the offense. The 2019 Guidance Document is organized around three central questions:
  1. Is the corporation’s compliance program well designed?
  2. Is the compliance program being applied earnestly and in good faith? In other words, is the compliance program being implemented effectively?
  3. Does the corporation’s compliance program work in practice?
Earlier guidance from 2017 focused more on the design of a compliance program, while this updated guidance indicates that prosecutors will also be focused on a deeper dive into whether the program is effective.

The American Health Care Association (AHCA) has resources for nursing center member to support creating or updating a Compliance and Ethics Program per 42 CFR § 483.85 in the Requirements of Participation (RoP) Phase 3. The new resources that are now available here. It’s important to be aware of this guidance from DOJ, as well as other guidance from the Office of Inspector General, because they offer best practices for compliance programs and the Centers for Medicare and Medicaid Services may incorporate these principles into their survey process.

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