Compliance Program Effectiveness Evaluation

Strategic Management’s Compliance Program Effectiveness Review includes an in-depth analysis of your compliance program to establish its current status and needs. Our proprietary comprehensive compliance evaluation protocol contains elements from the U.S. Sentencing Commission Sentencing Guidelines, the HHS OIG compliance program guidance documents and the DOJ Evaluation of Corporate Compliance Programs. We offer a collaborative compliance program effectiveness review process to identify and verify the existence and effectiveness of key elements of a compliance program.

Effective compliance programs include proactive monitoring and auditing functions that are designed to test and confirm compliance with legal requirements and with the organization’s written compliance standards. The focus is on determining whether the compliance program working effectively.

Compliance Program Effectiveness Assessment

Strategic Management reviews existing compliance documents, evaluates program operations, and conducts on-site and remote interviews for a complete 360° review of the compliance program.

Strategic Management also assesses your program for evidence to support the USSC, DOJ and OIG’s seven elements of an effective compliance program by examining regulatory requirements, industry best practices, and enforcement trends. Our extensive experience with health care operations enables us to provide proven best practice recommendations for compliance operations to our clients.

Compliance Program Evaluation and Interviews

Strategic Management conducts interviews with key Board members, executives, managers, and focus groups, and employs metrics to ensure effective operations and analysis of high-risk areas. Strategic Management also conducts ancillary site visits, deploys surveys, and works directly with the Compliance Officer to ensure a complete and accurate understanding of the program.

Report of Findings and Recommendations 

Strategic Management concludes the Compliance Program Effectiveness Reviews with a Report of Findings and Recommendations to address each of the OIG’s elements of an effective compliance program and to provide actionable recommendations for each area identified for improvement. Strategic Management collaborates with the Compliance Officer during review and will often present our findings and recommendations to the Board of Directors as part of their oversight responsibility for the compliance program.