Evidencing Employee Understanding of Compliance Training
Key Points: Compliance officers are responsible for ensuring that all employees understand compliance requirements. Learning is hard, and forgetting is…
Critical Written Guidance for Effective Compliance Programs
Both the Department of Health and Human Services (HHS) Office of the Inspector General (OIG) and Department of Justice (DOJ)…
Expedited Compliance Document Evaluation
Key Points Many seek the quickest and least expensive means to have their compliance programs evaluated. Common methods for independent…
Checklist for Addressing Ongoing Monitoring and Auditing
There remains considerable confusion among compliance officers regarding the proper management and ownership of monitoring and auditing functions. “Monitoring” is…
2021: Time for Evidencing Compliance Program Evaluation?
Key Points: Full compliance program effectiveness evaluations. Compliance program gap analysis. Employee compliance knowledge or culture surveys. The Compliance Officer,…
Addressing and Investigating Conflicts of Interest
21 Tips for Compliance Officers Conflict of interest (COI) is a significant compliance risk area. The Department of Health and Human…
Documents That Support Effective Compliance Programs
Checklist of 21 Key Documents Reinforcement with key documents and metrics is key to an effective Compliance Program (CP). Any…
In 2021, Consider Meeting DOJ And OIG Guidance About Evidencing Compliance Culture
Key Points: OIG compliance guidance recommends evaluating all elements of a compliance program through employee surveys. Results of surveys early…
The Importance of Exit Interviews for Compliance Program
Conducting Effective Exit Interviews for Compliance Programs Exit Interviews can be useful, but only if done right. Many organizations have…
Investigative Records Management
Keep investigative records strictly controlled with access only on a “need to know” basis. An investigative record is any recorded…
DOJ Compliance Program Evaluations Present A Challenge For Compliance Officers
Key Points: In recent years, the U.S. Department of Justice (DOJ) has issued a series of policies designed to incentivize…
Factors To Consider When Initiating An Internal Compliance Investigation
If there is a reported alleged violation of the Code of Conduct (Code), policies/procedures, laws or regulations, someone authorized to…