Earlier this year, the Fraud Section of the US Department of Justice (DOJ) published its Evaluation of Corporate Compliance Programs (the “Guidance”). The Guidance set out important standards for corporate compliance plans. The Guidance also provides a checklist for corporations’ compliance programs. The DOJ recognizes that compliance plans are not a “one size fits all” type of document and each corporation will need to tailor their own compliance plans to fit their own needs.
The Guidance expands on previously provided factors that federal prosecutors take into account with assessing the resolution of cases. These factors are commonly known as the Filip Factors. This new guidance aims to increase understanding of the Filip Factors and how they relate to a comprehensive compliance program.
The Guidance is divided into eleven (11) sections to be covered by compliance programs. These sections are as follows:
- Analysis and Remediation of Underlying Conduct
- Senior and Middle Management
- Autonomy and Resources
- Policies and Procedures
- Risk Assessment
- Training and Communications
- Confidential Reporting and Investigation
- Incentives and Disciplinary Measures
- Continuous Improvement, Periodic Testing and Review
- Third Party Management
- Mergers & Acquisitions
Each section contains common questions the DOJ may ask in determining the sufficiency of a compliance program. These sample questions give corporations insight into the type of information the DOJ will be looking for when analyzing a compliance program in light of possibly pursuing criminal charges against the corporation.
For more regarding corporate health care compliance, please contact any member of the Blalock Walters health care team. To reach health care attorney, Ann Breitinger, call 941.748.0100 or email firstname.lastname@example.org.