The previous requirement, under In re Caremark International, Inc. [1], was simply for a Board of Directors (“Board”) to ensure that an adequate compliance program of some form existed. The Department of Justice’s new “Evaluation of Corporate Compliance Plan Programs” [2] guidance (“2020 Guidance”) provides clarity and direction on the government’s perspective for measuring compliance program effectiveness. The 2020 Guidance and the Federal Sentencing Guidelines (“FSG”)[3] very clearly reference the “tone at the top” and there are several specific references to the role of the governing board. A Board of Directors is responsible to oversee whether the employees are “convinced” of the corporation’s commitment to compliance.
Lindsay, an expert healthcare compliance attorney, assists with creating Compliance Programs, including conducting due diligence, evaluating Hotline reporting, implementing training and education, communicating the policies and procedures to employees, auditing and monitoring, as well as assisting with creating and enforcing a response system for the Compliance Program.
Effective policies save money and time. Lindsay has been successful and drafting policies that are understandable, clear and error-free. She has completed 100% of her projects on-time and within budget. Contact Lindsay today if you are in need of a healthcare compliance attorney!
At the completion of a Healthcare Compliance project in Milwaukee, WI, managed by a Private Equity Company, the client reported “Thanks Lindsay for all your help with the policies and procedures! You helped us organize the process and push through!”
[1] In re Caremark International, Inc. Derivative Litigation, 698 A.2d 959 (Del. Ch. 1996).
[2] Evaluation of Corporate Compliance Programs, published April 30, 2020, Updated June 2020 by the U.S. Department of Justice Criminal Division, available at https://www.justice.gov/criminal-fraud/page/file/937501/download
[3] United States Sentencing Commission Guidelines Manual, Chapter 8, Sec. 8B2.1-EFFECTIVE COMPLIANCE AND ETHICS PROGRAM. https://guidelines.ussc.gov/gl/§8B2.1
DISCLAIMER: The information provided on this website does not, and is not intended to, constitute legal advice; instead, all information, content, and materials available on this site are for general informational purposes only. Information on this website may not constitute the most up-to-date legal or other information. This website contains links to other third-party websites. Such links are only for the convenience of the reader, user or browser. Readers of this website should contact their attorney to obtain advice with respect to any particular legal matter. No reader, user, or browser of this site should act or refrain from acting on the basis of information on this site without first seeking legal advice from counsel in the relevant jurisdiction. Only your individual attorney can provide assurances that the information contained herein – and your interpretation of it – is applicable or appropriate to your particular situation. Use of, and access to, this website or any of the links or resources contained within the site do not create an attorney-client relationship between the reader, user, or browser and website authors or contributors.
