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!

Lindsay texting on phone

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

[3] United States Sentencing Commission Guidelines Manual, Chapter 8, Sec. 8B2.1-EFFECTIVE COMPLIANCE AND ETHICS PROGRAM.§8B2.1

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