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Compliance professionals hang their hat on the achievement of an effective compliance program. What do compliance professionals mean by “effective?” The U.S. Sentencing Commission’s 2016 Guidelines Manual (1)  (“Federal Sentencing Guidelines”) states that to have an effective compliance and ethics program an organization must: 1) exercise due diligence in preventing and detecting criminal conduct, and 2) promote a culture of compliance that encourages ethical conduct and commitment to abiding by the law. (2)  The Federal Sentencing Guidelines as well as the U.S. Department of Health and Human Services Office of Inspector General Guidance Documents on Compliance Programs (3) (“OIG Guidance”) herald the holy grail of achieving an “effective compliance program.”

1. United States Sentencing Commission, Guidelines Manual, §3E1.1 (Nov. 2016);
2. USSG (2016) §8B2.1(a)(1)-(2)
3. OIG Compliance Guidance;

Editor's Note: This article was originally published in the January-February 2017 Edition of the Journal of Health Care Compliance. Published here with permission.

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