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…
Compliance Program Maturity Models
Maturity Models have been used for decades in the defense, energy, and information technology sectors. In the last few years,…
DOJ Compliance Guidance Regarding Compliance Culture
Key Points: Compliance culture repeatedly used in the DOJ Guidance. “How often and how does the company measure its culture…
2020 DOJ Compliance Guidance Policy Questions: Suggested Actions
There can be no doubt about the value that the Department of Justice (DOJ) places on the development, implementation, and…
Evidencing Compliance Culture
Developing a culture of compliance within an organization should be a major goal for any compliance officer. The underlying premise…