Corporate Compliance

Tip: Questions the compliance officer should as the board of directors

Healthcare Auditing Weekly, January 20, 2009

Consider adapting some of the following questions to query the board of directors regarding their compliance comprehension:
  • How is the compliance program structured and who are the key employees responsible for its implementation and operation?
  • How is the board structured to oversee compliance issues?
  • How does the organization’s compliance reporting system work?
  • How frequently does the board receive reports regarding compliance issues?
  • What are the goals of the organization’s compliance program?
  • What are the inherent limitations in the compliance program?
  • How does the organization address the compliance program’s limitations?
  • Does the compliance program address the significant risks of the organization?
  • How were risks determined, and how will new compliance risks be identified and incorporated into the program?
  • What level of resources will be necessary to implement the compliance program as envisioned by the board?
  • How has management determined the adequacy of the resources dedicated to implementing and sustaining the compliance program?
This tip is adapted from The Healthcare Compliance Professional’s Guide to Board Reporting. For more information about the book or to order your copy, visit HCMarketplace.


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