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HCCA issues comments on proposed changes to U.S. sentencing guidelines

Compliance Monitor, March 17, 2004

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The executive committee of the Health Care Compliance Association (HCCA) submitted comments March 8 to the U.S. Sentencing Commission on the proposed changes to the U.S. Sentencing Guidelines, published last December in the Federal Register.

The HCCA responded specifically to material in Chapter 8, which related to compliance programs.

Comments included issues with compliance officers' accountability towards the effectiveness of a compliance program. According to the HCCA letter, "The proposed changes have added language to § 8B2.1(b)(2), which states that the high-level person responsible for the program (the compliance officer) has the responsibility to 'ensure the implementation and effectiveness of the program.' Our concern is that this amendment may not reflect the fact that compliance can only be achieved if the operating management of an organization (at all levels) performs the roles and responsibilities assigned to it through the compliance program.

"As a practical matter," the letter continues, "the role of the compliance officer is to develop a compliance program and a structure for implementing the program. The compliance officer should then provide leadership and coordination of the program, as well as monitoring program performance and reporting to management and the board on program implementation."

To read HCCA executive committee comments in their entirety, click here .

To read the USSC notice on the proposed changes, (see pages 60-80) click here .

HCCA a national, nonprofit organization dedicated to improving the quality of compliance, has more than 3,000 compliance professional members who oversee the compliance efforts of thousands of organizations.

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