• E-mail
• Print
• RSS

U.S. Sentencing Commission proposes amended guidelines

Compliance Monitor, May 5, 2004

Want to receive articles like this one in your inbox? Subscribe to Compliance Monitor!

The U.S. Sentencing Commission sent a proposal to Congress April 30 to amend the federal organizational sentencing guidelines, which feature the criteria for effective compliance and ethics programs.

If Congress accepts the changes, the amendment goes into effect November 1, 2004.

The intent is to create more rigorous standards for organizations' compliance and ethics programs, and to specify that boards of directors and executives now must take an active role in the content and operation of compliance initiatives.

The new compliance guidelines require organizations to exercise "due diligence" and promote "an organizational culture" that encourages a commitment to compliance. Check out the following highlights in the amendment:

1. The organization's leadership and governing authority must be knowledgeable about the content and operation of its compliance program and provide oversight in the implementation and effectiveness of the program.

2. The organization must assign specific high-level personnel to hold direct responsibility for the program's implementation and effectiveness. Personnel must have sufficient resources to do this and report directly to the governing authority or appropriate subgroup.

3. The organization must implement effective training programs for the governing authority, leadership, employees, etc. It should then audit and monitor the program and conduct ongoing risk assessments to reduce risk of violations.

4. The organization must have some form of anonymous reporting for employees and must implement appropriate incentives and disciplinary measures to ensure reporting, compliance, and correction of violations.

To read the proposal, click here.

For analysis, look for a story in the June 2004 issue of Strategies for Healthcare Compliance.

Want to receive articles like this one in your inbox? Subscribe to Compliance Monitor!

• E-mail to a Colleague
• Print
• RSS
• Archive