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Letter from CEO ...continued from page 19 n Microsites o User definable Websites o Can be used for special interest groups o Easy to set up, although they have somewhat limited flexibility n Event Calendar o Highlight by event type o Filter events by location o Search the calendar by keyword This is one of the biggest advantages to compliance professionals to come along in many years. Our profession will be more effective and successful. Many other professions have yet to adopt this technology. The key to its success is simply a numbers game, particularly for small special interest groups. If small groups don’t get enough people to participate, questions will go unanswered, documents will not be shared as effectively, etc. Do whatever you can to support the compliance community and become involved. Each group will benefit only if there are an adequate number of people to participate. I have been getting complaints for years from people who say “All I hear about is the hospital perspective.” I agree more must be done. In some ways, the ball is in their court. This is an obvious case of, “If you don’t give, you will not receive.” This will be a great step in the right direction. n Reprinted from Journal of Health Care Compliance, Volume 10, Number 5, September-October 2008, pages 3-4, with permission from CCH and Aspen Publishers, WoltersKluwer businesses, New York, NY, 1-800-638-8437, www.aspenpublishers.com. CHRC certified in healthcare Research compliance The Research Compliance Professional’s Certification The CCB Research Compliance Certification exam will be available in all 50 U.S. states. Join your peers and become Certified in Healthcare Research Compliance (CHRC). Enjoy the benefits of CHRC certification: n Demonstrate professional standards and status for healthcare research compliance professionals n Heighten the credibility of compliance practitioners and the compliance programs staffed by these certified professionals n Ensure that each certified practitioner has the knowledge base necessary to perform the compliance function n Facilitate communication with other industry professionals, such as government officials and attorneys n Demonstrate the hard work and dedication necessary to succeed in the compliance field For more information on how you can become CHRC Certified, please call 888-580-8373 or e-mail ccb@hcca-info.org. Congratulations on achieving CHRC status! The Compliance Certification Board announces that the following individuals have recently successfully completed the Certified in Healthcare Research Compliance examination, earning CHRC designation: Ofer Amit Marti Arvin Thomas Bechert Brenda Chapman Dwight Claustre Kendra Dimond John Falcetano Susan Golembeski Joy Hardee Lucinda Hopewell Stuart Horowitz Lori Kam Carole Klove Heather Kopeck Amy Latulipe Sarah McHugh Angela McMahill Ryan Meade Stacey Medeiros Rachel Nosowsky Mary Prather Terry Reeves Barbara Scott Jonathan Seltzer Lindsay Sondergeld Katherine Tarvestad Debbie Troklus Sheryl Vacca Kelly Willenberg The certification in Healthcare Research Compliance (CHRC) is developed and managed by the Compliance Certification Board (CCB) October 2008 78 Health Care Compliance Association • 888-580-8373 • www.hcca-info.org
New principles can help advance independent corporate monitoring ...continued from page 77 The memo notes that no one method of selection will cover every case, because a monitor’s role may vary. However, whatever method is used, the government should determine what selection process is most effective as early in the negotiations as possible, and “endeavor to ensure that the process is designed to produce a high-quality and conflict-free monitor and to instill public confidence.” 18 The memo suggests that both sides in the matter discuss what role the monitor will play, and the skills and experience needed. The memo anticipates that, depending on the case, monitors may include former government attorneys, accountants, technical or scientific experts, and compliance experts. It recommends that at least three qualified candidates be considered in each case. Scope of Duties Critics of monitoring also express concern over the authority of the monitor. In some cases, monitors have been able to override the decision-making authority of the company CEO and the Board of Directors. In the WorldCom case, for example, the monitor participated in the company’s business operations and was described unofficially as a company executive. 19 To address these concerns, the Morford memo spells out the breadth of the monitors’ responsibilities to prevent the monitor from overstepping his or her authority, while also reinforcing the monitor’s independence. Principle 2. “A monitor is an independent third-party, not an employee or agent of the corporation or of the Government.” By definition, the independent monitor is distinct and independent from the directors, officers, employees, and other representatives of the corporation. The monitor is not the corporation’s attorney. Similarly, the monitor is not an arm of the government. While open dialogue with the monitor throughout the agreement is essential, all parties must understand the corporation cannot seek legal advice from the monitor, nor can the government direct the monitor. Principle 3. “A monitor’s primary responsibility should be to assess and monitor a corporation’s compliance with those terms of the agreement that are specifically designed to address and reduce the risk of recurrence of the corporation’s misconduct, including, in most cases, evaluating (and where appropriate, proposing) internal controls and corporate ethics and compliance programs.” The type of misconduct being monitored and the skills required of the monitor will vary from one case to another, but a common thread in any case where the use of an independent monitor is under consideration includes the existence of an effective compliance program. As such, “A monitor’s primary role is to evaluate whether a corporation has both adopted and effectively implemented ethics and compliance programs to address and reduce the risk of recurrence of the corporation’s misconduct. A well-designed corporate code of ethics and compliance program that is not effectively implemented will fail to lower the risk of recidivism.” 20 The memo recommends that the corporation should design its own compliance program, but subject to the monitor’s “input, evaluation and recommendations.” Principle 4. “In carrying out his or her duties, a monitor will often need to understand the full scope of the corporation’s misconduct covered by the agreement, but the monitor’s responsibilities should be no broader than necessary to address and reduce the risk of recurrence of the corporation’s misconduct.” In other words, the role of the monitor should be clearly defined and focused on reducing the risk of recurring misconduct. According to the memo, “Neither the corporation nor the public benefits from employing a monitor whose role is too narrowly defined (and, therefore, prevents the monitor from effectively evaluating the reforms intended by the parties) or too broadly defined (and, therefore, results in the monitor engaging in activities that fail to facilitate the corporation’s implementation of the reforms intended by the parties).” Just as a business is more likely to succeed when it has a business plan with clearly defined goals, corporate monitors will be more likely to succeed if their duties and ultimate goals are clearly defined. The scope of the monitor’s duties should be fully described in the terms of the agreement. The memo points out that an understanding of historical misconduct may inform a monitor’s evaluation of the effectiveness of the corporation’s compliance with the agreement. Communication How and what a monitor communicates to the government agency prosecuting the case or the corporation being monitored can be challenging. The monitor must maintain impartiality, while keeping in mind the ultimate goal of helping the corporation to achieve ongoing regulatory compliance. What happens, though, when the monitor discovers previously unknown misconduct And what if the corporation is lax in following the monitor’s recommendations Continued on page 80 Health Care Compliance Association • 888-580-8373 • www.hcca-info.org 79 October 2008
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Volume Ten Number Ten October 2008
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INSIDE Publisher: Health Care Compl
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which ensures that the understandin
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Table 1: 14 CLAS Standards U.S. Dep
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Scholarship Recipients The Four Dua
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and need emergency care (e.g., an i
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Court analyzes first case under Sta
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It was established in 1969 in respo
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and get linked up with e-newsletter
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Social networking Many compliance p
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Focus on Organizational Compliance
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Medicare’s medical necessity crit
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Is no notice enough notice Legal pr
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Page 31 and 32: Certification - the recognized mark
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Page 35 and 36: Introducing Compliance & Ethics Soc
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Page 39 and 40: n State OIG that fight Medicaid fra
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Page 43 and 44: The what, why and how of Medicare C
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Page 53 and 54: SEC Disclosure: Managing informatio
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Page 83 and 84: ASKLEADERSHIP John asks the leaders
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