Saum T B, Byassee J
Physician Exec. 2000 May-Jun;26(3):56-9.
The pace and intensity of oversight and investigation of health care organizations has greatly increased at all levels. Well run organizations with ethical management committed to following all laws and regulations are still at risk for compliance violations and punitive penalties. Under the Federal Sentencing Guidelines, organizations with an "effective" corporate compliance program may receive reduced penalties. The seven components of an effective program as defined in the guidelines are: (1) Standards and procedures; (2) oversight responsibilities; (3) employee training; (4) monitoring and auditing; (5) reporting systems; (6) enforcement and discipline; and (7) response and prevention. Lack of a compliance program needlessly exposes the organization to an avoidable risk of damage from non-compliance--whether intentional or not. Moreover, an effective program can contribute to the efficient operation of the organization and be a key piece of its corporate culture.
各级对医疗保健机构的监督和调查的速度及强度都大幅提高。管理良好、有道德操守且致力于遵守所有法律法规的机构仍有违规及遭受惩罚的风险。根据《联邦量刑指南》，拥有“有效”企业合规计划的机构可能会获得从轻处罚。该指南中定义的有效计划的七个组成部分为：（1）标准与程序；（2）监督职责；（3）员工培训；（4）监测与审计；（5）报告系统；（6）执行与纪律；以及（7）应对与预防。缺乏合规计划会不必要地使机构面临因违规而造成损害的可避免风险——无论是否出于故意。此外，有效的计划有助于机构高效运作，并成为其企业文化的关键组成部分。
