What do the Guidelines mean by “an organizational culture that encourages ethical conduct and compliance with the law?
” Raffa: That language addresses a culture which encourages corrections of mistakes, and voluntary disclosure, if appropriate. For example, in my field it is not unusual for a healthcare organization to receive reimbursement from Medicare or Medicaid and later discover an issue that clearly indicates they were not entitled to the reimbursement at all. An organization operating within an ethical framework responds by returning the money, and addressing the error so that it does not happen again. Editor: And the elements constituting a basic compliance plan evidence such an organizational culture? Raffa: Yes, and the proposed revisions to the Sentencing Guidelines are meant to strengthen compliance plans, but do not revise them in any fundamental way. It is essential that a healthcare provider have a compliance plan. However, the plan must have a meaningful role in the ongoing operations of the organization, and not sit on a shelf from year to year and only see the light of day when the
