8 AUGUST - 20228 July - 2022IN MY OPINIONHealthCare Compliance Investigations Involving Senior Leaders or Board MembersBy Donnetta Horseman, Chief Compliance Officer, Moffitt Cancer CenterHealth care compliance officers are charged with implementing an effective compliance program but the board of directors is ultimately responsible for compliance oversight. Serious compliance investigations are routinely reported to senior leadership and the board compliance committee as part of their oversight responsibilities. But what happens when the subject of the investigation is a member of the CEO, a senior leader, or a board member?One simply has to read the latest healthcare enforcement news to know that bad actors can be anywhere in an organization. Compliance officers need a solid roadmap for navigating when an investigation leads to those at the top of the organization. First and foremost, compliance officers need a direct line of communication to the CEO and the board. Issues involving senior leaders must be brought to the immediate attention of the CEO, and if the CEO is subject of the investigation, the board compliance committee needs to guide the investigation. The Compliance Officer should have access to the CEO's employment contract. In many cases, these contracts layout compliance expectations for the CEO and the Compliance Officer cannot enforce those if s/he is not aware of them.The Compliance Officer must have independent access to outside counsel without having to go through the General Counsel's office. This is critical if the Compliance Officer and General Counsel do not agree on a particular matter or in the event the General Counsel is the subject of the investigation. Even if the Compliance Officer and General Counsel Donnetta Horseman
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