Chapter 4: Evaluation Processes, Investigations, and Noncompliance Response

Discipline and Incentives

There are numerous ways in which the compliance function can demonstrate that is it operating effectively. A well-designed disciplinary policy with documented enforcement that is fair and consistent is a key component of an effective compliance program. In a similar vein, incentives can drive human behavior toward compliance. The OIG’s seven elements of an effective compliance program include publicizing and enforcing disciplinary processes. DOJ Criminal Division, in its June 1, 2020, Evaluation of Corporate Compliance Programs guidance states that “another hallmark of effective implementation of a compliance program is the establishment of incentives for compliance and disincentives for non-compliance.”[3]

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