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Compliance Policy Statement

The Muscogee (Creek) Nation Department of Health is dedicated to maintaining excellence and integrity in all aspects of our operations and professional and business conduct. Accordingly, the Department of Health is committed to conformance with high ethical standards and compliance with all governing laws and regulations not only in health care but in our business affairs and dealings with staff, payers, and the communities we serve. It is our responsibility to honor this commitment in accordance with the terms of the Muscogee (Creek) Nation Department of Health Code of Conduct, and related policies procedures, and standards developed by the Department of Health.

The Effective Compliance and Ethics Program Framework

Under the Federal Sentencing Guidelines, a convicted corporation or other organization is eligible for a reduced sentence if it had an effective compliance and ethics program in place at the time of the offense. The Guidelines spell out several features that a compliance program must have for the corporation to receive this credit.

These requirements have taken on importance well beyond the small number of cases in which corporations stand convicted of federal offenses each year. Satisfying the requirements in the Guidelines for an effective compliance and ethics program is widely viewed as an important step in (i) avoiding prosecution altogether, (ii) positioning a corporation to advocate for a non-prosecution or deferred prosecution agreement, (iii) mitigating the fine that must be paid if a non-prosecution or deferred prosecution agreement is negotiated, or (iv) steering clear of civil liability in the private litigation and enforcement contexts.

The current requirements under the Federal Sentencing Guidelines for an effective compliance and ethics program include:

  1. standards and procedures to prevent and detect criminal conduct;
  2. knowledge by the corporation’s board about the content and operation of the program and the exercise of reasonable oversight with respect to its implementation and effectiveness;
  3. reasonable efforts to avoid placing in a substantial authority position those whom the organization should have known had engaged in illegal activities or other conduct inconsistent with an effective compliance and ethics program;
  4. reasonable steps to communicate the program’s standards and procedures throughout the organization, and training that is tailored to each audience;
  5. reasonable steps to ensure that the corporation’s compliance program is followed, including monitoring and auditing to detect criminal conduct, periodically evaluating the program’s effectiveness, and publicizing a system that allows reporting or the receipt of guidance about potential and actual criminal conduct without fear of retaliation;
  6. consistent promotion and enforcement of the program with appropriate incentives for proper performance and appropriate disciplinary measures for those who engage in criminal conduct or fail to take reasonable steps to prevent or detect it; and
  7. reasonable steps to respond appropriately to criminal conduct when detected, and to prevent further similar criminal conduct, including any needed changes to the program.

These requirements have been in place, with minor modifications, since 2004. Despite this guidance, corporations almost never have qualified for a sentence reduction for having an effective compliance and ethics program.

How to Report Non-Compliance

  • Notify your supervisor unless he or she may be involved in the issue.