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Compliance Plan

Chief Compliance Officer's Responsibilities

The Chief Compliance Officer’s responsibilities shall include:

  • Implementation, administration and oversight of the Plan.

  • Coordinating with each Unit to develop and implement Unit compliance plans, including approval of Unit reviews, oversight of the sample selection process, and review of the documentation process to ensure all reviews are conducted in a consistent manner.

  • Overseeing chart and billing reviews conducted by auditors provided by the Manager, Physician Compliance.

  • Monitoring all developments and changes in relevant local, state and federal statutes, regulations and applicable court decisions that may affect the Plan, while coordinating and conducting all necessary and appropriate periodic in house educational compliance classes for the School or Clinical Unit employees.

  • Developing, reviewing and approving training materials and programs, monitoring and coordinating training classes through the development of core class curricula at the unit and assistance in the development of departmental curricula related to compliance issues.

  • Developing, implementing and directing a process which facilitates reporting of all possible non-compliance by employees to the Ethics, Compliance and Corporate Integrity Office, including advertisement of the Ethics helpline.

  • Investigating inquiries concerning proper billing practices or other reports of non-compliance by determining whether a compliance issue exists and developing an appropriate response to any identified instances of non-compliance.

  • Developing appropriate corrective action plans to address compliance issues. 

  • Preparing an annual compliance report for submission to the Dean of the School, or President of the Clinical Unit, the Compliance Committee and the faculty practice plan(s) which documents the organization’s compliance efforts, summarizes compliance activities and identifies suggested changes and enhancements. 

  • Review, revise and develop appropriate policies to guide all School and Clinical Unit employees  in their compliance efforts.

  • Review, revise and approve all Unit Compliance plans.

  • Provide overall leadership for the Unit Compliance Plans.

  • Coordinating with the UMDNJ Office of the General Counsel and counsel for the clinical practice groups (i.e. UPA) regarding all legal issues related to compliance.

  • Reporting on activities to the President and to the Board of Trustees through its Audit Committee.


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