The Department of Justice (DOJ) continues to elaborate on its
commitment to principles of individual accountability in corporate
civil and criminal investigations, even as questions arise with
respect to enforcement policies under the new Administration. In a
November 30 speech, deputy attorney general
Sally Yates provided an overview of DOJ’s heightened focus on
individuals and introduced a new website offering resources on the
application of the “Yates Memorandum.”
Given the intense industry reaction over the last year to the
DOJ’s heightened focus on individuals, any clarification on
the application of the Yates Memorandum can be of interest to the
board’s audit and compliance committee. This is particularly
the fact given that several recent False Claims Act (FCA)
settlements involving health care organizations have included some
form of financial penalty assessed on officers and to directors. In
reviewing the roll-out of the Yates Memorandum over the last
