US · guidance

CMS Pub. 100-18, ch. 9, § 50.1

Element I: Written Policies, Procedures and Standards of Conduct

activein force · 2026-09-17 – presentas-observed

42 C.F.R. §§ 422.503(b)(4)(vi)(A), 423.504(b)(4)(vi)(A)

Sponsors must have written policies, procedures and standards of conduct that –

1. Articulate the sponsor’s commitment to comply with all applicable Federal

and State standards;

2. Describe compliance expectations as embodied in the Standards of Conduct;

3. Implement the operation of the compliance program;

4. Provide guidance to employees and others on dealing with suspected,

detected or reported compliance issues;

5. Identify how to communicate compliance issues to appropriate compliance

personnel;

6. Describe how suspected, detected or reported compliance issues are

investigated and resolved by the sponsor; and

7. Include a policy of non-intimidation and non-retaliation for good faith

participation in the compliance program, including, but not limited to,

reporting potential issues, investigating issues, conducting self-evaluations,

audits and remedial actions, and reporting to appropriate officials.

The requirements that are discussed in this section must be included as part of the

compliance program but may be stated either in policies and procedures or in

Standards of Conduct. They may, but need not, appear in both documents.

History

(Chapter 9 - Rev. 15, Issued: 07-27-12, Effective: 07-20-12; Implementation: 07-20 12)

Provenance

Source: cms.gov
Retrieved: 2026-09-17
Edition: iom-2026-09-17
Content hash: d1b71bc9228b570ccc267e5cfe8724faf2d47eb521bf958ae148f892f9c11011

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