The Role of Compliance in Government Enforcement


By Shannon Sumner
Governmental enforcement activity is on the rise, and improved coordination among enforcement bodies is meant to “help to identify culpable individuals and hold them accountable.”  With this increase in enforcement actions, it is imperative that compliance remains top-of-mind. Effective compliance programs can not only serve as shields against potential risks, but they also provide a strong defense against government inquiry and/or enforcement.

PYA, P.C., a national professional services firm providing management consulting and accounting, has co-authored a white paper along with David Ogden, a partner and chair of WilmerHale’s Government and Regulatory Litigation Practice Group who is also former Deputy Attorney General of the United States and Assistant Attorney General for the Civil Division, United States Department of Justice. “The Role of Compliance in Government Enforcement” highlights the importance of effective compliance programs when it comes to mitigating risk and averting enforcement actions. It looks at the history of, and specifics related to, recent enforcement activity, including the evolution of settlement agreements, the important role of monitorships, and why compliance matters.

According to the paper, becoming familiar with the government’s perspective on, and response to, topics such as board and management accountability, assessment of training programs, and reviews of codes of conduct, is imperative for the development of sound compliance programs that offer proper risk assessment, prevention, and mitigation.

Shannon Sumner serves as PYA Chief Compliance Officer and Office Managing Principal, Nashville.

Serving clients in all 50 states from offices in Atlanta, Kansas City, Knoxville, Nashville, and Tampa, PYA is consistently ranked by Modern Healthcare as one of the Top 20 Healthcare Consulting Firms in the U.S. and by INSIDE Public Accounting as one of the nation’s Top 100 Largest Accounting Firms. Accounting Today highlighted PYA as “One of the Most Successful Firms in the Country.” This success is the result of more than 35 years of steadfast adherence to a culture of integrity, responsiveness, and relationships – both with clients and teammates. Learn more at