Dental Compliance Plans

Compliance Plans are essential to a dental practice's day-to-day business. They may also help impede future problems from happening if the Plans are developed, executed, and maintained by an organization and its staff. Implementing a Compliance Plan also notifies employees that the organization will not tolerate fraud, waste, or abuse, and demands that each employee guarantees that his or her business conduct is proper.

HHS-OIG has recognized the importance of these Plans to help eliminate improper conduct and streamline business practices and dentists, like other medical providers, should have effective Compliance Plans in place.[1]


Liles Parker attorneys work with clients to pinpoint and attend to each general and specific risk the dental practice might encounter. We also ensure that Compliance Plans meet the seven requirements set forth in the Federal Sentencing Guidelines to qualify as an effective program:


  1. Reasonable Implementation of Compliance Standards and Procedures.
  2. Appointment of a Corporate Compliance Officer or Committee
  3. Exercise of Due Care in the Delegation of Discretionary Authority
  4. Employee Education and Compliance Training
  5. Ongoing Monitoring and Reporting Systems
  6. Consistent and Continuous Enforcement of Compliance Standards, including discipline of individuals when appropriate
  7. Response to Offenses and Prevention of Reoccurrences

As we work with your organization we will evaluate each of these components individually. We will also evaluate the dental practice's compliance with legal requirements such as the Health Insurance Portability and Accountability Act, the Occupational Health and Safety Act, and employment laws. Moreover, we will tailor Plans to account for: the provider’s size (in terms of the number of staff members, the number of locations, and the breadth of health care related services provided); the organization’s resources; the nature of care provided; the general risks; and the organization’s provider-specific risks.


Liles Parker attorneys and staff are well-versed in developing, implementing, and reviewing effective Compliance Plans and broader Compliance Programs. If you have questions or need assistance with your practice’s Compliance Plan or Program, please call us for a complimentary initial consultation: 1 (800) 475-1906.

[1]  As set out in the Federal Register, the definition of ‘‘physician’’ includes: (1) a doctor of medicine or osteopathy; (2) a doctor of dental surgery or of dental medicine; (3) a podiatrist; (4) an optometrist; and (5) a chiropractor. 65 Fed. Reg. 59435 (Oct. 5, 2000) (emphasis added).

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