Are you a Compliance Lone Ranger?

I often encounter individuals who ask me how to get their Compliance Program off the ground, or they’re in a position in which their organization has bits and pieces of a Compliance Program in place, or someone started to develop a Program years ago, and somehow the ball got dropped. Regardless, this individual has been given the responsibility of ensuring their Compliance Program is implemented and they don’t know where to begin. If you are in this camp – read on!!

First, you must be sure you are not the Lone Ranger. I see this all too often and have also ridden in that saddle. It is truly a lonely ride through the wilderness! (Can you hear the William Tell Overture?”)

So, first consider that other departments or functions within your organization are not managed by a singular individual, alone, and with no support. Even in small organizations, there is more than 1 individual in a department, or there is a committee, or division meetings, etc., in which you discuss and receive support regarding objectives, initiatives, or various projects. No one can be effective and successful if they work in a vacuum. Even the Lone Ranger had Tonto.

It is no different for Compliance. In order to initiate, or move your Compliance Program forward, you will need to make decisions, get feedback on a myriad of documents, and generally collaborate with other leaders in your organization. You must ensure that you have that requisite support – that support is your Compliance Committee.

The membership of your Compliance Committee is entirely your organization’s decision. It should be comprised of individuals who will “aid and support the compliance officer in implementing, operating, and monitoring the Compliance Program.”** Specifically, members of the Committee should assist in analyzing your legal and regulatory requirements, review policies and procedures, help to monitor internal controls, review training materials, etc. If your Compliance Committee is just being formed, members will likely need a bit of education to understand their role and the expectations placed on them. Be careful, Kemosabe – the Compliance Officer does not report to the Compliance Committee; the Compliance Committee is there to bolster the Compliance Officer. You, as the Compliance Officer, are still responsible for leading this Committee. All of this – the Committee objectives, membership, expectations and responsibilities, etc., must be captured in a documented Compliance Committee Charter. For a template of a Compliance Committee Charter, click FIX THIS LINK _ Policy & Procedures — Wild Consulting, Inc. (wildconsultinginc.net). Other detailed recommendations, expectations, and suggested structure of your Compliance Committee can be found in the OIG’s “General Compliance Program Guidance” released last November. **

So, how do you ensure Compliance Committee members will accept their role on the committee, be actively and meaningfully engaged, and support the Compliance Officer? The very first thing a Compliance Officer must do is to garner the support of your Board of Directors! This is your silver bullet – the governing body! Without their acknowledgment and validation of the organization’s Compliance Program, you will be very challenged to implement a successful Program. Most often formal support from the Board of Directors takes the form of a written resolution, brought to the Board of Directors by the Compliance Officer. The resolution officially documents the Board’s directive that the organization establishes (or strengthens) a Compliance Program, appoints a Compliance Officer, provides an adequate budget and resources, establishes a Compliance Committee, and requires regular status reports from the Compliance Officer. For a template of a Board of Directors Resolution, go to FIX THIS LINK  Policy & Procedures — Wild Consulting, Inc. (wildconsultinginc.net).

Once your Board of Directors passes a formal resolution directing the organization to form a Compliance Committee, it is very difficult for senior leadership, including the CEO, or the Compliance Committee, to act in any other manner than to help champion compliance. With an approved Board Resolution and Compliance Committee Charter, you are on your way! Hi’yo Silver!!

**General Compliance Program Guidance | Office of Inspector General | Government Oversight | U.S. Department of Health and Human Services (hhs.gov)