The Architect and General Contractor
Every building project needs a good architect and general contractor – someone to design the house, make sure all the parts fit, that the right tools and equipment are in place, and that the building plans are followed. The same is true for compliance programs.
That person is the company compliance officer. This compliance officer should be involved in setting up any new compliance program, including all the pieces of the program that we talk about in this guidance. Once the program is set up, the compliance officer has an ongoing role in running the program, making sure it keeps running smoothly, recommending improvements when needed, and regularly reporting to the Board or owners on how it’s working. Here’s a sample Compliance Officer Checklist designed to help you set up and monitor the role of your compliance officer.
The OIG states the following about the importance and role of your compliance officer:
Each company should appoint a compliance officer to serve as the focal point for all compliance activities. This individual should have sufficient authority to implement and enforce the compliance program; have direct access to the Board of Directors, Owners, and key management personnel; have access to key documents, including resident, quality, billing, and marketing records; and have sufficient staff and funding to carry out the compliance functions.
The compliance officer should be appointed by the Board of Directors or Owner(s). Proper execution of compliance responsibilities, and promotion of adherence to the compliance program and this compliance manual, shall be a factor in the annual work evaluation of the compliance officer.
The officer selected should be respected and trusted by employees at all levels of the organization. The OIG suggests that chief financial officers or similarly situated financial personnel not serve as the compliance officer, since much of the compliance program focuses on billing and financial operations. The vice president for operations, or another staff member very familiar with facility operations, may be a good choice.
Here’s some sample language you might want to use in your compliance program policy to describe the role of the compliance officer (modify this to fit your company).