Compliance Officer Duties and Responsibilities
The Compliance Officer (“CO”) is responsible for coordinating the entire compliance process. She should be trustworthy, well-informed and have sufficient standing in the organization to assert the authority provided by the Board of Directors. The Compliance Officer’s primary duties and responsibilities include: •
Oversee design and implementation of a compliance plan, and then monitor the on-going operations of the plan.
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Coordinate with the proper departments and individuals so that each component of the plan is properly executed.
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Report to the Administrator, (district or region director if applicable) and the Board of Directors, both with routine reports and special reports.
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Coordinate necessary background checks and credentialing activity to insure that no employee or independent contractor is listed on national sanction reports. Monitor licenses on an on-going basis.
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Chair the Compliance Committee and assign team leaders to all related working groups and task forces.
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Remain up-to-date on all relevant laws, regulations and standards of practice.
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Monitor the development and presentation of training and continuing education courses.
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Identify, assign and direct team leaders of working groups, audit groups and task forces as needed. Monitor results and provide guidance on work in process.
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Lead an annual review and update of the compliance plan, document review process and changes, and communicate changes to all employees.
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Determine and implement methods to improve effectiveness and efficiency of operations, including reducing the organization’s exposure to fraud, abuse and waste.
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Direct internal audit procedures through the appropriate personnel and/or working groups, monitor results, and request additional testing when indicated.
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Engage external auditors and/or consultants when indicated, after requesting authority from the Board of Directors.
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Maintain internal communications on all relevant compliance issues.
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Coordinate activities with Human Resources in order to maintain high standards of hiring, training and supervising employees.
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Investigate employee complaints, direct internal or external follow up as indicated, make appropriate reports to legal counsel, the CEO, and the Board of Directors.
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Inform vendors and independent contractors of compliance information and standards relevant to their relationship with the facility.
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Prepare annual time and financial budgets for the compliance program.
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Answer routine compliance questions from staff, professionals, vendors, independent contractors, and patients.
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Review responses to patients and family questions, when such questions may indicate compliance problems.