Kusserow on Compliance: Using experts to staff gaps in the compliance office

It is becoming increasingly common for changes in compliance programs to lead to “gaps” that can leave an organization without day to day management or support. This can result in serious problems and potential liability, especially at a time when mandatory compliance requirements are under development and there are increasing expectations for compliance by the Department of Justice (DOJ), HHS Office of Inspector General (OIG), and CMS. With the heightened enforcement environment, leaving such a gap can be risky. All this makes the problem of finding a suitable replacement of someone properly qualified in a timely manner a relatively high priority, but not an easy task. In many cases, the gap is not with the chief compliance officer, but compliance managers or other professionals in the office. In any case, the effort that goes into finding and hiring a properly experience and qualified person may be difficult and time consuming. The quick fix of designating someone internally to do the work, until a permanent replacement can be recruited, is unwise and may be downright dangerous. For smaller organizations, it is not likely there is anyone who is sufficiently qualified to carry out all the duties. It is also not good for someone to take on those duties temporarily and make decisions that may haunt them when they return to their old job. Also, making some decisions, when not properly trained or qualified, may create a potential problem for the organization. What is worse is selecting someone to take on the role of compliance officer as a temporary set of secondary duties to their current job. This will always lead the individual to continue giving priority to their regular job and do as little as possible in compliance. As such, it is not surprising that many turn to engaging temporary experts to fill the gap until suitable replacement can be found.

A properly qualified outside expert acting in a temporary capacity has a lot of advantages. They bring the experience of having served in other organizations and dealing with many of the same issues already addressed by prior jobs. Important also is that they have not be invested in any prior decisions, nor have they been aligned with any parties in the organization. Most importantly, they bring “fresh eyes” to the program. They can provide a lot of added benefits, such as:

  • Offering suggestions and giving guidance for improvements
  • Providing an independent assessment of the status of the compliance program
  • Making an assessment of high-risk areas that warrant attention
  • Giving ideas on building a firmer foundation for the compliance program
  • Reviewing adequacy of the existing code, compliance policies, and other guidance
  • Evaluating the quality and effectiveness of compliance training
  • Developing a “road map” for the incoming compliance officer to follow
  • Assisting in identifying and evaluating candidates for the permanent position
  • Assessing resources needed to effectively operate the compliance program
  • Identifying or building metrics that evidence compliance program effectiveness
  • Developing comprehensive briefings for management and board on the state of the program


Richard P. Kusserow served as DHHS Inspector General for 11 years. He currently is CEO of Strategic Management Services, LLC (SM), a firm that has assisted more than 3,000 organizations and entities with compliance related matters. The SM sister company, CRC, provides a wide range of compliance tools including sanction-screening.

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Copyright © 2017 Strategic Management Services, LLC. Published with permission.