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Confusion and question marks

Wilson, Rick -HealthSpan 2262 -5x7 C Joe Glick PhotographyBy Richard Wilson, Principal
rick.wilson@rawilsonconsultingllc.com

Early in my career I enrolled in a paralegal studies program at a local university.  The goal was to improve my ability to interpret laws and regulations.

The message that was delivered on the first night of class was that the courses would enable me to analyze the law and work with lawyers.  It was made clear that did not make me a lawyer!

In many ways Compliance Officers find themselves in similar positions.  How many times have we heard this – “Ask the compliance officer if this is okay?” or, “If the compliance officer gives us his/her blessing we have nothing to worry about.”

Compliance officers are not government regulators.  We can read a law or regulation and form a belief as to whether or not an action appears outside the intent of the rule.  What we should avoid saying is “yes this is good” or “there isn’t any problems.”  If pressed to give an answer the best response may be the most conservative interpretation.

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We serve our organizations best when we advise, “It looks okay but call the oversight agency and get clarification.”  Or we monitor compliance using the standards set by the regulating agency.  Compliance officers should try and avoid unofficially acting as the regulator.  Just like paralegals must avoid acting as lawyers.

When clarification is sought the documentation of the guidance must be stored and saved somewhere so it can be produced later.  I’ve seen many occasions where John Doe at XYC said one thing and months or years later a regulator/auditor from XYC says something different.