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Adequate Compliance Staffing

Adequate Compliance Staffing focuses on the skilled resources needed to implement the compliance program.


1. Skilled and knowledgeable individuals are made available to contribute

    to the compliance effort.

2. Dedicated assignments to the compliance function provide continuity of

    involvement and accumulation of expertise.

3. Job descriptions identify the skills and insights needed to perform

    compliance functions adequately.

4. The organization identifies individuals with the skills, insights, and interest

    needed to contribute to the compliance function.

5. Compliance contributors are drawn from cross-functional departments, as


6. Training and experiential learning opportunities are provided to build

    necessary skillsets.

    a)Individuals performing compliance functions in different business units are

    encouraged to communicate and share expertise and perspectives amongst

    themselves to achieve a consistent compliance approach.

7. External consultants are hired, as needed, to augment the internal

    compliance effort.

8. Estimates of total compliance effort and duration are prepared to

    address the organization’s compliance requirements.

9. Estimates of one-time and overhead activities are estimated and tracked

10. Estimates of product-related compliance activities are estimated and

    tracked from the perspective of both the organizational compliance

    team and the product team.

11. A staffing plan is prepared and followed to provide a level of

    responsiveness and cycle time adequate for product release cycles.

12. Progress is tracked against the organization’s and product team’s

    compliance plans and additional resources are added as needed to

    achieve compliance objectives.



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