Corporate Compliance

Tip: Develop policies and procedures

Compliance Monitor, December 2, 2009

When planning an audit, be sure to focus on developing policies and procedures (P&P) to help guide the process. Using P&Ps will help ensure compliance and help your organization document compliance with government regulations.
 
A policy defines the purpose, scope, and goal of your audits. Procedures provide guidelines that include who, what, where, when, and how the organization will audit. Here are a few examples of P&Ps that you can use when performing an audit:
 
Policy
 
  • Guide members of the work force to take action that is consistent with legal, ethical, and organizational requirements
  • Conform to applicable laws and requirements of licensing and accrediting agencies
  • Reflect the mission and culture of your organization
Procedure
 
  • Provide step-by-step instructions for carrying out your policy
  • Provide for no action that is in violation of any law or requirements of licensing and accrediting agencies
  • Reference specific tools and techniques
This week’s tip was adapted from The Healthcare Auditor’s Handbook. For more information about the book or to order your copy, visit the HCMarketplace.

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