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Nonprofit sample compliance program

Nonprofit sample compliance program (as developed more specifically and in much more detail for Asian Americans for Community Involment, AACI and shared with California Primary Care Association for distribution to all association members,5/25/2011)  Blog
2 compliance organizations that certify individuals in
         HCCA – Health Care Compliance Association
         SCCE  -- Society of Corporate Compliance & Ethics
         Instead of having a lead Compliance officer form a Compliance Committee
         The Compliance committee can meet routinely; monthly, quarterly, or every two months and could be staffed by a staff person who records the meeting
The Commpliance Committee should report to the nonprofit's Board of Directors
Committee purpose could be to:
·        Identify & address agency compliance issues
      Compile compliance issues and group them in terms of urgency
       Provide compliance training for the board of directors, employees and vendors with possible access to confidential patient records (i.e. janitors, alarm system installers, locksmiths, etc.) 
       Develop security plans to protect patient records
       Review and address hotline reported concerns
Internal Audits to find out what compliance issues are lurking and embedded in routine process
and procedures:
      Have a lead department in charge of internal audits for consistency example, Finance Department
Conduct the following:
      Quarterly reviews
      Audit of all programs
      Review audit results with program managers/directors and CEO
      Mutually decide due dates for corrective actions and follow-up reviews
Top 14 Internal Control Summary

1     Federal/State Contracts 
 2      Fraud  Prevention 
 3      Service Account Codes 
 4      Revenue Codes 
  5     Separation of Coding/Billing 
  6     Record Retention 
  7     Red Flag Rule: Identity Theft 
  8    Client/Patient Insurance File 
  9    Cash: Separation of Duties 
  10  Cash: Storage Safety 
  11   Cash: Reconciliation 
  12  Billing:  Accuracy 
  13  Accounting: Cash Receipt 
  14  Accounting: Month End Reconciliation 
For more information on how to design internal audit reviews go
to our website
http://www.Williamsllnonprofitcorner  and fill out our contact us form


4 Comments to Nonprofit sample compliance program:

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