SAMPLE POLICY WORK

• Executive Leadership: Ensures that the agency's overall strategic direction and operational processes reflect regulatory mandates. • Compliance and Regulatory Affairs Team: Monitors regulatory updates, oversees training, conducts audits, and provides recommendations on compliance issues. • Department Heads and Supervisors: Implement policies within their departments, ensuring that all staff follow the established guidelines. • Direct Support Professionals and Frontline Staff: Adhere to compliance procedures during all daily interactions with clients. • Technology and IT Teams (Hidden Mountain Data): Maintain secure, compliant data systems that support regulatory requirements and protect confidential information. c. Roles and Responsibilities A clear distribution of roles and responsibilities underpins the effectiveness of our compliance efforts. Each organizational level is expected to contribute to a culture of integrity, quality, and transparency. Executive Leadership • Role: The CEO and members of senior management are accountable for overarching compliance. They set the compliance agenda, allocate resources for training and audits, and act as the primary liaison for external auditors and regulatory agencies. • Responsibilities: – Oversee the integration of compliance protocols into strategic plans and operational decisions. – Review and approve updates to compliance procedures as regulatory changes occur. – Ensure that all staff are made aware of their roles in maintaining compliance through regular communications and training sessions. Compliance and Regulatory Affairs Team • Role: This team is dedicated to ensuring that Simpl Care Services LLC adheres to state and federal compliance requirements. They are responsible for monitoring updates in legislation, coordinating regulatory reporting, and implementing corrective measures when discrepancies are found. • Responsibilities: – Maintain an up-to- date ‘regulatory watch’ calendar and ensure timely dissemination of information regarding any changes to regulations. – Coordinate and execute regular internal audits to assess compliance across all operational areas. – Provide expertise and support to department heads in interpreting and implementing regulatory changes.