SAMPLE POLICY WORK

– Regulatory Watch: The Compliance and Regulatory Affairs Team maintains an active monitoring system to track legislative updates, regulatory changes, and issuance of new guidelines. – Stakeholder Engagement: Input from staff, external auditors, regulatory agencies, and community partners is actively solicited and integrated into our compliance strategies. – Regular Reviews: The Compliance Team and Executive Leadership conduct annual reviews of all compliance policies to ensure that improvements, innovations, and corrective measures are effectively integrated into ongoing operations.

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Key Performance Indicators (KPIs):

– Frequency and resolution of audit discrepancies – Training completion rates and assessment scores – Timeliness and accuracy of regulatory report submissions – Incident reporting and corrective action response times

f. Implementation Checklist for Compliance To ensure comprehensive adherence to the policies and procedures outlined above, Simpl Care Services LLC utilizes the following compliance implementation checklist:

Task

Responsible Party

Frequency

Verification Method

Conduct quarterly internal audits

Compliance and Regulatory Affairs Team

Quarterly

Audit reports, discrepancy logs

Prepare documentation for external audits

Executive Leadership & Quality Assurance Teams Human Resources / Training Department

As required by regulators

Audit preparation checklists, external audit outcomes Training logs, assessment results

Deliver initial compliance training to new hires Organize annual refresher training sessions Review and update compliance policies Maintain regulatory watch and review changes Solicit and process staff feedback on compliance

At onboarding

Training Department & Department Heads

Annually

Attendance records, feedback surveys

Policy Coordinator & Compliance Team

Annually or as needed

Document revision histories, centralized repository Regulatory update logs, internal memos

Compliance and Regulatory Affairs Team

Ongoing

All Departments

Ongoing

Feedback reports, incident management records