Spring 2011 issue of Horizons

A meaningful communication program would include the following: • Requirements that employees report erroneous conduct • Create a user-friendly process for reporting • Standards that state that failure to report noncompliance is a violation • A simple process to report noncompliance • Utilization of a process that maintain anonymity • Procedures to ensure employees can report noncompliance matters without fear of retribution 7. Enforcing Disciplinary Standards Through Well-Publicized Guidelines An effective compliance program will include procedures for enforcing and disciplining individuals who do not adhere to external

regulations and internal policies. These measures are necessary to add credibility and integrity to the program. In today’s environment, since most organizations have established human resource policies to address work performance and other noncompliance matters, these policies should be incorporated into the provider’s compliance program. A compliance program does not need to be resource-intensive and can be developed in a manner that fits the needs of the organization. By implementing an effective compliance program, providers will reduce their risk of noncompliance and enhance their business operations.

RubinBrown’s Professional Services Group Specializing in law firms, architects, engineers and healthcare practices, we have expertise in the accounting and tax requirements needed by professional services firms.

Ken Rubin, CPA - St. Louis Partner-In-Charge Professional Services Group ken.rubin@rubinbrown.com 314.290.3417

Greg Osborn, CPA - Denver Managing Partner, Denver Office greg.osborn@rubinbrown.com 303.952.1250

Mary Ramm, CPA - Kansas City Partner Professional Services Group mary.ramm@rubinbrown.com 913.499.4406

Steve Moro, CPA - St. Louis Manager Professional Services Group steve.moro@rubinbrown.com 314.290.3244

www.rubinbrown.com

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