Core 4.0

C-RM 1-2: Policy Addressing Reporting of Violations

Submited by: Tom Goddard

The Basics

This standard requires your organization’s compliance policies to:

  • Protect individuals reporting violations of ethical, regulatory, or legal requirements;
  • Address the consequences of failing to report violations; and
  • Protect the confidentiality of anyone reporting violations.

Management Tips

It will be important that your entire staff know about the mechanisms described in this standard. Be sure to include it in your compliance training.

Accreditation Tips

Desktop Review

The same set of P&Ps and/or program description you use for C-RM 1-1 should work here. Just make sure those policies have solid whistleblower protections and mechanisms to require reporting of violations.
Validation Review
Interviews
This standard will be covered in the interviews of compliance-relevant management (including but not necessarily limited to the Compliance Officer), as well as interviews with staff throughout the company.

  • Core 4.0 / 06.20.2018

    C-RM 1-2: Policy Addressing Reporting of Violations

    This standard requires your organization’s compliance policies to:Protect individuals reporting violations of ethical, regulatory, or legal requirements;Address the consequences of failing to report violations; andProtect the confidentiality of anyone reporting violations.

    READ FULL POST
  • Core 4.0 / 06.18.2018

    C-RM 1-1: Regulatory Compliance and Internal Controls

    This standard, which bears a strong resemblance to Core 4 in the previous versions of Core, describes the fundamental aspects of an effective compliance program:Tracking applicable laws and regulations. This is an ongoing process of tracking existing laws and regulations and keeping up with changes in those laws and regulations. So, you need to identify -- in a clear and specific policy and proced...

    READ FULL POST
  • Core 4.0 / 06.18.2018

    C-CPE 2-3: Monitoring and Oversight of Ethical Healthcare Practices

    Once an organization has defined ethical practices, as required by the previous standard, it must implement mechanisms to monitor for violations of its ethical standards and address those violations. Such mechanisms must spell out how it:Identifies appropriate authorities to remediate particular situations involving ethical transgressions;Will take action in the event of ethical issues; andWill re...

    READ FULL POST
Top