Put It All Together: Your Compliance Plan

By Mary Pat Whaley, FACMPE

A compliance plan does not have to be long or overly complex. The federal government recommends a seven-component compliance plan that covers the critical points in a simple and easy-to-understand way:

Certified Professional Medical Auditor

  1. Designate a compliance officer, which can be the manager or a staff member.
  2. Implement compliance and practice standards, and have all employees sign an agreement to comply with the standards. Make compliance training a part of new employee orientation and conduct annual re-training for all staff.
  3. Conduct initial compliance training and education for physician and staff. Training can be outsourced, and is also available online. Document all training.
  4. Oversee internal monitoring and auditing, and document the results.
  5. Respond appropriately to detected offenses and develop corrective action plans. Document offenses and responses.
  6. Develop open lines of communication and encourage employees to discuss compliance at staff meetings, or in one-on-one meetings.
  7. Enforce disciplinary standards through well-publicized guidelines.

Make sure that your compliance plan is not just a binder on the shelf. All employees must understand the seriousness of the penalties (there are lots of examples online to illustrate this) and the importance of compliance to the success of your practice.


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