Compliance

Determining Compliance

Each management practice should have its own file, complete with document that shows how the agency is in compliance with the recommended practices. The documentation should be in the form of written policies and if possible, other written documentation indicating specifics on compliance with that policy. The ideal file should contain a single written policy, and one or two additional written documents. If policies or supporting documentation are unusually long or are part of bound document, include only that part of the document that applies to the practice in question; highlighting the appropriate area.

Documentation and Proof of Compliance

The self assessment process relies heavily on the review and analysis of existing written policies and procedures. Major discrepancies should be corrected prior to implementation of the self assessment process. [MORE]


Cases of Noncompliance

An agency, for a variety of reasons, may not be able to fully comply with all of the recommended management practices. Some agencies will be able to prove that compliance with a recommended practice is not necessary because the agency does not provide or control the issue that the practice is intended to cover. [MORE]


Achieving Compliance

In cases where an agency is in non-compliance with an applicable practice, the director and program manager should meet to discuss ways of implementing the recommended practices. The director and program manager should seek input from all levels within the organization before selecting a plan of action. Once a plan has been developed, there are no set methods for achieving compliance with the recommended practice. Many of the non-compliance issues are simple to correct during the self assessment process. Others may become multi-year projects by themselves.

Keeping Track of Progress

A master monitoring log provides an excellent means of tracking the progress of the documentation process. Kept by the assessment manager or a delegated assistant, the log includes the number of the management practice, the person responsible for documenting it, whether or not compliance has been achieved, and if necessary, the reason for noncompliance.
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Review Documentation

Group Review. The completed documentation should be reviewed by a team of at least three people before submission to the director. Most agencies designate a group of individuals to act as reviewers. This group may be the self assessment team itself, or the program manager and several designated assistants or coworkers. Each member of the team reads each compliance document, and, by joint agreement, approves or rejects the documentation.

Director's Approval. Once the group is satisfied that a given practice is documented adequately, the documentation should be submitted to the director for final approval.

Peer Review

Preparing for self assessment affords your agency an opportunity to complete a thorough review of management and operations policies and practices. [MORE]

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