Chapter 3: Running an Effective Compliance Program

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Resource: Sample Written Standards Matrix

Document Type

What It Does

Feedback Group(s)

Required Approvals

Required Review Period

Code of Conduct

Sets principles

Governing Board;

Senior Leaders

Governing Board;

Senior Leaders

Annually

Policy

Establishes specific organizational requirements

Minimum of one end user from each affected [area]

Policy Committee unless Governing Board, others required

Every three years unless sooner is required

Procedure

Sets procedures for how policy objectives will be accomplished

Managers and workforce members affected by the procedure

Affected department leaders

Every three years unless sooner is required

Guidelines

Explains policy & procedure requirements

Managers and workforce members affected by the procedure

Affected department leaders

Every three years unless sooner is required

Standing Orders/Protocol

Annually

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