Monitoring

When a professional or business fails to follow regulatory requirements, independent and neutral monitoring can help ensure a return to ongoing compliance. The monitor helps the sanctioned professional or business:

• Correct the problem that prompted the disciplinary or legal action
• Develop systems and procedures to prevent its recurrence.
  

The professional pays for the monitor’s services and the regulatory agency is kept informed about the sanctioned professional’s progress.

Monitoring is especially appropriate in matters involving deferred prosecution agreements, disciplinary matters and court proceedings where remedial alternatives are sought. In these types of cases, the sanctioned professionals and businesses can continue to operate while correcting the problems that led to the disciplinary action, but can do so without compromising public safety or funds.

Our Monitors

Affiliated Monitors has retained more than 100 professional monitors to oversee the enforcement of state, federal and local regulations by sanctioned professionals and companies.

For a sanctioned professional to adopt high professional standards, a monitor must lead by example and demonstrate the highest professional standards during the monitoring process. That’s why our monitors are required to follow a strict code of ethics that ensures they will remain impartial throughout each assignment.

Our monitors include former professionals in the industry they are monitoring, former government regulators, professional investigators and former law enforcement officials.

As independent, impartial monitors with an in-depth understanding of the regulations affecting their industry, they have the expertise to oversee the implementation of consent orders, settlement agreements, court orders and other dispositions.

Monitoring can be performed by a single individual or by an interdisciplinary team, depending on circumstances. For each assignment, our monitors are chosen based on:

• Education and experience in the profession or business
• Knowledge of regulatory requirements governing the profession or business
• Location
• Specific skills

All monitors have the credentials and experience needed to warrant the confidence and trust of both the regulatory agency and the practitioner. They are monitors, but they are also mentors, who can not only improve the compliance level of a professional practice, but help practitioners adopt the “best practices” standards needed to excel in their business.

Benefits of Independent Monitoring

For the Regulatory Agency:

• Quicker resolution without sacrificing public protection
• Oversight by qualified professionals
• Impartial monitoring protects the integrity of the process
• Flexibility for use in a wide variety of cases, including consent agreements, probation, reinstatement after loss of license, at-risk insureds, enforcement of court or agency orders, and other situations
  

For the Practitioner or Regulated Business:

• Ability to continue working throughout the monitoring period
• Promotes permanent, ongoing correction of problems
• Can help avoid future sanctions

Improves quality of services provided
For the Public:

• Promotes ongoing safe business practices
• Professionals and businesses continue to operate. stay in business and continue to offer their services
• Improves quality of services