Compliance Audits & Plans

Compliance Audits & Plans

compiance audits and plansIn addition to Ethics Evaluations, Affiliated Monitors offers two other types of assessments: Compliance Assessments and Competency Assessments.

Compliance Assessments

In today’s complex regulatory environment, many companies and licensed professionals find it difficult to keep up with the laws that impact their businesses.  Often companies and individuals face sanctions by state or federal agencies for unintentional violations because they:

  • Did not know about or fully understand all of the statutory and regulatory requirements
  • Delegated responsibility to staff who did not understand the laws; or
  • Lacked an organized program for ensuring compliance

Identifying Compliance Needs

Affiliated Monitors’ experts visit the worksite, review policies and procedures, and make concrete recommendations for compliant business practices.  We look not only at the requirements specific to the business, but also at civil rights laws, workplace safety standards, human resource requirements, and more.

For healthcare practices, for example, the assessment covers standards such as clinical record keeping, billing and coding for services, HIPAA record privacy and security requirements, infection control, radiological safety and patient solicitation practices.


Affiliated Monitors’ comprehensive programs facilitate ongoing, full compliance because they are custom-tailored to each client’s specific, identified needs.
Our compliance programs have three main components:

  1. A manual of policies and procedures addressing the pertinent regulatory requirements;
  2. A Compliance Log for easy documentation of all compliance-related activities; and
  3. Staff training, to ensure that policies, procedures and tools are incorporated into the business practice.


Affiliated Monitors teaches practitioners, business managers and other staff about the laws, and their impact on the corresponding policies and procedures.  AMI next demonstrates how to implement the policies and procedures and how to use the Compliance Log.  We remain available to answer questions and provide follow-up training as needed after the initial engagement is completed.

Because regulations change often, Affiliated Monitors can provide businesses with periodic updates to keep the compliance program current.  We are also able to oversee continued adherence to the compliance program, as needed.