1.E.1

The organization demonstrates a process to comply with the following obligations:

1. Legal.
2. Regulatory.
3. Confidentiality.
4. Reporting.
5. Licensing.
6. Contractual.
7. Debt Covenants.
8. Corporate Status.
9. Rights of the person served.
10. Privacy of persons served.
11. Employment practices.
12. Mandatory employee training.

• Corporate Compliance policy
• Personnel Manual

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1.E.2

The organization implements written procedures to guide personnel in responding to:

1. Subpoenas.
2. Search warrants.
3. Investigations.
4. Other legal action.

• Employee response to legal action 5.10

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1.E.3

Policies and written procedures address:

1. Confidential administrative records.
2. The records of the person served.
3. Security of all records
4. Confidentiality of all records.
5. Compliance with applicable laws concerning records.
6. Time frames for documentation in the records of the persons served.

• Client Records 2.9
• Transporting records 5.7.2
• Client Confidentiality 3.18

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