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COMPLIANCE CHECKLIST
Regulatory Compliance Checklist for Non-profits: connecticut – Healthcare
Download Checklist
Connecticut Healthcare
Federal Requirements
State Requirements
Internal Requirements
1.
The non-profit organization has the status of tax-exempt under the
IRS form 990
,
990-EZ
,
990-PF
, or
Form 990-N
.
Yes
.
No
.
NA
.
Remarks:
2.
The organization files 501(c)(3) once per tax year and complies with all the requirements.
Yes
.
No
.
NA
.
Remarks:
3.
The organization files “Funding Disclosure Report” under 503(c)(3).
Yes
.
No
.
NA
.
Remarks:
4.
The organization does not endorse candidates, contribute to political campaigns or participate in any activity deemed political as per the Johnson Amendment to the tax code of 1954.
Yes
.
No
.
NA
.
Remarks:
5.
Financial bookkeeping is practiced in the organization.
Yes
.
No
.
NA
.
Remarks:
6.
Proper documentation of all the funds and donations is kept and reviewed periodically.
Yes
.
No
.
NA
.
Remarks:
7.
Employees are appropriately classified based on the
Fair Labor Standards Act of 1938
.
Yes
.
No
.
NA
.
Remarks:
8.
Employee safety is maintained as per the Occupational Health and Safety Administration (
OSHA
) requirements and/or the National Institute for Occupational Safety and Health (
NIOSH
) regulations.
Yes
.
No
.
NA
.
Remarks:
9.
The organization is compliant with the Fair Labor Standards Act (FLSA) imposed by the US Labor Department.
Yes
.
No
.
NA
.
Remarks:
10.
The non-profit is eligible to comply with information security standards like ISO 27001, PCI DSS, GDPR, and CCPA (these are the suggested regulations and are not restricted).
Yes
.
No
.
NA
.
Remarks:
11.
The organization has a compliance program aligned to the
US Department of Justice compliance program
.
Yes
.
No
.
NA
.
Remarks:
12.
The organization complies with the Environmental Protection Agency guideline for purchasing supplies, equipment, and services under EPA Grants
Yes
.
No
.
NA
.
Remarks:
13.
The healthcare non-profit conducts a community health needs assessment (CHNA) every three years to comply with the requirements under Section 501(r)(3).
Yes
.
No
.
NA
.
Remarks:
14.
The organization has an accessible and publicly available financial assistance program.
Yes
.
No
.
NA
.
Remarks:
15.
The organization is compliant with the regulations outlined by the U.S. Inspector General.
Yes
.
No
.
NA
.
Remarks:
16.
The organization is compliant with the regulations outlined by the
U.S. Department of Health and Human Services
(HHS).
Yes
.
No
.
NA
.
Remarks:
17.
The organization is compliant with the Healthcare Information Portability and Accountability Act (
HIPAA
) requirements.
Yes
.
No
.
NA
.
Remarks:
18.
The organization is compliant with the Health Information Technology for Economic and Clinical Health Act (
HITECH
) requirements.
Yes
.
No
.
NA
.
Remarks:
19.
The healthcare organization complies with all the norms prescribed under the Emergency Medical Treatment and Labor Act (
EMTALA
).
Yes
.
No
.
NA
.
Remarks:
20.
The organization follows all the rules framed under the
Affordable Care Act
(ACA).
Yes
.
No
.
NA
.
Remarks:
21.
The organization complies with the regulations of the Centers for Medicare and Medicaid Services (CMS).
Yes
.
No
.
NA
.
Remarks:
1.
The non-profit has a registered agent who has an office address in Connecticut.
Yes
.
No
.
NA
.
Remarks:
2.
The organization is registered with the Connecticut State’s Attorney Generals’ office.
Yes
.
No
.
NA
.
Remarks:
3.
The organization annually files an
Annual Report
to the Connecticut Secretary of State- Business Service Division.
Yes
.
No
.
NA
.
Remarks:
4.
The organization files the
Charitable Solicitation Renewal form
with the Connecticut Department of Consumer Protection annually within 11 months of the end of the fiscal year.
Yes
.
No
.
NA
.
Remarks:
5.
The organization is registered with the Connecticut Department of Revenue Services and complies with its regulations.
Yes
.
No
.
NA
.
Remarks:
6.
The organization is compliant with the regulations outlined by the
Connecticut Department of Public Health (DPH).
Yes
.
No
.
NA
.
Remarks:
7.
The organization is compliant with the regulations outlined by the
Drinking Water Section (DWS)
of the Department of Public Health.
Yes
.
No
.
NA
.
Remarks:
1.
The non-profit has well documented its bylaws for smooth operations.
Yes
.
No
.
NA
.
Remarks:
2.
Non-profit board members are fiduciaries of the organization, and they adhere to their duties all the time.
Yes
.
No
.
NA
.
Remarks:
3.
Board meetings are conducted regularly.
Yes
.
No
.
NA
.
Remarks:
4.
The organization has a consolidated list of all the laws, regulations, and compliance requirements that it needs to comply with.
Yes
.
No
.
NA
.
Remarks:
5.
All the internal bylaws are well documented and communicated across the organization.
Yes
.
No
.
NA
.
Remarks:
6.
Non-profit affiliates are well communicated with the compliance requirements.
Yes
.
No
.
NA
.
Remarks:
7.
Affiliates are monitored periodically and controlled for financial and operational compliance.
Yes
.
No
.
NA
.
Remarks:
8.
Financial transactions are well documented and checked regularly for any fraudulent activities.
Yes
.
No
.
NA
.
Remarks:
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The information provided on this website is for general informational purposes only and does not constitute legal advice. While we strive to present accurate and up-to-date content, the information available here may not reflect the most current legal, compliance, or regulatory developments. This website also contains links to third-party sites for your convenience. However, we do not endorse or assume responsibility for the content of these external websites. We strongly encourage readers to consult with a qualified attorney for guidance on any specific legal matters or concerns.
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