Compliance Committee Meeting Minutes Template
Instructions for Use
Use this template to record minutes for every Compliance Committee meeting. POL-002 (Compliance Committee Charter), Section 5.3, requires written minutes for each meeting and defines what they must contain. This form satisfies those requirements when completed in full.
How to use this form:
- The Chair (Compliance Officer) prepares the minutes or delegates preparation. Record the preparer's name in the header.
- Complete one form per meeting.
- Begin the meeting by reviewing open action items from prior meetings and record their status in Part 2. POL-002 Section 5.3 requires the Committee to review open action items at the start of each meeting.
- Record every topic discussed, even if no decision was reached. If no decision was reached on a topic, write "No decision" in the Decision column.
- Every new action item must have a named responsible person and a target completion date. Do not leave either field blank.
- If a Committee member disclosed a conflict of interest and recused themselves, record it in Part 5 as required by POL-002 Section 5.6.
- In any part that uses rows for entries (Parts 3, 4, and 5), if there are no entries, write "None" in the first row rather than leaving it blank.
- Finalize the minutes and distribute them to all Committee members within five business days after the meeting (POL-002, Section 6, Step 4).
Meeting Minutes Template
Meeting Information
| Field | Entry |
|---|---|
| Meeting Date | |
| Start Time | |
| End Time | |
| Location / Format (in person, video, phone) | |
| Meeting Type | ☐ Regular quarterly ☐ Additional meeting called by Chair or Executive Director |
| Minutes Prepared By |
Part 1: Attendance and Quorum
| Name | Role | Present? |
|---|---|---|
| Compliance Officer (Chair) | ☐ Yes ☐ No | |
| Director of Operations (or equivalent) | ☐ Yes ☐ No | |
| Clinical Operations Representative (BCBA or senior clinician) | ☐ Yes ☐ No | |
| Billing and Administrative Representative | ☐ Yes ☐ No | |
| Additional member (if appointed) | ☐ Yes ☐ No | |
| Additional member (if appointed) | ☐ Yes ☐ No |
Others present (non-members, if any):
Quorum present (majority of appointed members)? ☐ Yes ☐ No
Part 2: Status of Previously Assigned Action Items
Review open action items at the start of the meeting.
Mark each item with exactly one status. Once an item's original target date has passed without completion, Overdue takes precedence over any other status.
| Action Item (from prior meeting) | Responsible Person | Original Target Date | Status | Notes |
|---|---|---|---|---|
| ☐ Complete ☐ On track ☐ Overdue ☐ Cancelled | ||||
| ☐ Complete ☐ On track ☐ Overdue ☐ Cancelled | ||||
| ☐ Complete ☐ On track ☐ Overdue ☐ Cancelled |
Part 3: Topics Discussed and Decisions Reached
| Topic Discussed | Summary of Discussion | Decision Reached (write "No decision" if none) |
|---|---|---|
Part 4: New Action Items Assigned
| Action Item | Responsible Person | Target Completion Date |
|---|---|---|
Part 5: Conflict of Interest Disclosures and Recusals
Were any conflicts disclosed this meeting? ☐ Yes ☐ No
If yes, complete for each recusal:
| Member Recused | Matter | Reason for Recusal |
|---|---|---|
Finalization
| Field | Entry |
|---|---|
| Minutes Finalized By (Chair or delegate) | |
| Date Finalized | |
| Date Distributed to Committee Members |
Form CFM-001 · Owning policy: POL-002 (Compliance Committee Charter). Version number and effective date are set in ABAS's document-control record at adoption.
Retention
Completed minutes are part of the compliance program files. Per POL-002, Section 5.3:
- Store finalized minutes in the compliance program files.
- Retain minutes for a minimum of six years.
The Chair files the finalized minutes in the compliance program files and is custodian of the minutes only until they are filed, keeping the minutes history at a company-owned level (POL-002, Section 5.3).