Skip to main content

Agenda

Welcome and Introduction

8:55 – 9:00 am CST

Intro and Background to Compliance and Ethics programs

  • History and evolution of compliance and ethics programs
  • Introduction to the required elements of a compliance and ethics program
  • Expectations of the Department of Health & Human Services and other regulators

9:00 – 10:15 am CST

Coffee Break

10:15 – 10:30 am CST

Standards and Procedures

  • Understanding the importance of written standards including policies, procedures, and the Code of Conduct
  • Form, function, and maintenance of written standards of conduct to support the compliance program
  • Types and purposes of written standards and procedures

10:30 am. - 12:00 pm CST

Mid-Conference Break

12:00 – 12:45 pm CST

Governance, Oversight, and Authority

  • Compliance responsibilities at each level of an organization.
  • Positioning and structure of the compliance function.
  • Relationship with the board of directors.

12:45 – 2:15 pm CST

Risk Assessment - Part 1

  • Performing compliance risk assessments
  • Risk criteria to consider
  • Design and implementation of risk responses

9:00 – 10:00 am CDT

Coffee Break

10:00 – 10:15 am CDT

Risk assessment - Part 2

  • Performing compliance risk assessments
  • Risk criteria to consider
  • Design and implementation of risk responses

10:15 – 11:00 am CDT

Coffee Break

11:00 – 11:15 am CDT

Due Diligence in Delegation of Authority

  • Identifying who has important compliance responsibilities
  • Issues with employee background checks
  • Due diligence for vendors and other third parties

11:15 am – 12:30 pm CDT

Mid-Conference Break

12:30 – 1:15 pm CDT

Hot/common compliance issues – Part 1

  • Overview of HIPAA, Stark, Anti-Kickback and False Claims Act
  • Identification of critical compliance requirements
  • Trends and emerging issues

1:15 – 2:15 pm CDT

Coffee Break

2:15 – 2:30 pm CDT

Hot/common compliance issues – Part 2

  • Overview of HIPAA, Stark, Anti-Kickback and False Claims Act
  • Identification of critical compliance requirements
  • Trends and emerging issues
2:30 - 3:15 pm CDT

Optional Networking Hour – use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

3:15 - 4:15 pm CDT

Communication & training

  • Risk-based identification of training needs
  • Development and delivery of compliance training 
  • Compliance and ethics-related communications

9:00- 10:15 am CDT

Coffee Break

10:15 – 10:30 am CDT

Monitoring, auditing & reporting systems – Part 1

  • Understanding the essential aspects of auditing and monitoring
  • Developing the compliance auditing and monitoring plan
  • Techniques and approaches to auditing and monitoring

10:30 am – 11:30 am CDT

Coffee Break

11:30 – 11:45 am CDT

Monitoring, auditing & reporting systems – Part 2

  • Understanding the essential aspects of auditing and monitoring
  • Developing the compliance auditing and monitoring plan
  • Techniques and approaches to auditing and monitoring

11:45 – 12:45 pm CDT

Mid-Conference Break

12:45 – 1:30 pm CDT

Investigations

  • Examining the key steps of compliance investigations.
  • Conducting effective interviews and gathering evidence.
  • Concluding and reporting on investigations.

1:30 – 2:45 pm CDT

Response to Wrongdoing

  • Actions to take when wrongdoing is discovered
  • Performing root cause analysis
  • Designing and implementing remediation actions

9:00 – 10:15 am CDT

Coffee Break

10:15 – 10:30 am CDT

Incentives and enforcement

  • Active promotion of the compliance and ethics program
  • Use of incentives to encourage compliance
  • Discipline for identified wrongdoing

10:30 – 11:45 am CDT

Coffee Break

11:45 am – 12:00 pm CDT

Program improvement

  • Methods of assessing performance of the compliance and ethics program
  • Focus on continuous improvement of the program
  • Internal vs. third party assessments

12:00 pm – 1:00 pm CDT

Mid-Conference Break

1:00– 1:45 pm CDT

Hot/Common Compliance Issues

  • Overview of HIPAA, Stark Law, Anti-Kickback Statute, and False Claims Act.
  • Identification of critical compliance requirements.
  • Trends and emerging issues.

1:00 – 1:45 pm CDT

Mid-Conference Break

1:45 – 2:30 pm CDT

What is next for me and my program?

  • Key skills necessary for compliance professionals
  • Taking action to have a successful career in compliance
  • Applying what you have learned to your compliance program

1:45 – 2:45 pm CDT

Optional Networking Hour – Use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

2:45 – 3:45 pm CDT

All sessions for the Compliance Essentials Workshop are Basic knowledge level:

Basic Program knowledge level is most beneficial to Compliance Professionals new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.