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Agenda

Welcome and introduction

8:50 – 9:00 a.m. CST

Intro and background to C&E 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 a.m. CST

Coffee Break

10:15 – 10:30 a.m. CST

Standards and procedures

  • Codes of ethics/conduct.
  • Compliance-related policies and procedures.
  • Types and roles of policies and procedures.

10:30 a.m. - 12:00 p.m. CST

Mid-Conference Break

12:00 – 12:30 p.m. 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.

12:30 – 2:00 p.m. CST

Risk assessment

  • Performing compliance risk assessments.
  • Considering risk criteria.
  • Designing and implementing risk responses.

9:00 – 10:45 a.m. CST

Coffee Break

10:45 – 11:00 a.m. CST

Due diligence in delegation of authority

  • Identifying who has important compliance responsibilities.
  • Exploring issues with employee background checks.
  • Handling due diligence on vendors and other third parties.

11:00 am – 12:15 p.m. CST

Mid-Conference Break

12:15 – 12:45 p.m. CST

Communication and training

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

12:45 – 2:00 p.m. CST

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.

2:00 – 3:00 p.m. CST

Incentives and enforcement

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

9:00- 10:15 a.m. CST

Coffee Break

10:15 – 10:30 a.m. CST

Monitoring, auditing, and reporting systems
•    Development of an auditing and monitoring plan.
•    Techniques for monitoring and auditing.
•    Effective hotlines and other reporting systems.

10:30 am – 12:30 p.m. CST

Mid-Conference Break

12:30 – 1:00 p.m. CST

Investigations

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

1:00 – 2:15 p.m.

Response to wrongdoing

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

9:00 – 10:15 a.m. CDT

Coffee Break

10:15 – 10:30 a.m. CST

Program improvement

  • Methods of assessing performance of the compliance and ethics program.
  • Continuous improvement of the program.
  • Internal vs. third-party assessments.

10:30 – 11:30 a.m. CST

Coffee Break

11:30 – 11:45 a.m. CST

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.

11:45 am – 1:30 p.m. CST

Mid-Conference Break

1:30 – 2:00 p.m. CST

What is next for me and my program?

  • Determining the key skills necessary for compliance professionals.
  • Identifying actions for a successful career in compliance.
  • Applying what you have learned to your compliance program.

2:00 – 3:00 p.m. CST

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.

3:00 – 4:00 p.m. CST

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.