Developing a Meaningful Compliance Work Plan
3/17/20151Developing a Meaningful Compliance work PlanMargaret HambletonVice President, Chief Compliance OfficerDignity HealthHCCA Compliance InstituteApril 20, 2015Lake Buena Vista, FLAgenda work Plan Objectives Elements used to develop a work Plan Awareness Survey Effectiveness Evaluation Risk Assessment Coordinating with audit, education, policy, and other activities Stakeholder engagement3/17/20152Work Plan Objectives To direct Compliance and operations staff efforts in the work most critical to eliminate potential areas of vulnerability and to improve Compliance program effectiveness To determine the adequacy of resources (staff, technology, services) used to address areas of vulnerability To ensure structural and substantive assessment of the Compliance programThe work Plan is The OIG s work Plan Vendor developed plans Results of your Risk Assessment alone Static Developed in a vacuum3/17/20153The work Plan Reflection of the Organization Mission Strategy Operations Risk Tolerance Dynamic EngagingWork Plan Components Awareness Survey Effectiveness Evaluation Risk Assessment Internal and External Risk Identification Assessment Prioritization Approval Implementation and Tracking Strategy and Operational Alignment3/17/20154The work Plan Development ProcessBoardAwareness SurveyEffectiveness PrioritiesControl ActivitiesMonitorCommunicateEvaluateRisk AssessmentBroad Focus on Compliance RisksDevelop work PlansAwareness Survey Helps a
Developing a Meaningful Compliance Work Plan Margaret Hambleton Vice President, Chief Compliance Officer ... Reporting Auditing and Monitoring Response and Prevention Enforcement Risk Assessment and Work Plan Development. 3/17/2015 6 ... Monitoring and ongoing periodic assessment
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