WORKSHOP | LIVE AND ON-DEMAND

Compliance Program Essentials

October 13 & 15, 2026
1:00–4:00 p.m. ET
January 21, 2026 at 1:00 pm (EDT)

Workshop Information

Overview
Learning Objectives
Audience
Instructors
Format
General 
Session 1
Session 2
This training provides an overview of the foundational elements of an effective health center compliance program. Participants will learn how to build, implement, and maintain a compliance program that aligns with federal guidance, mitigates risks, and supports a culture of integrity and accountability.

Developed by a former health center compliance officer, this workshop provides practical suggestions for implementing and improving your health center’s compliance program. Topics include:

  • Developing the Office of the Inspector General (OIG)’s seven elements of an effective compliance program in a health center
  • Roles and responsibilities of compliance officers, staff compliance committees, staff members and board members
  • Developing and updating policies and procedures
  • Conducting risk assessments and developing auditing activities
  • Responding to compliance issues and implementing corrective actions


This session is ideal for compliance officers, leaders, and staff responsible for maintaining or enhancing their health center’s compliance program. Participants will leave with practical strategies and tools to strengthen their program and ensure ongoing regulatory compliance. Engaging, practical, and available for attendees to review on demand, this training is essential for developing your health center’s compliance program.
This session provides an overview of compliance program expectations at the federal level, including the key compliance program modifications included in OIG’s General Compliance Program Guidance. Compliance program elements covered in this session include:

1. Roles and responsibilities of the compliance officer, the staff compliance committee, staff members and board members: Whether you are a new compliance officer or are looking to better define your role, this section will address key health center questions, including:

  • Are health centers required to have a full-time compliance officer?
  • Are health centers required to have a staff compliance committee?
  • How frequently should the compliance officer report to the board?
2. Standards, policies, and procedures: Health centers must maintain a wide range of policies and procedures to ensure regulatory compliance and guide staff in delivering high-quality care. This section will address key health center questions, including:

  • Who is responsible for developing and implementing compliance program policies?
  • How frequently should health center policies and procedures be reviewed?
  • What policies is the board required to approve?
3. Training and education: Health centers are subject to mandatory training requirements and training is regularly recommended as a best practice for supporting staff and limiting risks. This section will address key health center questions, including:

  • What compliance trainings are required for health center staff?
  • What consequences should apply if a staff member does not complete compliance training?
  • How frequently should be board receive compliance training?
Compliance program elements covered in this session include:

1. Lines of communication: Building a culture of compliance depends on open communication —staff members should feel comfortable raising concerns, leadership should respond constructively, and the compliance officer should communicate regularly about compliance risks. This session will address key health center questions, including:

  • Are health centers required to have anonymous reporting methods?
  • Can an incident reporting system also be used for reporting compliance issues?
2.Risk assessments, auditing and monitoring: Compliance risk assessments identify, evaluate and prioritize potential risks and help health centers focus resources on their areas of greatest risk, including by developing strategic auditing and monitoring plans. This session will address key health center questions, including:

  • How frequently should health centers conduct a compliance risk assessment?
  • How is a compliance risk assessment related to the clinical risk assessments required for FTCA deeming?
  • Who should conduct compliance audits – the compliance officer, leadership or an outside auditor?
3. Enforcing standards: Compliance programs should include both consequences for noncompliance and incentives for compliance. This session will address key health center questions, including:

  • Are health centers required to have a separate disciplinary policy for the compliance program?
  • Who determines appropriate disciplinary action – the compliance officer, the manager or human resources?
  • How can health centers encourage participation in the compliance program?
4. Responding to detected offenses and developing corrective action initiatives: When a compliance issue is reported or identified, the health center should investigate, report issues when required and develop corrective action plans to minimize similar issues in the future. This session will address key health center questions, including:

  • Who should conduct the investigation – the compliance officer, the manager or human resources?
  • How should complaints involving the CEO be handled?
  • What information should the board receive about compliance investigations?
  • Compliance Officers
  • Risk Managers
  • COOs
  1. Understand the federal requirements and expectations related to compliance programs in health centers.
  2. Develop a compliance program that incorporates the OIG’s seven elements.
  3. Conduct a compliance risk assessment and incorporate the results into an annual compliance work plan.
Dianne Pledgie
Alexander Lipovtsev

Principal

Dianne advises health care and non-profit organizations on the development and implementation of robust compliance programs.

Dianne also provides legal guidance on privacy, security and confidentiality matters, with particular focus on Health Insurance Portability and Accountability Act (HIPAA), 42 C.F.R. Part 2 and the Information Blocking Rule, including:

  • Advising clients on their obligations to protect patient records, respond to patient requests, and develop policies and procedures;
  • Reviewing business associate agreements, data use agreements, and patient consents related to the use and disclosure of protected health information and sensitive information; and
  • Supporting clients experiencing security incidents.

Manager,
Compliance and Risk Management Services

Alex supports federally qualified health centers, behavioral health organizations, and other healthcare providers in developing and implementing effective compliance and risk management programs. With a strong understanding of the challenges posed by a fast-paced regulatory environment, he helps clients conduct risk assessments, develop policies and procedures, and deliver training and technical assistance in areas such as compliance, emergency management, and business continuity.

Alexander is a licensed clinical social worker (LCSW) registered in New York, and holds both Certified in Healthcare Compliance (CHC) and Certified Healthcare Provider Continuity Professional (CHPCP) certifications.
  • This is a workshop educational activity, which consists of two separate virtual sessions on two separate days.
  • Each workshop session will last approximately 3 hours, including breaks.
  • Each workshop session will be recorded.
  • Each workshop session recording will be available on-demand shortly after the conclusion of the live session.