Risk Assessments and Work Plans


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In the spring of 2019, the Department of Justice (DOJ) updated its Evaluation of Compliance Programs Guidance Document to emphasize that organizations (including health care organizations) should regularly identify, assess and define their risk profile and then devote appropriate resources to mitigate their risks. The process focuses an organization’s compliance efforts and may serve as a mitigating factor when government prosecutors are determining appropriate resolutions, penalties and compliance obligations in response to non-compliance. 

Health centers regularly use compliance risk assessments to develop their annual compliance work plans as recommended by the OIG. As part of FTCA deeming, health centers must now complete quarterly risk management assessments and report annually to the board on completed risk management activities. Under the CMS Emergency Preparedness Rule, health centers must perform risk assessments using an “all-hazards” approach and update their emergency plan at least every two years. 

This webinar will provide an overview of risk assessment requirements and recommendations for health centers, including a crosswalk of the OIG, FTCA and CMS Emergency Preparedness Rule requirements and recommendations. We will discuss documentation expectations for the risk assessment process and for the response to identified risks. 

This webinar will cover:

  • Risk assessment recommendations from the OIG
  • Risk assessment requirements for FTCA deeming and under the CMS Emergency Preparedness Rule
  • Demonstration of the risk assessment process (using current examples from the OIG’s Work Plan activities), including tips on developing activities/strategies to mitigate and manage identified risks