Compliance Program Policies and Procedures: Basics and Best Practices

October 28, 2021

Access the on-demand webinar here.

This webinar will identify the key compliance program policies and procedures that every health center should implement, including the rationale for both required and recommended policies and procedures.  The presenters will discuss instances in which the compliance program policies recommended by the Office of the Inspector General (OIG) intersect with requirements for health centers as federal grantees (Standards of Conduct, Conflict of Interest, etc.), as well as considerations for drafting and implementing such policies.

The presenters will also discuss the development and implementation of policies and procedures to mitigate identified compliance risks in the health center.  This section will cover who should develop and implement policies and procedures, monitoring and auditing for compliance with the policies and procedures, and developing training for managers and affected employees.

The presenters will also respond to the most frequently asked questions about policies and procedures, including:

  • What policies must the health center’s Board approve?
  • How frequently must the Board review those policies?
  • Should the Compliance Officer/our lawyer review all policies and/or procedures?
  •  Do we have to screen our Board members against the OIG, SAM and state exclusions lists and conduct background checks?

Target Audience

  • Compliance Officers
  • CEOs
  • COOs
  • Grants managers
  • Board members

Learning Objectives

After attending this webinar, attendees will be better able to:

  • Identify key compliance program policies and develop a strategy to develop/review such policies
  • Explain how regular screening Board members for exclusions and final adverse legal actions can help limit legal and financial risks
  • Delegate responsibility for policy and procedure development and implementation to the appropriate staff member
Course summary
Available credit: 
  • 1.00 Certificate of Attendance
Course opens: 
Course expires: 
Event starts: 
10/28/2021 - 1:00pm EDT
Event ends: 
10/28/2021 - 2:00pm EDT

Dianne K. Pledgie

As Partner and Compliance Counsel with the firm’s health law practice group, Dianne advises health centers on implementing effective compliance programs and on addressing top compliance risk areas. Dianne counsels health centers and other organizations on developing compliance programs that include the OIG’s seven elements, respond to identified compliance risk areas, and reflect the organization’s culture.  Dianne also advises health centers and other organizations on patient privacy and confidentiality, including the HIPAA Privacy Rule and 42 CFR Part 2.  She has experience responding to privacy and security incidents, including determining whether there has been a breach, notifying patients and the government, and creating corrective action plans. [Full Bio]

Molly Evans 

A Partner in the firm’s health law practice group, Molly advises health centers on the management of clinical, employment and workforce related risks, with a particular focus on professional liability, Federal Tort Claims Act, and HIPAA matters. From her experience as both a private attorney and in-house counsel, Molly knows the importance of managing liability and risk issues in mission-driven organizations. [Full Bio]




Participants can earn up to 1.20 credits in Specialized Knowledge and Applications upon completion of all course requirements.


If you purchase CPE credit for this webinar you must satisfy the following conditions in order to receive your certificate:

  1. Answer at least 3 of the 5 polling questions during the webinar
  2. Complete the evaluation survey after the conclusion of the webinar or in the follow-up email

Upon completion of these requirements, FTLF will email you your CPE Certificate within seven (7) business days.


  • Prerequisites: None 
  • Target Audience: Compliance Officers, CEOs, COOs, Grants managers, Board members
  • Advanced Preparation: None  
  • Program Level: All
  • Delivery Method: Group Internet Based
  • Attendance Requirements: In order to be awarded the full credits, you must respond to three (3) out of five (5) polling questions.

Feldesman Tucker Leifer Fidell LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website (formerly

Available Credit

  • 1.00 Certificate of Attendance


Please login or register to take this course.

Access to the recorded version of this webinar is included in your purchase.


The recorded version of this webinar will be available within seven (7) business days after the conclusion of the live event. You will have access to the recording for 180 days after the live webinar has concluded. Once posted to your account, you can view this webinar anytime on-demand during the access period identified in the Recorded Webinar Now Available email. For additional information on viewing and accessing webinars, view our full terms and conditions here.


All registrations made the day of a live webinar must be completed using a credit card or PayPal. We do not accept check payments or purchase orders for live webinars on the day of the webinar. If you wish to pay by check, please register in enough time for your check to reach our office; we must receive your check before we grant access to the webinar. If we receive your check after the live webinar, we will grant you access to the recorded webinar. For the most current information, please visit our FAQ page.


For orders of live webinars, FTLF will issue a full refund for cancellations requested at least one week PRIOR to the live webinar. We do not provide refunds for no-shows; however, you may request access to the recorded version of the webinar. If you ordered the wrong webinar and need to transfer your registration to a different program, please Contact Us. View our full policy on refunds and cancellations on our FAQ page.

Required Hardware/Software

Google Chrome and Mozilla Firefox are the preferred browsers.