Build, Assess, & Maintain Effective Compliance Programs
A Compliance Program is essential for any organization aiming to uphold all pertinent laws, regulations, and ethical standards. In a rapidly changing and increasingly complex legal landscape, ensuring compliance is not just a necessity but a strategic advantage. A robust Compliance Program empowers organizations to navigate these challenges effectively, fostering trust and integrity while safeguarding their reputation.
FoxPointe Solutions is here to help! Our Compliance service offerings are designed to guide you through every step of the process. We have recently updated our comprehensive library of services to reflect the latest regulations, making it a valuable resource for all your compliance needs.
Our Compliance Solutions Include:
- Compliance Program Effectiveness Review
- Compliance Incident Management Plan
- Workforce Compliance Program Survey
- Compliance Toolkit
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FoxPointe Compliance Solutions
- Compliance Program Effectiveness Review: A comprehensive review of your organization’s compliance program to ensure you’re meeting all regulatory requirements.
- Compliance Incident Management Plan: A comprehensive plan that addresses incident management requirements for organizations that support vulnerable populations (such as OPWDD, OMH, and OASAS).
- Workforce Compliance Program Survey: This program will provide you with additional data about your compliance program to help you better determine its effectiveness (as required).
- Compliance Toolkit: Newly updated for the latest regulations, provide policy and procedure templates to guide you every step of the way.
FoxPointe Compliance Solutions Overview
FoxPointe Solutions Compliance Program Effectiveness Review is a comprehensive evaluation of an organization’s compliance program. The purpose of this review is to ensure that the program meets all relevant regulatory requirements and effectively achieves its intended goals. This process is essential for organizations, especially those in highly regulated industries such as healthcare and finance.
FoxPointe Solutions Compliance Program Effectiveness Review Includes:
- Going Beyond Document Review: While reviewing existing policies and procedures is part of the process, our team goes further to evaluate the impact and outcomes of the program.
- Our 360° Review: We conduct a complete assessment that involves debriefings and interviews with key leaders and staff, evaluating the foundation of each program element.
Our Review Examines Elements Such As:
- Written Policies & Procedures: Are they clear, comprehensive, and accessible?
- Compliance Leadership & Oversight: Is there designated leadership with sufficient authority and resources?
- Training & Education: Is training effective and engaging, and does it reach all employees?
- Lines Of Communication: Are reporting channels effective and accessible, including hotlines and anonymous options?
- Monitoring & Auditing: Are internal and external audits conducted regularly and effectively to identify risks and compliance gaps?
- Enforcement Of Standards: Are disciplinary guidelines well-publicized and applied consistently?
- Responding To Detected Offenses: Does the organization have a prompt and effective process for investigating issues and implementing corrective actions?
- Risk Assessment: Is there a process for identifying and prioritizing compliance risks?
Measuring Effectiveness — Key indicators (KPIs) are used to measure program performance, including:
- Policy Reviews & Updates
- Policy Violations
- Training Completion Rates & Test Results
- Reporting Rates & Retaliation Trends
- Audit Results
- Resolution Time For Reported Issues
Why Are These Reviews Needed?
- Meeting Regulatory Requirements: Demonstrating program effectiveness is often required by regulations and legal frameworks such as U.S. Federal Sentencing Guidelines and state specific regulations.
- Preventing Legal & Financial Risks: Effective programs help mitigate the risk of legal action, regulatory penalties, and fraud.
- Enhancing Reputation & Trust: A strong commitment to compliance fosters a culture of integrity and builds trust with stakeholders and customers.
- Improving Operational Efficiency: Compliance programs can streamline processes and reduce costs by standardizing procedures and reducing errors.
- Boosting Employee Morale & Culture: Employees are more likely to feel valued and respected in a workplace that is compliant and ethical.
What We Do:
- Plan The Assessment: Define the scope, objectives, timeline, and resources needed.
- Conduct A Compliance Review: Evaluate policies, procedures, and practices.
- Analyze Findings & Perform A Gap Assessment: Identify areas of non-compliance and weaknesses.
- Report To Key Stakeholders: Communicate findings and recommendations to leadership.
- Develop A Plan To Improve: Create an action plan with assigned responsibilities and deadlines.
- Integrate Compliance Management Tools: Utilize technology and streamline processes, thereby tracking progress effectively.
- Assist Clients In Staying Updated On Regulations: Monitor changes in laws and industry standards to ensure compliance.
Conducting a Compliance Program Effectiveness Review is crucial for organizations seeking to uphold their commitment to compliance, manage risks effectively, and foster a robust ethical culture. By consistently assessing and refining their compliance programs, organizations not only strengthen a culture of safety and efficiency but also build immense trust among employees and stakeholders. This proactive approach fosters a more secure and effective workplace, benefiting everyone involved.
Organizations supporting vulnerable populations, such as those served by OPWDD, OMH, and OASAS, require a comprehensive Compliance Incident Management Plan to ensure the safety and well-being of individuals in their care. This plan should address various incident types and outline a structured process for reporting, investigation, and corrective action.
FoxPointe Solutions Compliance Incident Management Plan Includes:
- Clearly define reportable incidents, including allegations of abuse and neglect (physical, sexual, psychological abuse, etc.), significant incidents (medication errors, seclusion, missing persons, choking events, etc.), and serious notable occurrences (deaths in certified settings, sensitive situations).
- Establish immediate reporting procedures, such as a dedicated Incident Management Unit (IMU) hotline and requirements for reporting to the Justice Center and relevant oversight agencies (like OPWDD, OMH, and OASAS).
- Specify information to be included in incident notifications, such as a detailed description of the incident, immediate protections implemented and contact information for follow-up.
- Emphasize the individual obligation of mandated reporters to report immediately upon discovery without being required to report to a supervisor or program director first.
- Outline a process for thorough incident investigations, including gathering information from various sources, conducting interviews, and reviewing pertinent evidence.
- Specify procedures for investigating allegations of abuse and neglect, including determining whether allegations are substantiated based on the preponderance of evidence.
- Establish an Incident Review Committee (IRC) responsible for reviewing incidents, ensuring investigations are thorough, identifying patterns and common causes, and recommending preventative and corrective actions.
- Ensure the IRC includes objective members who are not directly involved in the incidents being reviewed and are trained in confidentiality regulations.
- Maintain detailed records of all incidents, including incident reports, investigation documentation, and minutes of IRC meetings.
- Keep incident reports and supporting documentation on file for a minimum of six years.
- Develop Corrective Action Plans (CAPs) based on investigation findings and IRC recommendations.
- Implement actions to address specific failures and systemic problems and prevent the recurrence of similar incidents.
- Ensure that recommendations address basic needs, individual rights, and systemic issues that contribute to incidents.
- Provide comprehensive training to staff on incident management procedures, including identification, reporting, investigation, and their roles and responsibilities.
- Implement staff onboarding procedures, including background checks and fingerprinting, to ensure personnel working with vulnerable populations are appropriately screened.
- Adhere to relevant regulations and guidance from oversight agencies like OPWDD, OMH, and OASAS.
- Comply with federal confidentiality laws, such as 42 CFR Part 2 and HIPAA, when handling and disclosing information related to incidents.
A Workforce Compliance Program Survey is a valuable tool for organizations that serve vulnerable populations, such as those regulated by OPWDD, OMH, and OASAS, to evaluate and enhance the effectiveness of their compliance programs.
FoxPointe Solutions Compliance Program Survey Includes:
- Gathering Data: Our survey collects data on employee awareness, understanding, and attitudes related to compliance policies, procedures, and ethical expectations.
- Measuring Effectiveness: By surveying employees, FoxPointe Solutions gains insights into the current state of organizations compliance culture, identify areas for improvement, and ensure that the program is functioning as intended.
- Identifying Gaps: The survey can reveal potential knowledge gaps, operational inconsistencies, or areas where policies may not be clearly understood or effectively implemented.
- Driving Improvement: Based on the survey results, organizations can make data-informed decisions to refine their compliance training programs, strengthen internal controls, and address any identified risks.
Benefits Of A Workforce Compliance Program Survey:
- Data-Driven Decisions: Provides concrete data to support decisions related to compliance program enhancements and resource allocation.
- Improved Compliance Culture: Strengthens the compliance culture by demonstrating leadership’s commitment to ethical behavior and encouraging open communication.
- Risk Identification: Aids in identifying and mitigating compliance risks before they escalate into serious incidents or regulatory violations.
- Targeted Training: Allows organizations to customize training programs to address specific needs and knowledge gaps identified through surveys.
- Enhanced Employee Engagement: Demonstrates to employees that their input is valued, fostering a safer and more ethical work environment.
Implementing a Workforce Compliance Program Survey enables organizations serving vulnerable populations to identify and proactively mitigate compliance risks. By fostering a robust compliance culture, these organizations not only enhance their operational integrity but also significantly improve the safety and well-being of the individuals they support. Taking this step is crucial for building trust and delivering exceptional care.
With over 25 years of experience in Corporate Compliance, FoxPointe’s Compliance Solutions team is a proven and trusted resource. Our new 2024 comprehensive Corporate Compliance Toolkit provides policy and procedure templates to guide you every step of the way to ensure compliance with the strict and ever-evolving compliance regulations.
Our toolkits are more than just a one-time solution. They are a reliable compliance resource that remains by your side, offering continuous support and guidance throughout the year.
What’s in the Corporate Compliance Toolkit:
Our compliance guide and tools are intended to assist Medicare- and Medicaid-funded providers in developing and implementing internal controls and procedures that promote adherence to applicable Federal and State healthcare program regulations.
The Compliance Toolkit includes essential procedural and structural guidance for designing and maintaining an effective Compliance Program, but it is not a Compliance Program. It is a set of guidelines and tools to be considered by providers interested in implementing a culture that promotes, prevents, detects, and resolves instances of conduct that do not conform to Federal and State law and Federal and State healthcare program requirements, as well as the provider’s internal policies and procedures. The existence of benchmarks that demonstrate implementation and achievements is essential to any effective Compliance Program. Eventually, a Compliance Program should become part of the fabric of routine operations.
- The Corporate Compliance toolkit includes over 20 policy and procedure templates for corporate compliance, forms, and a Power Point training module and is available for $4,000.
- Additional toolkits are available with bundled discounted pricing.
Client Testimonial:
“It’s absolutely marvelous and I cannot tell you how much I appreciate this! It is making my job 99% easier!”
Organizations ranging from healthcare facilities to school districts increasingly turn to FoxPointe for help addressing their Medicaid compliance, education, and funding issues. Our clients trust us, knowing that our expertise, professionalism, and technical skills are on par with those of the largest national firms. Our responsiveness, “hands-on” project management, and reasonable fee structure are the pillars of FoxPointe Solutions ability to exceed client expectations consistently.
FoxPointe Solutions
FoxPointe Solutions helps your organization improve efficiency and maintain strong compliance controls. We ensure that you meet ever-changing regulatory requirements, manage risks effectively, and achieve better business outcomes. Our elite team of risk services professionals holds the latest certifications necessary to conduct today’s intrusion tests.
FoxPointe Solutions
Our Compliance Solutions team is a powerhouse of diverse, credentialed, and licensed professionals. What sets us apart is our unmatched industry knowledge and expertise. We are not just passive observers, but actively engaged in the industries we serve. We host and attend annual seminars and boot camps as part of our Compliance Program Development Series. Our experts hold a variety of accreditations, including Certified in Healthcare Compliance, Certified in Healthcare Privacy Compliance, Registered Nurse, and Resident Assessment Coordinator Certification.
