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Essentials of Health Care Compliance

Compliance Review Worksheet 16

Chapters 10 and 13

Chapter 10

Q1: Define covert.

Q2: Name the 3 indicators of fraud. A:

Q3: What type of audit would you conduct if you wanted to examine a system in action? A:

Q4: What would you be looking at if you conducted a retrospective audit? A:

Q5: When would you utilize a comprehensive audit?

A:

Q6: List the 7 steps of an internal audit.

A:

Q7: What is the significance of an exit interview?

A:

Q8: Once you have completed an audit, the results need to be analyzed. What will the analysis highlight for you?

A:

Chapter 13

Q1: Define due process.

Q2: Briefly list the 6 due process items that should be included in the notification letter to an employee suspected of compliance violation. A:

Q3: How many levels of disciplinary actions are there? A:

Q4: In establishing disciplinary action on a compliance violation, when would someone use a warning action? A:

Q5: In establishing disciplinary action on a compliance violation, what would be included in a formal disciplinary action? A:

Q6: In establishing disciplinary action on a compliance violation, what steps would need to be taken in order to terminate an employee who violated a compliance policy?

A:

Q7: In reference to level of negligence, what role does series of violations play in the level of punishment for a compliance violation?

A: