Regulatory Compliance Review Audit Report

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Screenshot of the first page of the Regulatory Compliance Review Audit Report

This sample audit report can be used by auditors for assessing and improving an organization’s compliance risk management process.

Testing involved activities such as interviewing members of the executive management team to identify expectations regarding the corporate focus of compliance program capabilities; examining new-hire compliance education and training methods; evaluating processes, procedures and avenues for organizational compliance violation escalations; and assessing processes and procedures indicating other compliance activities.

The following recommendations were made as a result of testing:

  • Initiate a policy regarding a protocol on how an investigation should be reported.
  • Identify disciplinary action training in the education program.
  • Review and evaluate the training module for structure, and offer it to staff on a set date.
  • Distribute the code of conduct to all contractors and people who furnish medical services to the hospital.

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