Question 1

An audit was performed using data from the last 3 years, current year not included. This is known as a:

Accepted Answer

A)   Concurrent audit.
B)   Retrospective audit.
C)   Comprehensive audit.
D)   Common sampling audit. B

Question 2

Every employee in the Pediatrics Department is directed to submit to a drug test. This is an example of a:

Accepted Answer

A)   Comprehensive audit.
B)   Concurrent audit.
C)   Sampling audit.
D)   Retrospective audit. A

Question 3

An external audit of your facility may be initiated by:

Accepted Answer

A)   Random selection.
B)   A prescheduled annual event.
C)   An alert of specific activity.
D)   All of these. D

Question 4

The determination of results by projecting existing experience or known data is known as:

Accepted Answer

A)   Upcoding.
B)   Statistical assessment.
C)   Extrapolation.
D)   Sampling.

Question 5

An assessment to determine compliance performed by an authorized agency or organization is known as a (an):

Accepted Answer

A)   External audit.
B)   Retrospective audit.
C)   Internal audit.
D)   Trend analysis.

Question 6

A non-compliant event that is not obvious or easily seen is known as a/n:

Accepted Answer

A)   Internal problem.
B)   Overt problem.
C)   Covert problem.
D)   Extrapolation.

Question 7

You instruct your assistant to review the records of all employees who work in the clinic to ensure all vaccinations are up-to-date. This is an example of:

Accepted Answer

A)   External audit.
B)   Internal audit.
C)   Manufactured audit.
D)   Abuse of power.

Question 8

What is the first thing the administrator should do after receiving notification of an external audit?

Accepted Answer

A)   Pull the requested files.
B)   Call a Board of Directors meeting.
C)   Verify from whom the request has come.
D)   Contact the facility's attorney.

Question 9

An investigation focused on analyzing and evaluating certain amounts of data is known as:

Accepted Answer

A)   An evaluation.
B)   A scope document.
C)   An audit.
D)   An internal investigation.

Question 10

Included in the audit process, a review of all applicable ________ must be done.

Accepted Answer

A)   laws
B)   regulations
C)   guidance
D)   All of these

Question 11

One method for identifying overt problems is to:

Accepted Answer

A)   Ask around the cafeteria.
B)   Take patient complaints seriously.
C)   Interrogate all staff members.
D)   Complete a staff survey.

Question 12

An audit was planned to review a small percentage of a facility's files by randomly choosing which records to analyze. This is known as a:

Accepted Answer

A)   Comprehensive audit.
B)   Concurrent audit.
C)   Sampling audit.
D)   Retrospective audit.

Question 13

A valid internal audit will include all of the following steps except:

Accepted Answer

A)   Determination of the scope of the audit.
B)   Letting the audit team take as much time as they want.
C)   Not requiring a written report.
D)   All of the above

Question 14

You have just received a subpoena duces tecum. This means you must:

Accepted Answer

A)   Testify in court.
B)   Deliver specified documents to the court.
C)   Be available to the court for 30 days.
D)   Serve on a jury.

Question 15

A non-compliant event that is deeply hidden and cannot be identified without an in-depth investigation is known as a/n:

Accepted Answer

A)   Overt problem.
B)   Covert problem.
C)   Occult problem.
D)   All of the above.

Question 16

One of the best ways to prepare for an external audit is to:

Accepted Answer

A)   Hire a good attorney.
B)   Perform an internal audit.
C)   Erase all applicable files from the server.
D)   All of the above

Question 17

Multiple agencies from ___ have the authority to audit your facility.

Accepted Answer

A)   private insurance companies
B)   state government
C)   federal government
D)   All of these

Question 18

The first few phases of an external audit are completed:

Accepted Answer

A)   In person at your office.
B)   In person at the investigator's office.
C)   Over the telephone.
D)   Electronically.

Question 19

An example of an overt problem is:

Accepted Answer

A)   A physician who is a functioning alcoholic.
B)   Upcoding on claim forms.
C)   Medical assistants gossiping about patients.
D)   A nurse stealing drugs.

Question 20

When going through an external audit, before receiving the auditor's determinations, you should be certain to prepare:

Accepted Answer

A)   An alibi.
B)   A company check for the fines and penalties.
C)   Information and documentation required for the appeals process.
D)   Your résumé.

Exam 13: Audits and Inspections