Table of Contents Introduction to Evaluation Processes, Investigations, and Noncompliance Response Government and Professional Resources Monitoring Auditing Resource: Sample Compliance Program Audit Plan Program Self-Assessment Internal Investigations Resource: Sample Checklist for Assessing Investigation Capabilities Resource: Sample Internal Investigations Policy Resource: Sample Upjohn Warning Resource: Sample Instructions to Witnesses Resource: Sample Evidence Collection Worksheet Resource: Sample Key Allegations Worksheet Resource: Sample Key Facts Worksheet Resource: Sample Investigation Report Form 1 Resource: Sample Investigation Report Form 2 Resource: Sample Policy Against Retaliation Discipline and Incentives Resource: Sample Evaluation Form Resource: Sample Recognition Letter Corrective Action Plans Root Cause Analysis Self-Disclosure and Return of Overpayments External Investigations Government Settlements: Corporate Integrity Agreements and Integrity Agreements Resources Table of Contents Auditing Board and Committee Reports and Documents CMS Conditions of Participation General Compliance Program Human Research Institutional Research Internal Investigation Measuring Program Effectiveness Monitoring Post-Acute Care Provider-Based Rules and Regulations Risk Assessment Book traversal links for Chapter 4: Evaluation Processes, Investigations, and Noncompliance Response ‹ Chapter 3: Running an Effective Compliance Program Up Auditing ›