Risk Assessment Survey - Harris Health (FY22)

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* 1. What significant organizational changes or capital expenditures are planned in your area for the next 12 months?

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* 2. List the most significant challenges COVID-19 has caused for your area.

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* 3. What metrics do you use to manage your business?

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* 4. What do you see as the top three internal or external risks/concerns that could impact your ability to achieve the business objectives within your area AND why?

*Risks may be related to topics including, but not limited to:

Patient care quality and safety
Regulatory changes
Revenue cycle
Financial management
Third-party vendor management
Privacy/identity management
Business continuity and disaster recovery
Cybersecurity

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* 4a. Are these risks being appropriately managed?

Yes

No

If response is YES, then how are these risks being managed?

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* 4b. Which risk area(s) would benefit most from an independent assessment by Internal Audit? Please explain why.

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* 5. What concerns do you have about information technology within your area or in the Harris Health System as a whole? Examples include, but are not limited to, access to data, security over systems/data, availability of data, IT training, new implementations etc.

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* 6. Are you aware of any of the following occurring within your department or in other areas of the Harris Health System?

	Yes	No
Intentional manipulation of financial statements	Intentional manipulation of financial statements Yes	Intentional manipulation of financial statements No
Fictitious vendors	Fictitious vendors Yes	Fictitious vendors No
Contracts improperly awarded	Contracts improperly awarded Yes	Contracts improperly awarded No
Inflated vendor invoices	Inflated vendor invoices Yes	Inflated vendor invoices No
Theft by employees, vendors, or others	Theft by employees, vendors, or others Yes	Theft by employees, vendors, or others No
Fraud or kickbacks	Fraud or kickbacks Yes	Fraud or kickbacks No
Conflicts of interest	Conflicts of interest Yes	Conflicts of interest No
Billing for patient services not rendered	Billing for patient services not rendered Yes	Billing for patient services not rendered No
Performing medically unnecessary services	Performing medically unnecessary services Yes	Performing medically unnecessary services No
Separately billing for bundled services	Separately billing for bundled services Yes	Separately billing for bundled services No
Drug diversion	Drug diversion Yes	Drug diversion No
Medicare/Medicaid fraud	Medicare/Medicaid fraud Yes	Medicare/Medicaid fraud No
Research Misconduct	Research Misconduct Yes	Research Misconduct No

Other (please specify)

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* 6. Are you aware of any of the following occurring within your department or in other areas of the Harris Health System?

	Yes	No
Intentional manipulation of financial statements	Intentional manipulation of financial statements Yes	Intentional manipulation of financial statements No
Fictitious vendors	Fictitious vendors Yes	Fictitious vendors No
Contracts improperly awarded	Contracts improperly awarded Yes	Contracts improperly awarded No
Inflated vendor invoices	Inflated vendor invoices Yes	Inflated vendor invoices No
Theft by employees, vendors, or others	Theft by employees, vendors, or others Yes	Theft by employees, vendors, or others No
Fraud or kickbacks	Fraud or kickbacks Yes	Fraud or kickbacks No
Conflicts of interest	Conflicts of interest Yes	Conflicts of interest No
Billing for patient services not rendered	Billing for patient services not rendered Yes	Billing for patient services not rendered No
Performing medically unnecessary services	Performing medically unnecessary services Yes	Performing medically unnecessary services No
Separately billing for bundled services	Separately billing for bundled services Yes	Separately billing for bundled services No
Drug diversion	Drug diversion Yes	Drug diversion No
Medicare/Medicaid fraud	Medicare/Medicaid fraud Yes	Medicare/Medicaid fraud No
Research Misconduct	Research Misconduct Yes	Research Misconduct No

Other (please specify)

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* 7. Are there any other topics you would like to discuss with Internal Audit, apart from this survey? A ‘Yes’ to this question will result in a virtual meeting request from the Assistant Audit Director.

Yes

No

We appreciate your input. Thank you for taking the time to participate!