Enforcement and Penalties Flashcards
7 cards from real CCT practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Enforcement and Penalties flashcards as text
The concept of 'disgorgement' as an enforcement remedy requires a violator to:
Answer: Return all ill-gotten gains or profits from the wrongful conduct
Disgorgement is an equitable remedy that compels a wrongdoer to give up profits obtained through illegal activity, preventing unjust enrichment.
Under HIPAA, what is the maximum annual penalty for violations in the 'willful neglect - not corrected' category?
Answer: $1,900,000
HIPAA's penalty tier for willful neglect violations not corrected within 30 days carries a maximum of $1,900,000 per violation category per year.
What is the primary purpose of an independent compliance monitor appointed as part of a settlement agreement?
Answer: To oversee and report on the company's implementation of remedial compliance measures
An independent monitor reviews the company's compliance program implementation and reports findings to the government, ensuring promised reforms actually occur.
Under the Clean Air Act, what daily maximum civil penalty can EPA impose on a company for violations?
Answer: $100,000 per day
EPA can seek civil penalties up to $100,000 per day for Clean Air Act violations, adjusted for inflation under the Civil Penalties Inflation Adjustment Act.
In the context of FTC enforcement, what is an 'administrative complaint'?
Answer: A formal document initiating an FTC adjudicative proceeding against a company
An FTC administrative complaint formally charges a company with a violation and initiates an administrative law proceeding before an Administrative Law Judge.
Which factor is NOT typically considered when calculating a penalty amount under the Federal Sentencing Guidelines for organizations?
Answer: The number of employees who knew about the violation
The Guidelines consider culpability factors like compliance programs, prior history, obstruction, and self-reporting — not a simple headcount of knowing employees.
What is a 'corporate integrity agreement' (CIA) in healthcare enforcement?
Answer: A binding agreement with HHS-OIG requiring specific compliance obligations to avoid exclusion from federal programs
A CIA is negotiated with the HHS Office of Inspector General and imposes detailed compliance requirements on a healthcare entity as an alternative to exclusion from Medicare/Medicaid.