CHPC Study EXAM QUESTIONS AND
ANSWERS
A compliance professional is trying to determine if attorney client privilege
should be requested. The compliance professional's policy should require
attorney-client privilege to be established in which of the following situations:
a. Violation of employee that occurred outside of the organization, and not
within the roles and responsibilities this employee has to the organization.
b. Illegal or unethical business practices by a Chief Executive Officer or other
Executive Management.
c. Overpayment from Medicare of $300,000 that was the result of a billing error.
- ANSWER>>b. Illegal or unethical business practices by a Chief Executive Officer
or other Executive Management.
Which of these steps should not be taken when assisting in a code of conduct
violation investigation?
a. Follow the company policy to fairly discipline the involved parties.
b. Document and report your findings.
c. Treat every person involved with dignity and respect.
d. Limit your interview to as few people as possible. - ANSWER>>d. Limit your
interview to as few people as possible.
If during the course of an internal investigation, the compliance officer believes
the integrity of the investigation might be compromised by the continued
presence of work force members who are the subject of the investigation. In the
best interest of the attorney-client privilege, which action would you take?
a. Conduct employee background checks.
b. Counsel obtains employee's dispositions.
c. Destroy documents or other evidence.
d. Re-assign employees to other responsibilities until the investigation is
completed.
,e. All of the above. - ANSWER>>d. Re-assign employees to other responsibilities
until the investigation is completed.
Explanation: He/she should recommend that such individuals be temporarily
removed from their current responsibilities until the investigation is completed.
Reference: Healthcare Compliance Professional's Manual
Which government department is comprised of thousands of employees who
enforce the nation's federal criminal laws and help develop and implement
criminal law policies?
a. Office of Inspector General (OIG)
b. Centers for Medicare & Medicaid Services (CMS)
c. Healthcare Lawyers Association (HLA)
d. Department of Justice - ANSWER>>d. Department of Justice
Explanation: OIG combats fraud, waste, and abuse in Medicare, Medicaid and
HHS Programs; CMS administers the nation's major healthcare programs
including Medicare, Medicaid, and CHIP to eliminate fraud, waste, and abuse;
HLA is an edu organization (not a government department).
Reference: Practice Question from AAPC CPCO Chapter 1.
A potential violation was identified by Compliance, what should be done first?
a. Meet with in-house legal counsel
b. Perform an internal investigation
c. Modify the source of the wrong doing
c. Create an investigative team - ANSWER>>b. Perform an internal investigation
Explanation: Validate that there is in fact a violation, then you can proceed to
next steps by stopping wrongdoing and getting legal involvement.
Appropriate progressive discipline policies associated with a compliance
program should be:
a. Defined by role
,b. Enforced consistently
c. Applied to physicians
d. Reported to the government - ANSWER>>b. Enforced consistently
According to the Federal Sentencing Guidelines, which of the following factors
could increase the punishment of an organization?
a. Obstruction of justice
B. Violation of the direct court order
c. Prior history of violations
d. All of the above - ANSWER>>d. All of the above
After an investigation, it was discovered that the organization's reputation is at
stake. What should a Compliance Professional do next?
a. Report the findings to the board.
b. Contact legal counsel.
c. Advise the CEO and recommend next steps.
d. Self-disclose to the OIG. - ANSWER>>b. Contact legal counsel.
An organization identifies a potential issue when reviewing personal services
and management contracts. Which of the following should the compliance
professional consider in analyzing the issue?
a. Deficit Reduction Act (DRA)
b. Conditions of Participation (CoP)
c. IRS tax-exempt guidelines
d. Anti-Kickback (AKS) Safe Harbors - ANSWER>>d. Anti-Kickback (AKS) Safe
Harbors
Before a government investigation occurs, what should be reviewed carefully?
a. Government investigator credentials.
b. The search warrant to ensure only identified documents are searched.
c. All of the above.
d. None of the above. - ANSWER>>b. The search warrant to ensure only
identified documents are searched.
, True or False: Obligations to the Employing Organization, during an
investigation, it is important to keep all identities discreet as much as possible
to prevent and to protect the person who is being investigated and to protect
the reputation of the entity. - ANSWER>>True (to prevent any damage).
Organizations have the opportunity to reduce their culpability in accordance
with the Federal Sentencing Guidelines by:
a. Establishing mandatory audits.
b. Effectively dealing with any offense after it has occurred.
c. Developing a code of conduct and educating senior management.
d. Voluntarily disclosing overpayments. - ANSWER>>b. Effectively dealing with
any offense after it has occurred.
When non-compliance is substantiated, disciplinary action should be
administered:
a. Within 30 days.
b. If intent is proven.
c. In a consistent manner.
d. After completion of corrective action. - ANSWER>>c. In a consistent manner.
True or False: The attorney-client privilege applies to communications made by
a client, the underlying facts of the communication and the legal conclusions
involving the facts. - ANSWER>>False. Confidential communication between a
client and his or her lawyer for the purpose of obtaining legal advice or securing
legal services. This privilege protects communications of facts, and not the fact
that underlie these communications. For instance, a client provides an attorney
with a host of facts when communicating, but the privilege does not protect
these facts from disclosure - only the communications themselves.
A PI is accused of accepting kickbacks from a sponsor. The allegation is that the
study budget included an item for funds to cover office visits required by the
ANSWERS
A compliance professional is trying to determine if attorney client privilege
should be requested. The compliance professional's policy should require
attorney-client privilege to be established in which of the following situations:
a. Violation of employee that occurred outside of the organization, and not
within the roles and responsibilities this employee has to the organization.
b. Illegal or unethical business practices by a Chief Executive Officer or other
Executive Management.
c. Overpayment from Medicare of $300,000 that was the result of a billing error.
- ANSWER>>b. Illegal or unethical business practices by a Chief Executive Officer
or other Executive Management.
Which of these steps should not be taken when assisting in a code of conduct
violation investigation?
a. Follow the company policy to fairly discipline the involved parties.
b. Document and report your findings.
c. Treat every person involved with dignity and respect.
d. Limit your interview to as few people as possible. - ANSWER>>d. Limit your
interview to as few people as possible.
If during the course of an internal investigation, the compliance officer believes
the integrity of the investigation might be compromised by the continued
presence of work force members who are the subject of the investigation. In the
best interest of the attorney-client privilege, which action would you take?
a. Conduct employee background checks.
b. Counsel obtains employee's dispositions.
c. Destroy documents or other evidence.
d. Re-assign employees to other responsibilities until the investigation is
completed.
,e. All of the above. - ANSWER>>d. Re-assign employees to other responsibilities
until the investigation is completed.
Explanation: He/she should recommend that such individuals be temporarily
removed from their current responsibilities until the investigation is completed.
Reference: Healthcare Compliance Professional's Manual
Which government department is comprised of thousands of employees who
enforce the nation's federal criminal laws and help develop and implement
criminal law policies?
a. Office of Inspector General (OIG)
b. Centers for Medicare & Medicaid Services (CMS)
c. Healthcare Lawyers Association (HLA)
d. Department of Justice - ANSWER>>d. Department of Justice
Explanation: OIG combats fraud, waste, and abuse in Medicare, Medicaid and
HHS Programs; CMS administers the nation's major healthcare programs
including Medicare, Medicaid, and CHIP to eliminate fraud, waste, and abuse;
HLA is an edu organization (not a government department).
Reference: Practice Question from AAPC CPCO Chapter 1.
A potential violation was identified by Compliance, what should be done first?
a. Meet with in-house legal counsel
b. Perform an internal investigation
c. Modify the source of the wrong doing
c. Create an investigative team - ANSWER>>b. Perform an internal investigation
Explanation: Validate that there is in fact a violation, then you can proceed to
next steps by stopping wrongdoing and getting legal involvement.
Appropriate progressive discipline policies associated with a compliance
program should be:
a. Defined by role
,b. Enforced consistently
c. Applied to physicians
d. Reported to the government - ANSWER>>b. Enforced consistently
According to the Federal Sentencing Guidelines, which of the following factors
could increase the punishment of an organization?
a. Obstruction of justice
B. Violation of the direct court order
c. Prior history of violations
d. All of the above - ANSWER>>d. All of the above
After an investigation, it was discovered that the organization's reputation is at
stake. What should a Compliance Professional do next?
a. Report the findings to the board.
b. Contact legal counsel.
c. Advise the CEO and recommend next steps.
d. Self-disclose to the OIG. - ANSWER>>b. Contact legal counsel.
An organization identifies a potential issue when reviewing personal services
and management contracts. Which of the following should the compliance
professional consider in analyzing the issue?
a. Deficit Reduction Act (DRA)
b. Conditions of Participation (CoP)
c. IRS tax-exempt guidelines
d. Anti-Kickback (AKS) Safe Harbors - ANSWER>>d. Anti-Kickback (AKS) Safe
Harbors
Before a government investigation occurs, what should be reviewed carefully?
a. Government investigator credentials.
b. The search warrant to ensure only identified documents are searched.
c. All of the above.
d. None of the above. - ANSWER>>b. The search warrant to ensure only
identified documents are searched.
, True or False: Obligations to the Employing Organization, during an
investigation, it is important to keep all identities discreet as much as possible
to prevent and to protect the person who is being investigated and to protect
the reputation of the entity. - ANSWER>>True (to prevent any damage).
Organizations have the opportunity to reduce their culpability in accordance
with the Federal Sentencing Guidelines by:
a. Establishing mandatory audits.
b. Effectively dealing with any offense after it has occurred.
c. Developing a code of conduct and educating senior management.
d. Voluntarily disclosing overpayments. - ANSWER>>b. Effectively dealing with
any offense after it has occurred.
When non-compliance is substantiated, disciplinary action should be
administered:
a. Within 30 days.
b. If intent is proven.
c. In a consistent manner.
d. After completion of corrective action. - ANSWER>>c. In a consistent manner.
True or False: The attorney-client privilege applies to communications made by
a client, the underlying facts of the communication and the legal conclusions
involving the facts. - ANSWER>>False. Confidential communication between a
client and his or her lawyer for the purpose of obtaining legal advice or securing
legal services. This privilege protects communications of facts, and not the fact
that underlie these communications. For instance, a client provides an attorney
with a host of facts when communicating, but the privilege does not protect
these facts from disclosure - only the communications themselves.
A PI is accused of accepting kickbacks from a sponsor. The allegation is that the
study budget included an item for funds to cover office visits required by the
