CCS CCS Compliance Investigations & Corrective Action 2

Question 1

What does 'root cause analysis' aim to identify in a compliance investigation?

Accepted Answer

The underlying systemic or behavioral factors that led to the compliance failure

Answer

The employee who reported the violation

Answer

The exact dollar value of losses from a violation

Answer

The number of similar companies that have faced the same issue

Question 2

An employee alleges retaliation after filing a compliance complaint. What should the compliance officer do first?

Accepted Answer

Treat the retaliation allegation as a separate matter requiring its own prompt investigation

Answer

Dismiss the retaliation claim to avoid complicating the original investigation

Answer

Transfer the employee to another department immediately

Answer

Advise the employee to seek a different employer

Question 3

Which type of witness interview technique is most effective during a compliance investigation?

Accepted Answer

Open-ended questions that allow witnesses to provide information in their own words

Answer

Leading questions that confirm the investigator's hypothesis

Answer

Questions shared with the subject before the interview

Answer

Interviews conducted in group settings to save time

Question 4

What is the purpose of an investigation closeout report?

Accepted Answer

To document findings, conclusions, and recommended corrective actions for stakeholders

Answer

To publicly name individuals found to have committed violations

Answer

To eliminate the need for any future investigations

Answer

To satisfy marketing department requests for case studies

Question 5

Under the False Claims Act, qui tam provisions allow which parties to bring suit on behalf of the federal government?

Accepted Answer

Private individuals with knowledge of fraudulent claims against the government

Answer

Only federal prosecutors

Answer

State attorneys general only

Answer

Federal judges assigned to whistleblower cases

Question 6

Why is maintaining investigation confidentiality critical?

Accepted Answer

To protect witnesses, preserve evidence integrity, and avoid tipping off subjects prematurely

Answer

To prevent employees from knowing that compliance rules exist

Answer

To limit the number of people who can file future complaints

Answer

To reduce the compliance team's workload