CCT CCT - Certified Compliance Technician Compliance Documentation and Record Keeping Questions and Answers 2 — Questions and Answers
Question 1: Which federal program sets specific medical record retention requirements that compliance officers must consider?
- OSHA
- Medicare Conditions of Participation (Correct answer)
- FLSA
- ERISA
Correct answer: Medicare Conditions of Participation
Medicare Conditions of Participation include specific record retention requirements that healthcare providers must follow to maintain Medicare eligibility.
Question 2: An employee accidentally destroys compliance records that are subject to a pending government investigation. This action could constitute:
- Routine document management
- Obstruction of justice or spoliation of evidence (Correct answer)
- An OSHA violation
- A HIPAA breach only
Correct answer: Obstruction of justice or spoliation of evidence
Destroying records relevant to an ongoing investigation can be prosecuted as obstruction of justice or spoliation, with severe legal consequences.
Question 3: What is a 'litigation hold' (also called a legal hold) in the context of compliance documentation?
- A marketing freeze
- A directive to preserve all records potentially relevant to anticipated or ongoing litigation (Correct answer)
- A billing code suspension
- An employee disciplinary file
Correct answer: A directive to preserve all records potentially relevant to anticipated or ongoing litigation
A litigation hold requires the organization to suspend normal document destruction to preserve all potentially relevant records.
Question 4: Which of the following BEST describes a document retention policy?
- A policy specifying how long different record types must be kept and procedures for secure disposal (Correct answer)
- A policy limiting employee file sizes
- A marketing content calendar
- A vendor payment schedule
Correct answer: A policy specifying how long different record types must be kept and procedures for secure disposal
A document retention policy defines retention periods by record type and establishes secure disposal methods once retention periods expire.
Question 5: When a compliance audit identifies documentation deficiencies, what should the corrective action plan include?
- Only a verbal promise to improve
- Specific steps, responsible parties, deadlines, and follow-up monitoring to address the deficiencies (Correct answer)
- A request to extend the audit deadline indefinitely
- Notification to all patients
Correct answer: Specific steps, responsible parties, deadlines, and follow-up monitoring to address the deficiencies
Effective corrective action plans are specific, assign accountability, set timelines, and include monitoring to verify the deficiency is resolved.
Question 6: Electronic health records (EHRs) used for compliance purposes must include which safeguard?
- Open public access
- Audit trails that log who accessed or modified records and when (Correct answer)
- No password protection
- Automatic deletion after 30 days
Correct answer: Audit trails that log who accessed or modified records and when
Audit trails in EHR systems are required to detect unauthorized access, modifications, or potential falsification of medical records.
CCT CCT - Certified Compliance Technician Compliance Documentation and Record Keeping Questions and Answers 2
Which federal program sets specific medical record retention requirements that compliance officers must consider?