CCT Seven Elements of Compliance 3

Question 1

Which of the Seven Elements requires that an organization have a mechanism to receive and investigate reports of potential misconduct without fear of retaliation?

Accepted Answer

Effective lines of communication

Answer

Effective lines of communication—the fourth element—include anonymous hotlines and non-retaliation policies to encourage reporting of suspected violations.

Question 2

A hospital's compliance policies are updated only when regulations change and are not reviewed on any regular schedule. Which best practice is the hospital failing to follow?

Accepted Answer

Periodically reviewing and updating written policies

Answer

Written policies and procedures must be regularly reviewed and updated to remain current, even in the absence of a regulatory change trigger.

Question 3

A Compliance Officer delegates all day-to-day compliance functions to department managers and rarely engages directly with the program. This situation violates which element?

Accepted Answer

Designating a compliance officer with sufficient authority and resources

Answer

The compliance officer must be actively engaged and possess genuine authority; delegating all functions without direct oversight undermines this element.

Question 4

During a compliance audit, it is discovered that 40% of staff have never completed compliance training. Which of the Seven Elements is most clearly deficient?

Accepted Answer

Effective training and education

Answer

The third element—effective training and education—requires that all relevant personnel complete compliance training, so a 40% gap signals a major deficiency.

Question 5

An organization discovers overbilling errors through an internal audit and voluntarily discloses them to the OIG within 60 days. This action best reflects which element?

Accepted Answer

Prompt response to detected offenses and corrective action

Answer

Voluntary disclosure and corrective action taken promptly after detecting an offense exemplifies the seventh element of an effective compliance program.

(CCT) Certified Compliance Technician Practice Test

(CCT) Certified Compliance Technician Practice Test

CCT Seven Elements of Compliance 3