Free CHPC Handling Complaints & Investigations Questions and Answers

Question 1

What is the first step a Compliance Officer should take upon receiving a compliance-related complaint?

Accepted Answer

Determine if the complaint involves a potential violation of laws, regulations, or policies

Answer

Immediately report the complaint to the Office for Civil Rights (OCR)

Answer

Notify the entire staff to determine if similar issues have occurred

Answer

Begin disciplinary action against the individual identified in the complaint

Question 2

Which of the following is a best practice when conducting internal investigations into compliance complaints?

Accepted Answer

Documenting all steps, findings, and conclusions of the investigation

Answer

Interviewing only the complainant to maintain confidentiality

Answer

Allowing the subject of the investigation to review all evidence in real time

Answer

Informing external regulators before the investigation is completed

Question 3

A patient submits a complaint that their PHI was accessed without authorization. What is the healthcare provider’s responsibility under HIPAA?

Accepted Answer

Investigate the complaint to confirm if a HIPAA breach occurred

Answer

Immediately fire the staff member accused of the violation

Answer

Report the complaint to the media within 48 hours

Answer

Wait for the Office for Civil Rights (OCR) to request further details

Question 4

During an internal investigation, what is the primary purpose of interviewing witnesses?

Accepted Answer

To collect evidence to substantiate or disprove allegations

Answer

To identify additional individuals who may be responsible for the violation

Answer

To determine how the witnesses feel about the compliance program

Answer

To warn employees about possible disciplinary action

Question 5

If an internal investigation uncovers a significant compliance violation, which of the following steps should occur?

Accepted Answer

Implement corrective actions to address the violation

Answer

Close the investigation and ensure no documentation is kept for confidentiality