Certified Compliance and Ethics
Professional (CCEP) 2024/2025 EXAM
QUESTIONS WITH CORRECT
DETAILED ANSWERS || 100%
GUARANTEED PASS!!
<LATEST VERSION>
How often to rotate lead auditor, coordinating partner, and/or reviewing partner
off an audity? - ANSWER ✔ Every 5 years
What does discipline need to be? - ANSWER ✔ Case-specific and consistent
What is the first thing to do when you are ready to discipline? - ANSWER ✔
Respond appropriately
What is the second step regarding discipline after you have responded? -
ANSWER ✔ Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
ANSWER ✔ False Claims Act (FCA)
Which act prohibits employees from paying, offering, or promising to pay
officials of other countries for the purpose of obtaining or maintaining their
business? - ANSWER ✔ Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - ANSWER
✔ Public benefit, public harm, and how indictment would impact the org culture
,What is the first basic compliance element? - ANSWER ✔ Establish standards,
policies, and procedures
What is the first and best line of defense in compliance? - ANSWER ✔ Education
What is the first step of a compliance program development? - ANSWER ✔
Structure
What is worse than not having a compliance policy? - ANSWER ✔ Having one
and not following it
What should you align your compliance program with? - ANSWER ✔ Org's
mission, value, vision and code of conduct
What is the best reporting mechanism? - ANSWER ✔ Open door policy
What should third parties sign when conducting business with your org? -
ANSWER ✔ Attestation of the code of conduct
Who should the Compliance Officer report to? - ANSWER ✔ CEO directly -
dotted line report to board
What must the CEP do before proceeding with an allegation? - ANSWER ✔
Investigate and verify
Who handles non-retaliation? Which dept? - ANSWER ✔ HR
What handles record mgmt/retention? Which dept? - ANSWER ✔ Legal
What handles employee handbook, employee performance, FMLA? Which dept? -
ANSWER ✔ HR
Who develops controls, policies, procedures and systems? - ANSWER ✔
Compliance
Who handles sensitive investigations? - ANSWER ✔ Legal
,What is structural policy? - ANSWER ✔ Framework
What is substantive policy? - ANSWER ✔ Define regs and the how
What is "tone in the middle?" - ANSWER ✔ Managers must demonstrate their
commitment to compliance.
Training Adult Leaders - ANSWER ✔ - acknowledge "life learning"
- acknowledge self-worth
- associate the unfamiliar with the familiar
- recognizing individual resourcefulness
- Do not treat as prisoners
- Teach to all types of adult learning styles (listening, seeing, doing).
Monitoring and Auditing - ANSWER ✔ - process of constant evaluation.
- focus on common functions:
*Anti-kickback and self-referral issues
*Credit Balances
*Bad Debts
*Claim development and submission
*Record retention
*Cost Reporting
*Marketing
*Compliance program processes
- must be documented and reported as necessary.
Retrospective Audit - ANSWER ✔ -provide a baseline or snap shot risk
assessment, a laundry list of things that need to be fixed.
Concurrent Audit - ANSWER ✔ - identify and address potential problems
individually, as they arise.
Risk Assessments and Audits - ANSWER ✔ - have on site visits
- interview personnel involved in management, operations, coding, claim
development and submission, patient care, and other related activities.
- questionnaires developed to solicit impressions of a broad cross-section of the
hospitals employees and staff.
, - review of written medical and financial records and other source documents that
support claims for reimbursement and Medicare cost reports.
- reviews of written materials and documentation prepared by the different
divisions of a hospital.
- Trend analyses or longitudinal studies that seek deviations, positive or negative,
in specific areas over a given period.
- inclusion of compliance language in job descriptions and job evaluations
- posing of compliance related questions in exit interviews.
Reporting & Investigating - ANSWER ✔ - OIG stresses importance of
communication in the compliance process. "An open line of communication
between the compliance officer and personnel is equally important to the
successful implementation of a compliance program and the reduction of any
potential fraud, abuse and waste"
- Most important reporting system is an open door, best reporting system is one
where an employee feels comfortable coming forward.
- no retaliation or retribution for coming forward.
- Confidentiality is key.
- Documentation is everything. All complaints must be logged and tracked.
Enforcement & Discipline - ANSWER ✔ - Fair, equitable and consistent.
- OIG believes program should include a written policy statement setting for
disciplinary actions that may be imposed for failing to comply with standards,
policies, procedures, regulations.
- That policy should include the following points
* noncompliance will be punished.
* failure to report noncompliance will be punished.
* an outline of disciplinary procedures.
* list of the parties responsible for appropriate action.
* a promise that discipline will be fair and consistent.
- Intentional or reckless noncompliance is to be punishable with signification
sanctions.
- Progressive Discipline: multi-step process, penalties become increasingly more
severe.
- Education should never be labeled as a punishment and should be presented in a
positive and supportive context.
Professional (CCEP) 2024/2025 EXAM
QUESTIONS WITH CORRECT
DETAILED ANSWERS || 100%
GUARANTEED PASS!!
<LATEST VERSION>
How often to rotate lead auditor, coordinating partner, and/or reviewing partner
off an audity? - ANSWER ✔ Every 5 years
What does discipline need to be? - ANSWER ✔ Case-specific and consistent
What is the first thing to do when you are ready to discipline? - ANSWER ✔
Respond appropriately
What is the second step regarding discipline after you have responded? -
ANSWER ✔ Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
ANSWER ✔ False Claims Act (FCA)
Which act prohibits employees from paying, offering, or promising to pay
officials of other countries for the purpose of obtaining or maintaining their
business? - ANSWER ✔ Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - ANSWER
✔ Public benefit, public harm, and how indictment would impact the org culture
,What is the first basic compliance element? - ANSWER ✔ Establish standards,
policies, and procedures
What is the first and best line of defense in compliance? - ANSWER ✔ Education
What is the first step of a compliance program development? - ANSWER ✔
Structure
What is worse than not having a compliance policy? - ANSWER ✔ Having one
and not following it
What should you align your compliance program with? - ANSWER ✔ Org's
mission, value, vision and code of conduct
What is the best reporting mechanism? - ANSWER ✔ Open door policy
What should third parties sign when conducting business with your org? -
ANSWER ✔ Attestation of the code of conduct
Who should the Compliance Officer report to? - ANSWER ✔ CEO directly -
dotted line report to board
What must the CEP do before proceeding with an allegation? - ANSWER ✔
Investigate and verify
Who handles non-retaliation? Which dept? - ANSWER ✔ HR
What handles record mgmt/retention? Which dept? - ANSWER ✔ Legal
What handles employee handbook, employee performance, FMLA? Which dept? -
ANSWER ✔ HR
Who develops controls, policies, procedures and systems? - ANSWER ✔
Compliance
Who handles sensitive investigations? - ANSWER ✔ Legal
,What is structural policy? - ANSWER ✔ Framework
What is substantive policy? - ANSWER ✔ Define regs and the how
What is "tone in the middle?" - ANSWER ✔ Managers must demonstrate their
commitment to compliance.
Training Adult Leaders - ANSWER ✔ - acknowledge "life learning"
- acknowledge self-worth
- associate the unfamiliar with the familiar
- recognizing individual resourcefulness
- Do not treat as prisoners
- Teach to all types of adult learning styles (listening, seeing, doing).
Monitoring and Auditing - ANSWER ✔ - process of constant evaluation.
- focus on common functions:
*Anti-kickback and self-referral issues
*Credit Balances
*Bad Debts
*Claim development and submission
*Record retention
*Cost Reporting
*Marketing
*Compliance program processes
- must be documented and reported as necessary.
Retrospective Audit - ANSWER ✔ -provide a baseline or snap shot risk
assessment, a laundry list of things that need to be fixed.
Concurrent Audit - ANSWER ✔ - identify and address potential problems
individually, as they arise.
Risk Assessments and Audits - ANSWER ✔ - have on site visits
- interview personnel involved in management, operations, coding, claim
development and submission, patient care, and other related activities.
- questionnaires developed to solicit impressions of a broad cross-section of the
hospitals employees and staff.
, - review of written medical and financial records and other source documents that
support claims for reimbursement and Medicare cost reports.
- reviews of written materials and documentation prepared by the different
divisions of a hospital.
- Trend analyses or longitudinal studies that seek deviations, positive or negative,
in specific areas over a given period.
- inclusion of compliance language in job descriptions and job evaluations
- posing of compliance related questions in exit interviews.
Reporting & Investigating - ANSWER ✔ - OIG stresses importance of
communication in the compliance process. "An open line of communication
between the compliance officer and personnel is equally important to the
successful implementation of a compliance program and the reduction of any
potential fraud, abuse and waste"
- Most important reporting system is an open door, best reporting system is one
where an employee feels comfortable coming forward.
- no retaliation or retribution for coming forward.
- Confidentiality is key.
- Documentation is everything. All complaints must be logged and tracked.
Enforcement & Discipline - ANSWER ✔ - Fair, equitable and consistent.
- OIG believes program should include a written policy statement setting for
disciplinary actions that may be imposed for failing to comply with standards,
policies, procedures, regulations.
- That policy should include the following points
* noncompliance will be punished.
* failure to report noncompliance will be punished.
* an outline of disciplinary procedures.
* list of the parties responsible for appropriate action.
* a promise that discipline will be fair and consistent.
- Intentional or reckless noncompliance is to be punishable with signification
sanctions.
- Progressive Discipline: multi-step process, penalties become increasingly more
severe.
- Education should never be labeled as a punishment and should be presented in a
positive and supportive context.
