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The Federal Sentencing Guidelines (FSGs) are rules that set out a uniform sentencing policy for those
convicted of felonies and serious (Class A) misdemeanors in the United States' federal courts system.
In healthcare, the FSGs are used as the core elements for which of the following?
I. The OIG's Five-Principle Strategy to combat healthcare fraud, waste, and abuse.
II. The seven core elements of an effective compliance program.
III. The core elements of corporate integrity agreements.
IV. The final rule for the Medicare Access and CHIP Reauthorization Act (MACRA).
V. The False Claims Act (FCA). ✔Correct Answer-II and III
The compliance program guidance is recognized by the United States Sentencing Commission (USSC).
These seven core elements are used by the USSC as the basis for FSGs for healthcare offenses. The
core elements of CIAs were created in the 1995 Federal Sentencing Guidelines.
Which office is responsible for enforcing the HIPAA Privacy Rule and Security Rule provisions?
Office of Civil Rights (OCR)
Department of Justice (DOJ)
Department of Labor (DOL)
Office of Inspector General (OIG) ✔Correct Answer-Office of Civil Rights (OCR)
Which office performs independent audits of HHS programs and/or HHS grantees and contractors to
examine their performance?
Immediate Office of Inspector General
Office of Audit Services
Office of Evaluations and Inspections
Office of Management and Policy ✔Correct Answer-Office of Audit Services
According to Inspector General Daniel Levinson, what can help reduce enforcement on a provider
from a corporate integrity agreement (CIA) to a certification of compliance agreement (CCA)?
The provider demonstrates a compliance plan has been distributed to all employees.
The provider has a robust and effective compliance program.
The provider has a compliance officer on staff.
The provider keeps a copy of all coding rules which support their coding. ✔Correct Answer-The
provider has a robust and effective compliance program.
,Compliance certification agreements (CCAs) require providers to certify they will continue to operate
their existing compliance program for a fixed term. During this term, is an independent review
organization (IRO) required?
No, an IRO is not required for a CCA.
Yes, an IRO is required for all CCA agreements.
It depends; an IRO is only required for certain entities that have signed a CCA.
Yes, IROs are required for both CIA and CCA arrangements. ✔Correct Answer-No, an IRO is not
required for a CCA.
The OIG has stated that an effective compliance plan can help create which of the following?
Customer loyalty, a need for refunds, and overpayments from insurance carriers.
Community support, financial success, wealthy physicians.
Financial success, flawless billing, and lessen staff required to support the practice.
Customer loyalty, community support, and financial success. ✔Correct Answer-Customer loyalty,
community support, and financial success.
Jill is the compliance officer for Dr. X. Jill wants to send all lab referrals to the lab that her physician
owns. Is this considered fraud?
No, it is considered waste.
Yes, it is considered fraud.
No, it is considered abuse.
Yes, only because lab services owned by providers is a special category so therefore it is fraud.
✔Correct Answer-Yes, it is considered fraud.
What is a high-level statement or plan that embraces an organization's general beliefs, goals,
objectives and acceptable procedure for a specified subject area?
a. policy
b. standard for all organizations
c. risk for the organization
d. compliance program ✔Correct Answer-policy
After an employee receives their initial training regarding the practice/organization Compliance
Program, what is the next step the compliance officer should take to protect the practice against
potential non-compliance activity?
, a. Retain the training record for employee evaluation reviews.
b. Perform a baseline assessment of the employee's competency scores to determine if additional
training is required.
c. repeat the training in 1 year.
d. No additional steps are necessary; the requirement to train new employees has been met.
✔Correct Answer-Perform a baseline assessment of the employee's competency scores to determine
if additional training is required.
The first responsibility of the Compliance Officer is the development of the Compliance Program.
What is the first step in the process that needs to be completed before the formal Compliance
Program documents are drafted?
a. Training and education should be conducted.
b. Conduct a HIPAA and OSHA audit.
c. Areas of risk need to be assessed.
d. Policies and procedures should be developed. ✔Correct Answer-Areas of risk need to be
assessed.
What is more important to have in place for enforcing and disciplining individuals who violate the
practice's compliance program or other practice standards?
a. Training
b. Rules
c. Procedures
d. Meetings ✔Correct Answer-Procedures
Kim, the Compliance Officer for ABC Provider Group, created a compliance plan and policy one year
ago. While reviewing the groups baseline audits, it comes to her attention that many of the staff have
decided NOT to follow the compliance plan. Which statement is TRUE regarding this scenario?
a. No issues of no-compliance have exist in the scenario.
b. The non-compliance has created issues that will cause huge fines for the practice
c. The non-compliance has created a big risk of the group and Kim needs to make sure that everyone
knows about the risk of not following the compliance plan
d. The non-compliance should be noted in the new plan and the group should try to be better about
compliance the following year. ✔Correct Answer-The non-compliance has created a big risk of the
group and Kim needs to make sure that everyone knows about the risk of not following the
compliance plan