CCEP Candidate Group

Here are the answers to this week's questions. Correct answer is in bold.

An employee discloses to counsel and the compliance and ethics professional that a supervisor has been verbally abusive. An investigation finds that the same supervisor has also been sexually harassing several employees in his department. The compliance program requires that findings fo harassment be documented and forwarded by the compliance and ethics professional to the CEO with a recommendation for appropriate discipline. Counsel advises that no report be written because of possible litigation. The compliance and ethics professional's BEST course of action is to

1. Follow counsel's advice
2. Submit a written report
3. Ask counsel to prepare the written report
4. Recommend disciplinary action against counsel

Which of the following is the BEST outcome of a compliance and ethics program?

1. mitigating risk
2. identifying risk
3. prioritizing risk
4. documenting risk

A compliance and ethics professional receives an anonymous complaint that an employee is receiving gifts from a vendor. An investigation finds the employee is not in violation of the current gift policy and the policy has not been reviewed in five years. Which of the following is the compliance and ethics professional's MOST appropriate action?

1. Continue with the current policy as no violation occurred
2. Ask the employees for input on changes to the policy
3. Benchmark for vendor relation best practices
4. Discontinue doing business with the vendor

A problem was found in a routine accounting audit. Corrective action was taken and the policies and procedures were updated. Which of the following is the NEXT step in the audit process?

1. Report findings to the board of directors
2. Prepare the final summary and storage of the audit results
3. Review the process after a period of time to determine if the problem is resolved
4. Conduct a risk assessment to identify other possible issues

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Caitlyn (Kinney) Tobey, CHC, CIPP/US, CIPM
Compliance and Contracts Coordinator
Concord, MA
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