CCEP Set 4 exam questions and answers
A C&E professional investigates a report of sexual harassment. The incident, not constitute SH,
reveals the employee's misunderstanding of the harassment policy? Which of following should
be FIRST in the corrective action plan?
A) Consult outside counsel
...
CCEP Set 4 exam questions and answers
A C&E professional investigates a report of sexual harassment. The incident, not constitute SH,
reveals the employee's misunderstanding of the harassment policy? Which of following should
be FIRST in the corrective action plan?
A) Consult outside counsel
B) Disclose the incident to the EEOC
C) Provide education and training on the policy
D) Survey employee's understanding of the policy Correct Ans-C) Provide education and
training on the policy
The BEST way to promote ethics and compliance standards to third-party vendors is to require:
A) contractual agreements
B) mandatory vendor credentialing
C) vendor code of conduct certifications
D) audit and monitoring Correct Ans-C) vendor code of conduct certifications
Several news outlets have reported on multiple sexual harassment claims in an organization. An
internal investigation shows no channels for reporting were used. What should the C&E P do
FIRST?
A) reinforce company values with employees
B) educate all employees on the responsibility to report violations
C) Conduct an internal investigation of the alleged violations in the press
D) Investigate who knew about the violations Correct Ans-B) educate all employees on the
responsibility to report violations
A C&R P is evaluating an organization's employee HB. A conflict exists between the CoC and the
handbook. HR is responsible for the HB. Which of the following actions should the C&E P take
first.
A) post revised documents on the organization's website
, B) schedule time during the next board meeting to present revised documents
C) Schedule a meeting with HR, general counsel, and the board to discuss the issue
D) contact HR to determine if the inconsistencies between the documents can be resolved.
Correct Ans-
A company's CoC has not been reviewed for 2 years. HR wants to double it. The compliance
committee members expressed concern that this will reduce it's effectiveness. What is the C&E
P NEXT step before consolidating revisions?
A) request guidance from the board of directors
B) contract with a consultant to rewrite the CoC
C) compare the content outline with other organizaions
D) rewrite the content based on Federal Sentencing Guidelines Correct Ans-
Which of the following is the MOST convincing demonstration of the effectiveness of a
company's ethical standards?
A) implementation of an anonymous reporting and feedback system
B) termination of an executive who embezzled a small amount of money
C) suspension of an employee who failed to complete compliance training
D) production of a professional printed CoC Correct Ans-B) termination of an executive who
embezzled a small amount of money
Which of the following is MOST helpful in determining how a company prioritizes it's risk?
A) historical data
B) policies and procedures
C) incentive programs
D) market competition Correct Ans-A) historical data
According to the Sarbanes-Oxley Act, which of the following corporate employees can be
employed by a corporation's audit firm during the 1 year period preceding the audit?
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