Certified Compliance and Ethics Professional
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What is the first thing to do when you are ready to discipline?
Choose matching definition
1 Ignore negative feedback 2 Prevent future occurrences
3 Respond appropriately 4 Investigate and verify
Don't know?
, First step prior to Baseline risk assessment
launching a compliance
program?
For allegations, it is best to Provide additional education and training on the
first do what? policy to avoid repeat offense.
How often to rotate lead Every 5 years
auditor, coordinating
partner, and/or reviewing
partner off an audity?
If misconduct is found, Enforcement and discipline
what are the two areas
that are important to fix
the issue?
Punishment should match Offense
the?
What are the three areas Public benefit, public harm, and how indictment
the DOJ looks at when would impact the org culture
deciding punishment?
What are two risk Documents and staff
assessment sources?
What does discipline need Case-specific and consistent
to be?
What handles employee HR
handbook, employee
performance, FMLA?
Which dept?
What handles record Legal
mgmt/retention? Which
dept?
What is a concurrent Ongoing investigation - identified problems as they
aduit? arise