LPEC CERTIFICATION: HQP #5 UPDATED QUESTIONS AND VERIFIED
ANSWERS
What is HQP #5? - CORRECT ANSWER✅✅✅Org acts and holds itself accountable when wrongdoing
occurs
What is the takeaway #1 about communication? - CORRECT ANSWER✅✅✅leaders regularly
communicate that those who violate org stds will be disciplined
What is the takeaway #2 about investigation? - CORRECT ANSWER✅✅✅leaders will train teams to
maintain investigative excellence
What is the takeaway #3 about reporters? - CORRECT ANSWER✅✅✅those who report are respected
and kept informed
What is the takeaway #4 about disciplinary action? - CORRECT ANSWER✅✅✅disciplinary action is
consistently taken when violations substantiated
What is takeaway #5 about escalation? - CORRECT ANSWER✅✅✅leaders develop systems for
escalation and response that is regularly tested
What is the takeaway #6 about disclosures? - CORRECT ANSWER✅✅✅Appropriate disclosures are
made to regulatory or other gov't authorities
What are the leading practices about communication re violations? - CORRECT ANSWER✅✅✅1.
Code of conduct makes clear there are consequences for substantiated violations
2. Methods of communic about substantiated incidents are eval on case by case basis
3. E&C regularly communic with key stakeholders (int and ext) about discipline monitoring
, What are the leading practices about investigative excellence? - CORRECT ANSWER✅✅✅1.
thorough, timely, neutral, consistent investigations; org max learning
2. investigators are selected based on ability to be neutral
3. E&C is provided access to all relevant investigative info
4. org is transparent about how investig are conducted/processes, etc.
5. leaders are briefed on investigatory reqs and the importance of neutrality and confidentiality
6. respectful, proper and personal debriefing/closure with reporters
7. investigations focus on the facts and not on the motives of the reporter
8. investigations include a root cause analysis
What are the leading practices about disciplinary action? - CORRECT ANSWER✅✅✅1. E&C ensures
proper consequences result from violations
2. metrics kept on discipline, periodically reviewed for trends, and inconsistencies
What are the leading practices for systems of escalation? - CORRECT ANSWER✅✅✅1. clear policy
for escalation and response to significant matters
2. escalation, crisis mgmt. systems regularly tested via exercises or audits
What are the leading practices for disclosure? - CORRECT ANSWER✅✅✅1. leaders support
responsible, timely disclosure to regulators
ANSWERS
What is HQP #5? - CORRECT ANSWER✅✅✅Org acts and holds itself accountable when wrongdoing
occurs
What is the takeaway #1 about communication? - CORRECT ANSWER✅✅✅leaders regularly
communicate that those who violate org stds will be disciplined
What is the takeaway #2 about investigation? - CORRECT ANSWER✅✅✅leaders will train teams to
maintain investigative excellence
What is the takeaway #3 about reporters? - CORRECT ANSWER✅✅✅those who report are respected
and kept informed
What is the takeaway #4 about disciplinary action? - CORRECT ANSWER✅✅✅disciplinary action is
consistently taken when violations substantiated
What is takeaway #5 about escalation? - CORRECT ANSWER✅✅✅leaders develop systems for
escalation and response that is regularly tested
What is the takeaway #6 about disclosures? - CORRECT ANSWER✅✅✅Appropriate disclosures are
made to regulatory or other gov't authorities
What are the leading practices about communication re violations? - CORRECT ANSWER✅✅✅1.
Code of conduct makes clear there are consequences for substantiated violations
2. Methods of communic about substantiated incidents are eval on case by case basis
3. E&C regularly communic with key stakeholders (int and ext) about discipline monitoring
, What are the leading practices about investigative excellence? - CORRECT ANSWER✅✅✅1.
thorough, timely, neutral, consistent investigations; org max learning
2. investigators are selected based on ability to be neutral
3. E&C is provided access to all relevant investigative info
4. org is transparent about how investig are conducted/processes, etc.
5. leaders are briefed on investigatory reqs and the importance of neutrality and confidentiality
6. respectful, proper and personal debriefing/closure with reporters
7. investigations focus on the facts and not on the motives of the reporter
8. investigations include a root cause analysis
What are the leading practices about disciplinary action? - CORRECT ANSWER✅✅✅1. E&C ensures
proper consequences result from violations
2. metrics kept on discipline, periodically reviewed for trends, and inconsistencies
What are the leading practices for systems of escalation? - CORRECT ANSWER✅✅✅1. clear policy
for escalation and response to significant matters
2. escalation, crisis mgmt. systems regularly tested via exercises or audits
What are the leading practices for disclosure? - CORRECT ANSWER✅✅✅1. leaders support
responsible, timely disclosure to regulators
