Certified Compliance and Ethics Professional
(CCEP) Certification Study Resources/ Q&A.
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only - Answer: D.) 2, 3, and 4 only
Page 1 of 26
,A US-based retail company has 250 stores in 30 states. Past compliance efforts
have included a silo-based approach with minimal oversight and the CEO acting as
the Compliance and Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no actual educational
sessions. Policies and procedures were developed by corporate and reviewed 5
years ago. The organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of the following actions
should the new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance training packet to employees - Answer: A.) Conduct a
compliance and ethics risk assessment
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 of 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:
A.) Follow counsel's advice
Page 2 of 26
, B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel - Answer: C.) Ask counsel to
prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
A.) Post revised documents on the organization's website
B.) Schedule a 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 - Answer: D.) Contact HR to determine if the inconsistencies between the
documents can be resolved
Escalate to the lowest level when possible
Page 3 of 26
(CCEP) Certification Study Resources/ Q&A.
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only - Answer: D.) 2, 3, and 4 only
Page 1 of 26
,A US-based retail company has 250 stores in 30 states. Past compliance efforts
have included a silo-based approach with minimal oversight and the CEO acting as
the Compliance and Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no actual educational
sessions. Policies and procedures were developed by corporate and reviewed 5
years ago. The organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of the following actions
should the new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance training packet to employees - Answer: A.) Conduct a
compliance and ethics risk assessment
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 of 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:
A.) Follow counsel's advice
Page 2 of 26
, B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel - Answer: C.) Ask counsel to
prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
A.) Post revised documents on the organization's website
B.) Schedule a 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 - Answer: D.) Contact HR to determine if the inconsistencies between the
documents can be resolved
Escalate to the lowest level when possible
Page 3 of 26
