Ethics Program Management Flashcards
7 cards from real CCEP practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Ethics Program Management flashcards as text
An ethics officer is designing a new hotline system. Which feature is MOST critical to encouraging use?
Answer: 24/7 availability in multiple languages with anonymity protection
Around-the-clock multilingual access with robust anonymity protection addresses the two primary barriers — accessibility and fear of retaliation — that deter reporting.
Which of the following BEST describes 'tone at the top' in the context of an ethics program?
Answer: Senior leadership visibly modeling and communicating ethical values
Tone at the top refers to senior leaders actively modeling ethical behavior and communicating its importance, which sets the cultural standard for the entire organization.
A compliance risk assessment reveals high inherent risk in a newly acquired subsidiary. What should the compliance officer do FIRST?
Answer: Apply the parent company's compliance controls and measure residual risk
Applying existing controls and measuring residual risk is the proper risk management response — it quantifies exposure after mitigation before deciding on further action.
Under Sarbanes-Oxley Section 301, audit committees must establish procedures for what purpose?
Answer: Receiving and handling complaints about accounting and auditing matters
SOX Section 301 requires audit committees to establish procedures for receiving, retaining, and handling complaints regarding accounting, internal controls, and auditing matters.
Which approach to ethics training is MOST likely to produce lasting behavioral change?
Answer: Scenario-based discussions facilitated by managers in team settings
Scenario-based discussions in team settings engage employees in applying principles to realistic situations, which research shows produces more durable behavioral change than passive training.
A company's compliance officer reports that 80% of substantiated investigations involve repeat business units. What does this MOST likely indicate?
Answer: There is a systemic culture or control failure in those units requiring targeted intervention
Concentrated misconduct in specific business units signals systemic cultural or control issues that require targeted root-cause intervention rather than company-wide responses.
What is the SCCE's primary standard for determining whether a compliance officer has sufficient independence?
Answer: The CCO must have direct reporting access to the board or audit committee
The SCCE and leading governance bodies hold that genuine CCO independence requires direct reporting access to the board or audit committee, free from management interference.