CCEP Ethics Program Management 2

Question 1

A compliance officer discovers that the ethics hotline vendor has been logging caller metadata without authorization. What is the MOST appropriate immediate action?

Accepted Answer

Suspend hotline operations and notify the board audit committee

Answer

Suspending operations to stop ongoing harm and notifying the board audit committee ensures proper governance oversight of a serious breach affecting reporter confidentiality.

Question 2

Which metric BEST measures the effectiveness of an ethics training program?

Accepted Answer

Reduction in reported misconduct over time

Answer

A reduction in reported misconduct over time is the most meaningful outcome metric because it reflects actual behavioral change rather than just participation.

Question 3

Under the U.S. Sentencing Guidelines, which factor can REDUCE a fine for an organization convicted of a federal offense?

Accepted Answer

Self-reporting the offense to authorities before investigation

Answer

Self-reporting before a government investigation is a mitigating factor under the USSG that can significantly reduce organizational fines.

Question 4

A compliance manager wants to conduct a speak-up culture assessment. Which tool is MOST appropriate?

Accepted Answer

Anonymous employee survey with validated questions

Answer

An anonymous validated survey captures candid perceptions across the organization without the social pressure that undermines other methods.

Question 5

Which element of the DOJ's evaluation framework for compliance programs asks whether the program works 'in practice'?

Accepted Answer

Does it work in practice?

Answer

The DOJ's three-part test explicitly asks whether the compliance program 'works in practice,' focusing on operational effectiveness rather than paper existence.

(CCEP) Certified Compliance and Ethics Professional Practice Test

(CCEP) Certified Compliance and Ethics Professional Practice Test

CCEP Ethics Program Management 2