CCEP Ethics Program Management 5

Question 1

The False Claims Act's qui tam provision primarily incentivizes which behavior?

Accepted Answer

Whistleblowers reporting government contractor fraud by sharing in recovered funds

Answer

The FCA's qui tam provision allows private individuals to file lawsuits on behalf of the government and receive a portion of the recovered funds for exposing fraud against the government.

Question 2

A compliance officer is presenting the annual ethics program report to the board. Which type of information is MOST valuable to board members fulfilling their oversight role?

Accepted Answer

Trend data on hotline reports, substantiation rates, and corrective actions taken

Answer

Board members need trend data on program outputs — hotline activity, substantiation rates, and corrective actions — to assess whether the compliance program is functioning effectively.

Question 3

Which of the following BEST illustrates 'proportionate discipline' in an ethics program?

Accepted Answer

Applying consistent sanctions calibrated to severity, intent, and cooperation

Answer

Proportionate discipline means calibrating sanctions to the seriousness of the violation, the employee's intent, and their cooperation — ensuring fairness and deterrence.

Question 4

A compliance officer is evaluating whether to use a 'speak-up' ambassador program. Which outcome BEST justifies this investment?

Accepted Answer

Increased early reporting of potential issues before they escalate

Answer

Ambassador programs are designed to create trusted peer contacts who encourage early reporting, which allows compliance issues to be resolved before they become serious violations.

Question 5

Which of the following is a key distinguishing feature of an 'ethics-based' compliance program compared to a 'rules-based' compliance program?

Accepted Answer

It emphasizes values and judgment rather than checklists and prohibitions

Answer

Ethics-based programs cultivate values and principled judgment so employees can navigate novel situations, while rules-based programs rely on specific prohibitions that cannot anticipate every scenario.

(CCEP) Certified Compliance and Ethics Professional Practice Test

(CCEP) Certified Compliance and Ethics Professional Practice Test

CCEP Ethics Program Management 5