CCM Ethics and Whistleblower Protections Flashcards
6 cards from real CCM practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 6 CCM Ethics and Whistleblower Protections flashcards as text
What is a key design principle for an effective ethics hotline to maximize employee use?
Answer: Ensuring confidentiality or anonymity and operating 24/7
An effective ethics hotline must be confidential or anonymous and accessible around the clock to encourage employees to report concerns without fear.
Under the False Claims Act, what financial incentive may a whistleblower (relator) receive?
Answer: A percentage of government funds recovered as a result of their report
Under the False Claims Act qui tam provisions, a whistleblower (relator) may receive between 15% and 30% of the government's recovery from the case.
What is the concept of 'non-retaliation' in a compliance ethics framework?
Answer: The organization commits to not taking adverse action against employees who report concerns in good faith
A non-retaliation commitment means the organization formally pledges not to punish employees who report ethics or compliance concerns in good faith.
Which of the following best describes an 'ethics ombudsperson' role in an organization?
Answer: A neutral, confidential resource employees can consult about ethical dilemmas and concerns
An ethics ombudsperson serves as a neutral, confidential resource where employees can seek guidance on ethical dilemmas without fear of formal reporting.
What is a critical responsibility of a compliance manager after receiving a whistleblower report?
Answer: Ensuring the report is investigated promptly and the reporter is protected from retaliation
After receiving a whistleblower report, the compliance manager must ensure a timely investigation is conducted and that the reporter is protected from any form of retaliation.
Which SEC Dodd-Frank whistleblower rule requires companies to ensure their internal reporting policies do not impede employees from reporting to the SEC?
Answer: Rule 21F-17
SEC Rule 21F-17 prohibits companies from taking actions that impede individuals from communicating directly with the SEC about potential securities law violations.