CCM CCM Ethics and Whistleblower Protections 5

Question 1

OSHA's whistleblower protection program covers employees who report violations under how many different federal statutes?

Accepted Answer

Over 20

Answer

OSHA administers whistleblower protection provisions under more than 20 federal statutes covering industries from transportation to food safety.

Question 2

A compliance officer is asked by the CFO to sign off on a report the officer believes contains material misstatements. The officer refuses. Which ethical principle best supports this refusal?

Accepted Answer

Professional integrity and objectivity

Answer

Professional integrity requires compliance officers to refuse certifying inaccurate information regardless of organizational pressure.

Question 3

Under the Dodd-Frank whistleblower program, which of the following individuals is INELIGIBLE to receive an SEC award?

Accepted Answer

A member of the company's audit committee reporting a securities violation

Answer

Audit committee members are generally ineligible for SEC whistleblower awards because their role includes internal oversight responsibilities for the same violations.

Question 4

The concept of 'ethical fading' in organizational behavior refers to:

Accepted Answer

The psychological process by which ethical dimensions of decisions become invisible

Answer

Ethical fading occurs when people psychologically reframe decisions in ways that obscure their moral dimensions, often enabling misconduct without conscious awareness.

Question 5

An employee reports suspected fraud internally and receives no response after 30 days. What is the most appropriate next step from a whistleblower protection standpoint?

Accepted Answer

Escalate externally to the relevant regulatory agency

Answer

When internal reporting fails to produce a response, whistleblowers may escalate to external regulators and still retain legal protections against retaliation.

(CCM) Certified Compliance Manager Practice Test

(CCM) Certified Compliance Manager Practice Test

CCM CCM Ethics and Whistleblower Protections 5