CEA Ethics Investigation Procedures 2 — Questions and Answers
Question 1: When an ethics investigator receives an anonymous tip, what is the FIRST recommended step?
- Dismiss it since the source cannot be verified
- Assess whether the allegation contains sufficient specificity to warrant inquiry (Correct answer)
- Immediately notify law enforcement
- Share the tip with the accused to get their response
Correct answer: Assess whether the allegation contains sufficient specificity to warrant inquiry
Investigators must evaluate the credibility and specificity of anonymous tips before deciding whether to proceed, even without a named source.
Question 2: Which principle governs the order in which witnesses should typically be interviewed during an ethics investigation?
- Interview the most senior employees first
- Interview the subject of the investigation before gathering other evidence
- Generally interview peripheral witnesses before the primary subject (Correct answer)
- Interview witnesses alphabetically to avoid bias
Correct answer: Generally interview peripheral witnesses before the primary subject
Interviewing peripheral witnesses first allows investigators to gather objective facts before the subject can tailor their account.
Question 3: A company's ethics hotline report involves a VP. Who should typically oversee the investigation to ensure independence?
- The VP's direct supervisor
- Internal audit reporting to the same VP
- The board audit committee or outside counsel (Correct answer)
- The VP's peer in another department
Correct answer: The board audit committee or outside counsel
When senior executives are implicated, independence requires oversight by the board, audit committee, or external counsel to avoid conflicts of interest.
Question 4: What does 'maintaining chain of custody' mean in the context of an ethics investigation?
- Keeping the investigation team's hierarchy documented
- Tracking and documenting the handling of evidence from collection to conclusion (Correct answer)
- Ensuring managers are notified at each step of the process
- Recording all communications between the investigator and legal counsel
Correct answer: Tracking and documenting the handling of evidence from collection to conclusion
Chain of custody ensures evidence integrity by documenting who handled it, when, and how, making it defensible in legal or disciplinary proceedings.
Question 5: During an investigation interview, the subject unexpectedly discloses an unrelated but serious violation. The investigator should:
- Ignore the new disclosure and stay focused on the original matter
- Immediately terminate the interview and report the new issue separately
- Note the new disclosure and follow the organization's protocol for reporting additional violations (Correct answer)
- Assure the subject the new disclosure will remain confidential
Correct answer: Note the new disclosure and follow the organization's protocol for reporting additional violations
Investigators must document and escalate newly discovered violations according to established reporting protocols, even when outside the original scope.
Question 6: Which of the following best describes the 'preponderance of evidence' standard used in most workplace ethics investigations?
- The accused must prove their innocence beyond doubt
- It is more likely than not (>50%) that the alleged conduct occurred (Correct answer)
- There must be overwhelming evidence before any conclusion is drawn
- Evidence must be confirmed by at least three independent witnesses
Correct answer: It is more likely than not (>50%) that the alleged conduct occurred
The preponderance standard—more likely than not—is the most common burden of proof in civil and workplace investigations, unlike the 'beyond reasonable doubt' standard in criminal proceedings.
Question 7: An investigator learns that key electronic evidence may be on a personal device owned by the subject. What is the appropriate next step?
- Confiscate the device immediately without notice
- Consult legal counsel about the scope of discovery rights and applicable law before proceeding (Correct answer)
- Abandon the electronic evidence and rely only on witness accounts
- Ask the subject to voluntarily email any relevant files
Correct answer: Consult legal counsel about the scope of discovery rights and applicable law before proceeding
Accessing personal devices involves privacy and legal considerations that require legal guidance before any action is taken.
CEA Ethics Investigation Procedures 2
When an ethics investigator receives an anonymous tip, what is the FIRST recommended step?