CEA Ethics Investigation Procedures 2

Question 1

When an ethics investigator receives an anonymous tip, what is the FIRST recommended step?

Accepted Answer

Assess whether the allegation contains sufficient specificity to warrant inquiry

Answer

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?

Accepted Answer

Generally interview peripheral witnesses before the primary subject

Answer

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?

Accepted Answer

The board audit committee or outside counsel

Answer

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?

Accepted Answer

Tracking and documenting the handling of evidence from collection to conclusion

Answer

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:

Accepted Answer

Note the new disclosure and follow the organization's protocol for reporting additional violations

Answer

Investigators must document and escalate newly discovered violations according to established reporting protocols, even when outside the original scope.

(CEA) Certified Ethics Associate Practice Test

(CEA) Certified Ethics Associate Practice Test

CEA Ethics Investigation Procedures 2