CEA Ethics Investigation Procedures 3

Question 1

Why is it important to establish a written investigation plan before conducting interviews?

Accepted Answer

To ensure the investigation is systematic, objective, and legally defensible

Answer

A written investigation plan outlines scope, methods, and timelines, promoting consistency and providing documentation that the process was fair and thorough.

Question 2

Which behavior by an investigator would constitute an improper investigative practice?

Accepted Answer

Promising a witness that their identity will never be revealed under any circumstances

Answer

Investigators cannot guarantee absolute anonymity because circumstances (litigation, regulatory inquiries) may compel disclosure; promising it unconditionally is misleading.

Question 3

When documenting witness interviews, the best practice is to:

Accepted Answer

Create contemporaneous notes capturing questions asked and key answers given

Answer

Contemporaneous interview notes form the evidentiary backbone of an investigation and must capture both the questions posed and the substance of responses.

Question 4

A manager discovers that a subordinate has been falsifying expense reports and wants to handle it informally to avoid embarrassment. An ethics investigator should:

Accepted Answer

Advise that all credible allegations of policy violations require formal investigation

Answer

Ethics policies require consistent, formal investigation of credible violations regardless of the manager's preference or the perceived severity of the misconduct.

Question 5

What is the primary purpose of a 'Weingarten notice' in unionized workplace investigations in the US?

Accepted Answer

It informs a union employee of their right to have a union representative present during investigatory interviews

Answer

Under NLRA Weingarten rights, unionized employees may request union representation during investigatory interviews they reasonably believe could result in discipline.

(CEA) Certified Ethics Associate Practice Test

(CEA) Certified Ethics Associate Practice Test

CEA Ethics Investigation Procedures 3