CEA Ethics Investigation Procedures 5

Question 1

Which of the following scenarios represents a conflict of interest for an ethics investigator?

Accepted Answer

The investigator previously managed the subject of the investigation

Answer

The investigator is unfamiliar with the department involved

Answer

The investigator works in a different geographic location than the subject

Answer

The investigator has never filed an ethics complaint personally

Question 2

The 'litigation hold' notice issued at the start of an investigation primarily serves to:

Accepted Answer

Prevent the routine destruction of potentially relevant documents and data

Answer

Notify all employees that litigation is inevitable

Answer

Authorize investigators to seize company property

Answer

Inform regulators that an investigation has commenced

Question 3

During an investigation, an investigator discovers exculpatory evidence that contradicts the complainant's account. The investigator must:

Accepted Answer

Include it in the investigative record and give it appropriate weight in the findings

Answer

Disclose it only if the subject requests it

Answer

Suppress it to protect the complainant's credibility

Answer

Transfer the evidence to the subject's attorney without documenting it internally

Question 4

What is the primary reason that ethics investigations should be completed in a timely manner?

Accepted Answer

To minimize the risk of evidence loss, witness memory fading, and ongoing harm to parties

Answer

To meet federal investigation timelines required by OSHA

Answer

To reduce legal fees associated with prolonged investigations

Answer

To ensure the accused does not have time to destroy evidence

Question 5

An investigator concludes that the evidence is inconclusive and a policy violation cannot be confirmed or denied. The correct finding to report is:

Accepted Answer

Not sustained — the evidence did not support the allegation to the required standard

Answer

Sustained — the accused is presumed guilty due to the complaint

Answer

Unfounded — the allegation was determined to be false

Answer

Exonerated — the conduct did not occur

Question 6

After an ethics investigation concludes, who is generally responsible for implementing corrective actions or disciplinary measures?

Accepted Answer

Human Resources and the relevant business unit leadership

Answer

The ethics investigator who authored the report

Answer

The board of directors in all cases

Answer

The employee who filed the original complaint

Question 7

Which communication practice best supports transparency with the complainant following an investigation?

Accepted Answer

Informing the complainant that the investigation is concluded and what general action was taken, without disclosing confidential details

Answer

Sharing the full investigation report with the complainant

Answer

Providing no information to maintain confidentiality for all parties

Answer

Asking the complainant to sign a non-disclosure agreement before receiving any update