Regulatory Compliance & Guidelines Flashcards
7 cards from real COA practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Regulatory Compliance & Guidelines flashcards as text
Which document must a new employee complete to establish their eligibility to work legally in the United States?
Answer: I-9 Employment Eligibility Verification form
The Form I-9 is required by federal law for all new hires to verify their identity and authorization to work in the United States.
Under Section 504 of the Rehabilitation Act, which organizations are primarily covered by its nondiscrimination requirements?
Answer: Organizations receiving federal financial assistance
Section 504 of the Rehabilitation Act prohibits discrimination based on disability in programs and activities receiving federal financial assistance.
An office is disposing of old hard drives containing employee personal data. Which compliance concern is MOST relevant?
Answer: Data privacy laws requiring secure destruction of personal information
Disposing of storage media with personal data must comply with data privacy laws (such as state breach notification laws and HIPAA if applicable) requiring secure destruction to prevent unauthorized access.
What is the primary purpose of an organization's whistleblower protection policy?
Answer: To protect employees from retaliation when reporting illegal or unethical conduct
Whistleblower protection policies safeguard employees who report suspected violations of laws, regulations, or company policies from retaliation by their employer.
Which of the following actions would constitute sexual harassment under Title VII guidelines?
Answer: A coworker repeatedly making unwanted sexual comments after being asked to stop
Repeated unwanted sexual comments after the behavior has been flagged as unwelcome constitutes hostile work environment sexual harassment under Title VII.
Under the Sarbanes-Oxley Act (SOX), which employees at publicly traded companies can face criminal liability for certifying false financial statements?
Answer: The CEO and CFO who must personally certify financial reports
SOX Section 302 requires the CEO and CFO to personally certify the accuracy of financial reports, and they can face criminal penalties for knowingly certifying false statements.
A company's record retention policy specifies that contracts must be kept for 7 years. An employee wants to destroy a 5-year-old contract. What should the administrator do?
Answer: Retain the document because it has not yet met the required retention period
Record retention policies establish minimum timeframes for keeping documents, and a 5-year-old contract that requires 7-year retention must be kept for at least 2 more years.