Investigation & Remediation Procedures Flashcards
7 cards from real RCMS practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Investigation & Remediation Procedures flashcards as text
A compliance investigation uncovers that a manager retaliated against an employee who reported misconduct. What does this finding indicate about the compliance program?
Answer: A failure in the non-retaliation policy and its enforcement
Retaliation against reporters signals a breakdown in the non-retaliation policy, which undermines the effectiveness of the entire compliance reporting system.
Which document formally authorizes the scope, methodology, and resources for a compliance investigation?
Answer: Investigation charter or terms of reference
An investigation charter or terms of reference defines the mandate, scope, team composition, and authority for the investigation.
When interviewing a subject of a compliance investigation (as opposed to a witness), what must the investigator typically provide?
Answer: An Upjohn warning clarifying that the company's attorney represents the company, not the individual
An Upjohn warning informs the interview subject that the attorney represents the organization, not the individual, and that the company controls the privilege.
A compliance officer is remediating a data privacy violation. Which control would MOST directly prevent recurrence of unauthorized data access?
Answer: Implementing role-based access controls and periodic access reviews
Role-based access controls directly restrict who can access sensitive data, addressing the technical root cause of unauthorized access.
Which of the following is a key difference between a compliance investigation and a regulatory examination?
Answer: A compliance investigation is internally initiated and controlled, while a regulatory examination is conducted by or at the direction of a government agency
Internal compliance investigations are company-controlled processes, whereas regulatory examinations are directed by government agencies with statutory authority.
After completing a compliance investigation, when is it appropriate to close the investigation file?
Answer: After all findings are documented, remediation is implemented, and the file is reviewed by legal counsel
Proper closure requires complete documentation of findings, confirmed remediation steps, and legal review to ensure nothing material is overlooked.
A compliance investigation finds that employees were unaware of a key regulatory requirement. Which remediation response BEST addresses this knowledge gap?
Answer: Developing targeted training on the specific requirement and updating related job aids
Targeted, specific training directly addressing the identified knowledge gap is the most effective way to remediate awareness-based compliance failures.