RCMS Investigation & Remediation Procedures 2

Question 1

When conducting a compliance investigation, which action best preserves the integrity of electronic evidence?

Accepted Answer

Creating a forensic image of the original storage media

Answer

A forensic image creates a bit-for-bit copy that preserves metadata and chain of custody without altering the original evidence.

Question 2

A compliance officer discovers a potential violation during a routine audit. What is the FIRST step in the investigation process?

Accepted Answer

Conduct a preliminary assessment to determine if a formal investigation is warranted

Answer

A preliminary assessment determines the credibility and scope of the potential violation before committing resources to a full investigation.

Question 3

Which privilege most commonly protects communications between legal counsel and employees during an internal compliance investigation?

Accepted Answer

Attorney-client privilege

Answer

Attorney-client privilege protects confidential communications between an attorney and the client when legal advice is sought.

Question 4

During a remediation plan, a company identifies a systemic process failure. Which remediation approach addresses root causes most effectively?

Accepted Answer

Redesigning the flawed process and implementing new controls

Answer

Addressing root causes through process redesign and new controls prevents recurrence rather than addressing only symptoms.

Question 5

What does the term 'chain of custody' refer to in a compliance investigation?

Accepted Answer

The documented chronological record of evidence collection, handling, and storage

Answer

Chain of custody documents who collected, handled, and stored evidence to ensure its authenticity and admissibility.

(RCMS) Registered Compliance Management Specialist Certification Practice Test