A supervisor is informed that a subordinate employee has lodged a complaint against the company through the hotline. Which of the following documents
... [Show More] should the compliance and ethics professional review with the supervisor FIRST? A.) Code of conduct B.) Confidentiality policy C.) Non-retaliation policy D.) Compliance manual A company's compliance and ethics professional receives an anonymous hotline call alleging that the CFO has embezzled millions of dollars. The caller states the money is from an identifiable account. Which of the following should the compliance and ethics professional do FIRST? A.) Report the matter to the company's Board of Directors B.) Contact local law enforcement immediately C.) Verify the money has been misappropriated D.) Self-disclose to the appropriate governmental agency What are the three principles of the Code of Professional Ethics for Compliance and Ethics Professionals Principle I - Obligations to the Public Principle II - Obligations to the Employing Organization Principle III - Obligations to the Profession The compliance and ethics professional is discussing safeguard policies related to the security rule. What type of safeguard is MOST closely related to policies regarding access controls, audit controls, integrity controls, and transmission security? A.) Mental safeguards B.) Technical safeguards C.) Administrative safeguards D.) Physical safeguards. Under the security rule, covered entities must ensure compliance of the security rule by the entire workforce, protect against anticipated impermissible use of ePHI, identify and work to protect against anticipated threats to the security of information, and to ensure confidentiality of all ePHI. Covered entities must maintain technical safeguards (access controls, audit controls, integrity controls, and transmission security), physical
safeguards (facility access and control and workstation and device security), and administrative safeguards (security management processes, information access management, and workforce training management). Why must CEPs be careful when it comes to conflicts of interest within the employing organization? A.) Conflicts of interest may cause too many employees to become CEPs B.) Conflicts of interest may create divided loyalties C.) Conflicts of interest may create bonded loyalties D.) Conflicts of interest may cause too few people to become CEPs Conflicts of interest is a situation in which a person or organization is involved in multiple interests, financial interest, or otherwise, one of which could possibly corrupt the motivation of the individual or organization. Conflicts of interest may create divided loyalties. Therefore, CEPs are not allowed to get involved in any type of conflicts of interest. A compliance manager is recommending resources to ensure that the compliance and communication is implemented correctly. What would be recommended? A.) Code of conduct B.) Disciplinary action C.) Online reporting system D.) Screening All of the answer can help improve compliance. Online reporting systems, however, allow the employee to communicate misconduct. This encourages both compliance and communication. A compliance officer needs feedback on a training program. When would this be asked for? A.) Before the program is created B.) During the training C.) After the training is complete D.) All of the above Feedback is essential to the effectiveness of a training program. The compliance program needs to request feedback at every stage of the training program to guide its, creation, implementation, and evaluation. When measuring the effectiveness of the compliance program, it is important to make sure the metrics and indicators meet the SMART format. What does "S" stand for? A.) Specific
B.) Suitable C.) Screenable D.) Separate. All key metrics and indicators should be SMART. S – Specific M – Measurable A – Actionable R – Relevant T – Timely The compliance and ethics professional is discussing ethics hotlines. He stated that all of the following are common names for the hotline, except: A.) Forced hotlines B.) Employee hotlines C.) Whistleblower hotlines D.) Compliance hotlines Ethics hotlines are commonly called employee hotlines, whistleblower hotlines, and compliance hotlines. Hotlines are used to help uncover issues and address problems before they worsen. Hotlines are used to create a safer and more ethical workplace. They are low cost. Hotlines can be either anonymous or public. They address issues regarding: security, safety, harassment, discrimination, theft, fraud, compliance and code of conduct. What goal should investigators keep in mind when interviewing employees? A.) Fulfilling ethical obligations B.) Preserving confidentiality C.) Obtaining truthful information D.) All of the above There are four goals that investigators should keep in mind when interviewing employees. In addition to the three above goals, they should minimize their and the company's criminal and legal exposure during the investigation process. The compliance and ethics professional is working with the initial reports from a compliance investigation. Which of the following is true for the compliance and ethics professional? A.) The professional must ensure they are written and maintained to preserve attorney client privileges B.) The professional must ensure they are written and maintained to eliminate attorney client privileges C.) The professional must ensure they are not kept in written form to preserve attorney [Show Less]