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CERTIFIED COMPLIANCE AND ETHICS PROFFESIONAL (CCEP)
ACTUAL EXAM NEWEST VERSION - 2025/2026- WITH 100+
QUESTIONS AND VERIFIED ANSWERS (100% SUCCESS)
Which of the following is the BEST outcome of a compliance and ethics program? A.) Mitigating risk B.) Identifying risk C.) Prioritizing risk D.) Documenting risk A.) Mitigating risk Training on price-fixing is MOST important for which of the following staff? A.) Management B.) Sales C.) Marketing D.) Accounting B.) Sales A compliance and ethics professional investigates a report of sexual harassment. The incident does not constitute sexual harassment, but reveals the employee's
misunderstandings of the harassment policy. Which of the following should be the FIRST step in a corrective action plan? A.) Consult outside counsel B.) Disclose the incident to the EEOC C.) Provide education and training on the policy D.) Survey employees' understanding of the policy C.) Provide education and training on the policy Which of the following provides guidance for the development of a compliance program? A.) Sarbanes-Oxley Act B.) Federal Sentencing Guidelines C.) Security and Exchange Commission D.) Office for Civil Rights B.) Federal Sentencing Guidelines A compliance and ethics program should include:
- An employee benefits handbook
- Document retention guidelines
An employee discloses to counsel and the compliance and ethics professional that a supervisor has been verbally abusive. An investigation finds that the same supervisor has also been sexually harassing several employees in his department. The compliance program requires that findings of harassment be documented and forwarded by the compliance and ethics professional to the CEO with a recommendation for appropriate discipline. Counsel advises that no report be written because of possible litigation. The compliance and ethics professional's BEST course of action is to: A.) Follow counsel's advice B.) Submit a written report C.) Ask counsel to prepare the written report D.) Recommend disciplinary action against counsel C.) Ask counsel to prepare the written report Even though counsel advises to not submit a report Compliance can suggest alternatives to ensure the compliance program is being followed. By asking counsel to prepare the written report it is then protected by attorney-client privilege and follows the compliance program. A compliance and ethics professional is evaluating an organization's employee handbook. A conflict exists between the Code of Conduct and the employee handbook. HR is responsible for the employee handbook. The documents have been approved by the board of directors. Which of the following actions should the compliance and ethics professional take FIRST? A.) Post revised documents on the organization's website
B.) Schedule a time during the next board meeting to present revised documents C.) Schedule a meeting with HR, general counsel, and the board to discuss the issue D.) Contact HR to determine if the inconsistencies between the documents can be resolved D.) Contact HR to determine if the inconsistencies between the documents can be resolved Escalate to the lowest level when possible A company's Code of Conduct has not been reviewed for over 2 years. HR recommended adding content that would double its size. The compliance committee members expressed concern that adding a significant amount of content could negatively impact its effectiveness. Which of the following is the compliance and ethics professional's NEXT step before consolidating revisions? A.) Request guidance from the board of directors B.) Contract with a consultant to rewrite the Code of Conduct C.) Compare the content outline with other organizations D.) Rewrite the content based on Federal Sentencing Guidelines C.) Compare the content outline with other organizations Benchmarking
and ethics professional has been asked to respond to the subpoena and to advise the company's employees on their role in the process. Which of the following should the company's compliance and ethics professional do FIRST? A.) Obtain documents and determine which to release B.) Consult with the company's general counsel C.) Gather documents and turn them over to the government D.) Notify all employees that all documents must be retained B.) Consult with the company's general counsel Which of the following is MOST helpful in determining how a company prioritizes its risk? A.) Historical data B.) Policies and procedures C.) Incentive program D.) Market competition A.) Historical data Which of the following BEST describes the purpose of training based upon risk assessment findings? A.) Reducing the organization's legal exposure B.) Educating employees on laws and regulations C.) Educating the board on the compliance program D.) Reducing the organization's insurance premiums
A. Reducing the organization's legal exposure In which of the following would an employee's obligation to report misconduct MOST likely be discussed? A.) Job interview B.) Manager's meeting C.) New employee orientation D.) Audit committee meetings C.) New employee orientation According to the Sarbanes-Oxley Act, which of the following corporate employees can be employed by a corporation's audit firm during the 1-year period preceding an audit? A.) CEO B.) Controller C.) Chief Accounting Officer D.) Compliance and Ethics Professional D.) Compliance and Ethics Professional Which of the following departments in a large drug manufacturing company is MOST likely to have the highest risk of non-compliance?
C.) The previous public accounting firm is providing bookkeeping related to the accounting records and financial statements that they once audited. D.) The public accounting firm providing audit services has been contracted A.) The public accounting firm providing audit services has had the same audit partner reviewing the audits for the past 6 years. Under In re Caremark Int'l., the basic fiduciary duty of care principle is characterized as acting in good faith with: A.) Reasonable care of management under similar circumstances B.) Reasonable care of an organization under similar circumstances C.) The care of an ordinary prudent person under similar circumstances D.) The care of another compliance and ethics professional under similar circumstances C.) The care of an ordinary prudent person under similar circumstances Which of the following BEST describes the primary role of a compliance and ethics professional? A.) Ensures that risks are appropriately prioritized
B.) Performs background checks on new employees C.) Includes compliance and ethics questions in exit interviews D.) Promotes a culture of compliance and ethics throughout the organization D.) Promotes a culture of compliance and ethics throughout the organization Which of the following is a key component of a compliance and ethics program? A.) On-going training B.) Employee surveys C.) Monthly employee meetings D.) Company newsletter A.) On-going training A CFO discovers the CEO is using company funds for personal expenses. The CFO buried this information in the company's financial reports. The compliance and ethics professional learns of the situation through the company's hotline. Which of the following should be the compliance and ethics professional's FIRST response? A.) Retain outside counsel B.) Recommend suspension of the CEO C.) Investigate to verify the allegation D.) Disclose the issue and terminate the CEO C.) Investigate to verify the allegation
U.S. Which of the following is the MOST appropriate action for the compliance and ethics professional to take? A.) Direct human resources to comply with the vendor's privacy policies B.) Ask the vendor to sign a confidentiality agreement before providing the information C.) Consult the legal department for advice on applicable privacy laws to ensure compliance D.) Instruct HR not to provide the information because it would violate international privacy laws C.) Consult the legal department for advice on applicable privacy laws to ensure compliance Adherence to the compliance and ethics program should be incorporated as an element in evaluations of supervisors who: A.) Are new to the company within the last 12 months B.) Received training during the evaluation period C.) Have previously noted compliance violations D.) Are in all levels of the organization D.) Are in all levels of the organization Which of the following do the Federal Sentencing Guidelines require of an organization's governing authority?
A.) Reasonable oversight of the compliance and ethics program B.) Responsibility for the development of the compliance and ethics program C.) Day-to-day operational responsibility for the compliance and ethics program D.) Periodic reporting of the effectiveness of the compliance and ethics program A.) Reasonable oversight of the compliance and ethics program A supervisor is informed that a subordinate employee has lodged a complaint against the company through the hotline. Which of the following documents 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 C.) Non-retaliation policy 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).
D.) Screening C.) Online reporting system 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 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. A.) Specific All key metrics and indicators should be SMART. S โ Specific M โ Measurable A โ Actionable R โ Relevant T - Timely
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 client privileges D.) The professional must ensure they are available to all members of the hospital. A.) The professional must ensure they are written and maintained to preserve attorney client privileges It is important that proper compliance investigations and response occur. The hospital must take all reports seriously and look into each complaint. It is important to state that no promises are made to any employee regarding their liability in an investigation. During an investigation, it will be determined whether the violation relates to federal law, state law, or hospital policies. Initial reports, corrective actions plans, and investigations must be written and maintained to preserve attorney client privileges, self- evaluative privileges and work product privileges.
When compliance risks have been identified and measured, they need to be prioritized. Some risks will require more effort and resources to address than others, due to the nature of their severity. Those risks are ideally categorized as: A.) Low risk items B.) Ideal risk items C.) Mid-level risk items D.) High risk items D.) High risk items High risk items typically will be those that have a high likelihood of occurrence, people raise repeatedly, are hard to detect, or will have a significant impact if they were to occur. Moderate risk items might be those that are frequently mentioned, but have high or moderate detectability scores. Lower risk categories are unlikely or those that could be likely, but would have a low impact upon occurrence. Ideal risks items do not exist. The compliance officer is discussing risk assessment and documentation that is effective in recognizing risk areas. Of the following, which would be effective in doing so? A.) SOX B.) OIG audit reports C.) External audit reports
