Ethics Investigation Procedures Flashcards
7 cards from real CEA practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Ethics Investigation Procedures flashcards as text
When an ethics investigator receives an anonymous tip, what is the FIRST recommended step?
Answer: Assess whether the allegation contains sufficient specificity to warrant inquiry
Investigators must evaluate the credibility and specificity of anonymous tips before deciding whether to proceed, even without a named source.
Which principle governs the order in which witnesses should typically be interviewed during an ethics investigation?
Answer: Generally interview peripheral witnesses before the primary subject
Interviewing peripheral witnesses first allows investigators to gather objective facts before the subject can tailor their account.
A company's ethics hotline report involves a VP. Who should typically oversee the investigation to ensure independence?
Answer: The board audit committee or outside counsel
When senior executives are implicated, independence requires oversight by the board, audit committee, or external counsel to avoid conflicts of interest.
What does 'maintaining chain of custody' mean in the context of an ethics investigation?
Answer: Tracking and documenting the handling of evidence from collection to conclusion
Chain of custody ensures evidence integrity by documenting who handled it, when, and how, making it defensible in legal or disciplinary proceedings.
During an investigation interview, the subject unexpectedly discloses an unrelated but serious violation. The investigator should:
Answer: Note the new disclosure and follow the organization's protocol for reporting additional violations
Investigators must document and escalate newly discovered violations according to established reporting protocols, even when outside the original scope.
Which of the following best describes the 'preponderance of evidence' standard used in most workplace ethics investigations?
Answer: It is more likely than not (>50%) that the alleged conduct occurred
The preponderance standard—more likely than not—is the most common burden of proof in civil and workplace investigations, unlike the 'beyond reasonable doubt' standard in criminal proceedings.
An investigator learns that key electronic evidence may be on a personal device owned by the subject. What is the appropriate next step?
Answer: Consult legal counsel about the scope of discovery rights and applicable law before proceeding
Accessing personal devices involves privacy and legal considerations that require legal guidance before any action is taken.